BSE LTD ACKNOWLEDGEMENT Acknowledgement No : 1810201601451731 Date & Time : 18/10/2016 01:45:17 PM Scrip Code : 511218 Entity Name : Shriram Transport Finance Company Limited Compliance Type : Regulation 31 - Shareholding pattern Quarter / Period : 30/09/2016 Mode : E-Filing
From: Sent: To: Subject: neaps@nse.co.in Tuesday, October 18, 2016 4:56 PM sreejith.nair@stfc.co.in; vivekmadhukar.a@stfc.in Submitted SHP for the quarter/period ended 30-Sep-2016 of Received Dear Sir/Madam. Thanks for submitting the Shareholding Pattern for quarter/period ended 30-Sep-2016. Kindly note that the submissions received vide NEAPS shall be treated as final submissions and physical copies may be submitted only on request from the Exchange. We will look into the same and revert after further processing. Regards, National Stock Exchange of India Limited.
Page 1 of 20 General information about company Scrip code 511218 Name of the company Shriram Transport Finance Company Limited Whether company is SME No Class of Security Equity Shares Type of report Quarterly Quarter Ended / Half year ended/date of Report (For Prelisting / Allotment) 30-09-2016 Date of allotment / extinguishment (in case Capital Restructuring selected) / Listing Date Shareholding pattern filed under Regulation 31 (1) (b)
Page 2 of 20 Sr. No. Particular Yes/No 1 Whether the Listed Entity has issued any partly paid up shares? No 2 Whether the Listed Entity has issued any Convertible Securities? No 3 Whether the Listed Entity has issued any Warrants? No 4 Whether the Listed Entity has any shares against which depository receipts are issued? No 5 Whether the Listed Entity has any shares in locked-in? No 6 Whether any shares held by promoters are pledge or otherwise encumbered? No 7 Whether company has equity shares with differential voting rights? No
Page 3 of 20 Category (I) (A) Category of shareholder (II) Promoter & Promoter Group Nos. Of shareholders (III) Table I - Summary Statement holding of specified securities No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+(V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) Number of Voting Rights held in each class of securities (IX) No of Voting (XIV) Rights Class eg: X Class eg:y as a % of (A+B+C) 1 59103162 59103162 26.05 59103162 59103162 26.05 (B) Public 45955 167779574 167779574 73.95 167779574 167779574 73.95 (C) (C1) (C2) Non Promoter- Non Public Shares DRs Shares held by Employee Trusts 45956 226882736 226882736 100 226882736 226882736 100
Page 4 of 20 Category (I) (A) Category of shareholder (II) Promoter & Promoter Group Table I - Summary Statement holding of specified securities No. Of Shares securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities ( as a diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of Shares pledged or otherwise encumbered (XIII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) 26.05 59103162 (B) Public 73.95 162939934 (C) (C1) (C2) Non Promoter- Non Public Shares DRs Shares held by Employee Trusts 100 222043096
Page 5 of 20 Sr. A (1) Indian (d) Sub- (A)(1) Table II - Statement showing shareholding pattern of the Promoter and Promoter Group Shareholding No. as a % of Of No. Of total no. of No. of Partly nos. Category & shares shares Nos. Of fully paid paidup (VII) = shares held Name of the (calculated No of Voting (XIV) Rights shareholders up equity Shareholders Depository as per (III) shares held equity (IV)+(V)+ (I) Receipts SCRR, 1957) (IV) shares (VI) Class eg: Class (VI) (VIII) As a held X eg:y % of (V) (A+B+C2) Table II - Statement showing shareholding pattern of the Promoter and Promoter Group Any Other (specify) (2) Foreign Shareholding of Promoter and Promoter Group (A)= (A)(1)+(A) (2) B (1) Institutions (e) (f) Sub- (B)(1) ( 2 ) Sub- (B)(2) Number of Voting Rights held in each class of securities (IX) as a % of Voting rights 1 59103162 59103162 26.05 59103162 59103162 26.05 1 59103162 59103162 26.05 59103162 59103162 26.05 1 59103162 59103162 26.05 59103162 59103162 26.05 Table III - Statement showing shareholding pattern of the Public shareholder Mutual Funds Foreign Portfolio Investors Financial Institutions/ Banks Central Government/ State Government (s)/ President of India ( 3 ) Non-institutions (a(i)) (a(ii)) (b) (e) Sub- (B)(3) Public Shareholding (B)=(B)(1)+ (B)(2)+(B) (3) C Individuals - i.individual shareholders holding nominal share capital up to Rs. 2 lakhs. Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs. NBFCs registered with RBI Any Other (specify) 106 5975338 5975338 2.63 5975338 5975338 2.63 355 68725878 68725878 30.29 68725878 68725878 30.29 17 789024 789024 0.35 789024 789024 0.35 478 75490240 75490240 33.27 75490240 75490240 33.27 2 411974 411974 0.18 411974 411974 0.18 2 411974 411974 0.18 411974 411974 0.18 43497 11943385 11943385 5.26 11943385 11943385 5.26 27 2221674 2221674 0.98 2221674 2221674 0.98 4 658 658 0 658 658 0 1947 77711643 77711643 34.25 77711643 77711643 34.25 45475 91877360 91877360 40.5 91877360 91877360 40.5 45955 167779574 167779574 73.95 167779574 167779574 73.95 Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Page 6 of 20 ( A+B+C2 ) (A+B+C ) 45956 226882736 226882736 100 226882736 226882736 100 45956 226882736 226882736 100 226882736 226882736 100
Page 7 of 20 Sr. A (1) Indian Table II - Statement showing shareholding pattern of the Promoter and Promoter Group securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities ( as a diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Table II - Statement showing shareholding pattern of the Promoter and Promoter Group Number of Shares pledged or otherwise encumbered (XIII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) (d) 26.05 59103162 Sub- (A) (1) (2) Foreign Shareholding of Promoter and Promoter Group (A)=(A) (1)+(A)(2) B (1) Institutions Table III - Statement showing shareholding pattern of the Public shareholder 26.05 59103162 26.05 59103162 2.63 5941293 (e) 30.29 68725878 (f) 0.35 788814 Sub- (B) (1) 33.27 75455985 ( 2 ) 0.18 411974 Sub- (B) (2) ( 3 ) Non-institutions 0.18 411974 (a(i)) 5.26 7417654 (a(ii)) 0.98 2101674 (b) 0 658 (e) 34.25 77551989 Sub- (B) (3) Public Shareholding (B)=(B)(1)+(B) (2)+(B)(3) C ( A+B+C2 ) (A+B+C ) 40.5 87071975 73.95 162939934 Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder Disclosure of notes on shareholding pattern 100 222043096 100 222043096 Textual Information(1)
Page 8 of 20 Text Block Textual Information() NOTES TO REGULATION 31 OF THE SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 FOR THE QUARTER ENDED SEPTEMBER 30, 2016 I The Promoter Group as defined under Regulation 2 (1)(t) of Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers Regulations, 2011, (SAST Regulations 2011): (1)Shriram Ownership Trust, (2) Shriram Financial Ventures (Chennai) Private Limited, (3) Shriram Life Insurance Company Limited, (4)Shriram General Insurance Company Limited, (5)Shriram Credit Company Limited, (6) Shriram Asset Management Company Limited, (7)Bharat Reinsurance Brokers Private Limited, (8)Shriram Overseas Investments Private Limited, (9)Shriram Investments Holdings Limited, (10)Bharat Investments Pte. Limited Singapore, (11) Shriram City Union Finance Ltd, (12) Shriram Fortune Solutions Limited, (13) Shriram Wealth Advisors Limited, (14)Shriram Insight Share Brokers Limited, (15)Shriram Financial Products Solutions (Chennai) Private Limited, (16) Shriram Housing Finance Limited, (17) Insight Commodities and Futures Private Limited (18) Shriram Seva Sankalp Foundation (19) Shrilekha Financial Services (Firm) and (20) SGI Philippines General Insurance Co Inc. II The Persons Acting in Concert (PAC), as defined in the SAST Regulations 2011 for the purpose of Regulation 10 of SAST Regulations, 2011: (i) Sanlam Emerging Markets (Mauritius) Limited, (ii)shriram Mutual Fund (SMF), (iii)mr. S Krishnamurthy (Trustee of SMF), (iv)mr.s M Prabhakaran (Trustee of SMF), (v)mr. V N Shivashankar (Trustee of SMF), (vi)dr. Qudsia Gandhi (Trustee of SMF), (vii) Mr. Mani Sridhar (Trustee of SMF), (viii) Shriram Automall India Limited and (ix)sanlam Life Insurance Limited. III All the entities/persons mentioned in Note No. I and Note No. II are PACs for not less than three years except the entities at Sr. No. (18) (19) and (20) in Note No. I and the entities/persons at Sr. No. (vi) and (vii) in Note No II which are PACs for less than three years. IV None of the above-mentioned entities/persons in Note No. I and II hold any shares in the Company except the entity at Sr. No. (ix) in Note No. II.
