Report on the result of ESOP issuance

INFORMATION DISCLOSURE ON REPORT

ON THE RESULT OF THE ISSUANCE OF SHARES UNDER EMPLOYEE STOCK OWNERSHIP PLAN

To:     - The State Securities Commission

           - Ho Chi Minh Stock Exchange

           - Hanoi Stock Exchange

Name of the Issuer: SSI SECURITIES CORPORATION

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

Telephone: 028-38242897                           Fax: 028-38242997

I. Share to be issued

1. Name of share to be issued: share of SSI Securities Corporation
2. Charter capital: VND5,100,636,840,000
3. Type of share: common share
4. Symbol code: SSI
5. Par value: VND10,000/share
6. Estimated number of shares to be issued:  10,000,000 shares
7. 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.
8. Deadline for collecting cash from employees to purchase share (the issuance date): January 15, 2020
9. Estimated trading date: Only 50% are freely transferrable after 02 years and the remaining 50% are freely transferrable after 03 years from the date of issuance, as such, the estimated trading date will be as follows:

• The estimated trading date of the first 5,000,000 shares: January 17, 2022
• The estimated trading date of the remaining 5,000,000 shares: January 16, 2023

  II. The result of the issuance

1. Number of shares to be distributed: 10,000,000 shares
2. Issuance price: VND10,000/share
3. Number of employees to be distributed: 164 employees
4. Number of total current shares: 520,063,684 shares (including 2,009,008 treasury shares)

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

SSI SECURITIES CORPORATION

On behalf of Board Chairman cum CEO

NGUYỄN HỒNG NAM

Deputy CEO