Securities and Exchange Commission Thailand

Default

Criminal Fining
Complaint

Cases Settled by the Settlement Committee

No.
Meeting Date
Meeting No.
Order No.
Name of Offender
Section
Relevant Law
Summarized Facts
Press Release
Amount of Fines (Baht)
Remarks

1

15/11/2017 

10/2017 

95/2017 

Mr. Chan Thienkanjanawong 

246 

SEC Act 

Mr. Chan Thienkanjanawong (?Mr. Chan?) inaccurately reported to the SEC Office the acquisition of Big Camera Corporation Public Company Limited (?BIG?) on June 9, 2014. On June 10, 2017, he reported his acquisition of BIG shares of 241,164,000 shares which equaled to 27.34 percent of the total number of voting rights of BIG and reported the aggregate holding of his shares, his spouse?s and concert party?s shares in the combined amount of 547,969,500 shares which equaled to 62.11 percent of the total number of voting rights of BIG. But Mr. Chan did not report other shares held by his nominee in the amount of 73,106,100 shares which equaled to 8.29 percent of the total number of voting rights of BIG causing his aggregate holding of BIG shares to reach or pass a multiple of five percent of the total number of voting rights of the BIG. Later, on September 15, 2017, Mr. Chan filed the report of the acquisition of BIG shares held by his nominee to the SEC Office. Moreover, Mr. Chan failed to report the disposal of BIG shares on March 8, 2016, within the period specified in the notification of the Capital Market Supervisory Board which is in the amount of 49,724,400 shares which equaled to 1.41 percent of the total number of voting rights of BIG causing the total amount of shares held by him, his spouse and concert party to decrease from 2,497,678,500 shares which equaled to 70.80 percent of the total number of voting rights of BIG to 2,447,954,100 shares which equaled to 69.37 percent of the total number of voting rights of BIG. He later filed the reports to the SEC Office on September 15, 2017. 

 

146,750.00  

 

2

15/11/2017 

10/2017 

82/2017 

Miss Asavinee Srisomburananont 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

Miss Asavinee Srisomburananont, a supervisor appointed by The Siam Commercial Bank Public Company Limited to act as the preparer of the offer document of Jasmine International Public Company Limited (?JAS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. 

 

108,000.00  

 

3

15/11/2017 

10/2017 

82/2017 

Miss Asavinee Srisomburananont 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

Miss Asavinee Srisomburananont, a supervisor appointed by The Siam Commercial Bank Public Company Limited to act as the preparer of the offer document of Jasmine Telecom Systems Public Company Limited (?JTS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. 

 

112,000.00  

 

4

18/10/2017 

9/2017 

81/2017 

The Siam Commercial Bank Public Company Limited 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine International Public Company Limited (?JAS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. 

 

108,000.00  

 

5

18/10/2017 

9/2017 

81/2017 

The Siam Commercial Bank Public Company Limited 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine Telecom Systems Public Company Limited (?JTS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. 

 

112,000.00  

 

6

18/10/2017 

9/2017 

80/2017 

Mr. Pete Bodharamik 

247 

SEC Act 

On September 19, 2016, Mr. Pete Bodharamik (?Mr. Pete?) acquired shares of Jasmine International Public Company Limited (?JAS?) in the amount of 29.42 percent of the total voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. 

 

168,000.00  

 

7

18/10/2017 

9/2017 

80/2017 

Mr. Pete Bodharamik 

247 

SEC Act 

On September 19, 2016, Mr. Pete Bodharamik (?Mr. Pete?) acquired shares of Jasmine International Public Company Limited (?JAS?) which caused his aggregated holdings of JAS shares to exceed trigger point at 50 percent of the total voting rights of JAS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. 

 

162,000.00  

 

8

18/10/2017 

9/2017 

77/2017 

SS National Logistic Company Limited 

247 

SEC Act 

On October 28, 2010, SS National Logistic Company Limited (SSNL) filed the inaccurate tender offer report (Form 247-4) of SSNL?s holding of Sermsuk Public Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL?s tender offer of SSC shares. 

