BO TA! CHiNH a:MG BOA XA HOT CHU NGHIR VIBT NAM SO GIAO NCH mimic KHOAN TP.HCM DO Ip - Tv do - H3nh phfic

SO: 4.4+ /QD-SGDHCM

Thanh Ha Chi Minh, ngay 31 thoing 07 Mim 2020

QUYET DINH Chap thu4n niern yet chting quyen có bao dam

TONG GIAM DOC SO GIAO DICH CH(NG ICEMAN THANH PRO HO CHI 1VHNH

Can cir Luat Chftng khoan sO 70/2006/QH11 ngay 29 thang 06 nam 2006 oh QuOc hei va Luat situ dM b6 sung mOt s6 diet' cua Luat Cluing Ichoan s6 62/2010/QH12 ngay 24 thang 11 nam 2010;

Can c* Nghi dinh s6 58/2012/ND-CP ngay 20 thang 07 Mm 2012 dm Chinh phü quy dinh chi tic& va huomg den thi hanh met so dieu cüa Luat Ching khoan va Luat situ clOi, 136 sung mot so dieu cilia Luat Chung khoan va Nghi dinh se, 60/2015/ND-CP ngay 26 thang 06 nam 2015 sin d6i, b6 sung mOt so dieu côa Nghi dinh 58/2012/NB-CP;

Can dr Thong tu s6 107/2016/TT-BTC ngay 29 thang 06 narn 2016 cilia BO truong BO Tai chinh huong den chao ban va giao dich clueing quy'en c6 bao dam;

Can dux Quyet dinh sO 2399/QD-BTC ngay 21 thang 11 Mm 2017 dm Be twang BO TM chinh ban hanh Dieu le te chic va hoat de'ng cilia Sà Giao dich Ching khoan Thanh pho HO Chi Minh;

Can 'dr Quyet clinh sO 69/QD-SGDHCM ngay 02 thang 03 Mm 2018 dm T6ng Giam d'Oc Ser Giao dich Chung khoan Thanh phO HO Chi Minh ve viec ban hanh Quy che Mem yet N/A cling bO thong tin ai yen chimg quyen co bao dam tai Sâ Giao dich Chang khoan Thanh phO HO CM Minh;

C'an cur HO so clang ky Mem yet chimg quyen c6 bao dam dm Cong ty CO /Alan Chung khoan SSI;

Theo a nghi cCia Giam d6c Pheng Quail 1 va Tham dinh Niem yet,

QUYET DINH:

Dieu 1. Chap thuan clang ky niem yet chirng quyen c6 bao dam do Cong ty CO phan Ching Ichoan SSI phat hanh:

Ten t6 chirc phat hanh: Cong ty CO phen Chterug Idwan SSI

Ten viet tat: SSI

(iiay phep thanh la'p va hoat dOng cong ty chung khoan sO: 03/GPHDKD do ty ban Chimg khoan Nha mac cAp ngay 05 thang 04 Warn 2000

Win dieu re: 6.029.456.130.000 ding (Sau ngan khong tram hai muvi chin ti) ban tram nam mtrai sau trieu mOt tram ha mica! nghin oldng)

Dia chi try sof chinh: 72 Nguy'en Hue, Phtremg Ben NghO, Quan 1, Thanh phO HO Chi Mirth

HOSE_BM-7.3 I/ I -B11 1-04/2018 Trang 1/2

• Sa GIAO D!CH CHING K N THAN PH6

H6 CHI MIN

ONG GIAM DOC M DOC PHIJ TRACH

' /

tp.HOCe yen Vii Quang Ti ung

— Dien thoai: 028 3824 2897 Fax: 028 3824 2997

Dieu 2. Chung guy& c6 bao dam do Cong ty C6 phart Chung khoan SSI phat hanh duqc niem yet ti Sc& Giao dich Chimg khoin Thanh pho HO CM Minh theo cac neit dung sau:

Loai chirng khoan : Chung quyen có bio dam Ten chung quyen : Chtimg quyen HPG/6M/SSI/C/EU/Casb-06 ma chimg quyen : CHPG2012 Ma ISIN : VNOCHPG20121 Ma chirng khoS co sor : HPG Ten tlis chirc phat hanh chimg khoan ccr sec CTCP Tap doan Hoa Phit Loai chung quyan : Mua Kitu clthng quyen : Chau Au Phucmg thirc thuc hien quyen: Bang tin Th6i han : 06 thing Ngay ciao ban :18/01/2021 TST le chuyen &di :1:1 Giá thtrc hien : 26.500 deng S6 lunng chimg quyen them yet: 3.000.000 chfrng quyen (Ba trieu

quydn).

