Upload
others
View
6
Download
1
Embed Size (px)
Citation preview
1
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.
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
8/1/2012 Appointed to be
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
12/28/2012 Appointed to be
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
Room 213, Collective
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
#11, Street No.1, Zone
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
- 0.00% Older sister of
Mr. Ngo Chi
Dzung
5 Hoang Anh
Minh
NA NA 011685494 10/4/2010 Ha Noi
Police
#11, Street No.1, Zone
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
#11, Street No.1, Zone
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
#11, Street No.1, Zone
A, Nam Thanh Cong,
Dong Da, Ha Noi
- 0.00% Child of Mr.
Ngo Chi
Dzung
8 Ngo Chi Trung
Johnny
NA NA At early
age
#11, Street No.1, Zone
A, Nam Thanh Cong,
Dong Da, Ha Noi
- 0.00% Child of Mr.
Ngo Chi
Dzung
9 Bui Dinh Do NA NA 012922254 Ha Noi
Police
- 0.00% Father of Mr.
Bui Hai Quan
10 Mac Thi Hien NA NA 012922255 Ha Noi
Police
- 0.00% Mother of Mr.
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
Yen Residential zone,
Trung Hoa, Cau Giay,
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
Yen Residential zone,
Trung Hoa, Cau Giay,
Ha Noi
- 0.00% Daughter of
Mr. Bui Hai
Quan
14 Bui Hai Ngan NA NA At early
age
#10, Lot 2B, Trung
Yen Residential zone,
Trung Hoa, Cau Giay,
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
199 Doi Can, Ba Dinh,
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
199 Doi Can, Ba Dinh,
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
199 Doi Can, Ba Dinh,
Ha Noi
- 0.00% Spouse of Mr.
Lo Bang
Giang
23 Lo Thuy Duong
Sophia
NA NA At early
age
199 Doi Can, Ba Dinh,
Ha Noi
- 0.00% Daughter of
Mr. Lo Bang
Giang
24 Lo Thuy Vy
Kristina
NA NA At early
age
199 Doi Can, Ba Dinh,
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
199 Doi Can, Ba Dinh,
Ha Noi
- 0.00% Son of Mr. Lo
Bang Giang
26 Lo Thuy Minh NA NA At early
age
199 Doi Can, Ba Dinh,
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
- 0.00% Spouse of Mr.
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
- 0.00% Older sister of
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
- 0.00% Mother of Ms.
Nguyen Thi
Mai Trinh
39 Nguyen Minh
Trung
NA NA 011217660 9/3/1999 Ha Noi
Police
- 0.00% Older brother
of Ms.
Nguyen Thi
Mai Trinh
40 Duong Viet
Long
NA NA 011440316 7/22/2004 Ha Noi
Police
Room 103 - E4, Thanh
Xuan Bac, Ha Noi
- 0.00% Spouse of Ms.
Nguyen Thi
Mai Trinh
41 Duong Nguyen
Mai Linh
NA NA At early
age
Room 103 - E4, Thanh
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
Room 103 - E4, Thanh
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
- 0.00% Older sister of
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
- 0.00% Older brother
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
- 0.00% Older sister of
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
- 0.00% Older sister of
Ms. Trinh Thi
Thanh Hang
48 Nghiem Xuan
Duc
NA NA 012050796 1/17/2007 Ha Noi
Police
#23, Giap Bat street,
Hoang Mai District,
Ha Noi
- 0.00% Spouse of Ms.
Trinh Thi
Thanh Hang
49 Nghiem Xuan
Tung
NA NA At early
age
Ha Noi
Police
#23, Giap Bat street,
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
#23, Giap Bat street,
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
Can, Ba Dinh, Ha Noi
- 0.00% Spouse of Mr.
