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    For transaction falling under Regulation 3(1)(i) - Transfer of shares of Target company from State Level Financial Institutions (SLFIs) or its subsidiaries to Co-promoters of the Target company

    2.5 FOR TRANSACTIONS FALLING UNDER REGULATION 3(1)(i) � ACQUISITION OF SHARES FROM STATE LEVEL FINANCIAL INSTITUTIONS (SLFIS) OR ITS SUBSIDIARIES BY CO-PROMOTERS OF THE TARGET COMPANY/ THEIR SUCCESSORS/ ASSIGNEE(S)/ AN ACQUIRER WHO HAS SUBSTITUTED AN ERSTWHILE PROMOTER.

    PART - I

    GENERAL DETAILS

    Sr. No.

    Item

     

    I

    Date of report

     

    II

    Name, address, Tel , fax nos and e-mail of Sender

     

    III

    Whether sender is acquirer

    If No, whether the sender is duly authorised by acquirer to act on his behalf in this regard (enclose copy of such authorisation)

    Yes/No.

    IV

    Compliance of Reg 3(4) & 3(5)

    1. Whether report has been submitted to SEBI within 21 days from the date of acquisition � Reg 3(4)
    2. Whether the report stated at (i) is accompanied with fees as required u/r 3(5)
     

     

     

    Target company Details

    Sr.No

    Item

     

    I

    1. Name & address of Target Company (TC)
    2. Tel and fax nos
    3. Contact person
    4. Yearwise profit/loss of the T.C for the last 3 completed financial years.
    5. Nature of business and product of TC






    II

    Name of Stock Exchange(s) where shares of TC are listed

     

    III

    Opening & Closing price of shares of TC as on date of acquisition (indicate the name of stock exchange)

    In case , no quotation was available on that particular date, give the last quoted price available alongwith date.

     

    IV

    Total Paid up capital of TC in terms of Number of shares/ voting rights (**)�

    1. Before acquisition of shares/voting rights under consideration (No. and %)
    2. After Acquisition of shares/voting rights under consideration (No. and %)
     
         

     

    V

    A)

     

     

     

    B)

     

     

     

     

    Shareholding pattern of the TC (**)

    In case the acquirer is a promoter

    PROMOTERS HOLDING

    Acquirers

    Sellers (in case of interse)

    Others

    (A) Total

    NON-PROMOTERS HOLDING

    Public

    Financial Institutions

    (B) Total

    TOTAL (A+B)

    In case acquirer is a non-promoter

    Promoters

    Acquirer

    Public

    Financial Institutions

    TOTAL

    Before acquisition

    (one day prior to the date of acquisition)

    After acquisition

    One day after the date of acquisition

    No

    %

    No

    %

    ** In case, there are any outstanding Convertible Instruments (CIs) besides the one which are proposed to be allotted, they shall also be taken in to account for determining the post acquisition capital and the same shall be indicated separately.

    Acquirer�s holding should also take in to account any outstanding CIs, in their name.

    Acquirer�s Details

    Unless otherwise stated Acquirer along with Persons acting in concert with him would be taken as "Acquirer" herein after.

    Sr.No.

    Item

    Comments, if any.

    I

    1. Name, address, telephone, fax no., e-mail of Acquirer(s) {Regarding Persons acting in concert with the main acquirer, give only names of PAC}

    2. Identify the main acquirer and he must be authorized by other PAC to file a report with SEBI.

      Any further correspondence by SEBI regarding the acquisition will be done with the main Acquirer

       

       

    3. State whether the acquirer is
    1. An individual or a company
    2. Indian or foreign origin
    3. Promoter of TC

    (Enclose copies of the letter authorising the main acquirer to file the report.)

    II

    In case, the acquirer is company ,

    1. Identify its promoters or persons having control over the said company and the group they belong to.
    2. Paid up capital of the acquirer company
    3. Mention the status of the acquirer whether a listed or a unlisted company
    4. If listed, indicate the stock exchanges where the acquirer company is listed
    5. Name of contact person
     

    III

    Details of the secuirty acquired.

    1. Type of security acquired (State whether equity shares/ PCD/ NCD/ FCD/ warrants /CCPSetc)
    2. Features of the security allotted in terms of price, exchange rate, conversion period, and exchange ratio.

     

     

     

     

     

     

     

    IV

    A) Share holding of acquirer in target company ( in terms of no & % of shares of Target company)

    1. Before the acquisition under consideration(one day prior)
    2. After the acquisition under consideration (one day after)
    3. One year prior to the date of acquisition

    1. Indicate the total no of shares acquired by you in the TC within a period of 12 months from the date of acquisition including the current acquisition.

    Before acquisition

    (one day prior to the date of acquisition)

    After acquisition

    one day after the date of acquisition

    No

     

     

     

     

     

    %

    No

    %

     

     

     


     

    V

    Mention the regulation (10, 11(1), 11(2) or 12) which would have been triggered off, had the report not been filed under Regulation 3(4). Explain by giving pre and post acquisition holding of shares/ voting rights/ control over the target company or by giving the % shares/ voting rights acquired.

     

    VI

    Indicate whether the acquirer had earlier filed any report/ documents to SEBI regarding any acquisition in the TC (Yes/ No)

    If yes, give the following information

    1. Type of document filed ( report u/r 3(4) or offer document/ application u/r 4
    2. Date when filed
    3. No and % of shares proposed to be acquired
    4. No and % of shares actually acquired
    5. Type of acquisition (Preferential/ inter-se/ public/ rights etc.)
     

     

     

    Part - II

    Sr. No.

    Item

     

    I

    Date of Transfer

     

    II

    Acquisition price per share

     

    III

    1. Name of the Transferor (s)
    2. Confirm whether it is a State Level Financial Institution or its subsidiary.
     

    IV

    If the transfer is pursuant to an agreement, mention

    1. date of the agreement
    2. Relevant contents of the agreement.

     

     

    Reproduce the relevant portion from the agreement.

    V

    Whether acquirer is promoter or co-promoter as per definition given in Reg 2(1)(h) of the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 1997. If so, Cite the relevant sub clause.

    OR

    Whether he is a successor(s)/ assignee(s) of the promoters or is an acquirer who has substituted an erstwhile promoter. Please specify.

     

    VI

    1. Whether information about the proposed acquisition was given by the acquirer to all SEs where the shares of Target company are listed atleast 4 working days in advance of the proposed acquisition - Reg.3(3)
    2. Date when it was submitted to SEs.

    Yes/No.

    Other requirements

    1. A statement from Acquirer that details given in the report are true and correct.
    2. The report shall be signed by the acquirer mentioning date & place. In case, there are more than one acquirer, the report shall be signed either by all the persons or by a person duly authorised to do so.
    3. A copy of the relevant portion of Agreement duly highlighted.
    4. Documentary evidence in compliance with Regulation 3(3).
     


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