THANG8NAM20I7

t6ng cOng ty h6a dAu petrolimex - ctcp

QUY CHECONG BO THONG TIN

PETROLIMEX

MUC LVCCHUONG I. QUY BJNH CHUNG4

Biiu 1. Bdi tuong cdng bd thdng tin4

Bieu 2. Giai thich tit ngft4

Biiu 3. Nguyen tic cdng bo thdng tin4

Biiu 4. Ngubi th\rc hien cdng bo thong tin5

Biiu 5. Phucmg tien cdng b6 thdng tin6

Bieu 6. Turn hoiln cdng bo thdng tin7

Biiu 7. Bio quan, luu gift thdng tin7

CHUONGII. CdNG B6 THONG TIN BJNH KY7Bieu 8. Cdng bd thong tin dinh ky7

CHUONG m. CONG BO THONG TIN BAT THUdNG11

Biiu 9: Cdng bd thdng tin bit thucmg11

CHUONG IV. CONG BO THONG TIN THEO Y^J CAU14Biiu 10: Cdng bd thdng tin theo yeu ciu15

CHUONG V. BAO CAO THdNG TIN Vfi GIAO BJCH15Biiu 11: Bio cao thdng tin vi giao djch:15

CHUONG VI. CONG BO THpNG TIN NGAY BANG KY CU6l CUNG THUC HI$NQUYEN CHO C6 BONG HIBN HUU17

Biiul2:17

CHUONG VII. BIEU KHOAN THIHANH17Biiu 13: Td chftc thuc hi|n17

Biiu 14: Hieu l\tc va diiu chmh, bd sung, sfta <J6i quy che18

Phu luc sd 01 GIAY UY QUYEN THyC HffiN CONG BO THONG TIN19Phu l^c so 02 BAN CUNG CAP THONG TIN20Ph^ luc sd 03 BAO CAO THU6NG MEN22

Phy luc s6 04 BAO CAO TINH HtNH QUAN TRI CONG TY28Phu luc si 05 BAO CAO VE SO HUU CUa CO BONG LON32Phu luc sd 06 THONG BAO GIAO DJCH CUA CO BONG SANG LAP34Phu luc sd 07 THONG B Ao GIAO DJCH CO PHIEU CUA NGUOl N0l BQ VANGUOl CO Ll^^N QUAN CUANGUOl NQIB036

Phy lye so 08 TH6NG BAO GIAO DICH QUY6N MUA C6 PHIEU rflA NGUdl NOlB0 VA NGUC5I CO LIEN QUAN38Phy lye s6 09 BAO CAO VE THAY B6l Sd HOtI CUA C6 B6NG L(3n40Phu lye s6 10 BAO CAO K^^T QUA GIAO BJCH CtTA CO BONG SANG LAP42Phu lye so 11 BAO CAO K^^T QUA GIAO DJCH C6 PHIEU CllA NGUdl NOl BO VANGUfll CO Ll^^N QUAN:44Phy lye s6 12 BAO CAO KET QUA GIAO DICH QUYfiN MUA C6 PHl^^U C(JANGUdl NOl BQ VA NGUdl CO LlfiN QUAN46Phy lye so 13 THONG BAO NGAY BANG K^ CUOI CUNG St TH^C ffl^N QUYEN

48

CHITONG I.

QUY DJNH CHUNG

fiieu 1. Boi tupng cong b6 thong tin1.T6ngc6ngty Hoa Dk Petrolimex-CTCP;

2.CodongnpibOcuaPLC;

3.CoddngltjncuaPLC;4.Nguoi dupe uy quy^ cong b6 thong tin cua PLC (sau ddy gpi tSt I^ Ngubi dupe uy

quyen).5.NguM c6 lien quan theo quy djnh t^i khoan 34 DiSu 6 Lupt Chiing khoan cua cac d6i

tuong tr^n.

Bieu 2. Giai thich ttr ngu

-Tdng cong ty Hoa DSu Petrolimex-CTCP :PLC

-liy ban chiing khoan Nha nude:UBCKNN

-So giaodich chiing khoan Ha Npi:SGDCKHN

Trung tarn luu ky chiing khoan:TTLKCK

http://www.plc.petroiimex.com.vn:Website PLC

-Bai h^i d6ng c6 dong:BHBCB

Bieu 3. Nguyen tic cong b6 thong tin

3.1. Vipc cong bd thong tin phai day dli, chinh xdc, k^p thdi theo quy dinh phdp lupt vd

quy dinh cua Tdng cong ty, bao ddm:

-PLC chiu trach nhidm ve n^i dung thdng tin I^ cdng bd. Trudng hpp co sir thay ddinQi dung thdng tin da cdng bd, PLC sS cdng bd npi dung thay ddi vd ly do thay doi

so vdi thdng tin dd cdng bd truiic do;

quy ch4 c6ng b6 th6ng tincua t6ng cong ty hoa dau petrolimex - ctcp

(Ban hanh kern theo Quyit dynh sd: 043/QB-PLC-HDQT ngay 24/8/2017cua Hqi dong quan tri Tdng cong ty Hoa Ddu Petrolimex - CTCP)

-Trudng hop cd sir kin, thong tin lAm Anh hudng d^n gia chiing khoan, PLC co trAchnhiem xac nhrin hoac dinh chinh vl sir kien, thong tin do trong vdng hai muoi bin

(24) gia, ke tir khi nh(in biet dUQrc vd sir kipn, thdng tin do hoac theo yeu cau cita

UBCKNN, SGDCKHN;

-Vi^e cong bl cdc thong tin ca nhSn bao glm s6 The cAn cudc cflng dAn, si Chting

minh nhan dAn hoac so Hp chieu cdn hieu lpc, dja chi lien lac, dia chi thudng tru, sodien thoai, sd fax, email, s6 tAi khoan giao dich chung khoan, sd tai khoan lmi kychiing khoan, so tai khoan ngan hAng chi dupe thuc hi^n khi chu the lien quan d^ng

y-

3.2.PLC c6ng b6 thflng tin trdn trang thdng tin dien hi cua PLC (website cua PLC) dingthM phAi bao cao UBCKNN va SGDCKHN vl n8i dung thong tin cong bl, bao glm

dly du cac th6ng tin theo quy dinh. Cac th6ng tin ca nhAn quy dinh tai diem c khoAn1 Dilu nay si duac gui UBCKNN vA SGDCKHN 02 bin tAi lieu, trong do 01 binbao cao ve vi^c cong bl thong tin bao glm diy du thong tin ca nhan vA 01 ban baocao kh6ng bao glm thong tin ca nhan dl UBCKNN vA SGDCKHN th^c hien cong

bo thong tin.

3.3.Trach nhi^m bAo quan, luu gift thdng tin da bao cao, cong bo:

-Cac thong tin cdng bo djnh ky phai dupe luu gift dupi dang v3n bin (nlu c6) va dii

lieu dien hi tli thilu 10 nam;

-Cac th6ng tin cdng bo dinh k >, bit thudng, theo yeu ciu phAi dupe luu giu tren

website cua PLC trong tli thilu 05 nam.

3.4.Ngdn ngO thong tin cdng bo tten website cua PLC bing tilng ViSt, cic thong tin

dupe cdng bl ding thai bing cA tiing Viet vA tilng Anh thi npi dung thdng tin cdngbd bing tieng Anh chi cd tinh tham khao.

Sieu 4. NguM thuc hien cdng bi thdng tin

4.1.Vic cdng bd thdng tin do Tdng GiAm doc hoac Nguai duac uy quyen thuc hidn.Tdng GiAm die chiu Uach nhiem vl npi dung thdng tin do Ngudi dupe uy quyln

cdng bd. Trudng hap phat sinh sp kien cdng bd thdng tin ma ca Tdng Giam doc vANgudi dupe uy quyln cdng bl thdng tin dlu ving mat thi thAnh vien gia chiic vu caonhlt cua Ban dieu hAnh cd trach nhi^m thay the thpc hipn cdng bl thdng tin.

4.2.Tdng cdng ty phAi dang ky hoAc dang ky lai Ngudi dupe u^ quyen cdng bl thdng tinvdi UBCKNN vA SGDCKHN theo Phu luc 01 dinh kem cimg voi Ban cung dp thdng

tin cua Nguoi dupe liy quy^n cong bd thdng tin theo Phu luc 02 dinh kern toi thidu hai

muoi bdn (24) gib trade khi vic uy quyen c6 hieu lire.

©ieu 5. Phiromg tien cong bo thong tin

5.1.Vi?c cdngbdthbng tin du^e thuc hin qua cac phucrng ti?n cdngbd thong tin sau:

5.1.1.Website cua PLC va cac dn ph^m khic ciaa PLC;

5.1.2.H th6ng c6ng b6 thdng tin cua UBCKNN;

5.1.3.Trang thong tin din tu cua SGDCKHN;

5.1.4.Trang thong tin dign tOr cua TTLKCK;

5.1.5.Phuong tien thdng tin d^i chung khac theo quy dinh cua phap lu^t.

5.2.Thong tin cong b6 dudi hinh thiic vin ban, du^c giri d^n UBCKNN va SGDCKHNqua du^ng fax ho^c qua duong buu dien phai 1^ ban chinh, co day du ddu va ch& ky

cua ngu^i thuc hiSn cong b6 thong tin. Trucmg h<?p gui qua fax thi ban chinh se du^cdong thai gui qua ducrng buu di?n trong then h^in hai much b6n (24) gib, ke tu khi

chuyen fax.

5.3.Thong tin c6ng b6 dudh Wnh thuc dii: li?u dien tur dupe gui den UBCKNN vhSGDCKHN thong qua email ho^c phucrng ti?n khac do UBCKNN va SGDCKHNquy djnh. Trucmg hop thay d^i so fax, dja chi email, PLC phai thong bao b^ng van

ban it nhat nam (05) ngay likm vi?c truac ngay d\c kien thay doi.

5.4.PLC thuc hiSn vi?c cong b6 thong tin qua website cuahttp://www.plc.petrolimex.com.vn. Website cua PLC ph^i co cac chuyen m^c v^

quan h? c6 dong, trong do gom co Dieu le Tong cong ty, Quy ch^ Quan tri ngi bg,

Bao cao thuang nien, Bio cao Tai chinh djnh ky dugc cong bo theo quy djnh va cacvan de lien quan den cac ky hgp Dai hOi dong c6 dong. Ngoai ra, Website cua PLCphai dugc thucmg xuyen cap nhit cac thong tin phai cong bo theo quy dinh trongQuy ch^ nay. Website cila PLC dugc thong bao vdi UBCKNN, SGDCKHN vk congkhai ve dja chi, mpi thay doi lien quan den dja chi nay trong thbi han ba (03) ngaylam vi?c k6 tu ngay hoan lit viec l^p trang thong tin di^n tir ho^c khi thay d6i dja chi

trang thong tin di^n tu nay.

5.5.Thong tin cong b6 tren Website cua PLC dugc the hien dubi dang file inh dinh kbmde dim bio thong tin do PLC cong b6 co day du diu va chii ky cua nguai thgc hien

cong bd thong tin nhu cong b6 thong tm duai hinh thuc van ban gui d^n UBCKNN

va SGDCKHN.

Dilu 6. T^m hoan c6ng bo thong tin

6.1.Trudng hgp vic cong bo thong tin khong the th\rc hiSn dung thai hem vi nhung ly dobat kha khang, PLC phai bao cao UBCKNN, SGDCKHN va thuc hi?n cong b6 thdng

tin ngay sau khi s\r kien bit kha khang da dugc khic ph\ic.

6.2.Viec tam hoSn cong b6 thong tin phai dugc c6ng b6 tren phuong tien cong b^ thdng

tin ciia UBCKNN, SGDCKHN va Website ciia PLC, trong do phai neu r5 nguyen

nh^n ciia vigc tym hoan cong bo thong tin.

Dieu 7. Bao quan, lvu gift thong tin

Cdc thong tin da bao cdo, cong b6 dugc bao qudn, luu giG theo quy dinh cua phap

lu^t va quy dinh cy the trong Quy che nay.

CHU"ONG II. C6NG BO TH6NG TIN DINH KY

Dieu 8. Cong bo thong tin dinh ky8.1. Cong bo thong tin Bao cao tai chinh nam da dirge kiim toan

8.1.1Ngidung:

-Bao cao Tdi chinh n^m g6m Bao cao Tdi chinh nam Cong ty me va Bdo cao Taichinh hop nh^t Tong cong ty da dugc kiem toan boi to chiic kiem toan dugc chapthu^n thuc hien kiem toan cho PLC. Bao cao Tai chinh phai bao g6m diy du cac bdo

cao, phu lye, thuyet minh theo quy dinh ciia phap luat ve k^ toan doanh nghi?p.

-To^n v^n Bao cdo Tai chinh n^m da dugc kiem toan phai dugc cong b6 day dii, kh cd

bdo cao kiem toan ve Bao cao Tai chinh do. Truong hgp kiem toan khong chap nhantoan phan Bao cao Tdi chinh, PLC phai cong b6 Bao cao Tai chinh nam, Bao cao

kiem toan kem theo van ban giai trinh cua PLC.

8.1.2Thdi han cong b6 :

-Bao cdo Tai chinh nam C6ng ty me va Bdo cao Tai chinh nam hgp nhdt PLC da dugc

kiem toan: phdi dugc cong bo cham nhat la muoi (10) ngay, ke tir ngay to chiic kiemtoan doc lyp ky Bao cao Ki6m toan nhung khong vugt qua chin muoi (90) ngay, k6

tir ngay kSt thiic nam tai chinh.

-Truong hgp PLC khong thS hodn thdnh vi^c cdng bo Bao cao tai chinh nm da dugckiem toan trong thiri han neu tr^n do phai lap Bao cao tai chinh n&m hgp nhat thiPLC dugc phep gui v^n bdn de nghi UBCKNN xem xdt gia hyn cong b6 Bao cao tai

chinh nim nhirag toi da khong qui mQt trim (100) ngay, kh tut ngiy k^t thuc nim tai

chinh.

8.1.3Phuang tien, hinh thurc c6ng b6 :

-Tr6n phuang tien c6ng b6 th6ng tin ciia UBCKNN va SGDCKHN;

-TrSn Website cua PLC: toin bo Bio cio Tai chinh nam dS duqc ki6m toin;

Tren mot s6 bio in c6 pham vi phit hinh trong toin quoc toan van Bio cio Kiem

toan v6 Bao cao Tai chinh nam kern theo d|a chi Website ciia PLC.

8.1.4LuutriHtnhatmuai(10)n&mt^iPLC.

