IIFL SPECIAL OPPORTUNITIES FUND SERIES 7 ACCOUNT OPENING FORM (INDIVIDUAL & NON-INDIVIDUAL)

Transcription

1 IIFL SPECIAL OPPORTUNITIES FUND SERIES 7 ACCOUNT OPENING FORM (INDIVIDUAL & NON-INDIVIDUAL)

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3 CHANNEL PARTNER ARN No. APPLICATION No. For Investing in IIFL Special Opportunities Fund - Series 7, an investor will have to submit the following documents: SR. NO DOCUMENTS TO BE SUBMITTED *Application Form Nomination FATCA PAGE NO SUBMITTED (Y/N) Acknowledged copy of Private Placement Memorandum Contribution Agreement Funding Instrument/Instruction (Cheque RTGS Acknowledgement) *Along with Application form following documents need to be submitted: SR. NO DOCUMENTS TO BE SUBMITTED (FOR ALL APPLICANTS) Copy of PAN Card (including copy of PAN of POA holders/guardian) Copy of Aadhaar Card (including copy for authorised signatories incase of non-individual) CKYC -KRA Documents(including copy of CKYC-KRS of POA holders/guardian) $ (a) CKYC-KRA letter/status/form as detailed below (b)ckyc-kra documents as mentioned in CKYC-KRA form & required to be submitted along with CKYC-KRA form (with IPV veri ication duly done) Cancelled Cheque (a) Cancelled Cheque of the account from which Investment has been made (Investment Account) (b) Cancelled Cheque of the account in which distribution proceeds has been credited (incase the said account is different from the investment account as mentioned in point (a) above.) ^Supporting Documents SUBMITTED (Y/N) $ CKYC DOCUMENTS REQUIRED Investor who are CKYC/KRA Complied CKYC KRA Complied Veri ication status obtained from KRA website. (e.g. on CVL Website it will be mentioned Veri ied by CVL KRA ) Investor whose CKYC KRA Compliance is under process KRA acknowledgement letter or CKYC Veri ication under Process status as available on KRA website Investor who are not CKYC KRA Complied Individual-Investors CKYC Form & KYC KRA Form for Individuals Non-Individual Investors KRA Form for Non-Individuals ^SUPPORTING DOCUMENTS Documents Resolution/ Authorised to Invest Companies LLP / Partnership Firms/HUF Society Trust Inv through POA Submitted (Y/N) List of Authorised Signatories with specimen Signature MOA & AOA Partnership Agreement/ Partnership/HUF Deed Other than Individual & HUF Bye Laws Trust Deed Notarized POA Aadhaar card copy (# for Authorised signatories) # # # #

4 Name of Alternative Investment Fund IIFL Special Opportunities Fund - Series 7 Name of the Sponsor IIFL Holdings Limited KEY TERMS OF OFFER This Key Terms of offer sets forth the information, which a prospective investor ought to know before investing. Further details of the scheme, risk factors, pending litigations etc. investor should, before investment, refer to the Private Placement Memorandum (PPM) of the Scheme. Name of Investment Manager IIFL Asset Management Limited Name of the Co-Sponsor IIFL Wealth Management Limited IIFL Wealth Finance Limited Name of Trustee Company IIFL Trustee Limited Name of the Registrar Computer Age Management Service Private Limited INVESTMENT OBJECTIVE: The objective of the Fund is to generate long term capital appreciation for investors by primarily investing in a portfolio of equity and equity related securities of companies which are in the Pre - IPO stage or have launched IPO. TERM: Up to 42 months from inal closing date; which can be extended for duration of 12 months subject to approval of two - thirds of the unit holders by value of their investment in the Alternative Investment Fund. TARGET SIZE: INR 3,000 cr FUND MANAGER: Mr. Amit Mehta MINIMUM COMMITMENT AMOUNT (PER INVESTOR): SHARECLASS MINIMUM COMMITMENT (Amt. in Rs.) Class A1 Rs. 1 Crore & multiples of Rs. 1 lakh Class A2 Rs. 5 Crore & multiples of Rs. 1 lakh Class A3 Rs. 15 Crore & multiple of Rs. 1 lakh Class A4 Rs. 20 Crore & multiple of Rs. 1 lakh Class Co-Investment* As offered by Investment Manager Class S As per regulatory requirement *Class S shall be eligible (irrespective of investment amount) to invest under Class Co-investment, upto the Commitment made in Class S. 1) Annual Scheme Recurring Expenses: a. Management Expenses: CLASS OF UNITS % OF DAILY NET ASSETS (per annum) Class A1 Class A2 Class A3 Class A4 Class Co-Investment* Class B Class S Up to 2.00% Up to 1.75% Up to 1.50% Up to 1.00% Up to 2.00% Nil Up to 0.10% *Class A4 Unit holders investing in Class Co-investment, shall be charged upto 1.75% p.a. of daily net assets as Management Expense. b. Administration Expenses: Not exceeding 0.15% per annum on Daily Net Assets The Management Expense and Administration Expense will be accrued on Daily Net Assets. The Investment Manager will charge its Management Expense and reimbursement of Administration Expenses, on quarterly basis or such other periodicity at the discretion of the Investment Manager. The Management Expense shall be exclusive of GST and Administration Expenses mentioned above is inclusive of GST The Distribution Fees (forming part of Management Expense) may be charged upfront to the Scheme, duly amortised over the period determined by the Investment Manager. 2) Fund Incorporation Expenses: CLASS OF UNITS % of AGGREGATE CAPITAL COMMITMENT Class A1 Up to 2.00% Class A2 Up to 2.00% Class A3 Up to 2.00% Class A4 Up to 2.00% Class Co-Investment Up to 2.00% Fund Incorporation Expenses shall be chargeable at the discretion of Investment manager and shall be exclusive of GST 3) Fund Hurdle Rate: Post tax post expenses Internal Rate of Return of 10% p.a. (on CAGR basis) on net capital contribution from the date of allotment for Class A1, Class A2, Class A3 and Class A4 investors (as detailed in PPM) 4) Performance Fees: 10% of return over and above the Hurdle Rate without catch-up for Class A1, Class A2, Class A3 and Class A4 investors (as detailed in PPM) SPONSOR S CONTINUING INTEREST: 2.5% of the corpus or Rs.5 Crore whichever is lower RISK FACTORS: The fund would be investing into Pre - IPO and IPO bond companies. The listing of these companies could be dependent on market conditions. Fund Investments in listed securities are subject to price luctuation on daily basis. The volatility in the value of investments is due to various micro and macro economic factors such as economic and political developments and other market factors affecting the securities markets. This may have adverse impact on individual securities / sector and consequently on the NAV of Scheme. Kindly refer Private Placement Memorandum for details of risk factors.

