APPENDIX III VIETNAM PROSPERITY JOINT-STOCK SOCIALIST ... … · No: /2013/CV-VPB Hanoi, 28 January...

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APPENDIX III

VIETNAM PROSPERITY JOINT-STOCK

COMMERCIAL BANK

***

SOCIALIST REPUBLIC OF VIETNAM

Independence – Freedom – Happiness

---***---

No: /2013/CV-VPB Hanoi, 28 January 2013

CORPORATE GOVERNANCE REPORT

(Year 2012)

Addressee: - State Securities Commission of Vietnam

- Stock Exchange

- Issuing company: Vietnam Prosperity Bank (VPBank)

- Head Office: No 72, Tran Hung Dao str., Hoan Kiem District, Hanoi

- Tel: 04309288900 Fax: 043.9288901

- Email: (registered for information disclosure): [email protected]

- Charter capital: VND 5,770,000,000,000

- Stock code (if any):

I. Activities of the Board of Directors in 2012

1. Meetings of The Board of Directors: In 2012, the Board of Directors convened four quarterly

meetings in four quarters, and endorsed, in the form of obtaining written opinions, issues

within its authority

No Member of BOD Position Number of

Participated

Meetings

Ratio Reasons for absence

1 Ngo Chi Dzung Chairman of

the BOD

4/4 100%

2 Bui Hai Quan Vice

Chairman

4/4 100%

3 Lo Bang Giang Vice

Chairman

4/4 100%

4 Mr. Tran Trong Kien Independent

Member

0/2 0% Mr. Kien resigned from the

member of BOD, which officially

took effect from 24 April 2012

5 Luong Phan Son Member 0/2 0% Mr. Son could not attend the

BOD Meeting in 2nd

Quarter due

to his long business trip overseas.

mailto:[email protected]

2

Mr. Son was yet ceased to be the

Member of BOD from 22

October 2012 since he was no

longer the legal representative of

an institutional shareholder of

VPBank

6 Phung Khac Ke Independent

Member

4/4 100%

2. The supervisory activity of the BOD with the Chief Executive Officer

- VPBank Board of Directors undertakes the supervisory obligations with the Chief Executive

Officer through monthly review meetings of the Board of Management.

- Besides, the Board of Directors also supervises the Chief Executive Officer by reviewing daily

reports as well as requesting for reports when necessary.

- Monitoring by considering and processing information from the reports of the Supervisory

Board and Internal Audit Division over the Bank’s units.

- The Board of Directors also supervises the Chief Executive Officer through the activities of

councils/committees under the BOD as below.

3. The activities of councils/committees under the Board of Directors and some

councils/committees under the Board of Management (with the participation of members of the

Board of Directors).

Credit Council: The Council performs the function of rating and approving credit applications or

credit limits which exceed the decision authority of the Credit Boards at branches; reviewing loan

restructuring as proposed by functional departments. So far, Credit Councils of all levels of

VPBank have increased meeting frequency, setting up daily meetings to promptly process credits

under their respective authority.

Risk Management Committee: The Committee analyzes and decides the general risk level of the

Bank; sets risk appetite and risk acceptance level for the entire bank as well as supervises the

execution of this policy within the Bank; analyzes and provides warnings on the safety of VPBank

against hidden and potential risks and recommends prevention measures. The Risk Management

Committee organizes regular meetings once or twice a quarter or when arising issues fall under the

jurisdiction of the Committee.

Investment Council: The Council has the function of reviewing and approving investment

projects of the Bank, approving investment items whose value exceeds limits granted to the Chief

Executive Officer or the Members’ Council of two subsidiary companies, namely VPBank

Securities Company (VPBS) and VPBank Asset Management Company Ltd. (VP AMC), and

other specific limits specified in the Bank’s Financial Regulations. The Investment Committee

meets on a quarterly basis and regularly gives opinions/approves arising proposals of the Bank.

3

Assets/Liabilities Management Council (ALCO): The ALCO’s functions are to manage the

balance sheet structure of the Bank; develop and monitor financial and credit indicators in

compliance with the Bank’s business strategy. ALCO has organized monthly meetings to regularly

assess macro-economic environment, activities of the banking sector and those of VPBank, make

suitable decisions to ensure the Bank’s liquidity, interest rates and corresponding volumes for

funds mobilization or utilization programs; and ensure prudential ratios in accordance with the

laws.

Human Resources Committee: The Human Resources Committee’s tasks are to advise the Board

of Directors on all personnel issues of VPBank’s Boards of Directors, Supervisory Board; advise

the Board of Directors and make decision within its authority on senior executives of the Bank,

decisions on policies, compensation and benefits for employees, training projects and human

resources strategies. The Human Resources Committee meets on a monthly basis.

Executive Committee (EXCO): The EXCO holds meetings twice a month, aiming to keep

regular updates of the business performance, execute short-term action plans and solve difficulties

arising during the operations of the Bank’s units.

II. Resolutions/Decisions adopted by the Councils/Committees under the Board of Directors:

No Council /

Committee

Number of

Resolutions /

decisions Adopted

during the year

Contents

1 Credit Council Approving more than

1000 credit

applications (and over

700 applications for

credit conditions

adjustment)

The Credit Council of all levels approve

applications for credit whose value exceeds the

authorized limit of credit approvers and credit

processing centers of VPBank. In 2012, the

Credit Council of all levels approve more than

1000 new credit applications and over 700

applications for credit conditions adjustment of

customers.

2 Assets/liabilities

Management Council

(AlCO)

12 monthly meeting

minutes, with

approximately 50

decisions adopted

These are the monthly resolutions of ALCO

meetings, approving issues in writing and other

issues within ALCO’s authority related to

interest rates, currency trading limits, liquidity

ratios, etc.,.

