chi minh dfn 323.67:14static2.vietstock.vn/data/hose/2020/bcthqt/vn/quy 2/ssi... · 2020. 7....

ss TP. H6 Chi Minh, ngay 29 thang 07 nam 2020

Ho Chi Minh City, July 29, 2020

SO GIAO DICH CHUNG KHOAN TP Ho CHI MINH

DfN 323.67:14 Ngay: ...... k1 • /

Chuy6n:

Ltflih4sgj s6:

86/Ref: 1241/2020/CV-SSIHO VN: Ceing b6 Bao cat) tinh hinh wan Ui ceng ty 6 thang nam 2020 Re: Disclosing Corporate Governance Semi-Annual Report 2020

GONG 86 THONG TIN DISCLOSURE OF INFORMATION TREN C6NG THONG TIN Dipq TO' COA OY BAN ON THE STATE SECURITIES COMMISION'S

CHONG KHOAN NHA NU'OC VA SGDCK PORTAL AND HOCHIMINH STOCK TP.HCM EXCHANGE'S PORTAL

Kinh gepifTo: - Cly ban Ch6ng khoan Nha mac! The State Securities Commission - S6 Giao dich Chi:mg khoan TP.HO Chi Minh/ Hochiminh Stock Exchange - 56, Giao dich Chomg khoen Ha NO Hanoi Stock Exchange

Gang ty:

Organization name:

Ma chilling khoan:

Securitiy Symbol:

Dia chi tru so, chInh:

Address:

Dien thoai/Te/ephone:

Fax:

Nguti thut hien c6ng b6 th6ng tin:

Spokesman:

Chin Ai:

Position:

CONG TV CO PHAN CHUNG KHOAN SSI

SSI SECURITIES CORPORATION

SS!

SSI

72 Nguyen HuO, P. Ben Nghe, Quan 1, TP. H6 Chi Minh

72 Nguyen Hue, Ben Nghe Ward, District 1, HCMC

028-38242897

028-38242997

Nguyen Heng Nam

Nguyen Hong Nam

Ph6 T6ng Giarn doc

Deputy Chief Executive Officer

Loei theng tin c6ng b6 024 gite EL& thutng E theo yeti cau Fdainh ky

Information disclosure type 024 hours Dinegular Don demand )Fpen-odic

Nei dung Meng tin c6ng b6/ Content of information disclosure:

Bao cdo tint' hinh quan tri ceing ty 6 thang nam 2020 caa COng ty CO Olen ChUng khoan SSI.

The Corporate Governance Semi-Annual Report 2020 of SSI Securities Corporation.

Th6ng tin nay a flute cOng be ten trang Mang tin dien tO, cua C6ng ty vac) ngey 29/07/2020 tai dixong den www.ssi.com.vn.

This information was posted on SSI Website on July 29, 2020 at this link www.ssi.com.vn.

SSI SECURITIES CORPORATION WWW.SSI.COM.VN

ChUng t6i xin cam ket cac theng tin ceng 136 tren day truck phap Wet ye nOi dung cac theng tin da c6ng be.

la dung scr that va habil toan chju trach nhiem

The Company hereby declares to be responsible for the accuracy and completeness of the above information.

aut

GONG TV CO PHAN

CHLYNG KH

SSI

Dai di.n t6 chtlic

' nization representative

guyen ming bO th6ng ti o disclose information

Nguyen Hang Nam Ph6 T6ng Giant MSc

Deputy Chief Executive Officer

CONG TV CP CHONG KHOAN SSI SSI SECURITIES CORPORATION

CONG HOA XA HQ! CHO NGHTA VIET NAM Dec lap — Ty do — Ranh phtic

THE SOCIALIST REPUBLIC OF VIETNAM Independence — Freedom — Happiness

TP. HCM, ngdy 28 thang 7 am 2020

Ho Chi Minh City, July 28, 2020

BAO CAO TINH HINH QUAN TR! GONG TV MEM YET BAN NIEN NAM 2020

2020 SEMI-ANNUAL REPORT ON CORPORATE GOVERNANCE OF LISTED COMPANY

- Cly ban Chtimg khoan Nha mitc / State Securities Commission Kinh gePi/To. Giao dich Chung khoin TP. H6 Chi Minh / Hochiminh Stock Exchange - Set Giao dich Chtmg khoon Ha Nei / Hanoi Stock Exchange

Ten tong ty niem yet

Name of listed company

Dia chi try ser chinh

Head office address

Dien thoai/Te/

Fax

Email

Van dieu le

Charter capital

Ma chUng khoan

Security Symbol

M6 hinh c6ng ty theo Dieu 134.1.b Luat doanh nghiep

Company's model according to Article 134.1.6 of the Law on Enterprise

Nguti dei dien theo phap luat

Legal representative

: COW TV CO RI-IAN CHONG KHOAN SSI

SSI SECURITIES CORPORATION

72 Nguyen Hue, Phutng Ben Nghe, Quan 1, TP. H6 Chi Minh

72 Nguyen Hue, Ben Nghe Ward, District 1, Ho Chi Minh City

: (028) 3824 2897

(028) 3824 2997

: investorrelation©ssi.com.vn

: 6.029.456.130.000 Deng

: VND 6,029,456,130,000

: SSI

SSI

Gem Dal hell deng c6 dong, HOi Clang quail trj, Oy ban kiem toan vd T6ng giarn 66c

: Including General Meeting of Shareholders, Board of Directors, Audit Committee and Chief Executive Officer

: Ong Nguyen Duy Hung — Chu tich HOi den° quan tri

: Mr. Nguyen Duy Hung — Chairman of the Board of Directors

I. Hot Clang am NA (long c6 clang:

Activities of the General Meeting of Shareholders

Thong tin ye cac cuOc hop ve Nghi quyet caa Di hOi Hong cei Ong (bao gem ca cac Nghi guy& cua Dai hei &mg c6 deong &roc th6ng qua dtkei hinh that lay 9 kien bang van ban):

Information of meetings and Resolution of the General Meeting of Shareholders (including the Resolutions of the General Meeting of Shareholders adopted in the form of collecting written comments):

1

01/2020/N0-DHDCD 27/6/2020

S6 Nghj quyik

Resolution Ref. No.

NOi dung

Contents

Stt

No.

1

Nghl quyOt Dal hOi (long c6 tong ("ONOCO") thutng nien 2020 dm C6ng ty th6ng qua cac von de sau:

The resolution of 2020 Annual General Meeting of Shareholders of SSI ("AGM2020") has adopted the following issues:

- Th6ng qua Bao coo tai chinh nam 2019 de kiern toan, bao cao ket qua kinh doanh nam 2019 ye ke hoach kinh doanh nam 2020.

Approving the audited Financial Statements 2019, business results in 2019 and business plan in 2020.

- Thong qua Ke hoach phan ph6i lqi nhuan ndm 2019. .

Approving 2019 profit distribution plan.

Phe chuen thO lao cho toan 1)0 6 thenh vien HOi (Tong quail trj ("HOOT") kh6ng qua 3 t9 deng cho rift tai chfnh 2020 va giao cho HOOT viec Oen ph& thU lao.

Approving remuneration for entire 06 members of the Board of Director ("BOO" or "Board") not exceeding 03 billion Vietnamese Dongs for the fiscal year 2020 and assigning the BOD to distribute such the remuneration.

- Phe chuen tie xuat cOa HOOT va giao cho HOOT chon cOng ty kiem toan de kiem toan bao cao tai chinh cüa ceng ty trong nam 2020.

Approving a proposal of the BOD and assigning the BOD to select the firm for auditing the financial statements of the Company in 2020

- Thay 661 dia diem dat Try ser chlnh cue Gong ty

Changing of Head office location of the Company

- Thay Mica cOu t6 chac quer, ly C6ng ty, mien nhiem thanh vien Ban kiern soat ("BKS") do thay 861 co' cOu t6 chCrc quan ly; vá sCra 661, be sung Dieu le, Quy ché quan trj nOi 130 Cdng ty

Changing of the Company's organization structure, dismissal of Supervisory Board (aSB") members due to changing of the Company organization structure; and amendment, supplement of Company Charter and Intemal Regulations On Corporate Governance

Phtrang an phat hanh c6 phi& theo chwyhg trinh kra Glyn cho nguti lao dOng va üy quyen cho HDQT thyt hien cac cong viec lien quan

Plan for issuing shams under employee stock ownership plan (ESOP) and authorize to the Board to implement related works.

Ngay

Date

2

Stt S6 Nghj guy& Ngay NOi dung

No. Resolution Ref. No. Date Contents

Bu 6ng Nguyen Duy Hung, Ong Hironori Oka ve 6ng Nguyen Duy Khanh lam thanh vien FICA ding quer' al nhiem ky 05 nam ké tie ngay 27/6/2020.

Mr. Nguyen Day Hung, Mr. Hironori Oka and Mr. Nguyen Duy Khanh were elected as members of the Board of Directors for the tenure 05 years from June 27, 2020.

II. HOI deny quail ti (BAo cao Quart trj c6ng ty 6 thAng nem 2020) / Board of Directors (Corporate Governance Annual Report semi-annual report 2020):

/. Th6ng tin va thanh vien 1101 clang quart tri / Information of members of the Board:

Ong Nguyen Duy Humg, Ong Hironoki Oka va Ong Nguyen Duy Khanh het nhiem ky va duct bau lai theo Nghj guy& caa DFIDCD thutmg nien 2020 cua Cong ty vac) ngay 27/6/2020.