5 INDIVIDUAL KYC AND APPLICATION FORM Total 3 Signatures CHANNEL PARTNER ARN No. RM Name

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7 PART I - APPLICATION FORM - FOR INDIVIDUAL - 1st / First Holder 1. PERSONAL DETAILS Name (As per Aadhaar) Maiden Name (If any) Father / Spouse Name Mother Name Date of Birth (Mandatory) (As Per Aadhaar) Marital Status Citizenship Residential Status Occupation Type Please tick, if applicable Pre ix First Name Middle Name Last Name Married Unmarried Others IN-Indian Resident Service Self Employed Gender Male Female Transgender Others - Country Country Code Non Resident Private Sector Retired Politically Exposed Person (PEP) Foreign National Public Sector Housewife Person of Indian Origin Government Sector Student Business Others Related to a Politically Exposed Person (RPEP) Not Categorised NA Professional Please af ix a recent passport size Photograph and sign across it ADDRESS DETAILS Line 1 Line CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Mandatory if NRI / Foreign National / PIO is selected in Residential status) Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied Line 1 Line CORRESPONDENCE / LOCAL ADDRESS DETAILS Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied 3. PROOF SUBMITTED FOR IDENTITY & ADDRESS PAN (mandatory) Aadhaar Number (mandatory) CKYC Number (Self attested copy of PAN & Aadhaar Card is mandatory) The purpose of collection/usage of Aadhaar number including demographic information is to comply with applicable laws/rules/regulations and provision of the said data is mandatory as per applicable laws/rules/regulations. Aadhaar number should be provided to authenticate in accordance with the Aadhaar Act, 2016 and demographic information shall be used only to comply with applicable laws/rules/regulations.

8 4. Tel (Off) CONTACT DETAILS Tel (Res) Fax No. 6. GROSS ANNUAL INCOME a) Income Range per annum Rs.10,00,001 to Rs.25,00,000 Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00,000 Rs.25,00,001 to Rs.1,00,00,000 More than Rs.1,00,00,000 a) Networth Rs. as on (Networth should not be older than one year) 7. FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable Additional Details Required (mandatory only if above option (7) is ticked) Country of Jurisdiction of Residence Country Code of Jurisdiction of Residence as per ISO 3166 Tax Identi ication Number or equivalent (If issued by jurisdiction) Place/City of Birth Country of Birth Country Code as per ISO 3166 Address in the jurisdiction where applicant is resident outside India for tax purpose Line 1 Line 2 Line 3 District State/UT Zip/Post Code Country State/UT Code Mobile I/We wish to receive the fund related document and communication via physical in lieu of document(s) [Please ] would be the default mode of communication, in case the above option is not ticked 5. GST REGISTERED ( GOODS AND SERVICES TAX ) Yes No GSTIN No (if GST Registered) Note: Proof of GST registration is required if selected Yes. The Goods and Service Tax Number (GSTN) is correct and IIFL AMC will not be responsible for veri ication of GSTN If the GSTN not provided, it will be considered as unregistered and will be unable to claim the input tax credit on the fees and charges paid. City/Town/Village as per Indian Motor Vehicle Act,1988 Country Code as per ISO APPLICANT DECLARATION I/We, Acknowledge and con irm that the information provided above is true and correct to the best of my/our knowledge and belief. In case any of the above speci ied information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/We may be liable for it. I/We hereby authorize IIFL Asset Management Limited to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us to associates of IIFL Group, issuers, brokers, banks and other relevant parties ( Authorised Parties ) or any Indian or foreign Governmental or statutory or judicial authorities/agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax/revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same; Further, I/We authorize to share the given information to other Authorized parties to facilitate single submission / updation & for other relevant purposes; I/We also undertake to keep you informed in writing about any changes/modi ication to the above information in future promptly, i.e., within 30 days and also undertake to provide any other additional information as may be required at your end, as may be required by domestic or overseas regulators/tax authorities. I/We authorize the Authorised Parties to withhold and pay out any sums from your account or close or suspend your account(s) without any obligation of advising me of the same. I/We hereby declare that the details furnished above are true and correct to the best of my/ our knowledge and belief and I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that may be held liable for it. I/We hereby declare that I/We am/are not making this application for the purpose of contravention of any Act, Rules, Regulations or any statute of legislation or any noti ications / directions issued by any governmental or statutory authority from time to time. I/We hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number/ address. I/We hereby provide my /our consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i) collecting, storing and usage (ii) validating/authenticating and (ii i) updating my/our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA. I/We hereby provide my/our consent for sharing/disclosing of my Aadhaar number(s) including demographic information with Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios with my/our PAN. [Signature / Thumb Impression] st Signature / Thumb Impression of 1 Applicant 2 3 Date Place

