TH1: Corporate Governance Report (2017)

CORPORATE GOVERNANCE REPORT (The year 2017)

Company: The Vietnam National General Export - Import Joint Stock Company No.1

Address: No. 46, Ngo Quyen Street, Hoan Kiem District, Ha Noi

Charter capital: VND 135,392,670,000

Stock code: TH1

I. Activities of annual General Meeting of Shareholders

No. / Board Resolution No. / Date / Contents
01 / 01/ NQ – HDQT – DHDCD - 2017 / 27 Apr 2017 / Article 1.Approve operation results, audited financial statements of 2016 and the plan for 2017 as follows:
Article 2.Approve the report of Board of Directors in 2016 and the plan for 2017
Article 3.Approve the report of Supervisory Board in 2016 and the plan for 2017
Article 4.Approve appointing the following persons:
-Mr. Tran Van Toan
-Date of birth: 09 Jul 1978
-ID card: 013039761 issued by Hanoi Public Security
-Qualifications: Bachelor of Finance, Master of business administration at Miyazaki, Japan
-Current position: Chairman of Board of Directors cum General Manager of Otran Viatnam. Vice Chairman of Board of Directors of Otran Logistic, General Manager of Otran Energy
Article 5.Approve adding industry lines and changing the Charter:
Article 6.Approve the report of remuneration for Board of Directors and Supervisory Board in 2016 and the remuneration for 2017:
Article 7: Approve the statement about selecting the auditing company for financial statements 2017

II. BOD Activities

No. / Members of BOD / Title / Attendance / Rate / Reasons for not attending
1 / Tran Anh Vuong / Chairman of Board of Directors / 10 / 100%
2 / Nguyen Thi Thu Hoai / Member of Board of Directors / 10 / 100%
3 / Hoang Tuan Khai / Member of Board of Directors / 10 / 100%
4 / Nguyen Thi Minh Phuong / Member of Board of Directors / 10 / 100%
5 / Tran Van Toan / Member of Board of Directors / 07 / 70% / Bad health
Resigned from 06 Nov 2017

III. Board Resolutions

No. / Board Resolution No. / Date / Contents
01 / 19/ NQ - HDQT / 10 Jan 2017 / - Merging some departments
02 / 20/ NQ - HDQT / 18 Jan 2017 / - Amending, supplementing some articles of salary regulation in 2016
03 / 21/ NQ - HDQT / 23 Jan 2017 / - Dismissing Mr. Pham Minh Son from position of Deputy General Director
04 / 22/ NQ - HDQT / 02 Mar 2017 / - Terminating operation of export agricultural and forestry products and artificial arts enterprise in Lien Phuong Industrial Complex
05 / 23/ NQ - HDQT / 02 Mar 2017 / - Terminating operation of the Company’s Branch in Danang
06 / 24/ NQ - HDQT / 02 Mar 2017 / - Terminating operation of the Company’s representative office in DongNaiProvince
07 / 25/ NQ - HDQT / 09 Mar 2017 / - Approve plan for holding annual General Meeting of Shareholders 2017
- Record date: 29 Mar 2017
- Date of holding annual General Meeting of Shareholders 2017: 27 Apr 2017
Place: 46 Ngo Quyen, Hoan Kiem, Hanoi
- Approve operation results of 2016 and operation plan 2017
08 / 26/ NQ - HDQT / 28 Jun 2017 / - Issuing internal regulation on administration
09 / 27/ NQ - HDQT / 02 Aug 2017 / Operating result of the first 06 months of 2017 and operating plan for the last 06 months of 2017
10 / 29/ NQ - HDQT / 06 Nov 2017 / Approve the resignation for Member of Bod of Mr. Tran Van Toan from 06 Nov 2017
11 / 30/ NQ - HDQT / 06 Nov 2017 / Appoint Mr. Nguyen Thi Quyen to be new information disclosure officer from 13 Nov 2017
12 / 31/ NQ - HDQT / 05 Dec 2017 / Dismiss Mr. Nguyen Minh Dung from Manager of branch at Hai Phong City
13 / 32/ NQ - HDQT / 05 Dec 2017 / Appoint Mr. Ngo Duc Thanh to be Manager of branch at Hai Phong City

IV. Board of Supervisors

1. Information on members of Board of Supervisors

No. / Member of Board of Supervisors / Title / Attendance / Rate / Reason for not attending
1 / Ms. Pham Thi Chien / Chief of BOS / 4/4 / 100%
2 / Mr. Nguyen The Sinh / Member of BOS / 4/4 / 100%
3 / Mr. Nguyen Xuan Anh / Member of BOS / 4/4 / 100%