Tenure of Mr. Nguyen Duy Hung, Mr. Hironoki Oka and Mr. Nguyen Duy Khanh ended and they were re-elected on June 27, 2020 upon 2020 AGM Resolution.

Trong 06 thong dau nam 2020, HOOT a nen hanh 04 cuOc hop bang hInh thin ley 9 kien bang van ban:

In the first 06 month period of 2020, the Board has conducted 04 meetings in the form of collecting written comments:

1

STT 1

No.

Thanh v ien HDQT

BOD Members

OMIT vy Position

Ngay bat ' dau la thanh vien HDQT

(*) Membership Commence ment Date

Ngay khong con IA thanh vien HDQT

Membership End Date

S6 INA hop HOW tham dy, Meeting

Attendance

TY le tham du, hop

Attendance Frequency

L9 do kh6ng

tham du

h" Reason

for Absence

1

Ong Nguyen Duy Hung Mr. Nguyen Duy Hung

Chu tich Chairman 27/6/2020 4/4 100%

2

Ong Nguyen H6ng Nam Mr. Nguyen Hong Nam

Thenh vien Member

25/4/2019 4/4 100%

3

Ong Ng6 Van Diem Mr. Ngo Van Diem

Thant) vier) Member

21/4/2017 4/4 100%

4

Ong Pham Viet Mu6n Mr. Pham Viet Muon

Thanh vier, Member

25/4/2019 4/4 100%

5

Ong Hironori Oka Mr. Hironori Oka

Tharth vien Member

27/6/2020 4/4 100%

6

Ong Nguyen Duy Khanh Mr. Nguyen Duy Khanh

Thanh vidn Member

27/6/2020 4/4 100%

(*) tInh tit ngay thanh vien HOOT &rot OHDCD bAu cho nhiem k9 hien tai, nhiem ki thanh vier) HOOT cua c6ng ty tinh rieng cho thing thanh vien theo NO DHDCD khi duct bgu.

As calculated from election by the GMS until the current term; the Board member's term is calculated to each member under the respectWe resolution of the GMS.

2. Host dOng Om sat cUa HDQT d61 voi Ban T6ng Giant deo / Supervision of the BOD over the Board of Management (BOM):

- Chuan bike hoach kinh doanh nem 2020 trInh DHDCD thutng nien th8ng qua.

Preparing business plan 2020 to be submitted for the AGM's approval.

Kiem toan CrOc lap BAo cao tai chlnh nam 2019.

Conducting independent audit on the Financial Statements 2019.

chon Gong ty kiem toan.

Selecting the audit firm.

Tien tug day manh cac hoat dOng quail My& kigm soat rui ro.

Enhancing management and risk control activities.

Phat Men \fa hoan thien san phern dich vy chirng khoan phai sinh.

Development of securities derivatives trading service.

- Thut hien phat hanh va niem yet chi:mg quyen c6 bao dam.

Issuing and listing covered warrants.

Day menh cac hoat dOng ciao tao nOi bO.

Enhancing internal traning activities.

Tiep tuc cap nhat va nang cap he thong c6ng nghe th6ng tin phyc vg cac san phern kinh doanh meri caa c6ng ty va nang cao chat krang dich vu khach hang.

Continue updating and improving information technology system for the Company's new business products and enhancement of customer service quality.

RA soat he th6ng, bac) dam an toan, cha dOng pi-tong rUi ro.

Review the system; ensure safety and proactive risk prevention.

Chi deo Men khai thy° hien phat hanh c6 phieu tra c6 tut.

Dim cting implementation for issuance of shams to existing shareholders as stock dividend.

3. Host Ong cua cac tieu ban thu6c Hi clang quart tri /Activities of committees under the Board of Management:

HOOT de thanh 10p Tieu ban Chien krac Phat trien trin thuOc HOi Bong quail trj ngay 25/10/2019 va Ca hoe?' thien ca cau t6 chin, nhan vá quy the hoat dOng.

The Board has established Strategy and Development Committee under the Board of Directors from October 25, 2019 and has completed its organizational structure, personnel and operation regulations.

HOOT Ca chi djnh thanh vien HOOT dOc lap phi) trach Quan 19 nli ro vã Kigm toan nOi bo. MOt thanh vien lap bao cao hang thang ye hoat dOng cUa HOOT, at qua Om sat TGD gal cac thanh vien cüa HOi (Tong quan tri theo Dieu le cue Cong ty. Phan cong mOt thanh vien phy trach phát then nguen nhan krc, phat Man thi twang mit ngoai va quan l timing hieu.

The Board has appointed an independent member of the Board in charge of risk management and internal auditing. One (1) member prepares monthly reports on the Board's operation and supervision activities over CEO's operation delivered to all Board members under the Company's Charter. One (1) member is assigned to manage the development of human resources, overseas market and trademark management.

4

Oy ban Kiern toan hut thuOc HOOT duct thenh lap theo Nghi guy& OHOCD thutng nien ngay 27/6/2020.

The Audit Committte of the Board was established upon the AGM resolution dated June 27, 2020.

4. Cac Nghl quyitt cda Hdi denth quan trj (Bac, cao swan trj cdng ty 06 thang nam 2020) / Resolutions of the Board of Directors (Corporate governance semi-annual report 2020)

Trong 06 thang dàu ndm 2020, HOOT da th6ng qua 04 Nghi guyat tai 04 cuOc hop bang hinh thin lay y kien bang van ban 86 then khai cac guyat dinh cue DHOCEl cOng nhu, thut hien cac nOi dung khac thuOc tham guy& dm HOOT:

In the first 06 month period of 2020, the BOD has adopted 04 resolutions through 04 meetings in the form of collecting written comments to deploy GMS Resolutions and implement SOD tasks:

SIT

No.

Nghj guy&

Resolution

. Ngay

Date

Ndi dung

Contents

Binh thin

Form

1 02/2020/NQ-

HOOT 17/02/2020

Th6ng qua than khai thin hien Phining an phat hanh c6 phi& de tra c6 hit

Approving execution of the issuance of shares to existing shareholders as stock dividend

Lay y kien bang van ban / In the form of collecting written

2 03/2020/NO-

HOOT 27/02/2020

Gia hen thOfi gian t6 chin Del hOi clang c6 (Yang thutng nien nam 2020

Extending the deadline for the 2020 Annual General Meeting of Shareholders


3 04/2020/NQ-

HOOT 06/04/2020

Siza dai Nghi quyat s6 09/2019/NQ- HOOT lien quan don chao ban chUng guyen c6 bao dam

Amendment to Resolution No. 09/2019/NQ-HDQT related to covered warrant offering

Ley y kien bang van ban / In the form of collecting

4 05/2020/NQ -

HiDQT 02/06/2020

Th6ng qua chuvng trinh hop Bei hei Bong c6 Clang thutng nien nam 2020

Approving agenda for the 2020 Annual General Meeting of Shareholders


III. Ban kit= soat (Bao cao quan trj cong ty 6 thang nam 2020) Supervisory Board (Corporate governance semi-annual report 2020):

1. Thong tin ve thanh vier' Ban Kiem soat (BKS)

Information about members of Supervisory Board (SB):

Trong 06 thang dáu nam 2020, BKS Ca ben hard) 01 cuOc hop vao ngay 04 thang 3 nam 2020 vol sy tham gia day CO cue cac thanh vien.

In the first 06 month period of 2020, the SB has conducted 01 meeting on March 04, 2020 as attended by full members

5

STT No.

Thanh Wen BKS

SB Member

Chut vii (*)

Title

, Ngay bet deu la 1 thanh vien BKS

SB Membership Commencement

Date

Ngay kh6ng con la thanh

vian BKS SB

Membership End Date

S6 bu61 h9P BKS tham

dy, SB Meeting Attendance

T9 I§ tham dy, h9p

Attendance Frequency

14 do kh8ng

tham du,, h9p

Reason for

Absence 1 Nguyen

Van Khai Trutng

ban Head

25/4/2016 27/6/2020 _

1/1 100%

2 Deng Phong Wu

Thant.% yien Member 23/4/2015 27/6/2020 1/1 100%

3 Le Cern Binh

Thanh vien Member 20/04/2018 27/6/2020 1/1 100%

(*) finh ter ngay thanh vian BKS direr DHDCD bdti cho nhiOm h'en nhiOm ky thanh viOn BKS coa c6ng ty tInh ri6ng cho king thanh vian theo NQ DHDCD / As calculated from election by the GMS until the current term; the Supervisory Board member's term is calculated to each member under the respectWe resolution of the GMS.

Theo Nghj quygt DHDCD s6 01/2020/NQ-DHDCD, @HOOD ea thang qua thay di co. cau t6 chirc quan19 C6ng ty theo m6 hinh hog dOng c6 Oy ban Mem toan try,c thuec HOi (tong wan trj ya khang con BKS. °HOOD da mien nhiem thenh yien BKS aOl veti Ong Nguyen Van Khai, Ong DOng Phong Wu ye Be Le Cern Binh kg tir ngay 27/6/2020.

