PHCONG AN THAT HANH TRAI PHIEU PSI WI 2 NAM 2022 CONG TY CO PHAN CHUNG KHOAN DAU KHI Dia chi: Tang 2, tea nha Hanoi Tourist, so 18 1,57Thuirng Hoin Kiem, Ha Ni)i thoai: 0243 9343888 Fax: 0243 9343999 Website: vvww. si.vn
PHUONG AN PHAT HANH TRAI PHIEU PSI -DQT 2 NAM 2022 PHAN I: THONG TIN VE TO CH tt PHAT HANH VA DIEU KIEN PHAT HANH TRAI PHIEU 1. Thong tin yo To Chtiv Phat Ten g9i bang ti6ng Viet Nam : Cong ty Co phan Chdng khoan Dau khi Ten viet tat bang tieng nuot ngoai : PetroVietnam Securities Incorporated Ten cong ty viet tat Lo4i hinh doanh nghiep Try sd chinh : PSI Cong ty Co phan Dai chung niem yet tai SO. Giao dich Chang khoan Ha NOi Tang 2, toa nha Hanoi Tourist, s6 18 1,5/ ThuOng Kiet, Phuemg Phan Chu Trinh, Quan Hoan Kiem, Ha Nei Dien thoai : 0243 9343888 Fax : 0243 9343999 Website : www.psi.vn Bieu tiling (logo) Von di'eu Giay chung nhan DKDN Tai khoan PSI : 598.413.000.000VND Giay phep hog Ong kinh doanh chung khoan s6 26/UBCK-GP ngay 19/12/2006, Giay phep dieu chinh Gidy phop thanh lap va hot dong cong ty chdng khoan s6 15/GPDC-UBCK ngay 08/06/2016 do illy ban Chang khoan Nha nuac cap, va cap nhat theo ttrng thei diem 107000177645 tai Ngan hang TMCP D4i chimg Viet Nam (PVcomBank) Chi nhanh Hai Ba Trung Ma s6 thu6 : 0102095561 Nganh nghe kinh doanh: Can cu theo Giay phep hot dong kinh doanh chdng khoan s6 26/UBCK-GP, nganh nghe kinh doanh cua C8ng ty Co phan Chimg khoan Dau khi bao Om: STT I Moi giai chdrig khoan Ten nizanh 2 Tu van tai chinh va dau to chting khoan Trang 2110
3 Ttr doanh chi:mg khoan 4 Bao lanh phat hanh chung khoan 5 Ltru ky chi:mg khoan Qua Minh hinh thanh va phat tritn: PHIICING AN PRAT HANH Mkt PHIEU PSI DOT 2 NAM 2022 2006: UBCKNN cap giay phep thanh 1ap va hoat &Ong vii von diou le 150 ty dong 2007: Tro thanh thanh vier' Trung tam GDCK Ha NOi va Sc( GDCK TP Ho Chi Minh 2008: Von dieu le tang gap doi len 300 ty (king 2009: Crng citing he thong giao dich chi:mg khoan TongYang lien tin nhat Viet Nam 2010: Top 5 Cong ty Chimg khoan co doanh thu didt,vti to van ion nhat Viet Nam; Top 10 Cong ty Chung khoan kinh doanh hieu qua nhat tai Viet Nam; Tang von dieu le len 509,25 ty dong 2011: Tang von dieu le len 598,413 ty &mg cho CO dong chin 'trot SMBC Nikko; Giai "Throng hieu not ti6ng nhat nganh Chung khoan tai Viet Nam nam 2010" do VCCI t6 chfrc; Giai binh chin cong ty tur van M&A,tieu bleu va Cong ty co throng vu phat hanh rieng le tieu bieu; Dung dau thi twang ve doanh thu Dich vu km 14 2012: Chinh thirc la Nha cung cap dich vu hr van tai cl trite cho 'rap doan DL khi Viet Nam va cac thanh vien; Top 10 Cong ty CK co doanh thu tir hog &Ong ttr van Ian nhat thi twang 2013: Top 20 C6ng ty CK co doanh thu Ion nhat thi itytrong; flat giai throng Cong ty Tu van M&A tieu Hen (giai doan 2009-2013) 2014: Thanh vien chinh thfrc tham gia dau thu trai phi6u chinh phu nain 2014; Top 5 C8ng ty Chang khoan co gia tri tu van IPO Ion nhat; Top 10 Cong ty Chang khoan có thi phan dan datt ve Moi giai trai phi6u; Ttr