Mathew From: Sent: To: Subject: neaps@nse.co.in Monday, April 17, 2017 5:00 PM vivekmadhukar.a@stfc.in; mathew.c@stfc.in Submitted SHP for the quarter/period ended 31-Mar-2017 of Received Dear Sir/Madam. Thanks for submitting the Shareholding Pattern for quarter/period ended 31-Mar-2017. 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.
BSE LTD ACKNOWLEDGEMENT Acknowledgement No : 1704201705392331 Date & Time : 17/04/2017 05:39:38 PM Scrip Code : 511218 Entity Name : Shriram Transport Finance Company Limited Compliance Type : Regulation 31 - Shareholding pattern Quarter / Period : 31/03/2017 Mode : E-Filing
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) 31-03-2017 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 underlying Depository Receipts (VI) Total 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 Total Total as a % of (A+B+C) 1 59173023 59173023 26.08 59173023 59173023 26.08 (B) Public 50609 167709713 167709713 73.92 167709713 167709713 73.92 (C) (C1) (C2) Non Promoter- Non Public Shares underlying DRs Shares held by Employee Trusts Total 50610 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 percentage of 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) 26.08 59173023 (B) Public 73.92 163027190 (C) (C1) (C2) Non Promoter- Non Public Shares underlying DRs Shares held by Employee Trusts Total 100 222200213
Page 5 of 20 Sr. A (1) Indian (d) Sub-Total (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 fully Partly Total nos. Category & shares shares Nos. Of paid up paidup (VII) = shares held Name of the underlying (calculated No of Voting (XIV) Rights shareholders equity Shareholders Depository as per (III) shares held equity (IV)+(V)+ (I) Receipts SCRR, (IV) shares (VI) (VI) 1957) (VIII) Class eg: X Class Total held eg:y As a % of (V) (A+B+C2) Table II - Statement showing shareholding pattern of the Promoter and Promoter Group Any Other (specify) (2) Foreign Total Shareholding of Promoter and Promoter Group (A)= (A)(1)+(A) (2) B (1) Institutions (c) (e) (f) (i) Sub-Total (B)(1) Number of Voting Rights held in each class of securities (IX) Total as a % of Total Voting rights 1 59173023 59173023 26.08 59173023 59173023 26.08 1 59173023 59173023 26.08 59173023 59173023 26.08 1 59173023 59173023 26.08 59173023 59173023 26.08 Table III - Statement showing shareholding pattern of the Public shareholder Mutual Funds Alternate Investment Funds Foreign Portfolio Investors Financial Institutions/ Banks Any Other (specify) ( 3 ) Non-institutions (a(i)) (a(ii)) (b) (e) Sub-Total (B)(3) Total Public Shareholding (B)=(B)(1)+ (B)(2)+(B) (3) C Total ( A+B+C2 ) 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) 70 4011235 4011235 1.77 4011235 4011235 1.77 1 7300 7300 0 7300 7300 0 464 107485107 107485107 47.37 107485107 107485107 47.37 10 886643 886643 0.39 886643 886643 0.39 1 1650 1650 0 1650 1650 0 546 112391935 112391935 49.54 112391935 112391935 49.54 48069 12084689 12084689 5.33 12084689 12084689 5.33 30 1988515 1988515 0.88 1988515 1988515 0.88 9 4066 4066 0 4066 4066 0 1955 41240508 41240508 18.18 41240508 41240508 18.18 50063 55317778 55317778 24.38 55317778 55317778 24.38 50609 167709713 167709713 73.92 167709713 167709713 73.92 Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder 50610 226882736 226882736 100 226882736 226882736 100 50610 226882736 226882736 100 226882736 226882736 100
Total (A+B+C ) Page 6 of 20
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 percentage of 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) 26.08 59173023 Sub-Total (A) (1) (2) Foreign Total Shareholding of Promoter and Promoter Group (A)=(A) (1)+(A)(2) B (1) Institutions Table III - Statement showing shareholding pattern of the Public shareholder 26.08 59173023 26.08 59173023 1.77 3978840 (c) 0 7300 (e) 47.37 107485107 (f) 0.39 886433 (i) 0 0 Sub-Total (B) (1) ( 3 ) Non-institutions 49.54 112357680 (a(i)) 5.33 7716075 (a(ii)) 0.88 1868515 (b) 0 4066 (e) 18.18 41080854 Sub-Total (B) (3) Total Public Shareholding (B)=(B)(1)+(B) (2)+(B)(3) C Total ( A+B+C2 ) Total (A+B+C ) 24.38 50669510 73.92 163027190 Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder Disclosure of notes on shareholding pattern 100 222200213 100 222200213 Textual Information(1)
Page 8 of 20 Text Block Textual Information() 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 Investment 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) Shrilekha Business Consultancy Private Limited* (19) Shriram Seva Sankalp Foundation 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) and (19) in Note No. I and the person at Sr. No (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. *Shrilekha Financial Services (a firm registered under the Partnership Act 1932) has been converted into a Private Limited Company (as Shrilekha Business Consultancy Private Limited) under part 1 of Chapter XXI of the Companies Act, 2013 with effect from January 09, 2017.