According to the Resolution No. 01/2020/lVQ-OHDCD, the GMS approved the change of the Company organization structure under the operating model with an Audit Committee under the BOO and no more SB. Therefore, at this meeting, the GMS dismissed members of the SB for Mr. Nguyen Van Khai, Mr. Deng Phong Luu and Mrs. Le Cam Binh from June 27, 2020.

Hog dOng giam sat cUa BKS d61 IBM HOOT, Ban T6ng Giant dgc ye c6 Tong

Supervision activities of the Supervisory Board over the BOD, BOM and shareholders:

- Thisc hien kiem tra, giam set yiec tuan thu phap lug, chap hanh Maul. c6ng ty vá thipc hien Nghj guy& cilia [MOOD cue HDQT, Ban Tong Gam dec trong 6 thang nem 2020.

Examination and supervision of compliance with laws and the Company's charter, and implementation of resolutions of GMS, BOO, and BOM in 6 months in 2020.

Gidm sat hoat Ong kinh doanh ye tlnh hinh tai chinh cue c6ng ty trong ky.

Supervising the business operation and financial status of the Company.

Gam sat hoat Ong cüa HDQT ye diet] hanh dm Ban TGO trong hoat Bong kinh doanh.

Supervising the management of SOD and operation of BOM in the business operation.

Them tra be° cdo tái chfnh tiger, nhet quy 4 nem 2019 cue C6ng ty.

Appraising of the financial statements of the 4Q in 2019 of the Company.

Danh gia hitt' qui hog Ong dm he thong quan trj nOi be thang qua yiec re soot cac boo cao cOa be phen kigm toan n0i130, kigm soat nOi be ye guan trj rai ro.

Assessing effectiveness of internal governance system through reviewing reports of internal audit, internal control and risk management departments.

Sy, ph& hop hog dOng gifea BKS del Ved h00 dicing die HDQT, Ban TOng Glom dOc va cac can be quart 19 khac / Coordination between Supervisory Board's operation and BOD, BOM and other managerial personnel:

Trong 6 thang du nam 2020, BKS nhen Chive str ph6i Nip chat che ye &roc tao diet.] kien thuen IgI de thin hien nhiern vy giant set cue minh phia HDQT, Ban Tong Gam d6c ye cac can be (van 19 die cang ty, th6ng qua yiec &roc cung cap day dO cac tai lieu, theng tin lien quan den tinh hinh quan trj c6ng ty, cac hoat Ong kinh doanh, firth hinh tai chinh cite citing ty.

In the first 6 month period of 2020, the Supervisory Board has had close coordination, and been

6

facilitated with advantages, to implement their supervision tasks from the BOD, BOM and other managerial personnel of the Company through being fully provided with documents and information related to the Company's management status, business operation and financial status.

4. Hot Ong khac ceia BKS / Other activities of the Supervisory Board: Kh6ng CO/None.

IV. Deo tao v titian tri Ong ty / Training courses on corporate governance:

Cac thanh vien HOQT, thanh vien BKS, Ban Tang Gam d6c, Gam d6c îãí chInh, Ke toan twang ye Thu, 4 c6ng ty dã hoar, thanh cac kh6a deo tao va quart trj c6ng ty va era Clint Oy ban ChOng khoon Nha nuerc cap ching chi theo guy Binh, ye se* tham gia day CM cac khea deo teo vI quan tn c6ng ty theo Ming quy djnh cQa phap Wet vã dm co, quan nhe nut c6 them guy& (net' c6).

The BOD members and members of Supervisory Board, Board of Managment, Chief Finance Officer, Chief Accountant and Company Secretary have completed the training course on corporate governance and have obtained regulatory certificates issued by the State Securities Commission, and hereby undertakes to fully participate in training courses on corporate governance in accordance with regulations and laws, and as required by state competent authority (if any).

Nguti phy tech quan Vi C6ng ty kiem Thu, ky C6ng ty de hoen tat Chtrang trinh ChUng nhan thanh vien HOi Hang quan trj Ian tit, 3 (DCP3) do Vier' Thanh vier' Hai Bong quer, tri Viet Nam t6 chtit thang 8/2019. The personnel in charge of corporate government and Company Secretary finished Director Certification Program 3 (DCP3) organized by Vietnam Institute of Directors in August 2019.

7

V. Danh each ye ngtvol c6 lien quan cUa cOng ty niem vat theo quy dinh ti khohn 34 Hillis 6 luat chumg khofin (Bao cao quan tn c8ng ty 6 thang nam 2020) va giao dich cUa nguti co lien quan cUa c8ng ty vai chinh c6ng ty / List of related persons of the listed company as specified in clause 34, Article 6 of the Securities Law (Corporate Governance semi-annual Report 2020) and transactions of related persons of the Company with the Company):

1. Danh each v4 n yid CO lien quan cüa can / List of

STT No.

Men Name of

organization / individual

TM khoon giao dich

chanty khoin bleu c6) Securities

transaction account (if

any)

Chao vy by! cong ty/M6I quan he veri

cong ty Position at the company

/ Relations with the company

Se Gay NSW

NSH No.*

Ten to chic/ca con NO). cep

Date of issue

Nal cep Place of

issue

Dia chi try sib chinh/ Dia chi lien he

Address

Thee diem bit diu la ngtred c6 Ilen quan

Commence ment date as

related person

Thbi diem ' Mang

la ngueri c6 lien quan End date as non-related person

Ly do

Reasons

1

NHAN

Nguyen Duy Hung

/ INDIVIDUALS

Chu tich HOOT kiem IGO Chairman of Board cum CEO

01/11/1999

Gay phep thanh lip doanh

nghiep ngay 30/12/1999 Business

establishment license dated December 30,

1999

2 Nguyen H6ng Nam

• Thanh vien FIDQT, Ph6 TOD, Ngued duvc ui

I

01/11/1999

GO), phep thenh lep doanh

nghlep ngay 30/12/1999 Business

establishment license dated December 30,

1999

quyen CBTT

Board member, Deputy CEO, Authorized person to disclose information

3 Ng6 Van Diem Thanh vier) FIDQT Board member 21/4/2017

Theo Nghi guy& s6 01/2017/NQ-

DFIDCD

According to Resolution No. 01/2017 / NQ-

DHDCD

4 Hronori Oka Khang cd Thanh vien HOOT Board member 23/4/2015

Theo Nghl quy&t so 01/2015/NQ-

DHEICE)

8

No.

Si-I. (nau nhan Name of

organization / individual

Tel khoin (goo dlch

charm Moan cal

Securities transaction account (if

any)

Chic vy tel ceing ty/M8I quan he y&I

c8ng ty Position at the company

/ Relations with the company

S6 Slay NSW

NSH No.

Ten t6 chic/ca con Nally cap Date of issue

Nal cap Place of

issue

Da chi try sae chinh/ Dia chi lien he Address

Thtol diem bit diu la ngutia c6 lien quan


related person

Thal dalm khang

la tritol na co -

lien quan End date as non-related person

Lk do Reasons

According to Resolution No. 01/2015/ NQ-

DHDCD

5 Nguyen Duy KWh Thanh vien HEM-

Board member 23/4/2015 1

Theo Nghj guy& s6 01/2015/NQ-

DHDCD , According to

Resolution No. 01/2015 / NQ-

DHDCD

6 Phein Viet Muein Thenh vien MOT

Board member 25/4/2019

Theo Nghl guy& s6 01/2019/81Q-

OHDCO

According to Resolution No. 01/2019 / NQ-

DHDCD

7 Nguyen Van KhAi

Trireing BKS

Head of Supervisory Board 25/4/2016

i

27/6/2020

Theo Nghj quy6t- . s6 01/2020/NO-

DHDCD According to


DHDCD

8 Deng Phong Lau Thenh vien BKS

Supervisory Board member

23/4/2015 27/6/2020

Theo Nghi guy& s6 01/2020/NQ-

DHDCD According to

Resolution No. 01/2020/ NQ-

DHDCD

9 Le dm Binh Thant) vier, SKS Supervisory Board

20/04/2018 27/6/2020 Theo Nghl spy& s6 01/2020/NO-

9

4.11 f. CR, CP

STT Ala

Tin t6 ch&c./ca nhAn

Name of organization /

individual

Tai khoan glao dich

cluing khoan (neu c6) Securities


any)

Chtic vu tai cong ty/Moi quan ht vo1

cling ty Position at the company

/Relations with the company

S6 Gay NSW

NSH No.•

Ngay cip Date of issue

Nal cip Place of

issue

related

Da chi try so. chinh/ (Naa chi lien he Address

Th61 diem bit diu IA nguel c6 116n quan


person

Thiii Mom kh6ng con la

"wwwl w 116n quan End date as non-related person

L9 do Reasons

member OHDC E , According to


DHDCD

10 Nguygn Thl Thanh Ha

Dian) cMc Tai chinh Chief Finance Officer

09/5/2005

11 Hokin TN Minh Thule

K6 toan trvifing Chief Accountant

24/3/2009

1

Gong ty TNHH Quin I9 qu9 SSI SS/ Asset Management (SSIAM)

Cling ty con 581 sd. him 100% 381100% owned subsidiary

I

03/8/2007

2

Qu9 au Kr thank viin SSI (SSI IMF) W I Investment Member Funds

C6ng ty con SSI sgi him 80% SSI 60% owned subsidiary

27/7/2010

3

C8ng ty 0u6c 16 SSI SS) International Company

KhOng co N/A

80% see hChi gian Hip th8ng qua SSI IMF 80% indirect ownership through SSI IMF

27/8/2009

4

Ging ty TNHH Diu tit NDH NDH Invest Limited Company

Chi sb him va Chu tich cia Ceing ty TNHH Diu kr NDH la Chi tich HDQT kiern TGD 551 Major shareholder of SSI; owner and Chairman of NDH is Board Chairman and CEO of SSI

06/1/2015

10

STT

No.

