PHI} Ll)C so 05 APPENDIX 05 BAa cAa TlNH HlNH QUAN TRl CONG TY , REPORT ON CORPORATE GOVERNANCE (Ban hann kem theo Thong tu s6 155/2015/TT-BTC ngay 06 thdng 10 ndm 2015cua B6 Tai chinh huang ddn c/ing b6 thong tin tren thi truong chung khodn) (Promulgated with the Circular No 155/2015/TT-BTC on October 06, 2015 of the Ministry of Finance guiding the Information disclosure on securities markets) CONG TYCP THEP CONG HOA xA HOI CHU NGHiA VIET NAM . . . DANA-V THE SOCIALIST REPUBLIC OF VIETNAM Company name BQc l~p - Tl! do - Hanh phuc Independence - Freedom - Happiness s6:A.oD ../DNY No. Da N8ng, ngay 20 thang 07 nam 2018 ...... , day month year . BAo cAo TINH HINH QUA.N TRJ CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY (6 thang /nam) (6 months/year) Kinh giri: - Uy ban Chimg khoan Nha mroc - Sa Giao dich Chung khoan To: - The State Securities Commission - The Stock Exchange - Ten cong ty niem yStlName oflisting company: CONG TY CP THEP DANA-V - Dia chi tru sa chinh/Address of headoffice.Duong 11B, KCN Thanh Vinh, Phuong Hoa Khanh Bac, QU9n Lien Chieu, Thanh ph6 Da N8ng -Dien thoai/ Telephone: 0236. 3841967 Fax: 0236.730718 Email: - V6n di~u l~/ Charter capital: 269.995.170.000 d6ng - Mll clnrng khoan/ Securities code: DNY I. Hoat dQng cua Dai hQi dang cB dong/Activities of the General Meeting of Shareholders Thong tin v~ cac cuoc hQP va Nghi quyet/Quyet dinh cua Dai hoi d6ng c6 dong (bao gom ca cac Nghi quyet cua Dai hoi d6ng c6 dong duoc thong qua diroi hinh thuc l~y y kien bang van ban)/ Information on meetings and resolutions / decisions of the General Meeting of Shareholders (including the resolutions of the General Meeting of Shareholders adopted in the form of written comments): Stt S6 Nghi quyet/ Quyet dinh Ngay NQi dung No. Resolution/Decision No. Date Content 01 89/2018/NQ-HDQT 29/04/2018 Dai HQi dong c6 dong thuong ~L ~~--~~r----
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PHI} Ll)C so 05APPENDIX 05
BAa cAa TlNH HlNH QUAN TRl CONG TY ,REPORT ON CORPORATE GOVERNANCE
(Ban hann kem theo Thong tu s6 155/2015/TT-BTC ngay 06 thdng 10 ndm 2015cua B6 Taichinh huang ddn c/ing b6 thong tin tren thi truong chung khodn)
(Promulgated with the Circular No 155/2015/TT-BTC on October 06, 2015 of the Ministry ofFinance guiding the Information disclosure on securities markets)
CONG TYCP THEP CONG HOA xA HOI CHU NGHiA VIET NAM. . .DANA-V THE SOCIALIST REPUBLIC OF VIETNAM
Company name BQc l~p - Tl! do - Hanh phucIndependence - Freedom - Happiness
s6:A.oD .. /DNYNo.
Da N8ng, ngay 20 thang 07 nam 2018...... , day month year .
BAo cAo TINH HINH QUA.N TRJ CONG TY NIEM YETREPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY
(6 thang /nam)(6 months/year)
Kinh giri: - Uy ban Chimg khoan Nha mroc- Sa Giao dich Chung khoan
To: - The State Securities Commission- The Stock Exchange
- Ten cong ty niem yStlName oflisting company: CONG TY CP THEP DANA-V
- Dia chi tru sa chinh/Address of headoffice.Duong 11B, KCN Thanh Vinh, Phuong HoaKhanh Bac, QU9n Lien Chieu, Thanh ph6 Da N8ng
- V6n di~u l~/ Charter capital: 269.995.170.000 d6ng
- Mll clnrng khoan/ Securities code: DNY
I. Hoat dQng cua Dai hQi dang cB dong/Activities of the General Meeting of Shareholders
Thong tin v~ cac cuoc hQP va Nghi quyet/Quyet dinh cua Dai hoi d6ng c6 dong (bao gom cacac Nghi quyet cua Dai hoi d6ng c6 dong duoc thong qua diroi hinh thuc l~y y kien bang vanban)/ Information on meetings and resolutions / decisions of the General Meeting ofShareholders (including the resolutions of the General Meeting of Shareholders adopted inthe form of written comments):
01 89/2018/NQ-HDQT 29/04/2018 Dai HQi dong c6 dong thuong
~L ~~--~~r----
nien 2018
II. HQi d[)ng quan tr] (Bao cao 6 thang/namj/ Board of Management (Semi-annuaVannualrepor~):
1. Thong tin v~ thanh vien HQi d6ng quan tri (HDQT)/ Information about the members of theBoard of Management:
Stt Thanh vien HDQT / Chirc Ngay b~t S6 buoi Ty l~ tham Ly doNo. BOM's member Vl)I d~U/khong con h9P HDQT dir hop/ khong
Positio la thanh vien tham d\l'/ Percentage tham dun HDQT/ Day Number of hop/
becoming/no attendance Reasonslonger member forof the Board of absenceManagement
OnglBa Mr./Ms .
