NGAN HANG TNHH MTVSHINHAN VI~T NAM

_-------r~~ruH¥ank VietnamLimited

CQNG HOA xA HQI CHU NGHiA VI~T ~AMTHE SOCIALIST REPUBLIC OF VIETN. M

DQcI~p - TV do - Hanh phucIndependence- Freedeom- Happiness

Thanh pM H6 Chi Minh, ngay 19 thang 10 Tm 2018Ho Chi Minh City. day 19 month IOYr ar 20I8

BAocAo vt so HD'u CVA NHOM NHA DAu TU NUOC NGOAI CO LIEN QUAN LA CO DONG LON/NHA DAu TULON4

OWNERSHIP REPORT OF GROUP OF RELATED FOREIGN SHAREHOLDERS/ INVESTO S AS AMAJOR INVESTOR

(Ban hanh'kem theo Thong tu s6 123120151TT-BTCngay 18 thong 08 nam 2015 cua B(j truang B(j Tai c lnh huangddn hoat d(jng ddu tu nuac ngoai tren thi truong chung khoan Vi~tNam)

(Promulgated with the Circular N'12312015IIT-BTC on August 18, 2015 of Minister of Finance guiding investmentactivites offoreigns investors in Vietnam Securities Market)

I. Chung toi la: (thong tin vJ t6 chtsc duac chi dinhlca nhdn duac uy quyJn thuchien nghia Vll bao cao sa him vacong b6 thong tin): IWe are: (Information about the appointed organization! individual authorized to to make report on the 0 rvnershipand publish information)

l-Tnrong hop t6 chuc duoc chi dlnh (Ten Cong ty AlQuy A, ho va ten d'i\idi~n theo phap luWd'i\i di~1 co th§.mquy€n, s6 gi§.yNSH, dja chi trl,lsa chinh)/ In case appointed party is an organization (Name ofComparyAlFund A and name of legal representativel authorized representative, No of Owner's Certificate, He£d officeaddress)

Kinh giri: - Uy ban Chung khoan Nha Nuoc- Sa giao djch chirng khoan Thanh ph6 H6 Chi Minh- Cong ty c6 phAnChirng khoan VnDirectIVND

To: - The State Securities Commission- Ho Chi Minh Stock Exchange- VNDirect Joint Stock Securities CompanylVND

COl No.*

Ten ciia tc1clnrc, hQva ten cllnhan Sa giAyNSH*

Dia chi tru scrchinh (dia chi Ienl\lc)/tel/fax/email

Head office address (Permanentaddress)/tel/ fax/ email

Name of organization/individual

4 Nha d~u tU' Ion la nha d~u tU'sa hCl'utCY5% tra len chling chi quy d6ng/ Major investor is th investorwho owns more than 5% units of the close fund

a) Ten t6 chudName of Ting tr~t, ting lUng, ting 2, 3, 15organization: Toa nha Empress, sA138-142 I ai Ba

SHINHAN BANK VIETNAM 0309103635Trung, Phuong Da Kao, Qu{ln 1,

LIMITED I Ngin hang TNHHThanh phA H8 Chi Minh, Vi~t Naml

MTV Shinhan Vi~t Nam+84.2835 28791 +84.23620 440( Ivietnamcustody@shinhan.com

b) HQva ten dai di~n theo phapluWDanh sach cac dai dien co Kim Jae HyunthAmquy€n1Name of legalrepresentative/ list of Nguy~n NgQcPhuong Trangauthorizedindividuals:

2-Tnrong hQP'" nltiln duoc uy quyen (ho va ten, ,6 ,l'yNSH, dja chi lien '",jelln case, appointedport is a.individual (Full name, COl No., Permanent address)

I IGhi cM NSH*: f)6i vai cd nhdn: H(j chieu con hieu luc/chung thuc cd nhdn h9'Pphap khdc; f)6i vai 16 chu-c:Giayphep thanh ldp va hoat d(jng/Gidy chung nhdn dang kf kinh doanh/tai lieu phdp If tuong duong.