Ten t6 ch6m/cA nhan


individual

Tel khoan glao dtch

chOms khaki (neu cd)


any)

Chet yy ti song ty/M6I quan he yfrl

Ong ty

Position at the company /Relations with the

company

S6 Gil), NSW

NSH No. *

NA, eSp

Date of issue

Nal tip Place of

issue

Dia chi try se. chinh/ Dla chi lien he

Address

Th61 diem hit deu IA ng u•61 c6 lion quan


related person

Thivi dam kheina - con la

ngts64 to lien quan

End date as non-related person

L9 do

Reasons

Thanh vien HOOT SSI Nguyen Day Khanh deny th61 IA TGO NDH

Board Member of SSI, Nguyen Day Khanh, is General Director of NDH

5 Daiwa Securities Group Inc.

Cd dfing chien Ittqc dm gift It 10 Oen 10% von co quyen bleu guy& cesa SSI Strategic shareholder holding more than 10% of outstanding shams

30/7/2015

6

C6ng ty TNHH Bit Deng San Sal Gem Dan Linh

Sal Con Dan Linh Real Estate Limited Company

TV HOOT kiem Ph6 TGO SSI la Chu tich HDTV Sal Gen Dan Linh

Board member cum Deputy CEO of SSI is Board Chairman of Sai Con Dan Linh Real Estate Co., Ltd

22/9/2014

•

7

C8ng ty CP Tee doen PAN

The PAN Group Joint Stock Company

Chu tich MOT PAN la Chu tjch HOOT kiem TGD SSI

The Board Chairman of PAN is concurrently the Board Chairman cum CEO of SSI Thanh Wen HOOT 551 Nguyen Day Khanh clang thori la TV HOOT PAN

Board Member of SSI, Nguyen Day Khanh is Board Member of SSI

31/8/2005

11

STT No.

8

Tan t6 chat/ca nhan


individual

ETF SSIAM VNX50 (SSIAM VNX50 ETF)

TAI khan glao dlch

khoan (au c6)

Secutities transaction account al

any)

ChUc vu tal cony ty/M61 quart ht vai

COng ty

Position at the company / Relations with the

company

Ong Nguyen Duy Hung, Chu tich HDQT kiern TGD Gang ty CP Ching khoan Sal ding there la Chu tich SSIAM, can ty quan I Qug ETF SSIAM VNX80

s6 Gray NSW

NSH No.*

Ngay cop Date of issue

Nal cap Place of

issue

Da chi try sir chinh/ Dia chi lien he

Address

Thoi diem bat dau là ngtve4 c6 lion quan


related person

10/12/2014

Th61 diem kh6ng can la

nguel c6 lien quan End date as non-related person

26/5/2020

1.9 do

Reasons

Ong Nguyen Duy Hung

khang con la Chu hch SSIAM

U) ngay 28/5/2020

Ghi chfi/Note: - Sd Gig), NSW: SO CMND/1-10 chieu (ddi yen ca nhan) /mac SO GCN (fang ky doanh nghiap, Giey elide hopt clang hoc gis'y ta phap tinny during (Li vesi t6 chtk)

NSW: In case of individual: ID card/Passport Na; In case of organization: License of establishment and operation/Certificate of business registration/equivalents. Theo Nghi guy& s6 01/2020/NQ-DHDCD ngay 27/06/2020 cfia Doi hal dOng c6 dong COng ty C6 phen Chang khoan $SI, Dai hai clang 05 clang de mien nhiam Geo vi td thanh vier, Ban kiem soat, do COng 4, thay Li ca dui tO char sang me hinh thanh lap Oy ban kiem toan tnic thudc Hai dong wan hi, va khOng c6 Ban kiem soat. According to Resolution No. 01/2020/NQ-DH000 dated June 27, 2020 of AGM, all members of Supervisory Board were dismissed due to the change of the company organization structure. The company will establish an Audit Committee under the Board of Directors, and there was no Supervisory Board.

12

2. Giao dich cong ty veri nguti co lien quan ding ty; ho0c giiva cong ty veri c6 tong 16n, nguti nOi bO, nguti co lien quan nguseri nOi 130 •

STT

No.

I I Gil IOCIMPIJI I. annvrt.,.../,

Ten t6 chtic/cat nhan

Organization / Individual

um. ,nampusiy unu i usu..... Inn

M61 quan he Ilen quan vOri c6ng ty

Relationship

.2,, io, an' mail

S6 Oily NSW

NSH No.`

mcir.fil onui.inniatoroy

Ngay cip date of issue

NI cap

place of issue

un.,,,.. pw...m. “•••-• inwil

Dja chi try so chinh/Dja chi lien

he

Address

..-nu,,,,, VU,O.J110•

Th61 diem giao djch wag cony ty

(1) Date of transaction

S6 Nghl quyat/ Quy6t dinh caa DRIDCD/

HDQT thong qua Mau co, nou ro ngay ban

hanh) (2)

Resolution of GMS or SOD (if any, please

specify date of issuance)

1,6 ILK793, Li lit lictm

gi- phleu sau khi giao

d1ch1

Shams acquired

quantity and ratio after

transaction

Ghl chi (3)

Notes

1

Cong ty TNHH (Juan ly qu9 SSI

SSI Asset Management (SSIAM)

CON ty con SSI so' tin/ 100%

33/ 100% owned subsidiary

Theo bac ban dm *1 chlnh cOri CON ty/ According to Company's FS

S6 08/2017/NQ-HDQT ng 08/09/2017/ No ay . 082017/NCI-HDQT dated 08 September

2017

28,480

(0.005%)

2

04 Mu tr thenh Hen 551 (SSI IMF)

SSI Investment Member Funds

C6ng ty con SSI s& hCru 80%

55180% owned subsidiary

Theo bac ban cao tai chiral cfm C6ng ty According to Company's FS

S6 08/2017/Nt3-FIDQT ngay 08/09/2017/ No. 08/2017/NQ-HDQT dated 08 September

2017

0

3

COng ty TNHH Dau kr NDH

NDH Invest Limited Company

Chu sa/ hDu va Chu tjch dm Cony ty TNHH Dau hi NDH la Chu tich FIDQT kiem TOE) SSI

Major shareholder of 551: owner and Chairman of NDH is Board Chairman and CEO of SSI

Thanh vIen HOOT SSI Nguyen Duy Minh ding thol la TOE) NDH

Board Member of 551, Nguyen Duy Khanh, is General Director of NON

Theo bac boo cao tat chInh cua Cons ty

According to Company's FS

S6 08/2017/NQ-14E4T ngay 08/09/2017/ No. 08/2017/NQ-HDQT dated 08 September

2017

55,905,882 (9.272%)


CO d6ng chien Iwo Mm giCr h) le tren 10% von c6 quyen bleu guy& cull SSI

Strategic shareholder holding mom than 10% of outstanding shares

Theo cac ban coo tal chinh c6a Gang ty

According to Company 's FS

S6 08/2017/WQ-HDQT ngay 08/09/2017/ No. 08/2017/NQ4-IDQT dated 08 September

2017

118,294,620 (19.619%)

TV * dirge tinh trail 602.945.613 ca ptuau tuvng &tang 100% von diet' 10 tpi ngay 30/06/2020 am tong ty/ Ratio is calculated against 602,945,613 shares accounting for 100% charter capital of the Company as at 30 June 2020

13

'IL co? R ti

STT Na

Ton t6 chirc/ca nhan

Organization / Individual

Mel quan he lion quan %/cid cong ty Relationship

Se Glay NSW

NSH No.

Ngay cap date of issue

Nal cap place of issue

Dja chi try see chinh/Ola chi Ilan

Address

h$ (1)

Theft dlem glao dish v6•1 song ty

Date of transaction

S6 Nghl quyet/ given dinh clia DHDCDI

HEICIT thong qua (nou co, new rei ngay ban

hanh) (2)

Resolution of GMS or SOD (if any, please

specify date of issuance)

!,.6 luVP9. "am glik CO

°Mee sau • kill giao clichl

Shams acquired

quantity and ratio after

transaction

Ghl chi (3)

Notes

5

Gong ty TNHH Bet Deng San Sal Gen Dan Unh Sai Gon Dan Linh Real Estate Limited Company

TV HOOT kiem PM TOE) 8511A Chu tich HDTV Sal Gan Dan Unh

Board member cum Deputy CEO of SSI is Board Chairman of Sai Gon Dan Unh Real Estate Co., Ltd

Theo ono bao cao tAi chinh dm CEng ty


S6 08/2017/N1Q-HDOT ngey 08/09/2017/ No. 08/2017/NQ-HDOT dated 08 September

2017

35,326,713 (5.859%)

8

COng ty CP Tap doan PAN va cac cOng ty con The PAN Group Joint Stock Company and subsidiaries

Chi) tich HIDQT PAN IA Cha tjch HDQT Mein TOO 551 The Board Chairman of PAN is concurrently the Board Chairman cum CEO of SS/ ThAnh vIen HOOT 551 Nguyen Duy Khanh Clang that la TV HOOT PAN Board Member of $S!, Nguyen Duy Khanh is Board Member of SSI •

Theo cac bao cao tai chinh cila COng ty


S6 08/2017/N0-H19QT ngay 08/09/2017/ No. 08/2017/NCI-HOOT dated 08 September

2017

•

0

.