V. Change in connected persons/ institutions:

No. / Name Of Connected Persons/Institutions / Position of PD at the company (if any) / Date to become connected persons/ institutions / Date no longer connected persons/ institutions / Reasons
1 / Tran Anh Vuong / Chair of Board of Directors / 01/03/2016
Ta Thu Thuy / Connected person / 01/03/2016
Tran Bao Nguyen / Connected person / 01/03/2016
Tran Bao Khoi / Connected person / 01/03/2016
Tran Vong / Connected person / 01/03/2016
Tran Thi Hoa / Connected person / 01/03/2016
Tran Van Binh / Connected person / 01/03/2016
Tran Thi Ha / Connected person / 01/03/2016
Tran Trong Nghia / Connected person / 01/03/2016
Tran Van Chuong / Connected person / 01/03/2016
2 / Hoang Tuan Khai / Member of Board of Directors / 30/03/2011
Ta Thi Van Anh / Connected person / 30/03/2011
Hoang Nam Thang / Connected person / 30/03/2011
Hoang Thu Oanh / Connected person / 30/03/2011
Nguyen Thi Hong Loi / Connected person / 30/03/2011
3 / Nguyen Thi Thu Hoai / Member of Board of Directors - General Manager / 01/10/2015
Nguyen Ngoc Trung / Connected person / 01/10/2015
Nguyen Ngoc Thao Linh / Connected person / 01/10/2015
Nguyen Quang Minh / Connected person / 01/10/2015
Nguyen Van Hoa / Connected person / 01/10/2015
Vu Thi Hoang Voc / Connected person / 01/10/2015
Nguyen Duy Han / Connected person / 01/10/2015
Nguyen Thi Van Hoa / Connected person / 01/10/2015
Nguyen Thi Hong Van / Connected person / 01/10/2015
4 / Nguyen Thi Minh Phuong / Member of Board of Directors / 08/04/2016
Nguyen Van Hien / Connected person / 08/04/2016
Nguyen Thi Hien / Connected person / 08/04/2016
Nguyen Hoang Hai / Connected person / 08/04/2016
5 / Tran Van Toan / Member of BOD / 17/11/2016 / 06/11/2017 / Dismissed from 06 Nov 2017
6 / Pham Thi Chien / Chief of Supervisory Board / 18/09/2015
Pham Van Kiem / Connected person / 18/09/2016
Pham Van Pham / Connected person / 18/09/2016
Nguyen Thi Tuat / Connected person / 18/09/2016
Pham Thi Tam / Connected person / 18/09/2016
Pham Thi Ly / Connected person / 18/09/2016
Nguyen Thi Huyen / Connected person / 18/09/2016
Oham Ngoc Khoi / Connected person / 18/09/2016
7 / Nguyen The Sinh / Member of Supervisory Board / 08/04/2016
Tran Thi Xuan / Connected person / 08/04/2016
Nguyen Thi Hong Minh / Connected person / 08/04/2016
8 / Nguyen Xuan Anh / Member of Supervisory Board / 08/04/2016
Nguyen Xuan Dan / Connected person / 08/04/2016
Hoang Thi Xo / Connected person / 08/04/2016
Nguyen Thi Phuong / Connected person / 08/04/2016
Nguyen Thi Oanh / Connected person / 08/04/2016
9 / Pham Minh Son / Deputy General Manager / 30/03/2011 / 23 Jan 2017 / Resigned from General Director
Dinh Thi Ngat / Connected person / 30/03/2011
Pham Minh Duc / Connected person / 30/03/2011
Pham Thi Hong Giang / Connected person / 30/03/2011
Pham Huong Ly / Connected person / 30/03/2011
Pham Minh Chau / Connected person / 30/03/2011
Pham Thi Loan / Connected person / 30/03/2011
Pham Thi Nham / Connected person / 30/03/2011
Pham Van Tien / Connected person / 30/03/2011
10 / Mai Thu Ha / Chief Accountant / 01/04/2016
Mai Van Hoanh / Connected person / 01/04/2016
Vuu Thi Thom / Connected person / 01/04/2016
Mai Thanh Tung / Connected person / 01/04/2016
Hoang Anh Diep / Connected person / 01/04/2016
Hoang Thao Linh / Connected person / 01/04/2016
Hoang Tien Minh / Connected person / 01/04/2016
11 / Nguyen Thi Bich Huong / Information disclosure officer / 14/04/2016 / 13/11/2017 / Resigned
Vu The Hung / Connected person / 14/04/2016
Vu Minh Hien / Connected person / 14/04/2016
Vu Minh Ha / Connected person / 14/04/2016
Nguyen Le Vinh / Connected person / 14/04/2016
Nguyen Thi Bich Diep / Connected person / 14/04/2016
Nguyen Thi Bich Thuy / Connected person / 14/04/2016
Nguyen Thi Bich Thuy / Connected person / 14/04/2016
Nguyen Thi Bich Hang / Connected person / 14/04/2016
12 / Nguyen Thi Quyen / Information Disclosure Officer / 13/11/2017

