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REPORTING FORMAT UNDER REGULATION 11 OF SECURITIES CONTRACTS (REGULATION) (MANNER OF INCREASING AND MAINTAINING PUBLIC SHAREHOLDING IN RECOGNISED STOCK EXCHANGES) REGULATIONS, 2006

CIRCULAR MRD/DSA/12/2011, DATED 24-10-2011

1. Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006 hereinafter referred as ‘MIMPS Regulations’ were notified on November 13, 2006 and came into force from the date of publication.

2. Regulation 11 of MIMPS Regulations inter alia prescribes certain obligations on the recognised stock exchanges pertaining to their shareholding including submission of a report to SEBI within 15 days from the end of each quarter.

3. In this regard, it has been observed that stock exchanges have been submitting the said report in different formats. Accordingly, it has been decided to standardize the format of reporting of shareholding pattern of the recognised stock exchange under MIMPS Regulations.

4. The stock exchanges are therefore advised to ensure the submission of the report under MIMPS Regulations on a quarterly basis within the aforesaid prescribed time period, as per the format given atAnnexure-A.

5. The stock exchanges are directed to communicate to SEBI, the status of the implementation of the provisions of this circular in their Monthly/ Quarterly Development Report.

6. This circular is issued in exercise of powers conferred under section 11(1) of the Securities and Exchange Board of India Act, 1992 read with section 12A of Securities Contracts (Regulation) Act, 1956, to protect the interests of investors in securities and to promote the development of, and to regulate the securities markets.

7. This circular is available on SEBI website at www.sebi.gov.in.

Annexure A

Report under Regulation 11(2) of under Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006.

[ Quarter ended ___________]

A. Top ten shareholders during the quarter

Sl. No. Name of the shareholder Number of shares held at the end of the quarter Percentage of shareholding
1
2

B. Shareholders falling under Regulation 8 who have acquired shares during the quarter

Sl. No. Name of the shareholder who acquired shares Name of the shareholder from whom shares acquired Number of shares acquired during the quarter Percentage of shareholding after the acquisition
1
2

C. Category wise shareholding pattern in the recognised stock exchange (along with the names of the shareholders)-

i. TRADING MEMBERS

Sl. No. Category of shareholder No. of shareholders Total number of shares Percentage of shares
Individuals
1
2
Corporates (Listed)
1
Corporates (Unlisted)
1
Banks (wherever permitted)
1
Any other (specify)
Total (A)

ii. ASSOCIATES OF TRADING MEMBERS

Sr. No. Category of shareholder No. of shareholders Total number of shares Percentage of shares
Individuals
1
2
Corporates (Listed)
1
Corporates (Unlisted)
1
HUF
1
Trust
1
Financial Institutions / Banks
1
Foreign Holding(FDI)
1
Foreign Holding (FII)
1
Any other (specify)
Total (B)
TOTAL (A+B)

iii. PUBLIC SHAREHOLDING

Sr. No. Category of shareholder No. of shareholders Total number of shares Percentage of shares
Individuals
1
2
Corporates (Listed)
1
Corporates (Unlisted)
1
HUF
1
Trust
1
Financial Institutions / Banks
1
Foreign Holding(FDI)
1
Foreign Holding (FII)
1
Any other(specify)
Insurance Companies
1
Mutual Funds
1
Venture Capital Fund
1
Any other (specify)
Total (C)
Grand Total(A)+(B)+(C)

D. SHAREHOLDERS ACTING IN CONCERT

The exchange shall indicate the shareholding pattern in the format given below in respect of each set of shareholders, in case they hold shares alongwith persons acting in concert

Sr. No. Name of the shareholder Category of shareholder Details of holding
Number of shares Percentage
1
2
3

UNDERTAKING UNDER REGULATION 11

E. The Managing Director/Executive Director of the recognised stock exchange shall submit an undertaking confirming the compliance of the provisions Regulation 11(1) of Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006 to SEBI on a quarterly basis within fifteen days from the end of each quarter.

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