BAo cao TINH HlNH QUA.N TRJ CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY (NaID 2017) (6 months/year)

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1 PHV Ll)C so 05 APPENDIX 05 BAa caa TiNH HiNH QuAN TRl CONG TY' REPORT ON CORPORATE GOVERNANCE (Ban hanh kem theo Thong tu s6 155/2015/TT-BTC ngay 06 thang 10 nam 2015cua B(j Tai chinh huang ddn c/ing b6 thong tin tren thi truong chung khodn) (Promulgated with the Circular No 155/2015/TT-BTC on October of the Ministry of Finance guiding the Information disclosure on securities markets) CONG TY CP THEP DANA-V Company name CQNG HOA xa HQI cnu NGHiA VI~T NAM THE SOCIALIST REPUBLIC OF VIETNAM DQc l~p - T\f do - Hanhphuc Independence - Freedom - Happiness se...4.q.idny No. fja Nfmg ngay 17 thdng 07 ndm day month. year. BAo cao TINH HlNH QUA.N TRJ CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY (NaID 2017) (6 months/year) Kinh giri: To: - Uy ban Chung khoan Nha mroc - Sa Giao dich Clnrng khoan - The State Securities Commission - The Stock Exchange - Ten cong ty niem yet/name of listing company: CONG TY CP THEP DANA- Y - Dia chi tru sa chinhiaddress of headoffice.duong lib KCN Thanh Vinh Phuong Hoa Khanh Bc1cQudn Lien Chieu Thanh ph6 fja Nfmg -Di~n thoai/ Telephone: Fax: V6n di~u l~/ Charter capital: a6ng - Mil chirng khoan/ Securities code: DNY I. Ho~t dqng cua D~i hqi dang c8 dong/activities of the General Meeting of Skareholders Thong tin v~ cac cuoc hop va N ghi quyet/quyet dinh cua Dai hqi d6ng c6 dong (bao g6m ca cac Nghi quyet cua Dai hoi d6ng c6 dong diroc thong qua dum hinh tlnrc l~y y kien bang van ban)/ Information on meetings and resolutions / decisions of the General Meeting of Shareholders (including the resolutions of the General Meeting of Shareholders adopted in the form of written comments):

2 Stt se Nghi quyet/ Quyet dinh Ngay NQidung No. Resolution/Decision No. Date Content Ky k~t h6 sa van ban lien quan 1 01/2017INQHDQT 12/04/2017 d~n du an di doi giai toa thon Van Duong 2 30/20 17INQHDQT 23/04/ /20 17INQHDQT 16/05/2017 Dai h9i d6ng c6 dong thirong nien 2017 Yay v6n bao lanh va bao dam c~p tin dung tai Viettinbank II. Hqi dang quan tr] (Bao cao 6 thanglnam)1 Board of Management (SemiannuaVannualrepor~): 1. Thong tin vs thanh vien HQid6ng quan tri (HDQT)I Information about the members of the Board 01Management: Stt Thanh vien HDQT1 Chirc Ngay b~t se bu6i Ty 1~tham Ly do No. BOM's member vv/ d~ulkhong con hqphdqt du hop/ khong Position la thanh vien tham dvi Percentage tham du HDQTI Day Number of hop/ becoming/no attendance Reasons longer for member of the absence Board of Management Ong/Ba Mr.lMs. u Chu 1. Ong IMr Huynh Van 22/02/2 4 tich 100% Tan HDQT Ph6 2. Ong IMrNguy n Chi Chu Kien tich 01/05/ % HDQT Thanh 3. OnglMrH6 Nghla Tin vien 30106/ % HDQT 4. BalMs Phan Thi Thao Suang Thanh." vien HDQT 30106/ % Thanh OnglMr Phan Xuan 5. vien 30106/ % Thi~n HDQT 2. Hoat dqnggiam sat cua HDQT d6i v61 Ban Giam d6cl Supervision by the BOD over the Director (General Director): Thuang xuyen

