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Listing Requirement: Initial Public Offering - Equity
Listing Requirement: Initial Public Offering - Equity
Listing Requirement: Initial Public Offering - Equity
Guidance Note
Listing requirements for public issues has been divided in two stages: I. Pre Issue Stage i.e. at the time of Vetting of DRHP Checklist and Documents required at the time of vetting of DRHP II. Post Issue Stage i.e. after closure of the Issue Checklist and Documents required after closure of the issue Listing Application - Company Details - Share Capital & Forfeited Shares History - Securities Information - IPO Details - Basis of Allotment Details You may like to take note of the following with respect to lling of Listing Application:
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All the pages of the documents submitted to the Exchange must bear rubber stamp of company and initials of company secretary. All resolutions/ reports/ agreements/ undertakings should be certied to be true copy. Use extra sheets/ annexures (duly stamped and initialed) if required in case the space provided is inadequate. No details on the form should be left blank. Please strikethrough, if, not applicable. The Exchange reserves the right to ask for more documents in addition to mentioned herein. Digital versions of the forms may be downloaded from the Corporate section of our website www.mcx-sx.com You may tear the sheet and submit to the Exchange wherever applicable. Listing application letter to be printed on the letterhead of the applicant.
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Yes
No
NA
Yes
No
NA
Yes Yes
No No
NA NA
Yes
No
NA
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Particular 8. Undertaking from the issuer that there has not be any disciplinary action taken by any recognised Stock Exchange or any regulatory authorities including SEBI against the promoter(s)/ group company(ies) or any other company(ies) promoted by the same promoter(s). In case of any action, provide the details of the same Other Documents 9. Copies of Annual Report of the Company for the last 5 years, or in the case of new companies , for such period for which accounts have been prepared 10. 11 Copies of Draft Red Herring Prospectus/ Draft Prospectus (Hard as well as Soft Copies) 11. Copies of all Prospectus or Statement in lieu of Prospectus issued by company at any time 12. Copy of Memorandum and Article of Association (AoA) and a copy of the trust deed, in case of debenture issue 13. Copies of all the Material contracts and documents 14. 1% security deposit of the issue size to be deposited before opening of the issue (the same shall be collected at least one day prior to the opening of the issue in case MCX-SX is the designated stock exchange)
Yes
No
NA
No No No No No No No
NA NA NA NA NA NA NA
Date: Place:
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Date: Place:
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Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
No No No No No No No No No No
NA NA NA NA NA NA NA NA NA NA
* In case MCX-SX is the designated Stock Exchange for the Issue, the above mentioned documents must be submitted within 7 days
Date: Place:
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No No No No No No No
NA NA NA NA NA NA NA
Yes
No
NA
Yes Yes
No No
NA NA
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12. Con rmation from RTA regarding the credit of bene ciary accounts of the security holders along with lock-in details, if any in the format provided below:
Number of securities Distinctive number range Date up to which securities are under lock-in Physical/Demat
From
To
13 Con rmation from the Lead Manager and Issuer con rming that the issue is in compliance with all requirements of SEBI (Issue of Capital & Disclosure Requirements) Regulations, 2009, any other applicable law, Rules and Regulations 14 Allotment register in soft copy for the issue
Yes
No
NA
Yes
No
NA
Date: Place:
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No
NA
No No No No
NA NA NA NA
3 4 5 6
Yes
No
NA
It may be noted that the documents mentioned above may be provided at dierent stages as applicable.