56 Guy NSH*: $e CMND/HO chi& (d6i veri ca nhan) halo S6 GCN efang k doanh nghi0p, Giay phop hopt Ong hoc giAy ter ;tap ly Stang duscmg (d61 vol t6 chic)/ NSH Note: NSH*: In case of individual: ID card/Passport No.; n case of organization: License of establishment and operation/Certificate of business registration/equivalents.

Day le cac giao dich ray ra thuetng Kuper, trong 6 thong dou nem 2020. Frequent transactions in 06 months of 2020

Nghl guy& s6 08/2017/NO-HOOT ngey 08/09/2017 °Oa HOi clang quart M C6ng 4, dã thOng qua cac giao dtch cung cap dich vy, mua clich vu, hop tea ved cac dei tee là c6 dOng Kin, nweri nOi be hoc nguei lion quan coo co &Mg 16n, ngueri nOi be có hick) lyc lei ter 'way ky den khi to Nghl guy& cue HOOT khac they the. Resolution No. 08/2017/NQ-HDQT dated 08 September 2017, of the Board of Directors of the Company approved transactions on service provision, service use, cooperation with partners as major shareholders, internal persons and their related persons, which take effect from signing date until replacement by other Board resolutions.

Chi that giao [Itch giCra cOng ty voi ngueri co lien quan cUe cang ty; hoec giOe cOng ty voi c6 *Ong lem, ngtheri nOi 60, ngued to lien quan oda nguel nOi b0 cho myc (Tech bao °So quart tff song 4, 06 thang du nam 2020 dã duos cony b6 trong ceic boo cao bii chinh quy I, quy II nam 2020 cOa COng ty. Details on transactions between the Company and its related, or between the Company and major shareholders, internal persons and their related persons for the purpose of Corporate Governance annual Report 06 months of 2020 have been disclosed in the Company's quarterly financial statements Q1, 02 in 2020.

3. Giao (HO gift nguti nOi 13t ceng ty niem yet, nguti co lien quan cUa nguti nOi v&i cOng ty con, cOng ty do cOng ty niem yet nem quyen kiem sok /Transaction between internal persons, related persons of the listed company and its subsidiaries, or the companies controlled by the listed company:

14

KhOng to / None

4. Giao dich giCka c6ng ty vol cac del tuvng khac: Transactions between the Company and other entities/individuals

4.1. Giao djch glen cOng ty v61 c6ng ty ma thenh \nen HOOT, thanh vier) Ban Ki4m soat, Glom disc (Tong Giam d6c) di& hanh dã A Clang la thanh vier) sang lap hoac thenh vier! HBQT, Gam 66c (T6ng Gam d6c) Mau hanh trong thdi gian ba (03) nam tth lai day (tInh tai theri 614m lap boo cao)/ Transactions between the Company and the company that the Board members, the Supervisory Board's members, Director (CEO) has been a founding member or members of board of directors director CEO in the most recent three 03 ears calculated at the time of making this report)

STT

No.

Tan t6 chticka nhan

Organizations/Individuals

Mai quan hi)

Relationship Glao dich

Transactions

S6 Nghl quy6t/ Dulcet dinh cila °HMO/ HOOT thong qua (ndu

to, neu ro ngay ban Myth)

Resolution of GMS or BOO (if any, please specify date of

issuance)

Ghl chi,

Note

1

Deng ty CP Tap Boar/ PAN va cac ang ty con (bao gem a CTCP Xudt nhap khdu ThOy sin Ban Tre, Cana ty C6 phan -Mile pham PAN (PAN Food JSC), COng ty co ;than Phan ph6i hang lieu dung PAN (PANCG))

The PAN Group Joint Stock Company and subsidiaries (including Sentra Aquaproduct Import and Export Jsc., PAN Food Jsc PANCG)

ChO loll HOOT PAN la Chu lich HOOT kiem TOO . SSI, thanh vien HOOT PAN la thanh vien HOOT cua SSI

The Board Chairman of PAN is concurrently the Board Chairman cum CEO of WI; the Board Member of PAN is the Board member of SSI

Chi ti6t giao (doh dã Mtge cpng b6 trong ode bao cao tai chinh quy I, quy II nain 2020.

Details of transaction have been disclosed in financial statements Ql, Q2 in 2020.

08/2017/NO-HOOT ngay 08/09/2017

08/2017/NQ-HDQT dated September 08 2017

2 ng Cd ty TNHH Dau U' NDH


ChO set him van va Chi) Pch dm Con° ty TNHH Deu I', NDH la Chu tich HOOT kiem TOO SSI, va T6ng Om 66c cOa NDH la thanh vien MOT elm SSI

Owner of ND/-I is Board Chairman and CEO of SSI, and General Director of NDH is Board Member of $SI

Chi tiet giao dich 0 duces cOng b6 trong cac bdo cdo tai chinh qui, I, quY 11 nam 2020.

Details of transaction have been disclosed in financial statements Q/. 02 in 2020.

0512017/NO-HOOT ngay 08109/2017


3 Ong San Sai Gon Dan Linh COng ty TNHH Bat D

Sai Gon Dan Linh Real Estate Limited Company

TV HOOT kiem Ph6 TOO SSI la ChO Soh HOW va la thanh vien Op 75% von dieul0 caa Cang ty TNHH Bet Ong san Sal Gen Dan Linh

Board member cum Deputy CEO of 551 is Board . Chairman and the member contributing 75% charter capital of Sai Gon Dan Linh Real Estate Company Limited

Chi tiat giao dich dã duce cOng bd trong cac bao ao lei chinh quy I, quy II nam 2020.

Details of transaction have been disclosed in financial statements 01, 02 in 2020.

08/2017/NO-HOOT ngay 08/09/2017

08/2017/NQ-110QT dated September 08 2017

4 Daiwa Securities Group Inc. va cat cang ty con

Daiwa Securities Group Inc. and subsidiaries

Thanh vien HOOT cOa 5511a thanh Wen HOOT hodc TOO cOa Daiwa Securities Group Inc. va d ty m c6ng con

Boad Member of SSI is Board Member or Director of Daiwa Securities Group Inc. and subsidiaries

Chi at giao dich da &roc cOng b6 trong cdc bao cao tai chinh quY I, q4II ram 2020.


08/2017/NO-HOOT ngay 08/09/2017


15

4.2. Giao dich giCra c6ng ty vbi c6ng ty ma ngireri a) lien quan ca thanh vien HDQT, thanh vien Ban Klein soat, Gam d6c (Tong Giam doc) Bleu hanh la thanh vien HDQT, Giam deic (T6ng Giam 66c) (lieu hanh: Transactions between the Company and the company that related persons of the Board members, the Supervisory Board's members, Director (CEO) is a member of board of directors, director (CEO)

STT No.

Tin ta chatka nhan Organizations/Individuals

Mil quan hi) Relationship

Gran djch Transactions

36 lighl quyeti Quyet dint' Gila OHDCD/ HDQT thing qua (niu c6,

nit' ni ngiy ban hanh) Resolution of GMS or BOO (if any, please specify date of issuance)

Note

IS G chi

1 Gang ty CP Tap (loan PAN

The PAN Group Joint Stock Company

Chu tich HOOT PAN IA Cher tich MOT kiam TGD $51, thanh glen HOOT PAN la thanh vien HOOT dm SSI

The Board Chairman of PAN is concurrently the Board Chairman cum CEO of SSI; the Board Member of PAN is the Board member of 551

Chi get giao etch cla ducyc gong b6 trong cac bao cao tal chInh guy I, quy II nam 2020.

Details of transaction have been disclosed in financial statements Q1, Q2 in 2020.

HOOT ngay 08/09/2017


2 Ceng ty TNHH Oki tlY NDH


Chi) so, hi'ku von Dia COng ty TNHHOAu by NDH IA ChO tich HOOT Um TGD 551, ya T6ng giam 16c dm NDH la thanh vien HOOT dm SSI

Owner of NDH is Board Chairman and CEO of 551, and General Director of NDH is Board Member of 551

Chi tiet giao dich da &Foy cOng b6 trong cac bao cao tai chinh quy I, quy II nam 2020.


HOOT ngay 08/09/2017

08/2017/IVQ-HDOT dated September 08 2017

3

Cong ty TNHH Bet DOng San Sal Con Dan Linh ; Sai Gon Dan Linh Real Estate Limited Company

TV HOOT Kier' Pit TGO SSI IA Chi) tich HDTV vANIHAHthAnh vien gap 75%. van di& li dia COng ty

T 13at Ong san Sal Gan Dan Linh

Board member cum Deputy CEO of SSI is Board Chairman and the member contributing 75% charter capital of Sal Gon Dan Linh Real Estate Company Limited

Chi net giao dich Ca (Urge cOng b6 trong cac bao cao tai tai chinh quy I, quy II nam 2020.

