CONG TY CO PHA.N cap THOA.T NUOC LONG AN S8: ~9j/QDCN - HDQT CONG HOA xa HOI CHU NGHiA VI~T NAM DQc I~p - TV do - H~nh phiic Long An, ngay Af-thimg ndm 2014 QUYETDINH V~ vi~c ban hanh Quy ch~ nqi bq v~ quan If cb dong, cb ph~n HOI DONG QUAN TRJ CONG TY CO PHAN cap THOAT NUaC LONG AN Can cir Luat doanh nghiep s 0/200/QHll diroc Quoc hoi Khoa X cua mroc Cong hoa xa hoi chu nghia Viet Nam thong qua ngay 291111200; Can cir DiSu 1~t chirc va hoat dong cua Cong ty c phan Cc1pthoat mroc Long An duoc Dai hqi dong C dong thong qua ngay 2/9/201; Can cir Nghi quyet s 47A/NQ- DHCDICty ngay 2/9/201 cua Dai hoi dng C dong thanh lap Cong ty c phan Cc1pthoat mroc Long An; Can cir bien ban hop HDQT Iftn tlnr, nhiem ky (201-2019) ngay 10 thang nam 2014, V/v dong gap y ki~n thong qua Quy ch~ chi tieu nci bq, Quy che Ban kiem soat, Quy ch~ quan ly c dong, k~ hoach SX - KD va Dftu tu XDCB nam 2014, QUYET DINH: Di~u 1. Ban hanh kern theo Quyet dinh nay Quy ch~ noi bq vs quan ly c dong, c phan cua Cong ty c phan Cc1pthoat mroc Long An. Di~u 2. Cac thanh vi en HQi dong quan tri, Tng Giam dc, Pho Tng Giam dc va cac Truong, Pho cac bq phan cua Cong ty c phan Cc1pthoat nuoc Long An chiu trach nhiem thi hanh quyet dinh nay. Di~u. Quyet dinh co hieu hrc ks tir ngay ky. Noi nh~n: - Nhir di~u ; - Liru: VT, TC - HC.
CONG TY CO PHAN cap THOA.T NUaC LONG AN QUY CHE NOI BO VE QUAN LY ~" z ~ CO DONG, CO PHAN Nam 2014
GIA.I THICH TIT NGU: Ml)C Ll)C CHUONG 1- NHUNG QUY DJNH CHUNG DiSu 1. Pham vi ap dung DiSu 2. Quan ly nha mroc vs chuyen quyen sa hfru c phan DiSu. D~u mi quan ly chuyen quyen sa hiru c phan CHUONG II. DOl TUQNG VA DIEU KI" N CHUYEN QUYEN so utru DiSu 4. Di tuq11gap dung DiSu. Hinh thirc DiSu. DiSu kien chuyen quyen sa hfru c phan CHUONG III. cac QUY DJNH Cl) THE VE CHUYEN QUYEN so ntru DiSu 7. Trach nhiem cua Ban quan h~ c dong DiSu 8. Thai gian hoan t~t thu tuc DiSu 9. ThuS thu nhap va cac 10C;li thus/ phi lien quan DiSu 10. Xu ly c tire chua duoc chia va cac quyen loi khac CHUONG IV. PHI CHUYEN QUYEN sa mru, cap so MOl DiSu 11. Muc dich thu phi chuyen quyen sa hfru va c~p s DiSu 12. Mire phi chuyen quyen sa hfru va c~p s CHUONG V. THU Tl)C CHUYEN QUYEN sa ntru DiSu 1. H sa chuyen quyen sa hiru PHAN III. TO CHUC THVC HI" N DiSu 14. T chirc thuc hien DiSu 1. Hieu luc cua Quy chs 2 4 4 4 ~.,( /' 0 1 " -c.1 i 7 ~ 7. ~ 1