3 3. Heat dqng cua cac tieu ban thuoc HQi d6ng quan tri/ Activities of the Board of Directors' committees: Thuong xuyen 4. Cac Nghi quyet/quyet dinh cua HQi d6ng quan tri(bao.cao 6 thang/namj/ ResolutiIOnsID ectstons.. 0ifth e Boar d 0if D' treet ors (Semi-annua l/' annua l repor t s J : Stt S6 N ghi quyet/ Quyet dinh Ngay NQi dung No. Resolution/Decision No. Date Content III. Ban ki~m soat (Bao cao 6 thang/namj/ Supervisory Board/Semi-annual/annual reports): 1. Thong tin v~ thanh vien Ban Kiem soat (BKS)! Information about members of Supervisory Board: Stt Thanh vien BKS Chirc vu Ngay b~t S6 buoi hop Ty 1~tham Ly do No. Members of Supervisory Position d~u1khong con BKS tham du hop khong Board la thanh vien dv Percentage tham du BKS Number of hqp Day attendance Reasons becoming/no for longer member absence of the Supervisory Board Ba/Ms Huynh Thi Loan Truong 30106/ % Ban Kiem Soat Ong/Mr Huynh Duy Thanh 30106/ % Cirong Vien BalMs Pham Thi Thu Thanh 30106/ % Suang Vien 2. Hoat dqng giam sat cua BKS d6i voi HDQT Ban Giam d6c di~u hanh va c6 dong Surveillance activities of the Supervisory Boardtoward the Board of Management Board of Directors and shareholders: Thuong xuyen 3. Su phoi hop heat dong gitra BKS d6i voi heat dong cua HDQT Ban Giam d6c di~u hanh va cac can bq quan ly khac/ The coordination among the Supervisory Boardwith the Board of Management Board of Directors and different managers: Thuong xuyen 4. Hoat dqng khac cua BKS (neu c6)! Other activities of the Supervisory Board(if any): IV.IHo tao v~ quan tr] cong ty! Training on corporate governance: Cac kh6a dao tao v~ quan tri cong ty ma cac thanh vien HDQT thanh vien BKS Giam d6c (T6ng Giam d6c) di~u hanh cac can bq quan ly khac va.thir Icy cong ty da tham gia thee quy dinh v~ quan tri cong ty! Training courses on corporate governance which members of Board of Management members of the Supervisory Board Director (CEO) other managers and company secretary was involved in accordance with regulations on corporate governance: Thucmg Xuyen

4 v. Danh sach v~ ngirot co lien quan cua cong ty niem y~t theo quy djnh t~i khoan 34 Di~u 6 Lu~t Chung khoan (Bao cao 6 thang/nam) va giao djch ciia ngu'oi co lien quan cua cong ty voi chinh Cfmg ty 1List of affiliatedpersons of the puhlic company as specified in clause 34 Article 6 of the Securities Law (Semi-annual/annual reports) and transactions of affiliatedpersons of the Company with the Company) 1. Danh sach ve nguoi c6 lien quan cua cong tyl List of a(filiatedpersons of the Company.. ST Ten t6 chirc/ca Tai Chirc S6 Uia ThOi ThOi Ly do T nhanname of khoan V1l tai Gi.y chi tru diem diem Reason No. organizati giao cong ty NSH* sa b~t dau khong s on/individual dich (n~u n~ay chinh/ la con Ia chung c6) cap Uia nguoi nguoi kholln Positio noi chi c6 lien co lien (neu c6) n at the cap lien h~ quan quan Securiti compan NSH Addres Time Time es y (if No.* s of of trading any) date of startin ending account issue g to be to be (ifany) place ajjiliat ajjiliat of ed ed issue person person 1 Huynh Van Tan Chli /021 tich 3496 nguye 2 HBQT ;27/04 /2005 Linh tp Ba CA N ng TP Ba 2 Phan Thi Thao Thanh SUO'llg vi en 1069 nguye 2013 HBQT ;28/04 (Ph6 Linh T6ng tp Ba Giam CA N ng B6c) TP Ba N ng 3 H6 Nghla Tin Thanh vien 2237 Trung 2013 HBQT ;12/05 Nfr (Ph6 /2000 Vuon T6ng g tp Giam CA Ba B6c) TP Ba N ng N ng

5 4 Nguyen Chi Kien Thanh /051." vren 1584 Ti~u 2016 HDQT 13/071 La Tp 2000 Da CA TP Da ~.. 1 A ~ I i: 5 Phan Xuan Thi~n Thanh / vien 4071 B~c 2013 HDQT Dau ;29/07 /1999 Tp Da CA TP Da 6 Huynh Thi Loan Tnron g ban 5955 Hili 2013 ki~m ;27/12 Phong soat 12 tp Da CA TP Da 7 Huynh Duy Thanh Cuong vien 6268 Pham 2013 Ban re ;14/07 Ki~m TP Da Soat CA TP Da 8 Pham Thi Thu Thanh Suang vien 6190 Bili 2013 Ban ;05/02 Vien Ki~m Tp Da Soat CA TP Ba 9 Tr~n Mai Thi Be K~ Hoa 01/031 Li~u Toan 7018; Khanh 2

