Trading Guide

A. GUIDELINES FOR PURCHASING IPO COVERED WARRANT ISSUED BY SSI

Investors can purchase IPO Covered Warrant issued by SSI via channels:

Step 1: Investors receive and fill out “Covered Warrant Purchase Application Form”

Step 2: Investors pay in cash or transfer

Investors pay in cash or transfer money to the correct bank account corresponding to each Covered Warrant according to the details here

Notes:

• Each Covered Warrant issued by SSI will have only 1 corresponding bank account to receive IPO money transferred from investors.
• If investors purchase more than one Covered Warrant, please transfer money to the correct bank account corresponding to each Covered Warrant you want to buy.

Step 3: Investors submit required documents for PURCHASING covered warrant over SSI Branches/Transaction offices

- For investors who have account at SSI: Only need to complete “Covered Warrant Purchase Application Form” and 01 copy of cash deposit form or standing order

- For investors who have no account at SSI: please submit documents as below:

For individuals:

• 02 original copies of covered warrant purchase application forms
• 01 copy of cash deposit form or standing order
• 01 certified copy of ID card (or Passport for foreign investors)
• 01 authorization document (if any)
• 01 certified copy of confirmation of securities trading code from Vietnam Securities Depository (VSD) and passport (for foreign investors only)
• 01 bank confirmation on opening the Indirect Investment Capital Account (for foreign investors only)
• 01 certified copy of account opening application form if investors register to deposit covered warrant at other securities firms out of SSI (if any)

For legal person:

• 02 original copies of covered warrant purchase application forms
• 01 certified copy of certificates of company registration
• 01 certified copy of related documents on changing company register information (if any)
• 01 copy of cash deposit form or standing order
• 01 copy of ID card (or Passport for foreigner) of legal representative
• 01 copy of Authorization document for the representative on behalf of organization
• 01 certified copy of confirmation of securities trading code from Vietnam Securities Depository (VSD) (for foreign investors only)
• 01 bank confirmation on opening the Indirect Investment Capital Account (for foreign investors only)
• 01 certified copy of account opening application form if investors register to deposit covered warrant at other securities firms out of SSI (if any)

Note:

- After filling out the purchase application form, investors will receive the expected result distribution via email (being sent once covered warrant offerings ends).

- Registration is only valid when the original Application Form has been sent to Customer Service with a copy of valid Identity card and Payment Authorization to show the evidence of money transfer; or Client send a transfer request to SSI and the trading account has sufficient balance before the IPO registration end time which is announced by each issuance here.

Step 4: SSI will inform IPO results via email and deposit Covered Warrant automatically into your trading account.

Investors can trade Covered Warrant on Ho Chi Minh Stock Exchange like other equities.