9 PART I - APPLICATION FORM - FOR INDIVIDUAL - 2nd / Second Holder 1. PERSONAL DETAILS Name (As per Aadhaar) Maiden Name (If any) Father / Spouse Name Mother Name Date of Birth (Mandatory) (As Per Aadhaar) Marital Status Citizenship Residential Status Occupation Type Please tick, if applicable Pre ix First Name Middle Name Last Name Married Unmarried Others IN-Indian Resident Service Self Employed Gender Male Female Transgender Others - Country Country Code Non Resident Private Sector Retired Politically Exposed Person (PEP) Foreign National Public Sector Housewife Person of Indian Origin Government Sector Student Business Others Related to a Politically Exposed Person (RPEP) Not Categorised NA Professional Please af ix a recent passport size Photograph and sign across it ADDRESS DETAILS Line 1 Line CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Mandatory if NRI / Foreign National / PIO is selected in Residential status) Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied Line 1 Line CORRESPONDENCE / LOCAL ADDRESS DETAILS Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied 3. PROOF SUBMITTED FOR IDENTITY & ADDRESS PAN (mandatory) Aadhaar Number (mandatory) CKYC Number (Self attested copy of PAN & Aadhaar Card is mandatory) The purpose of collection/usage of Aadhaar number including demographic information is to comply with applicable laws/rules/regulations and provision of the said data is mandatory as per applicable laws/rules/regulations. Aadhaar number should be provided to authenticate in accordance with the Aadhaar Act, 2016 and demographic information shall be used only to comply with applicable laws/rules/regulations.

10 4. CONTACT DETAILS Tel (Off) Fax No. Tel (Res) Mobile 5. GROSS ANNUAL INCOME a) Income Range per annum Rs.10,00,001 to Rs.25,00,000 Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00,000 Rs.25,00,001 to Rs.1,00,00,000 More than Rs.1,00,00,000 a) Networth Rs. as on (Networth should not be older than one year) 6. FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable Additional Details Required (mandatory only if above option (6) is ticked) Country of Jurisdiction of Residence Country Code of Jurisdiction of Residence as per ISO 3166 Tax Identi ication Number or equivalent (If issued by jurisdiction) Place/City of Birth Country of Birth Country Code as per ISO 3166 Address in the jurisdiction where applicant is resident outside India for tax purpose Line 1 Line 2 Line 3 District State/UT Zip/Post Code Country State/UT Code City/Town/Village as per Indian Motor Vehicle Act,1988 Country Code as per ISO 3166 APPLICANT DECLARATION I/We, Acknowledge and con irm that the information provided above is true and correct to the best of my/our knowledge and belief. In case any of the above speci ied information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/We may be liable for it. I/We hereby authorize IIFL Asset Management Limited to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us to associates of IIFL Group, issuers, brokers, banks and other relevant parties ( Authorised Parties ) or any Indian or foreign Governmental or statutory or judicial authorities/agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax/revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same; Further, I/We authorize to share the given information to other Authorized parties to facilitate single submission / updation & for other relevant purposes; I/We also undertake to keep you informed in writing about any changes/modi ication to the above information in future promptly, i.e., within 30 days and also undertake to provide any other additional information as may be required at your end, as may be required by domestic or overseas regulators/tax authorities. I/We authorize the Authorised Parties to withhold and pay out any sums from your account or close or suspend your account(s) without any obligation of advising me of the same. I/We hereby declare that the details furnished above are true and correct to the best of my/ our knowledge and belief and I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that may be held liable for it. I/We hereby declare that I/We am/are not making this application for the purpose of contravention of any Act, Rules, Regulations or any statute of legislation or any noti ications / directions issued by any governmental or statutory authority from time to time. I/We hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number/ address. I/We hereby provide my /our consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i) collecting, storing and usage (ii) validating/authenticating and (ii i) updating my/our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA. I/We hereby provide my/our consent for sharing/disclosing of my Aadhaar number(s) including demographic information with Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios with my/our PAN. [Signature / Thumb Impression] nd Signature / Thumb Impression of 2 Applicant 2 3 Date Place

