Bao cao ket qua giao dich co phieu

Phu luc so 12
Appendix 12
BAO C A O KÉT Q UA G IA O DICH C Ó P H I É U /C H Ú N G CHÍ QUY
CIJA NGUÓI NÓI BÓ VA N G U Ó I CÓ LIEN QUAN

RE POR T ON RESUL TS OE TRA NSA CTION IN SHA RES/ EVND CER TIFICA TES
OEINTERNAL PERSON AND AEFIL1A TED PERSONS
(Barí hánh kém theo Thóng tusó 155 /2015/TT-BTC ngáy 06 lliáng 10 nám 2015 cita
Bó Tai chính huáng dan córtg bó thóng fin tren thi tru&ng chírng khoán)
(Promulgated with the Circular No 155/2015/TT-BTC on October 06, 2015 ofthe Ministry
o f Finance guiding the Information disclosure on securities markets)
C O N O HÓA XA HUI CHÜ N G H lA VIET NAM
Doc lap - Tu- do - Hanh phúc

THE SOCIALIST REPUBLIC OE V1ETNAM
Independence - Ereedom - Happiness
.... ngáy ... tháng... nám...
........ dav ... montli... year ...
BAO C A O KÉT Q UA G IA O D |C H CO P H I É U /C H Ú N G CHÍ QUV CUA NGUÓI
NQI BÓ CUJA CÓNG TY DAI CHÚNG, NGUÓI NÓI BO CUA QUY DAI CHÚNG V A
N G U Ó I CÓ LIEN Q U A N C Ü A N G U Ó I NÓI BÓ

RE POR T ON RESUL TS OE TRA NSA CTION IN SHA RES/ EUND CER TIFICA TES
OF INTERNAL PERSON OE PUBLIC COMPANY, INTERNAL PERSON OE
PUBLIC EUND AND RELA TED PERSONS OF INTERNAL PERSON

1.

Kính giri:

- Uy ban Chírng khoán Nhá nuóc

- Sá Giao dich chúng khoán Ha Noi
- Cóng ty dáu tir'Cháu A - Thái Binh Diráng

To:

- The State Securities Commission
- HaNoi Stock Exchange
- Asia - Pacific Investment Jsc

Thóng tin ve cá nhán/tó chúc thirc hien giao dich/ Information on individual/

organizaron:
- Ho vá ten cá nhán/Tén tó chúc/ Ñame o f individual/organization : ASEAN Deep
Valué Eund
- Quóc tich/ Nationality: C A Y M A N ISLANDS
- So CMND, Hó chiéu, The can ciróc (dói vói cá nhán) hoác So Giáy chúng nhán
dáng ky doanh nghiép, Giáy phép hoat dpng hoac giáy to pháp Iv tirong dirong (dói vói tó
chúc), ngáy cáp, noi cáp/ ID card/Passpon No. (in case o f individual) or Certifícale o!

business registration No. (in case o f organiza tion), date ofissue, place ofissue.
OS-149267


- Día chi lién hé/Dia chí tru só chính / Address: Osiris International Cayman Limited,
Suite #4-210, Governors Square, 23 Lime Tree Bay Avenue, PO Box 3231 1,
G rand C ay m an KY1-1209, Cayman Islands
- Dién thoai/ Telephone : (852) 2111 3429 Fax:.... Email: deroesCáaseanadvisors.com
Website:....
- Chúc vu hién nay tai cóng ty dai cliúng, cóng ty quan ly quy (néu có) hoac mói quan
lié vái cóng ty dai chúng, cóng ty quán ly quy/ Current position in the public company. (he

fund management company (if any) or relationship with the public company. the Jund
management company:
-