• Details of transaction have been disclosed in financial statements 01, 02 in 2020.

ngay 08/09/2017


4 Gong ty TNHH Mat thinh vien Nguyen Sal Gon

Nguyen Sal Gon Limited Company

Ch0 Usti C6ng ty TNHH MTV Nguyen Sal Gan la em najt dm ChO tich HOOT kiln TOO SSI

The Chairman of Nguyen Sal Gon Company Limited is brother of the Board Chairman cum CEO of SSI

Chi fiat giao cgch a &eve alio b6 trong cac bao cao MI chinh guy I, quy II rift 2020.

Details of transaction have been disclosed in financial statements Q/. 02 in 2020.

FOOT ngay 08/09/2017

08/2017/NQ-1-10QT dated September 08 2017

5 CTCP Thvc pharn PAN

PAN Food Joint Stock Company (PAN FOOD JSC)

Ch0 tch HOOT PAN FOOD JSC clang Mel IA Chi) tch HOOT kiern TGD $SI

Board Chairman of PAN FOOD JSC is concurrently the Board Chairman of SSI

Chi fiat giao djch Ca clugm cong b6 trong tic bao cao tai chinh quY I, qu9 II nim 2020.


6

CTCP Phan ph& hang Nu dung PAN

PAN Consumer Goods Distribution Joint Stock Company (PANCG)

Ch6 tich HOOT PANCG clang thin la Chi) tich Chi not giao djch di &rot cong b6 trong dm bao cao tai chinh quy I, guy II nam 2020.


e HOOT kim TGD $SI

Board Chairman of PANCGis concurrently the Boar i d Chairman of SSI

16

STT

No.

Ten to chOmIca nhan

Organizationsfindividuals

MM quan tit

Relationship Giao dich

Transactions

S6 NgII quyou Quyet dInh Ma DHOCD/ HDQT thOng qua (neu co,

neu ro nay ban hanto

Resolution of GMS or SOD (if any, please %bed& date of issuance)

Ghl oho

Note

7 CTCP CO phe Golden Beans

Golden Beans Coffee Joint Stock Company

Cher licit HOOT CTCP Ca phe Golden Beans (Ong theri la CM bon MOT kiem TGD SSI

Board Chairman of Golden Beans Coffee Joint Stock Company is concurrently the Board Chairman of 551

Chi ti6t giao eh da duct cang b6 trong cac bao cao tai chinh gm) I, quji II nam 2020. I Details of transaction have been disclosed in financial statements Q/, Q2 in 2020.

4.3. Cac giao dich khac ctia ding ty c6 th6 mang lai Ii Ich vat chat hoc phi vat chat 661 v&i thanh vier' HDQT, thanh vian Ban Kiam sodt, T6ng Clam 66c dieu hanh: Kh6ng c6 Other transactions of the Company causing material or non-materials benefits for the Board members, the Supervisory Board's members, CEO: None

17

VI. CIAO D1CH CO PHIEU COA NGLYOI NOI BO VA NGLPOI LIEN QUAN COA NGUlf71 NO1 BO (SAO CAO QUAN TR! CONG TV 06 THANG BALI NAM 2020): Transactions of internal persons and their related person (Corporate Governance semi-annual Report 2020)

1. Danh sach nguti nt)i 130 ye ngtvol c6 lien quan cUa ngutfi nOi bt): List of internal persons and their related persons

No. 511' nhen

Ten t6 chtic/ca

Organizations/Mdivi duals

TM khoan glao dich

chum:, khoen (lieu cal Securities


Chem vy ti cOng ty Mau c6) Title in the

Company (if any)

S6 MIND/ mow ID Number/

Business Registration

Number

Ngey cep CMND/ E1KKD

issue Date of

Nal cep CMNDIDKKD Place of issue

any) internal

Dia chi Address

s6 c6 phIgu se. him cuell

Biqa Number of

shares owned at the end of the period

Tic Is tuk tau

c6 ph.lou

1o1 cu81 Percent age of share

owners hip at

the end of the period

Ghl oho (Quan hg

v- - „Ai

d8ng rigl by)

Note (relationsh

ip with

share/mid era)

1 Nguyen Duy Hang

Chu tich HDQT Mem TGD Board Chairman cum CEO

10,209,044 1.693%

1.1 Le TM My Kh6ng / No 0 0 w lMfe

1.2 Nguyen Duy Khanh Thank vien HDQT Board member

. 1044,000 , 0.173% . Con

Son

1.3 Nguyen Duy Linh Khong / No 0 0 Con Son

1.4 Nguyen Thi Lien Khong cd / No Kh6ng / No 0 0 MB Mother

1.5 Nguyen Thi Van Yen Khong có /No Ktiong /No 0 0 Em

Sister

2 T9 10 duqc tinh ken 602.945.613 c6 phieu tuang Huang 100% van (lieu 10 dm Gang ty/ Ratio is calculated against 902.645.613 shares accounting for 100% charter capital of the Company

18

STT No.

Ton ei ch&c/ca nhan

Organizations4ndivi duals

TM khoan glao dich

chump khoan (n6u co) Securities


any)

Chin Ai 41 ding ty (n6u co) Title in the

Company (if any)

S6 CMNDI OKKD

ID Number! Business

Registration Number

Ngay cap CMND/ OKKD Date of issue

Nai cap CMND/ DKKD Place of issue

Dia chi Address

se et. phleu sdr htku eu6I

kse

Number of shams

owned at the end of the period

T 10 sot hum

c6 phieu

eu6I ky Percent age of share

owners hip at


Ghi che (Qum ha

. . yen c6 do n ni 9

be) Note

(relationsh

th with internal

sharehold era)

1.6 Nguyen Heng Nam

Thanh yien HDQT, Pito TGD, Navel dupe u9 quyen cOng be cling tin Board member, Deputy CEO, Authorized person to disclose information

2,436,000 0.404% Em

Brother

1.7 Nguyen Manh Hung Kheing / No 5,800,000 0.962% Em Brother

1.8

Cang ty TNHH Dau lui NDH NDH Invest Company Limited

Kheing/ No 55,905,882 9.272% Ch0 sat

Isiu Owner

1.9

CTCP Tap /Man PAN The PAN Group Joint Stock Company

Khong/ No 0 o CT HiDQT

Board Chairman

1.10

CTCP Th9c phalli PAN PAN Food Joint Stock Company (PAN FOOD JSC)

Kh8ng/ No 0 0 CT HDQT Board Chairman

1.11

CTCP Phan ph6i hang tieu dung PAN PAN Consumer Goods Distribution Khang/ No 0 0

CT HDQT Board Chairman

Joint Stock Company (PANCG)

1.12 CTCP CA pit Golden Beans Golden Beans

Kheing/ No 0 0 CT HIDQT Board Chairman

19

VC\ a 4.-• I il

STT No.

Ten t6 chircke Mien

Organizationsandivi duals

Tel khoin glao (Soh

chums khoin (Mu c6) Securities


any)

Chin v‘i Hil Ong ty (nitu ce) Title in the

Company (if any)

S6 CMND/ OKKD

ID Number! Business

Registration Number

Ngay cap CMND/ DKKD Date of issue

Nol cap CMND/ OKKD Place of issue

Ola chi Address

s6 c6 phial' SOphiou

him cu6I ks,2

Number of shams

owned at the end of the Period

Ts,19 see hum

c6

cuoi kj. Percent age of share

owners hip at


Ghl chO (Chian he

ved cit dOng n01

be) Note

(relationsh ip with internal

share hold ers)

Coffee Joint Stock Company

2 Nguyen H6ng Nam

Thanh %glen HOOT, Ph6 TOD, Ngmbi ductc uY quyAn CBTT Board member, Deputy CEO, Authorized person to disclose information

2,436,000 0.404%

2.1 HO Thi Thanh Van Kh8ng / No 0 0 Vcr Wife

2.2 Nguyen HO Linh Dan Kh6ng c.6 / No Kh8ng /No 0 0 Con

Daughter

2.3 Nguyen Ha Khanh Lint' Kh6ng co / No Meng /No 0 0

Con Daughter

2.4 Nguyen TN Lien Kh8ng co / No KhOng / No 0 0 M? Mother

2.5 Nguyen Duy Eking

Chu tich HOOT Idern TGD Board Chairman cum CEO

10,209,044 1.693% Anh

Brother

2.6 Nguyen Thi Van Yen Khong cat No Khdng /No 0 0 Chi

Sister

2.7 Nguyen Manh HOng Meng / No 5,800,000 0.962% Em

Brother

2.8

CON ty TNHH Bit Ong sin Sai Gen Dan Linh Sai Con Dan Linh Real Estate Company Limited

KhOng/ No 35,326,713 5.859% Chil mi

hem Owner

20

S17 No.

