SHB: Corporate Governance Report (2016)
CORPORATE GOVERNANCE REPORT
(Year 2016)
Company: Sai Gon - Hanoi Commercial Joint Stock Bank
Address: No. 77, Tran Hung Dao Str., Tran Hung Dao Ward, Hoan Kiem Dist., Ha Noi
Tel.: 04.3942.3388Fax: 04.3941.1086
Website: shb.com.vn
Charter capital: VND 10,196,891,000,000
Stock code: SHB
I. BOD Activities (2016)
Meetings:
No. / Members of BOD / Title / Attendance / Rate / Reasons for not attending1 / Mr. Do Quang Hien / Chair of Board of Directors / 4/4 / 100 %
2 / Mr. Nguyen Van Le / Member of Board of Directors cum General Manager / 4/4 / 100 %
3 / Mr. Tran Ngoc Linh / Member of Board of Directors / 4/4 / 100 %
4 / Pham Ngoc Tuan / Member of Board of Directors / 4/4 / 100 %
5 / Do Quang Huy / Member of Board of Directors / 4/4 / 100 %
6 / Vo Duc Tien / Independent Member of Board of Directors / 3/4 / 75% / Appointed from 21 Apr 2016
II. Board Resolutions (first 6 months of 2015)
No. / Board Resolution No. / Date / Content1 / 01/ NQ - HDQT / 25 Feb 2016 / Sign issuing bank contract with Asia Development Bank
2 / 02/ NQ - HDQT / 02 Mar 2016 / Change the address of SHB Lao Cai
3 / 03/ NQ - HDQT / 07 Mar 2016 / Annual General Meeting of Shareholders 2016
4 / 04/ NQ - HDQT / 19 Mar 2016 / Approve the election for member of Board of Directors term 2012 - 2017
5 / 05/ NQ - HDQT / 13 Apr 2016 / Approve the contents related to establishing Sai Gon – Hanoi Joint Stock Commercial Bank One Member Limited Financial Company
6 / 06/ NQ - HDQT / 13 Apr 2016 / Establish the Preparatory Committee for the foundation of Sai Gon – Hanoi Joint Stock Commercial Bank One Member Limited Financial Company
7 / 07/ NQ - HDQT / 13 Apr 2016 / Approve the financial support for solving difficulties when founding Sai Gon – Hanoi Joint Stock Commercial Bank One Member Limited Financial Company
8 / 08/ NQ - HDQT / 26 Apr 2016 / Supplement the operation “purchasing debts” into business registration certificate of SHB
9 / 09/ NQ - HDQT / 27 Apr 2016 / Change the legal representative of SHB Bank Assets Exploiting and Debt Management One Member Co., Ltd.
10 / 10/ NQ - HDQT / 27 Apr 2016 / Divest from Sai Gon Hanoi Securities Joint Stock Company
11 / 11/ NQ - HDQT / 12 May 2016 / Allocate tasks to Mr. Vo Duc Tien – Independent Member of Board of Directors
12 / 12/ NQ - HDQT / 12 May 2016 / Approve the remuneration for Mr. Vo Duc Tien – Independent Member of Board of Directors
13 / 13/ NQ - HDQT / 07 Jun 2016 / Authorize Board of Directors to sign credit announcement
14 / 14/ NQ - HDQT / 28 Jun 2014 / Approve 2016 plan for bond issue
15 / 14A/ NQ - HDQT / 08 Jul 2016 / Amend and complete registration for Charter of SHB
16 / 15/ NQ - HDQT / 05 Aug 2016 / Divest capital from Saigon – Hanoi Fund Management Joint Stock Company
17 / 16/ NQ - HDQT / 15 Aug 2016 / Divest capital from Saigon – Hanoi Securities Joint Stock Company
