Draft format for reporting foreign direct investments (FDIs). - FEMA - Draft

Draft format for reporting foreign direct investments (FDIs). FC-GPR PART - A (To be filed by the company through its Authorised Dealer Category - I bank with the Regional Office of the RBI under whose jurisdiction the Registered Office of the company making the declaration is situated as and when fresh investment in the Company is received, along with the documents mentioned in item no. 4 of the undertaking enclosed in this form) Permanent Account Number (PAN) of the investee company given by the IncomeTax Department Date of issue of shares Sl. No. Particulars (In Block Letters) 1. Name Address of the Registered Office State Registration No. given by Registrar of Companies Whether existing company or new company (strike off whichever is not applicable) Existing company / New company If existing company, give registration number allotted by RBI for FDI, if any Telephone Fax e-mail 2. Description of the main business activity NIC Code Location of the project and NIC code for the district where the project is located Percentage of FDI allowed as per FDI policy State whether FDI is allowed under Automatic Route or Approval Route (strike out whichever is not applicable) Automatic Route / Approval Route 3 Details of the foreign investor/ collaborator * Name Address Country Constitution [Specify whether 1. Individual 2. Company 3. FII 4. FVCI 5. Foreign Trust 6. Private Equity Fund 7. Pension/ Provident Fund 8. Partnership/ Proprietorship firm 9. Financial Institution 10. NRIs/PIOs 11. others (please specify)] Date of incorporation 4 Particulars of Shares / Convertible Debentures Issued (a) Nature and date of issue Nature of issue Date of issue Number of shares/ convertible debentures 01 IPO / FPO 02 Preferential allotment / private placement 03 Rights 04 Bonus 05 Conversion of ECB 06 Conversion of royalty (including lump sum payments) 07 ESOPs 08 Share Swap 09 Others (please specify) Total (b) Type of security issued No. Nature of security Number Maturity Face value Premium Issue Price per share Amount of inflow* 01 Equity 02 Compulsorily Convertible Debentures 03 Compulsorily Convertible Preference shares 04 Others (please specify) Total i) In case the issue price is greater than the face value please give break up of the premium received ii) * In case the issue is against conversion of ECB or royalty, a Chartered Accountant's Certificate certifying the amount of the outstanding on the date of conversion (c) Break up of premium Amount Control Premium Non competition fee Others @ Total @ please specify the nature (d) Total inflow (in Rupees) on account of issue of shares to non-residents (including premium, if any) vide (i) Remittance through AD: (ii) Debit to NRE/FCNR A/c with Bank_________ (iii) Others (please specify) Date of reporting of (i) and (ii) above to RBI under Para 9 (1) A (i) of Notification No. FEMA 20/2000-RB dated May 3, 2000, as amended from time to time. (e) Disclosure of fair value of shares issued** We are a listed company and the market value of a share as on date of the issue is* We are an un-listed company; and the fair value of a share is* ** before issue of shares *(Please indicate as applicable) 5. Post issue pattern of shareholding Equity Compulsorily convertible Preference Shares/ Debentures Investor category No. of shares Amount (Face Value) Rs. % No. of shares Amount (Face Value) Rs. % a) Non-Resident 01 Individuals 02 Companies 03 FIIs 04 FVCIs 05 Foreign Trusts 06 Private Equity Funds 07 Pension/ Provident Funds 08 Partnership/ Proprietorship firms 09 Financial Institutions 10 NRIs/PIOs 11 Others (please specify) Sub Total b) Resident Total DECLARATION TO BE FILED BY THE AUTHORISED REPRESENTATIVE OF THE INDIAN COMPANY (Delete whichever is not applicable and authenticate) We hereby declare that: 1. We comply with the procedure for issue of shares as laid down under the FDI scheme as indicated in Notification No. FEMA 20/2000-RB dated 3rd May 2000 as amended from time to time 2. The investment is within the sectoral policy/cap permissible under the Automatic Route of RBI and we fulfill all the conditions laid down for investments under the Automatic Route namely (strike off whichever is not applicable) a) Foreign entity/entities—(other than individuals), to whom we have issued shares have existing joint venture or technology transfer or trade mark agreement in India in the same field and Conditions stipulated in Press Note 1 of 2005 Series dated January 12, 2005 have been complied with. OR b) Foreign entity/entities—(other than individuals), to whom we have issued shares do not have any existing joint venture or technology transfer or trade mark agreement in India in the same field. c) We are/ are not an SSI unit and the investment limit of 24 % of paid-up capital has been observed/ requisite approvals have been obtained. d) Shares have been issued on rights basis and the shares are issued to non-residents at a price that is not lower than that at which shares have been issued to residents. OR e) Shares issued are bonus shares. OR f) Shares have been issued under a scheme of merger and amalgamation of two or more Indian companies or reconstruction by way of de-merger or otherwise of an Indian company, duly approved by a court in India. OR g) Shares are issued under ESOP and the conditions regarding this issue have been satisfied 3. Shares have been issued in terms of SIA/FIPB approval No.