14.3 Trong qua trinh thuc hien, n@uco yeu c~u sua d6i, b6 sung cho phuhQP voi diSu kien heat dong cua Cong ty va cac quy dinh cua phap lu~t co lienquan, lIDQT se xem xet, quyet dinh.

14.4 Cong ty khong chiu trach nhiem giai quyet cac tranh chap vSquyen 19i va nghia V\1 d6i voi nguoi da ban c6 phan va nguoi cho thira k@khi cac tranh chap do khong diroc quy dinh trong DiSu l~ va khong lien quand@nquyen 19i cua Cong ty.

14.5 Nhtrng diem khong co trong Quy chS nay hoac khong hoantoan phu hop voi DiSu l~ Cong ty thi duoc thuc hien then quy dinh tai DiSul~ cua Cong ty.

Di~u 15. Hi~u l\fc ciia Quy ch~Quy ch@nay da duoc cac thanh vien HDQT thong qua va co hieu hrc

k~ tir ngay HDQT ky quyet dinh ban hanh,

7

chu sa hiru dang bao vS sir viec neu tren, neu sau 15 ngay kS nr ngay rathong bao ma khong co tranh ch~p gi lien quan, c6 dong se diroc Cong tyc~p S6 maio

12.3. C6 dong moi cua cong ty nhan s6 chirng nhan c6 phan moihoac c6 dong Cll co nguyen vong va duoc Cong ty c~p lai s6 moi phai nQPphi cho Cong ty theo rmrc 100.000d6ng/s6.

CHUaNG V. THU Tl)C CHUYEN QUYEN sa HUu

I>i~u 13. H8 SO' chuyen quyen SO' hfru:13.1. C6 dong va cac ben lien quan nQP "Yeu c~u chuyen quyen

sa hfru c6 phan'' theo m~u kern theo cho Ban quan h~ c6 dong.13.2. H6 sa t6i thiSu bao gem:

- Chung minh nhan dan (hoac hQ chien d6i voi nguoi khong phaiQuoc tich Vi~t Nam) ngiroi chuyen va nguoi nhan;

- Giay phep dang ky kinh doanh hoac cac tai lieu clnrng minh tueach phap nhan cua cac t6 chirc, cac h6 sa xac thirc tu each nguoi dai dienphap lu~t va h6 sa clnrng minh quyet dinh mua/ban c6 phan cua t6 chirc.

NSu Ia t6 chirc mroc ngoai, c~n co cac h6 sa khac nrong irng theoquy dinh cua phap luat hien hanh,

- S6 chirng nhan sa hfru c6 phan cua hai ben (hoac ben chuyen neungiroi nhan chua la c6 dong) ..

13.3 Tuy theo loai c6 phan, d6i tirong chuyen nhuong va s6 hrongC6 phan chuyen nhirong, Cong ty co thS yeu c~u them mot each hQ'Ply cacloai h6 sa gi~y to' va giai trinh khac them vao cac loai gi~y to' tren.

13.4 H6 sa thira kS:- H6 sa chimg minh quyen duoc huang thira kS theo cac quy dinh cua

phap lu~t vS thira kS.- H6 sa dS sang ten: S6 chtrng nhan sa hfru c6 phan cua c6 dong da

qua doi hoac chuyen thira kS, ban copy clnrng minh thu nhan dan cua ngiroihuang thira kS (co xu~t trinh ban g6c dS d6i chien)

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PHAN III. TO CHUC THVC HI¢N

I>i~u 14. TB clnrc thuc hi~n14.1 Cac thanh vien lIDQT, T6ng Giam d6c Cong ty, Giam d6c

cac don vi true thuoc, Ban quan h~ C6 dong va cac c6 dong chiu trach nhiemthirc hien quy chS nay.

14.2 Ban kiSm soat chiu trach nhiem giam sat viec thirc hien QuychS nay trong toan Cong ty va kip thai phan anh voi lIDQT vS nhtrng tnronghQ'Pvi pham, thuc hien khong dung quy chS.

6

Cong ty khi@n thai gian hoan t~t thu tuc chuyen nhuong lau hon thai gianneu tren, Cong ty se co thong bao d@ncac c6 dong.

