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a HUU ellA NHOM NHA DAu TU xtroc
NGoAI eo LIEN QUAN
LA eo DONG LONmHA DAu TULON
MAJOR SHAREHOLDER REPORT ON OWNERSHIP RATIO
FOR A GROUP OF RELATED FOREIGN INVESTORS
Kinh giri/To:
- Uy ban Chirng
khoan Nha rnroc (State Securities Commission)
- Sa Giao dich Chung khoan TP. HCM (Ho Chi Minh Stock Exchange)
- Cong ty c6 phan day cap di~n Viet Nam (CADIVI)
1. Chung toi 1M We are:
Ten ciia tA clnrc (Name of the organization)
sa gi~y NSH (NSH No.)
Dia chi trf}.so·chiuh (dia chi lien
Il}.c)/Tel! Fax! Email
Address/ Tell FaxiE mail
Korea Investment Management Co., Ltd - Van
phong dai dien TP. HCM
OIlUBCK-GCN
c&p ngay 6/9/2011
Dated September 6, 2011
#709 Kumho Asiana Plaza, 39 Le
Du~n, Quan 1, TP. HCM, VN
Tel: 3824-2220 Fax: 3824-2225
Dai dien theo phap lu~t
Authorized representative of the appointed institution:
OnglMr.An Jong Hoon
Chuc vu/Title: Truong dai dien/ Chief Representative
2. Dai dien duoc chi dinh/ uy quyen thuc hien nghia vu bao cao
nuoc ngoai co lien quan sau:
sa hCiu va cong
b6 thong tin cho nhom nha d~u nr
Are authorized to report on the ownership ratio and release required informationfor the group of related investors
asfollows:
STT
No.
Ten nha dh nr mnrc ngoai co lien quan
Name of related foreign investors
MSGD ciia
nha diu nr
Trading
account No.
Ten dl}.idi~n giao djch (n~u co)
Trading representative (if any)
1
KITMC Vietnam Growth Fund 1
CS0996
Korea Investment Management Co., Ltd
2
KITMC Worldwide Vietnam Fund 1
CS1336
Korea Investment Management Co., Ltd
3
KITMC Vietnam Growth Fund 2
CS2102
Korea Investment Management Co., Ltd
4
KITMC Worldwide Vietnam Fund 2
CS2075
Korea Investment Management Co., Ltd
5
KITMC Worldwide Vietnam RSP
Balanced Fund
CS2103
Korea Investment Management Co., Ltd
6
KITMC Worldwide China Vietnam Fund
CS2812
Korea Investment Management Co., Ltd
I'
I
7
I
3. Ten e6 Phi€lchUng
Korea Investment Management Co., Ltd
CA8602
KIM Vietnam Growth Equity Fund
chi quy dong/rna chirng khoan sa hiru la d5i nrong bao cao (Name of the stock/fund
certificatelsecuntes code to be reported):
Cong ty e6 phan day cap dien Viet Nam (CADIVI) / CA V
4. Ngay giao diJ lam thay d6i ty I~ sa hiiu cua ca nhorn nha DTNN eo lien quan virot qua nguong 1% (Transaction
date on which totbl ownership ratio of the group of related foreign investors changed by 1% or above):
I
26 thang 7 nam 2016 - July
2016.
zs",
5. Thong tin ehi t1i€tv€ tinh hinh giao dich chirng khoan cua cac thanh vien trong nhom diin toi ty I~ sa hfru cua eft
nhorn NDTNN ed lien quan vuot qua cac nguong 1% (Details about the transactions of each investor which lead to
changes in ownership ratio of the whole group by 1% or above)
STT
/
No.
Tai kboan giao
djch chung
kboan
Trading
accounts No.
Ten nbit DTNN co lien quan
thuc hi~n giao djch
Name of the relatedforeign
investors
I
(I)
(2)
Taikhoan
hru ky
chu-ng
khoan
Depository
accounts
No.
(3)
Truce giao djch
Before the transaction
Sau giao djch
After the transaction
s6
se hlQ1lg
hrQ1lg
sO-hiru
Shares
held
Tyl~
sO-hfru
% held
(4)
(5)
(6)
HSBFCS0996
001115955701
283.560
0.99%
KITMC Worldwide Vietnam
Fund 1
HSBFCSI336
001125905701
0
0%
3
KITMC Vietnam Growth
Fund 2
DBHFCS2102
12026134000
4
KITMC Worldwide Vietnam
Fund 2
HSBFCS2075
5
KITMC Worldwide Vietnam
RSP Balanced Fund
6
KITMC Worldwide China
Vietnam Fund
1
KITMC Vietnam Growth
Fund
2
KIM Vietnam \Growth
Equity Fund
Tyl~
sO-hfru
% held
(7)
(8) = 1(6)-(4)1
283.560
0.99%
0
0%
0
0
0.27%
77.000
0.27%
0
001191378701
326.130
1.13%
326.130
1.13%
0
DBHFCS2103
12026054000
599.420
2.08%
599.420
2.08%
0
HSBFCS2812
001192053701
54.950
0,19%
54.950
0,19%
0
HSBFCA8602
091662395701
380.910
1,32%
411.630
1,43%
30.720
TAng Cll nh6m nha DTNN c6 lien quan
Total
,
1.721.970
5.98%
1.752.690
6.09%
6. Ngay ty I~ sa hfru eua cii nhOm nha DTNN eo lien quan thay d6i vuqt qua nguang 1% (date on which total
ownership ratio of the group of related foreign investors changed by 1% or above):
28 thang 7 nam 2016 - July 211\ 2016.
~
~
~
30.720
..
PHON
: DlEN
ANH P
,HIMIN
~
~
77.000
I
6
sO-htru
Shares
held
sA hrQ11gdii
giao djch
(Mua/ban)
Number of
shares
sold/bought
Ngay thirc hien (Date of execution): Ngay 27 thang 7 nam 2016 (July 21\ 2016)
