I CONG TY CP DAU Tir THUONG MAI SMC CONG HOA XA HOI CHU NGHIA VIET NAM Doc lap - Tu- do - Hanh phuc So: 1 3 /2016/SMC TPHCM, ngay 12 thang 01 nam 2016 BAO CAO TINH HINH QUAN TRI CONG TY NAM 2015 Kinh gu-i: - Uy ban Chu-ng khoan Nha nirac - So- Giao dich Chu-ng khoan Ten cong ty dai chung: Cong ty CP Dau tu Thuong mai SMC Dia chi tru so chinh: 396 Ung Van Khiem, Phuong 25, Quan Binh Thanh, TPHCM Dienthoai: (84-8) 3899 2299 Fax: (84-8) 3898 0909 Email: stock@smc.vn V6n di6u le: 295.183.610.000 VND Ma chung khoan: SMC ' 1 I. Hoat dong cua Hoi dong quan trj nam 2015: 1. Cac cuoc hop cua Hoi dong quan trj: Stt Thanh vien HDQT Chii-c vu So buoi hop tham du- Tyle Ly do khong tham dy 1 Ong Nguyen Ngoc Anh Chu tich 12/12 100% 2 Ba Nguyen Thi Ngoc Loan P. Chu tich 3 Ong Vo Hoang V\x Thanh vien 12/12 12/12 100% 100%
4 Ba Vu Thi Thanh Hong Thanh vien 12/12 100% 5 Ong Ma Due Tu Thanh vien 10/12 83% Di cong tac 6 Ong Taira Yoshiyuki Thanh vien 10/12 83% Di cong tac a. Cac Phien hop HDQT : Stt Phien hop HDQT Noi dung 1 Ngay 15.01.2015 - Danh gia hoat dong san xuat kinh doanh nam 2014 - Phuong huong hoat dong san xust kinh doanh nam 2015 - Thao luan va thong qua cac du an dau tu nam 2015 - Ke hoach to chuc Dai hoi c6 dong thuong nien 2015 2 Ngay 03.03.2015 - Danh gia hoat dong san xuat kinh doanh 02 thang dau nam 2015 va Phuang huong hoat dong thoi gian tai. - -Tinh hinh thuc hien cac hoat dong dau tir, lien doanh lien ket: Cong ty TNHH SMC Toami, Cong ty TNHH Lien doanh Ong thep SENDO, Du an ma rong Cong ty TNHH Thep SMC. - Thong qua cac noi dung, thai gian va dia diem to chuc dai hoi c6 dong thuong nien 2015. 3 Ngay 18.3.2015 - Hoi dong quan tri Cong ty Cp Dau tir Thuong mai SMC thong nhat y kien vay von tai Ngan hang TMCP Ban Viet de thuc hien phuang an kinh doanh nam 2015. ' - Hoi dong quan tri Cong ty Cp Dau tu Thuong mai SMC thong nhat y kien dong y bao lanh cho Cong ty TNHH SMC Summit vay v6n tai Ngan hang TMCP Ngoai Thuong Viet Nam - Chi nhanh Tp.HCM de thuc hien phuang an kinh doanh nam 2015.
4 Ngay 8.4.2015 -Hoi dong quan tri Cong ty Cp Bau tu Thuong mai SMC thong nhk y kien tham gia tin dung v6i Ngan hang TMCP Viet Nam Thinh Vugng de thuc hien phuong an kinh doanh nam 2015. 5 Ngay 20.5.2015 -Hoi dong quan tri Cong ty Cp Dau tu Thuong mai SMC thsng nhk y kiln d6ng y bao lanh cho Cong ty TNHH MTV SMC Binh Duong va Cong ty TNHH MTV Kinh doanh Thep SMC vay von tai Ngan hang TMCP Cong Thuong Viet Nam - Chi nhanh Dong Sai Gon de thuc hien phuang an kinh doanh nam 2015. 