Professional Documents
Culture Documents
Issue Details
Book Building/ Fixed Price
Instrument
For Fixed Price Issues: Face Value Premium
No.of Shares Offered through FPO
Issue Amount( Rs.million) (for bookbuilt issues,tick the appropriate box below)
<500 500-999 1000 –2499 2500-4999 5000–9999
10000-24999 >25000
Presently Listed at
Listing Proposed at
Designated Stock Exchange
If Rated, Details of Ratings
Key Intermediaries
Lead Managers
Appraised By
Monitoring Agency
Registrars
Issue Objects
Objects of the Issue
Details Of Project Cost
Means Of Financing
Proposed Utilisation of Issue Funds pending Deployment)
Promoters
Promoter’s Background
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Company’s Business
Brief History of the Company
Present Business
Proposed Business
Market
Colloborations/Tie–Ups, if any
Board of Directors
Name Father’s/ Designation in Age, Residence Other
Spouse’s Board Nationality, Address Directorships
Name (Indicate Occupation
Independent
Directors
specifically)
Shareholding Pattern
I .Controlling/Strategic/In-Concert Pre-Issue Likely Post Issue
Holdings
No. of Shares % No. of Shares %
BASED IN INDIA
Indian Individuals & their Relatives/HUFs
Indian Corporate Bodies/ Trusts/ Partnerships
Persons Acting in Concert
Non-promoter Directors and their Relatives
(other than those covered above)
Employee Welfare Trusts/ESOPs
Banks/Financial Institutions
Central/ State Governments/Institutions
Venture Funds/ Private Equity Funds
Others (Please specify
here______________________)
Sub Total
BASED OVERSEAS
Foreign Individuals/Corporate Bodies (including
FDI)
Foreign Banks/Financial Institutions
Non Resident Indians/Corporate Bodies
Others (Please specify
here______________________)
Sub Total
Total I
II. Free Float/Public Holdings
BASED IN INDIA
Indian Individuals/HUFs
Indian Corporate Bodies/Trusts/Partnerships
Present Employees
Banks/Financial Institutions
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Central/State Governments/Institutions
Insurance Companies
Mutual Funds
Venture Funds/ Private Equity Funds
Others (Please specify
here______________________)
Sub Total
BASED OVERSEAS
Foreign Individuals/Corporate Bodies
Foreign Institutional Investors
Non Resident Indians/Corporate Bodies
Others (Please specify
here______________________)
Sub Total
Total II
Grand Total (I & II)
Performance Ratios
Earnings per Share (Rs)
Return on Networth (%)
Book Value per Share(Rs)
D. Networth
E. Segment Revenues
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As on the immediate period preceding the filing of the offer document (specify as on date
here _______)
Name Address Relationship with Amount ,% of Period
Company/ Promoters/ (Rs. Total Outstanding
Directors million)
Capital Issues made by the Company and Group Companies in last 5 Years
(From the date of filing of the Offer Document)
Name of Company Issue Type Issue Date Amount Raised
(e.g.public/rights etc.) (Rs. million)
Risk Factors
Company–Specific Risk Factors (do not reproduce from the prospectus all risk factors here; list
only key company-specific risk factors)
Other Issues
Salient Features Of Outstanding & Proposed Secured & Unsecured Loans
Government Regulations of Concern
Details of any other Shareholders’ Agreements and Restrictive Clauses if any
Ownership of Copyright/Trade Marks/Brands
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Other Group Companies -Listed
(required for each company separately)
Name of Company Year Of Nature of Turnover PBT Dividend Listed
Incorpor Activity (Rs. (Rs. % at
ation million) million) Year----
Year---- Year----
Stock Price
( at a major exchange where the company is presently listed)
Name of Stock Exchange:
Date Closing Price Month’s Volume
Price at the time of filing the Offer -
Document
Price 1 month ago
Price 3 months ago
Price 6 months ago
Price 12 months ago
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Disciplinary Actions/Litigation/Defaults (include the following, whether in India or
abroad)
• litigations /disputes;
• non-payment of statutory dues, overdues to banks/ financial institutions/ lenders, defaults
against banks/ financial institutions/ lenders, defaults in dues payable to holders of
debentures/ bonds/ fixed deposits/ preference shares(including willful default);
• defaults in compliance with statutory and listing regulations;
• non-payment of statutory dues;
• economic offences;
• cases of suspension/delisting or other disciplinary action taken by stock exchanges;
• cases of actions by Securities and Exchange Board of India(SEBI) , Department of
Company Affairs (DCA) and other government organisations/bodies like Reserve Bank of
India(RBI);
• cases relating to income tax and indirect taxes;
• other civil prosecutions (e.g. by suppliers, customers, employees etc);
• issues of moral turpitude or criminal culpability;
• winding up/ under liquidation/ sick company/ names strike off from Registrar of
Companies(ROC);
• cases of investor grievances;
• any other cases where penalties were imposed.