Ten th chfrc/ca nhan


TM khan giao dich

cluing khoin Mau 66)


any)

Chin vu 41 c8ng ty (au 66) Title in the

Company (if any)

S6 CMND/ OKKD

ID Number/ Business

Registration Number

Nally cap CMND/ DKKD

issue Date of

Nal cap CMND/ DKKD Place of issue

Ofa chi Address

s6 G6 phlau s6, him cuifil

892 Number of

shams owned at the end of the period

T9 10 s& hiru

c6 phlau

cu81 ky Percent age of share

owners hip at


GM chi. (Quan hi)

vol G6 clang nai

b0) Note

(relationsh . tp with i nternal

sharehold ers)

3 Ng6 Van Diam Thanh vial) HOOT Board member

208,800 0.035%

3.1 MTN Minh 4 Khong / No 0 0 VP. Wife

3.2 Ng8 Anh Thu, Khan° / No 0 0 Con Daughter

3.3 N98 Anh Lidm Kheng co / No Khan° / No 0 0 Con Son

3.4 Bui TN Nham Kh8ng có/ No Khang (No 0 0 Mc

Mother

3.5 Ng8 TN Hoan Khania co / No Kh8ng / No 0 0 Chi

Sister

3.6 Ng6 TN Rang Kh6ng ch /No Kheing I No 0 0 Em

Sister

3.7 Ng8 Thj Dung Khang co /No KhOng I No 0 0 Em Sister

3.8 Ng6 Van Dinh Khang co /No Khang / No 0 0 Em Brother

3.9 Ng6 Thj Lkru Khang 66 / No Khang / No 0 0 Em Sister

4 Phalli VIM Mu6n Thanh vlan HOQT Board member

92,800 0.015%

4.1 Pham TN Gal Khang / No 0 0 N.rq

Wife

4.2 Priam Binh Tnyong Kh8ng cd (No Khong / No 0 0 Con Son

4.3 Pharr Kim Ngdn Kh6ng co / No Kh8ng /No 0 0 Con Daughter

21

$TT No.

Ton t6 chock* nhan


TM khoan giao dich

chilms khoin (n6u c6) Securities


any)

Chin vg. t at cong ty (neu c6) Title in the

Company (if any)

S6 CMNDI DKKD

ID Number! Business

Registration Number

Ngiy cip CMND/ DKKD Date of issue

Nol dip CMND/ DKKD Place of issue

Ola chI Address

s6 66 Mau so, hem cultl

k2 y Number of


TY 14 set hfru

c6 phlou

cued lit Percent age of share

owners hip at


GIU chii (Quan hi,

yeti c6 iflong nOI

14) Note

(telationsh ip with internal

sharehold era)

4.4 C6ng ty CP Tp6 dcian PAN

Ktiong ( No 0 0

Thanh yien

HDQT/ Board

Member

5 Hlronoti Oka KhOng c6 I HOW No

Thanh vIllin

Board member 0 0%

5.1 Kiichi Oka KhOng co / No KhOng / No 0 0 B6 Father

5.2 Yasuko Oka KhOng co / No KhOng / No 0 0 Me Mother

5.3 Miyuki Oka Ktiong CO / No KhOng / No 0 0 Vq WIte

5.4 Daisuke Oka ,

KhOng co / No KhOng / No 0 0 Con Son

5.5 Yoshihisa Oka KhOng cd / No KhOng / No 0 0 Anh

Brother

5.6 Katsutoshi Oka KhOng c6/ No KhOng / No 1

0 0 Anh

Brother

5.7 Daiwa Securities Group Inc. KhOng

I

118,294,62 0

19.619 %

Dal dien von

Represent ative

5.8 Daiwa Capital Markets Hong Kong Limited

KhOng CO/ No KhOng / No I 0 0

Chi) tich/TGO

Chairman/ GD

TV HOOT Board

member

22

srr No.

Ten t6 capc/ca nhan

Organizationsfindivi duals

TM khan Mao cah

cluing khan (au ca) Securities


Cam vy 41 c6ng ty (a u e6) Title in the

Company (if any)

S6 CMND/ DKKD

ID Number/

Business Registration

Number

Ngity ap CMND/ DKKD Date of issue

cip CMND/CIKKD Place of issue

any) internal

Nei Dia chi Address

s6 66 aau s& hem eu61

Number of shams

owned at the end of the period

lc ?

TY It so, heru

c6 phiou

cal ky Percent age of share

owners hip at


GM cal (Quan la

v&I c6 .116ng all

hip Note

(relationsh ip with

shanehold ers)

5.9 Daiwa Capital Markets Investments Asia Ltd

along co / No KhOng / No 0 0 TV HOOT

Board member

5.10

Daiwa Capital Markets Investments Hong Kong Limited

along c6 / No Kang / No 0 0 TV HOOT

Board member

5.11 Daiwa Capital Markets Singapore Limited

Kh8ng e6 / No Karig / No 0 0

Chei hch Chairman TV HOOT

Board member

5.12 Daiwa-Cathay Capital Markets Co. Ltd.

Khong co / No Kh6ng / No 0 0

ChO hch Chairman TV HOOT

Board member

5.13 Daiwa Capital Markets India Private Limited

KhOng c6 / No Kh6ng / No 0 0 TV HOOT

Board member

5.14 Daiwa Capital Markets Investment Services Pte. Ltd

Kh6ng co/ No Kh6ng / No 0 0 TV HOOT

Board member

5.15 Daiwa Securities Capital Markets Korea Co. Ltd

Kheng c6 / No Karig / No 0 0 TV HOOT

Board member

5.16 DBP-Daiwa Capital Markets Philippines, Inc.

KhOng Co / No Karig / No 0 0 TV HOOT

Board member

23

.‘ *•1/4 • •••

STT No.

Ten t6 chirc/ca nhAn

Organizationslindivi duals

Tai khohn giao djch

chirns khoin (neu c6) Securities


any)

Chic vs, tal song ty (neu Ca) Title in the

Company (if any)

soCMND/ OKKD

ID Number / Business

Registration Number

Ngsly cap CMND/ DIKKD Date of issue

s Nal ip CMND/ DKKD Place of issue

Dia chi Address

SO co phleu sdr ham coal

k92 Number of

shares owned at the end of the period

T9 10 sr:r Km

c6 phleu

cold St Percent age of share

owners hip at


Ghi Oa ((Man ho

v m 06 •

Mang n0i 14) Note

(relationsh ip with internal

sharehold ers)

5.17 Daiwa (Shanghai) Corporate Strategic Advisory Co. Ltd.

Kh8ng co/ No Kheng / No 0 0

Chu Soh Chairman TV HOOT

Board member

5.18

Myanmar Securities Exchange Centre, Co,Ltd.

Kh8ng co I No KhOng / No Board 0 0 TV HOOT

member

6 Nguyen Duy Khish Thanh vilin HE1QT Bean' member

1,044,000 0.173%

6.1 Nguyen Duy Hung

ChO Soh HDQT kiem TGD Board Chairman cum CEO

10,209,044 1.693% B6

Father

6.2 LO Tra My KhOng / No 0 0 Me

Mother

6.3 Nguyan Duy Linh KhOng /No 0 0 Em

Brother

6.4

Cling ty TNHH Dau tix NDH NDH Invest Company Limited

Kh6ng / No 55,905,882 9,272%

Tting Giam 66c General

Director

6.5 CON ty co phan Tap doan PAN The PAN Group JSC

Kh6ng / No HDQT 0 0

Thanh Wen

Board Member

7 Nguyen Thl Thanh Ha

Gift MSc Tel chinh CFO

1,928,152 o,

320

7.1 Hoang Van Ltrang KhOng (No 0 o Chong Husband

24

STT No.

Ten tó chic/ca nhan

Organizations/1ndivi duals

Tal Moan glao dlch

chang khan ineu c6) Securities


any)

Chac vu tgl c8ng ty (nieu citi) Title in the

Company (if any)

S6 CMNDI DKKD

ID Number/ Business

Registration Number

Ngtiy cep CNIND/ DKKD Date of issue

Nal cep CMND/ DKKD Place of issue

Dia chi Address

s6 c6 phieu sei, hero cu61

142 Number of


T9 le a& hay

c6 phleu

cueilict Percent age of sham

owners hip at


Ghl chi) (Quan he

val c6 (Ring ned

14) Note

(relationsh ip with infernal

sharehold em)

7.2 Hang Thai Linh Kheing col No Ktaing / No 0 0 Con Son

7.3 I

Hang Thai Anh Khang en /No Kheing / No 0 0 Con Son

7.4 Nguyen Thai San Khang co /No Kh6ng / No , 0 0 , Anh Brother

7.5 Nguyen Dal Phong Kheng c6 / No Khang / No 0 0 Anh Brother

7.6 Nguyen Deng Hai Khemg / No 0 0 Anh Brother

7.7 Nguyen Thai VU KW° c6 / No Kh8ng I No 0 0 Em Brother

8 Hang Thi Minh Thity

Kó toan triaerng Chief Accountant 255,200 0.042%

8.1 Hoang Van Chau Kheng co / No KhOng / No 0 0 86

Father

8.2 Nguyen Thi Xuan KhOng c6 / No Kh6ng / No 0 0 Mg

Mother

8.3 Hoang Thi Khanh Duyen Khong / No 16,240 0.003%

Em Sister

8.4 Hoang TN Lan Theo Kh6ng co / No Kheing / No 0 0 Em

Sister

8.5 Hoang Nguyen Quang Huy

Kheing c6 / No Khong / No 0 0 Em

Brother

25

2. Giao dich ceia nguti nOi b0 va nguti co l'en quan dOi v&i c6 phieu dm cony ty Mem y6t: Transactions of internal persons and their re ated persons on shares of the listed company

STT No.