....
Ong IMr Huynh VanChu 22/02/2008 6l. tich 0%Din
HDQTPh6
2. Ong IMrNguy€n Chi Chu 01105/2016 6 0%Kien tichHDQTThanh
3. OnglMr H6 Nghia Tin vien 3010612013 6 0%HDQT
BalMs Phan Thi ThaoThanh
4. vien 3010612013 6 0%SuangHDQT
I Ong/Mr Phan Xuan Thanh5. vien 30106/2013 6 0%
I Thi~nHDQT I
2. Hoat dong giam sat cua HDQT d6i voi Ban Giarn d6c/ Supervision by the BOD over theDirector (General Director): Thuong xuyen
3. Heat dong cua cac ti~u ban thuoc HQi d6ng quan tri/ Activities of the Board of Directors'committees: Thuong xuyen
4. Cac Nghi quyet/Quyet dinh cua HQi dong quan tri(Bao cao 6 thang/namj/R l . /D .. if h B d if D· (S If, l ~eso utzons ectsions 0 t e oar 0 irectors emi-annua annua reports :
2. Hoat d9ng giam sat cua BKS d6i voi HDQT, Ban Giam d6c diSu hanh va c6 dongSurveillance activities of the Supervisory Boardtoward the Board of Management, Board ofDirectors and shareholders: Thuong xuyen
3. Su phoi hop hoat dong gifra BKS d6i voi hoat dong cua HDQT, Ban Giam d6c dieu hanhva cac can b9 quan ly khac/ The coordination among the Supervisory Boardwith the Board ofManagement, Board of Directors and different managers: Thuong xuyen
4. Hoat dong khac cua BKS (neu c6)1 Other activities of the Supervisory Board(if any):
IV. Dao tao v~ quan tr] cong tyl Training on corporate governance:
Cac kh6a dao tao vS quan tri cong ty ma cac thanh vien HDQT, thanh vien BKS, Giam d6c(T6ng Giarn d6c) diSu hanh, cac can b9 quan ly khac va Thir ky cong ty dll tham gia theo quydinh vS quan tri cong tyl Training courses on corporate governance which members of Boardof Management, members of the Supervisory Board, Director (CEO), other managers andcompany secretary was involved in accordance with regulations on corporategovernance: Thuong Xuyen
V. ,Danh sach v~ ngU'iri co lien quan cua cong ty niem y~t theo quy djnh tai khoan 34Dieu 6 Lu~t Chung khoan (Bao cao 6 thang/nam) va giao djch cua ngutri co lien quancua cong ty v6'i chinh Cong ty 1List of affiliatedpersons of the public company as specifiedin clause 34, Article 6 of the Securities Law (Semi-annual/annual reports) andtransactions of affiliatedpersons of the Company with the Company)
1. Danh sach ve nguoi c6 lien quan cua cong tyl List of affiliatedpersons of the Company
ST Ten t6 chirc/ca Tai Chirc S6 Dia Thai Thai Ly doT nhfulName of khoan vu tai Giay chi tru di~m diem Reason
No. organizati giao cong ty NSH*, s6 b~t diu khong son/individual dich (neu ngay chinh/ ia con ia
--------------~~--~----~,--
...
chung co) cap, Dia nguoi nguoikhoan Positio nO'l chi co lien co lien
(neu co) n at the cap lien h~ quan quanSecuriti compan NSH Addres Time Time
es y (if No. *, s of oftrading any) date of startin endingaccount issue, g to be to be(ifany) place affiliat affiliat
of ed edissue person person
1 Huynh Van Tan Chli 20089 l35 22/021tich 3496 nguye 2008HDQT ;27/04 n Van
9 Tr§.n Mai Thi Be K~ 20132 Hoa 01/031Li~u Toan 7018; Khanh 2008
Tnron 15/091 Nam.g 2010 Q
LienCA Chieu,TP Da tp DaN~ng N~ng
Ghi chit/Note: S6 Gidy NSH*: S6 CMND/H9 chidu (d6i voi cci nhdn) hoac S6 GCN dang IcYdoanh nghiep, Gidy phep hoat dong hoac gidy ta phap If tuong duong (d6i vai t6chuc)/NSH: In case of individual: ID card/Passport No.; In case of organization: License of
---.L ~,-
establishment and operation/Certificate of business registration/equivalent legal documents.