 

1,596,000.00  

 

9

18/10/2017 

9/2017 

76/2017 

Esteemed Networks Group Ltd. 

246 

SEC Act 

Esteemed Networks Group Ltd. failed to report the acquisition of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired NOBLE shares between January 31, 2013 and May 3, 2013 

 

47,000.00  

 

10

18/10/2017 

9/2017 

75/2017 

Mr. Kris Narongdej 

246 

SEC Act 

Mr. Kris Narongdej failed to report the acquisition or disposal of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NOBLE shares between January 11, 2013 and September 4, 2014 so that the acquisition or disposal of such shares caused his aggregate holding of NOBLE shares held by himself, by juristic persons under section 258 and by Narongdej?s family to reach or pass a multiple of five percent of the total number of voting rights of the business. 

 

1,658,000.00  

 

11

18/10/2017 

9/2017 

75/2017 

Mr. Kris Narongdej 

247 

SEC Act 

Mr. Kris Narongdej failed to comply with rules specified by Securities and Exchange Commission on January 21, 2014, Mr. Kris Narongdej acquired shares of NOBLE shares held by himself and by juristic persons under section 258 resulting in his aggregate number of shares held by other persons exceeded trigger point at 25 percent of the total voting rights of NOBLE. Later, Mr. Kris Narongdej reduced his shareholding below such trigger point, he then was exempted from the requirement to make a tender offer.  

 

812,500.00  

 

12

18/01/2017 

1/2017 

9/2017 

Mrs. Wipa Stapornchaiyasit 

246 

SEC Act 

Mrs. Wipa Stapornchaiyasit failed to report to the SEC Office the disposal of Thai Industrial and Engineering Service Public Company Limited (?TIES?) (now known as ?T?) shares on October 13, 2014 which when combined with TIES shares held by her spouse and her minor child caused her aggregate holding of TIES shares reached or passed five percent of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. She later filed the accurate report (Form 246-2) to the SEC Office on October 31, 2016. 

 

84,600.00  

 

13

18/01/2017 

1/2017 

8/2017 

Mr. Suchai Stapornchaiyasit 

246 

SEC Act 

Mr. Suchai Stapornchaiyasit inaccurately reported or failed to report to the SEC Office the acquisition of Thai Industrial and Engineering Service Public Company Limited (?TIES?) (now known as ?T?) shares between 2010-2012 which when combined with TIES shares held by his spouse and his minor child caused his aggregate holding of TIES shares reached or passed five percent of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on October 31, 2016. 

 

255,400.00  

 

14

31/08/2016 

7/2016 

50/2016 

Mr. Panya Pitchdumrong 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

Mr. Panya Pitchdumrong, a supervisor appointed by AIRA Securities Public Company Limited to act as the preparer of the offer document of Agripure Holdings Public Company Limited (?APURE?), played a part in causing Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (collectively referred to as the offerors) to fail to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as the offerors did not deliver the offer document (?Form 247-4?) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. 

 

70,666.00  

 

15

31/08/2016 

7/2016 

49/2016 

AIRA Securities Public Company Limited 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

AIRA Securities Public Company Limited, a financial advisor appointed as the preparer of the offer document of Agripure Holdings Public Company Limited (?APURE?), played a part in causing Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (collectively referred to as the offerors) to fail to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as the offerors did not deliver the offer document (?Form 247-4?) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. 

 

70,666.00  

 

16

31/08/2016 

7/2016 

48/2016 

Summit Pinehurst Golf Club Co., Ltd. 

247 

SEC Act 

On November 13, 2015, Summit Pinehurst Golf Club Co., Ltd., Mr. Komol Jungrungreangkit and Mr. Suredpon Jungrungruangkit (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (?APURE?) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (?Form 247-4?) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. 

 

106,000.00  

 

17

31/08/2016 

7/2016 

47/2016 

Mr. Komol Jungrungreangkit 

247 

SEC Act 

On November 13, 2015, Mr. Komol Jungrungreangkit, Mr. Suredpon Jungrungruangkit and Summit Pinehurst Golf Club Co., Ltd. (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (?APURE?) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (?Form 247-4?) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. 