8.4. Thai diem chuyen quyen sa hfru: Viec chuyen nhirong, thirak@c6 phan duoc chap nhan Ia hoan thanh va hQ'P 1~ sau khi cac ben da thirchien d~y du thu tuc chuyen nhuong, thira ke. C6 dong moi da duoc ghi tenvao S6 dang ky c6 dong cua Cong ty va nhan diroc S6 clnrng nhan c6 phanmoi theo quy dinh tai Quy ch@ nay. KS tir thai diem do, nguoi mua hoacnguoi thira k@ c6 phan chinh tlnrc tro thanh c6 dong cua Cong ty va duochuang moi quyen loi, thuc hien nghia vu cua c6 dong theo cac quy dinh taiDiSu 1~Cong ty.

f)i~u 9. Thu~ thu nh~p va cac loai thue/phi lien quan9.1. Cac d6i tuong chuyen nhuong chiu trach nhiem true ti@ptnroc

nha mroc Viet nam vS cac loai phi, thu@phat sinh true tiep hoac gian ti@ptirviec chuyen nhuong nay, bao gom khong han ch@ thu@ thu nhap ca nhan,thu@ thu nhap doanh nghiep, thue chuyen tien ra mroc ngoai, thu@ suat, thu@kh6an, ...

9.2 . Khi co yeu c~u va tuan thu quy dinh cua Nha mroc, Cong tyduoc quyen thu true ti@p va/hoac giu lai cac khoan thu@ noi tren tir cac d6ituong chuyen va nhan chuyen quyen sa hfru c6 phan,

f)i~u 10. Xu ly cAnrc chira dlfQ'C chia va cac quyen lQ'ikhacBen nhan chuyen nhuong duoc quyen huang c6 tire duoc chia va cac

quyen loi khac g~n k@t voi s6 C6 phan chuyen nhirong sau Thai diSmchuyen quyen sa htru, tnr khi Cong ty co thong bao khac ra rang vS cacquyen Ioi nay trong cac chuang trinh phat hanh them hoac chia c6 tire taitirng thai diem.

CHUaNG IV: PHi CHUYEN QUYEN sa HUu, cAp so Mal

f)i~u 11. Muc dich thu phi chuyen quyen slY hii'u va c§p sA:11.1. Phi chuyen quyen sa hiru va c~p s6 do Ban quan h~ c6

dong thu nham phuc vu trang trai cho cac hoat dong lien quan d@ncac dichvu vS chuyen quyen sa hfru c6 phan Cong ty va cac dich vu c6 dong khac.

11.2. Phi chuyen quyen sa hfru thu cua ngiroi chuyen nhuong c6phan hoac cua nguoi nhan thira k@.

f)i~u 12. Mtrc phi chuyen quy~n slY hfru va c§p sA:12.1. Phi chuyen nhuong la: 100.000d6ng (mot tram ngan d6ng

ch~n) d6i voi mot giao dich chuyen nhirong.12.2. Truong hQ'P s6 chimg nhan sa hiru c6 phan bi hu hong, bi

m~t, bi chay hoac bi tieu huy duoi hinh thirc khac, c6 dong diroc quyen lamdon yeu c~u Cong ty c~p lai S6 maio Tuy tnrong hQ'P, l-IDQT co thS yeu c~u

5

d6ng y tren nguyen t~c khong anh huong 100 va true tiSp dSn quyen 19i cuaCong ty va cac c6 dong nho khac,

- C6 phan ph6 thong ma chu sa hfru la C6 dong 100 cua Cong ty. C6dong 100 duoc hiSu 1a C6 dong nam giu tir 5% tro len tong s6 c6 phan trenbao cao tai chinh cong b6 g~n nh~t cua Cong ty. Cac c6 phan nay chi duocchuyen nhirong khi duoc lIDQT d6ng y tren nguyen t~c khong anh hirong100va tnrc tiep dSn quyen 19i cua Cong ty va cac c6 dong nho khac,

- Ngoai cac han che diroc neu a day, C6 phan uu diii con bi han chSchuyen nhuong boi cac quy dinh khac cua quy chS nay va cac diSu kien ghitnrc tiSp tren s6 chimg nhan C6 phan uu diii va duoc cong b6 cong khaitrong thong bao cua lIDQT cong ty vS chuang trinh phat hanh.