Note COI*: For an individual investor: valid Passport/social security No; for organizational investor: C rtificate ofIncorporation/Certificate of Business Registration No or equivalent legal document.

2. Dai dien duoc chi dinh/uy quyen thuc hien nghia vu bao cao sa huu va cong b6 thong tin cho nhorn n~a dau nrnuoc ngoai co lien quan sau: Appointed/authorized party to report on ownership and disclose information on behalfof related foreign investors asfollow: ISTT/No Ten nha diu til nllc1Cngoai co lien MSGD ciia nha diu till T- dal d'- I. di hen \ll I~n glao IC

quanIName of related foreign investor Investor's trading code (n~u co)/Name [ftradingrepresentativ. (if any)

II YURIE VIETNAMACCUMULATEDTARGET CB7I61RETURN FUND

2 YURIE VIETNAMSMART ACCUMULATED CB8442TARGET RETURN FUND

3 YURIE VIETNAMSECURITIES CA8662INVESTMENTTRUST (STOCK)YURIE VIETNAMGOVERNMENT BONDIPO

SPECIALIZED INVESTMENTTYPE4 PRIVATE PLACEMENT INVESTMENT CBI831

TRUST (BALANCEDBOND-DERIVATIVETYPE)

YURIE VIETNAMGOVERNMENT& PUBLICBONDPUBLICLY OFFERED STOCKS

5 SPECIALIZED INVESTMENTTYPE CBl832PRIVATE PLACEMENT INVESTMENTTRUST (BALANCEDBOND-DERIVATlVE

TYPE)YURIE VIETNAMPUBLIC OFFERED

I6 SECURITIES MASTER INVESTMENTTRUST CB0959(BALANCEDBOND)

YURIE VIETNAMPUBLICLY OFFEREDSTOCKS PLUS SPECIALIZED INVESTMENT

7 TYPE PRIVATE PLACEMENT CBl830INVESTMENTTRUST (BALANCEDBOND-

DERIVATIVE TYPE)YURIE VIETNAM IPO SPECIALIZED

8 INVESTMENTTYPE PRIVATE PLACEMENT CB1492INVESTMENTTRUST (BALANCEDBOND-DERIVATIVE TYPE)

-- --------- -------- ------

3. Ten c6 phi~ulchUng chi quy dong Ima chimg khoan so huu la d6i nrong bao cao:

Name of securities/fund certificates/ securities code of reported object: Cong ty c6 phin ChUngkhoan nDirect(VNDirect Joint Stock Securities Company/vND)

4. Ngay giao dich lam thay d6i ty I~ so hii"ucua ca nhom NDTNN co lien quan tro thanh c6 dong l6nlnh' dAutuI6nlTrading date observed changes in ownership rate 0/group of related foreign investors that made the group amajor investor: 17/10/2018

5. Thong tin chi ti~t v~ tinh hinh giao dich chirng khoan cua cac thanh vien dful tci ca nhom NDTNN co ien quantro thanh c6 dong lon/nha dAutu I6nIDetail on trades 0/members that made the group became a major investor:

TIINo

Ten nhil.dAunrnuoc ngoai co lienquan thuc hien giao

dich/ Name ofrelated foreign

investors executingtrade

(2)

091-668574-701

Tnroc giao dich/Beforetrade

(4) (5)

S6luc;mgsa

hihllSize ofownership

S6luc;mgd1igiao dich(Mua/ban)

(I) (3)

So luong sahihllSize ofownership

Sau giao dich/After trade

Ty Ie sahihllRate ofownership

(6)

raikhoan

giao dichchUngkhoan/TradingaccountNo

Tai khoan hru Icychung khoan/

Securities depositaccount No

YURIEVIETNAM

ACCUMULATEDTARGET

RETURN FUND

SHVFCB7161 2809225152 o 0,00%

ry Ie sahihllRate 0

ownership

(7)

o

(8)=1(6)-(4)1

o

2

YURIEVIETNAMSMART

ACCUMULATEDTARGET

RETURN FUND

SHVFC88442 2810213741 58,000 0.03% 87,000 29,000

3

YURIEVIETNAM

SECURITIESINVESTMENT

TRUST (STOCK)YURIE

HSBFCA8662

HSBFCBI831 091-001685-701

10,750,317

o

4.97%

0.00%

10,750,317 4.97tt.

