Rules, Conditions and Procedures Governing the Preparation and Disclosure of Reports on Securities Holding Effective Data February 18, 1993 (Bor. Jor. 81-1-01)
REGULATIONS OF THE STOCK EXCHANGE OF THAILAND
Re : Rules, Conditions and Procedures Governing to the Preparation and Disclosure of Reports on Securities Holdings
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By virtue of Section 59 of the Securities and Exchange Act B.E. 2535 which shall apply mutatis mutandis in accordance with Section 199 and 170 (13) of the same Act, the Board of Governors of the Stock Exchange of Thailand hereby issues the following Regulations:
Clause 1.In these Regulations and in the Form of Report on Securities Holdings specified under these Regulations:
"Exchange" means the Stock Exchange of Thailand.
"securities" means shares, warrants on shares and other securities which are convertible into shares.
"listed company" means a listed company under the Regulations of the Stock Exchange of Thailand Re: Rules, Conditions and Procedures Governing Listing and Delisting of Securities.
"management" means directors, executive directors, managers, employees at the level of department manager or above, or persons who hold equivalent positions with different titles who have the power to manage a listed company, including persons with whom the listed company has entered into a contract conferring, in whole or in part, the power to manage the listed company.
"auditor" means an auditor of a listed company.
Clause 2.Each member of management and the auditor shall prepare a report on the securities holdings of himself or herself, his or her spouse and any minor children in a listed company in which he or she is a member of management or the auditor and shall file the same with the Exchange on the date of being appointed a member of management or the auditor, as the case may be.
The report under the first paragraph shall be filed within thirty days of the date of being appointed a member of management or the auditor, as the case may be.
Where any member of management or the auditor was a member of management or the auditor before the date on which the securities of the listed company became listed securities, such member of management or the auditor shall prepare a report on the securities holdings of himself or herself, his or her spouse and minor children in the listed company in which he or she is a member of management or the auditor on the date on which the securities of the listed company are approved as listed securities in the Exchange, and shall file the said report on securities holdings with the Exchange within thirty days of the date on which the securities of the listed company are listed on the Exchange.
Where any member of management or the auditor was a member of management or the auditor before the effective date of these Regulations, such member of management or the auditor shall prepare a report on the securities holdings of himself or herself, his or her spouse and any minor children in the listed company in which he or she is a member of management or the auditor on the effective date of these Regulations and shall file the said report on the securities holdings with the Exchange within thirty days of the effective date of these Regulations.
Clause 3.Each member of management and the auditor shall prepare and file a report on the securities holdings of himself or herself, his or her spouse and any minor children in the listed company in which he or she is a member of management or the auditor in the listed company with the Exchange within the following period of time:
(1)within the next three business days of the date on which there is a change in the securities holdings, the value of which exceeds ten million baht or the amount of which exceeds zero point five percent of the paid-up capital of the listed company.
(2)within thirty days of the last calendar day of each year, in all cases of which shall be made as of the last calendar day regardless of whether or not there is a change in the securities holdings.
Clause 4.Each member of management of a listed company shall submit a copy of the report on securities holdings under Clause 2 and 3 to the listed company within the date on which such report must be filed with the Exchange.
Clause 5.A listed company shall designate a person to be responsible for making a report on the securities holdings of each member of management, his or her spouse and any minor children in the listed company to the board of directors of the listed company whenever a meeting is held.
The report under the first paragraph shall be a report on the securities holdings covering the period between the previous meeting of the board of directors and the meeting being held.
Clause 6.The report on securities holdings shall be prepared in accordance with the form annexed to these Regulations.
Clause 7.These Regulations shall come into force on the 22th day of February 1993.
Notified on this 18th day of February 1993.
(Signed) Sangvian Indaravijaya
(Sangvian Indaravijaya)
Chairman of the Board
The Stock Exchange of Thailand
Report on Securities Holdings in (name of listed company)
Name of reporting person ____________________ Position __________
This report is made on _________________
Securities
holder Category of securities Date of acquisition/ disposition Number of securities held prior to acquisition/ disposition Method of acquisition/ disposition Acquisition/ disposition
Number of securities held after acquisition/ disposition Acquisition/ disposition through __________ Securities Company
Number of securities price
5
Securities
holder Category of securities Date of acquisition/ disposition Number of securities held prior to acquisition/ disposition Method of acquisition/ disposition Acquisition/ disposition
Number of securities held after acquisition/ disposition Acquisition/ disposition through __________ Securities Company
Number of securities price
-In the case of several acquisitions/dispositions, the weighted average price shall apply.
-In the case of a disposition, the number and price of securities shall be entered in parentheses.
I hereby certify that the abovementioned report is complete and true in all respects.
Signature of the reporting person __________________________
( ______________________)
Position _________________
2