 

106,000.00  

 

18

31/08/2016 

7/2016 

46/2016 

Mr. Suredpon Jungrungruangkit 

247 

SEC Act 

On November 13, 2015, Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (?APURE?) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (?Form 247-4?) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. 

 

106,000.00  

 

19

24/07/2015 

6/2015 

54/2015 

Mr. Pattarapob Ittisanyakorn 

246 

SEC Act 

On February 10, 2015 and March 11, 2015, Mr. Pattarapob Ittisanyakorn acquired shares of K.C. Property Public Company Limited (KC) which caused his aggregated holding of KC shares to reach or pass a multiple of 5 percent of the total voting rights of KC. But he filed inaccurate reports (Form 246-2) of his holding of KC shares after such acquisition to the SEC Office within 3 business days as specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on May 22, 2015. 

 

228,500.00  

 

20

24/07/2015 

6/2015 

54/2015 

Mr. Pattarapob Ittisanyakorn 

247 

SEC Act 

On March 11, 2015, Mr. Pattarapob Ittisanyakorn acquired shares of K.C. Property Public Company Limited (KC) equal to 47.57 % of the total voting rights of KC. As a result, he aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of KC. But he failed to make a tender offer for all KC securities within the period specified by the Capital Market Supervisory Board. 

 

585,000.00  

Mr. Pattarapob Ittisanyakorn failed to comply with the order of the Settlement Committee, the SEC therefore filed a criminal complaint against him with the inquiry official. 

21

11/06/2015 

5/2015 

42/2015 

Mr. Uchai Vilailerstpoca 

246 

SEC Act 

On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to reach or pass a multiple of 5 percent of the total voting rights of OCEAN. But he failed to report his holding of OCEAN shares after such acquisition to the SEC Office within 3 business days as specified in the notification of the Capital Market Supervisory Board. He later filed the report (Form 246-2) to the SEC Office on January 7, 2015. 

 

95,400.00  

 

22

11/06/2015 

5/2015 

42/2015 

Mr. Uchai Vilailerstpoca 

247 

SEC Act 

On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to exceed trigger point at 50 percent of the total voting rights of OCEAN. But he failed to comply with the rules specified by the Securities and Exchange Commission concerning Tender Offer. Later on January 7, 2015, he reduced the holding of OCEAN shares less than trigger point. 

 

204,000.00  

 

23

11/06/2015 

5/2015 

41/2015 

Mr. Pramot Pasawongse 

246 

SEC Act 

On January 16, 2015, Mr. Pramot Pasawongse acquired shares of Thai Packaging & Printing Public Company Limited (TPP) which caused his aggregated holding of TPP shares to reach or pass a multiple of 5 percent of the total voting rights of TPP. But he failed to report his holding of TPP shares after such acquisition to the SEC Office within 3 business days as specified in the notification of the Capital Market Supervisory Board. He later filed the report (Form 246-2) to the SEC Office on February 27, 2015. 

 

97,200.00  

 

24

11/06/2015 

5/2015 

41/2015 

Mr. Pramot Pasawongse 

247 

SEC Act 

On January 16, 2015, Mr. Pramot Pasawongse acquired shares of Thai Packaging & Printing Public Company Limited (TPP) which caused his aggregated holding of TPP shares to exceed trigger point at 25 percent of the total voting rights of TPP. But he failed to comply with the rules specified by the Securities and Exchange Commission concerning Tender Offer. Later on March 6, 2015, he reduced the holding of TPP shares less than trigger point. 

 

219,000.00  

 

25

20/04/2015 

4/2015 

37/2015 

Mr. Sermkhun Kunawong 

246 

SEC Act 

Between August 15, 2012 and February 17, 2015, Mr. Sermkhun Kunawong failed to report to the SEC Office the acquisition or disposal of CMO Public Company Limited (CMO) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after such acquisition or disposal caused his aggregated holding of CMO shares reached or passed a multiple of five percent of the total number of voting rights of CMO. He later filed the report (Form 246-2) to the SEC Office on February 17, 2015. 

