subscription document for new ordinary...

Subscription Document for New Ordinary Share

Of

Seamico Securities Public Company Limited

Prepared by

Seamico Securities Public Company Limited 8th Floor, Liberty Square,

287 Silom Road, Bangrak, Bangkok 10500,Thailand Tel : 0-2695-5000 Fax : 0-2631-1709

1

July 15, 2013

Subject : Notification of subscription rights of newly issue ordinary shares To : Company’s shareholder Seamico Securities Public Company Limited Enclosures: 1. Notification of subscription rights of newly issue ordinary shares 2. Map of Location 3. Subscription form for newly issue ordinary shares 4. Certificate of share subscription According to the Extraordinary General Meeting of Shareholders No.1/2556, held on July 12, 2013, passed a resolution approved the increase of the Company’s registered capital by Baht 430,654,862 from the current registered capital of Baht 511,309,724.00 to Baht 941,964,586.00 by issuing 861,309,724 newly issued ordinary shares with the par value of Baht 0.50 per share for (1) accommodation of the issuance and offer of newly issued ordinary shares to the Company’s existing shareholders and institutional investors or any person under a private placement basis in the case there are shares outstanding from the subscription by the existing shareholders (2) accommodation of the issuance and offer of newly issued ordinary shares to not exceeding 50 specific persons (i.e. Individual and/or Juristic person) under a private placement basis. The details of allocation are follows: 1. Capital increasing and share allocation method

1.1 Allocate 511,309,724 newly issued shares with a par value of Baht 0.50 per shares to the Company’s existing shareholders on the pro rata basis with the ratio of 2 current ordinary shares to 1 new ordinary share. The offering price will be, at the discounted price from the present market value, at THB 1.76 per share. If there are newly issued shares remaining from the first round allotment of shares to shareholders through right offering, the Company will allot the remained newly issued shares to the shareholders who express to purchase share over their right in the second round allotment of shares. If there is a fraction of shares after the calculation, such fraction shall be rounded down.

1.2 In the case there are newly issued shares remaining after second round allotment, the

Company will allot all the remained newly issued shares to the institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended. The sale price is not lower than 90% of the Market Price, with a minimum of THB 1.85 per share. Market Price means the weighted average price of the ordinary shares of the Company in the Stock Exchange for 10 business days back consecutively before the day that the Board of Directors approve to propose the Extraordinary General Meeting of Shareholders No.1/2013 to approve the offering of the increase newly issued ordinary shares, which is during June 6, 2013 and June 19, 2013, which is THB 1.90 (resource: SETSMART in www.setsmart.com of the Stock Exchange of Thailand).

1.3 The allotment of 350,000,000 newly issued shares to not exceeding 50 specific persons (i.e. Individual and/or Juristic person) under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended. Those investors will not be connected persons under the Capital Market Supervisory Board No. TorJor. 21/2551 Re: Criteria for entering into connected transactions, as amended and the relevant rules. The sale price is not lower than 90% of the Market Price, with a minimum of THB 1.85 per share.

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Market Price means the weighted average price of the ordinary shares of the Company in the Stock Exchange for 10 business days back consecutively before the day that the Board of Directors approve to propose the Extraordinary General Meeting of Shareholders No.1/2013 to approve the offering of the increase newly issued ordinary shares, which is during June 6, 2013 and June 19, 2013, which is THB 1.90 (resource: SETSMART in www.setsmart.com of the Stock Exchange of Thailand).

2. Period and place for share subscription 2.1 Allocate 511,309,724 newly issued shares to the Company’s existing shareholders Period for share subscription August 13 – 16, and 19, 2013 From 9.00 a.m. - 4.00 p.m. Place for share subscription

KT ZMICO Securities Company Limited, 21st floor, Liberty Square Bldg., 287 Silom Road, Bangrak, Bangkok, 10500. By contact the Operation Service Department at phone no. 02-695-5043, 02-695-5036, 02-695-5031.

Method of payments

Payment Method Date Detail

Bank transfers

August 13 – 16, and 19, 2013 - Bank transfers must be received before 4.00 p.m. on August 19, 2013.

- Please attached Pay-in slip along with the

subscription form for the new shares, with subscriber’s phone number put on front, or Fax to 02-631-1704 Operation Service, KT ZMICO Securities Company Limited (KT ZMICO).

Personal cheque / Bank cheque (Cashier cheque) / Draft

August 13 – 15, 2013 - Cheque dated not exceed than August 15, 2013. - Cheque must be received before 4.00 p.m. of August

15, 2013. - Cheque is subject to clearing by Cheque Clearing

House in Bangkok within 1 business day of cheque date (Please endorse subscriber’s name and contact number on the back of the cheque).

Notice : The Company has appointed KT ZMICO Securities Company Limited to proceed the subscription of the newly issued

ordinary shares.

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2.2 Allocate the newly issued shares remaining after allotment of 2.1 to the group of institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisory Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended

Period for share subscription August 26 – 27, 2013 From 9.00 a.m. - 4.00 p.m. Place for share subscription

KT ZMICO Securities Company Limited, 21st floor, Liberty Square Bldg., 287 Silom Road, Bangrak, Bangkok, 10500. By contact the Operation Service Department at phone no. 02-695-5043, 02-695-5036, 02-695-5031.

Method of payments

Payment Method Date Detail Bank transfers (Good fund)

August 26 – 27, 2013 - Bank transfers must be received before 4.00 p.m. on August 27, 2013.

- Please attached Pay-in slip along with the subscription

form for the new shares, with subscriber’s phone number, number of shares and price put on front, or Fax to 02-631-1704 Operation Service, KT ZMICO Securities Company Limited (KT ZMICO).

Notice : The Company has appointed KT ZMICO Securities Company Limited to proceed the subscription of the newly issued

ordinary shares. 3. Subscription Methods and Conditions

Bring (1) Subscription form and (2) Certificate of share subscription issued by Thailand Securities Depository Company Limited, the registrar of the company, have send by registered mail and (3) Evidences of payment such as cheque, or cashier cheque, draft, or the original pay-in slip to KT ZMICO Securities Company Limited, 21st Floor, Liberty Square Bldg., 287 Silom Road, Bangrak, Bangkok 10500 within the period specified in the subscription form.

Filling the subscription form Name of shareholders and register number. (See in the Certificate of share subscription.) ** The right cannot be transfer** Specify the number of existing shares and the number of newly issued shares entitle for subscription (See in the certificate of share subscription).

Specify the number of shares intends to subscribe in the subscription form:

(A) Subscription for full entitled right. Specified the number of shares subscribed and payment

amount in the subscription form. (B) Subscription for less than entitled right. Specified the number of shares subscribed and

payment amount in the subscription form. (C) Subscription for more than entitled right. Specified the number of shares subscribed and

payment amount in the subscription form.

Specify the payment method either by bank transfer, cheque, cashier cheque or draft. Only one method could be made.

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(A) For bank transfer. The subscriber shall transfer the subscripted amount entitled for into

account with account name “Seamico Securities Public Company Limited for share subscription” Current Account, Account number 468-016841-8, Siam Commercial Bank PCL., Liberty Square (Silom) branch.

(B) For payment made by personal cheque, cashier cheque, or draft. Specified date shall be as

same as the subscription date with the crossing “account payee only” and payable to “Seamico Securities Public Company Limited for share subscription” Current Account, Account number 468-016841-8, Siam Commercial Bank PCL., Liberty Square (Silom) branch. Payment is subject to clearing by Cheque Clearing House in Bangkok within one business day only. On the back of cheque, cashier cheque, or draft, shareholder’s register number, name, surname and telephone number must be indicated.

(C) Subscription form and original payment document such as cheque, cashier cheque, draft, or pay-in slip shall be delivered to KT ZMICO Securities Company Limited 21st Floor, Liberty Square Bldg., 287 Silom Road, Bangrak, Bangkok 10500 within the date specified in the subscription form.

- For bank transfer, subscription form and original payment document shall be delivered to

KT ZMICO Securities Company Limited 21st Floor, Liberty Square Bldg., 287 Silom Road, Bangrak, Bangkok 10500 within 4.00 p.m. on August 19, 2013. Note that delivering date of documents to KT ZMICO Securities Company Limited must be the same date as specified on the subscription form and original payment document.

- For the payment made by personal cheque, cashier cheque, draft (to be deposited by

personal cheque, cashier cheque, or draft), subscription form and original payment document shall be delivered to KT ZMICO Securities Company Limited within 4.00 p.m. on August 15, 2013. Note that delivering date of documents to KT ZMICO Securities Company Limited must be the same date as specified on the subscription form and original payment document.

Ordinary share deliver method (A) Issue a share certificate in the name of the subscriber and transfer to his/her trading account.

Specify the name of your securities company account along with the Broker Participant number and your trading account. Providing incorrect information may cause an error in transferring securities into the account, which may lead to the delayed in receiving the securities later than the scheduled date with which the Company will not be responsible for damages resulting from such delay.

(B) By not specified the transfer of securities into securities trading account, the act will implied

that you intent to receive share certificate, with which Thailand Securities Depository Company Limited will deliver to you through registered mail.

Subscriber put your signature on subscription form. Corporate subscriber shall also seal the subscription form (if any) along with a phone number that can be reached.

4. Subscriber will receive a proof of depository share subscription signed by the officer

entitled for share subscription as an evidence for the subscription. 5. For shareholders who did not exercise the rights, or did not pay for subscription of

shares within the specified period, or the paid cheque or draft cannot be charged by the prescribed date, the Company shall assume that you intent to deem waiver to purchase this share subscription.

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6. Others crucial information

Cheque must be dated as specified only.

Subscriber name and the name on securities trading account must be the same. Shares will not be able to transfer to another account differ from subscriber and will not be able to sell immediately.

Please be informed accordingly. Sincerely Yours, (Mr. Chaipatr Srivisarvacha) Executive Chairman and Chief Executive Officer

Disclosure of Subscription for New Ordinary Share

Of

Seamico Securities Public Company Limited

Prepared by

Seamico Securities Public Company Limited 8th Floor, Liberty Square,

287 Silom Road, Bangrak, Bangkok 10500, Thailand Tel : 0-2695-5000 Fax : 0-2631-1709

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Part 1 Details of allotment 1. Date of Board of Directors Meeting that have approved the shares allotment

New shares allotment has been approved by the Board of Directors’ meeting No. 4/2013 held on May 17, 2013 and No. 6/2013 held on June 20, 2013.