2. Giao dich gifra cong ty voi nguoi co lien quan cua cong ty; hoac gifra cong ty voi c6 dong16n, nguoi noi bo, ngiroi co lien quan cua nguoi nQi bQ/ Transactions between the companyand the affiliated persons or between the company and major shareholders, internal personsand related person of internal person.
tl
ST Ten t6 M6i quan sf> Dia Thai sf>Nghi sf> GhiT chirc/ca h~ lien Giay chitrv di~m quyet/ IUQ1lg,ty chu
No. nhan quan voi NSH*, So' giao Quyet l~ n~m NotName of cong ty n&ay chinh/ dich voi dinh cua gitt co eorganiza Relations cap" Dia cong ty DHDC phieu
tion/ hip naicap chi Time of D/ sau khiindividua NSH lien transacti HDQT .. giao dich
I No.*, h~ ons . thong Number,date of Addre qua (nSu ownershiissue, ss cO,neu pplace ro ngay proporti
of issue ban on ofhanh) shares/fu
Number ndof certificat
resoluti es holdons/ after the
decision transactis of the onAGM/BOM
adopted(if any,specifydate ofissue)
Ghi chu/Note: s6 Giay NSH*: s6 CMND/H9 chdu (a6i voi ca nhdn) hoac s6 GCN dang leYdoanh nghiep, Gidy phep hoat a9ng hoac gidy to phap If; tuong duong (a6i voi t6 chuct/NSH*: In case of individual: ID card/Passport No.; In case of organization: License ofestablishment and operation/Certificate of business registration/equivalent legal documents.
3. Giao dich gitra ngiroi nQi bQ cong ty niem ySt, ngiroi co lien quan cua nguoi noi bQ voicong ty con, cong ty do cong ty niern ySt n~ quyen ki~m soat/ Transaction between internalperson of listed company and company's subsidiaries, or the company in which listed
t k t II"company a es con ro lnf!..power
Stt Nguoi Quan h~ Chtrc sf> Dia Ten Thai sf> IUQ1lg, GhN thuc voi vu tai CMND/H chi cong ty di~m ty l~ nam 1
o. hien nguoi CTNY Qchieu, Addr con, giao gifr co chgIaO nQibQ Positti ngay c~p, ess cong ty dich phieu sau Udich Relation on at noi cap do Time of khi giao No
~-
I I Transact ship listed ID CTNY transac dich/ teion with compa card/Pass narn tion Number,
executor internal ny port No., quyen ownershiperson date of kiem , p
issue, soatNam proportioplace of eof nof
issue subsidia shares/furies, the ndcompany certificat
which es holdlisted after the
company transacticontrol on
;::
4. Giao dich gifra cong ty voi cac d6i tUQTIgkhac/ Transactions between the company andother objects
4.1. Giao dich gifra cong ty voi cong ty mil thanh vien HDQT, thanh vien Ban Ki~m soat,Giam d6c (Temg Giam d6c) di~u hanh dff va dang la thanh vien sang l~p hoac thanh vienHDQT, Giam d6c (T6ng Giam d6c) di~u hanh trong thai gian ba (03) nam tro lai day (tinh taithai di~m l~p bao cao)/ Transactions between the company and the company that members ofBoard of Management, members of the Supervisory Board, Director (CEO) has been afounding member or members of Board of Management, Director (CEO) in three (03) years(calculated at the time of reporting).
4.2. Giao dich gitra cong ty voi cong ty mil ngiroi c6 lien quan cua thanh vien HDQT, thanhvien Ban Ki~m scat, Giam d6c (T6ng Giam d6c) di~u hanh la thanh vien HDQT, Giarn d6c(T6ng Giam d6c) di~u hanh/ Transactions between the company and the company thatrelatedperson of members of Board of Management, members of the Supervisory Board,Director (CEO) as a member of Board of Management, Director (CEO).