The entities for which these disclosures should be made should cover:
• issuer company
• directors
• promoters
• persons acting in concert
• companies and firms promoted by the promoters
• companies in which promoters were associated in the past as a promoter but are no longer
associated
• subsidiaries and associates of the issuer company
• any other entity where outcome of a case could have a materially adverse effect on the
issuer company
• key managerial personnel of the issuer company
With regard to the items, the disclosures, wherever applicable, should cover brief description of
the case, amounts involved, present status and likely adverse effect on the issuer company
For brevity purposes, the grouping may be done for some types of negative information, which
are large by number but small by amount even in the aggregate (like litigations by employees).
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SHAREHOLDING DISCLOSURE FORMS
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To elaborate, “Controlling Interest/ Strategic Holding/In-concert Holding” refers to
entities who are in control of the company, directly or indirectly, whether as a
shareholder , director or otherwise” and includes all such holdings that would be covered
in the categories listed above (and control is defined as “right to appoint /
reapoint/remove any director on the Board of Directors or to control the management or
policy decisions exercisable by a person or persons acting individually or in concert,
directly or indirectly, including by virtue of their shareholding or management rights or
shareholders agreements or voting agreements or in any other manner and including
persons who are instrumental in the formulation or implementation of a plan or
programme or who are guarantors to the borrowings of the company or who can
influence the investment and/or borrowing powers of the company”) or person or persons
named as promoters in any offer document filed with SEBI, stock exchange, ROC or any
other body for the offer of securities to the public or existing shareholders and who
continue to be presently associated with the controlling entity.
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SHAREHOLDING PATTERN SUMMARY
CATEGORY CODES & DESCRIPTION
FORM A
I: CONTROLLING/STRATEGIC/IN-CONCERT HOLDINGS
IA BASED IN INDIA
IA1 Indian Individuals/ & their All Indian individuals and their relatives/ HUFs who
Relatives/HUFs promoted/ founded the company and/ or who
acquired the company or its shares subsequently
and/ or are in ‘control’ of the company and/ or are
presently associated with the persons holding the
controlling stake . All shares presently under lock-
in should also be included. (The term Relatives is
defined in the Companies Act.) Indian Relatives of
NRIs listed under 1B3 should also be included here.
IA2 Indian Corporate Bodies/ Trusts/ All Indian corporate bodies/ trusts/ partnership or
Partnerships any other type of entity which promoted/ founded
the company and/ or who acquired the company or
its shares subsequently and/or are in ‘control’ of
the company and/or are presently associated with
the persons holding controlling stake. All shares
presently under lock-in should also be included.
IA3 Persons Acting in Concert All individuals/HUFs and their relatives and
corporate bodies/trusts/partnerships/ organizations/
suppliers/ customers/ dealers who are presently in
concert with the “Controlling” body or were in
concert at the time of acquiring shares of the
company and/or are likely to presently vote along
with the “Controlling” body on matters affectiing the
controlling body (This also includes all PACs so
named in an acquisition, if any, made under SEBI’s
Takeover Regulations who are likely to vote along
with the “Controlling” body).
IA4 Other Directors and their Relatives Directors (and their relatives)other than those
(other than those covered in IA1, IA3 covered under IAI, IA3 and IIA3 who are associated
and IIA3) with persons holding the controlling stake. (The
term Relatives is defined in the Companies Act.)
IA5 Employee Welfare Trusts/ESOPs Employees Welfare Trusts holding shares as also
shares allotted to employees under ESOP which are
presently under lock-in.
IA6 Banks/Financial Institutions Banks (scheduled, co-operative, rural, private,
foreign etc.) and financial institutions, with a
controlling interest.
IA7 Central/ State Governments Central Government or any State Government, with
a controlling interest.
IA8 Central/ State Government Institutions Any organization/ undertaking/ enterprise/
institution which is controlled by the Central
Government or any State Government, with a
controlling interest.
IA9 Venture Funds/ Private Equity Funds Venture funds/ private equity funds, irrespective of
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registration with SEBI, with a controlling interest.
IB BASED OVERSEAS
IB1 Foreign Individuals (including FDI) All foreign individuals who hold shares with a
controlling interest, including all FDIs.
IB2 Foreign Corporate Bodies (including All foreign corporate bodies (other than IB3) who
FDI) other than IB3 hold shares with a controlling interest, including all
FDIs and also such FII holdings where the parent is
related to the FDI.
IB3 Foreign Banks/Financial Institutions All foreign banks/financial institutions who hold
shares with a controlling interest, including all FDIs.