___________________ dated ____________________ 4. We enclose the following documents in compliance with Paragraph 9 (1) (B): (i) A certificate from our Company Secretary certifying that (a) all the requirements of the Companies Act, 1956 have been complied with; (b) terms and conditions of the Government approval, if any, have been complied with; (c) the company is eligible to issue shares under these Regulations; and (d) the company has all original certificates issued by authorised dealers in India evidencing receipt of amount of consideration in accordance with paragraph 9 of Schedule 1 of Notification No. FEMA 20/2000-RB dated May 3, 2000 as amended from time to time; (ii) A certificate from Statutory Auditors / Chartered Accountant indicating the manner of arriving at the price of the shares issued to the persons resident outside India. (Signature of the Applicant)* :___________________________________________ (Name in Block Letters) :___________________________________________ (Designation of the signatory) :___________________________________________ Place: Date: (* To be signed by Authorised signatory of the Company) CERTIFICATE TO BE FILED BY THE COMPANY SECRETARY OF THE INDIAN COMPANY ACCEPTING THE INVESTMENT (As per Para 9 (1) (B) (i) of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, 2000, as amended from time to time) In respect of the abovementioned details, we certify the following : 1. All the requirements of the Companies Act, 1956 have been complied with. 2. Terms and conditions of the Government approval, if any, have been complied with. 3. The company is eligible to issue shares under these Regulations. 4. The company has all original certificates issued by AD Category - I banks in India, evidencing receipt of amount of consideration in accordance with paragraph 9 of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, 2000 as amended from time to time. (Name Signature of the Company Secretary) (Seal) FOR USE OF THE RESERVE BANK ONLY: Unique Identification Number given for the FC-GPR: FC-GPR PART- B (i) This part of the return to be submitted to the Director, Balance of Payment Statistical Division, Department of Statistical Analysis Computer Services, Reserve Bank of India, C8, 3rd Floor, Bandra-Kurla Complex, Bandra (E), Mumbai - 400051; Tel: 2657 1265, 2657 2513, Fax: 26570848; email:[email protected] (ii) This is an annual return to be submitted by 31 st of July every year by all companies, pertaining to all investments by way of direct/portfolio investments/re-invested earnings/others in the Indian company made during the previous years (i.e. the information in Part B submitted by 31 st July 2007 will pertain to all the investments made in the previous years up to March 31, 2007). The details of the investments to be reported would include all foreign investments made into the company which is outstanding as on the balance sheet date. The details of overseas investments in the company both under Direct / portfolio investment may be separately indicated. Please use end-March Market prices/exchange rates for compiling the relevant information. --------------------------------------------------------------------------------------------------------------------- Permanent Account Number (PAN) of the investee company given by the IncomeTax Department No. Particulars (In Block Letters) 1. Name Address State Registration No. given by the Registrar of Companies 2. Name of the Contact Person: Designation: Tel. E-mail: Fax: 3. Account closing date: 4. Details of changes if any, with regard to information furnished earlier (Change in name of company / Change of location, activities, etc.) 5. Whether listed company or unlisted company Listed / unlisted 5.1 If listed, i) Market value per share as at end-March ii) Net Asset Value per share as on date of latest Audited Balance Sheet 5.2 If unlisted, Net Asset Value per share as on date of latest Audited Balance Sheet 6. Foreign Direct Investment (FDI) Amount in Lakhs of Rupees Foreign Liabilities In India * Foreign Assets Outside India Outstanding at end-March of Previous Year Outstanding at end-March of Current Year Outstanding at end-March of Previous Year Outstanding at end-March of Current Year 6.0 Equity Capital 6.1 Other Capital W 6.2 Disinvestments during the year 6.3 Retained earnings during the year + 7. Portfolio and Other Investment [ Please furnish here the outstanding investments other than those mentioned under FDI above ] Amount in Lakhs of Rupees Foreign Liabilities In India Foreign Assets Outside India Outstanding at end-March of Previous Year Outstanding at end-March of Current Year Outstanding at end-March of Previous Year Outstanding at end-March of Current Year 7.0 Equity Securities 7.1 Debt Securities 7.1.1 Bonds and Notes 7.1.2 Money Market Instruments 7.2 Disinvestments during the year 8. Financial Derivatives (notional value) 9. Other Investment 9.1 Trade Credit 9.1.1 Short Term 9.1.2 Long Term 9.2 Loans ¥ Please see the note below 9.3 Others 9.3.1 Short Term 9.3.2 Long Term 10. Shareholding pattern as at end-March Equity Compulsorily convertible Preference Shares/ Debentures Investor category No. of shares Amount (Face Value) Rs. % No. of shares Amount (Face Value) Rs. % a) Non-Resident 01 Individuals 02 Companies 03 FIIs 04 FVCIs 05 Foreign Trusts 06 Private Equity Funds 07 Pension/ Provident Funds 08 Partnership/ Proprietorship firms 09 Financial Institutions 10 NRIs/PIOs 11 Others (please specify) Sub Total b) Resident Total 11. Persons employed during the financial year ending Mach 31 ® Directly Indirectly Total Signature of the authorised Official :__________________________________________ Name (in block letters) :__________________________________________ Designation :__________________________________________ Place: Date: