(On the letter head of the Member) Change in Shareholding Pattern without Change in Control - Corporates Instruction for Submission & filling‐up documents (for Member’s reference only): STAGE – 1: Submission of Documents for prior approval of the Exchanges / Clearing Corporation Documen t Ref. No Particulars CSHC-1 Request letter for obtaining prior approval for change in shareholding pattern without change in control. To be submitted for any change in shareholding pattern and change in composition of Promoter Group of Member entity. In case of change in shareholding / sharing pattern of Corporate Promoter / Holding Company / Ultimate Holding Company the same needs to be intimated to the Exchange/Clearing Corporation, if such changes do not lead to change in control. In case such changes results in change in control of the member entity (directly or indirectly), the same would require prior approval from Exchange & SEBI. In case of Member entity / corporate promoter is a listed company, no prior approval is required, if such changes do not lead to change in control. However, Members are required to inform about such changes to Exchange/Clearing Corporation (as applicable) on quarterly basis. In case of any change leading to change in control, such changes would require prior approval from Exchange & SEBI. In case of issue of ESOPs by member entity only intimation is required. Shareholding Pattern and Details of Promoter / Non-Promoter Group (Before Change) To be submitted in the specified format:  duly certified by a Chartered Accountant / Company Secretary in Practice, only if there are changes since the last approved by the Exchange / Clearing Corporation and present shareholding pattern. Else;  In case of no changes from the last approved details of Shareholding pattern & details of promoter/non-promoter, submit the certified copies (by continuing Designated Director / Authorised Signatory (ies) (as authorized by Board Resolution) under rubber stamp). To be submitted for Member entity / Corporate promoter / Holding Company / Ultimate Holding Company. In case of HUF, the details of the Karta and the Co-Parceners should be provided separately on the letter head of the HUF. Persons holding 2% or more of the paid-up capital should be shown separately and not to be clubbed in others. Preference shareholding, if any, in Member entity / Corporate promoter / Holding Company / Ultimate Holding Company to be provided in the similar format. In case of multiple changes since the Shareholding Pattern last approved by the Exchanges/Clearing Corporations, all such changes need to be covered with supporting. Shareholding Pattern and Details of Promoter Group (After Change-Proposed) To be signed by Designated Director(s) / Authorised Signatory (ies) (as authorized by Board Resolution) under rubber stamp of company for proposed changes. a) b) c) CSHC-2 a) b) c) d) e) f) CSHC –2 a) CSHC-3 a) b) CSHC – 4 Submitted (Yes / No / NA) Note: Certification by Chartered Accountant / Company Secretary in Practice is not required for proposed changes. Board Resolution (suggested) for the Changes carried out in the Shareholding pattern Certified True Copy of the Board Resolution for the Changes carried out in the Shareholding Pattern / Promoter Group of the Member entity / Corporate Promoter Group / Holding Company / Ultimate Holding Company. Separate Board resolution to be provided for reclassification of promoter. Standard Undertaking BSE - PUBLIC (On the letter head of the Member) If ‘Yes’ is mentioned in any of the points of standard undertaking, then details are mentioned in “Annexure to Undertaking” Each page of standard undertaking has to stamped and signed. In case there is no change in the details of the undertaking, please submit the certified true copy* of the Undertaking already submitted to the Exchange/Clearing Corporation if the same is not older than 3 months (*certified by Authorised Signatory). a) b) c) CSHC – 5a CSHC-6 CSHC-7 a) b) Applicable Fees to be paid as applicable PEP Undertaking Transmission of Shares (due to death) Copy of death certificate duly certified by member. In case of change in shareholding pattern of the company by transmission of shares a copy of “will” duly certified by all legal heirs & directors of the company should be submitted. In absence of “will” a affidavit from legal heirs from the Court of Law duly certified by the legal heirs & directors of the company should be submitted S