6 TruOn 15/091 Nam. g 2010 Q CA Lien TP Da Chieu tp Da Ghi chu/note: s6 Gidy NSH*: s6 CMND/H6 chuu (d6i voi ca nhdn) hoac s6 GCN dang ky doanh nghiep. Giay phep hoat d6ng hoac gidy tir phdp If; tuong duong (d6i vai t6 chuc)/nsh: In case of individual: ID card/passport No.; In case of organization: License of establishment and operation/certificate of business registration/equivalent legal documents. 2. Giao dich gitra cong ty voi ngiroi c6 lien quan cua cong ty; hoac gitra cong ty voi c6 dong Ion nguoi nqi bq nguoi c6 lien quan cua nguoi nqi bqi Transactions between the company and the affiliated persons or between the company and major shareholders internal persons and related person of internal person. ST Ten t6 M6iquan S6 Dia ThCri S6 Nghi S6 Ghi T chirc/ca h~ lien Giay chi tru di~m quy~ti hrong ty chu No. nhful quan voi NSH* sa giao Quyet l~ nam Not Name of cong ty n&ay chinh/ dich voi dinh cua gitt c6 e organiza Relations cap Dia congty DHDC phieu tion/ hip noi cftp chi Time of D/ sau khi individua NSH lien transacti HDQT.. giao dich 1 No.* h~ ons. thong Number date of Addre qua(n~u ownershi issue ss c6neu p place ra ngay proporti of issue ban on of hanh) shareslju Number nd of certificat resoluti es hold ons/ after the decision transacti s of the on AGM/ BOM. adopted (ifany specify date of issue) Ghi chu/note: s6 Gidy NSH*: s6 CMND/H6 chi u (d6i voi ca nhdn) hoac s6 GCN dang ky doanh nghiep Guiy phep hoat dong hoac gidy tir phdp If; tuong duong (d6i voi t6 chuc)/ NSH*: In case of individual: ID card/passport No.; In case of organization: License of establishment and operation/certificate of business registration/equivalent legal documents.

7 C 'I I ~ 3. Giao dich gifra nguoi nqi bq cong ty niem y~t nguoi c6 lien quan cua ngiroi nqi bq voi cong ty con cong ty do cong ty niern y~t nam quyen kiem scat/ Transaction between internal person of listed company and company's subsidiaries or the company in which listed company takes contro IIing power Stt Nguai Quan h~ Chtrc S6 Dia Ten Thai So hrong Gh N thuc voi vu tai CMNDIH chi cong ty diem tyl~nb 1 o. hien nguoi CTNY Qchieu Addr con giao gifr c6 ch giao nqibq Positti ngay c~p ess cong ty dich phieu sau U dich Relation on at noi cap do Time of khi giao No Transact ship listed ID CTNY transac dich! te ion with compa card/pass nam tion Number executor internal ny port No. quyen ownershi person date of ki~m p issue soatnam proportio place of eof nof issue subsidia sharesiju ries the nd company certificat which es hold listed after the company transacti control on 4. Giao dich giira cong ty voi cac d6i tuong khac/ Transactions between the company and other objects 4.1. Giao dich gifra cong ty voi cong ty ma thanh vien HDQT thanh vien Ban Ki~m scat Giam d6c (T6ng Giam d6c) disu hanh dii va dang la thanh vien sang l~p hoac thanh vien HDQT Giam d6c (T6ng Giam d6c) disu hanh trong thai gian ba (03) nam tro lai day (tinh tai thai di~m l~p bao cao)/ Transactions between the company and the company that members of Board of Management members of the Supervisory Board Director (CEO) has been a founding member or members of Board of Management Director (CEO) in three (03) years (calculated at the time of reporting) Giao dich gitra cong ty voi cong ty ma ngiroi c6 lien quan cua thanh vien HDQT thanh vien Ban Ki~m scat Giam d6c (T6ng Giam d6c) disu hanh la thanh vien HDQT Giarn d6c (T6ng Giam d6c) disu hanh/ Transactions between the company and the company that relatedperson of members of Board of Managementmembers of the Supervisory Board Director (CEO) as a member of Board of Management Director (CEO) Cac giao dich khac cua cong ty (neu c6) c6 th~ mang lai 19i Ich v~t chat ho(lc phi v~t chfrt d6i voi thanh vien HDQT thanh vien Ban Ki~m scat Giarn d6c (T6ng Giam d6c) disu hanh/ Other transactions of the company (if any) may be beneficial material or immaterial for members of Board of Management members of the Supervisory Board Director (CEO). VI. Giao djch c6 phieu cua ngu'01 ni}i bi} va nguoi lien quan cua ngu'01 ni}i bi} (Bao cao 6 thang/namj/ Transactions of internalpersons and relatedperson of internal person (SemiannuaVannualreporfi) 1. Danh sach nguoi noi bq va nguoi c6 lien quan cua nguoi nqi bq/ List of internal persons and their ajjiliatedpersons