48/2015
 

626,700.00  

 

26

20/04/2015 

4/2015 

37/2015 

Mr. Sermkhun Kunawong 

247 

SEC Act 

Between August 15, 2012 and September 21, 2012, Mr. Sermkhun Kunawong failed to comply with rules specified by the Securities and Exchange Commission. In this regard, Mr. Sermkhun acquired shares of CMO Public Company Limited (CMO) resulting in the aggregated number of shares through nominee account exceeded trigger point at 50 percent of the total voting rights of CMO. Later on September 21, 2012, he reduced the holding of CMO shares less than trigger point. 

48/2015
 

207,000.00  

 

27

26/11/2014 

12/2014 

114/2014 

Mr. Suvit Pipatvilaikul 

246 

SEC Act 

Between June 20, 2011 and December 6, 2012, Mr. Suvit Pipatvilaikul failed to report to the SEC Office the acquisition or disposal of Solution Corner (1998) Public Company Limited (SLC) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after such acquisition or disposal caused his aggregate holding of SLC shares reached or passed a multiple of five percent of the total number of voting rights of SLC. He later filed the report (Form 246-2) to the SEC Office on June 20, 2014. 

 

167,800.00  

 

28

28/10/2014 

11/2014 

108/2014 

Mrs. Kanjana Suwannapasri 

246 

SEC Act 

Between October 17, 2008 and March 20, 2012, Mrs. Kanjana Suwannapasri failed to report to the SEC Office the acquisition or disposal of Union Petrochemical Pubic Company Limited (UKEM) shares held by her nominee within the period specified in the notification of the Capital Market Supervisory Board after such acquisition or disposal caused her aggregate holding of UKEM shares reached or passed a multiple of five percent of the total outstanding shares or the total number of voting rights of UKEM. She later filed the accurate report (Form 246-2) to the SEC Office on April 11, 2014. 

 

290,800.00  

 

29

18/06/2014 

7/2014 

62/2014 

Mr. Bee Taechaubol 

Section 247 and Section 251 paragraph 2 in conjunction with Section 90 of the Penal Code 

SEC Act 

Mr. Bee Taechaubol making the tender offer of securities of Electronics Industry Public Company Limited (EIC) purchased 1,017,500 shares of EIC in the Stock Exchange of Thailand at Bath 3.50 per share which was higher than tender offer price Baht 1.25 per share. Therefor, the tender offer price given to all holders of securities of the same class and issue was not in the same form. In addition the purchase of EIC shares in the Stock Exchange of Thailand during effective tender offer was a purchased by means other than specified in the tender offer. 

 

256,500.00  

 

30

20/06/2013 

4/2013 

36/2013 

Mr. Ongart Thumrongsakunvong 

246 

SEC Act 

Mr. Ongart Thumrongsakunvong failed to make a timely report of the acquisition or disposal of shares of Interhides Public Company Limited (IHL). Between August 28, 2006 and October 21, 2010, he acquired or disposed IHL shares by himself and through others, causing his aggregate shareholding in IHL to reach or pass a multiple of 5 percent of the total number of securities sold or the total number of voting rights of IHL nine times, but he failed to report the acquisition or disposal of such IHL shares to the SEC Office within a period specified in the notification of Securities and Exchange Commission or the notification of the Capital Market Supervisory Board. Later he submitted such reports (Form 246-2) to the Sec Office on February 24, 2011, June 9, 2011 and July 14, 2011, respectively. 