Nguol that hIan giao dich

Transaction executor

Quan la vol c6 fang nO1 ta

Relationship with intemal person

s6 CO phau so hum diu kje Number of shares owned at the beginning of

the period

s6 c6 pilau so' ham cue! icr Number of shares owned at the end of

the period

1.9 do tang, gam (mua, ban, chuyan 1981, thwerng...)

Reasons for increase decrease (purchase, sale, switch, reward...) SO c6 phau

Number of shares T9 a

Percentage S6 cis phau

Number of shams TI It

Percentage

NguyAn Duy Hung Chi) Ach HOOT kiam TOO/Chairman cum CEO

6,783,400 1.330% 10,209,044 1.693%

- Ngay 15/01/2020: tang 2.017.500 CO phi& do mua CO phi& theo chvcmg trinh Ikra churl cho nguseyi lao Ong 2019 (ESOP 2019) January 15,2020: increase of 2,017,500 shams due to purchase shares under ESOP 2019

- Ngay 10/4/2020: tang 1.408.144 co phiau do nhan co tin bang ce phiau April 10,2020: increase of 1,408,144 shams due to receiving dividends by stock

2 Nguyen H6ng Nam

ThAnh elan HOOT Um Ph() TGD/ Ngvoi &pot Ay oust) CBTT/Board Member cum Deputy CEO/Spokesman

1,400,000 0.274% 2,436,000 0.404%

- Natty 15/01/2020: tang 700.000 co phIgu do mua CO ph& theo chuang frith Iva chon cho ngutri lao Ong 2019 (ESOP 2019) January 15,2020: increase of 700,000 shams due to purchase shams under ESOP 2019

- Ngay 10/4/2020: tang 336.000 CO phiau do NS CO Vic bang CO ph& April 10,2020: increase of 336,000 shares due to receiving dividends by stock

3 Ng6 Van Diem Thanh vian HOOT/Board Member

150,000 0.029% 208,800 0.035%

- Ngay 15/01/2020: tang 40.000 CO phiau do mua CO phi& theo chtfang trInh Iva &ton cho ngutl lao Ong 2019 (ESOP 2019) January 15,2020: increase of 40,000 shares

due to purchase shams under ESOP 2019 - NgAy 10/4/2020: tang 28.800 c6 phi& do

nhan CO tUc bang CO phi& April 10,2020: increase of 28,800 shams due to receiving dividends by stock

- Ban 10,000 CO phi& ngay 07/01/2020 Selling 10,000 shams on Jan 07, 2020

3 Tai ngay 01/01/2020 (1-910 tran 100% von dieul0 thvc gop 602,945,613 c6 phieu) As at January 1, 2020, ratio is calculated based on 100% actually contributed charter capital: 602,945,613 shares 4 Tai ngay 30/06/2020 in 10 tan 100% von (lieu 10: 602,945,613 CO phigu) As at June 30, 2020, ratio is calculated based on 100% charter capital: 602,945,613shares

26

4 Pham Vial Mu6n Thanh vign HDQT/Board Member

40,000 0.008% 92800 0.015%

- Ngay 15/01/2020: tang 40.000 di phi& do mua cd phigu theo chvang trinh Itya &on cho ngveri lao gang 2019 (ESOP 2019) January 15,2020: increase of 40,000 shares due to purchase shares under ESOP 2019

- Ngay 10/4/2020: tang 12.800 cia phi& do nhan cg tire bang c6 phi& April 10,2020: increase of 12,800 shares due to receiving dividends by stock

5 Nguyan Duy Khanh Thanh vier' HDQT/Board Member

700,000 0.137% 1,044,000 0.173%

- NO), 15/01/2020: tang 200.000 cg phi& do mua di phigu theo shining trinh Iva Glom cho rigviti lao dOng 2019 (ESOP 2019) January 15,2020: increase of 200,000 shares due to purchase shares under ESOP 2019

- Ngay 10/4/2020: tang 144.000 cd phieu do nhan c.6 tit bang cd ph& , April 10,2020: increase of 144,000 shams due to receiving dividends by stock

6 Hironon Oka Thenh sign HOOT/Board Member

0 0.000% 0 0.000% KhOng thay diii I No change

7 Nguyen Thi Thanh HA Gam dgc Tai chinh/CFO 1,362,200 0.267% 1,928,152 0.320%

- Ngay 15/01/2020: tang 300.000 di phigu do mua co, phigu theo chvang trinh Iva chip cho wen lao ging 2019 (ESOP 2019) January 15, 2020: increase of 300,000 shams due to purchase shares under ESOP 2019

- Ngay 10/4/2020: tang 265.952 Di ph& do nhan cd ttis bang co ph& April 10,2020: increase of 265,952 shares due to receiving dividends by stock

8 Hoang Thi Minh Thine Ke teen lethng/Chief Accountant

145,000 0.028% 255,200 0.042%

- Ngay 15/01/2020: tang 75.000 c6 phi& do mua c.6 phi& theo chwang trinh Iva chon cho ngved lao ding 2019 (ESOP 2019) January 15, 2020: increase of 75,000 shams due to purchase shares under ESOP 2019

- Ngay 10/4/2020: tang 35.200 cd phigu do nhan cd tic bang cg phigu April 10,2020: increase of 35,200 shams due to receiving dividends by stock

9 C8ng ty TNHH Bat dOng sin Sal Gen Dan Linh

Hatred co lien quan cOa thanh vier) HDQT lam Ph6 Taii Nguygn1-16ng Nam /

30,454,063 5.971% 35,326,713 5.859% Ngay 10/4/2020: tang 4.872.650 cg phigu do nhan cg tat bang c6 phigu April 10,2020: increase of 4,872,650 shares

27

Sal Gon Dan Linh Real Estate Company Limited

Related party of Board member cum Deputy CEO Nguyen Hong Nam

due to receiving dividends by stock


Ngutri co Ilan quan °Oa thanh Wan HDQT Hironori Oka Related party of Board member Hironori Oka

101,978,121 19.993% 118,294,620 19.619%

- Ngay 10/4/2020: tang 16.316.499 o6 phi& do nh(In c6 tOC bang oi phi& April 10,2020: increase of 16,316,499 shares due to receiving dividends by stock

11

Gong ty TNHH Dau tv NDH NDH Invest Company Limited

ChO set hint ya Chu tich dm Gong ty TNHH Dau tus NDH la Chu tich HDQT kiern TGD BSI Major shareholder of SSI; owner and Chairman of NDH is Board Chairman and CEO of SSI

48,194,727 9.449% 55,905,882 9.272%

- NgAy 10/4/2020: tang 7.711.155 c6 phi& do nhan o6 hit bAng c.6 phi& April 10,2020: increase of 7,711,155 shares due to receiving dividends by stock

12 HoAng TM Khanh Duyen

Em rut dia Ka Man truttng / Sister of the Chief Accountant

14,000 0.003% 16,240 0.003%

- Ngay 10/4/2020: tang 2.240 o6 phi& do Wan ca ttkc bang oi phi& April 10,2020: increase of 2,240 shams due k receiving dividends by stock

13 Nguy6n Manh King Em ruOt cOa ChO tich HOOT / Brother of the Board Chairman

5,000,000 0.980% 5,800,000 0.962%

- Ngay 10/4/2020: tang 800.000 di phi& do nhan cis Km bang co phi& April 10,2020: increase of 600,000 shares due to receiving dividends by stock

28

VII CAC VAN at CAN LU'U KHAC (BAO CAO QUAN TRI CONG TV 06 THANG NAM 2020):

Other noticeable issues (Corporate Governance Report semi-annual 2020):

I. Ngay 18/02/2020, Oy ban Chimg khoan Nha nut era cap Giay phep diet' chinh s6 08/GP0C-UBCK ghi nhan tang vOn diau 10 len 5.200.636.840.000 Hong do phat hanh 10 Mau c6 phieu ESOP ngay 15/01/2020 (ESOP 2019). On February 18, 2020, the State Securities Commission issued the amended license No. 08/GPDC-UBCK recording increase in the Company charter capital as of VND 5,200,636,840,000 as the result of issuance of 10 million shams under ESOP on January 15, 2020 (ESOP 2019).

H. NA( 08/04/2020, Oy ban Chi:mg khoan Nha nut Ca cap Quyat dinh s6 244/QD-UBCK chap thuan &mg cepa Phong giao dich Pham Ngpc Thach. On April 08, 2020, the State Securities Commision of Vietnam issued License No. 244/QD-UBCK approving the closure of Pham Ngoc Thach Transaction Office.

Ngay 08/05/2020, Oy ban Chtling khoan Nhe nut a cap Giay phep dieu chinh s6 20/GPfDC-UBCK ghi nhan tang van dieu 10 len 6.029.456.130.000 dong do phat hanh 82.881.929 c6 phiau 64

COtrâ ngay 10/04/2020. On May 08, 2020, the State Securities Commission issued the amended license No. 20/GPDC-UBCK recording increase in the Company charter capital as of VND 6,029,456,130,000 as the result of issuance of 82,881,929 shams to pay dividends on April 10, 2020.

CHCI 11CH HOOT OF CHAIRMAN OF BOARD /

PHO TONG GAM DOC AND DEPUTY CEO

'

Nguyen Heng Nam

a

UNDER AUTHOR THAJ VIBN HO

aft onso Co. PHAN

CHLING KHO SSI

29

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