8.2. Bao cao Tai chinh ban nien dS ^upc soat xit

8.2.1.NOidung:

-Bao cio Tai chinh ban nien g6m Bio cio TM chinh ban niSn Cong ty me v^ Bao cdoTai chinh ban nien hop nh^t T6ng cong ty da du^c soat xet boi t6 chiic ki6m toan

duoc chap thun thirc hi^n kiem toan cho PLC.

-Bao cao Tai chinh bin nien phai la Bio cao Tii chinh giQa nien d dang day dh theoChuin muc ke toan "Bao cio Tii chinh gi^a nien dq", trinh biy so li?u tai chinhtrong 06 thing diu nam tai chinh cua PLC. Bio cao Tai chinh phai bao gom day ducac bao cao, phu I^c, thuyet minh theo quy dinh cua phip lu^t ve ke toan doanhnghi6p va phai duqc soat xet theo Chuan muc v^ cong tic soit x^t Bao cao Tii

chinh.

-Bio cao tai chinh bin nien phai li Bao cao tii chinh giSa nien d0 dang diy dii theoChuin mqc ke toan "Bao cao tai chinh giua nien dp", trinh bay s6 lieu tii chinhtrong 06 thing diu nam tii chinh cua TCT PLC, dupe lip theo quy dinh tai di^m akhoan 1 Di6u 8 Thong tu s6 155/2015/TT-BTC, ngay 06/10/2015 cua B0 Tai chinh.Bio cao tai chinh bin nien phii dupe soat xet theo Chuan mpc ve cdng tac soit xetBio cao tai chinh. Toin van Bio cio tii chinh bin nien phai dupe cong b6 diy du,

kem theo y kien kiem toin va van ban giai trinh cua PLC trong truong hpp Bio cio

tai chinh bin nien dupe soit xet co ket lu^n cua kiem toin vien la khong d^t y6u cau;

8.2.2.Thai h^in cdng b6 :

-Bio cio Tii chinh bin nien C6ng ty me vi Bio cio Tii chinh bin nien hpp nhit PLCdi dupe soit xet: Phai dupe cong bo ch^m nhit la nam (05) ngay, ke tu ngiy t6 chic

ki6m toin dpc lap ky bio cio soat xet nhung khong qui b6n muai lam (45) ngay, k

tu ngiy ket thuc 06 thing diu nim tai chinh.

-Tnr^^ng hap PLC khdng thd hodn thanh vic cdng bd Bdo cao Tai chinh bdn nidn dS

du^c soat xet trong then h^n neu tren do ph&i l^p Bao cdo Tai chinh ban nien h<ypnhat thi PLC du^e phep gun van ban dd nghi UBCKNN xem xet gia han cdng bb Bdocao Tai chinh ban nien nhung toi da khbng qua sau muoi (60) ngay, ke tu ngay k^t

thuc nSm tai chinh.

8.2.3. Phuong ti?n, hinh thtic cong b6:

-Tren phuang ti^n c6ng bd thong tin aia UBCKNN va SGDCKHN;

-Tren Website cua PLC.

83. Bao cao Tiki chinh quy

8.3.1Npidung:

-B^o co TM chinh quy g6m Bao c^o TM chinh quy Cong ty m^ vk B^o cao T^i chinh

quy h^p nhit PLC.

-Bao c^o Tai chinh quy phai lii Bao cao Tai chinh gi€ra nien d$ dang d^y du theoChuan mire ke toan "Bao cao tiii chinh giGa niSn d^", duqfc l|ip bao gom d^y du cacbao cao, ph^ l\ic, thuy^t minh theo quy djnh cua phap luat ve ke toan doanh nghi^p.

-Toan van Bao cdo Tai chinh quy phai dir^c cdng bo ddy dil.

8.3.2Th^i han cdng b6 :

-Bao cao tai chinh qu^ Cdng ty me va B^o cao tai chinh quy h<^^) nhat PLC: phai du^e

cdng bd trong thai h^n hai muai (20) ngay, ke tir ngay kdt thiic quy.

-Trong trudng hap PLC khdng thd ho^^ thanh vi?c cdng bd B^o cao tai chinh qutrong thai han ndu trdn do phai lap Bao cao tai chinh quy hgp nhat thi PLC du<?cphep gui van ban de nghi UBCKNN xem xdt gia han cdng bd bao cao tai chinh quy

nhung tdi da khdng qud ba muai (30) ngay, kd tir ngay kdt thuc quy.

8.3.3Phuang tidn, hinh thiic cdng bd:

-Tren phuang tin cdng bd thong tin cua UBCKNN va SGDCKHN;

-Tr8n Website cua PLC.

8.4 Giai trinh bien d^ng ket qua kinh doanh:

Khi cdng bd thdng tin cac Bao cao Tai chinh Cdng ty m^ va Bao cao T^ chinh h^pnhdt PLC neu tai khoan 8.1, 8.2, 8.3 Didu n^y, PLC phai ddng thdi giai trinh nguydn

nhan khi xay ra m^t trong ede truang hgp sau:

-Lpi nhudn sau thui thu nhap doanh nghidp tai Bio cio kit qua hoat d^ng kinh doanfr

cua ky cong bo thay ddi tir 10% trd len so vdi bao cao cung ky nam trudc;

-Lpi nhuin sau thud trong ky bao cao bi 16; hoic chuyen tit lii 6 ky trudc sang 16 d k^

nay hojic ngupc lai;

-S6 lieu, k^t qua hoat dpng kinh doanh luy ke tb dau niim tai bio cio kit qua hoat

dong kinh doanh trong bao cao tai chinh quy 2 di cong bo so vai Bio cio Tai chinhban nien dupe soit xet; hoic tai Bao cio Tai chinh quy 4 da cong bo so vdi Bio cioTai chinh nam duoc kidm toin co su chenh l^ch tit 5% trd ldn; ho|c chuyen tit 16

sang lii hoac ngupc lai;

-S6 lidu, kit qua hoat dpng kinh dnanh tai bio cio kit qua hoat d^ng kinh doanh

trong ky bio cio co su chdnh lech trudc va sau kidm toin hope soit xet tir 5% trd

len.

8.5Bio cao thuimg nien - Bio cio nam ve thuc hi|n quan tri cong ty

8.5.1Npi dung: Theo Php lpc 03 dinh kem

8.5.2Thdi han cong bo: Chim nhit hai much (20) ngay, sau ngay cong b6 Bio cio Tiichinh nim hpp nhat PLC dupe kiem toin nhung khong vupt qui mdt tram hai muoi(120) ngay ki tit ngiy kit thuc nam tai chinh.

8.5.3Phuongtien, hinh thuc c6ng b6:

-Tren Website ciia PLC;

-Tren phuong tipn cong b6 thong tin cua UBCKNN vi SGDCKHN;

8.6Bio cio Tinh hinh quan tr{ Tong cong ty:

8.6.1Npi dung: Dinh ky 6 thing va nam, PLC lap Bio cio Tinh hinh quan trj T6ng cong ty

theo Phu luc 04 dinh kem.

8.6.2Thdi han cong b6: Cham nhit sau ba muoi (30) ngiy, ki tit ngay kit thtic ky bio cio.

8.6.3Phuong tien, hinh thiic c6ng bi:

-Tr6n Website cua PLC;

-Tren phuong ti$n cong bi thong tin ciia UBCKNN va SGDCKHN.

8.7Thong tin ve hpp Bai hpi dong ci dong (SHDCD) thudng nien/bat thudng

8.7.1 NOi dung gom cd cic tii lieu sau :

-Thong bao mdi hpp;

-Thdng bio vd vide sd dung dich vp ho phieu dipn hi;

Sieu 9: Cong bo thong tin bat thudng

9.1. NOi dung cdng bo thong tin Mt thudng trong thai h^n hai muoi tu (24) gib, ke td khi

xay ra mot trong cac sp kien sau day:

9.1.1.Tai kho4n cua PLC tai c4c ngan h4ng bi phong toa ho^c t4i khoan dupe phep ho^t

ddng trd l^i sau khi bj phong tod;

9.1.2.Tam ngung mdt phtln hodc toan bd hoat dpng kinh doanh; b6 sung ho(lc rut bat mdt

hodc mdt sd ngdnh nghd dau tu, kinh doanh; bi dinh chi hoac thu hoi Gidy chungnhan dang ky doanh nghidp hodc Giay phep thanh I^p va hopt ddng hoac Gidy phep

hoat ddng;

-Mau chi djnh dai didn theo uy quyn d\r hop;

-Mlu chi djnh dpi didn theo uy quyn bo phidu didn tu;

-Chucmg trinh hop;

-Phidu biu quyt, The 16 bi^u quydt;

-C4c tai li?u thao lupn lam co sd thong qua quyt djnh hodc dja chi duong dSn tr6n

Website cua PLC cdng bo npi dung cac tai H6u nay;

-D^ thao nghi quy6t d6i v6i tttng van d6 trong chuofng trinh hpp hodc dia chi dudng

ddn tren Website cua PLC cdng bo npi dung tai li?u nay.

8.7.2Thoi h^t cdng bd: Cham nhit mudi (10) ngay, trudc ngay khai mac hpp DHDCD.

8.7.3Phuong ti^n, hinh thlic cdng bd :

-TrSn Website cua PLC;

-Tren phuong ti6n cdng bd thong tin cua UBCB^^ va SGDCKHN;

-Tren m6t s6 bao in co pham vi phft hanh trong toan qudc: Thu mdi hqp DHDCD

thudng nidn kem theo dia chi website cua PLC.

-GCri Thu mdi hop DHDCD tr\rc tiep cho c4c Co ddng theo dia chi cua Co ddng dangky vao ngay d5ng ky cuoi cimg lap dauh s4ch Cd ddng d^ DHDCD do TTLKCK

Vi^t Nam cung cap.

CHlTONG HI. C6NG B6 TH6NG TIN BAT THUtfNG

9.1.3.Th6ng qua cac Nghi quySt/Quy^t dinh ciia DHDCD (kern theo bien ban hgp

DHDCD hoac Bien ban kiSm phiSu) vS vic thdng qua cac quySt djnh cua DHDCDtheo quy djnh tai DiSu 143 ciia Lut Doanh nghi^p, bao gom :

-Sira doi, b6 sung DiSu 1^ PLC;

-Th6ng qua dinh hudng phat triSn PLC;-Quyet djnh lo^i co phan va tong so c6 phan cua timg lo^i duqc quyen chao ban;-Bau, miSn nhiSm, b3i nhiem thanh vien Hoi dong quan trj va Ban ki^m soat;

-QuySt dinh dau tu hoac bn s6 tai san co gia trj bang ho&c Ion hon 35% t6ng gia tritai san dirge ghi trong Bao cao Tai chinh gan nhdt cua PLC n^i Di6u 1 PLC khdng

quy dinh mot ty 1^ khac;

-Th^ng qua Bao cao Tai chinh hang nam;

-To chiic lai, giai th8 PLC.9.1.4.Nghi quyt/Quy6t djnh cua H0i ddng quan tri v vi?c mua lai hoac ban c6 phieu qu^;

ngay thgc hien quy^n mua c6 phieu cua ngiroi s6 huu tri phieu kem theo quyen muaco phieu hoac ngay thuc hi?n chuyen doi trai phieu chuyen doi sang c6 phieu; quytdinh chao ban chung khoan ra nuoc ngoai v& cac quyet dinh lien quan den vi?c ch^oban theo quy dinh tai khoan 2 Dieu 149 ciia Luat Doanh nghiep;

9.1.5.Nghj quy^t/Quy6t dinh cua DHDCD/H6i dong quan trj (km Bien b^n hgp DHDCDhoijic Bien ban kiem phieu) vS muc co tiic, hinh thiic tra c^ tiic, then gian tra co tiic;

phat hanh co phi6u thuong; tach, gpp co phi6u;

9.1.6 Quy^t dinh v6 vi^c to chiic lai PLC (chia, t^^ch, hop nMt, sap nhap doanh nghi^p),giai the doanh nghiep; thay doi ten, con dau cua PLC; thay doi dia diem, thanh lapmai hoac dong ciia tru so chinh, chi nhanh, phong giao dich; van phong dai di?n; siiadoi, bo sung Dieu IS; chien luge, ke ho^ch phat trien trung h in va ke ho^ch kinh

doanh hang nam cua PLC;

QuySt dinh thay ddi ky kS toan, chinh sch ke toan ap dgng (tru trubng hgp thay d6i

chinh sach kS toin ap dgng cho thay doi quy dinh phap luat); thdng bao doanhnghiep kiem toan da ky hgp dong kiem to^n Bao cao Tai chinh nam ho^c thay doidoanh nghiep kiem toan (sau khi da ky hgp dong); doanh nghiSp kiem to^n tu ch6i

kiSm toan Bao cao Tai chinh cua PLC; kSt qu^ diSu chinh h6i tt Bao cao Tdi chinh(nSu co); y kiSn khong phai la y kiSn chip nhan toan phin cua kiSm toan vien ddi v6i

Bao cao Tai chinh.