11 1. PERSONAL DETAILS Name (As per Aadhaar) Maiden Name (If any) Father / Spouse Name Mother Name Date of Birth (Mandatory) (As Per Aadhaar) Marital Status Citizenship Residential Status Occupation Type Please tick, if applicable Pre ix First Name Middle Name Last Name Married Unmarried Others IN-Indian Resident Service Self Employed Gender Male Female Transgender Others - Country Country Code Non Resident Private Sector Retired Politically Exposed Person (PEP) Foreign National Public Sector Housewife Person of Indian Origin Government Sector Student Business Others Related to a Politically Exposed Person (RPEP) Not Categorised NA Professional Please af ix a recent passport size Photograph and sign across it ADDRESS DETAILS Line 1 Line CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Mandatory if NRI / Foreign National / PIO is selected in Residential status) Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied Line 1 Line CORRESPONDENCE / LOCAL ADDRESS DETAILS Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied 3. PROOF SUBMITTED FOR IDENTITY & ADDRESS PAN (mandatory) Aadhaar Number (mandatory) CKYC Number (Self attested copy of PAN & Aadhaar Card is mandatory) The purpose of collection/usage of Aadhaar number including demographic information is to comply with applicable laws/rules/regulations and provision of the said data is mandatory as per applicable laws/rules/regulations. Aadhaar number should be provided to authenticate in accordance with the Aadhaar Act, 2016 and demographic information shall be used only to comply with applicable laws/rules/regulations.

12 4. CONTACT DETAILS Tel (Off) Fax No. Tel (Res) Mobile 5. GROSS ANNUAL INCOME a) Income Range per annum Rs.10,00,001 to Rs.25,00,000 Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00,000 Rs.25,00,001 to Rs.1,00,00,000 More than Rs.1,00,00,000 a) Networth Rs. as on (Networth should not be older than one year) 6. FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable Additional Details Required (mandatory only if above option (6) is ticked) Country of Jurisdiction of Residence Country Code of Jurisdiction of Residence as per ISO 3166 Tax Identi ication Number or equivalent (If issued by jurisdiction) Place/City of Birth Country of Birth Country Code as per ISO 3166 Address in the jurisdiction where applicant is resident outside India for tax purpose Line 1 Line 2 Line 3 District State/UT Zip/Post Code Country State/UT Code City/Town/Village as per Indian Motor Vehicle Act,1988 Country Code as per ISO 3166 APPLICANT DECLARATION I/We, Acknowledge and con irm that the information provided above is true and correct to the best of my/our knowledge and belief. In case any of the above speci ied information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/We may be liable for it. I/We hereby authorize IIFL Asset Management Limited to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us to associates of IIFL Group, issuers, brokers, banks and other relevant parties ( Authorised Parties ) or any Indian or foreign Governmental or statutory or judicial authorities/agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax/revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same; Further, I/We authorize to share the given information to other Authorized parties to facilitate single submission / updation & for other relevant purposes; I/We also undertake to keep you informed in writing about any changes/modi ication to the above information in future promptly, i.e., within 30 days and also undertake to provide any other additional information as may be required at your end, as may be required by domestic or overseas regulators/tax authorities. I/We authorize the Authorised Parties to withhold and pay out any sums from your account or close or suspend your account(s) without any obligation of advising me of the same. I/We hereby declare that the details furnished above are true and correct to the best of my/ our knowledge and belief and I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that may be held liable for it. I/We hereby declare that I/We am/are not making this application for the purpose of contravention of any Act, Rules, Regulations or any statute of legislation or any noti ications / directions issued by any governmental or statutory authority from time to time. I/We hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number/ address. I/We hereby provide my /our consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i) collecting, storing and usage (ii) validating/authenticating and (ii i) updating my/our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA. I/We hereby provide my/our consent for sharing/disclosing of my Aadhaar number(s) including demographic information with Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios with my/our PAN. [Signature / Thumb Impression] rd Signature / Thumb Impression of 3 Applicant 2 3 Date Place

13 PART I - APPLICATION FORM - GUARDIAN (IN CASE SOLE HOLDER IS MINOR) 1. PERSONAL DETAILS Name (As per Aadhaar) Maiden Name (If any) Father / Spouse Name Mother Name Date of Birth (Mandatory) (As Per Aadhaar) Marital Status Citizenship Residential Status Occupation Type Please tick, if applicable Pre ix First Name Middle Name Last Name Married Unmarried Others IN-Indian Resident Service Self Employed Gender Male Female Transgender Others - Country Country Code Non Resident Private Sector Retired Politically Exposed Person (PEP) Foreign National Public Sector Housewife Person of Indian Origin Government Sector Student Business Others Related to a Politically Exposed Person (RPEP) Not Categorised NA Professional Please af ix a recent passport size Photograph and sign across it ADDRESS DETAILS Line 1 Line CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Mandatory if NRI / Foreign National / PIO is selected in Residential status) Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied Line 1 Line CORRESPONDENCE / LOCAL ADDRESS DETAILS Line 3 City/Town/Village District Zip/Post Code State/UT Code as per Indian Motor Vehicle Act,1988 State/UT Country Country Code as per ISO 3166 Address Type Residential / Business Residential Business Registered Of ice Unspeci ied 3. PROOF SUBMITTED FOR IDENTITY & ADDRESS PAN (mandatory) Aadhaar Number (mandatory) CKYC Number (Self attested copy of PAN & Aadhaar Card is mandatory) The purpose of collection/usage of Aadhaar number including demographic information is to comply with applicable laws/rules/regulations and provision of the said data is mandatory as per applicable laws/rules/regulations. Aadhaar number should be provided to authenticate in accordance with the Aadhaar Act, 2016 and demographic information shall be used only to comply with applicable laws/rules/regulations.