Date: Place:
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The Head - Listing & Compliance MCX Stock Exchange Limited Exchange Square, Suren Road, Chakala, Andheri (East), Mumbai - 400093 Dear Sir / Madam,
Date:
In conformity with the listing requirements of MCX Stock Exchange Limited (MCX-SX), we hereby apply for admission of the following securities of the Issuer for dealings on the MCX-SX (Please tick, wherever applicable): Equity Any Other (Please specify) Further, we undertake to be bound by all requirements, terms and provisions and conditions relating to listing of securities as contained in the Rules, Bye-Laws and Regulations of MCX Stock Exchange Limited (MCX-SX), Securities and Exchange Board of India (SEBI) and any other applicable law, rules and regulations. Yours faithfully Debentures Warrants
Company Details
(For issuers listing on the MCX-SX for the rst time)
1. Name of the applicant Company: 2. Type of Company: 3. 4. 5. 6. 7. 8. Date of incorporation: Place of incorporation: PAN No. of the Company: Industry/ Sector: Place of location of plant: Major products of the Company:
9. ISIN Code (As provided by the Depository): 10. Address of Registered O ce: Tel (STD Code): 11. Address of Corporate O ce : Fax:
Tel (STD Code): Fax: Website: Email (for Exchange Communication): Email (for Investor Grievances): Address of Communication (Corporate/ Registered O ce):
16. Name and Address of Registrars and Transfer Agents: Name of Contact Person: Tel (STD Code): Mobile: Fax: Email: Website: 17. Name of the all the Statutory Auditors: Name of the Partners: Tel (STD Code): Mobile: Fax: Email: Website:
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18. Has any security of the issuer been delisted from any Exchange, before? If so give particulars: 19. Name(s) of the depositories with whom issuer has executed Tripartite Agreement: Details of Key Managerial Personnel / Promoters 20. Name of the Promoters:
21. Name of the Chairperson: DIN No: PAN: Tel. (Direct): Mobile: Email: 22. Name of the Managing Director: DIN No: PAN: Tel. (Direct): Mobile: Email: 23. Name of the Chief Executive O cer: DIN No: PAN: Tel. (Direct): Mobile: Email: 24. Name of the Chief Financial O cer: DIN No: PAN: Tel. (Direct): Mobile: Email: 25. Name of the Company Secretary (Compliance O cer): Tel. (Direct): Mobile: Email: 26. Name of other Directors on the Board along with their DIN No, PAN, Residential Address, Telephone No (Direct) and Email:
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Details of Dividend and Cash Bonuses if any, paid during the last ten years (Whether as a public or private company)
Year Percentage (%) Amount per share Total Amount (Rs.)
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Distribution Schedule
Certied Schedule of Distribution
Name of Issuer Distribution of Kind of Security Total Nominal value Rs. Total number of shares/unit Distinctive Nos. from Nominal Value of each share/unit Rs. Paid up value per share/unit Rs. to as on
Part I
Distribution of Holdings
Share or Debenture holding of nominal value Share/Debenture Holders Share/Debenture Amount
Rs. (1)
Rs.
Number (2)
% to Total (3)
Rs. (4)
% to Total (5)
Upto - 5000 5001 - 10000 10001 - 20000 20001 - 30000 30001 - 40000 40001 - 50000 50001 - 100000 100001 and above Total
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IPO Details
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. No. of Securties o erd through IPO: No. of securities allotted in IPO: Issue price: Issue Open date: Issue Close date: Price band, if applicable: Upper price band: Date of Basis of allotment: Date of allotment: Date of dispatch of Refund: Date of In-principle approval of: MCX-SX: BSE: Date of SEBI observation letter:
NSE:
11.
From
To
From
To
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Security Details
Share Capital Details (Equity) 1. Authorised Share Capital Total Amount: No. of shares: Nominal value per share: Total Nominal value: 2. Subscribed and paid up share capital No. of shares subscribed: Nominal value per share: Amount paid up per share: Total nominal value: Total paid up value: Amount of calls in arrears: Amount paid up on forfeited shares: 3. Issued Share Capital No. of shares: Nominal value per share: Total nominal value: 4. Listed Share Capital No. of shares: Nominal value per share: Total nominal value:
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Part II
(1)
1. Foreign Holdings
i. Foreign Collaborators ii. Foreign Financial Institutions iii. Foreign Nationals iv. NRI (Persons holding Indian passport staying abroad) holding more than 1% of the equity capital ** v. Overseas Corporate Bodies ** Total i. LIC of India ii. UTI iii. IFCI iv. ICICI v. IDBI vi. GIC of India and its Subsidiaries vii. Nationalized Banks viii.Government Companies ix. Central Government x. State Governments xi. State Financial Corporations Total
3. Mutual Funds
Total
4. Bodies Corporate (not covered under (1) & (2) )
i. Holding Company** ii. Subsidiary Companies** iii. Any Other Bodies Corporate in the same group / aliates**
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iv. Other Bodies Corporate not in the same group/ not aliated but holding more than 1% of the equity capital and not included in i, ii and iii above** Total
5. Directors and their relatives (as de ned in Sec. 6 of the Companies Act, 1956 6. Top 100 individual shares/ debenture holders other than those listed above** 7. Top 100 bodies corporate shares/ debenture holders other than those listed above** 8. Others (please specify)
** Name, address, number of shares/debentures and % holdings of each body corporate / persons falling under above categories to be given as a separate annexure as per format given below.