9.1.7. Quyet dinh tham gia gop von thanh lap, mua dS tang so him trong mot cong ty danden c6ng ty do tro thanh c6ng ty con, cong ty USn doanh, cong ty lien ket hoac bande giam s6 him tai cong ty con, cong ty lien doanh, cong ty Hen ket din dSn cong ty

do khdng con la cong ty con, c6ng ty lien doanh, cong ty lien ket hoac giai th congty con, cong ty lien doanh, cong ty lien kdt; dong, mo chi nhanh, nha may, phong

giao dich, van phong dai di?n;

9.1.8.Khi co su thay ddi nhan sir chii ch6t cua PLC (thanh vien H0i dong quan trj, Bankilm soat, Giam doc/Pho Giam doc ho^c Tdng Giam doc/Pho Tdng Giam d6c, Kd

toan trudng, Trudng Phong T^i chinh ke toan);

9.1.9.Co quydt dinh khdi td, ban an, quyt dinh cda Tda an d6i vdi thanh vien Hdi dongquan tr;, Tdng Giam ddc, Pho Tdng Giam d6c ho^c Giam d6c, Pho Giim d6c, K^

toan trudng, Truong phong tai chinh ke toan, Thanh vien Ban kiem soat cua PLC; c6quyet dinh khdi to, ban an, quyet dinh cua T6a an U^n quan den hoat dQng cua PLC;

c6 k6t luan cua co quan thu6 v^ vi?c PLC vi ph^im ph^p luat v6 thud;

9.1.10.Khi co thdng bao cua To^ an thy i^ don yeu cau md th^ t^c pha s^n doanh nghi^p;

9.1.11.Quydt dinh vay ho^c phit hanh trii phieu co gia trj td ba muoi phin trim (30%) v6n

chu sd huu trd len tinh tai Bao cao tii chinh nam gan nhit da du^c kidm toan ho^icBao cao Tai chinh ban nidn gan nhat dugc soat xet; Quydt dmh phat hanh trai phidu

chuyen doi;

9.1.12.PLC nhn dugc thay ddi ngi dung lien quan ddn Gi^y chung nh^n ding ky doanhnghiep hoic Gi^y phep thanh l^p va hoat dgng ho^c Giay phep ho^it dong;

9.1.13.Khi co su thay doi s6 co phieu co quyen bieu quyet dang luu hanh do phat hanhthem; mua, ban co phidu quy tinh tai thai diem chiing khoan chinh thiic dugc dang

ky tai TTLKCK;

9.1.14Quydt dinh phit hanh trai phieu chuyen ddi, cd phieu uu di;

9.1.15Vdn gop ciia chu sd hdu bi giam td mudi phin tram (10%) trd len hoiic tdng tai sanb; giam tu mudi phan trim (10%) trd len tai Bao cao Tai chinh nam gan nhat d3

dugc ki^m toan ho$c Bao c^o T^i chinh bdn nien gan nhat dugc soat xet;

9.1.16Quyet dinh tang, giam vdn didu le; quyet djnh gdp von dau tu vao mot to chiic, duan, vay, cho vay hoiic cac giao dich khac vdi gia tri tu mudi phin tr5m (10%) trd ldn

tren tdng tai san cua PLC tai Bao cdo Tai chinh nam gan nhat dugc kidm toan hocBao cao Tai chinh ban nien gan nhat dugc soat xet; quyet djnh gdp vdn cd gia tri tunam muoi phan tram (50%) trd len vdn dieu le cua mot td chdc (xac dinh theo v6n

dieu 1? ciia td chiic nhan von gdp trudc thai didm gdp vdn); quydt djnh mua, ban taisan cd gia tri tu mudi lam phan tram (15%) trd len tren thng tai san ciia PLC tinh tai

Bao cao tai chinh nam gan nhat dugc kiem toan hoac Bao cao Tai chinh ban nidn gin

nhat dugc soat xet;

CHlTONG IV. C6NG B6 THONG TIN THEO Y^^U CAU

9.1.17.Dupe chap thuan hojic bi huy bd nim ylt tai Sdgiao dich chiing khoan nuac ngo^i;

9.1.18.Khi xky ra cac sir kien co anh hudng ldn din ho^t dpng san xudt, kinh doanh hoac

tinh hinh quan trj cua PLC.

9.2.Cong b6 thong tin Ii6n quan din ngay dang k^ cu6i chng th\rc hipn quyln cho Co

dong hi^n h&u:

-PLC phai b^o do va nop d^y dii cac tai Iipu la can cur phdp ly lien quan din ng^y

dang ky cudi cung du ki^n thuc hi6n quyen cho C6 dong hien hihi cho TTLKCK,SGDCKHN, bao cao UBCKNN, d6ng thai cong bo thong tin ch^m nh^t muai (10)

ngay tru^c ngay dang ky^ cuoi cung d^ kien.

9.3.Cong b6 thong tin trong c^c tnrbng hpp diic biet khac nhu sau:

-Sau khi thay d6i ky ke toan, PLC cong b6 B^o c^o T^ chinh khi thay d6i k^ kl toan

da dupe kiem toan theo quy djnh phap luat ve ke toan doanh nghiep trong thfri hanmubi (10) ngay, k% tu ngay to chuc kiem toan ky Bao cao Kiem toan;

-Sau khi hoan tdt vic chuyln d6i hinh thuc s6 hftu doanh nghiep, PLC cong b6 Bao

cdo Tai chinh sau khi chuyen d6i hinh thiic so huru doanh nghiep da dupe ki&n toantheo quy dinh cua phap luat ke toan doanh nghi^p trong thai han mubi (10) ngay, ke

tir ngay to chiic kiem toan ky Bao cao Kiem toan;

-Sau khi chia, tach, sdp nhap, PLC Ik doanh nghiep bj chia, bi t^ch hoac bj s^p nhapcong b6 Bao cao Tai chinh khi chia tach, sap nhap doanh nghiep da dupe kilm toan

theo quy dinh cua ph^p luat ke toan trong thai han mu^i (10) ngay, ke tir ng^y tochuc kilm toan ky Bao cao Kiem toan.

9.4.Phuang tin, hinh thiic c6ng bo th6ng tin bat thuang:

-Tren phuang ti?n cong b6 thong tin cua UBCKNN va SGDCK;

-Tr6n Website cua PLC;

-Cdc cong bo thdng tin bat thu^ng phai dudi dang v&n ban nSu day du cac sp ki?n xayra, nguyen nhan, ke hoach va cac giai phap khac phpc (nu c6).

Bieu 11: Bao cao thong tin ve giao djch:

11.1.D6i tupng phdi bao cao thong tin giao dich

11.1.1.C6 dong npi bp id thanh viSn Hoi ddng quan trj, Ban kiSm sodt, T6ng Giant

d6c/Giam doc, Pho T6ng Gidm doc/Pho Giant ddc vd KS toan trucmg;

11.1.2.C6 dong sdng lap; C6 dong 16n cua PLC (ndm gitt tit ndm pitta tram (5%) trb 16n s6

co phieu co quyen bieu quy^t cua PLC);

11.1.3.Ngubi dupe uy quy6n cong bd thong tin cua PLC;

11.1.4. Ngubi c6 lita quan cua cac d6i tutpmg ndy theo quy dinh t^i khota 34 Bieu 6 Lu^t

Chung khoan.

11.2.NOi dung, thiri h^n vd doi tupng thong bdo

11.2.1.Bdo cao dp kien giao dich c6 phiduPLC :

Bieu 10: Cong bo thong tin theo yeu cau10.1.N^i dung c6ng b6 thong tin theo yta c4u trong thin han hai muoi b6n (24) gib k tit

khi nhta du^e yeu c&u cia UBCKNN, SGDCKHN, qui djnh tai khoan 4 Bita 101Luat Chung khoan, bao gom ede s^ kien sau day :

-Co thOng tin lita quan dta PLC anh hubng nghiOm trpng d^n lpi ich hpp phdp cita

nha dau tu;

-C6 thOng tin lidn quan d6n PLC anh huong ldn ddn gid chtrng khoan va cdn phdi xac

nhan thdng tin d6.

10.2.Phucmg ti$n cdng b6 thdng tin theo ydu cau

-Tren phucmg ti^n c5ng b6 th6ng tin cua UBCKNN vd SGDCKHN;

-Tren Website cua PLC;

-Tren phuong tin thOng tin dai chung;

-Cac thong tin c8ng b6 theo y6u ciu neu ddy du nguyen nhan va ddnh gia ciia PLC

ve tinh xac thyc cua s\r ki^n do.

CHUONG V. BAO CAO THONG TIN Vfc GIAO DJCH

-Mlu bao cao theo quy djnh tai Phu luc 05: Phu luc 06; Phu luc 07 vh Phu luc 08' dinh

kern;

-Vi?c b^o bao phai thpc hien trong ca tnrbtig hpp chuyen nhupng khdng thdng qua hethdng giao dich t^ii SGDCKHN (cho, t^ng, thua ke, chuyln nhupng hoac nhan

chuyen nhupng quyen mua c6 phieu phat hanh them...(ngoai trir giao dich co phi6u1^ theo yeu c&u cua nha dau tu));

-Thai gian dir kien giao dich khong qua hai (02) thang, ke tut ng^y dang ky thuc hi?ngiao dich va chi dupe bat d^u tien hanh phi^n giao dich dau tien sau hai muoi b6n(24) gio kl tu- khi co cong b6 thong tin tut SGDCKHN;

-Bao cao phai dupe gui UBCKNN, SGDCKHN va PLC truoc ngay thpc hi^n giao

dich t6i thi6u la ba (03) ngay lam vi^c.

11.2.2.Bao cao k6t qua th\rc hi^n giao dich c6 phi^u cua PLC :

-Mlu bao cao k6t qua thuc hi6n giao dich theo Phu luc 09: Phu lpc 10; Phu luc 11 va

Phu lqc 12 dinh kem;

-Tru^^ng hpp khong thuc hien dupe giao dich, cac doi tupng n^u 6 muc 1 ph^i IkmB^o cao giai trinh ve ly do khdng thuc hien dupe giao dich;

-C^c bao cao tr6n phai dupe g^i UBCKNN, SGDCKHN v^ PLC trong vong (03)ngay lam vi^c, ke tu ngay hoan tit giao djch.

11.2.3.Cong b6 thong tin v6 giao dich cua Co dong Ian :

-To chiic, ca nhan, nhom nguai co liSn quan n^m giu tir nm ph^n tram (5%) trd 16nco phieu co quyen bieu quyet cua PLC trong thai han bay (7) ngay, ke tu ngay trd

thanh ho^ic con la C6 dong ldn;

-To chiic, ca nhan, nhom ngudi co lien quan n^m gift tir nam phan tr^m (5%) trd len

co phi^u co quyen bieu quyet cua PLC c6 thay doi so lupng c6 phi^u sd huu vuptqua ngudng m^t phan tram (1%) so lupng co phieu (ke ca trudng hpp cho hoac dupecho, tang hoac dupe tang, thira ke, chuyen nhupng hoac nh^n chuyen nhupng quyen

mua cd phieu phat hanh them...hoc khdng thuc hien giao dich c6 phieu) phai thuchien bao cao trong thai h^n bay (7) ngay, k6 tir ngay co su thay doi theo Phu lire 09

dinh kdm.

-Thdi di^m xac dinh ty 16 nam gift c6 phi6u ciia Co dong ldn dupe k6 tu luc ket thuc

chu ky thanh toan giao dich;

11.3. Cong bo thong tin ve cac giao djch khac

Bieu 13: To cluic thuc hien

13.1.Cac thanh vien Hoi ddng quan tri, T6ng Giam d6c PLC, Nguiri dai didn quan ly phdnvon cua PLC tai cac doanh nghiep khac co trach nhiem to chiic trien khai thtrc hien

Quy chd nay.

13.2.Cac Ban thuoc H^i ddng quan tri PLC chju trach nhiem theo doi, don doc Nguoi d^idien thtrc hien chd do bao cao dinh ky quy, sau (6) thdng, ndm va cac bao cao khdctheo quy dinh t^i Quy che nay va tong hop ket qua, bao cao Hoi dong quan tri PLC.

13.3.CSn cii noi dung quy dinh tai Quy che nay va thtrc tien don vj; Tnrong nhom d^idien co trach nhi^m xay dung va ban hanh Quy che quan ly Ngudi d^i dien trong noibo don vi phir hop voi thuc tien de thuc hien.

chlTong vn.BIEU KHOAN THI HANH

Bieu 12:Boi vdi cdc thong tin lien quan dSn ngay dang ky cuoi cimg thtrc hi^n quydn cho Co donghien him, PLC phai giri Thong bao theo Phu luc 13 dinh kern va cac tai lieu can e^ phap lylien quan cho SGDCK, TTLKCK Viet Nam it nhdt muoi (10) ngay lam viec tnrdc ngaydang ky cudi cimg.

CHUONG VI.CONG BO TH6NG TIN NGAY BANG KY CUOI CUNG

THITC Hlf N QUYEN CHO C6 BONG HI^N HUTJ

11.3.1.Cong b6 thong tin v6 giao djoh chao mua cong khai: PLC khi co ke hoach chao mua

cong khai hoac bi chao mua phai thuc hien cong bo thong tin theo quy dinh tai Lu^tChiing khoan va Thong tit hudng dSn ve chao mua cong khai.

11.3.2. Cong bo thong tut ve giao dich co phieu quy: Tnttmg hop giao dich c6 phieu quy,PLC thtrc hien cong bd thong tin theo quy dinh cua Lu^t Chiing khoan vd van banhuong dan.

chO tich

Dieu 14: Hifu l^e va dieu chinh, b6 sung, sua doi quy che

14.1.Quy chd nay gdm My (7) Chuong, mubi b6n (14) BiSu v4 cd hidu lpc tir ngiy k^ v4thay th6 cac quy chS trudc d^y.

14.2.Qui trinh thuc hi^n quy dinh nay, khi cka thi^t phai sua d^, bd sung H0i d^g quantrj PLC sS xem xet quydt djnh.

14.3.Mpi sila ddi, bd sung Quy chd niy phii dupe Hpi ddng quan trj PLC ky duy^t bSng

vta ban mdi cd hi$u l\rc th^c hi$n.

14.4.Trudng hpp co nhung quy djnh mdi cua phap luat cd lien quan ddn ndi dung Quy chenay ma PLC chua kjp bd sung, sua ddi thi nhung quy djnh cua Phap lu(it dd duung

nhien dupe dp dyng./.

TM. HQID6NG QUAN TRl ^

Phu lye so 1GIAY UY QUYEN THl^C HIEN CONG B6 TH6NG TIN

CONG HOA XA HOI CHtl NGHlA VIET NAM% lap - Ty do - Hanh phiic

ngay ... thdng... nam...

GIAY Ut QUYEN THtfC HIEN CONG B6 TH6NG TIN

Kinh gui: - Uy ban Chting khoin Nhi nuoc

- S6 Giao djch chiing khoan

I.Ben uy quy^n (sau (tSy gyi 14 "Ben A"):

T^n giao dich cua t6 choc, cong ty:

Ma chdng khoan:

i^|a cm ncn it^c~~———••—'—————————^•*-•*———————————————-.-.*

Bienthoai:Fax:

II.Ben diryc uy quy^n (sau day gyi la "Ben B":

Ong (Ba):S6 CMND (hojc so ho chi^):

Ngay dp:Noi dp:

Bja chi thnong tru:

Chic vy tai t6 chic, cdng ty:

III.N^i dung uy quyn:-Ben A uy quySn cho Bin B lam "Nguii dtryc 4y quy^n cong bo thong tin" cia B6n A.

-Ben B c6 trach nhiem thay mat Ben A thyc hi^n nghTa vy cong b6 thong tin d^iy di, chinh xic v4kip thai theo quy djnh phip ludt.-Giay uy quyen n4y co hieu lire k ti ngay ... den khi c6 thbng bio hiy bo bang van bin cia

(Ten to chic, cong ty).