van tai eau trilc cho toan bo tap doan DAu khi 2015: Top 5 Cong ty chting khoan thanh vien tieu bieu trong Nghiep vu Tu van Niem yot va Dau gia tai GDCK 1--IO Chi Minh; Top 10 CTCK co doanh thu hoat dong van cao nhat thi truing. Tu van thanh cong sellside tim doi tac chin lupe nude ngoai cho Tong Cong ty Bao hiem Ngan hang TM CP DL tu Phat trion Viet Nam (BIC) 2016: Giai throng Throng hieu Wan phong Wei nhap kinh to queic to do HOi cac DN vua va nh6 trao tang. Lot Top 50 Bao cao throng niep cua nam 2019: Top 3 Cong ty chirng khoan co thi phan moi giai trai phiou Ian nhat Quy I/2019 tren SO. Giao dich Chung khoan Thanh phi HO Chi Minh. 2020: PSI dat quy mo TOng tai san 2020 dat tren 1.200 ty d'ong ding thai phat hanh thanh ding 02 dot Trai phiou PSI, vai khi Luang len 500 ty deng. Ben cph do hoat dong cong nghe dm PSI van hanh on dinh, hieu qua he thong core chimg khoan mai, bat kip xu the 4.0 vdi 03 tinh nang Ma tai khoan chong khoan tryc tuyon, Quan ly tien tai khoan chi:mg khoan va Quan ly chuyen ninrong Trai phi6u trirc tuye'n. Trang 3110
2. Myc dich Oat hanh trai phitu: PHIAING AN PHAT HANH TRAI PHIEU PSI DQT 2 NAM 2022 HDQT us, quyen cho Chu tich 1IDQT quy& dinh muc dich phat hanh cu the 3. Dieu kqn phat hanh trai phitu: Can dr phap 1ST Lud't Doanh nghiep se 68/2014/QH13 do Quec hei nix6c COng hoa XA hei Chu ngtlia Viet Nam thong qua ngay 26/11/2014 Nghi dinh s6 153/2020/ND-CP ngay 31/12/2020 v/v Quy dinh ve chao ban, giao dich trai phieu doanh nghiep lien le tai thi trtthng trong nude va chao ban trai phieu doanh nghiep ra thi timing quoc to ("Nghi dinh 153") Myc dich phut hanh trai phicu HDQT ITS, quyen cho Chu tich HDQT guy& dinh [rive dich phat hanh cu the Dieu kio phat hanh trai phieu rienkle (Iging chuyen (MO N(ii dung lien quan Ditu ki0 phat hanh trai phieu rieng le (khong chuyen deli) Ni a dung lien quan La ding ty ce phan hoac cong ty trach nhiem hiru hp duce thanh lap va hodt dung theo phap 101: Viet Nam. Dap iing Giay chimg nhan DKDN so 0103014903 ngay 06.12.2006, thay del Ian 1 ngay 14.12.2006, do SO Ke hoach & Dau tu. Thanh pith IIa Nei cap. Thanh than du Ca goc va lai dia trai phial da phat hanh hoac thanh toan du cac khoan no. den hp trong 03 nam lien -Up Mr& dot phat hanh trai phieu (neu co); Dap ling Ts talc phat hanh thanh todn day du cac khoan nq den hdn tit nam 2019 den 2021 CO bdo cao tai chinh Warn till& lien ke ciia nam Oat hanh duvc kiem toan b6i to chirc kiem toan du dieu kien theo quy dinh (*)Truang hqp doanh nghiep chit ban Ira! phial' trong vong 90 ngay lci it ngay kit talc 19) ke loan nam ma chtra co bar, cao tai chinh &tor Wm loan nam trink lit'n ki caa nom phat heath, hoi,ic chtra co bao cao tai chinh hap nhcit dux kijm wan mint int& lien ke clic( nam ph& hanh, doanh nghiep sec dung brio cao tell chinh ban nien va bao cao tai chinh thcing/bao cao lea chinh quy grin nhcit sau bcio ado tai chinh ban nien cirri nam tai chinh truce lien a cluqc socit xit hoac kijm Wan hal Id chirc kiiin loan da diet' kien., Chain nhdt la 20 ngicy ki tic ngay co ket qua kid'', loan bcio cao cal chinh nam, doanh nghiep phat hanh pail cong b d thong tin cho nha cldu to sa hiiu Ira! phiezt. Dap iing 13CTC kiem toan 2019, 2020 duvc kiem toan beri Cling ty TNI-114 Hang Kiom town AASC. Sau khi co BCTC nam 2021 duvc kiem todn phi] hgp vai Nghi dinh 153, PSI se dap (mg dii dieu kien nay Tran e, 4 10