14 4. CONTACT DETAILS Tel (Off) Fax No. Tel (Res) Mobile 5. GROSS ANNUAL INCOME a) Income Range per annum Rs.10,00,001 to Rs.25,00,000 Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00,000 Rs.25,00,001 to Rs.1,00,00,000 More than Rs.1,00,00,000 a) Networth Rs. as on (Networth should not be older than one year) 6. FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable Additional Details Required (mandatory only if above option (6) is ticked) Country of Jurisdiction of Residence Country Code of Jurisdiction of Residence as per ISO 3166 Tax Identi ication Number or equivalent (If issued by jurisdiction) Place/City of Birth Country of Birth Country Code as per ISO 3166 Address in the jurisdiction where applicant is resident outside India for tax purpose Line 1 Line 2 Line 3 District State/UT Zip/Post Code Country State/UT Code City/Town/Village as per Indian Motor Vehicle Act,1988 Country Code as per ISO 3166 APPLICANT DECLARATION I/We, Acknowledge and con irm that the information provided above is true and correct to the best of my/our knowledge and belief. In case any of the above speci ied information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that I/We may be liable for it. I/We hereby authorize IIFL Asset Management Limited to disclose, share, remit in any form, mode or manner, all/any of the information provided by me/us, including all changes, updates to such information as and when provided by me/us to associates of IIFL Group, issuers, brokers, banks and other relevant parties ( Authorised Parties ) or any Indian or foreign Governmental or statutory or judicial authorities/agencies including but not limited to the Financial Intelligence Unit-India (FIU-IND), the tax/revenue authorities in India or outside India wherever it is legally required and other investigation agencies without any obligation of advising me/us of the same; Further, I/We authorize to share the given information to other Authorized parties to facilitate single submission / updation & for other relevant purposes; I/We also undertake to keep you informed in writing about any changes/modi ication to the above information in future promptly, i.e., within 30 days and also undertake to provide any other additional information as may be required at your end, as may be required by domestic or overseas regulators/tax authorities. I/We authorize the Authorised Parties to withhold and pay out any sums from your account or close or suspend your account(s) without any obligation of advising me of the same. I/We hereby declare that the details furnished above are true and correct to the best of my/ our knowledge and belief and I/We undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I/We am/are aware that may be held liable for it. I/We hereby declare that I/We am/are not making this application for the purpose of contravention of any Act, Rules, Regulations or any statute of legislation or any noti ications / directions issued by any governmental or statutory authority from time to time. I/We hereby consent to receiving information from Central KYC Registry through SMS/ on the above registered number/ address. I/We hereby provide my /our consent in accordance with Aadhaar Act, 2016 and regulations made thereunder, for (i) collecting, storing and usage (ii) validating/authenticating and (ii i) updating my/our Aadhaar number(s) in accordance with the Aadhaar Act, 2016 (and regulations made thereunder) and PMLA. I/We hereby provide my/our consent for sharing/disclosing of my Aadhaar number(s) including demographic information with Registrar and Transfer Agent (RTA) for the purpose of updating the same in my/our folios with my/our PAN. [Signature / Thumb Impression] Signature / Thumb Impression of Guardian 2 3 Date Place

15 PART II - NOMINATION FORM Nomination Details I/We wish to make nomination (as per details given below) I/We do not wish to make a nomination (strike of the nomination details below) DATE: I/We wish to make a nomination and do here by nominate the following person in whom all rights and / or amount payable in respect of all my/our investment made in various Asset classes by IIFL Asset Management Limited and securities held in the Depository by me/us in account shall vest in the event of my/our death. I/We authorise the POA holder to submit the relevant nomination form on my/our behalf for all investment made through our POA account held under CRN with IIFL Investment Managers. Nomination can be made upto three nominees in the account. Name of the nominee(s) Share of each Nominee Relationship with the applicant Date of Birth of Nominee(s) Details of 1st Nominee Details of 2nd Nominee Details of 3rd Nominee % % % Any odd lot after division shall be transferred to the irst nominee mentioned in the form. Note: Attach PAN copy of nominee, if available In case Nominee is minor please provide below details: Date of Birth Name of Guardian Address of Nominee(s) Relationship of Guardian with nominee Note: Attach PAN copy of Guardian, if available Name(s) of holder(s) Signature(s) of holder Signature Instruction related to nomination are as below: I. The nomination can be made only by individuals holding bene iciary owner accounts on their own behalf singly or jointly. Non-individuals including Society, trust, body corporate, partnership irm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. If the account is held jointly all joint holders will sign the nomination form. II. A minor can be nominated. In that event, the name and address of the Guardian of the minor nominee shall be provided by the bene icial owner. III. A non-resident Indian can be a Nominee, subject to the exchange controls in force, from time to time. IV. Nomination in respect of the bene iciary owner account stands rescinded upon closure of the bene iciary owner account. Similarly, the nomination in respect of the securities shall stand terminated upon transfer of the securities. V. Transfer of securities in favour of a nominee shall be valid discharge by the Investment Manager against the legal heir. VI. The cancellation of nomination can be made by individuals only holding bene iciary owner accounts their own behalf singly or jointly by the same persons who made the original nomination. If the bene iciary owner account is held jointly, all joint holders will sign the cancellation form. VII. On cancellation of the nomination, the nomination shall stand rescinded and the Investment manager shall not be under obligation to transfer the securities in favour of the Nominee. Date