BENA/NGUOlBAIDlENBEN B(Ky, ghi ro he tin)

THEOPHAPLUAT(Ky, ghi rd hQ ten, dong d&u)

Tii liyu dinh kern-Bin cung dp thdng tin nguii duyc iy quy^n cdng bo thdng tin theo mlu tyi Phy lye 2.

12.Cac chiic v^ hi^n dang n4m giu1 t^i t6 chi^c khdc:

13.S6 CP n^m gift:chiem% v6n di^u 1, trong d6:

+ Dai di?n {ten t6 chirc Ik Nh^ nir^c/ c8 dong chien lin^c/ to chiic khdc) s^ httu:

9.S6 ctien thoai:

10.Dia chi Email:

U. Chi^c vu hi$n nay tai t6 chiic \i d6i tu^ng c6ng bo th6ng tin:--

ngay... thang... nam..

BAN CUNG CAP THONG TIN

Kinh giii: - Uy ban Chung khoan Nha nude

- Sd Giao dich chiing khoan

1.Hp va t8n:—

2.Giditinh:-

3.Ngay thang n3m sinh:-

4.Noi sinh:

5.S6 CMND (ho^c s6 hh chieu):

Ngay c^p:~

6.Qu6c tjch:--

7.Dantpc:—

CONG HOA XA HOI CHtJ NGHlA VlfT NAMDpc lp - T^ do - Hanh phuc

Phu lue so 2bAn cung cap thong tin

16.L^ri ich li^n quan d6i v6i c8ng ty (n^u c6):-

17.Quy^n Igi mSu thuln vdi cong ty (nu c6):

T6i cam ^oan nh&ng 16i khai trgn d^y Ik dung s^ th^t, n^u sai tdi hoan tokn. chiu tr&ch nhi^m

truuc ph^p lu^t.

NGUtJl KHAI

Moi quan h^S6 lupng CPnim gitt, t^ 1^s* httu tren v6n

dieu 1| cttaCdng ty (nluc6)

S6 CMND/Hqchieu, ng^y dp,

not cap.

T4n c4 nhtaSTT

14.C4c cam k^t njm gitt (nlu c<5):

15.Danh sich ngutti c6 USn quan Clla ngutti khai:

CdnhSnsdhttu:

I. Thong tin chung

1.Thong tin khdiqudt-T8n giao djch:-Gily chung nhan dSng k^ doanh nghi?p s6:-V6n dilu le:-V6n dlu tir cha chii sd h&u:

-Dia chi:-Sd dien thoyi:-S6 fax:-Website:-Ma c6 philu (nlu c6)Qua trinh hinh thanh va phat triln-Qua trinh hinh th^nh va phat triSn (ng^y thanh lap, thdi dilm nidm ylt, thdi gian c^c moc sir ki?nquan trong ke tir khi thanh lap d^n nay)-Cac sir kien khac:2.Nganh nghe va dia ban kinh doanh:-Nganh nghe kinh doanh: (n6u cc nganh nghe kinh doanh hoijic sn ph^m, dich vy chiem tr^^n 10%tong doanh thu trong 02 nam g^n nhat)-Dia ban kinh doanh: (Neu cac dja ban hoat dong kinh doanh chinh, chi^m trSn 10% t6ng doanhthu trong 02 n5m gan nhat).3.Thong tin ve mo hinh qun trj, tt chi^c kinh doanh va b mdy quan 1^

-Mo hinh quan tri-Co clu bo may quan 1^.-Cac cong ty con, cong ty lien k^t: (Neu danh sach, dja chi, ITnh vyc san xult kinh doanh chinh,v6n di^u le thuc gop, t !e sd hiru cua C6ng ty tai cac cong ty con, cong ty lien kit.4.Dinh hucmg phat triln-Cac myc tieu chu ylu cua Cong ty.-Chiln luyc ph^t triln trung v^ dai han.-Cac muc ti^u phat triln ben v&ng (moi trudng, xa h^i va c^ng d^ng) vk chirong trinh chinh Ii8nquan din ng^n han va trung han cua Cong ty.5.Cac rtii ro: (N8u cac rui ro co thl ^nh hirdng din ho^t dong s^n xuat kinh doanh ho^c dli vdivide thyc hien cac muc ti6u cua Cong ty, trong d6 cd rui ro ve mdi trudng.II. Tinh hinh hoat dong trong n5m.1. Tinh hinh hoat dong sdn xuat kinh doanh.-Kit qu^ hoat dong s^n xuit kinh doanh trong n3m: N8u cac kit qua dat diryc trong nSm. Neunhtfng thay dli, biln d^ng Idn vl chiln luyc kinh doanh, doanh thu, lyi nhu^n, chi phi, thj trudng,san phlm, nguln cung clp...vw

Phy lye so 3BAO CAO THlTONG Nl^^N

BAO CAO THlTdNG NlNTen cong ty

Nam b^o c^o

Ghi chuNSmX

NSmX-1

1. Chi tiSu v6 kh4 nSng thanh todn+ He s6 thanh toan ng5n han

Chi tiSu

- Cac chi tieu kh4c: (tuy theo (IJc itiem rieng Clla nganh, ciia c6ng ty <JS 14m r6 k^t qu4 hoat d^ngkinh doanh trong hai nam gan nhlt.

b) Cdc chi tieu tai chinh chu yeu:

% tang gi^mNSmX

NSmX-1

Ty le lgi nhuan tr^ c6 tuc

* Doi voi t6 chiic kh6ng ph^i la t6 chi^c tindung vk t6 chvrc tki chinh phi ngan hang

T6ng gi^ tri tai s^nDoanh thu thuln

Lgi nhu^n tir hoat d^ng kinh doanh

Lgi nhuan khkc

Lgi nhuan tru^c thug

Lgi nhu^n sau thue

Chi tigu

-Tinh hinh thuc hin so vcri ke hoach: So sanh ket qu& dat dugc trong n5m so vdri cdc chl tieu khoach va cac chi tieu nSm lien ke. Phn tich cu thl nguygn nhn d^n d^n viec kh&ng d^t/ dat/vugtcac chi tieu so vdi ke hoach v& so voi nam liln kk

2.To chirc va nhan sir-Danh sach Ban di^u hanh: (Danh sach, t6m tit Iy lich va ty le sir hum c6 phan co quyen bi^u quyetvh cac chu^ig khoan khac do cong ty ph^t h^ih cua T^ng Giam d6c, c^c Pho T6ng giam d6c, K^toan tru^ng va cdc c^n b quan ly kh^c.-Nhfrng thay doi trong ban dieu hanh: (Li^t k^ cac thay doi trong Ban di^u hanh trong n5m-So lirpng c^n bq, nh^n vi6n. Tom tit chinh sich v^i thay d6i trong chinh s^ch d6i voi ngu^i iaod6ng.3.Tinh hinh dau ttr, tinh hinh th^rc hi^^n cac d\r ^na)Cic khoin diu tu 1cm: Neu c^c kho^n diu hr ldm duqc thuc hi^n trong nSm (bao g^m cac kho^ndiu tu tai chinh va c^c khoan diu tu dir an/), tinh hinh thuc hien cdc d\r an Ion. D^i voi trucrng hqpc6ng ty d^ chao ban chumg khoan de thuc hien cdc du an, cin neu rS tign do thuc hi$n cac du annay vk phan tich nguy^n nhan din den vi^c d^t/kh6ng dat ti^n do da cong b6 va cam ket.

b)C^c cong ty con, c6ng ty lign kit: (T6m tit ve ho^ dOng va tinh hinh t^i chinh cua cdc c6ng tycon, congty lien k^t.4.Tinh hinh tai chinh.a) Tinh hinh tai chinh* D6i vcri t6 chuc khdng phai la t6 ch^^ tin d\ing v^ to chuc tai chinh phi ngan hang

5. Ca cdu cd dong, thay doi vdn ddu tu cuachu so huu.a)C6 phin: Neu tong s6 co phin vi loai co phin dang liru hinh, s6 lugng co phan chuyln nhuongt^ do vi s6 luong c6 phin bj han ch^ chuyen nhuqng theo quy djnh phap luat, Dieu le cong ty haycam kit ciia nguoi sd hun. Trirang hap cdng ty co chirng khoin giao dich t^i nirac ngoii hay biotrg viec phat hinh vi niem y^^t chung khoin t^i nuac ngoii, cin neu ro thi truang giao dich, solugng chirng khoin dugc giao dich hay dugc bio trg vi cic thong tin quan trong li^n quan dSnquyen, nghTa vu cua cong ty Hen quan den chung khoan giao djch hoic dugc bio trg tai nude ngoii.b)Co cau co dong: N^u ca cau co dong phan theo cac tieu chi ty IS sd hun (co dong Ion, co ddngnhd); co dong to chuc vi co dong ca nhin; co dong trong nude vi co dong nude ngoii, co dong nhinude vi cac co ddn^ kh^c.c)Tinh hinh thay doi vdn dlu tu cda chil sd hihi: N^u cac dgt ting vdn c6 phin trong nim bao g^mcic dgt chip bin ra cdng chung, chio ban rieng li, chuyln ddi trai phieu, chuyln d6i chung quyen,phat hinh cd phieu thudng, tri cd tdc bang cl philu v.v.d)Giao dich cd philu qu^: Neu sd lugng cl philu quy hien tai, li|t k6 cic giao dich c6 philu qu^da thgc hien trong nim bao gdm thdi didm thgc hien giao djch, gii giao dich vi doi tugng giaodjch.

4. Chi tiiu vi khd nang sinh lai

+ H? s6 L(?i nhuan sau thu^/Doanh thu

thuin

+ H s6 Lqi nhu^in sau thu^A^6n chii s^hun

+ He s6 L^i nhuan sau thui/T6ng tai sin+ He so L^i nhuan tCr ho^t dong kinhdoanh/Doanh thu thuin

3. Chi lieu vi nang lire hogt d^ng/ +

Vdng quay hing ton khoGia v6n hang bin/Hing tin kho binh

quan

Doanh thu thuan/Tlng tai sin

2. Chi tiiu vi co cdu vdn

+ He s6 Ng/Tlng tii sin

+ H6 s6 Ng/Von chQ sd h&u

Tii sin ngin han/Ng ngin h^n

+ H| s6 thanh toin nhanh:

Tai sin ngin h^n - Hing ton kho

Ng ngin h^ui

e) Cac chiing kho^n khac: n6u cdc dot ph^t h&nh chdng khoan khdc da thyc hipn trong n5m. Neu silugng, dac dilm cdc loai chdng khoan khic hi|n dang luu hinh va cac cam kit chira thirc hien ciiacdng ty vdi ca nhan, tl chiic khac (bao gdm can bo cdng nhan vi6n, ngudi quin ly ciia c6ng ty) lienquan d^n vi0c phat hanh chdng khoan.6. Bao cdo tdc dgng lien quan den moi trudng va xd h^i da cdng ty.6.1.Quan ly nguon nguyen vat lieu:a)Ting lugng nguyen v^t li|u dugc sOr dung de s^n xult vi d6ng g6i cic s^n phlm va dich vychinh cua td chuc trong n^m.b)Bao cao ti 16 ph^n tram nguyen vt li^u dugc til che dugc su dyng d6 sdn xult sin phlm va djchvy chinh cua to chiic.6.2.Tieu thu nang lircmg:a)Nang lugng tieu thy tryc tilp va gian tiep.b)Nang lugng tiet kiem dugc thong qua cac sang kiln sir dung nang lugng hi^u qua.c)Cac bao cao sing kiln tilt ki6m nang lugng (cung cap cac san phlm va djch vy tilt ki^m n^nglugng hoac su: dung nang lugng tai tao); bao cao ket qua c^a cac sang kiln nay.

6.3.Tieu thy nu6c: (miic tieu thy nude cOa cac hoat dpng kinh doanh trong n^m.a)Nguln cung cap nude va lugng nude sir dyng.b)Ty l^ phln tram va ton^g lugng nude tai che vk tai sir dyng.6.4.Tuan thd phap luat vl bko ve moi trudng:a)So lln bi xir phat vi phym do khong tuan thu luat ph^p va cac quy dinh vl mdi trudng.b)Ting so tien do bi xd phat vi pham do khong tu^n thu lu|t phap va cac quy djnh ve moi trudng.6.5.Chinh sach lien quan den ngudi lao dpng.a)S6 lugng lao dpng, mdc luong trung binh doi vdi ngudi lao ddng.b)Chinh s^eh lao dpng nhlm dam bao sue khde, an to^n va phuc Igi cda ngudi lao dpng.

c)Hoat dpng dao tao ngudi lao d0ng.-S6 gid dao tao trung binh mdi nam, theo nhan vien va theq phan loai nh^n vi6n.-Cac chuong trinh phat triln ky n^ng va hpc tap lien tuc de hd try ngudi lao d0ng dam bko c6 vieclam va phat triln su nghiep.6.6.Bao cao lien quan din tr^ch nhi^m doi vdi cong dong dia phucrng.Cac hoat dpng dau tu cong dong va hoat d0ng phat trien cong ddng khac, bao gom hS trg tai chfnhnhlm phuc vy cong ddng.6.7.Bao cao Men quan din hoat dpng thi trudng von xanh theo hudng din ciia UBCKNN.Lu-u y: (Muc 6 phln II Phy lye nky, cong ty cd thl lap rieng thanh Bao clo phat triln bin vung,trong do cac myc 6.1, 6.2 va 6.3 khdng bit bupc doi vdi cac doanh nghiep hoat dpng trong linh vucdjch vy tai chinh, ngan hang, chdng khoan, bko hilmIII. Bao cao va ddnh gia cua Ban Giam die (Ban Giam die bao cao va danh gid vl tlnh hlnh moi

mat cua cong ty).Bao cao va danh gia cCia Ban Gidm die t6i thi6u phdi bao gom cac npi dung sau:

1.Ddnh gid kit qua hoat dong san xudt kinh doanh.-Phan tich tong quan ve hoat dpng cua cong ty so vdi kl hoach/du tinh v^ cac kit qu^ hoat d0ng

sdn xuat kinh doanh trudc dy. Trudng hgp ket qua san xuat kinh doanh khdng dat ke hoach thi neur5 nguyen nhan va trach nhiem cua Ban Giam doc doi vdi vic khdng hokn t^nh ke hoach s^n xult

kinh doanh (nlu cd-Nhung tien bd cdng ty d5 dat dugc.2.Tinh hinh tai chinha) Tinh hinh tai s^n

