Information disclosure on the issuance of ESOP shares

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

To:- The State Securities Commission

- Hochiminh Stock Exchange

I.Introduction on the Issuer:

1.Name of the Issuer (full name): SAIGON SECURITIES INCORPORATION

2.Transaction name: Saigon Securities Inc.

3.Head office address: 72 Nguyen Hue, Ben Nghe Ward, District 1, Ho Chi Minh City

4.Telephone: 028-38242897Fax: 028-38242997

5.Symbol code: SSI

6.Charter capital: VND 4,900,636,840,000

7.Oppening account at: Saigon Securities Inc.Trading account No.: 003P888888

8.Legal basis for business operation:

-Business license No. 03/GPHDKD issued by the State Securities Commission on 05/4/2000, which has been latest amended and supplemented by Amended Business License No. 02/GPDC-UBCK dated January 12, 2017

-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

-Total business capital: VND8,803,593,393,045 (Source: owner’s equity under the reviewed consolidated Financial Statement on June 30, 2017)

II.Purpose of the issuance

For the purpose of long-lasting cooperation between Employees and the Company and to raise additional working capital for the Company according to Article 5 of the Resolution No. 01/2017/NQ-ĐHĐCĐ dated April 21, 2017 of the General Meeting of Shareholders of Saigon Securities Inc.

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

1.Name of share: Saigon Securities Inc. share

2.Type of share: ordinary share

3.Par value: VND10,000/share

4.Number of issued shares: 490,063,684 shares

5.Number of outstanding shares: 489,849,370 shares

6.Number of treasury shares: 214,314 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): 2.04%

Issuance price: VND10,000/share

10.Source of capital: Not applicable

11.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.

12.Execution time: from December 13, 2017 to December 29, 2017