6 Ngay 01.6.2015 -Tong ket boat dong san xuat kinh doanh nam 2014 cua SMC va kl hoach nam 2015. -Nguon tai trg d6 thuc hien phuang an Hoat dong SXKD nam 2015 cua SMC va cac Cong ty thanh vien. -Tai san the chap dam bao cho khoan vay ng cua SMC va cac Cong ty thanh vien. 7 Ngay 23.7.2015 - Danh gia boat dong san xuat kinh doanh 06 thang dku nam 2015 - Phuang huong 06 thang cuoi nam 2015 - Bo sung thanh vien Ban Tong Giam doc 8 Ngay 28.07.2015 - De nghi thong qua viec tang ban miic tin dung tai Ngan hang TMCP Ngoai Thuong Viet Nam - Chi nhanh TP. HCM. - Su dung tai san cua Cong ty TNHH Thep SMC, Cong Ty Lien Doanh SMC SUMIT, Cong ty TNHH MTV SMC Hiep Phuoc va Cong ty CP Dau Tu - Thuong Mai SMC de the chap cho Ngan hang TMCP Ngoai Thuong Viet Nam - Chi nhanh TP. HCM d6 lam co so thiet lap Han muc tin dung va dam bao mot phan ng vay. 9 Ngay 06.08.2015 -Thay doi nguofi dai dien theo phap luat Cong ty TNHH Thep SMC 10 Ngay 20.10.2015 -Danh gia boat dong SXKD 9 thang nam 2015
-Tinh hinh dau tu va hoat dong van hanh SX cua nha may Ong Thep SENDO " -Phuong huong hoat dong kinh doanh Quy 4/2015 11 Ngay 21.12.2015 -HDQT da thao luan va thong nhat viec giai the chi nhanh SMC Da Nang 12 Ngay 23.12.2015 -Thay doi nguoi dai dien theo phap luat Cong ty TNHH MTV Co Khi Thep SMC 2. Hoat dong giam sat cua HDQT doi vffi Tong Giam doc: Danh gia ket qua hoat dong san xuat kinh doanh nam 2015 va xay dung muc tieu hoat dong nam 2016. Kiem tra viec thuc hien cac Nghi quyet cua Dai hoi dong c6 dong, Nghi quyet Hoi dong quan tri, viec chap hanh va tuan thu cac quy dinh cua Phap luat, Dieu le Cong ty va cac quy dinh hien hanh cua Nha nude. 3. Hoat dong cua cac tieu ban thuoc Hoi dong quan trj: Hien Cong ty CP Dau tu Thuong mai SMC khong lap cac tieu ban thuoc HDQT HDQT Phan cong trach nhiem cac thanh vien HDQT doc lap phu trach cac van de ve luong thuong, nhan su, tai chinh - tin dung. Trong 06 thang dau nam 2015, cac thanh vien HDQT doc lap tham gia chi dao thuc hien viec quy hoach nguon nhan su dam bao du nguon nhan luc tot, dap ung cho viec phat trien he thong SMC; tham gia chi dao va kiem soat cac boat dong ve ke toan - tai chinh - tin dung, dam bao viec thuc hien dung quy dinh cua Luat Doanh nghiep va dam bao nguon von cho boat dong cua toan he thong SMC. i H. Cac Nghi quyet/quyet djnh cua Hoi dong quan trj 06 thang dau nam 2015 Stt So Nghj quyet/ Ngay Noi dung Quyet djnh 01 18/NQ-HDQT 15/01/2015 Ket qua kinh doanh nam 2014 va muc tieu boat dong
nam 2015 02 106/NQ-HDQT 03/03/2015 Dau tu gop von thanh lap Cong ty TNHH Lien doanh Ong thep SENDO 03 153/NQ-HDQT 23/07/2015 Bo nhiem thanh vien Ban Tong Giam Doc ( Ba Nguyen Thi Kim Hong Chau ) 04 173/NQ-HDQT 06/08/2015 Thay doi nguoi dai dien theo phap luat Cong ty TNHH Thep SMC ( Ong Nguyen Ngoc Hung ) 05 214/NQ-HDQT 20/10/2015 Ve viec khong PS 16 trong hoat dong SXKD 6 thang cuoi nam 2015 06 256/NQ-HDQT 21/12/2015 Ve viec giai the chi nhanh SMC Da Nang 07 259/NQ-HDQT 24/12/2015 Thay doi nguoi dai dien theo phap luat Cong ty TNHH MTV Co Khi Thep SMC ( Ong Truong Van Minh ) III. Thay doi danh sach ve ngu'cri c6 lien quan cua cong ty dai chung theo quy dinh tai khoan 34 Dieu 6 Luat Chung khoan: kh6ng c6 IV. Giao dich cua c6 dong noi bo va ngu-oi Hen quan: 1. Danh sach c6 dong noi bo va nguoi c6 lien quan Stt Ten to chirc/ca nhan 1 Nguyen Ngoc Anh Chu-c vu tai cong ty (neu c6) Moi lien he voi thanh vien chii chot So CO phieu so hiru cuoi ky (31/12/2015) Ty le (%) Chu tich HDQT/TGD 5.356.273 18,15 Nguyen Ngoc Lan - Anh 107.167 0,36 Nguyen Thi Tanh Em 696.960 2,36 Nguyen Cam Van - Vg Nguyen Ngoc Y Nhi - Con 1.320 0,00 Nguyen Ngoc Dang Khoa - Con 609.700 2,07
