Information disclosure on the ESOP share issuance

INFORMATION DISCLOSURE ON THE ISSUANCE OF SHARES
UNDER EMPLOYEE STOCK OWNERSHIP PLAN

I. Introduction on the Issuer

1. Name of the Issuer (full name): SSI SECURITIES CORPORATION
2. Transaction name: SSI Securities Corporation
3. Head office address: 72 Nguyen Hue, Ben Nghe Ward, District 1, Ho Chi Minh City
4. Telephone: 028-38242897                           Fax: 028-38242997
5. Symbol code: SSI
6. Charter capital: VND5,100,636,840,000
7. Opening account at: SSI Securities Corporation       Trading account No.: 003P888888
8. Legal information:

• Business license No. 03/GPHDKD issued by the State Securities Commission on 05/4/2000, which has been latest amended and supplemented by Amended License No. 03/GPDC-UBCK dated January 23, 2019
• Main business lines: Securities Brokerage, Securities Propriety Trading, Securities Underwriting, Securities Investment Consultancy, Securities Depository, Derivative Securities Business
• Main product/service: Securities Brokerage, Securities Propriety Trading, Securities Underwriting, Securities Investment Consultancy, Securities Depository, Derivative Securities Business, Clearing and Payment Services for Derivative Securities Transactions, Covered Warrant
• Total business capital: VND 9.488.132.103.112 (Source: owner’s equity under the reviewed consolidated Financial Statements as at June 30, 2019)

II. Purpose of the issuance

Association of benefits between employees and the Company, and additional working capital for the Company according to Article 6 of the Resolution No. 01/2019/NQ-ĐHĐCĐ dated April 25, 2019 of SSI General Meeting of Shareholders.

III. The plan of issuing shares under employee stock ownership plan

1. Name of share: SSI Securities Corporation share
2. Type of share: ordinary share
3. Par value: VND10,000/share
4. Number of issued shares: 510,063,684 shares
5. Number of outstanding shares: 508,054,676 shares
6. Number of treasury shares: 2,009,008 shares
7. Estimated number of shares to be issued: 10,000,000 shares
8. Total value of shares to be issued:  VND100,000,000,000
9. Issuance ratio (estimated number of shares to be issued/number of outstanding shares): 1.968%
10. Issuance price: VND10,000/share          
11. Source of capital: Not applicable
12. Blocked period: Only 50% are freely transferrable after 02 years and the remaining 50% are freely transferrable after 03 years from the date of issuance. The Company buys back shares from the employee who violates this rule according to the decision of the BoD.
13. Execution time: from December 25, 2019 to January 03, 2020.

This information was posted on SSI website on December 24, 2019 at this link www.ssi.com.vn.

The Company hereby declares to be responsible for the accuracy and completeness of the above information.

SSI SECURITIES CORPORATION

ON BEHALF OF THE CEO

Nguyễn Hồng Nam

DEPUTY CEO