3 Investment Council About 80 decisions

made

The approval has been made for the financial

investment proposals and for large expenses

which are beyond the authority of the Bank’s

management and proposed by the Bank’s

departments.

4 Risk Management

Committee

2 meeting minutes,

with approximately

10 decisions made

This Committee has been in operation for about

4 months. In its meetings, this Committee has

adopted about 10 decisions directly related to

4

risk management of the Bank, such as reviewing

credit risk reports, operation risk reports,

initiating some projects on risk management, etc

5 Human Resources

Committee

12 meeting minutes,

with 80

decisions made

Through monthly meetings, the Human

Resources Committee has adopted 46 decisions

related to human resource policies and benefits,

large projects on human resource system

development, and approved

6 Executive Committee

(EXCO)

18 meeting minutes,

with

approximately 200

decisions made

From 3rd

Quarter of 2012, the EXCO has

convened regular meetings every two weeks. In

its 18 meetings’ minutes, the EXCO has

mentioned many issues arising in the operation

of the Bank, specific action plans,

III. Changes of list of related persons of Public Enterprises in accordance with Clause 34, Article

6, Law on Securities (reporting 6 months/year): (Enclosed Appendix)

IV. Transactions of internal shareholders and related persons (reporting 6 months/year):

(Enclosed Appendix)

1. List of internal shareholders and related persons

2. Share transactions

3. Other transactions: (transactions of internal shareholders/major shareholders and related

persons with the company)

Recipients: CHIEF EXECUTIVE OFFICER

- As Addressee

- BOD & Supervisory Board (For their Information)

- Archive in BD office

(signed and sealed)

Nguyen Duc Vinh

P a g e 1

VIETNAM PROSPERITY JOINT-STOCK COMMERCIAL BANK #72 Tran Hung Dao Str., Hoan Kiem Dist., Ha Noi

Tel: (84.4) 3 9288 869/Fax: (844) 3 9288867

APPENDIX OF CORPORATE GOVERNANCE REPORT

(Year 2012)

