Shareholder and Management Information

 

BOARD OF DIRECTORS/ BOARD OF SUPERVISORS 

 

- Details of members and structures of the Board of Directors and Board of Supervisors are presented in section “The Board of Directors’ Report” and “The Board of Supervisors’ Report”.

- Members of BOD, BOS, Board of Management and employees had a corporate governance certificate:

 

 

Two members of the BOD who haven’t got corporate governance certificate are Mr Nguyen Duy Khanh and Mr Hironori Oka since they was newly elected in 2015. They will arrange to fully participate in the corporate governance training course as prescribed in the near future. In addition, there is still no training course for corporate governance organized in English for foreigners in Vietnam

In 2016, the BOD also sent representatives and company secretary to attended, exchanged and also contributed their opinion on seminars and conferences about corporate governance organized by SSC, Exchanges and other organizations. Especially, SSI’s representative has attended training course on ASEAN Corporate Governance Scorecard organized by HOSE and IFC.

 

SHAREHOLDER INFORMATION

 

The shares of Saigon Securities Inc. are listed on the Ho Chi Minh Stock Exchange with the ticker SSI and are centrally deposited at the Vietnam Securities Depository – Ho Chi Minh City Branch.

 

Stock Information: As at 31/12/2016, the charter capital of SSI stood at VND 4,900,636,840,000 and divided into 490,063,684 common shares with the par value of VND 10,000. The Company did not issue any other but common shares

 

Treasury share transaction in 2016: The number of treasury shares at 31/12/2016 was 238,434  shares, increasing 232,115 compared to that at 31/12/2015. The reason was the Company bought odd lot SSI shares according to investors’ request and bought back ESOP shares from employees who violated the rules according to the decision of the BoD.

 

Shareholder structure: Details on shareholder structure and ownership of internal persons are presented in Appendix 2 of this Annual Report. The data was updated in accordance with the shareholder list provided by the Vietnam Securities Depository as at 20/03/2017. 

 

Other information: transaction of internal persons and related persons are presented in Appendix 1 of this Annual Report.

 

 

Other transactions: (from and to internal and major shareholders and relalted partities)

 

 

Significant balances and transactions with related parties as at 31 December 2016 and for the year then ended are as follows:

 

APPENDIX 2: SHAREHOLDER STRUCTURE AS AT 20/3/2016

 

 

Shareholding structure on type of shareholder basis

 

 

(*) Lock-up shares in the issuance of employee stock ownership plan on 23 October 2015 and 15 December 2016. Total lock-up shares is 10,000,000 shares. Lock-up period as follows:

 

  • - Lock-up period from 23 October 2016 to 22 October 2017:        5,000,000 shares
  • - Lock-up period from 15 December 2016 to 14 December 2017:   5,000,000 shares
  • - Lock-up period from 15 December 2017 to 14 December 2018:   5,000,000 shares

 

 

List of shareholders by type:

 

 

Details of internal shareholders and spokesman