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17 COMMON AGREEMENT INDIVIDUAL & NON-INDIVIDUAL Total 3 Signatures

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19 PRIVATE PLACEMENT MEMORANDUM OF IIFL Special Opportunities Fund - Series 7 A Close Ended Scheme of IIFL Private Equity Fund (Category II Alternative Investment Fund) This Private Placement Memorandum (the Memorandum ) is being prepared and furnished to a limited number of prospective investors on a con idential basis, for them to consider an investment in the IIFL Special Opportunities Fund - Series 7 (the Fund ), a unit scheme of the IIFL Private Equity Fund and may not be used for any other purpose. Potential investors should carefully review this Memorandum before subscribing to the units of the Fund. This Memorandum may not be reproduced or provided to others without the prior written permission of the Fund or Investment Manager. By accepting delivery of this memorandum, each prospective investor agrees to the foregoing. The Information contained in this PPM may not be provided to others who are not directly concerned with your decision regarding such investment. The information contained in this PPM is not open to public circulation and if the same were to fall into the hands of an unauthorised Person (as de ined herein), the offer made in this PPM shall not be valid to them; however, such Person shall be bound by the con identiality of this PPM. Offeree Name : I hereby con irm and acknowledge the receipt of a copy of this PPM Document No. : Memorandum Dated: November 14, Private & Con idential (only for private circulation) SIGNATURE OF OFFEREE

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21 COMMITMENT / PAYMENT DETAILS (MANDATORY) [REFER INSTRUCTIONS] Commitment Amount*` (In Figures) (In Words) Class of Unit Payment Details A1 A2 A3 A4 Fund Incorporation/Setup Fees Up to 2.00% Cheque Amount*` Mode of Payment (Please ) RTGS Cheque / RTGS / NEFT No. MICR Code Account Type (Please ) Savings Current NRE NRO FCNR Payment from Bank A/c. No. Drawn on Bank Branch & City Dated D D M M Y Y Y Y BANK ACCOUNT DETAILS (Mandatory) [Refer Instructions] (Mandate for pay-out of distribution proceeds) Bank Name Account No. Branch Address Pin Code Account Type (Please ) Savings Current IFSC / NEFT* Code NRE (Please provide a cancelled blank cheque of the mentioned account) Branch / City Please verify and ensure the accuracy of bank details provided above. The Fund shall not be held responsible for delays or errors in processing your request if the information provided is incomplete or inaccurate. [*indicates - Mandatory] NRO FCNR I. I/We have read and understood the contents of the Private Placement Memorandum and the Contribution Agreement to IIFL Special Opportunities Fund - Series 7 ('the Scheme') including the provisions relating to "Anti Money Laundering" and Know Your Customers. I/We hereby apply to the Trustees of the Fund for units of the Scheme as indicated above and agree to abide by the terms and conditions of the Scheme. I/We have not received nor have been induced by any rebate or gifts, directly or indirectly, in making this investment. I/We further declare that the amount invested by me/us in the Scheme is derived through legitimate sources and is not held or designed for the purpose of contravention of any act, rules, and regulations or any statute or legislation or any other applicable laws or any noti ications, directions issued by any governmental or statutory authority from time to time. Further, relevant declaration and documents as mandated herein have been provided for the mode of my payment. ii. I/We further con irm that I/we have the express authority from the relevant constitution to invest in the units of the Scheme and the iii. DECLARATIONS Investment Manager, its Trustee and the Fund would not be responsible if the investment is ultra vires the relevant constitution. I/We authorize the Investment Manager to reject the application, reverse the units credited, restrain me/us from making any further investment in any of the Scheme /s of the Fund, recover / debit my/our folio(s) with the penal interest and take any appropriate action against me/us in case the cheque(s)/ payment instrument is/are returned unpaid by my/our bank for any reason whatsoever. iv. I/We hereby further agree that the Investment Manager can directly credit all the distribution pay-outs and redemption amount to my/our bank account, where the Investment Manager has such arrangement with my/our Bank. v. I/We hereby authorise the Investment Manager to provide my/our information, as mentioned in this application form or forming part of my/our Folio details, to Registrar and Transfer Agent or service providers engaged by R&T, for effectively carrying out the maintenance, storage and processing of unit holders' related activities. vi. I/We hereby con irm that joint investor is my spouse/ parent/ daughter/ son (relative). NOTE: In case Joint Investor is not relative as de ined above minimum capital commitment of Rs. 1 cr. will be applicable for each joint investor. First Applicant / Guardian / Authorised Signatory Second Applicant / Authorised Signatory Third Applicant / Authorised Signatory Applicant Name (Mandatory) Cheque/DD/RTGS/NEFT No. Drawn on Bank & Branch Amount Rs. ACKNOWLEDGMENT SLIP (For Of ice Use Only) PAN (Mandatory) Date D D M M Y Y Y Y IIFL Special Opportunities Fund - Series 7 A Close Ended Scheme of IIFL Private Equity Fund Category II Alternative Investment Fund SIGNATURE, STAMP & DATE Please Note: All allotments are subject to realisation of payment. This acknowledgment slip is for your reference only. Information on the form will be considered inal.

