Capri Global Capital : Code of conduct under SEBI (PIT) Regulations

Sr.

Particulars

Details

6

Reasons recorded in writing for taking action stated

intoThe accountaforesaidtheactionfollowingwas factors:taken after taking

No.

above

1. The quantum of shares involved;

2. Gravity of a situation;

3. It being second instance of non-

compliance on the part of the DP.

7

Details of the previous instances of violations, if any,

Sale of 835 Equity Shares on May 14, 2021, for

since last financial year

total value of Rs.

383,265/-

during the

8

If any amount collected for Code of Conduct violation(s)

window closure period

i. Mode of transfer to SEBI - IPEF (Online/Demand

Online

ii. Details of transfer/payment in case of Online:

Name of the

Amar Rajpurohit

Draft)

P rticulars

Details

transferor

branch and

Branch:

Bank Name,

Bank: HDFC Bank

Account number

Account

Number:

06451050000602

UTR/Transaction

N138221964137143

reference Number

Transaction date

18.05.2022

Transaction

Rs. 50,000/-

Amount (in Rs.)

P rticulars

Details

Name of the

Amar Rajpurohit

transferor

branch and

Branch: Worli

Bank Name,

Bank: Yes Bank

Account number

Account

Number:

000185700004114

UTR/Transaction

N139221218266402

reference Number

Transaction date

19.05.2022

Transaction

Rs. 5,000/-

9

Any other relevant information

Amount (in Rs.)

None

Report by (Name of the listed company/ Intermediary/Fiduciary) for violations related to Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015 : Capri Global Capital Limited

[For listed companies: Schedule B read with Regulation 9 (1) of SEBI (Prohibition of Insider Trading) Regulations, 2015

For Intermediaries/ Fiduciaries: Schedule C read with Regulation 9(1) and 9(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015]

1. Name of the listed

2 . Please fill appropriate

3A. Details of Designated Person (DP)

3B. If Reporting is for immediate relative of DP

3C. Details of transaction(s)

3D. In case value of trade(s) is more than Rs.10 lacs in a calendar quarter

4. Details of violations observed under

5. Action taken by Listed company/

6. Reasons recorded in writing for taking action stated above

7. Details of the previous instances of

8. If any amount collected for Code

8 . In case of online:

8. In case of Demand Draft (DD)

9. Any other

Date

Place

Name of Compliance Officer

PAN

Email ID

company/

Reporting in capacity of : Listed

Code of Conduct

Intermediary/ Fiduciary

violations, if any, since

of Conduct violation(s)

relevant

Intermediary/Fiduciary

Company / Intermediary /

Name of the DP

PAN of the DP

Designation of DP

Functional Role of DP

Whether DP is

Name of the immediate

PAN of the immediate

Name of the scrip

No of shares traded and value (Rs.) (Date- wise)

Date of intimation of trade(s) by concerned

Date of intimation of trade(s) by

last financial year

Please fill appropriate.

Name of the transferor

Bank Name, branch and Account number

UTR/Transaction reference Number

Transaction date

Transaction Amount (in Rs.)

Bank

DD Number

DD date

DD

information

Fiduciary

Promoter or belongs

relative of DP

relative of DP

DP/director/promoter/promoter group to

Company to stock exchanges under

Mode of transfer to SEBI - IPEF.

Name and

amount

to Promoter Group

Company under regulation 7 of SEBI (PIT)

regulation 7 of SEBI (PIT) Regulations,

(Online/Demand Draft)

branch

(in Rs.)

Regulations, 2015

2015

Capri Global Capital Limited

Listed Company

Mr. Amar Rajpurohit

AUIPR2616P

Business Head -

Business

No

N.A.

N.A.

Capri Global

2000 Equity Shares bought on March 23, 2022, for total

N.A.

N.A.

Contra Transaction

Penalty of Rs. 55,000/- issued to DP

The aforesaid action was taken after taking into account the following

Sale of 835 Equity Shares on May 14, 2021,

Online

Amar Rajpurohit

1. Bank: HDFC Bank

1. N138221964137143

1. 18.05.2022

1. Rs. 50,000/-

N.A.

N.A.

N.A.

N.A.

N.A.

27.05.2022

Mumbai

Yashesh Bhatt

AFLPB5264R

Yashesh.Bhatt@capriglobal.in

CapitalLimited

factors:

Branch: Ahmedabad

secretarial@capriglobal.in

Urban Retail

value of Rs. 12,33,652.10

1.The quantum of shares involved;

for total value of Rs. 383,265/- during the

Account Number: 06451050000602

2.Gravity of a situation;

window closure period

2. N139221218266402

2. 19.05.2022

2. Rs. 5,000/-

3.It being second instance of non-compliance on the part of the DP.

2. Bank: Yes Bank

Branch: Worli

Account Number: 000185700004114

Capri Global Capital Limited

Listed Company

Mr. Raviraj Jain

AQGPJ0785M

Product Manager

Technology

No

N.A.

N.A.

Capri Global

30 Equity Shares purchased on April 1, 2022, for total

N.A.

N.A.

Trading during the window closure period

Penalty of Rs. 5,000/- imposed on the DP

The aforesaid action was taken after taking into account the following

N.A. (First time offence)

Online

Raviraj Jain

Bank : Ujjivan Small Finance Bank

213666074949

16.05.2022

5000

N.A.

N.A.

N.A.

N.A.

N.A.

27.05.2022

Mumbai

Yashesh Bhatt

AFLPB5264R

Yashesh.Bhatt@capriglobal.in

CapitalLimited

value of Rs. 18,705.90

factors:

secretarial@capriglobal.in

1.The quantum of shares involved;

Branch : Koramangala

2 Purchase of shares during window closure period

Account Number : 110211050051540

Capri Global Capital Limited

Listed Company

Mr. Sujit Ramswarup Gupta

BAPPG2541A

Senior Executive

Finance and Accounts

No

N.A.

N.A.

Capri Global

1 Equity Shares sold on April 21, 2022, for total value

N.A.

N.A.

Trading during the window closure period

Letter to reprimand the DP issued

The aforesaid action was taken after taking into account the following

N.A. (First time offence)

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

N.A.

27.05.2022

Mumbai

Yashesh Bhatt

AFLPB5264R

Yashesh.Bhatt@capriglobal.in

CapitalLimited

factors:

secretarial@capriglobal.in

of Rs. 776

1.The quantum of shares involved;

2.Sale of shares during window closure period.