Phn tich tinh hinh tai sin, bi^n dng tinh hinh tii sin (phin tfch, dinh gii hieu qui six dyng tii s^n,n^ phii thu xau, tii sin xiu inh hudng din kit qui ho^t d^ng kinh doanh)b) Tinh hinh np phii tri-Tinh hinh no hi^n tai, biin ddng Ion ve cdc khoin np.-Phan tich no phii tri xau, anh hudng chenh lech cua ti Id gii h6i doit den kit qua hoat d$ng sinxuat kinh doanh ciia cdng ty, anh hiring chenh lech I5i vay.3.Nhung cdi tiin ve co cdu to chiic, chinh sdch, qudn ly.4.Ke hoqchphdt triin trong tuang lai.5.Gidi trinh cua Ban Gidm ddc doi v&i y kiin kiim todn (niu co) - (Truang hyp y kiin kiem to&n

khongphdi lay kiin chap thudn toon phan.6.Bdo cdo ddnh gid lien quan den trdch nhi^m ve moi truang vd xa hgi cua cong ty.a.Danh gia lien quan den cic chi tieu moi trudng (tidu thy nude, nang lupng, phatthii.b.Danh gia lien quan den van de ngudi lao dong.c.Danh gia li^n quan din trach nhiem cua doanh nghiep doi v^i cng d6ng d|a phuong.IV.Dinh gii cua Hoi aong quan tri ye ho^t d^ng cua Cong ty (doi vdi c6ng ty co phlin1.Ddnh gid cua Hgi ddng qudn tri vi cdc mgt hoat dong cua Cong ty, trong do co ddnh gid tiin

quan din trdch nhiem moi truang vd xa h^i.2.Ddnh gid cua H^i ddng quan tri vi hoqt dgng cua Ban Gidm ddc cong ty.3.Cdc ke hoach, dinh huang cua Hoi dong qudn tri.V.Quan trj cong ty (T6 chiic khong phii la t6 churc niem yit khdng bit bupc phii cdng bo cicthong tin t^ii Muc nay).^. Hqi dong qudn tria)Thanh yien vi co cau cia Hpi ding quin tri: (danh sich thinh vign H6i dong quin tri, t^ le sdhull ci phin co quyen biiu quyet va cac chung khoan khac do cong ty phit hinh, neu ro thinh viendoc lap vi cac thinh vien khac; s6 luang chic danh thinh vien hpi ding quin tri do ttrng thinh vien

Hoi dong^ quin tr| ciia cong ty nim giu tai cac c6ng ty khac.b)Cac tilu ban thuOc Hoi d6ng quin tri: (Liet ke cic tiiu ban thuoc Hoi d^ng quin tri vi thinh vi6ntrong tirngtiiu ban.c)Hoat dong cua Hoi dc^ng quin trj: dinh gia hoat dong cua Hi ddng quin trj, niu cy thl s6 lupngcac cupc hop Hoi dQng quin trj, noi dung vi kit qui cua cic cu$c hop.d)Hoat dong cua thinh vien Hoi dong quin trj doc lap. Hoat ddng cia cac tieu ban trong HOi dongquin trj: (danh gii hoat dong cia cac tieu ban thuc Hoi dong quin trj, ndu cy the so iupng ciccuoc hpp ciia tirng tieu ban, noi dung vi ket qui cua cac cupc hop.e)Danh sich cac thinh vien Hoi ddng quin trj c6 chiing chi dio tao ve quin trj cdng ty. Danh sichcic thinh yidn Hdi dong quin trj tham gia cic chuong trinh \h quin trj cdng ty trong nim.

2.Ban Kiem sodta)Thanh vifin vi ca c^u cia Ban kidm soat: (danh sich thinh vidn Ban kiem soit, tj Id sd hftu c6phan co quyen bieu quyet vi cic chung khoin khac do cdng ty phit hinh.b)Hoat dong ciia Ban kidm soit: (dinh gii hoat ddng ciia Ban kim soit, neu cu th s6 lirpng cac

cuoc hpp ciia Ban kidm soit, npi dung vi kdt qui ciia cic cupc hop.3.Cdc giao dich, thii lao vd cdc khoan l<yi ich cua Hgi dong qudn tri. Ban gidm doc vd Ban kiem

sodt.a) Luang, thudng, thu lao, cic khoin lai ich: (Luang, thudng, thu lao, cic khoin lai ich khic vi chiphi cho tirng thinh vien Hpi ^bng quin trj, thinh vien Ban kidm soit, Giim ddc hoac Tong Giimddc va cac can bp quan ly. Gii trj cic khoin thu lap, lai ich vi chi phi niy phii duac cdng b6 chitiet cho tirng ngirdi, ghi rd s6 tidn cu thd. Cic khoin lai ich phi vat chat ho$c cic khoin lpi ich chuath^/khdng thd iupng hoa bing ti^i cln dupe li^t kd vi giii trinh day dii.

b)Giao djch co phieu cua co dong n^i b: (Thong tin \k cdc giao-dich co phi^u ctia cdc thdnh vi&iHoi d6ng qudn tri, thanh vien Ban ki^m sodt, Gidm d6c (T6ng Giam d6c), K^ todn truong, cdc can

bO quan ly, Thir ky cong ty, co dong ion va nh&ng ngudi liSn quan tai cdc doi tirong noi tren.c)Hqfp dong hoac giao dich vcri co dong npi bo: (Thong tin ve h^rp ddng, hoSc giao dich da diroc k^k^t hoc da dirge thgc hien trong nm vdi cong ty, cac cong ty con, cac cong ty ma con^ ty namquy^n ki6m soat cua thanh vien Hoi dong quan tri, thanh vien Ban ki^m soat, Giam doc (T6ng

Giam d6c), cac can b6 quan ly va nhirng ngirdi lien quan t^ cac doi tugng n6i trn.d)Vide thyrc hien cac quy ^inh v^ quan tri cong ty: (Neu ro nhung ngi dung chua thuc hi^^n duoctheo quy djnh phap luat v quan tri cong ty. Nguyen nhan, gidi phap va ke ho^ich kh^c phuc/ke

hoach tang cuong hieu qua trong hoat dong qudn trj c6ng ty.VI. Bao c^o t^i chinh1.Ykien kiem loan2.Bdo cdo tdi chinh dw<?c kiim todn (Bdo cao tai chinh n&m d& dugc ki^m todn bao gom: Bdng c^ndoi k^ toan; Bdo cdo k^t qua hoat dong kinh doanh; Bao cao lira chuyen tien tS; Bdn thuyet minhBdo cao tai chinh theo quy djnh phap luat ve kl toan va kilm toan. Trudng hgp theo quy djnh phaplu^t ve k^ todn vd ki^m toan, cong ty phdi lap Bao cao tai chinh hgp nhdt hoiic Bao cdo tai chinhtong hgp thi Bao cao tdi chinh trinh bay trong Bdo cao thirong nien la Bao cdo tdi chinh hop nhltdong th^^ti neu dja chi c6ng b6, cung cap bdo cdo tdi chinh cua cong ty me ho3c Bdo cao tai chinh

t6ng hgp hoac Bdo cdo tai chinh cua don vj k todn cap tren.

XAC NHAN CUA BA1 DI$N THEO PHAP LUAT COA CONG TY

2. Ho^t dOng giam s&t cua HDQT d6i vdi Ban Gidm doc:

Ly dokhongtham du

hop

Ty le thamduhpp

So budihop HBQTthamd^

Ngiy bitdiu/khong c6nli thinh vienHBQT

Chucv|i

6ng/Bi

Thanhvien

HBQT

Stt

II. H^i dong quan trj (Bao cdo 6 thkngtn^m:

1. Thong tin v€ thanh viSn Hoi d6ng quan trj (HBQT:

N^i dungNgiyS6 Nghi quyit/ Quyit dinhstt

-TSn c6ng ty niem y^t:

-Dia chi try s6 chinh:

-Dien tho^i;Fax:Email:

-V6n dieu 1^:

-MS chung khodn;

I. Hoat dgng cua Dai hoi dong cd dong

Thong tin vk cac cuoc hpp vk Nghi quy^t/Quy^t djnh c^a Dai h6i d^ng c6 dong (bao gom c^ c^cNghj quy^t cua Dai hpi d6ng c6 dong dinyc th6ng qua ducd hinh thuc liy y kien bkg v&n ban):

Ten c6ng tyCONG H6A XA HQI CHft NGHlA Vl^T NAMDc lap - Ty do - Hanh phuc

S6:, ngdy... thdng... nam ......

BAO CAO TtNH HINH QUAN TR| CdNG TY NIEM Y&T(6 thang/nam)

Kfnhgili: - Oy ban Ch^ng khoin Nh^ nu^e- S^ Giao djch Chung khoan

BAO CAO TINH HINH QUAN TRJ C6NG TY

li chu/Note: S6 Gidy NSH*: So CMND/Hq chiiu (d6i vdi cd nhdn) hodc S6 GCN dang ky doanhhiep, Gidy phep hoat d^ng hodc gidy tophdp ly Utong duang (ddi vox td chuc)/NSH:

Gh.nghiip,

L^do

quan

cd lidnngudicon 14khongdiemThdi

quan

co liennguot

diu iadiSm bitTh

lien heBia chichinh/ttu sdBia chi

NSHcap

noi

cap,ngay

NSH,GiaySi

CO)ty (nSut^i congChuc vu

(n^u c6)khoanchttnggiao dichkho4nTai

nhanChtrc/c4

STT Ten t6

2.Hoat dng giam sdt cQa BKS d6i vcri HDQT, Ban Giim doc di8u h^nh va c6 dong:

3.Sir ph6i hi?p hoat d^ng giira BKS d6i vdi hoat d^ng ciia HDQT, Ban Gi&m d6c diSu h^nh v^ caccdn bo quan ly khac.

4.Hoat d^ng kh^c c^a BKS (niu c6):

IV.Dao tao vl quan trj cong ty;

C^c khoa d^o tao v^ qu^n tri cong ty m^ cac thanh vi^n HDQT, thanh vien BKS, Giam d6c (T6n^

Giam doc) diu hanh, cac can bo qu^n ly khac v& Thu ky cong ty da tham gia theo quy djnh ve

qu^n tri cong ty:

V.Danh sdch ve ngu-^i co lien quan cua cong ty niem yet theo quy djnh tai kho&n 34 Dieu 6Luat Chnng khoan (Bao cao 6 thang/nam) va giao dich cua ngu-iri c6 lien quan cua cong ty vdi

chinh Cong ty1. Danh sach ve nguoi co lien quan ctia cong ty

L-f do

khdngtham dohop

T^ 16 thamdo hop

So bu6i hopBKS thamdo

Ngiy bftdiu/khdng c6n14 thanh viftiBKS

Ch4c vy

0ng/B4

Thtahvien BKS

Stt

III. Ban kilm soat (Bao cao 6 thang'nam)

1. Thong tin vh thanh vien Ban Kiem soft (BKS.

dungNpiNg4yStt Si Nghi quy^t/ Quyjt djnh

3.Hoft dpng cua c4c tiiu ban thudc Hoi d6ng qu4n tri:

4.C4c Nghi quyet/Quyit djnh ciia HQi ding quan tri (Bao cio 6 thftig/n4m:

4. Giao djch giita cdng ty vai cac doi tuang kh^c

4.1.Giao dich giua cong ty v6i cdng ty ma thanh vin HDQT, thanh vien Ban Kim soat, Gi^m doc(T6ng Giam d6c) di^u hanh d^ va dang i^ thanh vien sang lap hoiic thanh vi^n HBQT, Giam d6c(T6ng Gi^m d6c) &\hx hanh trong thoi gian ba (03) n&m trd lai day (ti'nh t^i th^^ti di^m lap bao cao).

4.2.Giao dich gi^a cdng ty vdi cong ty ma ngudi cd Ii6n quan cua thanh vien HBQT, thanh vinBan Ki6m soat, Gi^m ddc (T6ng Giam ddc) di^ hanh la thanh vien HBQT, Giam doc (T6ng Gidmddc) di6u hanh.4.3.Cac giao djch khc ctia cong ty (neu cd) co the mang I^ii l^i ich vt chdt ho^c phi vlt ch^t d6ivdi thanh vi^n HDQT, thanh vi6n Ban Kilm soat, Gidm d6c (T6ng Giam doc) dik hanh.

VI. Giao djch c6 phieu cua ngwoi n^i by va ngudi lien quan cua ngudi n^i b^ (B^o cao 6thang/nam.

1. Banh sach ngucri nQi bo va ngudi c6 lien quan cua ngudi n$i by

chiGhi

dichkhi giaophi^y saugie vhty 1| nSmS6 lupng,

djchgiao

diemThdi

ki6mso4t

nam

CTNYdocong tyty con,

T6n c6ngchiDja

noi capngay cap,

chieu,CMND/H6sa

CTNYvy taiChic

npi bpngudivdiQuan h

giao djchthuc MenNgudiStt

Ghi chu/Note: Sd Gidy NSH*: Sd CMND/Hq chiiu (ddi vdi cd nhan) hogc Sd GCN dang ky doanhnghi^^p, Gidyphep hoat ddng hodc gidy tdphdp ly twmg dxcang (ddi vdi to chitc)/NSH*:

3. Giao djch gida ngudi n^i bd cong ty niem ySt, ngudi cd lien quan cua ngudi n^i b vdi cdng tycon, cdng ty do cdng ty nidm y^t n^m quydn kidm soat

NotechiiGhi

djchkhi giaophieu sau

giu- c6tf I^ nlmSo lugng,

hanh)ngay banndu r6(nSu cd,thdng quaHDQT...DHDCD/djnh ciaQuyetquyt/So Nghi

tyvdi cdnggiao djchThdi diem

lien h?chiDjachinh/sdchi tryDja

NSHcdpnoi

dp,ng4yNSH*,Giiys6

cua nguoi noi by.

congty

quan vdihe lienM6i quan

individualnhanchuc/c4Ten t^STT

ngirdi not bo, nguoi CO hen quan2. Giao djch gifta cong ty v6i ngudi c6 Hen quan cOa c6ng ty; hoc gida cong ty vdi co d6ng Ion,

di ^i bli

CHU TJCH HDQT(Ky ten va dong ddu)

VII. Cac van de can liru y khac

L^ dotang,

giam(mua,

ban,

chuyendoi,thudng...)