III. Changes of list of related persons of Public Enterprises in accordance with Clause 34, Article 6, Law on Securities

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance

of Identity

Card/

Business

Registrat-

ion

Place of

Issuance

of Identity

Card/

Business

Registrat-

ion

Address Start date

of being

related

persons

End date

of being

related

persons

Reasons

1 Tran Trong

Kien

NA Independent

Member of

the BOD

012528206 9/22/2002 Ha Noi

Police

#2, Lane 25/35, Vu

Ngoc Phan street,

Lang Ha Ward, Dong

Da Dist., Ha Noi

3/16/2010 4/24/2012 Approved to resign

from the Member

of BOD at GMS in

2012

2 Luong Phan Son NA Member of

the BOD

013014439 10/27/2007 Ha Noi

Police

104, Ton That Tung,

Khuong Thuong Ward,

Dong Da Dist., Ha Noi

4/24/2012 10/22/2012 Elected to be the

Member of BOD

on 24 April 2012

and ceased to be

the member of

BOD on 22

October 2012

3 Nguyen Thi Mai

Trinh

NA Member of

Supervisory

Board

011551054 10/20/2007 Ha Noi

Police

Room 103 – E4,

Thanh Xuan Bac, Ha

Noi

4/24/2012 Elected to be

Member of

Supervisory Board

4 Kalidas Ghose NA Deputy

Chief

Executive

Officer

Z2159694 12/24/2010 Ho Chi

Minh City

Apartment A1107,

Cantavil Hoan Cau,

600A, Dien Bien Phu,

Ward 22, Binh Thanh

District, Ho Chi Minh

City

6/26/2012 Elected to be the

Deputy Chief

Executive Officer

P a g e 2

5 Nguyen Hung NA Chief

Executive

Officer

011788626 5/21/2001 Ha Noi

Police

#32, Lane 2, Cau Dat

Ward, Hoan Kiem, Ha

Noi

4/22/2009 7/4/2012 Resigned on 4 July

2012

6 Nguyen Duc

Vinh

NA Chief

Executive

Officer

010271710 5/7/2001 Ha Noi

Police

C10, 142 Doi Can, Ba

Dinh, Ha Noi

7/4/2012 Appointed to be

Chief Executive

Officer

7 Luu Thi Anh

Xuan

NA Deputy

Chief

Executive

Officer

011537134 7/9/2002 Ha Noi

Police

Room 1701, 17T3,

Trung Hoa Nhan

Chinh, Ha Noi, Viet

Nam


Deputy Chief

Executive Officer

8 Nguyen Thi

Thuy Hang

NA Chief

Accountant

013074771 12/28/2008 Ha Noi

Police

Room 213, Collective

Zone of Technology

Institute, Lang Ha

Ward, Ba Dinh, Ha

Noi

1/3/2012 12/28/2012 Resigned from the

position of Chief

Accountant

9 Nguyen Thi Thu

Hang

NA Chief

Accountant

011932721 9/17/1999 Ha Noi

Police

Room 413, C3, Hoang

Ngoc Phach, Lang Ha,

Dong Da, Ha Noi


the Chief

Accountant

IV. Transactions of internal shareholders and related persons (reporting every 6 month/year): (Enclosed Appendix)

1. List of internal shareholders and related persons

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

I Internal Shareholders

1 Ngo Chi Dzung NA Chairman

of the BOD

012603070 7/7/2003 Ha Noi

Police

#11, Road No. 1, Zone

A, Nam Thanh Cong,

Dong Da, Ha Noi

25,872,404 4.48%

2 Bui Hai Quan NA Vice

Chairman

of the BOD

012191698 1/18/1999 Ha Noi

Police

#10, Lot 2B, Trung

Yen Residential zone,

Trung Hoa, Cau Giay,

8,936,112 1.55%

P a g e 3

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

Ha Noi

3 Lo Bang Giang NA Vice

Chairman

of the BOD

145428018 4/3/2007 Hung Yen

Police

199 Doi Can, Ba Dinh,

Ha Noi

817,490 0.14%

4 Phung Khac Ke NA Independent

Member of

the BOD

010196770 10/27/2005 Ha Noi

Police

B14 Trung Hoa, Nhan

Chinh, Thanh Xuan,

Ha Noi

- 0.00%

5 Nguyen Quynh

Anh

NA Head of

Supervisory

Board

011440178 12/3/2007 Ha Noi

Police

#1, Lane 86/16/2, To

Vinh Dien, Ha Noi

22,720,834 3.94%

6 Nguyen Thi

Mai Trinh

NA Member of

Supervisory

Board

011551054 10/20/2007 Ha Noi

Police

Room 103 – E4,

Thanh Xuan Bac, Ha

Noi

28,349,194 4.91%

7 Trinh Thi

Thanh Hang

NA Member of

Supervisory

Board

013103260 7/1/2008 Ha Noi

Police

#23, Giap Bat street,

Hoang Mai District,

Ha Noi

- 0.00%

8 Nguyen Duc

Vinh

NA Chief

Executive

Officer

010271710 5/7/2001 Ha Noi

Police

C10, No. 142, Doi

Can, Ba Dinh, Ha Noi

- 0.00%

9 Nguyen Thanh

Binh

NA Deputy

Chief

Executive

Officer

011795731 6/6/1993 Ha Noi

Police

Room 310, D2, Viet

Xo collective zone, Ha

Noi

215,915 0.04%

10 Vu Minh

Truong

NA Deputy

Chief

Executive

Officer

012081900 3/21/2007 Ha Noi

Police

Room 316 - A7,

Khuong Thuong

collective zone, Dong

Da, Ha Noi

- 0.00%

11 Phan Ngoc Hoa NA Deputy

Chief

Executive

023508471 1/3/2007 Ho Chi

Minh City

Police

81A, Street 11, Tan

Kieng Ward, District

7, Ho Chi Minh

134,555 0.02%

P a g e 4

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

Officer

12 Duong Thi

Thuy

NA Deputy

Chief

Executive

Officer

012190593 4/12/2008 Ha Noi

Police

#4, Hoang Dieu, Quan

Thanh Ward, Ba Dinh,

Ha Noi

18,461 0.003%

13 Duong Thi Thu

Thuy

NA Deputy

Chief

Executive

Officer

011457185 11/23/2004 Ha Noi

Police

C21, Room 405,

Thanh Xuan Bac

Ward, Thanh Xuan,

Ha Noi

15,237 0.003%

14 Nguyen Thi

Bich Thuy

NA Deputy

Chief

Executive

Officer

011676258 10/12/2006 Ha Noi

Police


Zone of Technology

Institute, Lang Ha

Ward, Ba Dinh, Ha

Noi

- 0.00%

15 Luu Thi Thao NA Deputy

Chief

Executive

Officer

012024030 4/25/2000 Ha Noi

Police

#4, Lane 1/20, Trung

Hoa Nhan Chinh,

Thanh Xuan, Ha Noi

44,065 0.008%

16 Kalidas Ghose NA Deputy

Chief

Executive

Officer

Z2159694 12/24/2010 Ho Chi

Minh City

Apartment A1107,

Cantavil Hoan Cau,

600A, Dien Bien Phu,

Ward 22, Binh Thanh

District, Ho Chi Minh

City

- 0.00%

17 Marek Hovorka NA Deputy

Chief

Executive

Officer

39456415 11/25/2009 Czech

Republic

Apartment nr. 18-07,

Sailing Tower, 51

Nguyen Thi Minh

Khai, Ho Chi Minh

City

- 0.00%

18 Luu Thi Anh NA Deputy 011537134 7/9/2002 Ha Noi Room 1701, 17T3, - 0.00%

P a g e 5

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

Xuan Chief

Executive

Officer

Police Trung Hoa Nhan

Chinh, Ha Noi, Viet

Nam

19 Nguyen Thi

Thu Hang

NA Chief

Accountant

011932721 9/17/1999 Ha Noi

Police

Room 413, C3, Hoang

Ngoc Phach, Lang Ha,

Dong Da, Ha Noi

- 0.00%

II Related persons of internal shareholders

1 Ngo Chi Trinh NA NA 010124292 Ha Noi

Police

#11, Street No.1, Zone

A, Nam Thanh Cong,

Dong Da, Ha Noi

- 0.00% Father of Mr.

Ngo Chi

Dzung

2 Vu Thi Quyen NA NA 010357234 Ha Noi

Police


A, Nam Thanh Cong,

Dong Da, Ha Noi

- 0.00% Mother of Mr.

Ngo Chi

Dzung

3 Ngo Thi Khanh

Hoa

NA NA 011996757 10/25/1990 Ha Noi

Police

BT4, Building No. 14,

Phap Van, Ha Noi

- 0.00% Older sister of

Mr. Ngo Chi

Dzung

4 Ngo Thanh

Hang

NA NA 011115679 Ha Noi

Police

Vila 39, No. 10, Dang

Thai Mai, Ha Noi


Mr. Ngo Chi

Dzung

5 Hoang Anh

Minh

NA NA 011685494 10/4/2010 Ha Noi

Police


A, Nam Thanh Cong,

Dong Da, Ha Noi

5,768,857 0.99% Spouse of Mr.

Ngo Chi

Dzung

6 Ngo Minh

Phuong

NA NA At early

age


A, Nam Thanh Cong,

Dong Da, Ha Noi

- 0.00% Child of Mr.

