Annexure A
Report by Capri Global Capital Limited for violations related to Code of Conduct under SEBI (Prohibition of
Insider Trading) Regulations, 2015.
[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]
Sr. | Particulars | Details |
No. | ||
Capri Global Capital Limited | ||
1 | Please tick appropr ate checkbox | |
Name of the listed company/ Intermediary/Fiduciary | ||
2 |
Reporting in capacity of :
☐ | ||||||||||||
Listed Company | ||||||||||||
☐ Intermediary | ||||||||||||
A. | Details of Designated Person | DP | ||||||||||
3 | Fiduciary | ( | ) | Mr. Vaibhav Shah | ||||||||
i. | Name of the DP | |||||||||||
BAOPS3959K | ||||||||||||
ii. | PAN of the DP | National Credit Manager | ||||||||||
iii. | Designation of DP | Credit - UR | ||||||||||
iv. | Functional Role of DP | |||||||||||
v. | Whether DP is Promoter or belongs to Promoter | No | ||||||||||
Reporting is for immediate relative of DP | ||||||||||||
B. If | Group | N.A. | ||||||||||
Name of the immediate | of DP | |||||||||||
C. Details of transa tion(s) | N.A. | |||||||||||
ii. | PAN of the immediate relativeof DP | |||||||||||
ii. | Name of the scrip | Capri Global Capital Limited | ||||||||||
No of shares traded and value (Rs.) (Date- wise) | 400 Equity Shares purchased on June 27, 2022, | |||||||||||
a calendar quarter | ||||||||||||
D. In case value of trade(s) is more than Rs.10 lacs in | for total value of Rs.2,83,968. | |||||||||||
i. | Date of intimation of trade(s) by concerned DP / | N.A. | ||||||||||
director/ promoter/promoter group to Company | ||||||||||||
under regulation 7 of SEBI (PIT) Regulations, 2015 | ||||||||||||
ii. | Date of intimation of trade(s) by Company to Stock | N.A. | ||||||||||
Exchanges under regulation 7 of SEBI (PIT) | ||||||||||||
4 | Regulations, 2015 | Contra Trade | ||||||||||
Details ofviolations observed under Code of Conduct | ||||||||||||
5 | Action taken by Listed | company | / Intermediary/ | Penalty of Rs. 5000/- imposed on the DP | ||||||||
Fiduciary |
Sr. | Particulars | Details | |||||
No. | |||||||
intoThe accountaforesaidtheactionfollowingwas factors:taken after taking | |||||||
6 | Reasons recorded in writing for taking action stated | ||||||
above | 1. The quantum of shares involved; | ||||||
2. Contra Trade | |||||||
7 | Details of the previous instances of violations, if any, since | N.A. (first time offence) | |||||
last financial year | |||||||
8 | If any amount collected for Code of Conduct violation(s) | ||||||
i. Mode of transfer to SEBI - IPEF (Online/Demand | Online | ||||||
Draft) | |||||||
P rticulars | Details | ||||||
ii. Details of transfer/payment In case of Online: | Name of the | Vaibhav Shah | |||||
transferor | |||||||
Bank Name, | Bank: Axis Bank | ||||||
branch and | Branch: | South Bopal, | |||||
Account number | Ahmedabad | Number: | |||||
Account | |||||||
910010017242924 | |||||||
UTR/Transaction | AXMB221947685478 | ||||||
reference | |||||||
Number | |||||||
Transaction date | 13.07.2022 | ||||||
Transaction | Rs. 5000/- | ||||||
Amount (in Rs.) | |||||||
9 | Any other relevant information | None |
Yours faithfully,
for Capri Global Capital Limited
YASHESH PANKAJ BHATT
Digitally signed by
YASHESH PANKAJ BHATT
Date: 2022.07.26 16:44:49 +05'30'
(Yashesh Bhatt)
Company Secretary
PAN: AFLPB5264R
E-mailID:Yashesh.Bhatt@capriglobal.in,secretarial@capriglobal.in
Place: Mumbai
Date: July 26, 2022
Encl.: As above
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
1. Name of the listed | 2 . Please fill appropriate |
company/ | Reporting in capacity of : Listed |
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 |
Code of Conduct | Intermediary/ Fiduciary |
7. Details of the previous instances of | 8. If any amount collected for Code |
violations, if any, since | of Conduct violation(s) |
8 . In case of online: | 8. In case of Demand Draft (DD) | 9. Any other | Date | Place | Name of Compliance Officer | PAN | Email ID |
relevant |
Intermediary/Fiduciary | Company / Intermediary / | Name of the DP |
Fiduciary | IMr. Vaibhav Shah | |
ICapri Global Capital Limited I Listed Company |
PAN of the DP iiDes gnation of DP Functional Role of DP
BAOPS3959K Nat onal Cred t Credit - UR I Manager
Whether DP is Promoter or belongs to Promoter Group
I No
Name of the immediate PAN of the immediate
relative of DP | relative of DP | |
I N.A. | i | N.A. |
Name of the scrip | No of shares traded and value (Rs.) (Date- wise) | Date of intimation of trade(s) by concerned | |
Ii | I | ||
DP/director/promoter/promoter group to | |||
Company under regulation 7 of SEBI (PIT) | |||
Regulations, 2015 | |||
Capri Global | 400 Equity Shares purchased on June 27, 2022, for | N.A. | |
CapitalLim ted | total value of Rs. 2,83,968 |
Date of intimation of trade(s) by | IContra Trade |
Company to stock exchanges under | |
regulation 7 of SEBI (PIT) Regulations, | |
i2015 | N.A. |
I | I |
Penalty of Rs. 5,000/- imposed on the DP | The aforesaid action was taken after taking into account the following |
factors: | |
1.The quantum of shares involved; | |
2.Contra Trade |
last financial year | Please fill appropriate. | Name of the transferor | Bank Name, branch and Account number | ||
Mode of transfer to SEBI - IPEF. | |||||
(Online/Demand Draft) | |||||
N.A. (First time offence) | Online | Vaibhav Shah | Bank: Axis Bank | ||
I | I | I | Branch: South Bopal, Ahmedabad | ||
iAccount Number: 910010017242924 |
UTR/Transaction reference Number | Transaction date | Transaction Amount (in Rs.) | Bank | DD Number | DD date | DD | information | ||||||
Name and | amount | ||||||||||||
branch | ( n Rs.) | ||||||||||||
AXMB221947685478 | 13.07.2022 | 5000 | N.A. | N.A. | N.A. | N.A. | N.A. | 26.07.2022 | Mumbai | Yashesh Bhatt | AFLPB5264R | Yashesh.Bhatt@capriglobal.in | |
i | ii | Ii | iii | 111 | I | secretarial@capriglobal.in | |||||||
~ |
YASHESH PANKAJ BHATT
Digitally signed by
YASHESH PANKAJ BHATT
Date: 2022.07.26 16:45:41 +05'30'
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Capri Global Capital Ltd. published this content on 26 July 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 26 July 2022 12:18:02 UTC.