4.3. Cac giao dich khac cua cong ty (neu c6) c6 th~ mang lai loi ich v~t ch&thoac phi v~t ch&td6i voi thanh vien HDQT, thanh vien Ban KiSm soat, Giam d6c (T6ng Giarn d6c) di~u hanh/Other transactions of the company (if any) may be beneficial material or immaterial formembers of Board of Management, members of the Supervisory Board, Director (CEO).
VI. Giao djch c6 phieu ciia ngutri nQi bQ va ngu'(),i lien quan ciia ngU'Oi nQi bQ (Bao cao 6thang/nam)/ Transactions of internalpersons and related person of internal person (Semi-annuaVannualrepor~)
1. Danh sach nguoi noi b<)va ngiroi c6 lien quan cua nguoi noi b<)/List of internalpersonsd hei tffili d
•.o
an t etr a 1 late tpersons
Stt H9 ten Tfti Chirc vu S6 Dia chi S6 c6 Tyl~sa GhiNo. Name khoan tai cong ty CMND/ lien h~ phieu sa hfru c6 chu
giao dich (neu c6) H<) Addres huu phieu cuoi Notchung Position chien, s cu6iky ky ekhoan at the ?gfty Number Percentage
(neu c6) company cap, noi of of shareSecuritie (if any) dpiD shares ownerships trading card/Pas owned at the endaccount sport at the of the
-----,L- ~ ~r---
(ifany) No., date end of periodof issue, theplace of period
Phan Nguai 2008810 135 4.333.4 16,05%Thi lien quan 69 nguye 99Thao ;28/04/2 n VanSuang 005 Linh,
tp DaCA TP NangDaN~ng
Huynh Ngiroi 2008934 135 1.349.9 5%Van Tan lien quan 96 nguye 99
;27/04/2 n Van
005 Linh,tp Da
CA TP N~ngDaN~ng
Phan Nguai 2000259 214 Le 298.34 1,1,%Thi lien quan 54 DuAn, 9
---,L ~ _=r_---
cc,
Thuy ;26/08/2 tp DaLieu 008 N£ng
CA TP ,DaNang
Phan Nguoi 2000259 44/8 404.99 1,5%Thi lien quan 53 B~c 9Thuy ;18/1111 DAu,Van 999 Tp Da
N£ngCA TPDaN£ng
Phan Nguoi 2000259 71 Hili 32.399 0,1%Thi lien quan 55 PhongThuy Ai ;27/12/2 , Tp
008 DaN£ngCA TP
DaN£ng
Phan Ngiroi 2001852 03 B~c 52.325 0,2%Xuan lien quan 45; DAu,Kien 17/12/2 tp Da
008 N£ng
CA TPDaN£ng
Phan Nguoi 2013286 T6 60, 85.184 0,3%Xuan lien quan 76 p.ChinL<)c ;23/05/2 h
009; Gian,Tp DaCA TP N£ng
DilN£ng
Huynh Truong 2000259 71 Hili 0 0%Thi ban kiem 55 Phong,Loan soat ;27/12/2 tp Da
008 N£ng .
CA TPf)aN~ng ,
Huynh Thanh 2013962 114 0 0%Duy vien Ban 68 Phl;tmCirong Kiem ;14/07/2 Tu, TP
SoM 009 DaN~ng
CA TPDaN~ng
Pham Thanh 2013561 39 Bui 0 0%Thi Thu vien Ban 90 Vi~n ,Suang Ki~m ;05/02/2 Tp Da
SoM 009 N~ng
CA TPDaN~ng
Tr~n K~ Toan 2013270 Hoa 0 0%Mai Thi Truong 18; KhanhBe Lieu 15/09/2 Nam.
010 Q LienChien,CA TP tp Da
Da N~ngN~ng
2. Giao dich cua nguoi noi bl) va nguoi co lien quan d6i voi c6 phieu cua cong ty niem y€t/Transactions of internal persons and affiliated persons on shares of the listed company
Stt Ngiroi Quan h~ S6 c6 phieu sa hfru S6 c6 phieu sa htru Ly doNo thirc hien voi ngiroi d~uky cu6i ky tang,
giao dich nl)i bl) Number of shares Number of shares giamTransacti Relationsh owned at the owned at the end of (mua,
on ip with beginning of the the period ban,executor internal period chuy~n
person d6i,
S6 c6 Ty l~ S6 c6 Ty l~ thuong ...
phieu Percentag phieu Percentag )Reasons
Numbe e Numbe e for, increase,rof rof
decreaseshares shares (purchase, sale,switch,
reward. ..)
VII. Cac v§n d~ c§n luu y khac/ Other significant issues