2. Details on allotment of new shares

Type of stock Ordinary Shares

Paid up capital Baht 511,309,724.00

Increase of capital Baht 430,654,862.00

Distribution Allocation of 511,309,724 newly issued ordinary shares to the existing shareholders of the Company through right offering, and allocation of 350,000,000 newly issued ordinary shares under a private placement basis as follows 1) The allotment of 511,309,724 newly issued shares to the

Company’s existing shareholders through right offering on the pro rata basis with the ratio of 2 current ordinary shares to 1 new ordinary share. The offering price will be, at the discounted price from the present market value, at THB 1.76 per share. If there are newly issued shares remaining from the first round allotment of shares to shareholders through right offering, the Company will allot the remained newly issued shares to the shareholders who express to purchase share over their right in the second round allotment of shares.

Regarding this, the existing shareholders who will be entitled to receive the allotment of the newly issued ordinary shares through right offering will be the shareholders whose names appear on the share register book (Record Date) on Friday July 19, 2013. The list of shareholders shall be compiled pursuant to Section 225 of the Securities and Exchanges Act B. E. 2535 (as amended) by closing date the share register book on Tuesday July 23, 2013. However, the entitlement to subscribe the newly issued ordinary shares of the existing shareholders is pending approval from the shareholders in the Extraordinary General Meeting of Shareholders No. 1/2013.

If there is a fraction of shares after the calculation, such fraction shall be rounded down.

2) In the case there are newly issued shares remaining after second round

allotment, the Company will allot all the remained newly issued shares to the institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended. The sale price is not lower than 90% of the Market Price, with a minimum of THB 1.85 per share.

Market Price means the weighted average price of the ordinary shares of the Company in the Stock Exchange for 10 business days back consecutively before the day that the Board of Directors approve to propose the Extraordinary General Meeting of Shareholders No.1/2013 to approve the offering of the increase newly issued ordinary shares, which is during June 6, 2013 and

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June 19, 2013, which is THB 1.90 (resource: SETSMART in www.setsmart.com of the Stock Exchange of Thailand).

3) The allotment of 350,000,000 newly issued shares to not exceeding

50 specific persons (i.e. Individual and/or Juristic person) under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended. Those investors will not be connected persons under the Capital Market Supervisory Board No. TorJor. 21/2551 Re: Criteria for entering into connected transactions, as amended and the relevant rules. The sale price is not lower than 90% of the Market Price, with a minimum of THB 1.85 per share.

Market Price means the weighted average price of the ordinary shares of the Company in the Stock Exchange for 10 business days back consecutively before the day that the Board of Directors approve to propose the Extraordinary General Meeting of Shareholders No.1/2013 to approve the offering of the increase newly issued ordinary shares, which is during June 6, 2013 and June 19, 2013, which is THB 1.90 (resource: SETSMART in www.setsmart.com of the Stock Exchange of Thailand).

Therefore, the Board of Directors and/or the Chairman and/or the authorised directors and/or persons assigned by the Board of Directors and/or Chairman and/or authorised directors are empowered to (a) determine other details regarding the allotment and offering of newly issued ordinary shares as well as amend or change such relevant details; (b) enter into negotiations, agreements and execution of relevant documents and agreements and take any other necessary action in connection with such allotment of newly issued ordinary shares, including to have the Company’s newly issued ordinary shares listed on the Stock Exchange of Thailand, or take any other action with the government authority, the Securities and Exchange Commission, the Stock Exchange of Thailand, Ministry of Commerce and/or other relevant agencies.

Amount of allocated shares (1) Allocate 511,309,724 newly issued ordinary shares to the existing shareholders of the Company through right offering. If there are newly issued shares remaining from the first round allotment of shares to shareholders through the right offering, the Company will allot the remained newly issued shares to the shareholders who express to purchase share over their right in the second round allotment of shares.

(2) For the remaining shares after second round allotment, the Company will allot all the remained newly issued shares to institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended.

(3) The allotment of 350,000,000 newly issued shares to not exceeding 50 specific persons (i.e. Individual and/or Juristic person) under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended. Those investors will not be connected persons under the Capital Market Supervisory Board No. TorJor. 21/2551 Re: Criteria for entering into connected transactions, as amended and the relevant rules.

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Ratio The allocation of 511,309,724 newly issued ordinary shares to the existing shareholders Existing Shareholders through right offering

In the ratio of 2 existing shares for 1 new share (any reminder shall be disregarded)

Price Per Share (1) The allocation of 511,309,724 newly issued ordinary shares to the existing shareholders Existing Shareholders through right offering Baht 1.76 (One point seven six Baht)

(2) The remaining newly issued ordinary shares after second round

allotment of (1) to institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisor Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended.

Minimum price of Baht 1.85 (One point eight five Baht) (3) Not exceeding 50 specific persons (i.e. individual and/or juristic

person) under a private placement basis according to the Notification of Capital Market Supervisory Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended Minimum price of Baht 1.85 (One point eight five Baht)

Subscription for Share (1) Existing Shareholders through right offering

August 13 – 16, and 19, 2013 From 9.00 a.m. - 4.00 p.m.

(2) The group of institutional investors or any persons under a private placement basis according to the Notification of Capital Market Supervisory Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended, in the case there are newly issued shares remaining after second round allotment of (1) above

August 26 – 27, 2013 From 9.00 a.m. - 4.00 p.m.


August 26 – 27, 2013 From 9.00 a.m. - 4.00 p.m.

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Settlement (1) Existing Shareholders through right offering

Bank transfer

August 13 – 16, and 19, 2013 Details Transfer must be received before 4.00 p.m. of August 19, 2013. Please attached Pay-in slip along with the subscription form for the new shares, with subscriber’s phone number put on front, or Fax to 02-631-1704 Operation Service, KT ZMICO SECURITIES COMPANY LIMITED (KT ZMICO). Personal Cheque / Cashier cheque or Draft August 13 – 15, 2013 Details Cheque dated not exceed than August 15, 2013. Cheque must be received before 4.00 p.m. of August 15, 2013. Cheque is subject to clearing by Cheque Clearing House in Bangkok within 1 business day of the cheque date (Please endorse subscriber’s name and contact number on the back of the cheque).

(2) The group of institutional investors or any persons under a private

placement basis according to the Notification of Capital Market Supervisory Board No. TorJor 28/2551 re: Application for and Approval of Offer for Sale of Newly Issued Shares, as amended, in the case there are newly issued shares remaining after second round allotment of (1) above

Bank transfer (Good Fund)

August 26 – 27, 2013 Details Transfer must be received before 4.00 p.m. of August 27, 2013 Please attached Pay-in slip along with the subscription form for the new shares, with subscriber’s phone number, number of shares and price put on front, or Fax to 02-631-1704 Operation Service, KT ZMICO SECURITIES COMPANY LIMITED (KT ZMICO).


Bank transfer (Good Fund)

August 26 – 27, 2013 Details Transfer must be received before 4.00 p.m. of August 27, 2013 Please attached Pay-in slip along with the subscription form for the new shares, with subscriber’s phone number, number of shares and price put on front, or Fax to 02-631-1704 Operation Service, KT ZMICO SECURITIES COMPANY LIMITED (KT ZMICO).

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Place Operation Service KT ZMICO SECURITIES COMPANY LIMITED, 21st Floor, Liberty Square, 287 Silom Road, Bangrak, Bangkok 10500 Phone 02-695-5043, 02-695-5036, 02-695-5031

Other condition -None-

3. Closing of shareholder register and suspension of share transfer or determination date for

entitled shareholders The right offering to the existing shareholders The date of determining of the name of the shareholders entitled to receive the allotment of new shares to the Company’s existing shareholders through right offering (Record Date) on Friday July 19, 2013. The list of shareholders shall be compiled pursuant to Section 225 of the Securities and Exchanges Act B. E. 2535 (as amended) by closing date the share register book on Tuesday, July 23, 2013.

4. Period of subscription and payment Determined date for subscription and payment of capital incremental shares as follows: August 13 – 16, and 19, 2013 Time: 9.00 a.m. – 4.00 p.m.

5. Objective of the capital increase and plans for utilizing proceeds

To meet capital call requirement of KT ZMICO Securities Co., Ltd. and Solaris Asset Management Co., Ltd. and the remaining will be reserved for working capital and future investment in both domestic and Indochina markets. This capital increase is to obtain funds, and make investments in timely and efficient manner and in-line with the schedule.

6. Benefits which the company will received from the capital increase allotment To maintain the shareholding proportion in KT ZMICO Securities Co., Ltd. and expand business.

7. Dividend policy and right to receive dividend on capital incremented shares The Company shall consider dividend payment from profitability and liquidity, and the dividend payment must be approved by the shareholders meeting.

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Part 2 General Information of Listed Company 1. Name and Address of Listed Company

Name SEAMICO SECURITIES PUBLIC COMPANY LIMITED

Head office address 8th Floor, Liberty Square, 287 Silom Road, Bangrak, Bangkok 10500

Telephone number 0-2695-5000

Fax number 0-2631-1709

Company’s PCL registration no. 0107537002460

Homepage www.seamico.com

2. Type of Business and Business operations of the Company and its Subsidiary and Associate

Company The Company incorporated and resident in Thailand to do business in accordance with the Securities and Exchange Act B.E.2535. The Company converted the status to be a Public Limited Company in accordance with the Public Limited Companies Act on August 8, 1994 and was listed on the Stock Exchange of Thailand on March 17, 1995. The Company has developed securities business through KT ZMICO Securities Co., Ltd. (registered the change of its name from “KTB Securities Co., Ltd.” on April 1, 2009) with Krung Thai Bank Plc. by transferring its business, operation system, staff and assets to KT ZMICO Securities Co., Ltd. and start operation under the name of KT ZMICO Securities Co., Ltd. since May 4, 2009. Such business transferred had been approved by the Extraordinary Shareholders’ Meeting No.2/2009 on March 20, 2009. The Company has temporarily ceased its operation on Securities and Derivatives contracts business since May 1, 2009 until December 31, 2011. The Company was later authorized to extend the temporary cessation of its operation on Securities and Derivatives contracts business By the Office of Securities and Exchange Commission until April 30, 2013 and December 31, 2013 respectively. The status of the Company after the transfer of business and margin loan accounts is to continue as a listed securities company where majority of the business activities are in securities business, conducted through KT ZMICO Securities Co., Ltd, and investment business. Nature of Business Development and Nature of Business In 2009, Seamico Securities Public Company Limited (“the Company”) formed a strategic partnership with Krung Thai Bank Public Company Limited (“KTB”) to jointly develop securities business under the name “KTZMICO Securities Company Limited” (“KTZMICO”). The Company acquired shares of KTZMICO since September 2008 for 48.81% of paid-up capital at Baht 864 million and on March 31, 2009, the Company signed a shareholders’ agreement with KTB. The Company agreed to transfer its securities business, operating assets and employees, including the refinancing of accounts receivable credit balance to KTZMICO. The agreement entitled the Company to receive Baht 500 million for the transfer of assets, with up front payment in the amount of Baht 300 million paid on May 4, 2009 and another Baht 200 million will be received within three years based on KTZMICO’s earnings before interest, taxes, depreciation and amortization (“EBITDA”) subject to conditions below:

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To receive the payment of Baht 60 million on which EBITDA of the year 2009 is not less than Baht 250 million.



