Form of INITIAL DISCLOSURE of details of Securities held by (to be given within 2 working days of becoming the Director/Designated Employee)

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Aileen George
5 years ago
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1 Form of INITIAL DISCLOSURE of details of Securities by (to be given within 2 working days of becoming Director/ Employee) A 1. Details of listed Securities of /Group Companies by Director/ Employee *. Employee, PAN & Address Joining / Group of which listed securities are Client ID No & DP ID & % of / rights at time of becoming Employee Intimation to Mode of (market purchase / public / rights/ preferenti al offer whom with SEBI Regn. of TM trade was quantitiy 2. Details of Shares by Dependents of Director/ Employee of : Relative of Employee, PAN, Address & Relation Joining / Group of which listed securities are Client ID No & DP ID & % of / rights at time of becoming Employee Intimation to Mode of acquisitio n (market purchase / public / rights/ preferent ial offer whom execute with SEBI Regn. of TM trade was quantitiy Disclosure: Designation & : Division of * including /securities in Joint Names

2 Form of CONTINUAL DISCLOSURE for informing Change in holding (above a minimum threshold limit) by Director Employee of and ir Dependents ( to be made within 2 working days of change) B 1. Details of Shareholding of Director/ Employee of *. Name, PAN & Address / Group & % of Shares before transaction transaction and Mode of (market purchase / public / rights / preferential offer ors receipt of allotment advice / / sale of / rights & % of transacted & Wher obtained and no. & % of Shares/ post / rights sale whom with SEBI Regn. of TM 2. Details of Shares by Dependent of Director/ Employee of : Relative PAN Address & Relation / Group & % of Shares before transaction transaction and Mode of (market purchase / public / rights / preferential offer ors receipt of allotment advice / / sale of / rights & % of transacted & Wher obtained and no. & % of Shares/ post / rights sale whom trade was with SEBI Regn. of TM Designation & : Division of * including /securities in Joint e.g. transmission, gift, conversion of FCD/PCD. Disclosure I declared that I have complied with requirement of minimum holding period of 6 in respect of sold

3 Form of ANNUAL DISCLOSURE of details Shares by Director, Employee of and ir Dependents to be made as on 31 st March every year C 1. Periodic Statement of Shareholding of Director, Employee of *. Name of Shares Held as on 1 st April Bought during last 12 Sold during last 12 Held as on 31 st March Client ID No & DP ID 2. Details of Shares by Dependent of Director/ Employee of : Name Relation Held as on 1 st April Bought during last 12 of Shares Sold during last 12 Held as on 31 st March Client ID No & DP ID * including /securities in Joint Names Designation & : Division of Disclosure I declared that I have complied with requirement of minimum holding period of 6 in respect of sold

4 Statement of holding at time of Pre-clearance (before entering into for transaction having market value of over Rs. 5 lacs or 25,000 or 1% of total shareholding or rights of concerned, whichever is lower) D 1. Details of Shareholding of Connected Persons of *. Name of transation for which is sought (Sold/Bought) of to be dealt with Client ID No & DP ID 2. Details of Shares by Relatives of Connected Persons of : Name Relation of transation for which is sought (Sold/Bought) of to be dealt with Client ID No & DP ID * including /securities in Joint Names Designation & : Division of Disclosure I declared that I have complied with requirement of minimum holding period of 6 in respect of sold

5 E APPLICATION FOR WAIVER OF MINIMUM HOLDING PERIOD To, The Compliance Officer of concerned Group (Name & address) From: Name, Designation & Address of applicant Dear Sir, Through His / Her Division / Department Head I request you to grant me waiver of minimum holding period of 6 as required under Code of prohibition of Insider with respect to of () by me/ (name of relative) singly / jointly acquired by me on (date). I desire to sell said on account of (reason to be clearly specified with supporting document viz. medical certificate, marriage card, etc as applicable). Thanking You Yours Faithfully, ( applicant) Encl. a.a. PRE CLEARANCE ORDER This refers you request for selling (nos.) of of () as mentioned in your above application is approved. Please note that said transaction must be completed within 7 days from today. Please confirm on completion of said transaction. For ( Compliance Officer of concerned Group.

6 APPLICATION FOR PRE CLEARANCE F (for all transactions having market value of over Rs. 5 lacs or 25,000 or 1% of total shareholding or rights of concerned, whichever is lower) To, The Compliance Officer of Concerned Group ( Name & address) From: Name, Designation & Address Dear Sir, With reference to Code for dealing in securities of, I seek your to subscribe to / agree to subscribe to / purchase / sell / deal in (nos.) equity of for an amount not exceeding Rs.. The statement of shareholding in form A as on and Undertaking in prescribed format are enclosed for your perusal in this connection. Signature Name PRE CLEARANCE ORDER This is to inform you that request for dealing in (nos.) of / securities of as mentioned in your above application is approved. Please note that said transaction must be completed within 7 days from today. For CONFIRNATION OF DEAL To: The Compliance Officer of concerned Group (Name& address) Compliance Officer of Concerned I confirm that share dealing for which was granted on was completed on (date) by purchasing / selling (nos.) of Equity Shares / securities of. Signature Name

7 G UNDERTAKING TO BE SUBMITTED ALONGWITH THE APPLICATION FOR PRE CLEARANCE (for all transactions having market value of over Rs. 5 lacs or 25,000 or 1% of total shareholding or rights of concerned, whichever is lower) To, The Compliance Officer of Concerned Group (Name & address) From: Name, Designation & address I, (Name & Designation) residing at, am desirous of dealing in (nos.) / securities of as mentioned in my application dated for pre-clearance of transaction. As required by Code for prohibition of Insider, I hereby state that: 1. Neir do I have access to nor do I have any information that could be construed as Price Sensitive Information as defined in Code upto time of signing this undertaking; 2. In event that I have access to or receive any information that could be construed as Price Sensitive Information as defined in Code, after signing of this undertaking but before executing transaction for which is sought, I shall inform Compliance Officer of same and shall completely refrain from dealing in securities of until such information becomes public. 3. I confirm that I have not contravened provisions of SEBI (Prohibition of Insider ) Regulations, 1992 as amended as on date nor Code of Conduct for prohibition of Insider as notified by from time to time. 4. I have made full and true disclosure in matter. 5. I have following folios with / Client ID A/c Nos:- Sr. Holder / Joint Holders DP ID and Client ID or of Shares Signature Name:

SUPREME PETROCHEM LTD. Code of Internal Procedures and Conduct for Regulating, Monitoring and Reporting of Trading by Insiders

SUPREME PETROCHEM LTD. Code of Internal Procedures and Conduct for Regulating, Monitoring and Reporting of Trading by Insiders SUPREME PETROCHEM LTD Code of Internal Procedures and Conduct for Regulating, Monitoring and Reporting of Trading by Insiders This code will be known as Supreme Petrochem Ltd Code of Internal Procedure