- C6 phan cam kSt bi han chS chuyen nhuong cho dSn khi hSt thaigian cam kSt.

- Viec chuyen nhirong C6 phan ph6 thong cho cac ca nhan, t6 clurcco hoat dong kinh doanh cling nganh nghe, cling linh V\lC va co kha nangcanh tranh cao hoac gay anh huong dSn 19i ich cua Cong ty thi do lIDQTquyet dinh va bao cao tai DlIDCD g~n nh~t.

6.3. Trong cac tnrong hop viec chuyen nhirong c6 phan co dieu kienc~n lIDQT phe duyet nhu dii neu a 6.2 va 6.3 noi tren, lIDQT khong coquyen tir choi yeu c~u chuyen nhirong neu khong neu dtroc ly do chinh dangcua viec tir ch6i.

~"'...•

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CHUONG ill. cAc QUY DlNH cu TIlE vE CIIUYEN QUYEN Sa Hiru

Di~u 7. Trach nhiem cua Ban quan h~ c8 dongBan quan h~ c6 dong co trach nhiem then d5i c6 phan cua cac c6

dong, huong d~n cac thu tuc, cung c~p rn~u biSu vS chuyen nhuong cho cacc6 dong co nhu c~u chuyen nhuong, thuc hien viec quan ly va c~p phat s6 c6dong, hoan t~t cac thu tuc chuyen nhirong trinh HQi d6ng quan tri Cong typhe duyet.

Di~u 8. Tho'i gian hoan t§t tho tuc:8.1. Thai gian hoan t~t thu tuc chuyen nhirong khong cham hon 15

ngay lam viec kS tir ngay "Yeu c~u chuyen quyen sa hiru c6 phan'' duoc Banquan h~ c6 dong tiep nhan chinh thirc.

8.2 . Thai gian lIDQT Cong ty tra loi vS viec chap thuan hoac tirchci viec chuyen nhirong cua cac d6i tirong thuoc pham vi cua lIDQT xemxet khong vuot qua 3 thang kS tir ngay "Yeu c~u chuyen quyen sa hiru c6phan'' duoc Ban quan h~ c6 dong tiSp nhan chinh thirc.

8.3. Trong tnrong hop Cong ty tarn ngung viec chuyen nhuong c6phan dS thuc hien ch6t danh sach c6 dong, hoac vi mot ly do nao do vS phia

4

CHUONG I: QUY DINH CHUNG

Di~u 1. Pham vi ap dungQuy chS nay ap dung cho viec chuyen d6i quyen s6 hiru (chuyen

nhirong, thira kS) d6i voi t~t ca cac loai c6 phan cua Cong ty.Di~u 2. Quan ly nha mroc v~ chuyen quyen sir hfru CB phfioKhi Cong ty tro thanh cong ty dai chung hoac b~t dftu niem ySt c6

phieu tren thi tnrong chirng khoan thi viec chuyen nhirong, nhan thira kS cacc6 phan se duoc thirc hien theo cac quy dinh cua Nha mroc vS chuyennhirong, nhan thira kS cac c6 phan cua cong ty dai chung va quy dinh cuaNha mroc vS chimg khoan niem ySt.

Di~u 3. Dfiu m8i quan ly chuyen quyen sir hfru CB phfioHDQT thong nhat viec quan Iy moi v~n dS lien quan dSn viec chuyen

nhuong, thira kS c6 phan cua Cong ty. Chu tich HDQT t6 chirc tiSp nhan vagiai quyet cac yeu cftu cua c6 dong lien quan dSn Quy chS nay va ky xacnhan tren "S6 chirng nhan s6 hfru c6 phan" cling voi TGD.

CHUONG II.DOl TUQNG vA DIEU KIlJ:N CHVYEN QUYEN saHiru

Di~u 4. D8i ttrgog ap dung4.1. D6i nrong chuyen quyen s6 hfru c6 phan gom t~t ca cac c6 dong

so hfru C6 phan ph6 thong va C6 phan Uti dili tuan thu theo DiSu l~ Cong tyva Quy chS nay.