18 / 17/ NQ - HDQT / 15 Aug 2016 / Divest capital from Hong Viet Investment and Development Joint Stock Company
19 / 18/ NQ - HDQT / 20 Sep 2016 / Adjustment of list of members of member council of One Member Finance Co., Ltd – Saigon – Hanoi Joint Stock Bank
20 / 19/ NQ - HDQT / 19 Oct 2016 / Raise charter capital of Saigon – Hanoi Cambodia One Member Bank Limited
21 / 20/ NQ - HDQT / 09 Nov 2016 / Approve some contents related to setting up One Member Finance Co., Ltd – Saigon – Hanoi Joint Stock Bank
22 / 21/ NQ - HDQT / 15 Dec 2016 / Carry out selling shares to swap
23 / 22/ NQ - HDQT / 16 Dec 2016 / Carry out plans for share issue for dividend payment 2015 and plans for handling fractional shares (if any)
24 / 23/ NQ - HDQT / 19 Dec 2016 / Approve record date for receiving dividends by shares for 2015
II. Change in connected persons/ institutions
No. / Name of connected persons/institutions / Trading account (if any) / Position of PDMR at the company (if any) / Date to become connected persons/ institutions / Date no longer connected persons/ institutions / ReasonsIV. Transactions of PDMRs and connected persons/ institutions
1. List of PDMRs and connected persons
No. / Name / Trading account (if any) / Position of PDMR at the company (if any) / Shareholding at the end of the term / Shareholding percentage at the end of the term / Note1 / Do Quang Hien / Chair of the Board / 30,698,071 / 3.011 %
2 / Do Dang Thanh
3 / Le Thi Thanh
4 / Le Thanh Hoa
5 / Do Vinh Quang
6 / Do Quang Vinh
7 / Do Thi Thu Ha / 22,957,954 / 2.251 %
8 / Do Thi Minh Nguyet / 7,936,080 / 0.778 %
9 / T&T Group / 111,606,301 / 10.945 %
10 / Sai Gon - Ha Noi Securities Co., / 17,290,025 / 1.696 %
11 / SHF / 0 / 0 %
12 / Nguyen Van Le / Member of Board of Directors cum General Manager / 2,533,061 / 0.248 %
13 / Nguyen Van Tong
14 / Duong Thi Nganh
15 / Vu Thi Le Quyen / 343,049 / 0.034 %
16 / Nguyen Vu Phuong Vy
17 / Nguyen Minh Khai
18 / Nguyen Van Khoa
19 / Nguyen Ngoc Phung / 339,598 / 0.033 %
20 / Nguyen Thi Phuong
21 / Tran Ngoc Linh / Member of Board of Directors / 2,221,604 / 0.218 %
22 / Tran Dang Khoa
23 / Nguyen Thi Nhi
24 / Pham Thi Mien
25 / Tran Buu Lam / 59,545 / 0.006 %
26 / Tran Thi Hoang Kim / 23,695 / 0.002 %
27 / Tran Ngoc Luu / 52,580 / 0.005 %
28 / Tran Thi Hoang Giang / 32,588 / 0.003 %
29 / Tran Thi My Phuong / 2,475 / 0.000 %
30 / Tran Thi Hoang Lan / 2,087 / 0.003 %
31 / Tran Thi Xuan Trinh
32 / Tran Van Binh / 26,943 / 0.003 %
33 / Tran Ba Thong
34 / Tran Thi Ca
35 / Tran Thi Hoa
36 / Tran Thi Huong
37 / Do Quang Huy / Member of Board of Directors
38 / Nguyen Phuong Thom
39 / Le Thi Lan Huong
40 / Do Quang Dat
42 / Do Kim Oanh
43 / Do Quang Thai
44 / Pham Ngoc Tuan / Member of Board of Directors / 2,340 / 0.000 %
45 / Pham Van Phao
46 / Trinh Thi Ty
47 / Pham Xuan Ky
48 / Pham Thuy Anh
49 / Pham Ngoc Quan
50 / Tran Kim Khanh
51 / Pham Manh Duc
52 / Pham Ngoc Lam
53 / Vo Duc Tien / Independence Member of BOD / 45,511 / 0.004