2 Nguyen Thj Ngoc Loan Pho CT HDQT / Pho TGD 2.679.099 9,08 Tran Thi Ha - Me - Nguyen Due Dung - Anh 66.000 0,22 Nguyen NghTa Dung - Em 986.700 3,34 Nguyen Anh Dung Truong phong Ky thuat Em 58L438 1,97 3 V6 Hoang Vu Thanh vien HDQT / Pho TGD 105.667 0,36 V6 Van Thai - Cha - Hoang Thi Thuy - Me - V6 Hoang Bao - Anh - V6 Thi Hoang Chi - Chi - Phan Thi Trieu Tarn - Vg 4 Ma Diic Tu Thanh vien HDQT Ma ngoc Bao Tram - Con - Ma Tuan Huy - Con - Ma Anh - Cha - Ma thi ngoc Ha - Chi - 5 Vu Thj Thanh Hong Thanh vien HDQT Vu Duih Khoi - Bo - Mai Thi Nu - Me - Tran Due Thao - Chong - Tran Due Manh - Con - Tran Kim Ngan - Con - Tran Bao Ngoc - Con - Vu Thi Thanh Hai - Chi - Vu Thj Thanh Mai Chi - Vu Hong Van - Em - 2.400 0,01 6 Taira Yoshiyuki Thanh vien HDQT Taira Umeko - Me - Taira Aiko - Vg - Taira Naoki - Con -
Taira Yoshino - Con - 7 Ho Thj Ngoc Tuyet Tru-ong ban KS 6.480 0,02 H6 Van Minh - Cha - Nguyen Thj Hong Cue - Me - Nguyen Manh Cuong - Chong - Ho Thj Thu Thao - Em - Ho Due Thu an - Em - Ho Thi Kim Xuyen - Em - Ho Due Lgi - Em - 8 Tran Thuy Bich Han TV Ban KS 2.287 0,01 Bui Thi Ninh - Me - Bui Thi Bich Hang - Chi - Bui Thi Bich Hoang - Chi - 9 Nguyen Hu'u Kinh Luan TV Ban KS 441.154 1,49 Tran Thi Le - Me Nguyen Thuy Nhu Quynh Nhan vien I'cinh doanh Chi 514.064 1,74 Nguyen Thuy Quynh Nhu - Em Pho TGD / 10 Nguyen Binh Trong Giam doc Tai chinh 106.788 0,36 Nguyen Van Hong - Cha - BCii Thi Nga - Me - Nguyen Thj Bich Hien - Chi - Nguyen Thi Xuan Dung - Chi - Nguyen Thu Hang - Chi - Nguyen Trong Thang - Em - Le Tuong Linh - Vg - Nguyen Le Uyen Chi - Con - Nguyen Le Quynh Chi - Con - 11 Nguyen Van Tien Pho TGD 570.499 1,93 Nguyen Thj Lang - Me -
Nguyen Thi Trang - Em Nguyen Van Thuc - Em - Nguyen Van Te - Em - Nguyen Thi Minh - Em - Vu Thi Kim Lan - Vg 89.978 0,30 Nguyen Vu Nguyet Khanh Giang - Con 0,00 Nguyen Vu Anh Duy - Con - 12 Truong Tuan Dung Hung Tru'ffng phong Tai chinh 12.000 0,04 Truong Van Diep - Cha Nguyen Thj Le - Me Truo'ng Thi Le Chi - Chi Truong Tuan Dung Truong Le Chi Mai Anh Chi Truong Le Mai Huong - Chi Nguyen Thj Diem Thuy - Vg Truong Tuan Gia Bao - Con Truong Gia Ky Nam - Con Truong Gia Ky Anh - Con 13 Do Doan Thanh Cong Ke toan tru-ong Do Doan Binh Cha - Nguyen Thi Xuan Huyen Me Nguyen Nhat Thien An Vg -
Do Nguyen Anh Minh Con - Do Nguyen Nam Anh Con - Do Nguyen Danh Nam Con Do Viet Bang Em - Do Thj Phuong Quyen Em - 2. Giao dieh eo pliieu: Stt Nguoi thuc hien giao djch Quan he voi c6 dong noi bo/co dong Ion So CO phieu so" hu'u dau ky So CO phieu Ty le So CO phieu so" hiru cuoi ky So CO phieu Ty le Ly do tang / giam Mua Ban 1 Nguyen Ngoc Dang Khoa Con Ong Nguyen Ngoc Anh 0 0 609.700 2,06 155.440 1 i 9