Nguyen Duc
Vinh
54 Nguyen Duc
Giang
NA NA 012614555 6/26/2003 Ha Noi
Police
C10, No. 142, Doi
Can, Ba Dinh, Ha Noi
- 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
Can, Ba Dinh, Ha Noi
- 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
- 0.00% Older sister of
Mr. Nguyen
Duc Vinh
57 Nguyen Duc
Tam
NA NA 011787567 4/24/2007 Ha Noi
Police
Ciputra zone, Tay Ho,
Ha Noi
- 0.00% Older brother
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
- 0.00% Older brother
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
- 0.00% Older brother
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
- 0.00% Older sister of
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
- 0.00% Older sister of
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
Xo collective zone, Ha
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
Xo collective zone, Ha
Noi
- 0.00% Daughter of
Mr. Nguyen
Thanh Binh
66 Nguyen Anh
Tuan
NA NA At early
age
Room 310 - D2, Viet
Xo collective zone, Ha
Noi
- 0.00% Son of Mr.
Nguyen
Thanh Binh
67 Nguyen Minh
Anh
NA NA At early
age
Room 310 - D2, Viet
Xo collective zone, Ha
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
Kieng Ward, District
7, Ho Chi Minh City
- 0.00% Spouse of Mr.
Phan Ngoc
Hoa
77 Phan Le Bao
Thy
NA NA At early
age
81A, Street 11, Tan
Kieng Ward, District
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
Kieng Ward, District
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
#4, Hoang Dieu, Quan
Thanh Ward, Ba Dinh,
Ha Noi
- 0.00% Spouse of Ms.
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
#4, Hoang Dieu, Quan
Thanh Ward, Ba Dinh,
Ha Noi
- 0.00% Child of Ms.
Duong Thi
Thuy
81 Nguyen Minh
Anh
NA NA At early
age
#4, Hoang Dieu, Quan
Thanh Ward, Ba Dinh,
Ha Noi
- 0.00% Child of Ms.
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
- 0.00% Father of Ms.
Duong Thi
Thuy
83 Nguyen Thi
Thinh
NA NA 125428045 28/11/2007 Bac Ninh
Police
#20, Nguyen Gia
Thieu, Bac Ninh City
- 0.00% Mother of Ms.
Duong Thi
Thuy
84 Duong Thi Hoai
Giang
NA NA 012342693 8/1/2009 Ha Noi
Police
Thanh Nhan Hospital,
Ha Noi
- 0.00% Older sister of
Ms. Duong
Thi Thuy
85 Duong Trong
Hien
NA NA 125428045 11/28/2007 Bac Ninh
Police
Ministry of Planning
& Investment, Ha Noi
- 0.00% Older brother
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
- 0.00% Older sister of
Ms. Duong
Thi Thuy
87 Duong Minh
Chinh
NA NA P2223707 5/19/2009 Immigratio
n
Department
Tran Khat Chan street,
Ha Noi
- 0.00% Older brother
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
NA NA - 0.00% Younger
brother of Ms.
Duong Thi
Thu Thuy
91 Duong My
Hanh
NA NA - 0.00% Younger
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
- 0.00% Child of Ms.
Duong Thi
Thu Thuy
94 Nguyen Nguyen
Minh
NA NA At early
age
C21, Room 405,
Thanh Xuan Bac
Ward, Thanh Xuan,
Ha Noi
- 0.00% Child of Ms.
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
- 0.00% Child of Ms.
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
NA NA - 0.00% Younger
brother of Ms.
Nguyen Thi
Bich Thuy
99 Nguyen Nhu
Thanh
NA NA - 0.00% Younger
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
- 0.00% Spouse of Ms.
Nguyen Thi
Bich Thuy
101 Nguyen Thi
Thuy Tien
NA NA At early
age
Room 213, Collective
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
Room 213, Collective
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
- 0.00% Mother of Ms.
Luu Thi Thao
105 Luu Thi Phuong NA NA 171527737 4/11/2000 Thanh Hoa
Police
25 Xuan Dieu, Thanh
Hoa City
- 0.00% Older sister of
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
#4, Lane 1/20, Trung
Hoa Nhan Chinh,
Thanh Xuan, Ha Noi
- 0.00% Spouse of Ms.