I

o O.O~V.

o

o4

VIETNAMGOVERNMENT

BONDIPOSPECIALIZEDINVESTMENTTYPE PRIVATEPLACEMENTINVESTMENT

TRUST(BALANCED

BOND­DERIVATIVE

TYPE)

HSBFCBI832 091-001248-701 o 0.00% o 0.0 % o

5

YURIEVIETNAM

GOVERNMENT& PUBLIC BOND

PUBLICLYOFFEREDSTOCKS

SPECIALIZEDINVESTMENTTYPE PRIVATEPLACEMENTINVESTMENT

TRUST(BALANCED

BOND­DERIVATIVE

TYPE)

YURIEVIETNAMPUBLIC

OFFERED0.00% 0SECURITIES HSBFC 091-158279-701 0 0.00% 06 MASTER 80959

INVESTMENTTRUST

(BALANCEDBONI!}_YURIE

VIETNAMPUBLICLYOFFERED

STOCKS PLUSSPECIALIZEDINVESTMENT HSBFC 0.00% 0 0.000;. 0091-318709-701 07 TYPE PRIVATE BI830PLACEMENTINVESTMENT

TRUST(BALANCED

BOND-DERIVATIVE

TYP~YURIE

VIETNAMIPOSPECIALIZEDINVESTMENTTYPE PRIVATEPLACEMENT HSBFC 091-241018-701 0 0.00% 0 o.oor 08 INVESTMENT B1492

TRUST(BALANCED

BOND-DERIVATIVE

TYPE)

TAngca nb6m NDTnlltYcngoai co lien quanffotal group of10,808,317 4.99% 10,837,317 5.0+. 29,000related foreign investors

Ghi chit/Notes:

.. .. .. .. --l!ao cao duoc th¥_chllimkhi gtao dich cua thanh vten trong nhom lam thay doi ty IIIsa huu cua ca n~om tra thanhco aong lan/nha ddu tu Ion; The report is conducted when group member(s) makers) change to the gr up's rate ofownership and makers) the group major investor

- Bao cao li?t Ice chi tiil tinh trang SCI him clia ttit ca cac thanh vien trong nhom, kJ ca cac thanh vien hong thuchi?n giao dich/The report list group member's rate of ownership, including members who do not trad. ;

- Tai khoan luu kY chtsng khodn: la tai khoan luu kY clia nha adu tu mo tai ngdn hang luu kY (niu co) hoijc la taikhoan giao dich chtrng khoan.iSecurities deposit account is the investor's account opened at custody rank (if any)or securities trading account.

6. Ngay tro thanh cd dong km/nha dAutu 16nJDate of becoming major shareholder/investor: 19/10/118

Chung toi xin cam doan nhtrng thong tin neu tren hoan toan dung.

We hereby certify that the information contained herein and in the attachment is true, complete and rcurate.

Chfr ky xac nhan cua td chirc dugc chi djnh/ca nhan duoc uy quyen bao cao sa hiiulcong be}thong ti Signature ofappointed organization! individual authorized to report on ownership and disclose information

- Truang hgp la ca nhanlFor individual:

Ngin hang TNHH MTV Shinhan Vi~tNam/SHINHAN BANK VIETNAM LIMITED

, .,

HQva Ten, chii' Icy cua ca nhan dUQ'cuy quyen: !Full name, signature of authorizedindividual. _

- Tnrong hop ia t6 chirc/ For organization:

Ten T6 chirc duQ'cchi djnh/Name of appointed Organization:

HQva Ten, cha Icy cua cac ~i di~n c6 thfun quyen, va dong diu (n~u c6 con diu)

(Signature, full name of author' f!d representative and sea/- if any) ~

Chuc danhlTitle: Ph6 Giam dac Phong Djch Vy Chung Khoan - Securities Services Deputy Direc r

Ngay thuc hi~nlReport date: 19/10/2018

IDHSBC

sa: 978-2018IHSSDCC-HSBCTP H6 Chi Minh, ngay 22 thang 10 nam DO18

Kinh gill: Ngsn hang T1\TJIHMTV Shinhan Vi~t Nam

V/v: Xac nhdn s6 du chung khoan va fJi If- so hiiu c6 phieu CTCP Chung khoanVNDIRECT ("VND") VaG cac ngay 17,18 va 19 thong 10 ndm 2018.