4.2. D6i tuong nhan chuyen quyen so hfru gom t~t ca cac ca nhan, t6chirc hop phap trong mroc va mroc ngoai theo quy dinh cua phap luat VietNam. Uu tien nhirng nha dftu tu co kha nang h6 tro vS chien hroc, congnghe, quan ly cho Cong ty.

Di~u 5. Hioh thircChuyen quyen so hfru c6 phan bao gom cac hinh thirc sau:5.1. Do hai ben chuyen nhuong cho nhau theo thoa thuan mua ban,

cho tang va cac hinh thirc khac theo quy dinh cua B9 luat dan SlJ Vi~t Nam.5.2. Do thira kS.Di~u 6. Di~u ki~o chuyen quyen sir hfru CB phfio6.1. Cac c6 phan ph6 thong diroc tir do chuyen nhirong theo DiSu 11

cua DiSu l~.6.2. Cac tnrong hop chuyen quyen s6 hiru co diSu kien (han chS

chuyen nhuong):- C6 phan ph6 thong ma chu s6 hiru la Chu tich va thanh vien HDQT,

Truong va thanh vien Ban kiem soat, TGD, KS toan tnrong, Giam d6c caccong ty thanh vien, don vi true thuoc, Trong suot thai gian chu s6 htru conduong nhiem, cac c6 phan nay chi diroc chuyen nhirong khi duoc HDQT

-I)

_.~1-

3

CONG TY CO PHANcAp THOAT NUOC LONG AN

CQNG HOA xA HQI CHU NGHiA vrsr NAMDQcl~p - Tl}'do - H~nh phuc

Quy ch~ ni)i bi) v~ quan If c6 dong, c6 phfin taiCfmg ty c6 phfin Cap thoat nmrc Long An

(Ban hanh kern then QD s6: 3gj/QD- IIDQT ngay Aft b ( £O.J1cuaIIDQT)

GIAI THicH TU NGU

Trong Quy chS nay, cac tir ngtr diroc dinh nghia va duoc hieu nhir sau,tnr khi co nhtrng giai thich ra rang khac trong dean van.

1. "CB phAn phB thong" la mot don vi cua v6n diSu l~ cua Cong ty,co menh gia la 10.000 d6ng va cho phep nguoi nam gifr co cac quyen neutrong DiSu l~ cua Cong ty. "CB phieu phB thong" la s6 clnrng nhan sa hiruC6 phan pho thong gom cac noi dung then quy dinh cua phap lu?t hien hanh,

2. "CB phAn uu diii" la mot don vi cua von diSu l~ cua Cong ty, comenh gia la 10.000 d6ng va cho phep ngiroi n~m gifr co cac quyen va gioihan neu trong DiSu l~ cua Cong ty va cac quy dinh cua IIDQT Cong ty duocneu cu thS trong cac chuang trinh khac nhau do IIDQT Cong ty phat hanhtuy tirng thai diem. "CB phieu uu diii" la s6 clnrng nhan sa htru C6 phan Uti

dai g6m cac noi dung then quy dinh cua phap Iuat hien hanh.3. "CB dong" la moi thS nhan hay phap nhan duoc ghi ten trong S6

Dang ky c6 dong cua Cong ty voi tir each la ngiroi sa htru C6 phieu ph6thong va/hoac C6 phieu Uti dai.

4. "Cong ty" duoc hiSu la Cong ty c6 phftncfip thoat mroc Long An5. "HDQT", "BKS", va "TGD" diroc hieu la H9i d6ng quan tri,

Ban kiSm soat, va T6ng giam d6c cua Cong ty.6. "Ban quan h~ cB dong" duoc hiSu la Phong, ban hoac ca nhan

diroc IIDQT Cong ty phan cong quan ly s6 c6 dong va dftu m6i tiSp nhan vathuc hien cac giao dich, thu tuc hanh chinh phap ly lien quan dSn c6 dong,c6 phan va c6 phieu cua Cong ty. Khi cac cong viec nay do cac don vi ngoaiCong ty thuc hien then quy dinh cua nha mroc vS quan ly cong ty dai chungva cong ty niem ySt tren thi tnrong Chung khoan, "Ban quan h? cadong" se tiep tuc la dftu moi giao tiSp gitra Cong ty voi cac don vi/ca nhanngoai Cong ty vS Iinh VlJC nay.