Ngo Chi

Dzung

P a g e 6

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

7 Ngo Phuong

Anh

NA NA At early

age


A, Nam Thanh Cong,

Dong Da, Ha Noi


Ngo Chi

Dzung

8 Ngo Chi Trung

Johnny

NA NA At early

age


A, Nam Thanh Cong,

Dong Da, Ha Noi


Ngo Chi

Dzung

9 Bui Dinh Do NA NA 012922254 Ha Noi

Police


Bui Hai Quan

10 Mac Thi Hien NA NA 012922255 Ha Noi

Police


Bui Hai Quan

11 Bui Hai Son NA NA 8A8E69105

1

4/15/2008 Ministry of

Defense

Room 303, X1-26

collective zone, Lieu

Giai, Ba Dinh, Ha Noi

167,348 0.03% Older brother

of Mr. Bui

Hai Quan

12 Kim Ngoc Cam

Ly

NA NA 011529218 1/14/2003 Ha Noi

Police

#10, Lot 2B, Trung



Ha Noi

1,389,080 0.24% Spouse of Mr.

Bui Hai Quan

13 Bui Cam Thi NA NA At early

age

#10, Lot 2B, Trung



Ha Noi

- 0.00% Daughter of

Mr. Bui Hai

Quan

14 Bui Hai Ngan NA NA At early

age

#10, Lot 2B, Trung



Ha Noi

- 0.00% Daughter of

Mr. Bui Hai

Quan

P a g e 7

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

15 Viet Hai

Technology

Trading

Company

Limited

NA NA 010200161

2

12/14/2000 Ha Noi

Department

of Planning

&

Investment

Floor 4, Vimeco

Building, Lot E9,

Pham Hung, Cau Giay,

Ha Noi

14,337,330 2.48% Company

where Mr.

Bui Hai Quan

is the Director

and owns

90% of

Charter

capital

16 Viet Hai

Investment JSC

NA NA 010493676

3

11/17/2010 Ha Noi

Department

of Planning

&

Investment

Room 10.2, Floor 10,

Viet Hai Building,

No.10, Lot 2B, Dich

Vong, Cau Giay, Ha

Noi

12,508,065 2.17% Company

where Mr.

Bui Hai Quan

is the Director

17 Long Viet MDF

Wooden

Technology JSC

NA NA 630300004

4

6/25/2007 Dak Nong

Province's

Department

of Planning

&

Investment

T-junction of national

road 14 & 14C, Thuan

Hanh ward, Dak Song

district, Dak Nong

province

- 0.00% Company

where Mr.

Bui Hai Quan

is the member

of the Board

of Directors

and owns

15% of

charter capital

P a g e 8

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

18 Hong Hai

Company

Limited

NA NA 420047940

4

3/6/2002 Khanh Hoa

Province's

Department

of Planning

&

Investment

Van Dang Commune,

Vinh Luong ward, Nha

Trang city, Khanh Hoa

- 0.00% Company

where Mr.

Bui Hai Quan

is the member

of the Board

of Members

and owns

10.52% of

charter capital

19 Ly Thi Thu Ha NA NA 012100621 7/23/2007 Ha Noi

Police


Ha Noi

5,769,048 0.99% Mother of Mr.

Lo Bang

Giang

20 Lo Trung Hai NA NA Dead - 0.00% Father of Mr.

Lo Bang

Giang

21 Lo Hai Yen

Ngoc

NA NA 012581049 12/17/2009 Ha Noi

Police


Ha Noi

5,769,680 0.99% Older sister of

Mr. Lo Bang

Giang

22 Nguyen Thu

Thuy

NA NA 011987373 3/7/2003 Ha Noi

Police


Ha Noi

- 0.00% Spouse of Mr.

Lo Bang

Giang

23 Lo Thuy Duong

Sophia

NA NA At early

age


Ha Noi

- 0.00% Daughter of

Mr. Lo Bang

Giang

24 Lo Thuy Vy

Kristina

NA NA At early

age


Ha Noi

- 0.00% Daughter of

Mr. Lo Bang

Giang

P a g e 9

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

25 Lo An Ton NA NA At early

age


Ha Noi

- 0.00% Son of Mr. Lo

Bang Giang

26 Lo Thuy Minh NA NA At early

age


Ha Noi

- 0.00% Daughter of

Mr. Lo Bang

Giang

27 Hoang Thi Lan NA NA 010196444 10/27/2005 Ha Noi

Police

B14, Trung Hoa -

Nhan Chinh, Thanh

Xuan, Ha Noi


Phung Khac

Ke

28 Phung Thi Lan

Huong

NA NA 011835643 9/26/2009 Ha Noi

Police

B14, Trung Hoa -

Nhan Chinh, Thanh

Xuan, Ha Noi

- 0.00% Daughter of

Mr. Phung

Khac Ke

29 Phung Ngoc

Quang

NA NA 012015005 2/26/1997 Ha Noi

Police

B14, Trung Hoa -

Nhan Chinh, Thanh

Xuan, Ha Noi

- 0.00% Son of Mr.

Phung Khac

Ke

30 Phung Thi Bich NA NA 020108654 7/5/2006 Ha Noi

Police

B14, Trung Hoa -

Nhan Chinh, Thanh

Xuan, Ha Noi


Mr. Phung

Khac Ke

31 Nguyen Anh

Que

NA NA Dead - 0.00% Father of Ms.

Nguyen

Quynh Anh

32 Tran Hong Le NA NA 012878377 5/19/2006 Ha Noi

Police

#1, Lane 86/16/2, To

Vinh Dien, Ha Noi

- 0.00% Mother of Ms.

Nguyen

Quynh Anh

33 Nguyen Quang

An

NA NA 011982726 3/10/2007 Ha Noi

Police

- 0.00% Older brother

of Ms.