22 VERIFIED WITH ORIGINAL STAMP AFFIXED ON PROOFS Yes No Name of the Employee Employee Code Designation of the employee Documents veri ied with Originals Client Interviewed By In-Person Veri ication done by Signature

23 CONTRIBUTION AGREEMENT FOR SUBSCRIPTION TO UNITS OF IIFL SPECIAL OPPORTUNITIES FUND SERIES 7 (A Close ended Scheme of IIFL Private Equity Fund, registered with Securities and Exchange Board of India as a Category II Alternative Investment Fund vide registration no. IN/AIF2/12-13/0015) BETWEEN IIFL ASSET MANAGEMENT LTD (Investment Manager to IIFL Special Opportunities Fund - Series 7) AND IIFL TRUSTEE LIMITED (Trustee to IIFL Special Opportunities Fund - Series 7) AND CONTRIBUTOR Initial of IM Initial of Trustee Initial of Contributor(s)

24 CONTRIBUTION AGREEMENT This CONTRIBUTION AGREEMENT ( Agreement ) is executed on this day of, 20 at by and between: IIFL Asset Management Limited., a company incorporated under the Companies Act, 1956 having its registered of ice at IIFL Centre, Kamala City Senapati Bapat Marg,Lower Parel, Mumbai (hereinafter referred to as AMC or IM or Investment Manager which expression shall unless it be repugnant to the context or meaning thereof be deemed to include its successors and permitted assigns), of the ONE PART; AND IIFL Trustee Limited, a company incorporated under the Companies Act, 1956 having its registered of ice at IIFL Centre, 6th Floor, Kamala City, S.B. Marg, Lower Parel, Mumbai (hereinafter referred to as Trustee which expression shall unless it be repugnant to the context or meaning thereof be deemed to include its successors and permitted assigns), of the SECOND PART; AND Sole/First Contributor Joint Contributor 1 Joint Contributor 2 Residing at / having its registered of ice / Correspondence Address at (hereinafter referred to as the Contributor / Bene iciary which expression shall unless it be repugnant to the context or meaning thereof be deemed to mean and include, when the Contributor is (a) an individual, his or her heirs, executors, administrators and permitted assigns, (b) a partnership irm carrying business under the name registered under the Indian Partnership Act, 1932, in their capacity as partners of the aforesaid irm and also in their personal capacity, the partner or partners for the time being of the said partnership, the survivor or survivors of them and the heirs, executors and administrators of the last survivor, his/her/their permitted assigns, (c) a limited liability partnership registered under the Limited Liability Partnership Act, 2008, shall mean and include its successors and permitted assigns (d) a HUF represented through its Karta, and shall deem to mean and include the members or members for the time being of the HUF and their respective heirs, executors, administrators and assigns (e) a company including its successors and permitted assigns and all members and their respective heirs, executors, administrators and permitted assigns), (f) in case of any other entity (please specify i.e. Trust / Society / AOP / BOI etc.) shall mean and include its successors and permitted assigns) of the THIRD PART. Parties shall mean collectively the Trustee, Investment Manager and the Contributor and Party means each of the Trustee, Investment Manager and the Contributor individually. WHEREAS: 1. Under the Trust Deed dated July 23, 2012 the Settlor has appointed the Trustee to act as the trustee to IIFL Private Equity Fund which is established by virtue of the Trust Deed to, carry on the activity of an Alternative Investment Fund and to act as a privately pooled investment vehicle which shall collect funds from investors consisting of natural as well as arti icial persons like corporates, High Networth Individuals etc, whether Indian or foreign and will invest in securities with a de ined investment policy for the bene it of its investors in terms of SEBI (Alternative Investment Funds) Regulations, 2012 as may be in force from time to time. The Indenture of Trust has been amended vide the Amended and Reinstated Indenture of Trust dated October 1, 2014 and March 31, IIFL Special Opportunities Fund Series 7(the Scheme ), has been created as a scheme of IIFL Private Equity Fund a Category II Alternative Investment Fund. The Settlor and Trustee has also entered into a supplementary trust deed in relation to launch of the Scheme i.e. IIFL Special Opportunities Fund Series The Investment Manager has, on behalf of the Fund, issued the Private Placement Memorandum dated November 14, 2017 ( PPM ) and the Application form which the Unitholder has read and understood and terms of which are incorporated by reference in this Agreement and has unconditionally agreed to make a Contribution on the terms and conditions of this Agreement, the Trust Deed, the PPM and Application Form. The Key Terms of the Offer as mentioned in PPM and Application Form, which has been inter alia agreed upon by the Unitholder, are annexed as Annexure I. 1. INTERPRETATION 1.1 any provision of this Agreement which is stated to be applicable to Unitholders as a class of investors shall, unless the context otherwise requires, also be deemed to be applicable to the Unitholder; 1.2 without prejudice to the above, words in the singular shall include words in the plural and words in the plural shall include the singular; 1.3 the headings and sub-headings are inserted only for reference to the provisions and shall not affect the construction of such provisions; 1.4 references to clauses, parties, schedules and annexure refer to clauses, parties, schedules and annexure to this Agreement; 1.5 references to any statutory provisions shall be construed as references to those provisions as modi ied or re-enacted from time to time (whether before or after the date of this Agreement) and to any subordinate legislation made under such provisions and shall include references to any repealed statutory provision which has been so re-enacted (whether with or without modi ication); and the Parties shall be bound by the terms and conditions laid out in the PPM insofar as they are applicable to this Agreement and are not repugnant to any of the provisions contained in this Agreement. 1.6 Capitalised and other de ined terms used and not expressly de ined herein shall have the same meaning as are assigned to such terms in the PPM and the Trust Deed. Initial of IM Initial of Trustee Initial of Contributor(s)