Ngay chinh thixc giao dich: 04/08/2020

Dieu 3. Cong ty C6 phan Ching khoan SSI phai tuan thà phap luat Viet Nam, cac quy dinh ye chimg khoan va thi tnrOng chnng khaki, cac quy dinh cita Quyet dinh nay.

Dieu 4. Quyet dinh nay cep hieu Inc kã tà ngay kY.

Dieu 5. Giam dc Phong Quan 1 va Tharn dinh niem yet, Giam Mc Phang Quan 15/ Thanh ten, Giam Mc Thong Giam sat Giao dich, (ham doe PhOng Thong tin TM tracing vã C8ng ty C6 phan Chi:mg khoan SSI có trach nhiem thi hanh Quyet dinh nay./>_k

Nei nh4n: - Nur dieu 5; - UBCKNN, TTLKCK; - Wu: VT, NY (08)0_

HOSE_BM-7.31/1- B1-11-04/2018 Trang 2/2

BO TAI CHiN11 CONG HOA X.A HOI CHU NGHiA VIETNAM SO GIAO BICH CHUNG ICHOAN TP.HCM DO lap - Tv do - lanh ph&

So': 446 /QD-SGDHCM

Thanh pha Ha Chi Minh, ngely 31 thong 07 nelm 2020

QUYET DINH Chap than niem yet chting quyen có It dam

TONG GIAM DOC SO GIAO NCH CHeNG ICHOAN THANK P114:5 HO CHI MINI!

Can dr Luat Chung khoan s6 70/2006/QH11 ngay 29 thang 06 nam 2006 dm Quoc hei va Luat sin dei b6 sung mot s6 dieu cita that ChUng khoan so 62/2010/QH12 ngay 24 thang 11 nam 2010;

. Can dr Nghi dinh se 58/2012/ND-CP ngay 20 thang 07 nam 2012 cua Chinh phit quy dinh chi tit va tur(mg den thi harth mOt se dieu cña Luat ChUng khoan vã Luat sua d6i, b6 sung mot s6 dieu cM Luat Ching khoan va Nghi dinh so' 60/2015/ND-CP ngly 26 thang 06 tram 2015 sr:1.a d61, be sung met s6 dieu cM Nghi dinh 58/2012/ND-CP;

Can dr Thong tu so 107/2016/TT-BTC ngay 29 thang 06 nam 2016 dm BO twang BO Tai chinh huong den chao ban va giao dich chirng quyen c6 bao dam;

Can dr Quyet dinh so 2399/QD-BTC ngay 21 thang 11 Mm 2017 dm BO trueng BO Tai chinh ban hanh Dieu le t6 chUc va hog Ong dm SO Giao dich ChUng khoan Thanh ph6 HO Chi Minh;

Can cir Quyet clinh sO 69/QD-SGDHCM ngay 02 thang 03 nam 2018 dm Tong &Am dee SO Giao dich ChUng khodn Thanh phe HO CM Minh ve viec ban hart Quy che niem yet va cong be thong tin d6i vei chi:mg quyen co bac) dam tai Se Giao dich Ching khaki Thanh phe HO Chi Mirth;

Can cir HO sa dang ky niem yet chung quyen c6 ha° darn dm Cong ty CO phan Chung khoin SSI;

Theo de' nghi cüa Giam doc c PhOng Quart 1 vá Tham dinh Niem yet,

QUYET DINH:

Dieu 1. Chap thuan clang k niem yet chfrng quyen c6 bao dam do Cong ty CO phan Chung khodn SSI phat hanh:

Ten tO eh:re phat hanh: Cling ty CO phan Chang khofin SSI Ten viet t&t: 551 Giay phep that'll lap Va hoat Ong &ding ty chimg khoan so: 03/GPHDICD do

0.y ban Chung khoan Nha met cap ngay 05 thang 04 nam 2000

Von dieu le: 6.029.456.130.000 deng (Sou ngan khong tram hai ;meal chin 1)) ban tram nom mutri sou trieu mat tram ba muvi nghin clang)

Dia chi try sex chinh: 72 Nguyen Hue, Phuong Ben Nghe, Quan 1, Thanh phi; HO Chi Minh