Page 9 of 20 Any Other (specify) Searial No. 1 Category Bodies Corporate Click here to go back Name of the SHRIRAM CAPITAL LIMITED PAN (II) AABCS2726B No. of the No. of fully paid up equity shares held (IV) 1 1 59103162 59103162 No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 59103162 59103162 26.05 26.05 Number of Voting Rights held in each class of securities (IX) Class eg: X 59103162 59103162 Class eg:y 59103162 59103162 as a % of Voting rights 26.05 26.05 securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) 26.05 26.05 Number of Shares pledged or otherwise encumbered (XIII) No. As a % of total Shares held (b) Number of equity shares held in 59103162 59103162
Page 10 of 20 dematerialized form (XIV) Reason for not providing PAN
Page 11 of 20 Mutual Funds Searial No. 1 Name of the SBI DUAL ADVANTAGE FUND - SERIES XV Click here to go back PAN (II) AABTS6407Q No. of fully paid up equity shares held (IV) 25789952578995 No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 25789952578995 1.14 1.14 Number of Voting Rights held in each class of securities (IX) Class eg: X 25789952578995 Class eg:y 25789952578995 as a % of Voting rights 1.14 1.14 securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) 1.14 1.14 Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) 25789952578995 Reason for not providing PAN Reason for not providing PAN
Page 12 of 20 Foreign Portfolio Investors Searial No. 1 2 3 4 5 6 Name of the CENTAURA INVESTMENTS (MAURITIUS) PTE LTD GOVERNMENT PENSION FUND GLOBAL NEW WORLD FUND INC SANLAM LIFE INSURANCE LIMITED SMALLCAP WORLD FUND, INC STICHTING DEPOSITARY APG EMERGING MARKETS EQUITY POOL PAN (II) AACCC5118J AACCN1454E AABCN3163H AAJCS8461R AABCS3581L AAVCS6547E No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 4319114 2583155 3175410 6757267 4428739 4318565 4319114 2583155 3175410 6757267 4428739 4318565 1.9 1.14 1.4 2.98 1.95 1.9 Number of Voting Rights held in each class of securities (IX) Class eg: X 4319114 2583155 3175410 6757267 4428739 4318565 Class eg:y 4319114 2583155 3175410 6757267 4428739 4318565 as a % of Voting rights securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) Reason for not providing PAN Reason for not providing PAN 1.9 1.14 1.4 2.98 1.95 1.9 1.9 1.14 1.4 2.98 1.95 1.9 4319114 2583155 3175410 6757267 4428739 4318565
Page 13 of 20 Foreign Portfolio Investors Searial No. Name of the Click here to go back PAN (II) No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 25582250 25582250 11.28 Number of Voting Rights held in each class of securities (IX) Class eg: X 25582250 Class eg:y 25582250 as a % of Voting rights securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) 11.28 11.28 Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) 25582250 Reason for not providing PAN Reason for not providing PAN