T^1#s6 c6phieu

S6 c6 phieu sd h&ucuoi ky

Tyl?So c6phiu

S6 c6 phi^u so himdau ky

Quan h^vai ngucri

n^ib^

NguiMthirc hi6ngiao d|ch

Stt

2, Giao djch cua ngir^i n^i b v^ ngubi co lien quan doi v6i c6 phi^u cua c&ng ty niam yt

Ghichu

Ty le sdhllu c6phiu cu6iky

S6 c6phi^u sdhttucuoi ky

Dja chilien he

S6CMND/HOchieu,

ngay cap,noi cap

Chuc vytai cong ty

(nSu co)

T4i khoingiao dichchungkhoan

(neu co)

TSnngudico lien

quancua

ngudinoibo

(TSnngudinoi bo/

Htjten

2

1

Stt

Kinhgiii: - ty ban Chung khoin Nh4 nuic-So Giao djch Chung khoan-Cong ty dai chung

1.T6n nhi dau tu ci nhdn/td chic:

2.Niu la nha dju tu ca nhin:

-Nim sinkQudc lich

-S6 CMTNDfH^ chiiucdpngayIQi

-Nghinghiip

-Nai cu tru

3.Ncu 14 nha diu tu to chic:

-^o' chung nhgn 3&ng ky kinh doanh

-Nganh nghi kinh doanh

-Dfa chi

4.Dien thoai H6n h:Fax:

5.Ten ching khoin da tien h4nh mua/ban:

6.MS ching khoan (n^i ci):

7.S6 hieu t4i khota giao djch (n^u cd):T^i cdng ty ching khodn:

8.S6 luong c6 phicu da mua/bin:

9.Ng4y giao djch 14m thay doi ty 1^ si hiu v4 ii th4nh c6 ding lin.

10.Tin cia nguii ci liin quan dang n4m gii c6 phieu tten (neu ci):

11.M6i quan h^ cua nguii ci tiin quan vii nguii/ti chic th^c hiin giao djch:

Si:I, ngay ... thdng... nam...

BAO CAO Vt SO HtlTJ C*A CO BONG L6N

TSncongtyCONG H6A XA HQI CHU NGHIA VIET NAMDoc lap - Tu do - Hanh phuc

Phil luc so OSBAO CAO Vt S6 HffU CUA C6 B6NG L6N

12.So chi^^ig minh thir ho^c sd h^ chi^u (S6 chiing nhn ddng k$ kinh doanh n^u \k t6 ch^^c) ciiangiroi co lien quan:

13.Chfrc vy ciSa ngir^i c6 li^n quan hi^n nay tai to churc niem yit, d&ng 1^ giao dich (n^u c6):

14.So lu^ng, ty l^ co phieu ngirdi c6 lin quan dang nim gi&:

15.Ty le phan tr^m co phi6u n4m gi& ho^Lc cung ngudi c6 lin quan n^m gift sau khi giao djch trent6ng so co phieu dang luu h^nh:

Ngiroi b^o cao

(Ky, ghi r5 h^ ten)

Kinh giii: - \]y ban Chiing kho^n Nh nude-Sd Giao dich chiing kho^n-C6ng ty dai chiing

1.Thong tin v^ co d6ng s^ig lap th\rc hi^n chuy^n nhui?ng:

-Hp va t^n ci nh^n/T6n td chuc:

-Qu6c tich:

-So CMND, Ho chilu, Th^ c&n cudc (doi vdi c^ nhSn) ho^c So Gi^y chiing nh^n dang k^ doanhn^hi^p, Giay ph^p hoat dpng ho^c giay td ph^p ly tucmg ducmg (d6i vdi td chiic), ng^y cSp, ncri

cap.

-Bja eh! lien h^/Bja chl trp sd chfnh:

-Bi^nthoai:Fax:Email:Website:

-Chdc vy hien nay t^i cdng ty (nu cd:

-T^i khoan dang ky luu k^ chung khoan:

2.Tdn co phi^u/ma chiing kho^n giao djch;

3.Phuotig thiic thuc hi^n giao djch.-

4.S6 luong, t^ I^ cd phidu cda td chde/c^ nhn thyc hidn chuyen nhuprng nam giO Uudc khi th^chi$n giao djch:

5.Sd lupng cd phieu dang ky giao djch:6.Ten t6 chde/Hp vk tdn c^ nhfin nhn chuyen nhupng (*):

-Qudc tjch:

, ngay... thdng... n&m ..

THONG BAO GIAO DJCH CtlA CO DONG SANG LAP

CONG H6A XA HOI CHU NGHlA VI^T NAMDpc lap - Tir do - Hanh phiic

Phu luc so 06TH6NG BAO GIAO DICH CUA CO ©6NG SANG LP

-So CMND, H6 chiu, Th^ c3n cudc (d6i vdi ca nhan) hoSc So Giiy chtmg nhSn dang ky doanhnghiep, Giay phep hoat dong ho|c. giay td phap ly tucmg duong (d6i vdi t6 chirc), ngay cSp, noidp.

-Bia chi lien he/Bja chi tru sd chinh:

-Bienthoai:Fax:Email:Website:

-Chiic vy hi?n nay t^i cong ty (neu co):

-Quan he voi ngirdi thirc hi^n chuyen nhugmg (nSu co:

-T^ kho^n dang k^ luru k^ chiing khoan:

-Chue vu cua ngirdi co IiSn quan hi^n nay t^i cdng ty (neu co:

-S6 luong, t^ 1^ co phiSu ngirdi cd H^n quan dang nim gift;

7.So lugng, ty le c6 phi^u b6n nhn chuy^n nhu^ng n^m gift trudc khi thuc hien giao dich:

8.Thai gian dir kin thuc hien giao dich: tir ng^y .... d6n ngay....

(*): Trudng hap ngudi dugrc chuy^n nhugng khdng phii ia c6 ddng sng l^p, ngudi th^c hi^n giaodich phai gfti Nghj quy^t cfta B^i hO' ddng cd d6ng ch^p thu|n cho vi^c chuyln nhu^ng trSn.

CA NHAN/T6 CHtTC BAO CAO/NGlT6fI DlT<?C UY QUYEN CONG B6 THpNG TIN

(Ky, ghi ro kg ten, dong ddu - niu co)

Kinh guri: - tfy ban Chung khodn Nhd nude-Sd Giao dich chung khoan-Cong ty dai chung/ Cong ty qu&n 1^ qu^

1.Thong tin vi d nhta/t6 chile th^c hi^n giao djch:

-Hp v4 tSn ca nh^n/Ten to chile:

-Qu6c tjch:

-S6 CMND, H6 chi^u, Th^ cfa cudc (d6i vdi c4 nhta) hoSc So Giiy chilng nhan dang ky doanhnghiep, Giay phep hoat dpng hoac giay t6 phap ly tuong duong (doi vdi to chuc), ngay cSp, noi

cap.

-Dia chi lien he/Dia chi try sd chinh:

-DitathoqiFax:Email:Website:

-Chile vu hien nay tai c6ng ty dai chung, cong ty quan iy qu^ (n^u c6) ho^ic m6i quan h^ vdi c6ngty dai chilng, cong ty qu^n ly quy.

2.Th6ng tin v^ nguoi nOi bO cha c6ng ty dqi chdng/qu^ dai chung la ngucri cd lien quan cha cdnhan/to chile thyc hi6n giao dich (d6i vdi trudng hop ngudi thuc hi^n giao dich Id ngucri cd li^nquan cua ngudi npi bd ciia cong ty dpi chiing/quy dai chiing);

-Hp v^ t^n ngudi n0i b^:

-Quoc tjch:

-S6 CMND, HO chi^u, ThO cin cudc:

-Dia chi thudng tru:

-Dien thoai lien hp:Fax:Email:

-Chuc vy hi^n nay tai cong ty dai chiing, cong ty qu^n ly qu^:

-MOi quan hO giita cd nh^n/tO chuc thuc hi^n giao djch vdi ngudi nOi bO:

, ngay... thing... nSm...

ii

THONG BAO GIAO DICH CO PHlEU CUA NGUOl NOI BO CUA C&NG TY AI'CHUNG VA NGUOl CO LIEN QUAN CUA NGUOl NQl BQ'

Phil lye so 07THONG BAO GIAO DICH C6 PHIEU CtA NGlTdl NQl BQ

VA NGlrtJI C6 LIEN QUAN CUA NGUQl NQl BQCONG HOA XA HOI CHU NGHlA VIET NAM

fioc lap - To do - Hynh phuc

- S6 lirgng, ty |^ c6 philu/chfrng chl quy mi ngirfri nqi bp dang n^m gift (neu c6:

3.Ma chfrng khon giao dich:4.CSc tai khoan giao djch c6 c^ phi^u/chftng chi quy nSu t^i mpc 3:t^i c6ng ty chftngkhoan:5.S6 iircmg, t^ 1^ c6 phi^u/chumg chi qu^ nSm gift tnrdc khi th^c hin giao djch:

6.So lu^ng c6 phi^u/chirng chi quy dSng ky mua/ban/cho/du^c cho/tng/dir^c t^ngAhira kl/chuylnnhugrng/nhan chuyln nhui?ng/hoan doi.

7.S6 lir^fng, t^ l c6 phi^u/chftng chi qu^ d\r kiln nfim gift sau khi th^c hin giao djch:

S. Myc dich thuc hien giao dich:

9.Phuong thftc giao djch:10.Thfri gian d^ kiln thyc hi^n giao dich: tir ngay din ngay

CA NHANJT6 CHtTC BAO CAO/NGU*6fI DlTpC tTY QUYEN CONG B6 THONG TIN

(Ky, ghi ro hg ten, Song Su - niu co)

Kinh gfiri: - Uy ban Chiing kho^n Nha nirdc-S^ Giao djch chiing khoan-Cong ty d^i chiing/ Cong ty qu^n ^^ qu^

1.Th6ng tin ve c& nh^n/t6 chiic thyrc ht^n giao dich:

-Hp vk t^n c& nh^n/Ten t6 ch^^c:

-Qu6c tich:

-So CMND, HO chilu, The c&n cu6c (d6i v6i c nh^n) ho^c S6 Gi^^ chiing nhn dang ky doanhnghiOp, Gi^y phep hoat dong hoc gi^y to phap ly tuong duong (d6i voi t6 chirc), ng^y cap, noicap.

-Dia chi lien h?/D|a chi try s6 chinh:

-Di^nthoaiFax:Email:Website:

-Chiic vy hi^n nay tai cdng ty dai chiing, c6ng ty qu^n ly quy (neu c6) ho^c m^ quan he v^i c6ngty dai chiing, c6ng ty quan iy1 qu^:

2.Thong tin v ngirai noi bO ciia c6ng ty dai chung/qu^ dai chiing Ik ngucri c6 lin quan ciia cdnhan/t6 chiic thyc hien giao dich (d6i voi tnrcmg hap ngir^i thyc hien giao djch la ngirai co lienquan ciia nguai nOi bO ciia cong ty d^i chung/quy d^i chiing:

-Ho vk tSn ngudi npi bO:-Qu6c tich:

-S6 CMND, Ho chi^u, Th^ can cudc:

-Dia chi thirong tni:

-Di^n thoai lien hp:Fax:Email:

-Chiic vy hiOn nay tai c6ng ty d^i chiing, c6ng ty qudn 1^ qu^:

-M61 quan hO gi&a cd nhan/t6 chiic thyc hipn giao djch vdi ngudi nOi bO:

TH6NG BAO GIAO DICH QUYfeN MUA CO Pffl^^U CtlA NGUOl N0IBQ CtA CONGTY E>AI CHUNG VA NGUOl CO LIEN QUAN CUA NGU0I N0I BQ

, ngay... thdng... ndm

Phu luc so 08TH6NG BAO GIAO DJCH QUYtN MUA C6 Pffl^^UCUA NGtffrl NQI BQ VA NGUtH C6 LIEN QUAN

CONG HOA XA HOI CHU NGHiA VI$T NAMDqc lap - Tir do - Hank phuc

5.S6 Iuang, ty 1? cl philu/chirng chi qu^ nim gift trudc khi thirc hien giao djch quy^n mua, quy^nchuy^n d6i tr^i phieu thinh co phieu:

6.S6 lug^g quy^n mua ho^c s6 luong trii phieu chuyin d6i hi6n c6:

7.T^ IS thirc hi^n quy^n mua (d6i v6i giao djch quy^n mua) ho$c t^ 1| chuy^n d6i trai phieu thanhc6 phieu (d6i vdi giao djch trii phi^u chuy^n d6i):8.So lugng quyen mua (doi vdi giao dich quyln mua) hoc so luong trai phieu chuyin dli (doi v^igiao dich trai phieu chuyen doi) ding ky mua/ban/cho/du^c cho/tang/dugc ting/thira ke/chuylnnhuong/nhSn chuyin nhu^ng.

9.T6ng so luong co philu/chiin^ chi quy/trii phieu chuyin dli dir kiln nim giO sau khi th^c hi|nquyln mua hoic so iuqng cl phieu dir kiln nim gift sau khi chuyin dli trdi philu thinh cl philu.1

10.Phucmg thiic giao dich:

11.Thdi gian d^r kiln thirc hi|n giao djch: tr ngiydin ngay....

(*) La si cl phieu/chirng chi qu^CA NHAN(T6 CHlTC BAO CAO/dy kiln sg mua theo t^ le thuc hienNGl^^^fl BlfQC UY QUYfeN CONG B6quyln, vi dy: si quyln mua ihTHONG TIN1000, ty le thuc hi|n la 5:1 thi si(Ky, ghi ro ho ten, ddngddu - niu co)luyng cl philu/chung chi quy dykiln mua la 200).

- Si lirgng, t^ 1| cl philu/chirng chi qu^ m^ ngu^i n^i b| dang nim gitt (neu c6:

3.Ma chfrng khodn giao djch:4.Cdc tii khoin giao dich c6 cl philu/chirng chi quj^ nSu tai muc 3:tai c6ng ty ch^ng

BAO CAO Vt THAY BOl SO HUH CUA CO DONG L(JN

Kfnh giti: - Oy ban Chiing khofa Nhi nu6c-S6 Giao djch Chirng kho^n-C6ng ty dai chiing/ Cong ty qudn ^ qu^

1.Thong tin v6 ca nhan/t6 chile dau tvr

-Hp vi tta ci nhta/T^n t6 chirc d^u tit;

-Qu6c tich:

-S6 CMND, Hp chieu, The cSn cirdc (d6i v<5fi ca nhan) hoac S6 Gidy chiing nh^n d5ng ky doanhnghi^p, Giay phep hoat dpng hoSc giay to phap ly tuong ducmg (d6i vdi td chiic), ngay cdp, noidp.