Page 9 of 20 Any Other (specify) Searial No. 1 Category Bodies Corporate Click here to go back Name of the Shareholders (I) SHRIRAM CAPITAL LIMITED PAN (II) AABCS2726B Total No. of the Shareholders (I) No. of fully paid up equity shares held (IV) 1 1 59173023 59173023 No. Of Partly paidup equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) 59173023 59173023 26.08 26.08 Number of Voting Rights held in each class of securities (IX) Class eg: X 59173023 59173023 Class eg:y Total 59173023 59173023 Total as a % of Total Voting rights 26.08 26.08 securities (X) No. of Shares Warrants (Xi) securities and No. Of Warrants (Xi) Shareholding, as a % assuming full conversion of securities (as a percentage of 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) 26.08 26.08 Number of Shares pledged or otherwise encumbered (XIII) No. As a % of total Shares held (b) Number of equity shares held in 59173023 59173023
Page 10 of 20 dematerialized form (XIV) Reason for not providing PAN
Page 11 of 20 Foreign Portfolio Investors Searial No. 1 2 3 4 5 6 7 Name of the Shareholders (I) GOVERNMENT OF SINGAPORE CENTAURA INVESTMENTS (MAURITIUS) PTE LTD OPPENHEIMER INTERNATIONAL SMALL COMPANY FUND PLATINUM ASIA FUND NEW WORLD FUND INC SANLAM LIFE INSURANCE LIMITED STICHTING DEPOSITARY APG EMERGING MARKETS EQUITY POOL PAN (II) AAAJG0594R AACCC5118J AAATO0456A AAATP8273E AABCN3163H AAJCS8461R AAVCS6547E No. of fully paid up equity shares held (IV) No. Of Partly paid-up equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) 2468692 4319114 2849894 2414700 4260940 6757267 2617806 2468692 4319114 2849894 2414700 4260940 6757267 2617806 1.09 1.9 1.26 1.06 1.88 2.98 1.15 Number of Voting Rights held in each class of securities (IX) Class eg: X 2468692 4319114 2849894 2414700 4260940 6757267 2617806 Class eg:y Total 2468692 4319114 2849894 2414700 4260940 6757267 2617806 Total as a % of Total 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 percentage of diluted share capital) (XI)= (VII)+ (X) As a % of (A+B+C2) 1.09 1.9 1.26 1.06 1.88 2.98 1.15 1.09 1.9 1.26 1.06 1.88 2.98 1.15 Number of Locked in shares (XII) No. As a % of total Shares held (b)
Page 12 of 20 Number of equity shares held in dematerialized form (XIV) Reason for not providing PAN Reason for not providing PAN 2468692 4319114 2849894 2414700 4260940 6757267 2617806
Page 13 of 20 Searial No. 8 9 Name of the Shareholders (I) ABU DHABI INVESTMENT AUTHORITY -(Under sub accounts) Foreign Portfolio Investors VANGUARD EMERGING MARKETS STOCK INDEX FUND, ASERIES OF VANGUARD INTERNATIONAL EQ PAN (II) AAACA4380N AAATY0918K Total No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) Click here to go back 5133301 2892272 33713986 5133301 2892272 33713986 2.26 1.27 14.86 Number of Voting Rights held in each class of securities (IX) Class eg: X 5133301 2892272 33713986 Class eg:y Total 5133301 2892272 33713986 Total as a % of Total 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 percentage of 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 2.26 1.27 14.86 2.26 1.27 14.86 5133301 2892272 33713986