Page 14 of 20 Any Other (specify) Searial No. 1 2 3 4 5 6 7 Category Category / More than 1 percentage Name of the PAN (II) No. of the No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) Clearing Members Bodies Corporate Other Other Foreign Portfolio Investors (Category III) Overseas corporate bodies Trusts Category Category Category Category Category Category Category LIMITED LIABILITY PARTNERSHIP FOREIGN INSTITUTIONAL INVESTOR 262 593 16 172 15 1 10 482966 26029464 26874 50013515 499710 50 276446 482966 26029464 26874 50013515 499710 50 276446 0.21 11.47 0.01 22.04 0.22 0 0.12 Number of Voting Rights held in each class of securities (IX) Class eg: X 482966 26029464 26874 50013515 499710 50 276446 Class eg:y 482966 26029464 26874 50013515 499710 50 276446 as a % of Voting rights securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) 0.21 11.47 0.01 22.04 0.22 0 0.12 0.21 11.47 0.01 22.04 0.22 0 0.12 482966 25994610 26874 50013515 499710 0 276446
Page 15 of 20 Reason for not providing PAN Reason for not providing PAN
Page 16 of 20 Any Other (specify) Searial No. 8 9 10 11 12 13 14 Category Category / More than 1 percentage Name of the NRI Repat NRI Non- Repat Category Category Category Other Other Other Other Other NRI More than 1 shareholding ABU DHABI INVESTMENT AUTHORITY - LGLINV More than 1 shareholding GOVERNMENT OF SINGAPORE More than 1 shareholding KUWAIT INVESTMENT AUTHORITY FUND 142 More than 1 shareholding MORGAN STANLEY MAURITIUS COMPANY LIMITED PAN (II) AAACA4380N AAAJG0594R AAATK3858Q AADCM5927G No. of the No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 593 271 14 1 1 1 1 185712 72156 124750 4875202 4862150 2735873 3746757 185712 72156 124750 4875202 4862150 2735873 3746757 0.08 0.03 0.05 2.15 2.14 1.21 1.65 Number of Voting Rights held in each class of securities (IX) Class eg: X 185712 72156 124750 4875202 4862150 2735873 3746757 Class eg:y 185712 72156 124750 4875202 4862150 2735873 3746757 as a % of Voting rights securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in 0.08 0.03 0.05 2.15 2.14 1.21 1.65 0.08 0.03 0.05 2.15 2.14 1.21 1.65 185712 72156 0 4875202 4862150 2735873 3746757
Page 17 of 20 dematerialized form (XIV) Reason for not providing PAN Reason for not providing PAN
Page 18 of 20 Any Other (specify) Searial No. 15 16 Category Bodies Corporate Other Category / More than 1 percentage Name of the More than 1 shareholding PIRAMAL ENTERPRISES LIMITED More than 1 shareholding VANGUARD EMERGING MARKETS STOCK INDEX FUND, ASERIES OF VANGUARD INTERNATIONAL EQ PAN (II) AAACN4538P AAATY0918K No. of the No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares Depository Receipts (VI) nos. shares held (VII) = (IV)+ (V)+ (VI) Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2) 1 1 1947 Click here to go back 22600000 2690980 77711643 22600000 2690980 77711643 9.96 1.19 34.23 Number of Voting Rights held in each class of securities (IX) Class eg: X 22600000 2690980 77711643 Class eg:y 22600000 2690980 77711643 as a % of Voting rights securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a diluted share capital) (XI)= (VII) +(X) As a % of (A+B+C2) Number of Locked in shares (XII) No. As a % of total Shares held (b) Number of equity shares held in dematerialized form (XIV) Reason for not providing PAN Reason for not providing PAN 9.96 1.19 34.23 9.96 1.19 34.23 22600000 2690980 77551989
Page 19 of 20 Details of Shares which remain unclaimed for Public Searial No. Number of shareholders shares held in demat or unclaimed suspense account 1 1282 338517 338517 voting rights which are frozen Disclosure of notes on shares which remain unclaimed for public shareholders