Schedule-01A - Forms Applicable To SM REITS - Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014

1 [ SCHEDULE IA FORMS APPLICABLE TO SM REITS FORM A Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014 Application for Grant of Certificate of Registration as Small and Medium (SM) Real Estate Investment Trust [See Regulation 26I (1)] Securities and Exchange Board of India SEBI Bhavan, Plot C4-A, G Block, Bandra Kurla Complex, Mumbai 400051 - India INSTRUCTIONS 1. This form is meant for use by the applicant for grant of certificate of registration as a SM REIT. 2. The applicant should complete this form, and submit it, along with all supporting documents to the Board. 3. This application form should be filled in accordance with these regulations. 4. The application shall be considered by the Board provided it is complete in all respects. 5. All answers must be legible and all the pages must be numbered with signature/ stamp on each page of the form. 6. Information which needs to be supplied in more detail may be given on separate sheets which should be attached to the application form and appropriately numbered. 7. The application must be signed and all signatures must be original. 8. The application must be accompanied by an application fee as specified in the Schedule IIA to these regulations. I. GENERAL INFORMATION (a) Name, address, telephone number(s), fax number(s), e-mail address of the SM REIT (b) Name, direct line number, mobile number and e-mail of the contact person(s) (c) Whether the trust / investment manager or their associates or trustee is/ are registered with the Board, the Reserve Bank of India or any other regulatory authority in any capacity along with the details of its registration (d) Details of infrastructure for conducting activities as a SM REIT II. DETAILS OF TRUST (a) Write-up on the activities of the trust (b) Whether the trust deed is registered under the provisions of the Registration Act, 1908 (c) Whether the trust deed has its main objective as undertaking activity of SM REIT and includes responsibilities of the trustee in accordance with these Regulations (Enclose relevant extract of the Registered Trust Deed) III. DETAILS OF TRUSTEE (a) Name, address of registered office, address for correspondence and principal place of business, telephone number(s), fax number(s), e-mail address of the Trustee (b) Name, direct line number, mobile number and e-mail of the contact person(s) (c) Brief write up on the activities of the trustee (d) Details of registration as a debenture trustee (e) Details of infrastructure, personnel, etc. relevant to the activity as trustee of the SM REIT (f) Identity and address proof of the trustee and its directors (g) Whether the trustee company is registered with any regulatory authority other than the Board in any capacity along with the details of its registration (h) Copy of the executed trust deed IV. DETAILS OF INVESTMENT MANAGER (a) Name, address of the registered office address for correspondence, telephone number(s), fax number(s), of the Investment Manager (b) Name, direct line number, mobile number and e-mail of the contact person(s) (c) Legal status, date and place of incorporation/ establishment, wherever applicable (d) Copy of executed investment management agreement (e) Write up on the activities of the investment manager, including past experience in real estate industry or real estate fund management (f) Details of the key managerial personnel including experience including past experience real estate industry or real estate fund management, and professional qualification (g) List of directors (h) Identity proof and address proof of the investment manager, its directors (i) Shareholding and profile of the directors (j) Copies of the financial statements for the previous financial year (k) Net-worth certificate of investment manager by a practicing Chartered Accountant, not more than six months old (l) Details of net-worth held in liquid assets, as required under these regulations (m) Whether the investment manager has acted as manager to any REIT previously, which are registered with SEBI. If yes, details of the same V. DETAILS OF BUSINESS PLAN AND INVESTMENT STRATEGY (a) Investment objective and investment style (b) Details of proposed scheme offerings (c) Brief details of the assets proposed to be held under the scheme of the SM REIT (d) Fee structure (e) Migration plan of any existing persons, entities or structures to the structure of the scheme of the SM REIT, including timelines, milestones and any other relevant details. (f) Details of current holdings and investments in real estate (g) Details of past activities in real estate VI. DETAILS OF REGULATORY ACTION TAKEN IN THE PAST, IF ANY (a) Whether the SM REIT or the parties to the SM REIT or their directors are/were involved in any litigation connected with the securities market which may have an adverse bearing on the business of the SM REIT or any order has/ had been passed against them for violation of securities laws. (If yes, provide details. If no, enclose a declaration to that effect) (b) Whether any disciplinary action has been taken by the Board or any other regulatory authority against the SM REIT or the Parties to the SM REIT or their promoters or directors under any Act or the Regulations/guidelines made thereunder (If yes, provide details. If no, enclose a declaration to that effect) (c) Whether SM REIT or the Parties to the SM REIT or their directors has/ have been refused a certificate by the Board or its/ their certificate has been suspended at any time prior to this application. (If yes, provide details. If no, enclose a declaration to that effect) VII. OTHER INFORMATION/DECLARATIONS (a) Declaration that the investment manager shall comply with the lock-in conditions as specified under these regulations. (b) Declaration that the SM REIT and the parties to the SM REIT shall be fit and proper persons based on the criteria specified in the Securities and Exchange Board of India (Intermediaries) Regulations, 2008. DECLARATION STATEMENT (TO BE GIVEN AS BELOW) We hereby agree and declare that the information supplied in the application, including the attachment sheets, is complete and true. AND we further agree that, we shall notify the Securities and Exchange Board of India immediately any change in the information provided in the application. We further agree that we shall comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014, and any other regulations, guidelines or circulars as may be notified or issued by the Securities and Exchange Board of India from time to time. We further agree that as a condition of registration, we shall abide by such operational instructions/directives as may be issued by the Securities and Exchange Board of India from time to time. For and on behalf of___________________________________________________ (Name of the applicant) Authorized signatory (Signature) FORM B Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014 [See regulation 26L (1)] Certificate of registration as a SM REIT I. In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), read with the regulations made there under, the Board hereby grants a certificate of registration to ___________________________________________________________________________ as a SM Real Estate Investment Trust subject to the conditions specified in the Act and in the regulations made thereunder. II. The Registration Number of the SM Real Estate Investment Trust is: ._________ Date : Place : By Order Sd/- For and on behalf of Securities and Exchange Board of India ] ************* NOTES:- 1. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/166 dated 08-03-2024