Page 14 of 20 Any Other (specify) Searial No. 1 Category Category / More than 1 percentage Name of the Shareholders (I) PAN (II) No. of the Shareholders (I) No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) Other Category UTI 1 1 Click here to go back Total 1650 1650 1650 1650 0 0 Number of Voting Rights held in each class of securities (IX) Class eg: X 1650 1650 Class eg:y Total 1650 1650 Total as a % of Total Voting rights securities (X) No. of Shares Warrants (Xi) securities and Warrants (X) Shareholding, as a % assuming full conversion of securities (as a percentage of 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 0 0 0 0 0 0
Page 15 of 20 Any Other (specify) Searial No. 1 2 3 4 5 6 7 Category Clearing Members Other Other Other Other Foreign Portfolio Investors (Category III) NRI Non- Repat Category / More than 1 percentage Category Category Category Category Category Category Category Name of the Shareholders (I) PAN (II) No. of the Shareholders (I) No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) DOMESTIC BODY CORPORATE DOMESTIC BODY CORPORATE- LLP/LIMITED LIABILITY PARTNERSHIP FOREIGN INSTITUTIONAL INVESTOR FOREIGN NATIONAL 243 522 23 67 2 14 353 1098547 26413725 24874 10199338 635 2471364 211602 1098547 26413725 24874 10199338 635 2471364 211602 0.48 11.64 0.01 4.5 0 1.09 0.09 Number of Voting Rights held in each class of securities (IX) Class eg: X 1098547 26413725 24874 10199338 635 2471364 211602 Class eg:y Total 1098547 26413725 24874 10199338 635 2471364 211602 Total as a % of Total 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 percentage of 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) 0.48 11.64 0.01 4.5 0 1.09 0.09 0.48 11.64 0.01 4.5 0 1.09 0.09 1098547 26378871 24874 10199338 635 2471364 86852
Page 16 of 20 Number of equity shares held in dematerialized form (XIV) Reason for not providing PAN Reason for not providing PAN
Page 17 of 20 Any Other (specify) Searial No. 8 9 10 11 12 Category Category / More than 1 percentage Name of the Shareholders (I) NRI Repat Overseas corporate bodies Trusts Category Category Category Category Unclaimed or Suspense or Escrow Account Other More than 1 percentage of shareholding PIRAMAL ENTERPRISES LIMITED PAN (II) AAACN4538P Total No. of the Shareholders (I) No. of fully paid up equity shares held (IV) No. Of Partly paidup equity shares held (V) No. Of shares underlying Depository Receipts (VI) Total 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) 720 1 9 1 1 1955 Click here to go back 203228 50 282003 335142 22600000 41240508 203228 50 282003 335142 22600000 41240508 0.09 0 0.12 0.15 9.96 18.17 Number of Voting Rights held in each class of securities (IX) Class eg: X 203228 50 282003 335142 22600000 41240508 Class eg:y Total 203228 50 282003 335142 22600000 41240508 Total as a % of Total 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 percentage of 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 0.09 0 0.12 0.15 9.96 18.17 0.09 0 0.12 0.15 9.96 18.17 203228 0 282003 335142 22600000 41080854
Reason for not providing PAN Page 18 of 20
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 1271 335142 335142 voting rights which are frozen Disclosure of notes on shares which remain unclaimed for public shareholders