I

CONG T Y CP D A U Tir THUONG MAI SMC

So: 1 3 /2016/SMC

C O N G HOA X A HOI C H U NGHIA VIET N A M Doc lap - Tu- do - Hanh phuc

T P H C M , 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 S M C

Dia chi tru so chinh: 396 Ung Van Khiem, Phuong 25, Quan Binh Thanh, T P H C M

Dienthoai: (84-8) 3899 2299 Fax: (84-8) 3898 0909 Email: stock@smc.vn

V6n di6u le: 295.183.610.000 V N D

M a chung khoan: S M C ' 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 12/12 100%

3 Ong V o Hoang V\x Thanh vien 12/12 100%

4 Ba V u Thi Thanh Hong Thanh vien 12/12 100%

5 Ong M a Due Tu Thanh vien 10/12 83% D i cong tac

6 Ong Taira Yoshiyuki Thanh vien 10/12 83% D i 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 T N H H S M C Toami, Cong ty T N H H Lien doanh Ong thep

S E N D O , D u an ma rong Cong ty T N H H Thep S M C .

- 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 S M C thong

nhat y kien vay von tai Ngan hang T M C P Ban Viet de thuc hien

phuang an kinh doanh nam 2015. • '•

- Hoi dong quan tri Cong ty Cp Dau tu Thuong mai S M C thong

nhat y kien dong y bao lanh cho Cong ty T N H H S M C Summit vay

v6n tai Ngan hang T M C P Ngoai Thuong Viet Nam - Chi nhanh

T p . H C M 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 S M C thong nhk

y kien tham gia tin dung v6i Ngan hang T M C P 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 S M C thSng nhk

y k i l n d6ng y bao lanh cho Cong ty T N H H M T V S M C Binh Duong

va Cong ty T N H H M T V Kinh doanh Thep S M C vay von tai Ngan

hang T M C P 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 S M C va k l

hoach nam 2015.

-Nguon tai trg d6 thuc hien phuang an Hoat dong S X K D nam 2015

cua S M C va cac Cong ty thanh vien.

-Tai san the chap dam bao cho khoan vay ng cua S M C 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

T M C P Ngoai Thuong Viet Nam - Chi nhanh TP. H C M .

- Su dung tai san cua Cong ty T N H H Thep S M C , Cong Ty Lien

Doanh S M C SUMIT, Cong ty T N H H M T V S M C Hiep Phuoc va

Cong ty CP Dau Tu - Thuong M a i S M C de the chap cho Ngan hang

T M C P Ngoai Thuong Viet Nam - Chi nhanh TP. H C M 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 T N H H Thep S M C

10 Ngay 20.10.2015 -Danh gia boat dong S X K D 9 thang nam 2015

-Tinh hinh dau tu va hoat dong van hanh S X cua nha may Ong Thep

S E N D O • "

-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 S M C Da

Nang

12 Ngay 23.12.2015 -Thay doi nguoi dai dien theo phap luat Cong ty T N H H M T V Co

K h i Thep S M C

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 S M C khong lap cac tieu ban thuoc H D Q T

H D Q T Phan cong trach nhiem cac thanh vien H D Q T 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 S M C ; 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 S M C . i

H. Cac Nghi quyet/Quyet djnh cua Hoi dong quan trj 06 thang dau nam 2015

Stt So Nghj quyet/

Quyet djnh

Ngay Noi dung

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 T N H H Lien doanh

Ong thep S E N D O

03 153/NQ-HDQT 23/07/2015 Bo nhiem thanh vien Ban Tong Giam Doc ( Ba

Nguyen Thi K i m Hong Chau )

04 173/NQ-HDQT 06/08/2015 Thay doi nguoi dai dien theo phap luat Cong ty T N H H

Thep S M C ( Ong Nguyen Ngoc Hung )

05 214/NQ-HDQT 20/10/2015 Ve viec khong PS 16 trong hoat dong S X K D 6 thang

cuoi nam 2015

06 256/NQ-HDQT 21/12/2015 Ve viec giai the chi nhanh S M C Da Nang

07 259/NQ-HDQT 24/12/2015 Thay doi nguoi dai dien theo phap luat Cong ty T N H H

M T V Co K h i Thep S M C ( 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 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 (%)

1 Nguyen Ngoc Anh 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 - V g

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 K y 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 - V g

4 Ma Diic Tu Thanh vien HDQT

2.400 0,01

M a ngoc Bao Tram - Con -M a Tuan Huy - Con -Ma Anh - Cha -M a thi ngoc Ha - Chi -

5 Vu Thj Thanh Hong Thanh vien

HDQT Vu Duih Khoi - Bo -Mai Thi N u - Me -Tran Due Thao - Chong -Tran Due Manh - Con -

Tran K i m Ngan - Con -Tran Bao Ngoc - Con -

Vu Thi Thanh Hai - Chi -

Vu Thj Thanh Mai Chi -

Vu Hong Van - Em -

6 Taira Yoshiyuki Thanh vien

HDQT

Taira Umeko - Me -

Taira Aiko - V g -

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 K i m Xuyen •- Em -

Ho Due L g i - 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

10 Nguyen Binh Trong Pho TGD /

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 - V g -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 -

V u Thi K i m Lan - V g 89.978 0,30

Nguyen V u 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 Anh

Truong Le Chi Ma i Chi

Truong Le Mai Huong - Chi

Nguyen Thj Diem Thuy - V g

Truong Tuan Gia Bao - Con

Truong Gia K y Nam - Con

Truong Gia K y Anh - Con

13 Do Doan Thanh Cong Ke toan tru-ong

Do Doan Binh Cha -

Nguyen Thi Xuan Huyen Me

Nguyen Nhat Thien A n V g -

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

So CO phieu so" hu'u dau ky

So CO phieu so" hiru cuoi ky

Ly do tang / giam

Nguoi thuc hien giao djch

dong Ion

So CO

phieu Ty le So CO

phieu Ty le Mua Ban

1 Nguyen Ngoc Dang Khoa

Con Ong Nguyen Ngoc Anh 0 0 609.700 2,06 155.440 1

i 9