HOSE_BM-7.31/1-13H 1-04/2018 Trang 1/2

ONG GIAM DOC Doc 'HI) TRACH

I, Of

Nol nhOn: - Nhu. dieu 5; - 1JBCKNN, TTLKCK; - Diu: VT, NY (08) g„..-

9 9 - •

SO CIAO 1:1!CH CHUNG •N TH‘ PHO

H6 CHI MINH

— Dien thoai: 028 3824 2897 Fax: 028 3824 2997

Dieu 2. Ching quyen có bao dam do Clang ty CO phin Ching khoan SSI phat hanh dugc them yet tai SO Giao dich Chirng khoin Thanh ph6 He Chi Minh theo cac nOi dung sau:

Loai chimg khoan : Chung quyen c6 bio dim

Ten cluing quyan : Chting quyen HPG/9M/SSI/C/EU/Cash-06 Ma chung quyen CHPG2014 Ma ISIN : VNOCHPG20147 Ma chimg khoan co set : 1TYG Ten t6 chfrc phat hanh chung khoan ca so: CTCP Tip doan 116a Phat Loai chtThg quyen : Mua Kieu chimg quyan : Chau Au Phuong thac time hien quyen: Wing tien Thai han : 09 thing Ngay dao han : 19/04/2021 TY le chuyen dAi :1:1 Gia thuc hien : 26.500 clang SA lucmg chang quyen them yet: 3.000.000 cluing quyen (Ba trieu chzing

quyen)

Ngay chinh thirc giao dich: 04/08/2020

Dieu 3. C6ng ty CA phan Chung khoan SSI phai tuan tha phap luat Via Nam, cac quy dinh v chimg khoan va thi twang chang khoin, cac guy dinh cM Quyat dinh nay.

Dieu 4. Quyet dinh nay c6 hien Luc ke tit ngay kY.

Dieu 5. Gian dAc Phong Quan 1' va Tham dinh them yat, Giam Mc PhOng Quan Thanh vien, Giam Mc Phong Giam sat Giao dich, Giam Mc PhOng Thong tin T1-4

truang va Gong ty CA phan Ching khoan SSI c6 trach nhiem thi hanh Quyet dinh nay./pit

•

uyen Vu Quang Trung

HOSE_BM-7.31/1-13H1-04/2018 Trang 2/2

BO TAI CHINH a/NG HOA XA HQI CHU NGHLA VIrl- NAM St CIAO BICH CHUNG KHOAN TP.HCM Dc Ip - Tty do - Ilqnh phoc

S6: 448 /QD-SGDHCM

Thanh pita Ha Chi Minh, ngety 31 thcing 07 nam 2020

QUYET DINH ChAp thqn them yet chasing quyen có bno dam

TONG GIAM DOC SO GIAO DICH CHUNG ICHOAN THANH PRO 110 CHI 1VIINH

Can dr Luat Chirng khoan s6 70/2006/QH11 ngay 29 thang 06 narn 2006 dm Quote hOi va Luat sera d6i b6 sung mOt s6 diau cna Luat Chung khoan s6 62/2010/QH12 ngay 24 thang II Mm 2010;

Can cir Nghi dinh s6 58/2012/ND-CP ngay 20 thang 07 narn 2012 dm Chinh pha quy dinh chi tiet NT& huang dn thi hanh mOt s6 diau cüa Lust Chung khoan va Luat sim d6i, b6 sung mOt so diau cua Luat Chung khoan va Nghi dinh so 60/2015/ND-CP ngay 26 thang 06 nam 2015 sin dai, b6 sung mOt s6 diau Gila Nghi dinh 58/2012/ND-CP;

Can dr Thong tir s6 107/2016/TT-BTC ngly 29 thing 06 Mm 2016 coa BO truong BO Tai chinh huong dan chao ban va giao dich chUng quyan c6 bac) dam;

Can cir Quyat dinh s6 2399/QD-BTC ngay 21 thang 11 Warn 2017 cila BO truong BO Tai chinh ban hanh Diu la t6 chirc va hoat dOng cüa SO Giao dich Chung khoan Tharth ph6 116 Chi Mirth;

Can cu Quyat dinh so 69/QD-SGDHCM ngay 02 thang 03 narn 2018 Gila Ding (Eam doe SO Giao dich Chung khoan Thanh ph6 HO Chi Mirth ye viac ban hanh Quy the niem yet va cong b6 thong tin dal vei chung quyan c6 bao dam tai SO Giao dich ChImg khoan Thanh ph6 H6 Chi Minh;

Can dr H6 so dang k niam yet chimg quyan c6 ben dam cila COng ty CO phan ChUng khoan SSI;