Nguyen

Quynh Anh

P a g e 10

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

34 Vu Tien Duc NA NA PTA18598

38

12/6/2005 Moscow #1, Lane 86/16/2, To

Vinh Dien, Ha Noi

4,033,336 0.70% Spouse of Ms.

Nguyen

Quynh Anh

35 Vu Da Quynh

Trang

NA NA At early

age

#1, Lane 86/16/2, To

Vinh Dien, Ha Noi

- 0.00% Daughter of

Ms. Nguyen

Quynh Anh

36 Vu Nhat Long NA NA At early

age

#1, Lane 86/16/2, To

Vinh Dien, Ha Noi

- 0.00% Son of Ms.

Nguyen

Quynh Anh

37 Nguyen Nghiem

Minh

NA NA Dead Father of Ms.

Nguyen Thi

Mai Trinh

38 Tran Thi Bach

Mai

NA NA 011115627 1/15/2009 Ha Noi

Police

Room 103 - E4, Thanh

Xuan Bac, Ha Noi


Nguyen Thi

Mai Trinh

39 Nguyen Minh

Trung

NA NA 011217660 9/3/1999 Ha Noi

Police


of Ms.

Nguyen Thi

Mai Trinh

40 Duong Viet

Long

NA NA 011440316 7/22/2004 Ha Noi

Police


Xuan Bac, Ha Noi

- 0.00% Spouse of Ms.

Nguyen Thi

Mai Trinh

41 Duong Nguyen

Mai Linh

NA NA At early

age


Xuan Bac, Ha Noi

- 0.00% Daughter of

Ms. Nguyen

Thi Mai Trinh

P a g e 11

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

42 Duong Chieu

An

NA NA At early

age


Xuan Bac, Ha Noi

- 0.00% Daughter of

Ms. Nguyen

Thi Mai Trinh

43 Trinh Ba Phien NA NA 012256456 7/3/1999 Ha Noi

Police

Room 302, Building

C2, Collective zone of

Central Women's

Union, Phao Dai lang,

Ha Noi

- 0.00% Father of Ms.

Trinh Thi

Thanh Hang

44 Trinh Thi

Thanh Mai

NA NA 181378488 5/11/1983 Nghe Tinh

Police

#45, Trang Thi, Thanh

Hoa City


Ms. Trinh Thi

Thanh Hang

45 Trinh Thanh

Chuong

NA NA 011300101 5/13/2002 Ha Noi

Police

Room 1504, Building

17 T9, Trung Hoa

Nhan Chinh, Ha Noi


of Ms. Trinh

Thi Thanh

Hang

46 Trinh Thi

Thanh Van

NA NA 012705096 7/16/2004 Ha Noi

Police

Lane 191, Lac Long

Quan Lane, Tay Ho,

Ha Noi


Ms. Trinh Thi

Thanh Hang

47 Trinh Thi

Thanh Nhan

NA NA 012315008 12/20/1999 Ha Noi

Police

Room 1007, N05,

Trung Hoa Nhan

Chinh, Ha Noi


Ms. Trinh Thi

Thanh Hang

48 Nghiem Xuan

Duc

NA NA 012050796 1/17/2007 Ha Noi

Police


Hoang Mai District,

Ha Noi


Trinh Thi

Thanh Hang

49 Nghiem Xuan

Tung

NA NA At early

age

Ha Noi

Police


Hoang Mai District,

Ha Noi

- 0.00% Son of Ms.

Trinh Thi

Thanh Hang

P a g e 12

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

50 Nghiem Xuan

Son

NA NA At early

age

Ha Noi

Police


Hoang Mai District,

Ha Noi

- 0.00% Son of Ms.

Trinh Thi

Thanh Hang

51 Nguyen Van

Sam

Dead Father of Mr.

Nguyen Duc

Vinh

52 Pham Thi

Thanh

Dead Mother of Mr.

Nguyen Duc

Vinh

53 Do Quynh Ngan NA NA 010271497 3/29/2007 Ha Noi

Police

C10, No. 142, Doi



Nguyen Duc

Vinh

54 Nguyen Duc

Giang

NA NA 012614555 6/26/2003 Ha Noi

Police

C10, No. 142, Doi


- 0.00% Son of Mr.

Nguyen Duc

Vinh

55 Nguyen Quynh

Phuong

NA NA 013226272 8/10/2009 Ha Noi

Police

C10, No. 142, Doi


- 0.00% Daughter of

Mr. Nguyen

Duc Vinh

56 Nguyen Thi

Nhung

NA NA 010724591 4/5/2007 Ha Noi

Police

Fiber Factory

collective zone, Kim

Nguu, Hai Ba Trung

District, Ha Noi


Mr. Nguyen

Duc Vinh

57 Nguyen Duc

Tam

NA NA 011787567 4/24/2007 Ha Noi

Police

Ciputra zone, Tay Ho,

Ha Noi


of Mr.

Nguyen Duc

Vinh

P a g e 13

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

58 Nguyen Duc

Thinh

NA NA 012471037 8/9/2001 Ha Noi

Police

General Department 2

collective zone,

Ministry of Defense,

Xuan Dinh, Tu Liem,

Ha noi


of Mr.

Nguyen Duc

Vinh

59 Nguyen Duc

Loi

NA NA 011317765 10/20/2003 Ha Noi

Police

Dong Xa residential

area, Tu Liem, Ha Noi


of Mr.

Nguyen Duc

Vinh

60 Nguyen Thi

Kim Hai

NA NA 011719981 7/20/2008 Ha Noi

Police

Fiber Factory

collective zone, Kim

Nguu, Hai Ba Trung

District, Ha Noi


Mr. Nguyen

Duc Vinh

61 Nguyen Thi

Nguyet Nga

NA NA 010045110 2/1/2012 Ha Noi

Police

University of Science

& Technology

collective zone, Hai

Ba Trung District, Ha

Noi


Mr. Nguyen

Duc Vinh

62 Nguyen Khac

Mien

NA NA - 0.00% Father of Mr.