CONG TY CO PHAN cap THOAT NUOC LONG AN CQNG HOA xa HQI CHU NGHiA vrsr NAM DQcl~p - Tl}'do - H~nh phuc Quy ch~ ni)i bi) v~ quan If c dong, c phfin tai Cfmg ty c phfin Cap thoat nmrc Long An (Ban hanh kern then QD s: gj/qd- IIDQT ngay Aft b ( O.J1cuaIIDQT) GIAI THicH TU NGU Trong Quy chs nay, cac tir ngtr diroc dinh nghia va duoc hieu nhir sau, tnr khi co nhtrng giai thich ra rang khac trong dean van. 1. "CB phan phb thong" la mot don vi cua vn disu l~ cua Cong ty, co menh gia la 10.000 dng va cho phep nguoi nam gifr co cac quyen neu trong DiSu l~ cua Cong ty. "CB phieu phb thong" la s clnrng nhan sa hiru C phan pho thong gom cac noi dung then quy dinh cua phap lu?t hien hanh, 2. "CB phan uu diii" la mot don vi cua von disu l~ cua Cong ty, co menh gia la 10.000 dng va cho phep ngiroi n~m gifr co cac quyen va gioi han neu trong DiSu l~ cua Cong ty va cac quy dinh cua IIDQT Cong ty duoc neu cu ths trong cac chuang trinh khac nhau do IIDQT Cong ty phat hanh tuy tirng thai diem. "CB phieu uu diii" la s clnrng nhan sa htru C phan Uti dai gm cac noi dung then quy dinh cua phap Iuat hien hanh.. "CB dong" la moi ths nhan hay phap nhan duoc ghi ten trong S Dang ky c dong cua Cong ty voi tir each la ngiroi sa htru C phieu ph thong va/hoac C phieu Uti dai. 4. "Cong ty" duoc hisu la Cong ty c phftn cfip thoat mroc Long An. "HDQT", "BKS", va "TGD" diroc hieu la H9i dng quan tri, Ban kism soat, va Tng giam dc cua Cong ty.. "Ban quan h~ cb dong" duoc hisu la Phong, ban hoac ca nhan diroc IIDQT Cong ty phan cong quan ly s c dong va dftu mi tisp nhan va thuc hien cac giao dich, thu tuc hanh chinh phap ly lien quan dsn c dong, c phan va c phieu cua Cong ty. Khi cac cong viec nay do cac don vi ngoai Cong ty thuc hien then quy dinh cua nha mroc vs quan ly cong ty dai chung va cong ty niem yst tren thi tnrong Chung khoan, "Ban quan h? ca dong" se tiep tuc la dftu moi giao tisp gitra Cong ty voi cac don vi/ca nhan ngoai Cong ty vs Iinh VlJC nay..,---. III 2
CHUONG I: QUY DINH CHUNG Di~u 1. Pham vi ap dung Quy chs nay ap dung cho viec chuyen di quyen s hiru (chuyen nhirong, thira ks) di voi t~t ca cac loai c phan cua Cong ty. Di~u 2. Quan ly nha mroc v~ chuyen quyen sir hfru CB phfio Khi Cong ty tro thanh cong ty dai chung hoac b~t dftu niem yst c phieu tren thi tnrong chirng khoan thi viec chuyen nhirong, nhan thira ks cac c phan se duoc thirc hien theo cac quy dinh cua Nha mroc vs chuyen nhirong, nhan thira ks cac c phan cua cong ty dai chung va quy dinh cua Nha mroc vs chimg khoan niem yst. Di~u. Dfiu m8i quan ly chuyen quyen sir hfru CB phfio HDQT thong nhat viec quan Iy moi v~n ds lien quan dsn viec chuyen nhuong, thira ks c phan cua Cong ty. Chu tich HDQT t chirc tisp nhan va giai quyet cac yeu cftu cua c dong lien quan dsn Quy chs nay va ky xac nhan tren "S chirng nhan s hfru c phan" cling voi TGD. - I) CHUONG II. DOl TUQNG va DIEU KIlJ:N CHVYEN QUYEN sa Hiru Di~u 4. D8i ttrgog ap dung 4.1. Di nrong chuyen quyen s hfru c phan gom t~t ca cac c dong so hfru C phan ph thong va C phan Uti dili tuan thu theo DiSu l~ Cong ty va Quy chs nay. 4.2. Di tuong nhan chuyen