Theo de nghi cna Giam d6c Pheng Quail 1 va Tham dinh Niem yet,

QUYtT DINH:

Dieu 1. ChAp thuAn clang ky niem yet chung quyen c6 bao dam do C6ng ty CO phan ChUng khoan SSI phat hanh:

Ten t6 chirc phat hanh: Cling ty CO phAn Chtitg kholn SSI

Ten viet SSI Giay pile]) thanh • lap va hoat dOng &Ong ty chung khoan s6: 03/GPHDKD do

ty ban Chirng khoan Nha nuot cap ngay 05 thang 04 Mm 2000

Von diau la: 6.029.456.130.000 thing (Sart ngan khong tram hai mtrai chin I) ban tram nom mtrai sciu trieu met tram ba mtrai nghin clang)

Dia chi try so. chinh: 72 Nguyan Hue, PhirOng Ban Nghe, Quan 1, Thanh ph6 Ela Chi Minh

HOSE_BM-7.31/1-13111-04/2018 Trang 1/2

NG GIAM DOC M DOC PHIJ TRACH

co

0

• 9 • TO tE

Sd GIAO DICH CHUNG KHO THIN H0 *

H6 CHI MINI

Nai nhen: - Nhu dieu 5; - IMEICKNN, TTLKCK; - Ltru: VT, NY (08)0,..—

— Dien thoai: 028 3824 2897 Fax: 028 3824 2997

Dieu 2. Chung quyen có bao dam do Ging ty C6 phan Ching khoan SSI phat hanh dugc niem yet tai SO Giao dich Chung khoin Thinh ph6 H6 Chi Minh theo cac nei dung sau:

Loai chimg khoan : Ching quyen có hi° dim Ten chi:mg quyen : Ching quyen HPG/4.5M/SSI/C/EU/Cash-06 MA chirng quy'en : CHPG2013 ma ISIN : VNOCHPG20139 MA chimg khoan co sof : HPG Ten t6 chirc phat hanh chung khoan co sor: CTCP Tip doln Rea Phit Loai chimg quyen Mua Kieu chirng quyen : Chau Au Phuang thim thgc hien quyen: Bang tien Thtti hurl : 4,5 thing Ngay ciao han : 01/12/2020 TY le chuyen dei : 1:1 Gid thgc hien : 24.000 slang Se lugng chimg quyen niem yet: 3.000.000 chtirng quyen (Ba trieu chUng

quyen)

Ngay chinh thirc giao dich: 04/08/2020

Dieu 3. Cong ty C6 phin Chung khoan SSI phai Man tha phap luat Viet Nam, cac quy dinh ye chimg,khoan va thi truang chimg khoan, cac quy dinh caa Quyet dinh nay.

Dieu 4. Quyet dinh nay c6 hieu lye kã tit ngay kY.

Dieu 5. Giam dee Phong Quin 15, va Tham dinh them yet, Giam dec Phong Quin 1Y Thanh vien, Giam dee Phong Giam sit Giao dich, Giam doe Phang Thong tin Thi truang va Cong ty c6 phin Chirng khoin SSI c6 trach nhiem thi hitt Quyet dinh nay./dali

HO C TP .H0 '-'

--Nguyen Vu Quang Trung

HOSE_BM-7.31/1-BH1-04/2018 Trang 2/2

BO TA! CHiNH CONG HOA xx MX CHU NGHIA. V1;T NAM sO GO BICH CHUNG 1CHOAN TP.HCM DOc 1p - Tv do - Ranh phac

S6: 449 /QD-SGDHCM

Thanh pho Ha Chi Minh, ngay 31 thang 07 nam 2020

QUYET DINH Chap thuan niem y& chting quyen có bao dam

TONG GIAM DOC SO GIAO DICH CHUNG KHOAN THANH PII6 H6 CHI MINH

Can cir Luat ChUng khoan s6 70/2006/QH11 ngay 29 thang 06 nam 2006 dm Quoc hi va Luat sin dAi b6 sung mOt s6 dieu cüa Luat Chung khoan s6 62/2010/QH12 ngay 24 thang 11 ram 2010;

Can dr Nghi dinh SA 58/2012/ND-CP ngly 20 thang 07 nam 2012 dm Chinh phü quy dinh chi fiat va huang clan thi hanh mOt s6 dieu cña Luat Chung khoan va Luat .sCra d6i, b6 sung mOt s6 diet' cña Luat Ching khoan vã Nghi dinh s6 60/2015/ND-CP ngay 26 thang 06 n'arn 2015 sin d6i, b6 sung mOt 56 diEu cna Nghi dinh 58/2012/ND-OP;