At the end of year 2011, the Company recognized the entire amount of consideration from the transfer of business of Baht 500 million as the associated company was able to generate 3-year cumulative EBITDA from 2009 - 2011 according to the criteria specified in the agreement. The objective and necessity of transferring securities business to KT ZMICO To reduce the risk as a Local Independent Broker among the strong competition. The

liberalization of the securities business and brokerage fees will start on January 1, 2012. To increase source of funds and business support from KTB which is another major

shareholders of KT ZMICO, enable the Company to form an appropriate capital structure to generate the higher return.

To enhance the customer base and increase the opportunity to access KTB’s customer, which are retail, institutional customers and High Networth Individuals.

At present, the company plans to start investment advisory business and investment fund. In December 2010, KTZMICO expanded its business to Laos PDR. through joint venture between KTZMICO and Banque pour le Commerce Exterieur Lao (BCEL) (KTZMICO currently holds 30% stake). The aforementioned company was 1 of the 2 firstly established securities company in Laos PDR. In September 2011, the Company has disposed of 25% stake in Seamico Asset Management Co., Ltd., the subsidiary, to Evolution Capital Public Company Limited. In April 2012, Seamico Asset Management Co., Ltd. changed the name to become Solaris Asset Management Co., Ltd. (“Subsidiary”). In January 2012, Subsidiary’s the extraordinary shareholders’ meeting passed a special resolution to increase the authorized capital from Baht 152 million to Baht 182 million. Its capital is called for first payment in an amount of Baht 20 million on January 27, 2012, and the remaining Baht 10 million on July 27, 2012. In October 2012, Subsidiary’s the extraordinary shareholders’ meeting No. 2/2012 passed a special resolution to increase the authorized capital in the amount of Baht 10 mil lion by offering shares to existing shareholders. Its capital is called for the first payment of Baht 2.5 million. On January 15, 2013, Subsidiary received the remaining capital Baht 7.5 million. Then the subsidiary has submitted the change in paid-up capital to the Office of Business Registration Service on January 22, 2013, which causes the Company to increase its shareholding to 76.30% of the total Baht 192 million paid-up capital.

Business operations of the Company, its Subsidiary and Associate Company are as follows: 1) Investment Business under Seamico Securities Public Company Limited. 2) Securities Business under KT ZMICO Securities Company Limited, BCEL KRUNGTHAI Securities

Company Limited (BCEL-KT) and Thanh Cong Securities Joint Stock Company (TCSC) 3) Asset Management Business under Solaris Asset Management Co., Ltd. (formerly Seamico Asset

Management Company Limited).

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Consolidate Revenue Structure

2010 2011 2012 For the first 3 months ended

March 31, 2013

Baht million % Baht

million % Baht million % Baht

million %

Fees and Services Income

Financial Advisory 4.57 2.45 - - 5.25 3.29 - -

Asset Management 8.22 4.41 7.24 5.53 9.89 6.20 2.45 2.67

Gain (loss) on Securities Trading 5.11 2.74 (1.51) (1.15) 27.04 16.96 8.99 9.80

Interest and Dividend Income 10.41 5.59 6.17 4.71 8.97 5.62 0.74 0.81

Share of Profit (Loss) in Associate 110.51 59.30 74.77 57.08 100.69 63.13 77.48 84.47

Gain on Asset Transferred to Associate 46.25 24.81 43.86 33.48 6.99 4.38 1.58 1.72

Others Income 1.30 0.70 0.46 0.35 0.67 0.42 0.49 0.53

Total Income 186.36 100.00 131.00 100.00 159.00 100.00 91.73 100.00

Types of Business The Company restructured itself around the following main business groups: 1) Investment Business

Focus on direct investment in Thailand and Indochina to achieve a target return-on-investment. 2) Securities Business

Provide securities business under KTZMICO since May 1, 2009. KTZMICO was granted license by the Ministry of Finance and the Securities and Exchange Commission of Thailand (SEC) to engage in business activities related to the securities industry. As at May 31, 2013, KTZMICO encompasses 19 branches and 1 cyber branch, with 8 branches in Bangkok and 11 branches in upcountry.

The Company has expanded its securities business to Laos PDR. through BCEL Krungthai Securities (BCEL-KT), which is 1 of the 2 firstly established securities company in Laos PDR. The aforementioned company is a joint venture between KTZMICO and BCEL.

KTZMICO is positioning itself to be “Gateway to Indochina” and plans to offer financial service coverage into Vietnam, Laos, Myanmar and Cambodia. The strength of KTZMICO is demonstrated through ability to penetrate the market and makes cordial relationships with Indochina countries. It makes KTZMICO a specialist in this region and has network in almost all countries. In 2012, KTZMICO has started to service in Myanmar mainly within financial advisory.

3) Asset Management Business

The Company conducts securities business relating to private funds, mutual funds and provident funds management under Solaris Asset Management Company Limited (formerly Seamico Asset Management Company Limited). As at March 31, 2013, Solaris Asset has 20 funds under management, comprising of 11 Fixed Income and Equity Funds, 1 Foreign Investment Fund and 8 Private Fund with net asset value of Baht 3,610.51 million.

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1. Investment Business

After transferring the securities business to KTZMICO, the Company transformed into a holding company and focused on direct investment business. Additionally, the Company’s plans are as follows:

Expand into neighboring countries to capture the surging capital inflows into Indochina

through both making investments and business expansions. In addition to the Company’s investment in Thanh Cong Securities Joint Stock Company (TCSC), established in Vietnam, in 2009, in December 2013, the company expanded its business to Laos PDR. through securities business of BCEL-KT, a joint venture between KTZMICO and BCEL. As at December 31, 2010, KTZMICO held 30% of share capital (1 million shares, paid-up 30%, par at 100,000 kip) with initial investment of Baht 33.93 million from paid-up capital of Baht 113.10 million. In November 2011, KTZMICO paid the remaining 70% of paid-up capital, making the total investment Baht 115.52 million.

Enhance the competitiveness of Solaris Asset Management (formerly Seamico Asset Management Company Limited) as the asset management business is expected to grow in the future. In September 2011, the Company disposed of 25% stake in Solaris Asset Management to Evolution Capital Public Company Limited. Evolution Capital Plc. will support in terms of expanding the customer base to institutional clients group. As at January 15, 2013, the Company hold 76.30% of paid up capital of Baht 192 million.

2. Securities Business Business operations under KTZMICO since business transfer are as follows: Securities Brokerage

KTZMICO provides a comprehensive range of quality services to local and foreign clients both individual and institutional investors by highly experienced marketing officers and research teams giving investment advices on both fundamental and technical basis. The types of services offered include:

1. Cash Accounts and Cash Balance Accounts. 2. Credit Balance Accounts. 3. Internet account, an online trading account through the internet with an online efficient

and up-to-date technology on and services

At present, KTZMICO provides useful information on its website, www.ktzmico.com, to help clients with their decision-making. KTZMICO has continually developed many real-time trading programs for investors such as Znet Xpress, Streaming and i2Trade for instance. The trading programs enable clients to trade securities in real-time via various channels such as Notebook, Tablet and Smart phone and supports IOS, Android and JAVA Phone operating systems. KTZMICO is also developing web base trading platform as an analysis tools such as Stock Simulation Program. For institutional clients, KTZMICO opened securities trading service through DMA system (Direct Market Access) as an increment in trading channels to offer convenience to institutional clients. In 2012, KTZMICO and Krung Thai Bank have continually co-operated to offer online securities and futures trading business under “One for All”, as initiated by the Stock Exchange of Thailand. This enables investors whose are customers of the Company and members of KTB online to use the online service through Single Sign On at www.ktb.co.th. thus, an alternative and convenient way to trade.

