Managing the number of shareholders

• Initial issue: Based on the documents provided and requested by the Issuing Organization, PSI will print the shareholder book in the prescribed form.
• Reissuance (due to loss, damage or incorrect information): Based on the request of the issuer / shareholder, PSI reprints the book according to regulations.

When detecting a discrepancy of information between the list of shareholders, the book of shareholders and the fact, shareholders can request PSI to adjust the information.

For unlisted securities, the application includes:

- Application for information change

- Copy of ID card, you present original ID card for comparison

- Share ownership certificate book has incorrect information

- Receipt of payment of fees as prescribed.

For listed securities, the application includes:
- Application for information change

- Authenticated copy of ID card within 6 months

- Share ownership certificate book has incorrect information

- Receipt of payment of fees as prescribed.

Note: In case of change of Name, ID number due to errors, there must be confirmation from the issuing organization (Except for the case of the error on PSI's side).

When in need of transfer, from Monday to Friday every week (except holidays, New Year), shareholders bring ID card / CCCD card and transfer documents to PSI Head Office or Branch to make procedures.

1.1. Transfer documents include:
- 02 Application for share transfer.

- Document identifying the owner of the transferor and the transferee:

+ For individuals: Copy of ID card, valid power of attorney (if any).

+ For organizations: Letter of introduction of procedure, copy of business registration paper, copy of power of attorney (if any), copy of ID card of legal representative and related people, other papers to identify the owner. (Certified copy of business registration within 01 month, other certified documents within 06 months).

- Certificate of ownership of shares of the transferor or transferee (if any).

- Receipt of payment of transfer fee and personal income tax as prescribed.

1.2. Transfer fee:

- Transfer fee: Apply separately to each organization.

- The transfer fee is paid by the transferor and the transferee on their own terms to PSI.

1. Cash dividend payment:
- Pay cash dividend: Shareholders come directly to PSI, present ID card and follow the accountant's instructions.

- In case a shareholder who does not directly come to receive dividends can authorize another person to come to receive the dividend, the Power of Attorney must be certified by a competent state agency, together with an authenticated copy of the shareholder ID card of the shareholder . Authorized person cannot authorize another object.

- In case the organization receives dividends for the employees 'collective, the organization receiving the dividends for the employees' collective must have an official dispatch and attached list sent to the issuing organization, PSI only realizes current when there is a letter of approval from the issuing organization.

2. Share dividend payment:
Based on the Issuing Organization's notice of the closing date of the stock dividend payment list and the payout ratio, PSI will calculate to update the stock increase for shareholders.

3. Implementation of registration and transfer of rights to buy additional issued shares:
Transaction officers at PSI's Branches and Transaction Offices are responsible for providing instructions for shareholders to complete:

a. An application form to purchase additional shares in the form provided by the Issuing Organization.

b. Paper of transfer of the right to purchase shares if a shareholder transfers the right to purchase to another person.

c. If shareholders do not directly register for the right to buy at PSI's Branches and Transaction Offices, they can register by sending their documents by post to PSI's Branches and Transaction Offices, the documents include:

- An application form for registration of additional shares purchase in the form provided by the issuing organization.

- Account deposit slip specified by PSI.

- Copy of ID card.

Ghi chú: PSI sẽ căn cứ dấu bưu điện để xác định thời hạn đăng ký quyền mua cổ phần phát hành thêm của cổ đông. PSI không chịu trách nhiệm trong trường hợp hồ sơ bị thất lạc, gửi sau ngày đăng ký quyền mua cuối cùng, trường hợp khách hàng ghi sai thông tin (nhầm số Tài khoản mà PSI cung cấp…).

A dossier to request a securities blockade includes:

1. An application for blockade certified by the Shareholder and the credit institution (the mortgagee): 03 copies;

2. Securities pledge contract: 01 copy;

3. Identity card / Citizen card / Passport (original valid) with individual Shareholders or Certificate of Business Registration, notarized copy, Letter of Introduction to Institutional Shareholders.

4. Original shareholder book.

5. Receipt of payment of fees as prescribed

An application for securities clearance includes:

1. The request for clearance, certified by the Shareholder and the credit institution (the pledge recipient): 03 copies;
2. Identity card / Citizen card / Passport (valid original) with individual Shareholders or Certificate of Business Registration (Business Registration Certificate) notarized copy, Letter of introduction to Institutional Shareholders .

PSI will conduct a security blockade / release upon receipt of valid documents.