-Dia chi lien h?/Dia chi try sd chinh:

-Di^nthoai:Fax:Email:Website:

2.Ngu^i c6 Iin quan ciia c^ nhan/t6 chiic dau tu (dang n4m giiJ cilng loai cQ phi^u/chirng chi quy);

-Ho va t6n ca nhan/T^n t6 chi>c c6 li&i quan;

-Qu6c tich:

-S6 CMND? H8 chi^u, The cSn cirac (doi vdi ca nhan) ho^c So Gidy chtmg nhSn dang 1^ doanhnghiep, Gidy phep ho^t dqng hoSc giay td phap ly tircmg dirong (ddi v6i t6 chuc), ngay cdp, naidp.'

-Chirc vu hien nay tai c6ng ty Ctgii chting/ c6ng ty qu^tn 1^ qu^ (ndu cd);

-Moi quan hS vdi cA nh^n/t6 chdc ddu tu:

3.T^n co phieu/chung chi quy/ma chung kho^n sd hftu:

4.C^c t^i kho^n giao dich cd chung khodn neutai muc 3: ...Tai cOngty chdng khofin:....

5.S6 luqng, ty 1^ c6 philu/chung chi qu^ ndm giQ trudc khi thuc hign giao djch:

6.S6 iuqng c6 phieu/chdng chi quy d mua/ban/cho/duqc cho/tSng/duqc t5ng/thua ke/chuyen

h/hd huyen nhu^ng/ho^n doi (lam ty 14 so huu co thay doi qua nguong m^t phdn tram

, ngay... thang... nam

Phu lucso 09BAO CAO Vt THAY 6l Sd HfU CtTA CO BONG L(5N

CONG HOA XA HOI CHU NGHIA Vl^T NAMBi/c lap - Tir llo - Hanh pliuc

7.So Iirgng, t^ 1 c6 phi^u/chung chl quy dong niim gift sau khi thirc hi^n giao dich:

8.S6 Iirong, ty 1^ c6 phi€u/chung chl qu^ ddng ma ngudi c6 lien quan dang n^m gift;

9.So lirong, t^ I c6 phieu/chnng chi quy dong cimg ngudi c6 lien quan nlm gift sau khi th^rc hi^ngiao djch;10.Lydothayd6isdhftu:

11.Ng^y giao dich l^m thay d6i t^ I? sd hftu:

12.Cac thay d6i quan trpng kh^c (n6u c6):

CA NHAN/T6 CHf C BAO CAO/NGIT6H mfQC tJY QUY^^N C6NG B6 THONG TIN

(Ky, ghi ro Hq ten, dong dau - neu co)

Kfnh g^i: - jy ban Ch^ng khodn Nhd nude-So Giao dich Chufng khodn-C6ng ty dai chung

1.Thong tin v c^ d6ng s^ng l|p th^c hi?n chuyen nhu^ng:

-Hp v^ t6n ca nhan/T^n t6 ch^c:

-Qu6c tich:

-S6 CMND, H chi^u, Th6 c5n cudc (d6i vdi cd nhdn) ho^c S6 Giiy chimg nh|n ddng ky doanhnghi^p, Giiy ph^p hoat dpng ho|c gidy t^ phap 1^ tuong duefng (d^i vdi t6 chiic), ngay cdp, ncricip.

-Dia chl liSn h$^^E)ja chi try sd chinh:

-Oi^ntho^iFax:Email:Website:

-Churc vy hi^n nay tati cong ty (neu co):

-Tai khodn d^ng k^ luu k^ chung khodn:

2.T6n c^ phi^u/m3 chung khoan giao dich:

3.Phuong thurc thyrc hin giao djch:

4.S6 lupng, t^ 1# co phieu ciia t6 chtrc/cd nhdn thyc hi^n chuy^n nhupng nSm gi& trudc khi thychien giao djch.1

5.Thong tin ve t6 chuc/cd nh^n nh^n chuyen nhupng:

-Hp vd tSn cd nhfin/Ten t6 ch^c:

-Qu^c tjch:

-S6 CMND, Hp chieu, Th^ cdn cudc (d6i vdi ca nhan) hodc S6 Gidy chung nhan ddng ky doanhnghiep, Giay phep ho^t dpng ho^c gi^y td phap ^^ tuong duong (d6i vdi to chuc), ngay cap, noicap.

Phu luc so 10BAO CAO KET QUA GIAO DJCH CUA C6 ©6NG SANG LAP

CQNG H6A XA HQl CHIJ NGHlA VI^T NAMD$c lap - Tir do - Hanh phuc

, ngdy... thdng... nSm..

BAO CAO M6T QUA GIAO DJCH CtTA C6 ©6NG SANG LAP

-Dja chi li&i h^/Sja chi try sd chinh:

-Bi^ithoaiFax:Email:Website:

-Chfrc vu hien nay tai cong ty (neu co):

-Quan h v^i ngtr^i thuc hin chuyen nhuong (neu c6):

-Tki kho^n d^ng ky luu ky chirng khoan:6.S6 lut^ng, t^ 1^ c6 phieu bSn nh^n chuyen nhir^ng n^m giiJ trudc khi thyrc hi^n giao djch:

7.S6 luong c6 phieu d^ng ky giao dich:

8.S6 lirgng c6 phi^u th^c hi^n giao djch:

9.S6 lugng c6 phiu ben chuy^n nhu^ng nSm gifl- sau khi thyc hin giao dich:

10.S6 lu^ng c6 phi^u b6n nh^n chuy^n nhuong n^m gifl sau khi th\rc hi^n giao djch:

11.Thdi gian thyc hien giao djch: tirngs-iydenng^y

12.L^ do khdng ho^n tit giao djch:

CA NHAN/T6 CHlTC BAO CAO/NGUtfl BlfQC UY QUYEN CONG BO THONG TIN

(Ky, ghi ro Hq ten, dong ddu - neu co)

Kinh gfri: - Oy ban ChOng khodn Nhd nude-So Giao djch chiing khoan-Cong ty dyi chiing/ Cong ty qu&n 1^ quj^

1.Thong tin v^ cd nhan/t6 chi^c th^c hiSn giao djch.1

-Hp va ten cd nhdn/Ten t6 chi>c:

-Qu6c tjch:

-S6 CMND, HO chieu, Th^ cSn cu^c (doi vdi cd nh^n) hoc SO Gi^ chiing nhSn ddng k^ doanhnghi^p, Gi^y ph^p ho^t dpng hoac gidy tO phap ly tircmg duong (d6i v6i to chiic), ngay cap, noi

cap.

-Dja chi liSn h?/Dia chi try s6 chfnh:

-DiOnthoaiFax:Email:Website:

-Churc vu hien nay tyi cOng ty dai chung, cOng ty quan ly quy (neu c6) ho^c m6i quan he vdi cOng

ty dyi chting, cong ty qudn ly quj;

-Chu'c vu tai cong ty dai chung, cOng ty qudn 1^ qu^ tyi ngdy dSng ky giao djch (nu c6:\k ngay khong cOn la nguai n6i bp hodc nguai co liOn quan ciia nguoi npi bp cua cOng ty dai

chiing, cOng ty qudn 1^ qu^:(neuro ly do) *:

*: Muc nay chi ddnh cho truang hop chica het thai han dang ky giao dich, doi tm^ng dang ky khongcon Id nguai ngi b^ hogc nguai co lien quan cua nguai n^i b^ cua cong ty dgi chung, cong ty quanlyquy.

2.ThOng tin ve ngirOi nOi bO cOa cong ty dai chung/qu^ dai chung la ngucri c6 IiOn quan cua cdnhan/t6 chiic thurc hien giao djch (ddi vdi truang hap nguai th^c hi^n giao dfch Id nguai cd lienquan cua nguai ngi bg cua cong ty dgi chung/quy dgi chung):

-Hp va ten nguai npi bp:

BAO CAO KET QUA GIAO DICH C6 PHIli^U CtlA NGUtfl NQl BQ CUA CONG TY B^ICHUNG VA NGUQl CO LIEN QUAN CtA NGlTQl NQl BQ

Phu lucso 11BAO CAO KET QUA GIAO DICH CO PHIEU CtlA NGlT^l NQl BQ

VA NGlT^^l C6 LliN QUAN

CQNG H6A XA HQl CHU NGHIA VI^T NAMDoc lap - Ty do - Hynh pbuc

, ngay... thdng... nSm

-Qu6c tjch:

-S6 CMND, H^ chiiu, Th6 cfin cudc;

-Bja chi thudng trt;

-Bien thoai lien h?:Fax:Email:

-Chiic vy tai cdng ty dai chung, cong ty qun ly quy t^i ng^y c^ nhn/ti chtirc n6u t^i myc 1 d3ngky giao dich:...

-Ch^^c vy hi^n nay t^i c6ng ty d^i chung, cdng ty qu^n 1^ quy.-

-M6i quan he gi&a ca nhan/t6 chi^c thuc hi^n giao dich vdi ngu^i nqi b<?/-S6 lucmg, ty 16 c^ phiu/chrng chi qu^ mk ngudi n^i b6 dang nSm giU (nu cd:

3.M3 chung khoan giao dich:

4.C^ct^ii kho^n giaodjch c6 c6 phi6u/chi>ng chi qu^ nSut^i myc3:t^i cdngty ch6ngkhoan.

5.S6 lupng, t^ 1$ c6 phiiu/chung chi qu^ nim gift tnr^c khi thyc hi?n giao djch;

6.So luong c6 phi6u/ch^^ng chi quy ding ky mua/ban/cho/du^c cho/tang/dw^c tang/thira k^/chuy^nnhuong/nhan chuy^n nhir^ng.

7.S6 lucrng co phiSu/chiing chi quy da giao djch (mua/ban/cho/dtrgc cho/tang/du^c tSng/thirak^/chuyen nhugng/nhan chuyen nhu^ng/ho^n d6i) ** .

8.S6 luong, ty 1$ c6 phieu/chiing chi quy n3m giu* sau khi th^c hi6n giao djch:

9.Phuong thirc giao djch:

10.Th6i gianthychi^n giao dich: ti^ngayd^nngay

** (Trong trudng hop khong th^cCA NHAN/T6 CHtTC BAO CAO/hi^n hit s6 lu<?ng dang ky, ngucfiNGUtd BlTgiC UY QUYEN C6NG B6 TH6NGn$i bo/ ngudi c6 lien quan ph^iTINgi^i trinh nguy^n nh^n.)(Ky, ghi ro h^ ten, dong dau - niu co)

Kinh gift: - Uy ban Chung khodn Nh nude-Scr Giao dich chiing khoan

-Cong ty dai chung/ Cong ty qu^n 1^ quy

1.Thong tin ve ca nhan/to churc th^c hi$n giao dich;

2.Hq v^ ten ca nhan/Ten to chiic:

-Qu6c tich;

-S6 CMND, H6 chi^u, Th^ c3n cu^c (doi voi ca nhan) ho5c S6 Gi^y chiim^ nhn d^ng ky doanhnghi6p, Gi^y phep ho^t d^ng ho^ic gi^y to ph^p ly tuotig duong (d6i vdi to chiic), ngay c^p, ncfidp.'

-Bia chi lien h6/Bja chi try s^ chinh:

-Bi^nthoaiFax:Email:Website:

-Chiic vy hien nay tai cong ty dai chiing, cong ty quan 1^ qu^ (n^u c6) ho^c m6i quan h^ vdi c6ngty dai chiing, cong ty quan ly quy;

-Chiic vu tai cong ty dai chiing, c&ngty qu^n ty qu^tai ngay dang ky giao dich(nlu co):vngay khong con la ngucri noi bo hoac nguoi co lien quan ciia ngudi n^i bO ciia c6ng ty d^ii chiing,cong ty quan ly quy:(neuro ly do) *;

*; M^c nay chi danh cho tnr&ng h<yp chwa hit thai hgn dang ky giao dich, doi tiayng dang ky khdngcon la ngiroi noi bo hoac nguai co lien quan ciia ngudi n^i b^ cua cong ty dai chiing, cong ty quanly quy/quy dqi chung).

2. Thong tin ve nguai noi bo ciia cong ty dai chiing/quy dai chung \k ngu^i c6 li^n quan ciia c^nhan/to chiic thuc hien giao djch (doi v&i trudng hap ngudi thuc hiin giao dich la ngudi co lienquan ciia ngudi n^i bo ciia cong ty dgi chiing/quy dgi chung):

-Ho v ten ngu^i n^i bp;

BAO CAO K^^T QUA GIAO DJCH QUYtN MUA C6 PHIEU CUA NGU* I NQIB0 CtAC6NG TY DAI CH^^NG, VA NGUQl C6 LIEN QUAN CUA NGU^l N0I B0

, ngay... thdng... ndm

Phu Iuc so 12BAO CAO KET QUA GIAO DICH QUYEN MUA C6 PEI&V CtJA NGtf^^ N0I 0

VA NGlTOfl CO Ll^^N QUAN

CQNG H6A XA HQl CHU NGHIA VI^T NAMB^e lap - T^ do - Hanh phiic

CA NHAN/T6 CHlTC BAO CAO/NGU"6fI Bl/QC UY QUY^N C6NG B6

THONG TIN(Ky, ghi ro hg ten, dong ddu - neu co)

** (Trong truong hop khong thychi|n hit so luong dang ky, ngudin6i bfi/ngudi co lien quan phdi giditrinh nguyen nhdn.)

-Qulc tich;

-S6 CMND, H chieu, The c&n ciroc:

-Biachithudngtru:

-Bien tho^i Ii6n h|:Fax:Email:-Ch^rc vy t^i cong ty dai chiing, cong ty qun ly qu^ tyi ngdy cd nhdn/tl chut; n6u tai muc 1 dangky giaodich;...