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KTZMICO continually provides loan for clients which contribute to the increasing of KTZMICO’s trading volume. As at December 31, 2012, KTZMICO’s outstanding credit balance loan stood at Baht 2,982 million, compared to Baht 1,842 million at the end of 2011. This business of providing loans to clients has been heavily financed by KTB, a major shareholder. KTZMICO manages risks by reviewing credit lines in accordance with Risk Management’s protocols. KTZMICO has a high level of quality control made possible by closely monitoring clients’ trading transactions, limiting investment proportions and reviewing whether the clients should be called for more collateral. In case of a default payment, the operation services department will follow up so that payments are made in full. Market Share

THB million FY2010 FY2011 FY2012 For the first 3 months ended

March 31, 2013

SET & MAI Market Turnover 7,033,947 7,191,481 7,914,567 3,983,969

SET & MAI Market Turnover (excluding Proprietary Trading)

6,188,253 6,243,180 6,886,046 3,591,533

KTZMICO’s Trading Volume 569,681 523,296 570,353 301,058

KT |ZMICO’s Market Share (excluding Proprietary Trading)

4.60% 4.19% 4.14% 4.19%

Rank 6 11 10 8

Market Turnover for the first 3 months ended March 31, 2013 was Baht 3,983,969 million; trading volume of KTZMICO was Baht 301,058 million, accounting for 4.19 market share. Securities’ trading volume and the percentage of the top 10 clients is shown below:

FY2010 FY2011 FY2012 For the first 3

months ended March 31, 2013

Baht million

% Baht million

% Baht million

% Baht million

%

Top 10 Securities Trading Clients

61,894 10.86 76,225 14.57 85,378 14.97 34,897 11.60

The majority of KTZMICO’s clients are local retail investors who trade on cash basis. The proportion of client types is shown in the table below:

FY2010 FY2011 FY2012 For the first 3 months ended

March 31, 2013

Retail : Institution 92 : 8 85 : 15 86 : 14 94 : 6

Local : Foreign 93 : 7 89 : 11 89 : 11 95 : 5

Cash Account : Credit Balance 74 : 26 82 : 18 83 : 17 85 : 15

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Policy on opening new accounts KTZMICO has established a policy regarding to the opening of new accounts based on our “Know Your Client” principle. This involves providing significant and adequate information required from an applicant in terms of investment objective, investment risk knowledge, and experience and investment history. In order to assess whether to approve a credit line, a client’s financial status as well as settlement ability is examined in order to prevent or limit any loss that might occur. KTZMICO have delegated employees with the authority to approve loans subjected to a credit line’s risk level. KTZMICO has also established a procedure to review credit lines on a regular basis to keep track of a client’s trading and settlement history and to ensure that client data is kept up to date.

Derivatives Agent Business

After the merger in May 2009, KTZMICO started operating as a derivatives agent and offer all exchanged-traded derivatives products, namely, SET50 Index Futures, SET50 Index Options, Single Stock Futures, 50 Baht Gold Futures, 10 Baht Gold Futures, Sector Index Futures, Interest Rate Futures, Silver Futures, Crude Oil Futures including USD Futures which first traded on June 5, 2012. For the first three months ended March 31, 2013, KTZMICO has 494,158 derivative contracts, accounting for 5.17% of the market share of total exchange-traded derivative products.


March 31, 2013

No. of Contracts – TFEX 4,519,436 10,027,116 10,457,927 4,781,341

No. of Contracts – KTZMICO 381,436 737,162 1,205,627 494,158

Market Share 4.22% 3.68% 5.76% 5.17%

Rank 7 11 6 6

As KTZMICO emphasizes on expanding its investor base in the derivatives market, “Derivatives Department” was formed to educate investors. It provides variety of training courses related to derivatives instruments to its clients, employees and general investors and also regularly takes part as an educator in seminar events and conferences organized by TFEX.

Securities Borrowing and Lending

Securities Borrowing and Lending (SBL) has been growing in demand with the development of the securities market. KTZMICO provides the service as an alternative investment and also for clients to hedge against market fluctuations. KTZMICO serves as a principal for securities listed in the SET100 Index. Since offering SBL service in 2009, KTZMICO is able to maintain its market share among the Top 5. In 2013, KTZMICO still plans to expand its KTB customer base to continually increase its market share.

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Derivatives Warrants (DW) KTZMICO began offering Derivative Warrants (DW) for the first time in December 2010. KTZMICO offered a total of 58 Derivative Warrants for 2012. As of March 31, 2013 there are 19 outstanding Derivative Warrants as the following:

Ticker Total

Issuance (Units)

Underlying Last Trading Date

Exercise Price (Baht per share)

Conversion Ratio (Unit of

DW per Underlying)

BANP18CD 20,000,000 BANPU 14 Aug. 2013 356.286 195.22546

BBL18CC 20,000,000 BBL 17 May 2013 147.052 49.01747

BJC18CA 20,000,000 BJC 2 Sept. 2013 79.424 24.82007

CPF18CC 20,000,000 CPF 26 Aug. 2013 29.512 19.67480

CPN18CA 20,000,000 CPN 24 Oct. 2013 37.645 12.38301

ESSO18CD 20,000,000 ESSO 20 Aug. 2013 9.948 7.95876

HEMR18CA 20,000,000 HEMRAJ 7 Oct. 2013 2.657 1.96847

INTU18CA 20,000,000 INTUCH 24 Oct. 2013 64.00 25.00

IVL18CF 20,000,000 IVL 26 Aug. 2013 23.315 19.84279

LH18CC 20,000,000 LH 14 May 2013 7.908 4.94231

MINT18CA 20,000,000 MINT 24 Oct. 2013 19.00 25.00

PTT18CD 20,000,000 PTT 14 May 2013 273.526 97.68786

PTTE18CC 20,000,000 PTTEP 14 Aug. 2013 153.00 50.00

ROBI18CA 20,000,000 ROBINS 24 Oct. 2013 61.00 25.00

TCAP18CB 20,000,000 TCAP 26 Aug. 2013 34.246 19.56886

THAI18CC 20,000,000 THAI 17 May 2013 19.604 9.80198

TOP18CE 20,000,000 TOP 20 Aug 2013 63.034 24.24399

TPIP18CA 20,000,000 TPIPL 7 Oct. 2013 13.418 9.93902

TRUE18CE 20,000,000 TRUE 20 Aug. 2013 5.50 4.00

The Thailand Futures Exchange (TFEX), a subsidiary of The Stock Exchange of Thailand (SET), appointed KTZMICO as a market maker for gold futures and SET50 Options. In addition, KTZMICO plans to offer complex financial products such as structured products in the near future.

Securities Investment and Securities Trading KTZMICO invests and trades in securities (Proprietary Trading) with the objective of generating additional income and has a policy of investing in high-return securities. KTZMICO defines its policy in compliance with the SEC regulations, which cover important policies as follows: - Policy concerning authorized persons for securities dealing. - Policy on risk management. - Policy on preventing conflicts of interest. - Policy on compliance. - Policy on proper capital allocation to each security. - Policy on the investment objectives and expected return targets compared with

benchmark returns.

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In 2012, investments in securities were classified into two categories: 1) Investments in equity securities including listed securities and unit trust to support securities business expansion, and hedging portfolio. 2) Investments in debt securities which have optimum returns issuance by Government and

Corporate with a credit rating of BBB or higher in the short-term period (less than 6 months) as approved by the Executive Committee.

In 2012, KTZMICO ranked 2nd among securities companies in corporate bond outright trading.

Underwriting Business

KTZMICO offers a full range of financial advisory services, including the sale of securities products. KTZMICO acts as a financial advisor and subsequently adopts the role of underwriter. KTZMICO joins with financial institutions and other securities companies in offering a variety of securities products, including government bonds, state enterprise bonds, common shares, preferred shares, debentures and convertible debentures. KTZMICO is actively engaged in the underwriting business and has extensive experience in the role of lead and co-underwriter, underwriter and selling agent.

Revenue from underwriting business as the following:


March 31, 2013

No. of clients 8 4 9 2

Underwriting Value (Million Baht) 3,796.86 1,512.40 4,274.03 10.25

Fee Charged (Million Baht) 25.75 4.36 37.61 0.15

Financial Advisory Business

KTZMICO offers a number of financial advisory services, including issuing equity instruments through initial public offerings, private placements, convertible debentures, rights issues and debentures with warrants, new listings on the SET and the MAI, mergers and acquisitions services, firm valuation, source of fund providing, business restructuring and other financial advisory services. KTZMICO has been a member of M&A International Inc., the world’s leading international M&A network with over 40 member firms worldwide, to broaden investment banking business. Currently, KTZMICO acts as a financial advisor in several M&A deals. KTZMICO is positioning itself as the gateway to Indochina and appointed as financial advisors of many large businesses that has potentials to be listed in the Stock Exchange in Laos PDR. In addition, KTZMICO also acts as the financial advisor to BCEL-KT Securities (KTZMICO holds 30%) and underwriter of EDL Generation, the first initial public offering in Laos. KTZMICO is confident that being able to establish a strong foothold in Laos marks the first step in realizing its goal as the gateway to Indochina

Moreover, in 2012, KTZMICO has also expanded into Myanmar by focusing on financial advisory for investment projects, with plans to expand business coverage over Indochina, such as Laos, Vietnam, Myanmar and Cambodia.

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Revenue from financial advisory services is shown below:


March 31, 2013

Revenue (Million Baht) 176.10 47.96 173.21 3.51

Wealth Advisor

KTZMICO established wealth advisory services to serve clients in terms of wealth creation, wealth accumulation, wealth preservation and wealth distribution according to their financial objectives, status and expected return with an acceptable risk. KTZMICO provides one stop service to fulfill clients’ financial goals through variety of financial products such as Equities, Fixed Income, Derivatives and Offshore Investments to ensure a diversified portfolio, with either direct investments or mutual funds. In the beginning, KTZMICO was a unit trust selling agent, before being approved by the SEC to be a selling agent for omnibus account. It currently covers 18 Asset Management Companies with financial planners who have more than 16 years experience. As at March 31, 2013 asset under management was Baht 3,654 million. Moreover, KTZMICO continues acted as a participating dealer in ETF Fund.

Private Fund In February 2012, KTZMICO was approved by the Securities and Exchange Commission to operate private fund. With the cooperation and supports of KTB, a major shareholder, the business starts operating since the late of year 2012.

International Market Securities Trading

KTZMICO provides service on international market securities trading (offshore) with the objectives of seeking a better return than investing in the domestic market and to diversify risks. Currently, KTZMICO is equipped with one of the most highly efficient and flexible trading systems in the global markets, the Direct Market Access (DMA) which can access over 130 financial markets with super fast execution of up to 4,000 transactions per second. The system provides real-time market information which covers stocks, debentures, treasuries bonds, structured products, foreign exchange, and commodities on one screen. Currently, KTZMICO offers securities trading in several major securities markets such as the U.S., Hong Kong, and Singapore. In the past year, investors’ response to the Lao Securities Exchange (LSX) has been overwhelming. In addition to KTZMICO’s efficient trading systems, KTZMICO also ensures the reliability and efficiency in the international settlements by appointing highly reputable global institutions as agent. This is to assure clients of KTZMICO’s settlement capabilities that are on par with international practice providing high efficiency and security in offshore trading.