 

420,500.00  

 

31

20/06/2013 

4/2013 

36/2013 

Mr. Ongart Thumrongsakunvong 

247 

SEC Act 

Mr. Ongart Thumrongsakunvong failed to make a timely tender offer for the purchase of all securities of Interhides Public Company Limited (IHL). On September 29, 2006, he acquired IHL shares through others, causing his aggregate shareholding of IHL to exceed trigger point at 25 percent of the total number of IHL securities sold, but he failed to make the tender offer for the purchase of all IHL securities according to the rules, conditions and procedures specified in the notification of the Securities and Exchange Commission. Later he submitted the statement of intention to make a tender offer (Form 247-3) and the offer document (Form 247-4) to the SEC Office on April 2 and 16, 2010, respectively. 

 

3,480,000.00  

 

32

24/04/2013 

3/2013 

26/2013 

Mr. Virat Udomsinwatthana 

246 

SEC Act 

Mr. Virat Udomsinwatthana failed to report the acquisition or disposal of TRAF shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed TRAF between April 3, 2007 and August 7, 2008 which caused his aggregate holding of TRAF shares held by other persons to reach or pass a multiple of five percent of the total number of voting rights of the business. 

 

716,400.00  

 

33

24/04/2013 

3/2013 

26/2013 

Mr. Virat Udomsinwatthana 

247 

SEC Act 

On June 13, 2007, Mr. Virat Udomsinwatthana failed to comply with rules specified by Securities and Exchange Commission. In this regard, Mr. Virat Udomsinwatthana acquired shares of TRAF through other persons resulting in his aggregate number of shares held by other persons exceeded trigger point at 25 percent of the total voting rights of TRAF. 

 

514,500.00  

 

34

24/04/2013 

3/2013 

25/2013 

Mr. Phonlasit Phumiwasana 

246 

SEC Act 

Between October 6, 2009 and November 5, 2009, Mr. Phonlasit Phumiwasana, who acted together or was acting in concert with Mr. Derake Vongchinsri, Mr. Thanapan Vongchinsri, and Ms. Tanaporn Piyavechvirat by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of Solution Corner (1998) Public Company Limited (SLC) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he and his concert parties jointly acquired 47.30% of SLC shares on September 30, 2009 which reached or passed a multiple of five percent of the total voting rights of SLC. The reports (Form 246-2) were later filed on November 5, 2009. 

 

156,000.00  

 

35

24/04/2013 

3/2013 

25/2013 

Mr. Phonlasit Phumiwasana 

247 

SEC Act 

Between October 2, 2009 and December 30, 2009, Mr. Phonlasit Phumiwasana acted together or was acting in concert with Mr. Derake Vongchinsri, Mr. Thanapan Vongchinsri, and Ms. Tanaporn Piyavechvirat in acquiring Solution Corner (1998) Public Company Limited (SLC) shares on September 30, 2009 equal to 47.30 % of the total voting rights of SLC. As a result, their aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of SLC, but they failed to jointly submit a statement of intention to make a tender offer and to make a tender offer for all SLC securities within the period specified by the Capital Market Supervisory Board. 

 

475,000.00  

 

36

24/04/2013 

3/2013 

24/2013 

Miss. Tanaporn Piyavechvirat 

247 

SEC Act 

Between October 2, 2009 and December 30, 2009, Ms. Tanaporn Piyavechvirat acted together or was acting in concert with Mr. Derake Vongchinsri, Mr. Thanapan Vongchinsri, and Mr. Phonlasit Phumiwasana in acquiring Solution Corner (1998) Public Company Limited (SLC) shares on September 30, 2009 equal to 47.30 % of the total voting rights of SLC. As a result, their aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of SLC, but they failed to jointly submit a statement of intention to make a tender offer and to make a tender offer for all SLC securities within the period specified by the Capital Market Supervisory Board. 

 

475,000.00  

 

37

24/04/2013 

3/2013 

24/2013 

Miss. Tanaporn Piyavechvirat 

246 

SEC Act 

Between October 6, 2009 and November 5, 2009, Ms. Tanaporn Piyavechvirat, who acted together or was acting in concert with Mr. Derake Vongchinsri, Mr. Thanapan Vongchinsri, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of Solution Corner (1998) Public Company Limited (SLC) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board Board after she and her concert parties jointly acquired 47.30% of SLC shares on September 30, 2009 which reached or passed a multiple of five percent of the total voting rights of SLC. The reports (Form 246-2) were later filed on November 5, 2009. 