VI. Transactions of PDs and connected persons/ institutions

1. List of PDs and connected persons/ institutions

No. / Name / Position of PD at the company (if any) / Shareholding at the end of the term / Shareholding percentage at the end of the term / Note
1 / Tran Anh Vuong / Chair of Board of Directors / 0 / 0
Ta Thu Thuy / Connected person / 0 / 0
Tran Bao Nguyen / Connected person / 0 / 0
Tran Bao Khoi / Connected person / 0 / 0
Tran Vong / Connected person / 0 / 0
Tran Thi Hoa / Connected person / 0 / 0
Tran Van Binh / Connected person / 0 / 0
Tran Thi Ha / Connected person / 0 / 0
Tran Trong Nghia / Connected person / 0 / 0
Tran Van Chuong / Connected person / 0 / 0
2 / Hoang Tuan Khai / Member of Board of Directors / 84,304 / 0.62%
Ta Thi Van Anh / Connected person / 0 / 0
Hoang Nam Thang / Connected person / 0 / 0
Hoang Thu Oanh / Connected person / 0 / 0
Nguyen Thi Hong Loi / Connected person / 0 / 0
3 / Nguyen Thi Thu Hoai / Member of Board of Directors - General Manager / 0 / 0
Nguyen Ngoc Trung / Connected person / 0 / 0
Nguyen Ngoc Thao Linh / Connected person / 0 / 0
Nguyen Quang Minh / Connected person / 0 / 0
Nguyen Van Hoa / Connected person / 0 / 0
Vu Thi Hoang Voc / Connected person / 0 / 0
Nguyen Duy Han / Connected person / 0 / 0
Nguyen Thi Van Hoa / Connected person / 0 / 0
Nguyen Hthi Hong Van / Connected person / 0 / 0
4 / Nguyen Thi Minh Phuong / Member of Board of Directors / 0 / 0
Nguyen Van Hien / Connected person / 0 / 0
Nguyen Thi Hien / Connected person / 0 / 0
Nguyen Hoang Hai / Connected person / 0 / 0
5 / Tran Van Toan / Member of BOD / 0 / 0
6 / Pham Minh Son / Vice GM / 30,581 / 0.226%
7 / Pham Thi Chien / Chief of Supervisory Board / 0 / 0
Pham Van Kiem / Connected person / 0 / 0
Pham Van Pham / Connected person / 0 / 0
Nguyen Thi Tuat / Connected person / 0 / 0
Pham Thi Tam / Connected person / 0 / 0
Pham Thi Ly / Connected person / 0 / 0
Nguyen Thi Huyen / Connected person / 0 / 0
Oham Ngoc Khoi / Connected person / 0 / 0
8 / Nguyen The Sinh / Member of Supervisory Board / 0 / 0
Tran Thi Xuan / Connected person / 0 / 0
Nguyen Thi Hong Minh / Connected person / 0 / 0
9 / Nguyen Xuan Anh / Member of Supervisory Board / 0 / 0
Nguyen Xuan Dan / Connected person / 0 / 0
Hoang Thi Xo / Connected person / 0 / 0
Nguyen Thi Phuong / Connected person / 0 / 0
Nguyen Thi Oanh / Connected person / 0 / 0
10 / Pham Ngoc Tung / Deputy General Manager / 0 / 0
Pham Ngoc Thang / Connected person / 0 / 0
Nguyen Thi Tuyet / Connected person / 0 / 0
Pham Ngoc Thien / Connected person / 0 / 0
Pham Ngoc Thinh / Connected person / 0 / 0
Pham Thi Bich Ngoc / Connected person / 0 / 0
Nguyen Dieu Linh / Connected person / 0 / 0
Pham Nguyen Tan Ngoc Minh / Connected person / 0 / 0
Pham Nguyen Anh Thu / Connected person / 0 / 0
10 / Mai Thu Ha / Chief Accountant / 0 / 0
Mai Van Hoanh / Connected person / 0 / 0
Vuu Thi Thom / Connected person / 0 / 0
Mai Thanh Tung / Connected person / 0 / 0
Hoang Anh Diep / Connected person / 0 / 0
Hoang Thao Linh / Connected person / 0 / 0
Hoang Tien Minh / Connected person / 0 / 0
11 / Nguyen Thi Bich Huong / Information disclosure officer before 13.11.2017 / 0 / 0
Vu The Hung / Connected person / 0 / 0
Vu Minh Hien / Connected person / 0 / 0
Vu Minh Ha / Connected person / 0 / 0
Nguyen Le Vinh / Connected person / 0 / 0
Nguyen Thi Bich Diep / Connected person / 0 / 0
Nguyen Thi Bich Thuy / Connected person / 0 / 0
Nguyen Thi Bich Thuy / Connected person / 0 / 0
Nguyen Thi Bich Hang / Connected person / 0 / 0
13 / Nguyen Thi Quyen / Information Disclosure Officer from 13/11/2017 / 0 / 0

2. Transactions of PDs and connected persons/ institutions:

No. / Name / Relation with PD / 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 / Nguyen Thi Bich Huong / Information Disclosure Officer / 06 / 0 / Sell

3. Other transactions:

VII. Other notices

-Sign contract on auditing FS of 2017 with AASC