PHUONG AN PHAT HANH TRAI PHIEU PSI DQ'T 2 NAM 2022 A Dieu kiln ve ho so phat hanh trai phieu (**)f kiln kiln? wan dji vai bao cao tai chinh lay kiln chap nkin toan plidn; truang hop y kiln kilm toan lay kiln ngooi!dr thi khocin ngoai air khong anh htroug din dilu kin chao ban; doanh nghiep phat hanh phai c6 tai lieu gicii thich hap bi va có xac AO cita to chew kilm wan 14 anh httang clic: vile logi trir. Dap ting cac t918 an toan tai chinh, t918 bao darn an toan trong hot dong theo quy dinh ciaa phap luat chuyen nganh. Co phuang an phat hanh trai s phi6u duoc cap co tham quyen ph8 duyet va chap thuan D6i Wong tham gia dot chao ban la nha dati to chirng khoan chuyen nghi'8p Dap fin Dap ling Dap irng Sau khi co bao cao t918 an toan tai chinh nam 2021 vai 1.9 le von kha dung troll 180% (can dr theo Thong to so 87/2017/TT-BTC t9 18 thi thieu khong thap hon 180%), PSI dap ang du dieu kiln nay Sau khi duce PVcomBank thong qua phuang an, Nguoi dui din tai PSI se then khai cac thil tuc phe duy.8t cua I IDQT PSI. T6 chirc dui 19 dang14 luu k9 A quan 19 chuyen nhuong trai phieu PSI se thirc hien xac nhan to each nha dau to chung khoan chuyen nghi8p Theo khoan 2 Dieu 12 "116 so chao ban trai phi6u" Nghi dinh s6 153/2020/ND-CP ngay 31/12/2020 v/v Quy dinh V.8 chao ban, giao dich trait phieu doanh nghiep rieng le tai thi truong trong ntrac va chao ban trai phieu doanh nghi'8p ra thi twang quec to Hop ding 14 ke't vai to ch(rc to van v8 h6 sa chao ban trai phieu Hop long 14 ket vai to chin dui 19 phat hanh trai phi8u Hop ang 14 kot voi to chac Bang 4, luu ky, till phieu DAp Crng Hop dung k9 1(61 vai to chac to van ye ho sa chao ban trai phieu Dap (mg I lop donk9 g 1(8 t vai to A chuc '. dui 19 phat hanh trai phieu, to chirc clang k9, luu k9 trai phieu va/hoac tu minh thuc ch(rc nang dm to ch(rc Dap linghi8n dui 19 phat hanh trai phieu/ t6 ehac Clang k9, luu k9 trai phieu 4. Y Wen kiem toan d6i v fri bao cao tai chinh nam 2021 da kiem toan PSI se phat hanh Trai Phieu neu 5fkien d61 vai bao cao tai cninh /tam 2021 phi' hop vai quy dinh tai Nghi dinh 153 5. MOt s6 chi tieu tai chinh cfia doanh nghiep trong 03 dam lien ke truck nam Oat hanh: Trang 5110
PHUONG AN PHAT HANH TRAI PHIEU PSI DQT 2 NAM 2022 Cac thong tin trinh bay trong cac bang dtrai day la nhang thong tin tai chinh tom tat v6 tinh hinh tai chinh va ket qua hoat dong kinh doanh cua PSI trong cac nam tai chinh ket thk vac) 31/12/2018, 31/12/2019, 31/12/2021. Don vi 2019 2020 021 Viin chit so' hen Trieu dong 618.816 625.025 651.887 He s6 ny/viin ail sir licru % 45,60% 103,68% 241,30%, Trieu Lori nhu;an sau thud TNDN 6.345 6.934 35.153 Ang LNST/Voin chit so' huu (ROE) 1,03% 1,1% 5,39% (Nguein: BCTC kint town nani 2019, 2020 va BCTC qui, 4/2021 ctia PSI) 6. Tinh hinh thanh toan no' de'n han: (a) Tinh hinh thanh toan cac khoan no. den han (bao gom cac khoan trai phieu den han trong 3 nam gan nhat): C6ng Ty da thanh toan day di, va dung han cac khoan rig den hart trong 3 nam gan nhat. (b) Tinh hinh nop cac khoan thud, ngan sach nha nark: Cong Ty nop du va dung han cac khoan thud va cac khoan thu ngan sach nha ntrac trong 3 Min gan nhat. Nhu vay trong theri gian 3 Min vim qua, Cong Ty cid' thanh toan day du cac khoan ng vay den ban va cac khoan trai phieu den han, hoar' thanh nghia vu net) thud. Trang 6110
PHIMNG AN PHAT HANH TRAI PHIEU PSI DOT 2 NAM 2022 PHAN II: PHU'ONG AN PHAT HANH TRAI PHIEU I. KE HoAcH va PHUONG AN SI DUNG VON THU BOX Tfr PHAT HANH TRAI PHIEU HDQT uy quyen cho Chu tich HOW quyet dinh ke hoach va phtrong an sir dung von cu the II. CAC THONG TIN CHUNG VE TRAI PHIEU To Chirc Phat Ilinh Loai Trai Phieu PSI ("To Chirc Phat Mirth"). Bong tien phat hanh Vi't Nam Bong ) Ma Trai Phi& Gia tri Inuit hanh Kk halt Trai Phitu Lai Suat KS, tinh lai va thanh toan Jai Mua 1#1i trtrac Ilan Hinh thfre Oat hanh Trai phieu doanh nghiep khong chuytn doi, kh8ng co tai san bao darn. PSIH2223002 200.000.000.000 (Hai tram ts/) dong 18 thang Lai suit c6 dinh 9,5%/narn 'Prong twang hgp Nha DAu4Tuthanh toan day di' Titn Mua Trai Phitu truck Ngay Phat 1 lanh, Cong ty se thanh toan tien lai cho Nha Dau Tu vii mac lai suit t6i da IA 9%/nam (trli& thue TNCN) tinh tren,so.ngay ka tir ngay To Chirc Phat Hanh nhan duct -lien den Ngay Phat Ranh. 'Fong so lien lai ma Nha Dttu Tu dtrqc huong se ducrc chuy6n tra vao tai khoan chi dinh dm Nha.Dau Tir tai Ngay Phat Hanh Dinh IcY 6 thing/ian T6 Chtirc Phat Hanh co th4 thus,hien mua lai Trai Phieu truck han sau toi thieu 06 ttang ke tir Ngay thanh toan tien mua trai phidu DO 1j, phat hanh Boi tuvng mua Trai Phicu Doi tuong tham gia dot chao ban la nha dau to chimg khoan chuyen nghiep Hinh fink va mcmh gia Thai ditm Phat hanh Tir Quy, 1 nam 2022 Dia diem phat hanh Gia Oat hanh Ditu kien Trai PhiCU Tait san dam bao Trai phieudupc phat hanh dual hinh thirc chimg chi va bid toan ghi so, c6 menh gia la 100.000.000 VND/Trai Phi& (Mot tram trieu Dong Viet Nam tren mot Trai Phieu). Phat hanh trong pham vi 1a1 41 tho ntrov Cong hoa xa hei chi' nghia Viet Nam. 100% menh gia. Durgc quy dinh cu the trong Ban C6ng B6 Thong tin Phat hanh Trai Phieu. Kh6ng co Trang 7110
PHUZING AN PHAT HANK TRAI PHIEU PSI DOT 2 NAM 2022 Moe dich phat hanh Dang ks, bin ky Trai phil IIDQT uy quyen cho Chu tich HDQT quy& dinh myc dich phat hanh cu the Tai met thai diem, Trai phieu chi &roc clang ky hxu ky tai inot to chac duy nhat la PSI hoot mot COng ty chi ng khoan khac dugc PSI chi dinh Giao dich Trait Phitu Trai phieu chi &roc giao dich gift cac nha dau to chang khoan chuyen nghiep ther: Luat chimg khoan, trir twang hop thine