Theo yeu d.u cua kl;-ach~ang, Ngan hang HSBC xin xac nhan dSn quy Ngan han~ sodu va ty I~ sa hfru co phieu SHS cua khach hang chung toi v61 chi tiet nhtr sau:

Ten khach hang: YURIE VIETNAM IPO SPECIALIZED INVESTMENT T'['PEPRIVATE PLACEMENT INVESTMENT TRUST (BALANCED BO ~D­DERIVATIVE TYPE)

Tho; di~m Mii r.lTen chung khoan chUng S61U'(rngs6 duo khoan Y i17110/2018 C6 phieu CTCP Chung khoan

VND 0 JVNDIRECT o.OOt

18110/2018 C6 phieu CTCP Chirng khoan VND 0 0.00° 0VNDIRECT

19110/2018 Co phieu CTCP Chung khoan VND 0 0.00° 0VNDIRECT

Ngan hang HSBC cam kSt cac s6 lieu va thong tin khach hang tren day la hoan tc anchinh xac.

n:E~r~I~D TRUEC~PVBy: X rv lMLrtuynh Le Kim ria! Date: 23 OCT 2018

Thay m~t va dai dien choNgan Hang TNHH M(>tThanh Vien HSBC (Vi~t Nam)

Ngan hang TNHH M(lt thanh vien HSBC(Vi(lt Nam)/ HSBCBanI<(Vietnam) Ltd.Toa nha Metropolitan, 235 Dong Khoi. Ouan 1, Tp. Ho Chi Minh, Vi~t NamThe Metropolitan, 235 Dong Khoi Street, District 1, Ho Chi Minh City,Vietnam

Phat hanh bai Ngan hang TNHH Mot thanh vien HSBC(Viet Namj/lssued by HSBCBank (Vietam) Ltd

_ __ __ __ _ _ __ --L. _

IDHSBC

sa: 979-2018IHSSDCC-HSBCTP H6 Chi Minh, ngay 22 thang 10 ndm ,,018

Kinh gUi: Ngan hang TNHH MTV Shinhan Vi~t Nam

V/v: Xac nhdn s6 du chung khoan va tY I? so hiiu cd phieu CTCP Chung khoanVNDlRECT ("VND") vao cac ngay 17,18 va 19 thang 10 ruim 2018.

Theo yeu d.u cua ki?-aeh~ang, Ngan hang HSBC xin xac nhan dSn 9uy Ngan hanp sodu va tY 1~sa hfru co phieu SHS cua khach hang chung t6i voi chi tiet nhu sau:

Ten khach hang: YURIE VIETNAM SECURITIES INVESTMENT TRUST (STO :K)

ThOi di~m Ma

sB du Ten clnmg khoan chUng SBIU'(;mg Ty ~khoan

17110/2018 C6 phieu CTCP Chung khoan VND 10,750,317 4.97 VoVNDlRECT

18110/2018 Co phieu CTCP Chirng khoan VND 10,750,317 4.97fVNDlRECT

19110/2018 Co phieu CTCP Chung khcan VND 10,750,317 4.97 '/0VNDlRECT

Ngan hang HSBC cam kSt cac s6 lieu va thong tin khach hang tren day la hoan t anehinh xac.

Ngan hang TNHH MQt thanh vien HSBC(Vi~t Nam)/ HSBCBanI<(Vietnam) Ltd.Toa nha Metropolitan, 235 Dong Kh&i,Ouan 1,Tp. Ho Chi Minh, Viet NamThe Metropolitan, 235 Dong Khoi Street, District 1, Ho Chi Minh City, Vietnam

Phat hilnh b&i Ngan hang TNHH Mot thanh vien HSBC(Vi$t Nam)/ Issued by HSBCBank (vietarn) Ltd.