Agricultural Futures Agent

KTZMICO expands derivative business to commodities. KTZMICO was approved from the Office of Agricultural Futures Trading Commission in November 2012. Also, KTZMICO was approved to be a member of the Agricultural Futures Exchange of Thailand in December 2012. Currently, this is during the preparation period, and being made its trading and settlement rules to provide risk control more efficiently and strictly, and expects to operate by mid of 2013.

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3. Asset Management Business

This business operated by Solaris Asset Management Company Limited (formerly Seamico Asset Management Company Limited) emphasizes on quality of asset and issuer’s credit. Solaris Asset Management Company Limited mostly invests in fixed income considering investment grade with an international vision in line with Solaris Asset Management Company Limited’s plan and policy. As at March 31, 2013, Solaris Asset Management Company Limited has total asset under management of Baht 3,610.51 million. Most of funds are fixed income mutual funds which contributes high yield and currently managing a total of 20 private funds. In addition, it has expanded to manage private funds.

Industry Outlook and Competition

Industry Overview in 2012

Amid concerns over the negative impact of the slowdown of the world’s major economies, 2012 was a golden year for investment in the Thai stock market. The positive investment sentiment in Thailand in 2012 was driven mainly by i) excess liquidity resulting from various economic stimulus packages facilitated by the easing monetary policies of major central banks; and ii) domestic micro and macro environments that were favorable to investment. Overall, the Thai economy rapidly recovered from the severe flooding in Bangkok and other central provinces in late 2011. Meanwhile, the valuations of listed companies were very attractive and their earnings showed strong growth. Hence, the Thai bourse marked the highest trading turnover (both in the SET and MAI) in ASEAN at Baht 32.3 billion, an increase of 9.6% from a year earlier. In addition, on December 27, 2012, the SET Index hit a 16 year high at 1,397.19 points before closing at 1,391.93 points, representing a gain of 35.8% (compared with the figure seen as of the end of 2011) and the highest rise among Asia Pacific indexes. Market Statistics in 2012

Details 2010 2011 2012

Market Data of SET

SET Index – end of year (points)

Market Capitalization (Baht Million)

Market Turnover (Baht Million)

Market Daily Turnover (Baht Million)

Market P/E (Times)

Market P/BV (Times)

Dividend Yield (%)

No. of Listed Company in SET (Companies)

No. of Newly Listed Company in SET

Market Data of MAI

MAI Index – end of year (points)

Market Capitalization (Baht Million)

Market Turnover (Baht Million)

Market Daily Turnover (Baht Million)

Market P/E (Times)

Market P/BV (Times)

Dividend Yield (%)

No. of Listed Company in MAI (Companies)

No. of Newly Listed Company in MAI

1,032.76

8,334,648

6,937,890

28,669

15.35

2.04

2.92

473

4

272.79

55,128.36

96,057.57

396.93

18.39

2.08

3.11

66

7

1,025.32

8,407,696

7,040,458

28,854

12.07

1.87

3.72

471

5

264.23

77,310.14

151,022.76

618.95

16.36

2.46

2.97

73

7

1,391.93

11,831,448

7,615,638

31,084

18.25

2.41

2.98

477

8

415.68

133,017.08

298,928.56

1220.12

22.80

3.24

1.58

81

10

Source: The Stock Exchange of Thailand

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Despite heavy foreign investment inflows towards the Thai market as evidenced by huge net buying of Baht 76.4 billion in 2012, retail investors remained the major contributors, with trading volume increasing to 58% of the total volume (compared with 55% in 2011). By contrast, the volume contributed by foreign investors and corporate investment portfolios fell to 22% and 11%, respectively, compared with 23% and 13% in 2011. Meanwhile, the trading volume from local institutional investors remained flat at 9% of the total volume. Thanks to a lively market atmosphere in 2012, fundraising activities through the equity market hit a 10-year high, with a total value of Baht 263.9 billion. Out of the total, Baht 50.6 billion came from investment in the primary market, i.e., the listing of 18 companies (eight companies listed in the SET and ten companies in the MAI), and from the establishment of six property funds. The remaining Baht 213.3 billion was raised in the secondary market. Similarly, trading in the Thailand Futures Exchange (TFEX) was also heavy. In 2012 the daily market turnover in the TFEX increased by 6.5% to 43,823 contracts per day, equivalent to a value of Baht 22.1 billion per day. New products were continuously introduced, e.g., USD Futures and Sector Futures. Moreover, existing products were improved. For instance, the number of short-term monthly contracts for the SET50 Index Futures was increased and the contracts of SET50 Options became less complicated. Competition in the industry The liberalization of brokerage fees did not significantly intensify the competition in the securities business. This was due in part to the fact that securities brokerage firms were well prepared for liberalization, having calculated commission fees based on a sliding scale since 2009. Hence, most brokerage firms did not seek to compete by reducing commission fees. Rather, they placed an emphasis on improving their services, including trading systems, new product launches, increasing the quality of research and new marketing activities (e.g., seminars to educate people on investment and offering premium products to clients), in order to maintain their client bases. In addition, the overall positive market for investment in 2012, including purchase value and market index, has enable securities companies to expand client base, nevertheless, revenue from securities trading commission has maintained a high 80%. In regard to the market share in 2012, KTZMICO was ranked 10 th, accounting for 4.14% compared with 4.19% in 2011. The company’s market share in the derivatives market improved remarkably from 3.68% in 2011 to 5.76% in 2012. The rosy outlook for the Thai stock market in 2013 is likely to continue, thanks to high liquidity worldwide as well as the expected steady recovery of major economies. Meanwhile, the Thai economy will continue to be driven by both a new CAPEX cycle, especially in regard to the government’s investment in infrastructure projects, and the rapid spending growth in the provinces. Therefore, Thai listed companies are likely to offer impressive returns on both equity and dividend yields. Nonetheless, the market may become more volatile if the central bank signals changes in its policies. With a favorable environment, price competition (in regard to commission fees) may not be very intense; however, fierce competition may be seen in other areas. Competition in underwriting services, for instance, is likely to become fiercer given the fact that in 2012 various brokerage firms successfully provided underwriting services that, in turn, brought investors impressive returns. Fixed Assets for Business Operation

SEAMICO Securities Public Company Limited has transferred assets for business operation including Internet system, office equipment, rental contracts, rental assets and service providing contracts to KT ZMICO Securities Company Limited on May 1, 2009 according to the plan to develop securities business with Krung Thai Bank Public Company Limited. Currently the Company’s operation assets are as follow: 1. Asset on rental and lease including office area and vehicles. 2. Asset belongs to the Company’s ownership including office equipment.

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Operation Asset as of March 31, 2013

Asset Ownership Value (Baht million)

Obligation

Office Equipment Own 0.25 None

Total 0.25

Details of Rental Assets

Asset Party to Contract Area/ Square meters

Period Monthly Rate

(Baht)

Type of Contract

16th Floor, Liberty Square, Room 1601

KT ZMICO Securities Company Limited

87 Sep 1, 2010 –

Jan 31, 2013

49,503 Renew every 3 years

8th Floor, Liberty Square, Room 801A and 807

Solaris Asset Management Company Limited

203 Apr.1,2013 – Jan.31, 2016


Foreclosure Assets

The Company has been transferred 3 pieces of lands, Condominium suite 1 room and 1 golf club membership to repay for debt from clients on margin account and 2 pieces of lands to repay for client’s overdue B/E as follows:

Legal Title No. Location Area Accrual Value

(Baht million)

Title deed no. 19878 Bang Or, Banna, Nakornnayok 411 square wa 0.69

Title deed no. 43424 Bang Pra, Sriracha, Chonburi 5 square wa 0.02

Title deed no. 73102 Ban Muang, Muang, Chonburi 436 square wa 2.18

Golf club membership Natural Park Resort Golf Club 1 member card 0.11

Title deed no. 33552 , 33553 Pa Klog, Talang, Phuket 26 rai 93.1 square wa 157.31

Condominium suite no. 157/477 Commonwealth Pinklao, 22nd Floor, Bang Bamru, Bang Phlat, Bangkok

128.24 square meters 4.87

Totals 165.18

Solaris Asset Management Company Limited Operation Assets

List Purchased Price (Baht million)

Accrual Value as of March 31,

2013

Avg. Useful life (Years)

Avg. Used (Years)

Avg. Life for Use (Years)

Office Renovation 2.63 0.54 5 3.97 1.03

Computer Equipment 4.90 0.05 3 2.97 0.03

Office Equipment 1.89 0.43 5 3.86 1.14

Furniture and installation 0.83 0.14 5 4.16 0.84

Total 10.25 1.16

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Details of Rental Assets

Asset Party to Contract Area/Square meters

Period Monthly Rate

(Baht)

Type of Contract

Room 801A, 807 Liberty Square

A.G. Union Company Limited

258 Feb 1, 2013 –

Jan 31, 2016


Vehicle: Toyota Camry

Phatra Leasing Plc. - Sept 20, 2011 –

Jun 30, 2015

31,800 47 Payments

Photocopy Machine Fuji Xerox Leasing (Thailand) Co., Ltd

- Apr 1, 2013 – Mar 31, 2014

0.37-5.75 Baht per

sheet

Renew every year

Photocopy Machine Ricoh Services (Thailand) Co., Ltd.

- May 1, 2013 – Apr 30, 2016

Baht 7,000 + Baht 0.32-4.00 per

sheet

Renew every 3 years

The Allowance for Impairment of Assets

The Company has a policy to set an allowance for impairment of assets, according to the Federation of the 17/2553 issue of TAS 36 (revised 2552) Impairment of Assets, dated April 9, 2010. Investment Capital List of subsidiaries and associated companies and other companies of the Company as at March 31, 2013

Company Name Address Type of Business

Type of Share

No. of Issued Shares

No. of Shares Held

Investment Value

(Baht million)

Shareholding (%)

Subsidiary Solaris Asset Management Company Limited

8th Floor, 287 Liberty Square, Silom Road, Bangrak, Bangkok 10500

Mutual Fund Management

Ordinary

19,200,000

14,650,000

146.50

76.30

Associate Company KT ZMICO Securities Company Limited

16th Floor, 287 Liberty Square, Silom Road, Bangrak, Bangkok 10500

Securities

Ordinary

222,763,600

110,350,800

1,087.50

49.54

Other Thanh Cong Securities Joint Stock Company

3rd & 5th Floor - Centec tower, 72-74 Nguyen Thi Minh Khai St., Ward 6, District 3, HCMC, Vietnam

Securities

Ordinary

36,000,000

6,796,500

156.02

18.88

BCEL Krungthai Securities Company Limited (invested by KT ZMICO Securities Company Limited)

7th Floor, Stock Market Building, Khampaengmouang Road, Xaysettha District, Vientiane Capital, Lao PDR

Securities

Ordinary 1,000,000

300,000 115.52 30.00

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Record of Capital Increment for the Pass 3 Years As of March 31, 2013, the Company has registered capital Baht 511,343,615.50, paid-up capital Baht 511,309,724, divided into 1,022,619,448 ordinary shares at Baht 0.50

Year of Register

Paid-Up Capital Offered / to

Paid-Up Capital

Registered Capital (Baht

million)

Capital Increase

(decrease) (Baht

million)

After the increase

(Decrease) (Baht

million)

Mar 5, 2008 1,083.83 0.03 833.73 As a result of the exercise of warrants to purchase common stock offered to employees.