IB4 Non Resident Indians (Individuals) All NRIs (individuals) who promoted/founded the
company and/or who acquired the company or its
shares subsequently and/or are in control of the
company and/ or are presently associated with the
persons holding controlling stake. All shares
presently under lock-in should also be included.
IB5 Non Resident Indian Corporate Bodies All NRI-owned corporate bodies who hold shares
with a controlling interest.
ID1 ANY OTHER LOCKED-IN SHARES All shares which have a lock-in should be covered in
category IA to ID above. If such shares cannot be
classified in any of the above category, then these
should be listed here.
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IIA8 Insurance Companies IRDA-approved insurance companies holding shares
as a portfolio investment.
IIA9 Mutual Funds SEBI-registered mutual funds holding shares
IIA10 Venture Funds/ Private Equity Funds Venture funds/ private equity funds, irrespective of
registration with SEBI, holding shares as a portfolio
investment.
IIA11 Customers/ Dealers Customers/ Dealers of the Company, if identifiable,
holding shares as a portfolio investment.
IIA12 Suppliers Suppliers of the Company, if identifiable, holding
shares as a portfolio investment.
FORM B
CONTROLLING/STRATEGIC/IN-CONCERT HOLDERS (LIST ALL HOLDERS)
Every single shareholder, who is classified under Category I in Form A, should be individually listed here.
FORM C
FREE-FLOAT /PUBLIC HOLDERS (DISCLOSE HOLDINGS OF ONLY 1% & ABOVE)
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Only such shareholders who hold 1% and above shares and are not covered in Form B should be
individually listed here.
FORM D
FREE-FLOAT/PUBLIC HOLDERS (DISCLOSE ALL HOLDINGS OF LESS THAN 1%)
All shareholders who hold less than 1% each should be individually listed here.
FORM E
LOCKED-IN SHARES
Every single shareholder whose holding is under a lock-in should be individually listed here.
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FORM A
SHAREHOLDING PATTERN SUMMARY
I CONTROLLING/STRATEGIC/IN-CONCERT HOLDINGS
IA BASED IN INDIA
IA1 Indian Individuals & their Relatives/HUFs
IA2 Indian Corporate Bodies/ Trusts/ Partnerships
IA3 Persons Acting in Concert
IA4 Other Directors and their Relatives (other than those covered in 1A1
and 1A3 and IIA3)
IA5 Employee Welfare Trusts/ESOPs
IA6 Banks/Financial Institutions
IA7 Central/ State Governments
IA8 Central/ State Government Institutions
IA9 Venture Funds/ Private Equity Funds
Sub Total IA
IB BASED OVERSEAS
IB1 Foreign Individuals (including FDI)
IB2 Foreign Corporate Bodies (including FDI) other than covered in IB3
IB3 Foreign Banks/Financial Institutions
IB4 Non Resident Indians (Individuals)
IB5 Non Resident Indian Corporate Bodies
Sub Total IB
Sub Total I
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IIA4 Present Employees
IIA5 Banks/Financial Institutions
IIA6 Central/State Governments
IIA7 Central/ State Government Institutions
IIA8 Insurance Companies
IIA9 Mutual Funds
IIA10 Venture Funds/ Private Equity Funds
IIA11 Customers/ Dealers
IIA12 Suppliers
Sub Total IIA
Sub Total II
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FORM B
CONTROLLING/STRATEGIC/IN-CONCERT SHAREHOLDERS
INCLUDE EVERY SINGLE SHAREHOLDER
WHETHER BELOW OR ABOVE 1% HOLDING
(List Shareholders Categorywise)
TOTAL*
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FORM C
FREE-FLOAT/PUBLIC SHAREHOLDERS
DISCLOSE ALL SHAREHOLDERS WITH HOLDINGS OF
1% & ABOVE
(List Shareholders Categorywise)
Sl. Shareholder’s Name Name of Father/Spouse Address No.of Shares % of Category Relationship,
No. (in case of individuals) Held Shareholding Code if any, with
anyone in
Category
Code I
(Describe
relationship)
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FORM D
FREE-FLOAT/PUBLIC SHAREHOLDERS
DISCLOSE ALL SHAREHOLDERS
WITH HOLDINGS OF LESS THAN 1%
(List Shareholders Categorywise)
Sl. Shareholder’s Name Name of Father/Spouse Address No.of Shares % of Category Relationship, if
No. (in case of individuals) Held Shareholding Code any, with
anyone in
Category Code
I
(Describe
relationship)
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FORM E
LOCKED-IN SHARES
Sl. Shareholder‘s Name No.of Shares % of Category Code Relationship, if any, with
No. Held Shareholding anyone in Category Code I
(Describe relationship)
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