TP H6 Chi Minh, ngay 22 thang 10 ndm 018sa: 980-2018IHSSDCC-HSBC

Kinh giH: Ngan hang Tl\1JIHMTV Shinhan Vi~t Nam

V/v: Xac nhdn s6 du chung khodn va ty I? sa hiiu c6 phieu CTCP Chung khoanVNDlRECT ("VND") vao cac ngay 17,18 va 19 thang 10 nam 2018.

Theo yeu du cua khach hang, Ngan hang HSBC xin xac nhan dSn Quy Ngan h'dir va ty 1~sa htru c6 phieu SHS cua khach hang chung toi v61 chi tiet nhu sau:

Ten khach hang: YURIE VIETNAM GOVERNMENT & PUBLIC BOND PUBLI LYOFFERED STOCKS SPECIALIZED INVESTMENT TYPE PRIV TEPLACEMENT INVESTMENT TRUST (BALANCED BG1\11) - DERIV AT VETYPE)

Tho; di~m Ma

s6 du Ten chung khoan chUng S61U'Qng Ty l~khoan

17/10/2018 C6 phieu CTCP Chung khoan VND 0VNDlRECT

18/10/2018 C6 phieu CTCP Chung khoan VND 0VNDlRECT

19110/2018 Co phieu CTCP Chung khoan VND 0VNDlRECT

Ngan hang HSBC cam ket cac s6 lieu va thong tin khach hang tren day la hoan canchinh xac.

Ngan himg TNHH MQt thanh vien HSBC(Vi~t Nam)/ HSBCBank (Vietnam) Ltd.Tea nha Metropolitan, 235 Dong I<hai,Ouan 1,Tp. Ho Chi Minh, Viet NamThe Metropolitan, 235 Dong Khoi Street, District 1, Ho Chi Minh City, Vietnam

Phat hanh boi Ngiin hang TNHH Mot thanh vien HSBC (Viet Nam)/ Issued by HSBC Bank (vietarn) Ltd.

IDHSBC

ss. 981-2018IHSSDCC-HSBCTP H6 Chi Minh, ngay 22 thang 10 nam 018

Kinh gtri: Ngan hang TNHH MTV Shinhan Vi~tNam

V/v: Xac nhdn sc5du chung khoan va tY If SO' hicu cd phieu CTCP Chung k) oanVNDlRECT ("VND") vao cae ngay 17,18 va 19 thang 10 ndm 2018.

Theo yeu du cua khach hang, Ngan hang HSBC xin xac nhan d~n Quy Ngan han g sodu va tY 1~sa hiru cb phieu SHS cua khach hang chung toi voi chi ti~t nhir sau:

Ten khach hang: YURIE VIETNAM GOVERNMENT BOND IPO SPECIALI tEDINVESTMENT TYPE PRIVATE PLACEMENT INVESTMENT TRUST(BALANCED BOND-DERIVATIVE TYPE)

Tho; di~m Ma

s6 dtr Ten clnrng khoan chung S61m;mg Ty l~khoan

17/10/2018cb phieu CTCP Chung khoan VND 0 0.0D%VNDlRECT

18110/2018 Co phieu CTCP Chung khoan VND 0 0.0)%VNDlRECT

19110/2018 Co phieu CTCP Chung khoan VND 0 0.0)%VNDlRECT

Ngan hang HSBC cam ket cac s6 lieu va thong tin khach hang tren day la hoan toanchinh xac.