 

156,000.00  

 

38

24/04/2013 

3/2013 

23/2013 

Mr. Thanapan Vongchinsri 

246 

SEC Act 

Between October 6, 2009 and November 5, 2009, Mr. Thanapan Vongchinsri, who acted together or was acting in concert with Mr. Derake Vongchinsri, Ms. Tanaporn Piyavechvirat, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of Solution Corner (1998) Public Company Limited (SLC) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Board after he and his concert parties jointly acquired 47.30% of SLC shares on September 30, 2009 which reached or passed a multiple of five percent of the total voting rights of SLC. The reports (Form 246-2) were later filed on November 5, 2009. 

 

156,000.00  

 

39

24/04/2013 

3/2013 

23/2013 

Mr. Thanapan Vongchinsri 

247 

SEC Act 

Between October 2, 2009 and December 30, 2009, Mr. Thanapan Vongchinsri acted together or was acting in concert with Mr. Derake Vongchinsri, Ms. Tanaporn Piyavechvirat, and Mr. Phonlasit Phumiwasana in acquiring Solution Corner (1998) Public Company Limited (SLC) shares on September 30, 2009 equal to 47.30 % of the total voting rights of SLC. As a result, their aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of SLC, but they failed to jointly submit a statement of intention to make a tender offer and to make a tender offer for all SLC securities within the period specified by the Capital Market Supervisory Board. 

 

475,000.00  

 

40

24/04/2013 

3/2013 

22/2013 

Mr. Derake Vongchinsri 

246 

SEC Act 

Between October 6, 2009 and November 5, 2009, Mr. Derake Vongchinsri, who acted together or was acting in concert with Mr. Thanapan Vongchinsri, Ms. Tanaporn Piyavechvirat, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of Solution Corner (1998) Public Company Limited (SLC) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he and his concert parties jointly acquired 47.30% of SLC shares on September 30, 2009 which reached or passed a multiple of five percent of the total voting rights of SLC. The reports (Form 246-2) were later filed on November 5, 2009. 

 

156,000.00  

 

41

24/04/2013 

3/2013 

22/2013 

Mr. Derake Vongchinsri 

247 

SEC Act 

Between October 2, 2009 and December 30, 2009, Mr. Derake Vongchinsri acted together or was acting in concert with Mr. Thanapan Vongchinsri, Ms. Tanaporn Piyavechvirat, and Mr. Phonlasit Phumiwasana in acquiring Solution Corner (1998) Public Company Limited (SLC) shares on September 30, 2009 equal to 47.30 % of the total voting rights of SLC. As a result, their aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of SLC, but they failed to jointly submit a statement of intention to make a tender offer and to make a tender offer for all SLC securities within the period specified by the Capital Market Supervisory Board. 

 

475,000.00  

 

42

27/02/2013 

1/2013 

15/2013 

Mrs. Suwannee Pairojkijja 

247 

SEC Act 

On June 10, 2010, Mrs. Suwannee Pairojkijja purchased 122 million shares of Thai Factory Development Public Company Limited (TFD) (17.39 percent of total voting rights of the business) resulting in the aggregate number of shares held by her, her concert party, and her concert party?s related persons under Section 258 exceeded trigger point at 50 percent of the total voting rights of TFD, but she failed to comply with Section 247 by not making a tender offer for all securities of TFD. Later on May 23, 2011, she reduced the holding of TFD shares to the number of shares less than trigger point (25 percent of the total voting rights of TFD). 

 

669,000.00  

 

43

27/02/2013 

1/2013 

14/2013 

Mr. Pattanapong Tanumathaya 

246 

SEC Act 

Mr. Pattanapong Tanumathaya failed to report the acquisition or disposal of ASCON shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed ASCON shares between December 22, 2005 and December 9, 2009 so that the acquisition or disposal of such shares caused his aggregate holding of ASCON shares held by six other persons to reach or pass a multiple of five percent of the total number of voting rights of the business. 