Apr 4, 2008 1,083.83 0.007 833.74 As a result of the exercise of warrants to purchase common stock offered to employees.

Jul 7, 2008 1,083.83 0.02 833.76 As a result of the exercise of warrants to purchase common stock offered to employees.

Aug 10, 2009 1,083.83 0.14 833.90 As a result of the exercise of warrants to purchase common stock offered to employees.

Apr 30, 2010 833.90 (249.94) 833.90 As a result of the cancellation of shares which are reserved for the exercise of warrants to purchase common shares of the Company. Issued to holders of existing shares and warrants to purchase common shares of the Company. Issued to the employee because of such warrants to expire.

Dec 22, 2010 416.95 (416.95) 416.95 Reduced par value of 1 Baht per share to 0.50 Baht per share.

Jun 16, 2011 416.95 (5.60) 411.34 As a result of cutting the share repurchase.

Dec 15, 2011 411.34 100.00 511.34 As a result of stock dividend to existing shareholders

Management Information as of May 28, 2013 Board of Directors

1. Mr. Chaipatr Srivisarvacha Authorized Director

2. Mr. Pinit Puapan Authorized Director

3. Mr. Robert William McMillen Director

4. Mr. Kenneth Kin Hing Lam Director

5. Mrs. Phornpun Phornprapha Independent Director

6. Mr. James Michael Kelso Independent Director

7. Mr. Peter John Emblin Director

8. Mr. Peter E. Romhild Independent Director

9. Mr. Jesadavat Priebjrivat Independent Director

10. Mr. Vuthichai Tumasaroj Independent Director

11. Mrs. Duangrat Watanapongchat Company Secretary and Secretary to the Board of Directors

Authority of the Board of Directors Board of Directors of the Company is responsible for the affairs of the company, authority and responsibility within the scope of the laws an d regulations of the company as well as the resolution passed by shareholders committee with honesty and care to protect the interests of the company. The board also has the authority to take any other action as stated in the memorandum or in connection with this action.

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The Board may designate one or more party to operate any task of the board. The details of the authorization must be authorized to make such an attorney can be considered and approved the transaction, the attorney or party who may have a conflict of interest or conflict of interest. Name and number of members who have the authority to sign on behalf of the company Mr. Chaipatr Srivisarvacha, Mr. Pinit Puapan any two of these directors signing together with the Company’s seal being affixed. Executive Committee

Mr. Chaipatr Srivisarvacha Chairman of the Executive Committee

Mr. Pinit Puapan Member

Mr. Robert William McMillen Member Authority of the Executive Committee The Board of Directors Meeting No. 1/2004 dated 24th February 2004 approved that the Executive Committee has the power, duty and responsibility to manage on a day-to-day basis the Company’s administrative activities and transactions and assist the Board of Directors, as follows: - To implement and direct the Company’s policies, as well as monitor and supervise its operations

to maximize economic value and shareholders’ wealth.

- To monitor the business performance and operations of the Company according to its bylaws and regulations.

- To authorize business matters under the limit of authority assigned by the Board of Directors. The Executive Committee does not have the power to approve any transaction which may cause a conflict of interest against the Company or its subsidiary companies; or in which the interest held by any member or related party of the Executive Committee is in conflict with the Company or its subsidiary companies in accordance with applicable rules and regulations of the SET. Typically, these transactions need the consideration and approval of the Board of Directors and/or a shareholders’ meeting in accordance with the Articles of Association of the Company and subject to applicable laws. Audit and Risk Management Committee

1. Mr. James Michael Kelso (CPA) Chairman of Audit and Risk Management Committee

2. Mrs. Phornpun Phornprapha (ACP) Member

3. Mr. Peter E. Romhild (DCP) Member

4. Mrs. Aree Termwattanapakdee Secretary to the Audit and Risk Management Committee

Note All Committee’s members are well knowledge and experience in Financial and Accounting Auditory.

Duties and responsibilities of the Audit Committee and Risk management as per report to the Board of Directors 1. Review the sufficiency, credibility and objectivity of the financial reporting by coordinating with

the external auditors and management responsible for preparing the quarterly and yearly financial reports. The Audit and Risk Management Committee may suggest issues or matters to be included for review or audit by the external auditors during its audit of the company.

2. Review the adequacy and effectiveness of the internal control systems and internal audit functions by coordinating with the external auditors and internal auditors.

3. Review and approve audit plans, budgets and manpower of Compliance and Internal Audit Department.

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4. Consider and review independent and auditing results of Compliance and Internal Audit Department.

5. Participate on the appointment, dismissal, resignation and evaluation of head of Compliance and Internal Audit Department.

6. Review the adequacy and effectiveness of the risk management control system by coordinating with Risk Management Committee and Risk Management Office

7. Review compliance with the Securities and Exchange Acts, Regulations of the SET, and any other relevant laws

8. Consider and advise the appointment of the external auditors including the audit fee by considering the creditability, the adequacy of its resources, the firm’ s audit engagements, and the experience of its supervisory and professional staff.

9. Consider compliance with all connected transaction disclosures or the conflict of interests disclosures.

10. Take care of any other matters assigned to it by the board of directors, such as reviewing the company’ s financial and risk management policies, reviewing compliance with the Code of Corporate Conduct of the management, and reviewing with the company’ s management, all important reports which must be disclosed to the public according to the law. (e. g. Management Discussion and Analysis (MD&A), etc.).

11. Report the activities of the Audit and Risk Management Committee in the Company’s annual report, which must be signed by the chairman of the Audit and Risk Management Committee. The following information should be included in the report: - Comments on the Company’s financial reporting process and the disclosure of its financial

information, which must be correct, sufficient, and credible. - Comments on the adequacy of the Company’s internal control systems. - Statements on whether the Company’s auditor is suitable for reappointment. - Comments on compliance with the Securities and Exchange Acts, Regulations of the SET, and

any other relevant laws. - Other statements that shareholders and general investors deem to be considered under the

scope of the functions and responsibilities assigned to them by the board. 12. Review Charter of Audit and Risk Management Committee at least once a year. 13. Perform self-assessment at least once a year and report the results to the Board of Directors. 14. Take all necessary actions to insure that the Board of Directors / Executive Nominating and Compensation Committee

Mr. Kenneth Kin Hing Lam Member

Mr. Peter E. Romhild Member

Mr. Peter John Emblin Member

Corporate Governance Committee

Mr. Kenneth Kin Hing Lam Member

Mr. Peter E. Romhild Member

23

Name and position of the Management and Company Secretary

1. Mr. Chaipatr Srivisarvacha - Authorized Director

- Vice Chairman

- Chairman of the Executive Committee

- Chief Executive Officer

2. Mr. Pinit Puapan - Authorized Director

- Managing Director

3. Mrs. Duangrat Watanapongchat - Company Secretary

- Secretary to the Board of Directors and the Executive Committee

4. Mrs. Banchit Chittanusart - Executive Vice President, Finance, Account and Treasury Department

KT ZMICO Securities Co., Ltd.

(According to Service Agreement between Seamico

Securities Plc. and KT ZMICO Securities Co., Ltd.)

List of top 10 major shareholders in the shareholders’ registration book as at March 19, 2013

Name No. of shares Percentage (%)

1. QUAM SECURITIES COMPANY LIMITED A/C CLIENT 140,730,660 13.76

2. Thai NVDR Co., Ltd. 85,751,634 8.39

3. RAFFLES NOMINEES (PTE) LIMITED 53,072,112 5.19

4. Mrs. Walinda Weerayuthkosol 37,108,100 3.63

5. HSBC PRIVATE BANK (SUISSE) SA, SINGAPORE BRANCH 31,196,067 3.05

6. HSBC (SINGAPORE) NOMINEES PTE LTD 27,220,167 2.66

7. Mr. Vachira Thayanaraporn 15,555,500 1.52

8. Mr. Mongkol Phongnatkarn 10,000,000 0.98

9. Mr. Thaveechat Julangkur 10,000,000 0.98

10. Mrs. Pennipa Duangsithisombat 9,500,033 0.93

Others 602,397,208 58.91

Total 1,022,619,448 100.00

Paid-up capital as at March 31, 2013 was Baht 511,309,724.00. Dividend policy and the right to receive dividends The dividend payment will be considered on the basis of the Company’s profitability and liquidity and approval from the shareholders’ meeting. The Board of Directors will determine dividend policy of subsidiaries. Record of Dividend Payment for previous 3 Years

As of Operation Year

2010 (Baht/Share)

2011 (Baht/Share)

2012 (Baht/Share)

Dividend - 0.05 0.06

Note: In 2009, the Company returned the capital to the shareholders at the rate of Baht 0.50 per share

KT ZMICO Securities Company Limited

21st Floor, Liberty Square Building,

287 Silom Road, Bangrak,

Bangkok 10500

Tel. (662) 02-695-5043, 02-695-5036, 02-695-5031

เลขท่ีใบจอง / Subscription No. _________________________________________________ ใบจองซื้อหุนสามัญเพ่ิมทุน บริษัทหลักทรัพย ซีมิโก จํากัด (มหาชน)

Subscription Form for New Ordinary Shares of Seamico Securities Public Company Limited