-Chtic vy hi|n nay tai cong ty dai chung, c6ng ty qun ly qu^:

-Moi quan h| gi&a cd nhdn/tl chtirc thyc hi^n giao dich vdi nguoi n6i by;

-S6 liryng, t^ 1 c6 phi^u/chimg chi quy ma ngir^i ni b^ dang n3m giii (n^u c6):

3.Ma chumg kho^n giao dich:

4.Cdc tai kho^n giao dich c6 co phieu/ch^ng chi quy neu tai muc 3: t^i c6ng ty chiingkhodn: 5.S6 lucmg, ty 16 c6 phieu/chung chi quj> nim gift tnrac khi giao djch tr^i phi^u chuyln d6i; quy^nmua co phieu/chiing chi quy, quyen mua tr&i phieu chuy^n d6i:

6.T^ I^ thyc hi6n quyen mua hoac ty le chuyen d6i trai phieu thanh co phieu:

7.S6 luang quy^n mua (doi voi giao dich quyen mua) hoac s6 Uryng trdi phi^u chuyen d6i (d6i v6igiao dich trai phieu chuyen d6i) d^ng ky mua/ban/cho/duyc cho/tang/duoc tang/thira ke/chuyennhuyng/nhan chuyln nhuong:

8.So luyng quyen mua (ddi vai giao dich quyin mua) hoac s6 lucrng trdi phi^u chuyln d8i (ddi v&igiao dich trdi phieu chuyin ddi thdnh co phiiu) da mua/ban/cho/duyc cho/tdng/duyc tdng/thuak6/chuy6n nhuyng/nhdn chuyin nhuong ** :

9.So luong co phieu/chirng chi qu^/trdi phieu chuyin dli dy kiln n^m giur sau khi thyc hi6n quylnmua hoac s6 luong cl philu dy kiln n^m giu sau khi chuyin dli trdi philu thdnh cl philu:

10.Phuong thuc giao dich:

11.Th^i gian thyc hien giao dich: tirngaydin ngay

(ghi ro cdc trvxfng hpp icu ddi neu co phot hanh)

Menh gia giao dich:Sin giao dich: (ghi ro HOSE, HNX, UPCOM, Bgi chung chua niem yit...)

Ngiy ding k^ cu6i cing: (ghi rd ngcty dang ky cudi cungphdi Id ngdy 1dm vi^c)

1. Lf do va mpc dich (ghi ro nhung npi dung thuc hi^n)-Thpc hiin l^y y kiin co ding bing van ban/tham dir dai hii ding co ding;-Thanh toan ISi, vin gic trii phiiu, gic tin phieu/Chi tri ci tic, lpi tic bang tiin/Tam ing

co tic, l(ri tic bing tiin;-Tri ci tic bang ci phieu, tri Ipi tic bing ching chi quj, tri ci phiiu thuing do thtrc hi?n

ting vin ci phan ti nguon von chu si hthi;

-Mua ching khoan;

V/v

..., ngdy..... Ihdng.,... nSm.

THdNG BAO(Vi ngiy ding k^ cuii cung di th^c hin quyin.....)

Kinh gin: Trung tarn Luu kj Chiang khoan Vi|t Nam

TSn T6 chic pMt hanh:

Ten giao dich:Trp si chinh:Bi8n tho^i:Fax:Chung toi thing bio den Trung tarn Luu ky Chung khoan Vi^t Nam (VSD) ngly ding kycu^i cung d^ lap danh sach nguoi si huu cho chung khoin sau:

Tin ching khoan: (ghiro Cophieu/Trdiphieu/chung chi quy Cong ty...)Mi ching khoan:

Lo^i ching khoin:- C6 phieu ph6 thing- Co phi^u uu dii biiu quy^t/hoin Igi/c^ tic...

tNTCPHC0NGHOAXAH0ICHUNGHlA VI^TNAMBqc lap - T^ do - Hanh phuc

So:

Phu luc so 13TH6NG BAO NGAY BANG KY CUOI CtlNG Bt THlfC HI|\ QUYEN

-Chuyiln doi trai phiu chuy^n d6i;-Hoan d6i c6 phigu, trai phiu cdngty, trai phieu chinh phd;-Thanh toan tien cho c6 dong khi doanh nghi^p gidi thk ho^c thanh todn ti^n cho ngudi sd

hdu chdng chi quy khi dong quy;2. Ni dung cu thS (ghi ro nhimg noi dung thtc hi^n)a.Thuc hien lay j5 kien co dong bang v&n bdn/tham da Sax hdi dong cS dong

-Tylethychifn:+ B6i v^i c6 phieu ph6 th6ng: lco phieu - 1 quy^n bi^u quy^t+ D6i vdi c6 phi^u iru d2i bi^u quy6t: 1 c6 phi&j - ....quy^n bi^u quy^t

-Thai gian thuc hien:

-Bja diem thyc hi$n:-N^i dung hop/liy ^ kin:b.Thanh todn tai, v6n g6c trdiphiiu, goc tin phiiu/Chi trd cS t&c, Iffi tire bang tien/T^m dng

co tac, loi tire bang tien

-T^ le thuc hi?n:

+ B6i vdi c6 phi^u: ....%/cb phiSu (01c8 phi^^u du^c nhandong)

(Trucmg hpp co logi co phieu iru dai co tac thx phdi ghi ro ty 1$ chi trd cua timg logi co

phieu pho thong vd co phieu au ddi co tire)+ Boi vdi chirng chi qu^/trai phi6u cfing ty: ....%/chung chi qu?/tr& phiu (01 chiing chi

quy/trdi phieu duac nhndong)-Ngay thanh to^n; (Ghi ro ngdy thanh todn co tire vd ngdy thanh todn co tdc nay phdi Id

ngdy lam vi^c)-B|a dilm thuc hien:

+ Boi vdi chung khon luu ky: Ngudi sd h&u lam thu tuc nhan c6 tdc /lgi tdc/lai, goc tr^i phi^u

cong ty t^i e^e Thanh vien luu ky nai md tai kho^n luu ky.

+ B6i vdi chdng khoan chua luu ky: Ngudi sd hflu 12m thd tyc nhn c6 tdc /lai tdc/12i, g6c trdi

phieu cong ty tai (ydo ede ngdy lam vi^c trong tudn hodc vdo ede ngdy trongtudn...) bat d^u tu ngay(ng^y nay phdi trung vdi ngdy thanh todn niu tren) v2 xuat

trinh chdng minh nhan dn.

c.Trd cS tdc b&ng cS phieu, trd I^i tdc bdng chdng chi quy, trd cb phibu thudng do tiurc

hi^n tang v6n cbphkn tie ngubn von chu sd hdu

-Ty I^ thuc hien:+ Boi vdi cd phiu ph6 thong:(Ngudi sd hdu t...c6 phiu duac nh^n....c6 phi^u mdi)

+ B6i vdi c6 phi^u uu dai:(Ngudi sd hdu ....co phi^u du^c nhan....cd phi^u mdi)

+ Boi vdi chdng chi quy:(Ngudi sd hdu ....chung chi quy dugc nh^in....chdng chi quy

mdi))-Phuong an I2m trdn, phuang 2n xd iy c6 phieu/chdng chi qu^ 1^ (n^u cd):

-Vf dy: (ghi rd mot vi d^ cu the trong do co cd x^ lyphdn le)-Bja diem thyc hien:

+ B6i vdi chdng khodn luu k^: Ngudi sd hfhi Idm thd tyc nhn c6 turc bang c6 phiiu/ci phiiu

thudng/lpi tdc bang chdng chi quy tai cdc Thanh vien liru ky nui md tai khodn luru k^.+ Bii vdi chdng kho^n chua liru ky: ngirdi sd httu l^m thil tyc nhan c6 tdc b3ng c6 phieu/c6

phieu thudng/lgi turc bang chung chi quy tyiv^ xu^t trinh chdng minh nh^n dan.d. Th^rc hi^n quyen mua cd phiiu

•So lu^ng chung kho^n dy kien phat h^nh:-Gia ph^t hanh:-Ty le thyc hi^n: (01 c6 phi^i duyc hudng 1 quy^n,quy^n dupe mua.c6 phi^u

mdi).•Phuong an l^m trdn, phucmg an xd ly co phieu 1^, phuong ka. xd ly co phiiu khong dat mua

het{niuc6):-Vf dy: (dua vidu cu thi)-Quy djnh vi chuyen nhuong quyin mua:+ Thdi gian chuyin nhuong quyen mua: Td ng^ydin ng^y+ Quyin mua dupe chuyin nhupng.... lin

-Quy djnh vi chung khodn dt mua:+ Thdi gian dang ky dt mua vk n^p tiin mua c6 phiiu: Td ngdydin ngdy

+ Chdng kho^n d^t mua la loyi ty do chuyen nhupng/han chi chuyin nhupng....

-Bja diem thyc hi?n:

+ B6i vdi chung kho^n luu k^: Ngudi sd hdu 1^m thd tyc chuyen nhupng quyin mua,dang ky dSt mua vk npp tiin d$t mua co phiiu tyi ede Thdnh vien luu ky noi md tai khodn luu

ky.+ Bii vdi chdng khoan chua luu k^: Ngudi sd hdu 1dm thd tyc chuyin nhupng quyin mua,

d3ng ky dat mua vk n6p tiin dat mua ci phiiu tai-Thdng tin vi tai khoan phong tod d$t mua chung khodn:

+ T6n chd tdi khoan:+ S6TK:+ NoimdTK:d. Thuchi^n quyin chuyen dbitrdiph'teu chuyin dSi-T^ 1 chuyin doi:(01 trdi phiiu dupe chuyin ddi thdnhci phiiu).-Phucmg dn lam trdn, phucmg dn xd 1^ trdi phiiu khdng chuyin ddi hit ho|c phin 16 (niu cd):-Vid .fdtravidycythi)

-Thdi gian dang ky chuyin dii: Td ng^ydin ngdy-Bja diim thyc hiyn:

+ Bii v6i chung khodn luu ky: Ngu^i sd h&u 1dm thii tyc chuyin dSi trdi phiiu tyi cdc

Thanh vien liru ky nd ma tai khodn luu ky

+ Bii v6i chung khodn chua luu k^: Ngudi sit hihi lam thii tuc chuyin dii trdi phieu tyi

e. Hodn doi co phiiu/trdi phieu cdng ty-Ty le hodn dii:+ Bii vdi c6 phiiu ph6 thong:(Ngudi sd h&u ...xi phiiu... du<?c nhan....co phiiu...)

+ E>6i vdi c6 phiiu uu dai:(Ngucri sis h&u ...x6 phi^u... dugc nh^n...x^ phidu ...)

-Phuong an lam tr6n, phuang dn xii ly co phieu le (neu c6):

-Vf dy: (dua vi du cu thS)-B6i vd chung khodn niem y^t/ddng k^ giao djch tr^n S^ Giao djch:

+ Ngdy hity niem yet tgi Sff Giao dich chung khodn:

+ Ngdy giao dich cuoi cung tgi So Giao djch chung khodn:

+ Bdt ddu tit ngdycd phiiu(ma chung khodn) khong con gid trj giao dich

mua ban vd chuyen nhugng tren thi trudng

-B^a diem thuc hien:

+ B6i vd chung khodn luu ky: Ngud sd h&u lam thu tyc hodn d6i c6 phiiu tai cdc Thdnh viSn

luu ky (TVLK) noi md tdi khodn luu ky.+ D6i vdi chung khodn chua luu k: ngu6i sd huu lam thu tyc hodn d6i c6 phiiu t^ivd xuat

trinh chung minh nhan dan.

g. Thank loan tien cho cd ddng khi doanh nghi^p gidi thi

-Ty le thuc hin:+ B6i voi co phiiu phi thong: ....%/ci phiiu (Olci phiiu dugc nhdnding)+ D6i voi ci phiiu uu dai: ....%/ci phiiu (Olci phiiu dugc nhdnding)

-Ngdy thanh todn: (Ghi rd ngdy thanh loan tien cho co ddng vd ngdy thanh todn tien

cho cd ddngphdi Id ngdy lam vi^c)-Bjadiimthyc hien:

+ Bii vd churng khodn luu k^: Ngudi sd h&u Idm thti tyc nhan tien tai cdc Thdnh viSn luu k^

(TVLK) noi mcr tdi khodn luu ky.+ Bii vd churng khodn chua luu ky: Ngud sd h&u Idm thu tuc nhan tien tyi(vdo cdc

ngdy Idm viic trong tudn hogc vdo cdc ngdy trong tudn...) bdt diu tu ngdy(ngdy ndyphdi

tritng voi ngdy thanh todn neu tren) vd xuat trinh churng minh nhan ddn.

Cong ty chung tdi cam ket dd thanh todn het cdc khodn no, cdc chi phi gidi the doanh nghip

theo quy dinh vd chiu hodn todn trdch nhi^m truoc phdp luat niu khiiu ki?n phat sinh do chuathanh todn cdc khodn no vd chi phi gidi thi cong ty theo quy dinh

h. Thanh todn tien cho ngudi sd h&u chung chi quy khi ddng qu$-Ty 1? thyc hien: ....%/chung chi quy (01 chung chi quy duqc nhanding)

-Then gian thuc hien: (Ghi ro ngdy thanh todn tidn cho cd ddng vd ngdy thanh todn tien

cho cd ddngphdi id 01 ngdy Idm vi$c)

* Tai lieu dinh kimGhi ro ten ede tai lieu phdi gui kem Thong bdo ditac quy dinh tai Diiu 10 Quy chi thr c hin quyencho nguai sa huu chung khodn (neu co) vd luu y phdi dong ddu gidp lai day dit ede tdi li^u dinh

kem

-Diadiimthuchiin:+ D6i vdi churng khodn luu k: Ngudi sd hOii lam thii t^c ntidn tiin t^i cdc Thdnh vi8n luu k^

(TVLK) nai ma tai khodn liru k+ Doi vdi chumg khodn chua luu ky: Ngu^ri sd hihi 1dm thu tuc nhan tien tai(veto edengdy lam vi^c trong tudn hoac veto ede ngdy trong tudn...) til ng^y(ng^y ndyphdi trimg

vox thai gian thytc hi^n neu trin) va xuat trinh chirng minh nh^n d^n.

C&ng ty chung toi cam ket d3 thanh to^n h^t cac kho^n n^f v^i c^c chi phi d6ng qu^ v^ chiu ho^tnto^m tr^ch nhiem truoc phap luat n6u khi^u ki?n ph^t sinh do chua thanh to^n ede khodn n^ vd

chi phi khi dong qu^ theo quy dinh

De nghi VSD lap vd gui cho Cong ty chung toi danh sdeh ngiriri so1 hun chirng khodn t^i

ngdy ddng ky cuoi cung neu tren vdo dja chi sau:

-Dja chi nhan Danh sach (bdn ciing):

-Dia chi email nhn file dd: lieu: (Ghi ro dia chi email cm TCPH trong tructng hpp TCPH

muon VSD gieifile die li^u Danh sdeh ngitdi sa hihi chung khodn)

Chung toi cam kit nhtrng thong tin ve ngtrdi set hihi trong danh sach se dir^rc sir dung

dung muc dich va tuan thu ede quy dinh cua VSD. Cong ty chung toi se hoan todn chju

trach nhi^m truffc phap luat neu c6 vi pham.

NGlT^^ ^^l DI|N PHAP LU^.T(chit ky, ho tin, dong ddu)