quyen so hfru gom t~t ca cac ca nhan, t chirc hop phap trong mroc va mroc ngoai theo quy dinh cua phap luat Viet Nam. Uu tien nhirng nha dftu tu co kha nang h tro vs chien hroc, cong nghe, quan ly cho Cong ty. Di~u. Hioh thirc Chuyen quyen so hfru c phan bao gom cac hinh thirc sau:.1. Do hai ben chuyen nhuong cho nhau theo thoa thuan mua ban, cho tang va cac hinh thirc khac theo quy dinh cua B9 luat dan SlJ Vi~t Nam..2. Do thira ks. Di~u. Di~u ki~o chuyen quyen sir hfru CB phfio.1. Cac c phan ph thong diroc tir do chuyen nhirong theo DiSu 11 cua DiSu l~..2. Cac tnrong hop chuyen quyen s hiru co disu kien (han chs chuyen nhuong): - C phan ph thong ma chu s hiru la Chu tich va thanh vien HDQT, Truong va thanh vien Ban kiem soat, TGD, KS toan tnrong, Giam dc cac cong ty thanh vien, don vi true thuoc, Trong suot thai gian chu s htru con duong nhiem, cac c phan nay chi diroc chuyen nhirong khi duoc HDQT _. ~1 -
dng y tren nguyen t~c khong anh huong 100 va true tisp dsn quyen 19i cua Cong ty va cac c dong nho khac, - C phan ph thong ma chu sa hfru la C dong 100 cua Cong ty. C dong 100 duoc hisu 1a C dong nam giu tir % tro len tong s c phan tren bao cao tai chinh cong b g~n nh~t cua Cong ty. Cac c phan nay chi duoc chuyen nhirong khi duoc lidqt dng y tren nguyen t~c khong anh hirong 100 va tnrc tiep dsn quyen 19i cua Cong ty va cac c dong nho khac, - Ngoai cac han che diroc neu a day, C phan uu diii con bi han chs chuyen nhuong boi cac quy dinh khac cua quy chs nay va cac disu kien ghi tnrc tisp tren s chimg nhan C phan uu diii va duoc cong b cong khai trong thong bao cua lidqt cong ty vs chuang trinh phat hanh. - C phan cam kst bi han chs chuyen nhuong cho dsn khi hst thai gian cam kst. - Viec chuyen nhirong C phan ph thong cho cac ca nhan, t clurc co hoat dong kinh doanh cling nganh nghe, cling linh V\lC va co kha nang canh tranh cao hoac gay anh huong dsn 19i ich cua Cong ty thi do lidqt quyet dinh va bao cao tai DlIDCD g~n nh~t... Trong cac tnrong hop viec chuyen nhirong c phan co dieu kien c~n lidqt phe duyet nhu dii neu a.2 va. noi tren, lidqt khong co quyen tir choi yeu c~u chuyen nhirong neu khong neu dtroc ly do chinh dang cua viec tir chi. ~ " '..., j CHUONG ill. cac QUY DlNH cu TIlE ve CIIUYEN QUYEN Sa Hiru Di~u 7. Trach nhiem cua Ban quan h~ c8 dong Ban quan h~ c dong co trach nhiem then di c phan cua cac c dong, huong d~n cac thu tuc, cung c~p rn~u bisu vs chuyen nhuong cho cac c dong co nhu c~u chuyen nhuong, thuc hien viec quan ly va c~p phat s c dong, hoan t~t cac thu tuc chuyen nhirong trinh HQi dng quan tri Cong ty phe duyet. Di~u 8. Tho'i gian hoan t t tho tuc: 8.1. Thai gian hoan t~t thu tuc chuyen nhirong khong cham hon 1 ngay lam viec ks tir ngay "Yeu c~u chuyen quyen sa hiru c phan'' duoc Ban quan h~ c dong tiep nhan chinh thirc. 