8 )i Stt Ho ten Tai Clnrc vu S6 Uia chi S6 c6 Ty l~ sa Ghi No. Name khoan tai cong ty CMNDI lien h~ phieu sa hfruc6 chu giao dich (neu c6) H9 Addres hfru phieu cu6i Not chung Position chien s cu6iky ky e khoan at the ngay Number Percentage (neu c6) company dp noi of of share Securitie (ifany) dpid shares ownership s trading card/pas owned at the end account sport at the of the (if any) No. date end of period of issue the place of period issue 1 Huynh Chu tich % Van Tan HDQT 96 nguye 99 ;27/04/2 Linh 005 tp Phan Nguoi % Thi lien quan 69 nguye 99 Thao ;28/04/2 Suang Linh 005 tp 2 Phan Ph6 T6ng % Thi Giam 69 nguye 99 Thao D6c ;28/04/2 Suang Linh 005 tp -c Huynh Ngiroi % Van Tan lien quan 96 nguye 99 ;27/04/2 Linh 005 tp

9 Phan Nguoi /10 005% Xuan lien quan 71 B~c Thi~n ;29/07/1 DAu Tp 999 I' ) ) '1! IT ::: Phan Ngiroi t.e 11% Thi lien quan 54 DuAn Thuy ;26/08/2 tp Lieu Phan Nguoi /8 15% Thi lien quan 53 B~c Thuy DAu ;18/11/1 Van Tp 999 Phan Ngiroi Hili 01% Thi lien quan 55 Phong Thuy Ai ;27/12/2 Tp Phan Nguai B~c % Xuan lien quan 45; DAu Kien 17/12/2 tp

10 Phan Ngiroi T % Xuan lien quan 76 p.chin L9C ;23/05/2 h 009; Gian Tp Da Da ( ( 1 A... II.. 3 H6 Ph6 T6ng % Nghia Giam 37 Trung 9 Tin D6c Nil ;12/05/2 Vuong 000 tp Da Da 4 Nguyen Thanh % Chi vien 84 Ti~u Kien HDQT 13/07/2 La Tp 000 Da Da 5 Phan TruOng / % Xuan phong 71 B~c Thi~n vai re ;29/0711 DAu 999 Tp Da Da Phan Ngiroi % Thi lien quan 69 nguye 99 Thao ;28/04/2 Suong Linh 005 tp Da Da Huynh Ngiroi % Van Tan lien quan 96 nguye 99

11 ;27/04/2 005 Linh tp Ba Ba Phan Ngiroi t.e % Thi lien quan 54 Duan 9 Thuy ;26/08/2 tp Ba Li~u Ba Phan Ngiroi / % Thi lien quan 53 B~c 9 Thuy ;18/1111 BAu Van Tp Ba 999 Ba Phan Nguoi Hai % Thi lien quan 55 Phong Thuy Ai ;27112/2 Tp Ba Ba Phan Nguoi B~c % Xuan lien quan 45; BAu Kien 17112/2 tp Ba Ba Phan Ngtroi T % Xuan lien quan 76 p.chin LQc ;23/05/2 h Gian 009;

12 Tp va va Huynh Truong Hai 0 0% Thi ban ki m 55 Phong Loan soat ;27112/2 tp Va Va ( I ~ Huynh Thanh % Duy vien Ban 68 Pham CUOng Ki m Tu TP ;14/07/2 Soat 009 Va Va Pham Thanh Bui 0 0% Thi Thu vien Ban 90 Vi~n Suang Ki m ;05/0212 Tp Va Scat 009 Va Tnln K Toan Hoa 0 0% Mai Thi TruOng 18; Khanh Be Lieu Nam. 15/ Q Lien Chien tp Va Va 2. Giao dich cua nguoi noi bq va nguoi co lien quan d6i voi c6 phieu cua cong ty niem y~ti Transactions of internal persons and affiliated persons on shares of the listed company

13 Stt Nguoi thirc Quan he voi S6 c6 phieu sa hfru S6 c6 phieu sa hfru Ly do No. hien giao nguoi nqi dfiu ky cu6iky tang giam dich bq Number of shares Number of shares (mua ban Transactio Relationshi owned at the owned at the end of chuysn n executor pwith beginning of the the period d6i internal period thirong...) person Reasons for S6 c6 Ty l~ S6 c6 Ty l~ increased phieu Percentag phieu Percentage ecrease Number e Number (purchase of of sale shares shares switch reward..) VII. Cac v~n d~ can IU'uy khac/ Other significant issues -