Chúc vu tai cóng ty dai chúng, cóng ty quan ly quy tai ngáy dáng ky giao dich (néu

c ó)/Positíion in the public company, the fund management company at registration datefif
any):........................ vá ngáy khóng con la nguói nói bó hoác nguói có lién quan cua ngirói
nói bó cúa cóng ty dai chúng, cóng ty quán ly quy:............. (néu ró ly do) */ and date on

which is no lunger internal person or related person of interna/ person o) the public
company, the fund management company:
*: Muc nay chi dánh cho trirang hop chira hét thái han dáng ky giao dich. dói tirong
dáng ky' khóng con la nguai nói bó hoác nguói có lién quan cua ngirói nói bó cua cóng ty
dai chúng, cóng ty quán ly quy/ This ítem is onlyjor cases not yet registration deadline of
transaction, the registrant is no longer the internal person or related person o f interna/
person o f the public company, the Jund management company.
2. Thóng tin vé ngirói nói bó cua cóng ty dai chúng/quy dai chúng la nguói có lién
quan cúa cá nhán/tó chúc thirc hién giao dich (dói vái tnráng hop ngirói liare hién giao dich

la nguai có lién quan cúa nguai nói bó cúa cóng ty dai chúng/quy dai chúng)/ Information
about internal person o f the public company/public Jund is related person o f trading
individual/organization (in case trader is related person o f internal person o f the public
company/public Jund):
- Ho vá tén nguói nói bó/ Ñame o f internal person: David Eric Roes
- Quóc tich/ Nationality: United States of America
- So CMND, Hó chiéu, The can cuóc/ ID card/Passport No.: 545617230
- Dia chi thuóng trú/ Permanent address:
-Dién thoai lién he/ Address:

Fax:
Email:
- Chúc vu tai cóng ty dai chúng, cóng ty quán ly quy tai ngáy cá nhán/tó chúc néu tai
muc 1 dáng ky giao dich/ P osittion in the public company, the fund management company at

date on which individual / organization referred to in paragraph / to register the
transaction: Director
- Chúc vu hién nay tai cóng ty dai chúng, cóng ty quan ly quy/ Currently posittion in
the public company, the Jund management company: Director
- Mói quan he giúa cá nhán/tó chúc thirc hién giao dich vó’i nguói nói

bó/

Relationship o f individual/organization executing transaction with internal person:
Director at ASEAN Deep Valué Fund
-

So lugng, ty le có phiéu/chúng chi quy má nguói nói bó dang nám giú (néu có)

Number, ownership pioportion o f sitares held by the internal (if any): 0
3. Má chúng khoán giao dich/ Securities code: API
4. Các tái khoán giao dich có có phiéu/chúng chi quy néu tai muc 3/Trading accounl
number with shares/fund certifícales menlioned above: DBHFCA5503 tai cóng ty chúng
khoán/ In securities company: HSC
2


5. So lugng, ty le có phiéu/chúng chi quy nám giu' tnróc khi thuc hién giao dich.

Number, ownership proportion o f shares/fund certifícales held before Iransaction:

4,942,200 / 13.96%

6. So lugng có phiéu/chúng chi quy dáng ky mua / Number o f shares/fund

certijicates registered to purchase: 600,000
7. So lugng có phicu/chúng chi quy da giao dich (mua) **/ Number of shares/fund

certijicates traded (purchase) : 500,000
8. So lugng, ty le có phiéu/chúng chi quy nám giú sau khi thuc hicn giao dich/

Number, ownership proportion o f shares/fund certijicates held after executing transad ion:
5,442,200 / 15.37%

9. Phuong thúc giao dich/ Mode o f iransaction: Put through
10.
Thó'i gian thuc hién giao dich/ Transaction period: tú ngáy//'rom 02/03/2017 den
ngáy/to 31/03/2017.

1 1. Ly do khóng thuc hién hét so lugng dáng ky/ The reason fo r Jailure to purchase in

full the registered number: Because the price has moved higher than expected price.
(Trong truóng hgp khóng
CÁ N H Á N /T Ó C H Ú C BAO C Á O /
thuc hién hét so lugng dáng N G U Ó I D U O C ÜY Q U Y É N C Ó N G BÓ T H ÓN G TIN
ky, nguai nói bó/nguófi có lién
ÑAME OF RFPORTINC, ORGANIZA T/ON/
quan phai giái trinh nguyén
INDI VID UA1 / PERSONS A L'THORIZED TO
nhán.)/ * (In case of failing to
DISCLOSE INFORMA TION

**

execute full registered number, the
(Ky, ghi rd ho ten, dáng dáu - neu có)
internal person/ related person of (Signature, full ñame and seal-in case of'organizaban)
internal person shall need lo explain
the reasons.)

David Peter O ’Neil
Director
For and On behalf oí ASE AN Deep Valué Fund

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