54 / Tran Thi Thanh
55 / Vo Dai Lam
56 / Vo Thuy Trang
57 / Vo Ngoc Quang
58 / Vo Duc Minh
59 / Vo Thi Ha
60 / Pham Hoa Binh / Chief of Supervisory Board / 74,330 / 0.007 %
61 / Pham Van Lac
62 / Nguyen Thi Hai
63 / Pham Thi Loan
64 / Pham Truong Son
65 / Pham Ngoc Thu
66 / Pham Hong Phuong
67 / Nguyen Kim Hoang
68 / Pham Ngoc Hoang Lan
69 / Nguyen Huu Duc / Deputy Chief of Supervisory Board
70 / Nguyen Huu Nhiem
71 / Dang Thi No
72 / Nguyen Huu Cho
73 / Nguyen Huu Dang
74 / Nguyen Thi Nu
75 / Nguyen Thi Bup
76 / Bui Thi Thanh
77 / Nguyen Duc Minh
78 / Nguyen Huyen Chi
79 / Hoang Thi Minh / Member of Supervisory Board
80 / Hoang Cong Can
81 / Cao Thi Thanh Thuy
82 / Hoang Thi Du
83 / Hoang Cong Huan
84 / Hoang Thi Thanh
85 / Hoang Thi Hoa
86 / Vu Dinh Hoan
87 / Vu Thi Cam Chi
88 / Vu Ngoc Chi
89 / Bui Thanh Tam / Member of Supervisory Board
90 / Bui Van Cam
91 / Ly Thi Ha
92 / Bui Van Tuan
93 / Bui Ngoc Mai
94 / Bui Van Hai
95 / Bui Van Khanh
96 / Bui Thanh Binh
97 / Bui Thanh Minh
98 / Vo Thi Thuy Van
99 / Bui Vo Anh Khoi
100 / Bui Vo Bao Kha
101 / Dang Trung Dung / Deputy General Manager / 84,103 / 0.009 %
102 / Dang Minh Man
103 / Dang Thi Canh
104 / Thai Thi Thanh Binh
105 / Dang Thai Son
106 / Dang Thai Dan Le
107 / Dang Thi Tuyet Mai
108 / Dang Thanh Hung
109 / Le Dang Khoa / Deputy General Manager
110 / Nguyen Hong Hanh
111 / Le Trong Khue
112 / Le Trung Kien
113 / Ha Thi Hong
114 / Le Trong Khoi
115 / Le Huong Giang
116 / Ngo Thu Ha / Deputy General Manager / 980,585 / 0.096 %
117 / Nguyen Tuan Hung
118 / Ngo An Uy
119 / Tran Thi Thoa
120 / Ngo Trung Dung
121 / Nguyen Ha Minh
122 / Nguyen Ha Minh Ngoc
123 / Ninh Thi Lan Phuong / Deputy General Manager cum Chief Accountant / 48,955 / 0.005 %
124 / Ninh Van Viet
125 / Luu Thi Suu
126 / Ninh Lan Huong
127 / Pham Thanh nam / 35,507 / 0.003 %
128 / Pham Thuy Linh
129 / Pham Ngoc Hung
130 / Dang To Loan / Deputy General Manager / 780,096 / 0.077 %
131 / Dang Van Long
132 / Pham Thi Mui
133 / Dang Sy Lam
134 / Dang Sy Luan
135 / Dang Hoa Ly
136 / Vo Gia Linh
137 / Nguyen Huy Tai / Deputy General Manager
138 / Nguyen Viet Luong
139 / Tran Thi Hue
140 / Nguyen Huy Thanh
141 / Nguyen Thi Minh Hai
142 / Nguyen Thi Thu Hien
143 / Pham Thi Nguyet
144 / Nguyen Dien Thao
145 / Nguyen Thanh Huy
146 / Ngo Thi Van / Chief Accountant / 2,507 / 0.000
147 / Nguyen Huu Dong
148 / Nguyen Thi Van Anh
149 / Nguyen Huu Luu Phuc
150 / Ngo Dang Lam
151 / Dinh Thi Quy
152 / Ngo Thi Thu Hien
153 / Ngo Dang Dung
154 / Nguyen Dinh Duong / Director / 20,990 / 0.002
2. Transactions of PDRM:
No. / Name / Relation with PDMR / Shareholding at the beginning of the term / Shareholding at the end of the term / Reason (buy, sell, transfer, dividend, bonus share...)Share / Percentage / Share / Percentage
1 / Do Thi Minh Nguyet / Sister of Chairman of Board of Directors / 5,350,000 / 0.564% / 7,936,080 / 0.778% / Purchase
3. Other transactions
V. Other contents