Nguyen

Thanh Binh

63 Van Thi Vuong NA NA - 0.00% Mother of Mr.

Nguyen

Thanh Binh

64 Nguyen Thi

Ngoc Anh

NA Head of Hai

Ba Trung

transaction

office

011785352 Ha Noi

Police

Room 310 - D2, Viet


Noi

232,951 0.04% Spouse of Mr.

Nguyen

Thanh Binh

P a g e 14

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

65 Nguyen Ngoc

Anh

NA NA At early

age

Room 310 - D2, Viet


Noi

- 0.00% Daughter of

Mr. Nguyen

Thanh Binh

66 Nguyen Anh

Tuan

NA NA At early

age

Room 310 - D2, Viet


Noi

- 0.00% Son of Mr.

Nguyen

Thanh Binh

67 Nguyen Minh

Anh

NA NA At early

age

Room 310 - D2, Viet


Noi

- 0.00% Daughter of

Mr. Nguyen

Thanh Binh

68 Nguyen Quang

Minh

NA NA - 0.00% Half -brother

of Mr.

Nguyen

Thanh Binh

69 Nguyen Thanh

Nam

NA NA - 0.00% Older brother

of Mr.

Nguyen

Thanh Binh

70 Nguyen Thanh

An

NA NA - 0.00% Younger

brother of Mr.

Nguyen

Thanh Binh

71 Nguyen Thi

Thanh Nhan

NA NA 125402542 Bac Ninh

Police

1104 N02, Linh Dam

Peninsula, Hoang Mai,

Ha Noi

399,900

0.07% Younger

sister of Mr.

Nguyen

Thanh Binh

P a g e 15

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

72 Nguyen Thanh

Bac

NA NA 121273360 11/18/1995 Ha Bac

Police

- 0.00% Younger

brother of Mr.

Nguyen

Thanh Binh

73 Vu Thi Bich

Hop

NA NA Overseas - 0.00% Older sister of

Mr. Vu Minh

Truong

74 Vu Thi Nguyet

Huong

NA NA Overseas - 0.00% Older sister of

Mr. Vu Minh

Truong

75 Vu Thi Thu Le NA NA 011589034 1/16/2008 Ha Noi

Police

Room 316 - A7,

Khuong Thuong

collective zone, Dong

Da, Ha Noi

Spouse of Mr.

Vu Minh

Truong

76 Le Mong Dai

Trang

NA NA 023508472 81A, Street 11, Tan


7, Ho Chi Minh City


Phan Ngoc

Hoa

77 Phan Le Bao

Thy

NA NA At early

age

81A, Street 11, Tan


7, Ho Chi Minh City

- 0.00% Child of of

Mr. Phan

Ngoc Hoa

78 Phan Le Bao

Nghi

NA NA At early

age

81A, Street 11, Tan


7, Ho Chi Minh City

- 0.00% Child of of

Mr. Phan

Ngoc Hoa

79 Nguyen Thanh

Binh

NA NA 011689583 12/9/2003 Ha Noi

Police



Ha Noi


Duong Thi

Thuy

P a g e 16

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

80 Nguyen Binh

Minh

NA NA At early

age



Ha Noi

- 0.00% Child of Ms.

Duong Thi

Thuy

81 Nguyen Minh

Anh

NA NA At early

age



Ha Noi


Duong Thi

Thuy

82 Duong Minh

Phuong

NA NA 012799113 5/26/2005 Ha Noi

Police

#28, To 71, Tho Quan

Ward, Dong Da, Ha

Noi


Duong Thi

Thuy

83 Nguyen Thi

Thinh

NA NA 125428045 28/11/2007 Bac Ninh

Police

#20, Nguyen Gia

Thieu, Bac Ninh City


Duong Thi

Thuy

84 Duong Thi Hoai

Giang

NA NA 012342693 8/1/2009 Ha Noi

Police

Thanh Nhan Hospital,

Ha Noi


Ms. Duong

Thi Thuy

85 Duong Trong

Hien

NA NA 125428045 11/28/2007 Bac Ninh

Police

Ministry of Planning

& Investment, Ha Noi


of Ms. Duong

Thi Thuy

86 Duong Thi

Chung

NA NA 125282322 12/13/2006 Bac Ninh

Police

Nguyen Gian Thanh

Street, Bac Ninh

Province


Ms. Duong

Thi Thuy

87 Duong Minh

Chinh

NA NA P2223707 5/19/2009 Immigratio

n

Department

Tran Khat Chan street,

Ha Noi


of Ms. Duong

Thi Thuy

P a g e 17

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

88 Duong Tuan NA NA Dead - 0.00% Father of Ms.

Duong Thi

Thu Thuy

89 Tran Thi

Nguyet Thu

NA NA - 0.00% Mother of Ms.

Duong Thi

Thu Thuy

90 Duong Tuan

Duc


brother of Ms.

Duong Thi

Thu Thuy

91 Duong My

Hanh


sister of Ms.

Duong Thi

Thu Thuy

92 Nguyen Hai

Van

NA Deputy

Director of

VPBank

AMC

011046930 2/7/2002 Ha Noi

Police

C21, Room 405,

Thanh Xuan Bac

Ward, Thanh Xuan,

Ha Noi

6,913 0.001% Spouse of Ms.