Luu Thi Thao
109 Hoang Minh
Duc
NA NA At early
age
#4, Lane 1/20, Trung
Hoa Nhan Chinh,
Thanh Xuan, Ha Noi
- 0.00% Child of Ms.
Luu Thi Thao
110 Hoang Minh Tri NA NA At early
age
#4, Lane 1/20, Trung
Hoa Nhan Chinh,
Thanh Xuan, Ha Noi
- 0.00% Child of Ms.
Luu Thi Thao
111 Josef Hovorka NA NA Nad udolim 10, Praha
14700, Czech republic
- 0.00% Father of Mr.
Marek
Hovorka
112 Josefa Hovorka NA NA Nad udolim 10, Praha
14700, Czech republic
- 0.00% Mother of Mr.
Marek
Hovorka
113 Lukas Hovorka NA NA Nad udolim 10, Praha
14700, Czech republic
- 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
- 0.00% Father of Ms.
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,
Lang Ha, Dong Da, Ha
Noi
- 0.00% Child of Ms.
Nguyen Thi
Thu Hang
118 Hoang Lan
Phuong
NA NA At early
age
Room 413 - C3,
Hoang Ngoc Phach,
Lang Ha, Dong Da, Ha
Noi
- 0.00% Child of Ms.
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
- 0.00% Mother of Mr.
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,
Binh Thanh District,
Ho Chi Minh City
- 0.00% Spouse of Mr.
Kalidas
123 Damayanti
Ghose
NA NA G4622941 India 600a, Dien Bien Phu,
Binh Thanh District,
Ho Chi Minh City
- 0.00% Child of Mr.
Kalidas
124 Arundhati NA NA G4622941 India 600a, Dien Bien Phu,
Binh Thanh District,
Ho Chi Minh City
- 0.00% Child of Mr.
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
- 0.00% Spouse of Ms.
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
- 0.00% Father of Ms.
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
- 0.00% Mother of Ms.
Luu Thi Anh
Xuan
130 Luu Quang Loc NA NA 023280810 11/15/2011 Sai Gon Pearl, District
1, Ho Chi Minh City
- 0.00% Older brother
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
- 0.00% Older sister of
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
7,821,034 1.55% 8,936,112 1.55% Share dividends, and
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
19,885,652 3.94% 22,720,834 3.94% Share dividends, and
bonus shares
5 Nguyen Thi Mai Trinh Member of
Supervisory Board
24,801,687 4.91% 28,349,194 4.91% Share dividends, and
bonus shares
6 Nguyen Thanh Binh Deputy Chief
Executive Officer
538,973 0.11% 215,915 0.04% Share dividends, and
bonus shares. Share
transferring to Ms.
Nguyen Thi Thanh Nhan
7 Phan Ngoc Hoa Deputy Chief
Executive Officer
117,678 0.02% 134,455 0.02% Share dividends, and
bonus shares
8 Duong Thi Thuy Deputy Chief
Executive Officer
16,158 0.003% 18,461 0.003% Share dividends, and
bonus shares
9 Duong Thi Thu Thuy Deputy Chief
Executive Officer
13,336 0.003% 15,237 0.003% Share dividends, and
bonus shares
10 Luu Thi Thao Deputy Chief
Executive Officer
38,567 0.01% 44,065 0.01% Share dividends, and
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
146,466 0.03% 167,348 0.03% Share dividends, and
bonus shares
15 Kim Ngoc Cam Ly Spouse of Mr. Bui
Hai Quan
1,180,175 0.23% 1,389,090 0.24% Share dividends, and
bonus shares
16 Viet Hai Technology
Trading Company
Limited
Company where
Mr. Bui Hai Quan
is the Director and
owns 90% of
Charter capital
12,548,270 2.48% 14,337,330 2.48% Share dividends, and
bonus shares
17 Viet Hai Investment
JSC
Company where
Mr. Bui Hai Quan
is the Director
10,947,267 2.17% 12,508,065 2.17% Share dividends, and
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,
P a g e 25
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
6,051 0.00% 6,913 0.00% Share dividends, and
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
P a g e 26