 

943,200.00  

 

44

27/02/2013 

1/2013 

14/2013 

Mr. Pattanapong Tanumathaya 

247 

SEC Act 

Between December 22, 2005 and July 20, 2007, Mr. Pattanapong Tanumathaya failed to comply with rules specified by Securities and Exchange Commission. In this regard, Mr. Pattanapong acquired shares of ASCON resulting in the aggregate number of shares held by him and six other persons exceeded trigger point at 25 percent of the total voting rights of ASCON. 

 

937,500.00  

 

45

21/04/2010 

3/2010 

25/2010 

Mr. Jak Chamikorn 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

Mr. Jak Chamikorn, Summit Grade Limited Partnership, and Mr. Sorayut Phettakul collusively acquired shares of the business exceeding twenty-five percent of the total number voting rights of such business on November 13, 2009. As a result, Summit Grade Limited Partnership failed to make a tender offer for the purchase of WIN shares within the period specified by the Capital Market Supervisory Board after On August 7, 2009, it reduced the holding of WIN shares to the number of shares less than twenty-five percent. 

 

504,668.77  

 

46

21/04/2010 

3/2010 

24/2010 

Mr. Sorayut Phettakul 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

Mr. Sorayut Phettakul, Summit Grade Limited Partnership, and Mr. Jak Chamikorn collusively acquired shares of the business exceeding twenty-five percent of the total number voting rights of such business on November 13, 2009. As a result, Summit Grade Limited Partnership failed to make a tender offer for the purchase of WIN shares within the period specified by the Capital Market Supervisory Board after On August 7, 2009, it reduced the holding of WIN shares to the number of shares less than twenty-five percent. 

 

504,668.77  

 

47

21/04/2010 

3/2010 

23/2010 

Summit Grade Limited Partnership 

246 

SEC Act 

Summit Grade Limited Partnership failed to report the acquisition and disposal of Wyncoast Industrial Park Public Company Limited (WIN) securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Summit Grade Limited Partnership acquired WIN shares on November 13, 2007 so that the number of such shares held by it increased to 162.50 million shares (by 33.14 %). Thus, the acquisition of the shares resulted in the aggregate holding of the shares to reach or pass a multiple of five percent of the total number of voting rights of the business. In addition, it disposed 38 million WIN shares (7.75 %) on August 7, 2009; as a result, the number of WIN shares held by it decreased from 32.50 % to 24.75 %. Therefore, the disposal of the shares caused the aggregate holding of the securities to reach or pass a multiple of five percent of the total number of voting rights of the business. The reports (Form 246-2) were later filed on August 20, 2009. 

 

467,700.00  

 

48

21/04/2010 

3/2010 

23/2010 

Summit Grade Limited Partnership 

247 

SEC Act 

Summit Grade Limited Partnership, Mr. Sorayut Phettakul, and Mr. Jak Chamikorn collusively acquired shares of the business exceeding twenty-five percent of the total number voting rights of such business on November 13, 2009. As a result, Summit Grade Limited Partnership failed to make a tender offer for the purchase of WIN shares within the period specified by the Capital Market Supervisory Board after On August 7, 2009, it reduced the holding of WIN shares to the number of shares less than twenty-five percent. 

 

757,000.00  

 

49

09/06/2009 

5/2009 

36/2009 

POL.COL. Vitaya Wongpaibool 

246 

SEC Act 

Between March 19, 2008 and March 26, 2009, POL.COL. Vitaya Wongpaibool, made disposals of shares of Changmai Ram Medical Business Public Company Limited, held by him, resulting in the holding of such shares, when compared to the total numbers of the outstanding shares, reaching multiples of 5%, and filed the report later than thespecified period. 