Duong Thi

Thuy

93 Nguyen Thai

Son

NA NA At early

age

C21, Room 405,

Thanh Xuan Bac

Ward, Thanh Xuan,

Ha Noi


Duong Thi

Thu Thuy

94 Nguyen Nguyen

Minh

NA NA At early

age

C21, Room 405,

Thanh Xuan Bac

Ward, Thanh Xuan,

Ha Noi


Duong Thi

Thu Thuy

P a g e 18

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

95 Nguyen Trang

Nguyen

NA NA At early

age

C21, Room 405,

Thanh Xuan Bac

Ward, Thanh Xuan,

Ha Noi


Duong Thi

Thu Thuy

96 Nguyen Nhu

Quy

NA NA - 0.00% Father of Ms.

Nguyen Thi

Bich Thuy

97 Nguyen Thi Le NA NA - 0.00% Mother of Ms.

Nguyen Thi

Bich Thuy

98 Nguyen Nhu

Trung


brother of Ms.

Nguyen Thi

Bich Thuy

99 Nguyen Nhu

Thanh


brother of Ms.

Nguyen Thi

Bich Thuy

100 Nguyen Truong

Huy

NA NA Room 213, Collective

Zone of Technology

Institute, Lang Ha

Ward, Ba Dinh, Ha

Noi


Nguyen Thi

Bich Thuy

101 Nguyen Thi

Thuy Tien

NA NA At early

age


Zone of Technology

Institute, Lang Ha

Ward, Ba Dinh, Ha

Noi

- 0.00% Daughter of

Ms. Nguyen

Thi Bich

Thuy

P a g e 19

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

102 Nguyen Truong

Minh

NA NA At early

age


Zone of Technology

Institute, Lang Ha

Ward, Ba Dinh, Ha

Noi

- 0.00% Son of Ms.

Nguyen Thi

Bich Thuy

103 Luu Hung

Chuong

NA NA Dead - 0.00% Father of Ms.

Luu Thi Thao

104 Pham Thi Nha NA NA 013250348 12/23/2009 Ha Noi

Police

12, Lane 47/76,

Khuong Trung, Thanh

Xuan, Ha Noi


Luu Thi Thao

105 Luu Thi Phuong NA NA 171527737 4/11/2000 Thanh Hoa

Police

25 Xuan Dieu, Thanh

Hoa City


Ms. Luu Thi

Thao

106 Luu Thi Hoa NA NA 171613059 3/3/2012 Thanh Hoa

Police

Xuan Truong, Tho

Xuan, Thanh Hoa

- 0.00% Younger

sister of Ms.

Luu Thi Thao

107 Luu Hung Kien NA NA 013250347 12/23/2009 Ha Noi

Police

12, Lane 47/76,

Khuong Trung, Thanh

Xuan, Ha Noi

- 0.00% Younger

brother of Ms.

Luu Thi Thao

P a g e 20

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

108 Hoang Dinh Loi NA NA 012928388 12/8/2006 Ha Noi

Police


Hoa Nhan Chinh,

Thanh Xuan, Ha Noi


Luu Thi Thao

109 Hoang Minh

Duc

NA NA At early

age


Hoa Nhan Chinh,

Thanh Xuan, Ha Noi


Luu Thi Thao

110 Hoang Minh Tri NA NA At early

age


Hoa Nhan Chinh,

Thanh Xuan, Ha Noi


Luu Thi Thao

111 Josef Hovorka NA NA Nad udolim 10, Praha

14700, Czech republic


Marek

Hovorka

112 Josefa Hovorka NA NA Nad udolim 10, Praha



Marek

Hovorka

113 Lukas Hovorka NA NA Nad udolim 10, Praha


- 0.00% Younger

brother of Mr.

Marek

Hovorka

114 Nguyen Van

Mao

NA NA 011942763 27/5/2004 Ha Noi Room 207, To 64,

Bach Dang ward, Hai

Ba Trung, Ha Noi


Nguyen Thi

Thu Hang

P a g e 21

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

115 Bui Thi Ha NA NA 010460227 27/5/2004 Ha Noi Room 207, To 64,

Bach Dang ward, Hai

Ba Trung, Ha Noi

- 0.00% Mother of

Ms. Nguyen

Thi Thu Hang

116 Hoang Duc

Tien

NA NA 011317850 30/9/2011 Ha Noi Room 413 - C3,

Hoang Ngoc Phach,

Lang Ha, Dong Da, Ha

Noi

- 0.00% Spouse of

Ms. Nguyen

Thi Thu Hang

117 Hoang Vu NA NA At early

age

Room 413 - C3,

Hoang Ngoc Phach,


Noi


Nguyen Thi

Thu Hang

118 Hoang Lan

Phuong

NA NA At early

age

Room 413 - C3,

Hoang Ngoc Phach,


Noi


Nguyen Thi

Thu Hang

119 Nguyen Bich

Thuy

NA NA 011762288 18/3/1993 Ha Noi Room 207, To 64,

Bach Dang ward, Hai

Ba Trung, Ha Noi

- 0.00% Older sister

of Ms.

Nguyen Thi

Thu Hang

120 Nguyen Bich

Ngoc

NA NA 012081878 18/3/1993 Ha Noi 95D, Ly Nam De, Ba

Dinh, Ha Noi

- 0.00% Younger

sister of Ms.

Nguyen Thi

Thu Hang

121 Pratima Ghose NA NA F1484921 India 600a, Dien Bien Phu,

Binh Thanh District,

Ho Chi Minh City


Kalidas

P a g e 22

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

122 Susmita Ghose NA NA G4835184 India 600a, Dien Bien Phu,


Ho Chi Minh City


Kalidas

123 Damayanti

Ghose

NA NA G4622941 India 600a, Dien Bien Phu,


Ho Chi Minh City


Kalidas

124 Arundhati NA NA G4622941 India 600a, Dien Bien Phu,


Ho Chi Minh City


Kalidas

125 Dang Anh

Chung

NA NA 011078574 9/19/1980 Ha Noi

Police

Room 1701, 17T3,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi


Luu Thi Anh

Xuan

126 Dang Trang

Linh

NA NA At early

age

Room 1701, 17T3,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi

- 0.00% Daughter of

Ms. Luu Thi

Anh Xuan

127 Dang Ha Khoa NA NA At early

age

Room 1701, 17T3,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi

- 0.00% Son of Ms.