25 Agreement or Contribution Agreement Annual Scheme Recurring Expenses Associate Business Day Bene icial Interest Bene iciaries Capital Commitment Capital Contribution Class A Units Class B Units Class S Units Class (Co-investment) Units Contributor and/or Investor Co-Sponsor NAV Net Capital Contribution Regulations/SEBI Regulations Settlor/Sponsor Trust Trustee Unit Unit Holder means the agreement executed amongst each Contributor as well as the Trustee and/or the Investment Manager to regulate the acceptance and disbursal of Capital Contributions to the Fund and the income thereon. The Contribution Agreement will also include within its de inition agreement signed by the investor towards Coinvestment units (i.e. the Co-Investment Contribution Agreement). These are the fees and expenses for operating the Scheme. means a company or a limited liability partnership or a body corporate in which a director or trustee or partner or Sponsor or Investment Manager of the Alternative Investment Fund or a director or partner of the Investment Manager or Sponsor holds, either individually or collectively, more than ifteen percent of its paid-up equity share capital or partnership interest, as the case may be. means a day other than a Saturday or a Sunday or a day on which banks or stock exchanges in Mumbai are authorized or required by Applicable Laws to remain closed, and such other days as the Investment Manager may specify from time to time. means the proportionate interest or share of each Bene iciary in the distributions of the Fund, calculated on basis of Units/AUM held by each such Bene iciary in the Fund in proportion to total Units/AUM issued by the Fund. means the Contributors of the Fund means the aggregate amount or commitment received by the Fund from the Contributors. means amount of Capital that has been drawn down and received by the Fund from Contributors. means units offered by the Fund and subscribed by Investors (solely or in association with others including its relatives /trust / company).class A units further classi ied into type Class A1, Class A2, Class A3 and Class A4 based on amount of Capital Commitment. means a Contributor who has been provided an opportunity by the Investment Manager to invest in the Co-invest Units*. The Fund may issue additional classes of Units to Contributors who have co-invested. The Co-invest Units shall be issued in different series representing interest in a particular portfolio investment. *Class S Unit holders shall be eligible (irrespective of investment amount) to invest under Class Co-investment, upto the Commitment made in Class S. means the Persons signatory to the Contribution Agreements and all other Persons, who make or agree to make contributions to the Fund in accordance with the Contribution Agreements and this Memorandum. Contributor can only be any Person who is permitted to invest in the Units under Applicable Laws. IIFL Wealth Management Limited; IIFL Wealth Finance Limited Means Net Asset Value per unit of the Scheme calculated in the manner described in the PPM or as may be prescribed by the SEBI Regulations from time to time. Capital Contribution minus the Fund Incorporation expense charged by the Fund. Means SEBI (Alternative Investment Funds) Regulations, 2012, as amended from time to time including any circulars, directions or clari ications issued by SEBI or any Government authority and as applicable to the Scheme and the Fund. IIFL Holdings Limited Means 'IIFL Private Equity Fund', the irrevocable, non-discretionary, determinate and speci ic trust declared by the Indenture of Trust dated July 23, 2012 under Indian trusts Act and registered as Category II-Alternative Investment Fund under Regulations. The Indenture of Trust has been amended vide the Amended and Reinstated Indenture of Trust dated October 1, 2014 and March 31, IIFL Trustee Limited Class of units which may be issued by the Fund under various Class of the Fund, each of which represents the bene icial interest of the Unit holder in the Fund Assets. Means a Contributor who is registered holder for the time being, of a unit of a scheme of the Fund / Trust. 2. CONTRIBUTION AND RETURNS ON CONTRIBUTION 2.1 (a) The Contributor commits to invest an amount of Rs. (Rupees only), as per terms and conditions a mentioned in the PPM and the Application Form (the key terms of which are annexed as Annexure I). (b) means Units offered by the Fund and subscribed by IIFL Group or such other persons as nominated by Sponsor/Co- Sponsor involved in management, distribution or advise to the Fund. means Units offered by the Fund and subscribed by Sponsor, Investment Manager, IIFL Group Companies and Employees of IIFL Group The Contributor hereby agrees to contribute an amount of Rs. (Rupees ), being the irst drawn down amount (i.e. % of the committed amount). 2.2 The Contributor agrees to contribute the amount at time of each draw down, as intimated by the Investment Manager. 2.3 Upon receipt of the Contributions from the Contributors, the Investment Manager shall at its discretion allot the units. 2.4 On execution of this Agreement, the details of the Unitholder will be entered into the Register of Unit holders / Bene iciaries, which shall be maintained and updated by the Investment Manager. 2.5 All payments made to the Fund shall by way of payment instruments in the name of the Fund, or by wire transfer to the designated bank account of the Fund or through any other legal and permissible banking channels as may be agreed by the Unitholder and IM. Initial of IM Initial of Trustee Initial of Contributor(s)