valid as on 20/10/2020

Regulation 104 - Post-issue reports
Effective from 26-08-2009

(1) The merchant banker shall submit post-issue reports to the Board in accordance with subregulation (2).

(2) The post-issue reports shall be submitted as follows:

(a) initial post issue report on the lines of , within three days of closure of the issue;

(b) final post issue report on the lines of , within fifteen days of the date of finalisation of basis of allotment or within fifteen days of refund of money in case of failure of issue.

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ICDR – SCHEDULE XVI

PART B

[See regulations 65(2)(a) and 104(2)(a)]

FORMAT OF INITIAL POST ISSUE REPORT FOR RIGHTS ISSUE
Subscription Status: (Subscribed / Undersubscribed)

Note: It is the responsibility of lead merchant banker to give correct information after verifying it from the issuer and the registrar to the issue.

(1) Name of the issuer :

(2) Issue opening date :

(3) Actual closing date :

(4) Date of filing letter of offer with the stock exchange :

(5) Issue details (as per the letter of offer) :

(a) Basis of offer (ratio) :

(b) Nature of specified securities : (equity shares/fully convertible debentures/partly
convertible debentures, etc.)

(c) Offer price per instrument :

(d) Amt. per instrument on application :

(e) Issue size : Rs. lakhs

(6) Record date :

(7) Provisional subscription details of the issue :

(a) Total amount to be collected on application : Rs. lakhs

(b) Amount collected on application : Rs. lakhs

(c) % subscribed i.e. % of (ii) to (i) : (%)

(d) Please tick mark whether 90% minimum subscription collected : (i) YES (ii) NO

Signed by                                          Signed by                                             Signed by
Registrars to the Issue                  Issuer                                                     Lead merchant banker

Place:
Date:

PART C

[See regulations 65(1)and 104(2)(b)]

FORMAT OF FINAL POST ISSUE REPORT FOR PUBLIC ISSUE
Subscription Status: (Subscribed / Undersubscribed)

Notes:
(1) It is the responsibility of lead merchant banker to give correct information after verifying the facts from the issuer and the registrar to the issue.

(2) The lead merchant banker shall enclose a certificate from the refund banker that the amount of refund due from the issuer to investors is deposited in a separate account giving details of the total amount deposited in the account and date of deposit.

(I) IN CASE OF SUBSCRIBED ISSUE:

(1) Name of the issuer :

(2) Issue opening date :

(3) Actual closing date :

(4) Issue Details (as per the prospectus) :

(a) Nature of instrument : (equity shares/fully convertible debentures/partly convertible
debentures, etc.)

(b) Offer price per instrument :

(c) Amount per instrument on application :

(d) Issue Size : Rs. in lakhs

(5) 336[***]

(6) No. of collecting banks :
(Also specify no. of bank branches)

(7) Bank-wise names of branches which did not submit final consolidated certificates from closure of issue and mention the dates when they actually submitted :

(8) Subscription Details :

(a) Public Offer (Net) (Including unsubscribed portion of reserved category added back to net public offer)

(i) No. of applications recd. :

(ii) No. of instruments applied for :

(iii) Amount of subscription received : Rs.

(iv) No. of times issue subscribed :

(b) Information relating to reserved categories
Reservations   No. of applications   No. of instruments   Amount


Employees
Others
(Specify)


(9) Actual Date of finalisation of Basis of Allotment (enclose copy) :

(10) Allotment Details :
(a) No. of successful allottees per 1 lakh shares :
(b) No. of unsuccessful allottees :

(8) Actual Date(s) of completion of despatch of :

(a) Refund Orders :

(b) Certificates/Allotment Letters : (c) Reasons for delay in despatch, if any :

(d) Whether interest paid for delayed period, if so, for which period :

(9) Amount of refund due : Rs.

(10) Refund Banker(s) (Name and Address) :

(11) Date of transfer of refund amount to Refund Banker, if any :

(12) Date of completion of despatch of refund orders :

(13) Name of Designated Stock Exchange :

(14) Names of other stock exchanges where listing is sought :

(15) Date on which application was filed with each stock exchange for listing of instruments:

(16) Date when listing and trading permission given by each stock exchange (Enclose copies of permission letters of stock exchanges) :

(17) Reasons for delay in listing for trading, if any :

(II) IN CASE OF UNDER SUBSCRIBED ISSUE:

(1) If the issue is underwritten, mention the amount of issue underwritten :

(2) Extent of under subscription on the date of closure of the issue

(a) Percentage :

(b) Amount :

(3) Total no. of underwriters :

(4) If devolvement notices had not been issued, mention how the shortfall was met :

(5) No. of underwriters to whom devolvement notices had been issued :

(6) Date of issue of devolvement notices :

(7) No. of underwriters who did not pay devolvement (Please give names, amount underwritten and reasons for not paying) :

(8) In case of default from underwriters, mention how the shortfall was met :

(9) In case where FIs/ MFs had subscribed to make up shortfall not as underwriter :

(a) Name of FI/MF :

(b) No. of securities applied for :

(c) Amount received :

Certified that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders / allotment letters / certificates are pending for despatch in respect of the issue.

Certified that specified securities to be locked in are duly inscribed with the words “specified securities cannot be hypothecated / transferred / sold till ………”

Signed by                               Signed by                              Signed by
Registrars to the Issue       Issuer                                     Lead Merchant Banker(s)

Place:
Date:

PART D

[See regulations 65(2)(b) and 104(2)(b)]

FORMAT OF FINAL POST ISSUE REPORT FOR RIGHTS ISSUE
Subscription Status: (Subscribed / Undersubscribed)

Notes:
(1) It is the responsibility of lead merchant banker to give correct information after verifying it from the issuer and the registrar to the issue.

(2) The lead merchant banker shall enclose a certificate from the banker to issue that the amount of refunds due from the issuer to investors is deposited in a separate account giving details of the total amount deposited in the account and date of deposit.

(I) IN CASE OF SUBSCRIBED ISSUE:

(1) Name of the issuer :

(2) Issue Opening date :

(3) Actual closing date :

(4) Issue Details (as per the letter of offer)

(a) Basis of offer :

(b) Nature of instrument : (equity shares/fully convertible
debentures/partly convertible debentures, etc.) Offer price per instrument

(c) Amt. per instrument on application :

(d) Issue Size : Rs. in lakhs

(5) 3-Day Report

(a) Due on :

(a) Submitted on :

(6) No. of collecting banks (Also specify no. of bank branches) :

(7) Bank-wise names of branches which did not submit final consolidated certificate from closure of issue and mention the dates when they actually submitted :

(8) Details of subscription :

(a) Percentage of rights taken up by :

(i) Promoters :

(ii) Other Shareholders :

(b) Percentage of rights renounced by:

(i) Promoters :

(ii) Others :

(c) Percentage of rights taken by shareholders/ renounces :

(d) Percentage at the disposal of the Board :

(e) Out of the unsubscribed portion as in above, taken by :

(i) Promoters :

(ii) Others :

(9) Promoters‘ shareholding :    No. of Shares         Percentage

(a) Prior to the Issue :

(b) On Expanded Capital after the rights issue:

(10) Date of finalisation of allotment (enclose copy of the basis of allotment) :

(11) (a) Name and Address of Refund Banker :

(b) Amount of refund due :

(c) Date of transfer of refund amount to refund banker, if any :

(12) Actual date(s) of completion of despatch of:

(a) Refund orders :

(b) Certificate/ allotment letters/ demat credit :

(c) Reasons for delay in despatch, if any :

(d) Whether interest paid for delayed period, if so, for which period :

(13) Name of designated stock exchange :

(14) Names of other stock exchanges where listing is sought :

(15) 15th day from the date of closure of the issue :

(16) Date on which application was filed with each stock exchange for listing of
instruments :

(17) Date when listing and trading permission given by each stock exchange (Enclose copies of permission letters of stock exchanges) :

(18) Reason for delay in listing for trading, if any :

(II) IN CASE OF UNDER SUBSCRIBED ISSUE:

(1) Extent of under-subscription on the date of closure of the issue

(a) Percentage :

(b) Amount :

(2) Details of standby assistance, if any

(a) No. of Underwriters :

(b) No. of Underwriters who did not pay devolvement (Please give names, amount
underwritten and reasons for not paying) :

(3) In case where FIs/ MFs had subscribed to make up shortfall not as underwriter

(a) Name of FI/MF :

(b) No. of securities applied for :

(c) Amount Received :

CERTIFIED that the information given above and also in the enclosures are true to the best of our knowledge and no refund orders / allotment letters / certificates are pending for despatch in respect of the issue.

Certified that specified securities to be locked- in are duly inscribed with the words “specified securities can not be hypothecated / transferred / sold till ………”

Signed by                                    Signed by                          Signed by
Registrars to the issue           Issuer                                  Lead Merchant Banker(s)

Place:
Date:


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