| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
APOORVA EXTRUSION PVT.LTD.
|
|
|
ACQUIRED 80,00,000 EQUITY SHARES REPRESENTING 16.30% OF ENHANCED VOTING CAPITAL PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON NOVEMBER 29, 2001 ON PREFERENTIAL BASIS. APOORVA EXTRUSION PVT. LTD. (ALSO BELONGING TO PROMOTER GROUP) HAD ALSO SIMILARLY ACQUIRED 20,00,000 EQUITY SHARES REPRESENTING 4.07% OF ENHANCED VOTING CAPITAL ON JUNE 2, 2003. AS A RESULT OF THE SAID ACQUISITION THE COLLECTIVE SHAREHOLDING OF FLEX INTERNATIONAL PVT. LTD. AND APOORVA EXTRUSION PVT.LTD. INCREASED BY 20.37% (FROM 0.03% TO 20.40%) OF THE VOTING SHARE CAPITAL
DID NOT MAKE PUBLIC ANNOUNCEMENT TO ACQUIRE 20% OF THE VOTING CAPITAL
|
LAUNCHED ADJUDICATION PROCEEDINGS
IMPOSED LOCK-IN ON SHARES ALLOTTED THROUGH CONVERSION OF WARRANTS
25-AUG-2004
|
|
| 2 |
|
|
FLEX INTERNATIONAL PVT.LTD.
|
|
|
|
SUBHASH KHATUA
|
|
ACQUIRED 80,00,000 EQUITY SHARES REPRESENTING 16.30% OF ENHANCED VOTING CAPITAL PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON NOVEMBER 29, 2001 ON PREFERENTIAL BASIS. APOORVA EXTRUSION PVT. LTD. (ALSO BELONGING TO PROMOTER GROUP) HAD ALSO SIMILARLY ACQUIRED 20,00,000 EQUITY SHARES REPRESENTING 4.07% OF ENHANCED VOTING CAPITAL ON JUNE 2, 2003. AS A RESULT OF THE SAID ACQUISITION THE COLLECTIVE SHAREHOLDING OF FLEX INTERNATIONAL PVT. LTD. AND APOORVA EXTRUSION PVT.LTD. INCREASED BY 20.37% (FROM 0.03% TO 20.40%) OF THE VOTING SHARE CAPITAL
DID NOT MAKE PUBLIC ANNOUNCEMENT TO ACQUIRE 20% OF THE VOTING CAPITAL
|
LAUNCHED ADJUDICATION PROCEEDINGS
IMPOSED LOCK-IN ON SHARES ALLOTTED THROUGH CONVERSION OF WARRANTS
25-AUG-2004
|
|
| 3 |
|
|
ICICI PRUDENTIAL TRUST LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF INVESTMENT OBJECTIVE IN SCHEME INFORMATION DOCUMENT OF SCHEME VIOLATING REGULATIONS 18(7), 18(9), 18(22) READ WITH CLAUSE 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF ICICI PRUDENTIAL MUTUAL FUND
DELEGATED FIDUCIARY OBLIGATIONS WITH REGARD TO DIVIDEND DECLARATION AND FIXING RECORD DATE TO AMC VIOLATING REGULATIONS 52A, 10(A),18(9),18(22) OF MUTUAL FUND REGULATIONS READ WITH SEBI CIRCULAR NO.SEBI/IMD/CIR NO.1/64057/06 DATED 04/04/2006 IN MATTER OF ICICI PRUDENTIAL MUTUAL FUND
|
IMPOSED LOCK-IN ON SHARES ALLOTTED THROUGH CONVERSION OF WARRANTS
23-DEC-2019
|
|
| 4 |
|
|
RAMCO INDUSTRIES LTD.
|
|
|
|
P.R.RAMASUBRAHMANEYA
|
|
|
P.R.VENKETRAMA RAJA
|
|
ACQUIRED 4,00,000 EQUITY SHARES REPRESENTING 11.39% OF ENHANCED VOTING CAPITAL PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON PREFERENTIAL BASIS. P.R.RAMASUBRAHMANEYA RAJHA AND P.R.VENKETRAMA RAJA (ALSO BELONGING TO PROMOTER GROUP) HAD ALSO SIMILARLY ACQUIRED 50,000 EQUITY SHARES EACH REPRESENTING 1.42% OF ENHANCED VOTING CAPITAL ON AUGUST 21, 2003. AS A RESULT OF THE SAID ACQUISITION THE COLLECTIVE SHAREHOLDING OF RAMCO INDUSTRIES LTD. AND P.R.RAMASUBRAHMANEYA RAJHA, CHAIRMAN OF RAMCO INDUSTRIES LTD. AND P.R.VENKETRAMA RAJA, VICE CHAIRMAN AND MANAGING DIRECTOR OF THE SAID COMPANY INCREASED BY 11.17% (FROM 17.75% TO 29.46%)
DID NOT MAKE PUBLIC ANNOUNCEMENT TO ACQUIRE 20% OF THE VOTING CAPITAL
|
IMPOSED LOCK-IN ON SHARES ALLOTTED THROUGH CONVERSION OF WARRANTS
REPORT TO BE TAKEN ON RECORD
24-AUG-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