Luu Thi Anh

Xuan

128 Luu Cong Dao NA NA 010048139 7/6/2007 Ha Noi

Police

Room 1202, 17T1,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi


Luu Thi Anh

Xuan

P a g e 23

No Name of

Individual/

Institution

Account

for stock

transact-

ions

Position at

the

company

(if any)

Identity

Card/

Business

Registrat-

ion

Number

Date of

Issuance of

Identity

Card/

Business

Registrat-

ion

Place of

Issuance of

Identity

Card/

Business

Registrat-

ion

Address Number of

shares

owned at

the end of

the period

Ratio of

share

ownership

at the end

of report

period

Note

129 Truong Thi

Diep

NA NA 011077485 11/25/2003 Ha Noi

Police

Room 1202, 17T1,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi


Luu Thi Anh

Xuan

130 Luu Quang Loc NA NA 023280810 11/15/2011 Sai Gon Pearl, District

1, Ho Chi Minh City


of Ms. Luu

Thi Anh Xuan

131 Luu Thi Huong

Mai

NA NA 010424461 9/22/2011 Ha Noi

Police

277 Trung Liet, Dong

Da, Ha Noi


Ms. Luu Thi

Anh Xuan

132 Luu Quang

Tung

NA NA 011795889 11/7/2008 Ha Noi

Police

Room 1202, 17T1,

Trung Hoa Nhan

Chinh, Cau Giay, Ha

Noi

- 0.00% Younger

brother of Ms.

Luu Thi Anh

Xuan

2. Share transactions

No Transactor Internal

Shareholder/

Relationship with

Internal

shareholder

Number of shares owned Number of shares owned Reasons for

increase/decrease

(purchase, sale,

transfer, bonus, etc)

Number of

shares Ratio (1)

Number of

shares Ratio (2)

1 Ngo Chi Dzung Chairman of the

BOD

22,643,959 4.48% 25,872,404 4.48% Share dividends, and

bonus shares

2 Bui Hai Quan Vice Chairman of

the BOD


bonus shares

3 Lo Bang Giang Vice Chairman of

the BOD

715,481 0.14% 817,490 0.14% Share dividends, and

bonus shares

P a g e 24

4 Nguyen Quynh Anh Head of

Supervisory Board


bonus shares

5 Nguyen Thi Mai Trinh Member of

Supervisory Board


bonus shares

6 Nguyen Thanh Binh Deputy Chief

Executive Officer


bonus shares. Share

transferring to Ms.

Nguyen Thi Thanh Nhan

7 Phan Ngoc Hoa Deputy Chief

Executive Officer


bonus shares

8 Duong Thi Thuy Deputy Chief

Executive Officer


bonus shares

9 Duong Thi Thu Thuy Deputy Chief

Executive Officer


bonus shares

10 Luu Thi Thao Deputy Chief

Executive Officer


bonus shares

11 Ngo Thi Khanh Hoa Older sister of Mr.

Ngo Chi Dzung

25,220,570 4.99% - 0.00% Share transferring

12 Ngo Thanh Hang Older sister of Mr.

Ngo Chi Dzung

393,242 0.08% - 0.00% Share transferring

13 Hoang Anh Minh Spouse of Mr. Ngo

Chi Dzung

17,522,832 3.47% 5,768,857 0.99% Share transferring, share

dividends, and bonus

shares

14 Bui Hai Son Older brother of

Mr. Bui Hai Quan


bonus shares

15 Kim Ngoc Cam Ly Spouse of Mr. Bui

Hai Quan


bonus shares

16 Viet Hai Technology

Trading Company

Limited

Company where

Mr. Bui Hai Quan

is the Director and

owns 90% of

Charter capital


bonus shares

17 Viet Hai Investment

JSC

Company where

Mr. Bui Hai Quan

is the Director


bonus shares

18 Ly Thi Thu Ha Mother of Mr. Lo

Bang Giang

433,668 0.09% 5,769,048 0.99% Receipt of transferred

shares, share dividends,

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and bonus shares

19 Lo Hai Yen Ngoc Older sister of Mr.

Lo Bang Giang

- 0.00% 5,769,680 0.99% Receipt of transferred

shares

20 Nguyen Thi Ngoc Anh Spouse of Mr.

Nguyen Thanh

Binh

89,993 0.02% 232,951 0.04% Receipt of transferred

shares, share dividends,

and bonus shares

21 Nguyen Thi Thanh

Nhan

Younger sister of

Mr. Nguyen Thanh

Binh

- 0.00% 399,900 0.07% Receipt of transferred

shares from Mr. Nguyen

Thanh Binh, share

dividends, and bonus

shares

22 Nguyen Hai Van Spouse of Ms.

Duong Thi Thuy


bonus shares

(2) The ratio is calculated by the amount of owned shares out of total shares of the Bank at the end of the reporting period which stood at 577,000,000

shares.

3. Other transactions: (transactions of internal shareholders/major shareholders and related persons with the company)

None

Hanoi, 28 January 2013

Preparer CHIEF EXECUTIVE OFFICER

(signed) (signed and sealed)

Tran Thu Huong Nguyen Duc Vinh

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APPENDIX III VIETNAM PROSPERITY JOINT-STOCK SOCIALIST ... … · No: /2013/CV-VPB Hanoi, 28 January...

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Transcript of APPENDIX III VIETNAM PROSPERITY JOINT-STOCK SOCIALIST ... … · No: /2013/CV-VPB Hanoi, 28 January...