.,--- •.III

2

Ml)C Ll)CGIA.I THICH TIT NGU:

CHUONG 1-NHUNG QUY DJNH CHUNG

DiSu 1. Pham vi ap dungDiSu 2. Quan ly nha mroc vS chuyen quyen sa hfru c6 phanDiSu 3. D~u m6i quan ly chuyen quyen sa hiru c6 phanCHUONG II. DOl TUQNG VA DIEU KI"¢NCHUYEN QUYEN so utruDiSu 4. D6i tUQ11gap dungDiSu 5. Hinh thircDiSu 6. DiSu kien chuyen quyen sa hfru c6 phanCHUONG III. cAc QUY DJNH Cl) THE VE CHUYEN QUYEN so ntruDiSu 7. Trach nhiem cua Ban quan h~ c6 dongDiSu 8. Thai gian hoan t~t thu tucDiSu 9. ThuS thu nhap va cac 10C;lithuS/ phi lien quanDiSu 10. Xu ly c6 tire chua duoc chia va cac quyen loi khacCHUONG IV. PHI CHUYEN QUYEN sa mru, cAp so MOl

DiSu 11. Muc dich thu phi chuyen quyen sa hfru va c~p s6DiSu 12. Mire phi chuyen quyen sa hfru va c~p s6CHUONG V. THU Tl)C CHUYEN QUYEN sa ntruDiSu 13. H6 sa chuyen quyen sa hiruPHAN III. TO CHUC THVC HI"¢N

DiSu 14. T6 chirc thuc hien

DiSu 15. Hieu luc cua Quy chS

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CONG TY CO PHAN cAp THOA.T NUaC LONG AN

QUY CHE NOI BO VE QUAN LY~" z ~

CO DONG, CO PHAN

Nam 2014

CONG TY CO PHA.N

cAp THOA.T NUOC LONG AN

S8: ~9j/QDCN - HDQT

CONG HOA xA HOI CHU NGHiA VI~T NAMDQc I~p - TV do - H~nh phiic

Long An, ngay Af-thimg 6 ndm 2014

QUYETDINH

V~vi~c ban hanh Quy ch~ nQi bQv~ quan If cB dong, cB ph~n

HOI DONG QUAN TRJ CONG TY CO PHAN

cAp THOAT NUaC LONG AN

Can cir Luat doanh nghiep s6 60/2005/QHll diroc Quoc hoi Khoa X cuamroc Cong hoa xa hoi chu nghia Viet Nam thong qua ngay 2911112005;

Can cir DiSu 1~t6 chirc va hoat dong cua Cong ty c6 phan Cc1pthoat mrocLong An duoc Dai hQi dong C6 dong thong qua ngay 26/9/2013;

Can cir Nghi quyet s6 475A/NQ- DHCDICty ngay 26/9/2013 cua Dai hoid6ng C6 dong thanh lap Cong ty c6 phan Cc1pthoat mroc Long An;

Can cir bien ban hop HDQT Iftn tlnr 3, nhiem ky (2013 - 2019) ngay 10thang 6 nam 2014, V/v dong gap y ki~n thong qua Quy ch~ chi tieu nci bQ, Quyche Ban kiem soat, Quy ch~ quan ly c6 dong, k~ hoach SX - KD va Dftu tuXDCB nam 2014,

QUYET DINH:

Di~u 1. Ban hanh kern theo Quyet dinh nay Quy ch~ noi bQ vS quan ly c6dong, c6 phan cua Cong ty c6 phan Cc1pthoat mroc Long An.

Di~u 2. Cac thanh vien HQi dong quan tri, T6ng Giam d6c, Pho T6ngGiam d6c va cac Truong, Pho cac bQ phan cua Cong ty c6 phan Cc1pthoat nuocLong An chiu trach nhiem thi hanh quyet dinh nay.

Di~u 3. Quyet dinh co hieu hrc kS tir ngay ky.

Noi nh~n:- Nhir di~u 3;- Liru: VT, TC - HC.