8.2. Thai gian lidqt Cong ty tra loi vs viec chap thuan hoac tir chci viec chuyen nhirong cua cac di tirong thuoc pham vi cua lidqt xem xet khong vuot qua thang ks tir ngay "Yeu c~u chuyen quyen sa hiru c phan'' duoc Ban quan h~ c dong tisp nhan chinh thirc. 8.. Trong tnrong hop Cong ty tarn ngung viec chuyen nhuong c phan ds thuc hien cht danh sach c dong, hoac vi mot ly do nao do vs phia 4
Cong ty khi@n thai gian hoan t~t thu tuc chuyen nhuong lau hon thai gian neu tren, Cong ty se co thong bao d@ncac c dong. 8.4. Thai diem chuyen quyen sa hfru: Viec chuyen nhirong, thira k@c phan duoc chap nhan Ia hoan thanh va hq'p 1~ sau khi cac ben da thirc hien d~y du thu tuc chuyen nhuong, thira ke. C dong moi da duoc ghi ten vao S dang ky c dong cua Cong ty va nhan diroc S clnrng nhan c phan moi theo quy dinh tai Quy ch@ nay. KS tir thai diem do, nguoi mua hoac nguoi thira k@ c phan chinh tlnrc tro thanh c dong cua Cong ty va duoc huang moi quyen loi, thuc hien nghia vu cua c dong theo cac quy dinh tai DiSu 1~ Cong ty. f)i~u 9. Thu~ thu nh~p va cac loai thue/phi lien quan 9.1. Cac di tuong chuyen nhuong chiu trach nhiem true ti@p tnroc nha mroc Viet nam vs cac loai phi, thu@ phat sinh true tiep hoac gian ti@p tir viec chuyen nhuong nay, bao gom khong han ch@ thu@ thu nhap ca nhan, thu@ thu nhap doanh nghiep, thue chuyen tien ra mroc ngoai, thu@ suat, thu@ khan,... 9.2. Khi co yeu c~u va tuan thu quy dinh cua Nha mroc, Cong ty duoc quyen thu true ti@p va/hoac giu lai cac khoan thu@ noi tren tir cac di tuong chuyen va nhan chuyen quyen sa hfru c phan, f)i~u 10. Xu ly ca nrc chira dlfq'c chia va cac quyen lq'ikhac Ben nhan chuyen nhuong duoc quyen huang c tire duoc chia va cac quyen loi khac g~n k@t voi s C phan chuyen nhirong sau Thai dism chuyen quyen sa htru, tnr khi Cong ty co thong bao khac ra rang vs cac quyen Ioi nay trong cac chuang trinh phat hanh them hoac chia c tire tai tirng thai diem. CHUaNG IV: PHi CHUYEN QUYEN sa HUu, cap so Mal f)i~u 11. Muc dich thu phi chuyen quyen sly hii'u va c p sa: 11.1. Phi chuyen quyen sa hiru va c~p s do Ban quan h~ c dong thu nham phuc vu trang trai cho cac hoat dong lien quan d@n cac dich vu vs chuyen quyen sa hfru c phan Cong ty va cac dich vu c dong khac. 11.2. Phi chuyen quyen sa hfru thu cua ngiroi chuyen nhuong c phan hoac cua nguoi nhan thira k@. f)i~u 12. Mtrc phi chuyen quy~n sly hfru va c p sa: 12.1. Phi chuyen nhuong la: 100.000dng (mot tram ngan dng ch~n) di voi mot giao dich chuyen nhirong. 12.2. Truong hq'p s chimg nhan sa hiru c phan bi hu hong, bi m~t, bi chay hoac bi tieu huy duoi hinh thirc khac, c dong diroc quyen lam don yeu c~u Cong ty c~p lai S maio Tuy tnrong hq'p, l-idqt co ths yeu c~u