Sr No Name Address No. of shares/ debentures held % of total no. of share/debenture capital
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Part III
Holdings of O ce Bearers
Names of Directors, Managing Director, Chairman, President, Secretary & Manager O cial relationship to the Issuer Number of shares/ debentures
Date: Place:
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Contact Details
You may like to contact the Listing Issuer Services team in case of any queries / suggestions and enquiry about listing on MCX Stock Exchange Limited (MCX-SX).
Contact Us
Listing - Issuer Services Exchange Square, Suren Road, Andheri (East), Mumbai - 400093 Tel No: +91 22 6731 8417 | Fax: + 91 22 6726 9555 Mobile: + 91 91672 59201 Email Id: listing@mcx-sx.com Web: www.mcx-sx.com
MCX-SX O ces
HEAD OFFICE: Exchange Square, Suren Road, Chakala, Andheri (E), Mumbai - 400 093. Tel.: +91-22-6731 8417, Fax: +91-22-6726 9555. E-mail: listing@mcx-sx.com, Url: www.mcx-sx.com. Ahmedabad: 401, Sakar - 1, Nr. Gandhigram Railway station, Opp Nehru Bridge, Ashram Road, Ahmedabad - 380 009. Tel: +91-79- 6661 5888/6661 9888. Bangalore: No: 206, 2nd Floor, Money Chambers, No: 6, K H Road, Bangalore 560027. Tel: +91-80-3296 2066, Fax: +91-80-4167 3707. Chennai: Flat No: 1A & B, 1st Floor, Doshi Towers, EVR Salai, Kilpauk, Chennai 600010. Tel: +91-44-4395 0850, Fax No: +91-44-4395 0899. Hyderabad: Flat No.201, Meridian Plaza, Besides Lal Bungalow, Ameerpet, Hyderabad - 500 016. Tele/Fax: +91-40-4007 5037. Indore: 403, Corporate House, A Wing, Near DAW University, RNT Marg, Indore (MP) 452001, Tel: +91-731-3206 669, Fax: +91-731-2524 206. Jaipur: 212 Shekhawati Comp, 2nd Floor, Station Road, Jaipur - 302 001 Tel: +91-141-4011 930, Fax: +91-141-4011 930. Kolkata: BNCCI House, 3rd Floor, 23, Sir R N Mukherjee Road, Kolkata - 700 001. Tel: +91-33-2231 7253/54, Fax: +91-33-2231 7254. Kanpur: NBHC Ltd, 1st oor, 7/43, D-2, Tilak Nagar, Near State Bank of India, Kanpur - 208 002. Tel: +91-512-2533 079. Ludhiana: 501, LSE Building, Feroze Gandhi Market, Ludhiana - 141 001. Tel: +91-161-3206 872. New Delhi: MCX Stock Exchange, Mercantile House, 404-407, 4th Floor, K.G. Marg, Connaught Place, New Delhi - 110 001 Tel: +91-11-4300 3000, Fax: +91-11-4300 3030.
Exchange Square, Suren Road, Andheri (East), Mumbai - 400 093 Tel.: +91-22-6731 8417 Fax: +91-22-6726 9555 Email: listing@mcx-sx.com