Ngan hang TNHH M9t thanh vien HSBC (ViE_ltNam)/ HSBC Bank (Vietnam) Ltd.Toa nha Metropolitan. 235 D6ng Kh&i.Ouan 1.Tp. H6 Chi Minh. ViE\! NamThe Metropolitan, 235 Dong Khoi Street. District 1. Ho Chi Minh City. Vietnam

Phat hanh boi Ngan hang TNHH Mot thanh vien HSBC (Viet Nam)/lssued by HSBC Bank (vietarn) Ltd

I

~~HSBC

sa: 982-2018IHSSDCC-HSBCTP H6 Chi Minh, ngay 22 thang 10 ndm ~018

Kinh girl: Ngan hang TNHH MTV Shinhan Vi~t Nam

V/v: Xac nhdn sa du chung khoan va ry I? sa hiiu c6 phieu CTCP Chung AhoanVNDlRECT ("VND") vao cac ngay 17,18 va 19 thang 10ndm 2018.

Theo yeu du cua khach hang, Ngan hang HSBC xin xac nhan d~n Quy Ngan hang s6du va tY 1~sa hfru c6 phieu SHS cua khach hang chung toi V01 chi ti~t nhir sau:

Ten khach hang: YURIE VIETNAM PUBLIC OFFERED SECURITIES MA~ TERINVESTMENT TRUST (BALANCED BOND)

ThOi di~mMfl

s6 dtr Ten chirng khoan clnrng S61U'(;mg Tw l~khoan

17110/2018 C6 phieu CTCP Chirng khoan VND 0 o·fo%VNDIRECT

18110/20 18 Co phieu CTCP Chung khoan V1\TD 0 o·fo%VNDIRECT

19/10/2018 Co phieu CTCP Chung khoan VND 0 o.bo%VNDIRECT

Ngan hang HSBC cam k~t cac s6 lieu va thong tin khach hang tren day la hob toanchinh xac.

Ngan himg TNHH M9t thanh vien HSBC(Vi~t Nam)/HSBCBank (Vietnam) Ltd.Tea nha Metropolitan, 235 D6ng Kh&i, Ouan 1, Tp. H6 Chi Minh, Viet NamThe Metropolitan, 235 Dong Khoi Street, District 1, Ho Chi Minh City,Vietnam

Phat hanh bai Ngan hang TNHH Mot thanh vien HSBC(Viet Nam)/ Issued by HSBCBank (Vietam) Ltd.

___________________ ---1 _

'~HSBC

S8: 983-2018IHSSDCC-HSBCTP H6 Chi Minh, ngay 22 thang 10 ndm 2018

Kinh giri: Ngan hang TNHH MTV Shinhan Vi~tNam

V/v: Xac nhdn s6 du chieng khoan va tY I¢ so hiiu c6 phieu CTCP Chung hoanVNDlRECT ("VND") VaG cae ngay 17, 18 va 19 thdng 10 nam 2018.

Theo yeu d.u cua klfach ~ang, Ngan hang HSBC xin xac nhan d~n quy Ngan hT' g s6dir va tY 1~sa hfru co phieu SHS cua khach hang chung toi veri chi tiet nhu sau:

Ten khach hang' YURIE VIETNAM PUBLICLY OFFERED STOCKS PLUSSPECIALIZED INVESTMENT TYPE PRIVATE PLACEMENT INVESTI\~ENTTRUST (BALANCED BOND-DERIVATIVE TYPE)

Tho; di~m Ma )y l~s8 duo Ten clnmg khoan cluing sa hrengkboan

17/10/2018 C6 phieu CTCP Chung khoanVND 0 0.00%VNDlRECT

18/10/2018 Co phieu CTCP Chirng khoanVND 0 000%VNDlRECT

19110/2018 Co phieu CTCP Chung khoan VND 0 000%VNDlRECT

Ngan hang HSBC cam k~t cac s6 lieu va thong tin khach hang tren day la hoijn toanchinh xac.

Ngan hang TNHH M9t thanh vien HSBC(Vi~t Nam)/ HSBCBank (Vietnam) Ltd.Toa nha Metropolitan, 235 Dong Kh&i, Ouan 1,Tp. Ho Chi Minh, Vi~t NamThe Metropolitan, 235 Dong Khoi Street, District 1, Ho Chi Minh City,Vietnam

Phal hanb boi Ngan hang TNHH Mot thanh vien HSBC(Vi!)t Namll Issued by HSBC Bank (vietarn) Ltd.

----------- --- --- - - - --_ __ L- ___