 

298,200.00  

 

50

13/01/2009 

1/2009 

3/2009 

Mr. Yongyuth Ngamkaiwan 

246 

SEC Act 

Between 21 April 2008 and 8 August 2008, Mr. Youngyuth Ngamkaiwan made disposals or acquisitions of shares of Thai Unique Coil Center Public Co,.Ltd. (TUCC) held by him, resulting in the holding of such shares, when compared to the total numbers of the outstanding shares, reaching multiples of 5%,without filing the proper reports to the SEC within the specified period. 

 

220,500.00  

 

51

13/01/2009 

1/2009 

3/2009 

Mr. Yongyuth Ngamkaiwan 

247 

SEC Act 

Between 7 may 2008 and 10 June 2008, Mr. Youngyuth Ngamkaiwan, indirectly acquired the shares of Thai Unique Coil Center Public Co,.Ltd., a company listed on the Stock Exchange of Thailand, under the chain principle rule, but failed to file an acquisition report as well as to make a general tender offer in a timely manner in compliance with the SEC?s rule. 

 

158,000.00  

 

52

10/06/2008 

4/2008 

23/2008 

Crossventure Holding Limited 

246 

SEC Act 

Between June 9, 2006 and February 26, 2008, Crossventure Holding Limited, made disposals or acquisitions of shares of Tanayong Public Co,.Ltd. (TYONG) held by it, resulting in the holding of such shares, when compared to the total numbers of the outstanding shares, reaching multiples of 5%,without filing the proper reports to the SEC within the specified period. 

 

887,100.00  

 

53

08/04/2008 

3/2008 

18/2008 

Mr. Pongphan Sampawakoop 

247 

SEC Act 

Mr. Pongphan Sampawakoop and Thaiseri Property Limited which was a related person under Section 258 of Mr. Pongphan (Because Mr. Pongphan was executive and director who was authorized to manage ThaiSeri Plc. acquired APEX Development Public Co.Ltd. (APX)'s shares on 14 August 2007 in the amount of 28.50% of all shares of the business. On 24 August 2007, Mr. Pongphan filed tender offer to purchase APX securities using Form 247-4. However, there appeared that the information provided by Mr. Pongphan was materially incomplete, for instance, the name of tender offerers were inconsistent - whether the tender offeror is Mr. Pongphan solely or including Thaiseri Plc., the disclosure of the source of capital for tender offering is unclear - whether or not such source of capital is sufficient if every shareholders agreed to make tender offer, the disclosure of information was unclear between tender offeror and APX or the director or whether or not major shareholders of APX entered into any agreement, etc. Later, on 6 September 2007, Mr. Pongphan corrected the information in Form 247-4 in order to provide complete information. 

 

138,000.00  

 

54

08/04/2008 

3/2008 

17/2008 

Live TV Co, Ltd. 

246 

SEC Act 

On March 27, 2007 Live TV Co,Ltd. acquired Bliss-tel Public Company Limited (BLISS) shares so that the number of such shares held by it increased to 16.85 million shares (by 5.35 %). Later, on March 28, 2007, Live TV Co,Ltd. sold 1.3 million of the shares resulted in the aggregate holding of the shares to reach or pass a multiple of five percent of the total number of voting rights of the business. As a result, the number of BLISS shares held by it decreased from 5.35 % to 4.94 %. Therefore, the disposal of the shares caused the aggregate holding of the securities to reach or pass a multiple of five percent of the total number of voting rights of the business. The reports (Form 246-2) were later filed on August 2, 2007. 

 

228,300.00  

 

55

08/01/2008 

1/2008 

1/2008 

Tropical Holding Co., Ltd. 

246 

SEC Act 

On 14 August 2007 Tropical Holding Co., Ltd. acquired 243.7 million shares of Apex Development Public Co., Ltd., (?APX?) a company listed on the Stock Exchange of Thailand, which equaled to 22.74% of total outstanding shares of APX. As a result, Tropical Holding Co., Ltd. had a duty under Section 246 of the SEA to file a report of its share acquisition under Form 246-2 to the SEC by the next business day after the acquisition date. Tropical Holding Co., Ltd. filed the report with the SEC late on 31 August 2007. 

 

84,600.00  

 

55 items


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