chu sa hiru dang bao vs sir viec neu tren, neu sau 1 ngay ks nr ngay ra thong bao ma khong co tranh ch~p gi lien quan, c dong se diroc Cong ty c~p S maio 12.. C dong moi cua cong ty nhan s chirng nhan c phan moi hoac c dong Cll co nguyen vong va duoc Cong ty c~p lai s moi phai nqp phi cho Cong ty theo rmrc 100.000dng/s. CHUaNG V. THU Tl)C CHUYEN QUYEN sa HUu I>i~u 1. H8 SO' chuyen quyen SO' hfru: 1.1. C dong va cac ben lien quan nqp "Yeu c~u chuyen quyen sa hfru c phan'' theo m~u kern theo cho Ban quan h~ c dong. 1.2. H sa ti thisu bao gem: - Chung minh nhan dan (hoac hq chien di voi nguoi khong phai Quoc tich Vi~t Nam) ngiroi chuyen va nguoi nhan; - Giay phep dang ky kinh doanh hoac cac tai lieu clnrng minh tu each phap nhan cua cac t chirc, cac h sa xac thirc tu each nguoi dai dien phap lu~t va h sa clnrng minh quyet dinh mua/ban c phan cua t chirc. NSu Ia t chirc mroc ngoai, c~n co cac h sa khac nrong irng theo quy dinh cua phap luat hien hanh, - S chirng nhan sa hfru c phan cua hai ben (hoac ben chuyen neu ngiroi nhan chua la c dong).. 1. Tuy theo loai c phan, di tirong chuyen nhuong va s hrong C phan chuyen nhirong, Cong ty co ths yeu c~u them mot each hq'ply cac loai h sa gi~y to' va giai trinh khac them vao cac loai gi~y to' tren. 1.4 H sa thira ks: - H sa chimg minh quyen duoc huang thira ks theo cac quy dinh cua phap lu~t vs thira ks. - H sa ds sang ten: S chtrng nhan sa hfru c phan cua c dong da qua doi hoac chuyen thira ks, ban copy clnrng minh thu nhan dan cua ngiroi huang thira ks (co xu~t trinh ban gc ds di chien) \~c ~J. I /~ J PHAN III. TO CHUC THVC HI N I>i~u 14. TB clnrc thuc hi~n 14.1 Cac thanh vien lidqt, Tng Giam dc Cong ty, Giam dc cac don vi true thuoc, Ban quan h~ C dong va cac c dong chiu trach nhiem thirc hien quy chs nay. 14.2 Ban kism soat chiu trach nhiem giam sat viec thirc hien Quy chs nay trong toan Cong ty va kip thai phan anh voi lidqt vs nhtrng tnrong hq'pvi pham, thuc hien khong dung quy chs.
14. Trong qua trinh thuc hien, n@uco yeu c~u sua di, b sung cho phu hqp voi disu kien heat dong cua Cong ty va cac quy dinh cua phap lu~t co lien quan, lidqt se xem xet, quyet dinh. 14.4 Cong ty khong chiu trach nhiem giai quyet cac tranh chap vs quyen 19i va nghia V\1 di voi nguoi da ban c phan va nguoi cho thira k@ khi cac tranh chap do khong diroc quy dinh trong DiSu l~ va khong lien quan d@nquyen 19i cua Cong ty. 14. Nhtrng diem khong co trong Quy chs nay hoac khong hoan toan phu hop voi DiSu l~ Cong ty thi duoc thuc hien then quy dinh tai DiSu l~ cua Cong ty. Di~u 1. Hi~u l\fc ciia Quy ch~ Quy ch@ nay da duoc cac thanh vien HDQT thong qua va co hieu hrc k~ tir ngay HDQT ky quyet dinh ban hanh, 7