Schedule - IV - Omitted - Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992

2 [****] ************* NOTES:- 1. Substituted by the Securities and Exchange Board of India(Issue of Capital and Disclosure Requirements) Regulations, 2009 (SCHEDULE XX) , w.e.f., 26-08-2009. 2. Omitted vide Notification No. F.No. LAD-NRO/GN/2011-12/40/7335 dated 29-03-2012 before it was read as 1 [SECURITIES AND EXCHANGE BOARD OF INDIA (MERCHANT BANKERS) REGULATIONS, 1992 SCHEDULE IV [Regulation 28(2)] FORMAT FOR HALF YEARLY REPORT TO BE SUBMITTED BY MERCHANT BANKERS (For the period ending September / March, 20X1) (1) Name/Category of registration. (2) SEBI Registration No. (3) Name of the Compliance Officer. (4) Addition / deletion / change in address etc. of branch offices from last submitted report. (5) Change, if any, in constitution of the organisation (private limited, public limited, partnership, merges, acquisition etc.) (6) Change, if any, in directorship details since the last report. Name Induction/ retirement/resignation Reasons Effective Qualification Date Brief Experience (in case of induction) Share in the company (7) Change in the key management personnel since last report (since grant of registration in case of first report) Name Date of App./Resignation/ Termination Qualification Experience (8) Change including addition to/in associate concerns Name of Co./ firm Nature of change Activities Handled Nature of interest with Merchant Banker (9) New activities undertaken/discontinuation of any existing activities Activity When commenced/ discontinued Object of the new activities/ reasons for discontinuation. (10) Details of all pending litigations involving the merchant banker. (11) Issue management activities (Attach separate sheet if required): Name of issuer Type of issue Instrument Companies (public/rights/ composite) Offer Amount (Rs. In Lakhs) Issue Price/ Conversion Price Issue opening date Issue Closing date No. of times oversubscribed Functional Responsibility Stock Exchanges where instruments were to be listed Reasons for delay in listing First date of trading in respective SEs Opening trading price at respective SEs Current market price Remarks (12) Penalty/warnings given by SEBI, if any. (13) Underwriting activities (a) Total number of issues underwritten during the period. (b) Total amount underwritten during the period (Rs. In lakhs). (c) Outstanding underwriting commitment at the close of the period (Rs. in lakhs). (d) Details of disputed/devolved cases Sr.No. Name of the issuer Instrument Amount under-written (Rs. in lakhs) Amount devolved (Rs. in lakhs) Devolvement met yes/no If not met, the reasons thereof how dispute was settled Penalty/ warning if any issued by SEBI (14) Redressal of Investor Grievances (a) System of redressal of investor grievances (a brief write up). (i) Number of investor grievances received during the period. (ii) Nature of grievances. (iii) Number of grievances resolved. (iv) Number of grievances pending. (v) The date of oldest grievance. (15) Financial information Capital Structure Year ended (Rs in lakhs) Previous Year ended (Rs. In lakhs) (i) Paid-up capital (ii) Free reserves (iii) Secured loan (iv) Unsecured loan (v) Others TOTAL (i) Fixed Assets (net block) (ii) Quoted investment at cost/ market price whichever is lower (iii) Unquoted investment (iv) Current assets (v) Misc. exp. not written off (vi) Others TOTAL (Please enclose the copy of latest audited financial results along with schedules) (16) Changes, if any in major share holding (more than 5%) Name of the total shareholder Investment/ disinvestment Percentage of paid-up capital (17) Name of the major shareholders holding more than 5%. (18) Any capital issue (rights or public) during the period. If yes, details thereof inclusive of status of complaints from investors and their redressal. (19) Indictment or involvement in any economic offence by the merchant banker or their directors or principle officer, if any, during the period. PLACE: DATE: AUTHORISED SIGNATORY ]