hien theo ban an, Oyet dinh cua Toa an da c6 hieu Ikrc phap luat, quyet dinh cua Trgng tai hoac them ke theo quy dinh cua phap 1114. III. KE HOACH BO TR1 NGUON VA PHIfONG THU'C THANH TOAN GOC, LAI TRAI PHIEU TO Chat Phat Hanh se sir dyng (i) dong tien tir hoot &Ong kinh doanh, (ii) dong tien tir boat dong tai chinh, va (iii) cac ngtion thu hop phap khac (neu co) cua T6 Chirc Phat Hanh thanh toan day du, clang han tien lai va tien g6c Trai Phieu khi den han va thanh toan cho cac nghia vu khac cua TO Chirc Phat Hanh doi vo i va lien quan den Trai Phieu; Viec thanh toan g6c va iai se throe thuc hien bang each chuy& khoan vao tai khoan cua ngutri so. hitu Trai Phieu; G6c se dupe thanh toan met Ian khi dao han; Lai se duvc thanh toan dinh ky 6 thang/lan; Neu TO Chirc Phat Hanh phai mua lai Trai Phieu truac han, T6 Chirc Phat Hanh se mua lai thco gia quy dinh tai Ban COng B6 Thong Tin Phat hanh Trai Phieu VI. CAM KET CUA TO CHfit PHAT HANH 1. Cam ktt Ong b6 thong tin -ti TO Chirc Phat Hanh cam ket thtrc hien vice tong b6 th6ng tin theo dung quy dinh cua Nghi dinh so 153/2020/ND-CP ngay 31/12/2020 v/v Quy dinh vas chao ban, giao dich trai phieu doanh nghiep rieng 10 tai thi twang trong runic va chao ban trai phial] doanh nghiep ra thi truong quoc to va cac van ban quy phom phap luat khac; cung cap thong tin ve tai chinh cho ngtroi so hall Trai Phieu va tuan thu cac nghia vu cung cap thong tin khac quy dinh trong cac tai lieu Oat hanh. 2. Cam k6t khac (a) Thir to thanh loan Trai Phieu xac lap, va se xac lap tai moi tiled diem sau nay den khi nghia vu tra no g6c va lai Trai Phieu duoc To Chine Phat Hanh hoan thanh day (!), ke ca khi tien gesc vatho4c lai Trai Phieu khong dupe TO Chirc Phat Hanh thanh toan cac nghia vu tra no truc tiep, vo diau kien va khong phai la no. thin cap cua T6 Chao' Phat I lanh; cac nghia vu do co thin tu thanh toan ngang nhau tai moi thoi diem va toi thieu, ngang bang v&i moi khoan no Trang 8110
PHLIONG AN PHAT HANH TRAI PHIEU PSI DQT 2 NAM 2022 khac, khong phai la no thin cap vao thoi diem hien tai va trimg tuang lai cua TO Chuc Phat Hanh, trir cac tru6ng hap tru tien thanh toan theo quy dinh cua phap 101: Viet Nam. (b) Bdo cao Tai chinh T6 Chic Phat Hanh cam ket gui cho tat ca Ngtrol SO. FICtu Trai Phieu cac bao cao tai chinh thtrong nien tong hgp da kiem toan va bao cao tai chinh thuong nien hap nhat da kiem toan (nett co) trong th6i gian hop 1j, sau khi nhan dugc ket qua kiem toan tir ding ty kiem twin. Viec 136 nhiem kiem toan phai dugc tin hanh truot ngay 31/12 hang nam va cong ty kiem toan phai thuoc danh sach dugc chap thuan cua BO Tai chinh hoac 1.1j, ban Chung khoan Nha nude tai th6i diem b6 nhiem kiem toan. (c) Doanh thu, nguan trd nv, plain chia ca tem Cac c6 (tong va C8ng ty cam ket chi phan chia Igi nhuan/ th'anh toan ce tire cho cac co &Ong sau khi hoan thanh nghia va thanh toan no hang nam va tang von dieu 1e theo dung quy dinh cua PVcomBank. (d) Cam ket khdc Ti) Chirc Phat Hanh cam ket va khong dinh dap Ung day du cac quy dinh cua Nghi dinh so 153/2020/ND-CP ngay 31 /12/2020 v/v Quy dinh ve chao ban, giao dich trai phieu doanh nghiep rieng le tai thi twang trong nu& va chao ban trai phieu doanh nghiep ra thi twang qu6c to va cac van ban huong an di kern, bao gom nhung khong giai han you cau ve ts, le an toan von va cac han the khac ve darn bao an toan trong hoat dong d6i vo.i cac nganh nghe kinh doanh cua Ti) Chut Phatl-lanh. Ti) Chirc Phat Hanh cam ket tao dieu kien cho Ngu6i So. Trai Phieu dugc quyen giam sat viec Ti) ChOc Phat Ranh tuan thfi cac cam ket ve Oat hanh Trai Phieu, bao gom ca viec giam sat T6 Chac Phat Hanh sir dung tien thu tix ph& hanh.trai Phieu thco dung invc dich da neu trong phuong an Oat hanh Trai Phieu dugc co quan c6 tharn quyen chap thuan, phe duyet va trong Ban Cong B6 Thong Tin. VII.QUYEN LOI VA TRACH NHIVM CUA TO CH1TC PHAT HANH VA NHA DAU TU' TRAI PHIEU 1. Quyen Iqi va trach nhiem cua Ti) chtlec phat hanh - Bao darn ngtroi s6 him trai phieu dugc Wang cac quati va Igi Ich hop phap cua minh theo Trai phieu - CO trach nhiem thanh toan day del va clang han lai va goc trai phieu va cac van ban thoa thuan co lien quan. 2. Quytn 19.1 NIA trach nlom cua nha dati to trai phieu (a) Quyen Ioti - Dugc thanh toan day du, dung han goc, lai trai phieu khi den han va bao dam viec thirc hien ca quyen kern theo cac dieu kien, dieu khoan trai phieu khi phut hunh Trang 9110
(b) PHISONG AN PHAT HANH TRAI PHIEU PSI DQT 2 NAM 2022 Ducyc &mg trai phieu de chuyen nhugng, cho tong, de lai, thda Ice, chi& khau va sd dung trai phieu lam tai san dam bac trong cac quan he dan sty va quan he thuong mai theo quy dinh cua pilaf) luat. Trach nhilem Doi tuong tham gia dot chao ban la nha dau to chdng kboan chuyen nghiep; - Nha dau ttr mua trai phieu c6 trach nhiem tim hieu cac th8ng tin lion quan den TO chat Phat hanh, Trai phieu ph& hanh cua TO chirc phat hanh va tu Hanh gia mire de rui ro trong viec dau tu trai phieu, han the ve giao dich trai phieu dirge dau to va chiu trach nhiem v6 quy& dinh dau tu dia minh Tuan thtl va thuc hien nghiem tdc cac quy dinh lien quan den Trai phieu eta Oat hanh. VIII. CAC TO CHeC THAM GIA CHiNH VA TRACH NHIEM 1. 14i 15, Oat hanh Dai 1St phat hanh cho Trai Phieu c6 cac trach nhiem sau: (a) Cung cap dich v1,1 dai ly phat hanh cho TO ChUc Phat Hanh theo h9p den dai ly phat hanh trai phieu ky ket vai TO Chirc Phat Hanh; va (b) Cac trach nhiem khac thco quy dinh ctla Nghi Dinh 153. DO 1Y phat hanh cho Trai Phieu la PSI hooc met C6ng ty chdng khoan khac ducyc PSI chi dinh 2. Dai Ly gang ky, lull ky va quail IS, chuyen nhugng Dai Ly Tang ky, tau ky va quan ly chuyen nhugng co cac trach nhiem sau: (a) Cung cap dich vu dangky va luu ky Trai Phieu cho TO Chirc Phat Hanh theo hqp ding ky ket v6i TO Chirc Pilaf Hanh; va (b) Cac trach nhiem khac theo quy dinh ctla Nghi Dinh 153. TO chtic (tang ky va luu ky cho Trai PhiOu ban dau la PSI hoc met Cong ty chdng khoan khac dupe PSI chi dinh. Trang 10110