CONFIDENTIAL
LEC (FIIs)
[Paragraph 10 B.4(ii)]
Sr. No. ________________
Statement showing company-wise details of total purchases and sales of equity shares/convertible debentures made by designated branch of _______________ on _______________ on behalf of Foreign Institutional Investors through stock exchanges in India and out of issues directly made
Name of the company Type of security Purchases
Sales
On Stock Exchange In Primary Market
No. Face value per share/ debenture Total purchase price No. Face value per share/ debenture Total purchase price No. Face value per share/ debenture Total sale proceeds
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11.
Equity shares
PCDs/FCDs
Others (to be specified)
We hereby certify that the above statement includes all the purchases/sales of equity shares and convertible debentures made on _______________________ through stock exchange in India on behalf of Foreign Institutional Investors and equity shares/convertible debentures issued directly by the company to them. We also, certify that the investments by a single Foreign Institutional Investor has not exceeded 5% of the paid up capital of the company.
Place :
Date :
Signature : ____________________________
Name : _______________________________
Designation : __________________________
Name of the A.D. : _____________________
Code No. : ____________________________
Instructions :
i) This statement should be submitted by the designated branch to the Chief General Manager, Exchange Control Department, Reserve Bank of India, Central Office, Foreign Investment Division, Central Office Building, Mumbai 400001, directly without routing through the Link Office of the Bank.
ii) This statement should be serially numbered and must be submitted to the Reserve Bank on a daily basis and the transactions made on a particular day should be reported on the following working day.
iii) If no purchases/sales and made on any particular day, a nil statement need not be submitted to the Reserve Bank.
iv) All purchase and sale transactions for which a firm commitment has been made to acquire or transfer equity shares/convertible debentures in the form of the broker's contract notes issued by recognised stock exchange brokers should be included in this statement.
v) Designated bank branches should obtain the broker's contract notes/intimations of actual purchase/sale transactions on the date of the transaction itself so that such purchase/sale could be included in the daily statement.
vi) Shares acquired on conversion of Partly Convertible Debentures (PCDs)/Fully Convertible Debentures (FCDs) should be reported in the appropriate column depending on whether the Convertible Debentures (CDs) were acquired on stock exchange or in primary market.
vii) Name of company under Column 1 should be indicated in full.
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