Can dr Th'Ong tu so 107/2016/TT-BTC ngay 29 thang 06 Mm 2016 cila BO trueng BO Tai chinh huemg dn chao ban va giao dich chung quyen c6 bao dam;

Can et"' Quyet dinh s6 2399/QD-BTC ngay 21 thang 11 Mm 2017 dm BO twang BO Tai chinh ban hanh Dieu le tO chat va hoat dOng cüa Sâ Giao dich Chang khoan Thanh ph6 HA Chi Minh;

Can cu Quy'et dinh s6 69/QD-SGDHCM ngly 02 thing 03 narn 2018 dm Teing Gram d6c So Giao dich ChUng khoan Thanh pho HA Chi Minh ye viec ban hanh Quy che niem 3/at va c6ng b6 thong tin &SI vOl chirng quyen c6 bao dam tai SO Giao dich ChUng khoan Thanh ph6 HA Chi Minh;

C'a'n cd HA so clang ky niem yet chUng quyan c6 bao dam cila Cong ty CA phAn Chung khoan SSI;

Theo de' nghi cüa Giam cl6c PhOng Quan 1 va Tham dinh Niem y6t,

QUYET DI1VH:

Dieu 1. ChAp thuan tang k niem y6t chi:mg quy6n c6 bao dam do C8ng ty CA phan Chung khoan SSI phat hanh:

Ten tot chirc phat hanh: Cong ty CO phAn Chong khofin SSI

Ten viet tat: SSI

GiAy phép thanh lap va hoat dOng Gong ty chi:mg khoan s6: 03/GPHDICD do fly ban Chung khoan Nha nu& cAp ngay 05 thang 04 nam 2000

V6n dieu le: 6.029.456.130.000 dAng (Sciu ngan khang tram hai meal chin °) ban tram nom meal sciu frieze mat tram ba muai nghin clang)

Dia chi try sO chinh: 72 Nguien Hue, PhuOng Ben Nghe, Quan 1, Thanh 016 HA Chi Minh

HOSE_BM-7.31/1-BH1-04/2018 Trang 1/2

Noi - NM: drou 5; - UBCKNN, TTLKCK; - Ltru: VT, NY (08)

I I. sa 6I40 D!CH CHUNG •AN TWANH PH6

Hel CHI MIN

NG GIAM DOC DOC PHI2 TRACH

— Dien thoai: 028 3824 2897 Fax: 028 3824 2997

Dieu 2. Chring quyen c6 bao dam do C6ng ty C6 phAn Chung khoan SSI phat hanh duce them yet tai Sà Giao dich Chang khoin Thanh ph6 He Chi Mirth theo cac nOi dung sau:

Loai chirng khoan : Chirng quyen c6 bio dim

Ten chung quyen : Chting quyen HPG/7.5M/SSI/C/EU/Cash-06 MA chung quyen : CHPG2015 Ma ISM : VNOCHPG20154 MA chimg khoan ca so : HPG Ten tO chirc phat hanh chUng khaki co sa: CTCP TAp doan Hea Phat Loai chirng quyen : Mua Kieu chimg quyen : Chau Au Phuong thirc thuc hien quyen: Bang tien Thin han : 7,5 thing Ngay dao han : 01/03/2021 TY le chuyen ai : 1:1 Gia tlurc hien : 26.500 doing S6 lugng chimg quy'en Mem yet: 3.000.000 chting quyen (Ba trieu chzeng

guldn)

Ngay chinh thitc giao dich: 04/08/2020

Dieu 3. Cong ty C phan Ching khoan SSI phai tuan thu phip luat Viet Nam, cac quy dinh ye chUng khoin va thi truang chung khoin, cat quy dinh cira Quyet dinh nay.

Dieu 4. Quyet dinh nay c6 hieu luc Ice tit ngay k.

Dieu 5. Giam die PhOng Quin 1y va Tharn dinh niem yet, Glom doe Pheng Quan 13, Thanh vien, Giam dot e Ph6ng Giam sat Giao dich, Giam d'ac Phong Thong tin Thi trueng va Cong ty CO phan Ching khoan SSI c6 trach nhiem thi hanh Quyet dinh

to .H6 ° uyen Vu Quang Trung

HOSE_BM-7.31/1-BH1-04/2018 Trang 212