การเสนอขายหุนสามัญเพ่ิมทุน จํานวน 511, 309,724 หุน แกผูถือหุนเดิมในอัตราสวน 2 หุนเดิม ตอ 1 หุนใหม มูลคาท่ีตราไวหุนละ 0.50 บาท ในราคาเสนอขายหุนละ 1.76 บาท Offering to the existing shareholders of 511, 309,724 new ordinary shares at a ratio of 2 existing shares to 1 new share with par value of Baht 0.50 at the offering price of Baht 1.76 per share

วันท่ีจองซ้ือ / Subscription Date 13/8/2013 14/8/2013 15/8/2013 16/8/2013 19/8/2013 ขาพเจา (นาย / นาง / นางสาว / นิติบุคคล) _______________________________________________________________________________________ เลขทะเบียนผูถือหุนเลขท่ี _____________________________________ I (Mr. / Mrs. / Miss / Juristic Person) ___________________________________________________________________________________________ Share Register No. ________________________________________ มีหุนเดิมตามทะเบียนผูถือหุน ณ วันท่ี 23 กรกฎาคม 2556 จํานวน หุน มีสิทธิในการจองซ้ือหุนใหม จํานวน หุน According to the Share Registration Book as of July 23, 2013 I own _________________________________shares, and have the rights to subscribe for ______________________________________ shares ขาพเจาขอจองซ้ือหุนสามัญเพ่ิมทุนของบริษัทหลักทรัพย ซีมิโก จํากัด (มหาชน) ดังน้ี / I hereby subscribe for ordinary shares of Seamico Securities Public Company Limited as follows :

จองซ้ือตามสิทธิ / Subscription for entitlement

จํานวนหุนท่ีจองซ้ือ / No. of shares จํานวนเงินท่ีชําระ / Amount Due (เช็ค – ลงวันท่ีไมเกิน 15 สิงหาคม 2556 / Cheque-Date not later than August 15, 2013) พรอมกันน้ี ขาพเจาขอสงเงินคาจองซ้ือหุนสามัญดังกลาวโดย / I herewith submit my payment for the said shares by :-

เช็คบุคคล/ Personal Cheque เช็คธนาคาร / Cashier Cheque ดราฟท / Draft เงินโอน (ผานเคานเตอรธนาคารเทาน้ัน) / Money Transfer (via Bank’s counter only)

เลขท่ีเช็ค / Cheque No. _______________________________ วันท่ี / Date _______________________________ ธนาคาร / Bank ___________________________ สาขา / Branch ____________________________

โดยสั่งจาย “บมจ. หลักทรัพย ซีมิโก เพ่ือจองหุน” ธนาคารไทยพาณิชย จํากัด (มหาชน) สาขาอาคารลิเบอรต้ีสแควร (สีลม) ประเภทบัญชีกระแสรายวัน เลขท่ีบัญชี 468-016841-8 Made payable to “Seamico Securities Public Company Limited for share subscription” Siam Commercial Bank Plc., Liberty Square (Silom) Branch, Current Account No. 468-016841-8

จองซ้ือเกินสิทธ ิ/ Subscription for more than entitlement

จํานวนหุนท่ีจองซ้ือ / No. of shares จํานวนเงินท่ีชําระ / Amount Due (เช็ค – ลงวันท่ีไมเกิน 15 สิงหาคม 2556 / Cheque-Date not later than August 15, 2013) พรอมกันน้ี ขาพเจาขอสงเงินคาจองซ้ือหุนสามัญดังกลาวโดย / I herewith submit my payment for the said shares by :-

เช็คบุคคล/ Personal Cheque เช็คธนาคาร / Cashier Cheque ดราฟท / Draft เงินโอน (ผานเคานเตอรธนาคารเทาน้ัน) / Money Transfer (via Bank’s counter only)

เลขท่ีเช็ค / Cheque No. _______________________________ วันท่ี / Date _______________________________ ธนาคาร / Bank ___________________________ สาขา / Branch ____________________________

โดยสั่งจาย “บมจ. หลักทรัพย ซีมิโก เพ่ือจองหุน” ธนาคารไทยพาณิชย จํากัด (มหาชน) สาขาอาคารลิเบอรต้ีสแควร (สีลม) ประเภทบัญชีกระแสรายวัน เลขท่ีบัญชี 468-016841-8 Made payable to “Seamico Securities Public Company Limited for share subscription” Siam Commercial Bank Plc., Liberty Square (Silom) Branch, Current Account No. 468-016841-8

หากขาพเจาไดรับการจัดสรรหุนดังกลาวแลว ขาพเจาตกลงใหดําเนินการดังตอไปน้ี: (ผูจองซ้ือหุนสามัญเพ่ิมทุนเลือกขอใดขอหน่ึง) If the shares are allotted to me, I hereby agree to have one of the following executed: (Subscriber must choose one) :

ใหออกใบหุนสามัญตามจํานวนท่ีไดรับการจัดสรรน้ันไวในช่ือ “บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด เพ่ือผูฝาก” และดําเนินการใหบริษัท ____________________________________________________ สมาชิกผูฝากเลขท่ี (ระบุช่ือใดช่ือหน่ึงตามรายช่ือท่ีปรากฎดานหลังใบจองหุนน้ี) นําหุนสามัญเขาฝากไวกับบริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด เพ่ือเขาบัญชีซ้ือขายหลักทรัพย ซ่ึงขาพเจามีอยูกับบริษัทน้ัน บัญชีเลขท่ี___________________________________________________ (ช่ือบัญชีซ้ือขายหลักทรัพยตองเปนช่ือเดียวกับช่ือผูจองซ้ือหุนเทาน้ัน มิฉะน้ันจะดําเนินการนําหุนเขาบัญชีของบริษัทผูออกหลักทรัพย สมาชิกเลขท่ี 600 แทน) Issue a share certificate in the name of “Thailand Securities Depository Company Limited for Depositors” for the allotted shares and arrange for Participant Name_________________________________ Participant No. ______________________________ (Please specify one of the names from list on the back of this subscription form) to deposit those shares with Thailand Securities Depository Company Limited for Securities Trading Account No. _______________________________with which I/We have maintained my/our account (Name of the Subscriber must be the same with account Name, otherwise shares subscribed will be deposited into Issuer account number 600 for my/our name.)

ใหออกใบหุนสามัญตามจํานวนท่ีไดรับการจัดสรรน้ันไวในช่ือ “บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด” และนําหุนเขาฝากไวกับ บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด โดยเขาบัญชีของบริษัท ผูออกหลักทรัพย สมาชิกเลขท่ี 600 เพ่ือขาพเจา (การขอถอนเปนใบหลักทรัพยในภายหลังผูจองซ้ือหุนจะตองเสียคาธรรมเนียมตามท่ี บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด กําหนด) Issue a share certificate in the name of “Thailand Securities Depository Company Limited” and deposit those shares with Thailand Securities Depository Company Limited under Issuer account for my name Account Number 600 (For issuing a share certificate later, Subscriber will be subject to paying fee charged by Thailand Securities Depository Company Limited).

ใหออกใบหุนสามัญตามจํานวนท่ีไดรับการจัดสรรน้ันไวในช่ือของขาพเจา และจัดสงใบหุนใหขาพเจาตามช่ือท่ีอยูท่ีระบุไวขางตนทางไปรษณียลงทะเบียน โดยขาพเจายินดีมอบหมายใหบริษัทฯ ดําเนินการใดๆ เพ่ือทํา ใหการจัดทําใบหุนและสงมอบใบหุนใหแกขาพเจาภายใน 45 วัน นับจากวันปดการจองซ้ือหุน Issue a share certificate in my name and deliver to me under the name and address referred to above by registered mail. I hereby authorize the Company to proceed with any necessary action to have the share certificate made and delivered to me within 45 days after the end of the share subscription period.

ขาพเจาขอรับรองและตกลงวาจะรับหุนสามัญเพ่ิมทุนจํานวนดังกลาวหรือในจํานวนท่ีทานจัดสรรให และจะไมยกเลิกการจองซ้ือหุนสามัญเพ่ิมทุนน้ี รวมท้ังยินยอมรับคืนเงินในกรณีท่ีทานปฏิเสธการจองซ้ือและหากขาพเจาไมสงใบจองซ้ือหุนสามัญเพ่ิมทุนท่ีไดกรอกรายละเอียดครบถวนและเอกสารประกอบการจองซ้ือท่ีถูกตองเรียบรอยพรอมแคชเชียรเช็ค / ดราฟท/ ใบโอนเงินมาถึงบริษัทภายในระยะเวลาการจองซ้ือ หรือหากแคชเชียรเช็ค/ดราฟทท่ีสั่งจายแลวน้ันไมผานการเรียกเก็บ ใหถอืวาขาพเจาสละสิทธิ์การจองซ้ือหุนสามัญเพ่ิมทุนดังกลาว นอกจากน้ีขาพเจายินยอมผูกพันตนเองตามเงื่อนไขขอกําหนดและขอความใดๆ ในหนังสือแจงการจัดสรรหุนสามัญเพ่ิมทุน รวมท้ังในหนังสือบริคณหสนธิอและขอบังคับของบริษัทท่ีมีอยูแลวขณะน้ี และ/หรือ ซ่ึงจะแกไขเพ่ิมเติมตอไปในภายหนาดวย I/We hereby undertake to purchase the above amount of ordinary shares or any amount as allocated to me. I shall not cancel my subscription, and agree to accept a refund should the subscription be refused. If I do not return this duly completed subscription form with payment (Cheque / Cashier Cheque / Draft/ Pay-in Slip) or the Cheque / Cashier Cheque / Draft has not been honored, I shall be deemed to have not exercised my subscription rights. Moreover, I/We agree to the conditions of the right offering as stated in the Information Memorandum concerning the allotment of ordinary shares and the conditions as laid down in the Memorandum and Articles of Association of the Company currently in force and/or as may be amended in the future.

ลงช่ือ/ Signature _____________________________________________________________ ผูจองซ้ือ / Subscriber ( _________________________________________________________________ )

หลักฐานการรับฝากการจองซ้ือหุน (ผูจองซ้ือ โปรดกรอกขอความในสวนน้ีดวย) / Subscription Receipt (Subscriber please also fill out the portion)

วันท่ี / Date 13/8/2013 14/8/2013 15/8/2013 16/8/2013 19/8/2013 เลขท่ีใบจอง / Subscription No . _________________________________________

บริษัทหลักทรัพย ซีมิโก จํากัด (มหาชน) ไดรับเงินจาก (ช่ือตามใบจอง) / Seamico Securities Plc. Received money from (name of Subscriber) ________________________________________________________________________ เพ่ือจองซ้ือหุนสามัญเพ่ิมทุนของบริษัทหลักทรัพย ซีมิโก จํากัด (มหาชน) ในราคาหุนละ 1.76 บาท / For a subscription of new ordinary shares of Seamico Securities Public Company Limited at Baht 1.76 per share

รายละเอียดการจอง จํานวนหุนท่ีจองซ้ือ/ No. of shares จํานวนเงินท่ีชําระ/ Amount Due โดยชําระเปน / made payable by จองซ้ือตามสิทธิ / Subscription for entitlement เช็คบุคคล/Personal Cheque เช็คธนาคาร/Cashier Cheque

ดราฟท/ Draft เงินโอน (ผานเคานเตอรธนาคารเทาน้ัน) /

Money Transfer (via Bank’s counter only)

จองซ้ือเกินสิทธิ / Subscription for more than entitlement

รวม / Total

เลขท่ีเช็ค / Cheque No. _________________________________ วันท่ี / Date___________________________________ ธนาคาร / Bank_________________________________ สาขา / Branch ____________________________________ ออกใบหุนในนาม “บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด เพ่ือผูฝาก” / Issue a share certificate in the name of “Thailand Securities Depository Company Limited for the Depositors”

เลขท่ีสมาชิกผูฝาก / Participant Number_________________________________ บัญชีซ้ือขายหลักทรัพยเลขท่ี / Security trading account number__________________________________________________________________ ออกใบหุนในนาม “บริษัท ศูนยรับฝากหลักทรัพย (ประเทศไทย) จํากัด” โดยเขาบัญชีของผูออกหลักทรัพย สมาชิกเลขท่ี 600 เพ่ือขาพเจา / Issue a share certificate in the name of “Thailand Securities Depository Company Limited for the Depositors” and deposit those shares under Issuer account for my name account number 600 ออกใบหุนในนามผูจองซ้ือ / Issue a share certificate in the name of subscriber

เจาหนาท่ีผูรับ / Authorized Offer _______________________________________________

การลงทุนในหลักทรัพยมีความเสี่ยงและกอนตัดสินใจจองซ้ือหลักทรัพยควรศึกษาขอมูลอยางรอบคอบ Please be aware that there is risk involved in securities investment and make sure you have

thoroughly studied all information before deciding on the share subscription.

BROKER

ผูฝากเลขที ่

Participant No. ช่ือบริษัท / Company Name

ผูฝากเลขที ่

Participant No. ช่ือบริษัท / Company Name

002 บล. ทิสโก จํากัด Tisco Securities Co., Ltd.

027 บล. โอเอสเค (ประเทศไทย) จํากัด (มหาชน) OSK Securities (Thailand) Plc.

003 บล. คันทรี่ กรุป จํากัด (มหาชน) Country Group Securities Plc.

029 บล. กรุงศรีอยุธยา จาํกัด (มหาชน) Ayudha Securities Plc.

004 บล. ดีบีเอส วิคเคอรส (ประเทศไทย) จํากัด DBS Vickers Securities (Thailand) Co., Ltd.

030 บล. ไอ วี โกลบอล จํากัด (มหาชน) I V Global Securities Plc.

005 บล. ซิกโก จํากัด (มหาชน) Sicco Securities Plc.

032 บล. เคทีบี (ประเทศไทย) จํากัด KTB Securities (Thailand) Co., Ltd.

006 บล. ภัทร จํากัด (มหาชน) Phatra Securities Plc.

034 บล. ฟลลิป (ประเทศไทย) จํากัด (มหาชน) Phillip Securities (Thailand) Plc.

007 บล. ซีไอเอ็มบี (ประเทศไทย) จํากัด CIMB Securities (Thailand) Co., Ltd.

038 บล. ยูไนเต็ด จํากัด (มหาชน) United Securities Plc.

008 บล. เอเซีย พลัส จาํกัด (มหาชน) Asia Plus Securities Plc.

048 บล. ไอรา จาํกัด (มหาชน) AIRA Securities Plc.

010 บล. เมอรริล ลินซ (ประเทศไทย) จํากัด Merrill Lynch Securities (Thailand) Ltd.

200 บล. เมยแบงก กิมเอ็ง (ประเทศไทย) จํากัด (มหาชน) Maybank Kim Eng Securities (Thailand) Plc.

011 บล. กสิกรไทย จํากัด (มหาชน) Kasikorn Securities Plc.

211 บล. ยูบีเอส (ประเทศไทย) จํากัด UBS Securities (THAILAND) LTD.

013 บล. เคจไีอ (ประเทศไทย) จํากัด (มหาชน) KGI Securities (Thailand) Plc.

224 บล. บัวหลวง จํากัด (มหาชน) Bualuang Securities Plc.

014 บล. โนมูระ พัฒนสิน จํากัด (มหาชน) Capital Nomura Securities Plc.

225 บล. ซี แอล เอส เอ (ประเทศไทย) จํากัด CLSA Securities (Thailand) Ltd.

015 บล. สินเอเซีย จํากัด Asia Credit Securities Co., Ltd.

229 บล. เจ.พ.ี มอรแกน (ประเทศไทย) จํากัด JP Morgan Securities (Thailand) Ltd.

016 บล. ธนชาต จํากัด (มหาชน) Thanachart Securities Plc.

230 บล. โกลเบล็ก จํากัด Globlex Securities Co., Ltd.

019 บล. เกียรตินาคิน จํากัด Kiatnakin Securities Co., Ltd.

244 บล. แมคควอรี่ (ประเทศไทย) จํากัด Macquarie Securities (Thailand) Ltd.

022 บล. ทรีนีตี้ จํากัด Trinity Securities Co., Ltd.

247 บล. เครดิต สวิส (ประเทศไทย) จํากัด Credit Suisse Securities (Thailand) Ltd.

023 บล. ไทยพาณิชย จาํกัด SCB Securities Co., Ltd.

248 บล. เคที ซีมิโก จํากัด KT ZMICO Securities Co., Ltd.

026 บล. ยูโอบี เคยเฮียน (ประเทศไทย) จํากัด (มหาชน) UOB Kay Hian Securities (Thailand) Plc.

924 บล. ฟนันเซีย ไซรัส จํากัด (มหาชน) Finansia Syrus Securities Plc.

SUB BROKER

236 ธนาคาร ทิสโก จํากัด (มหาชน) Tisco Bank Plc.

243 บล. เพ่ือธุรกิจหลักทรัพย จํากัด (มหาชน) TSFC Securities Plc.

242 บล. ซิตี้คอรป (ประเทศไทย) จํากัด Citicorp Securities (Thailand) Ltd.

245 ธนาคารธนชาต จํากัด (มหาชน) Thanachart Bank Plc.

CUSTODIAN

301 ธนาคารซิตี้แบงก เอ็น.เอ (CUSTODY SERVICES Citibank, N.A.-

328 ธนาคารกรงุศรีอยุธยา จํากัด (มหาชน) Bank of Ayudhya Plc.

302 ธนาคารไทยพาณิชย จํากัด (มหาชน) The Siam Commercial Bank Plc.

329 ธนาคารทหารไทย จํากัด (มหาชน) TMB Bank Plc.

303 ธนาคารกรงุเทพ จํากัด (มหาชน)-ผูรับฝากทรัพยสิน Bangkok Bank Plc.- Custody

330 ธนาคารฮองกงและเซี่ยงไฮแบงก้ิงคอรปอเรช่ัน (เพื่อตราสารหนี้) The Hongkong and Shanghai Banking Corp. Ltd. (Bond Trading)

304 ธนาคารฮองกงและเซี่ยงไฮ แบงก้ิง คอรปอเรช่ัน จํากัด The Hongkong and Shanghai Banking Corp. Ltd. BKK.

334 บล. เพื่อธรุกิจหลักทรัพย จํากัด (คัสโตเดี้ยน) TFSC Securities Limited-Custodian

305 ธนาคารกรงุไทย จํากัด (มหาชน) The Krung Thai Bank Plc.

336 ธนาคาร เกียรตินาคิน จํากัด (มหาชน) Kiatnakin Bank Plc.

308 ธนาคารกสิกรไทย จํากัด (มหาชน)-เพื่อรับฝากทรัพยสิน Kasikorn Bank Plc.- Custodian

337 ธนาคาร ทหารไทย จํากัด (มหาชน) TMB Bank Plc.

311 ธนาคารเครดิต อะกรกิอล คอรปอเรทแอนดอินเวสเมนทแบงก Credit Agricole Corporate and Investment Bank

339 ธนาคาร ทิสโก จํากัด (มหาชน) (เพื่อรบัฝากทรัพยสิน) Tisco Bank Plc. (Custodian)

312 ธนาคารสแตนดารดชารเตอร (ไทย) จํากัด (มหาชน) Standard Chartered Bank (Thai) Bank Plc.

340 ธนาคาร เจพีมอรแกน เชส JP Morgan Chase Bank

316 ธนาคาร ไอซีบีซี (ไทย) จํากัด (มหาชน) Industrial and Commercial Bank of Chaina (Thai) Plc.

343 ธนาคาร ซีไอเอ็มบี ไทย จํากัด (มหาชน) CIMB Thai Bank Plc.

320 ธนาคารดอยซแบงก เอจี สาขากรุงเทพฯ-เพื่อรับฝากทรัพยสนิ Deutsche Bank AG. Bangkok Branch

344 บล. ฟลลิป (ประเทศไทย) จํากัด (มหาชน)-เพื่อรับฝากทรัพยสิน PST For custodian

324 ธนาคารยูโอบี จํากัด (มหาชน) United Overseas Bank (Thai) Plc

345 ธนาคาร ธนชาต จํากัด (มหาชน)-เพื่อรบัฝากทรัพยสิน Thanachart Bank Plc.-Custodian

326 ธนาคารเดอะรอยัลแบงกออฟสกอตแลนด เอ็น.วี.สาขากรุงเทพฯ The Royal Bank of Scotland N.V. bangkok Branch

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