TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS Name of the issue: 1 Type of issue (IPO/ FPO) SME IPO 2 Issue size (Rs crore) 8.56 3 Grade of issue alongwith name of the rating agency Not Applicable 4 Subscription level (number of times) 1.18 5 (i) allotment in the issue Nil (ii) at the end of the 1st Quarter immediately after the listing of the issue Nil (iii) at the end of 1st FY Nil (iv) at the end of 2nd FY Nil (v) at the end of 3rd FY Nil 6 (Rs. in crores) Parameters 1st FY (March 31, 2013) 2nd FY (March 31, 2014) 3rd FY (March 31, 2015) Income from operations 38.70 1.85 2.09 Net Profit for the period 0.17 0.24 0.01 Paid‐up equity share capital 17.28 17.28 17.28 Reserves excluding revaluation reserves 8.26 8.29 0.00 7 Particulars BSE SME Platform (i) at the end of 1st FY Frequently Traded (ii) at the end of 2nd FY Frequently Traded (iii) at the end of 3rd FY Frequently Traded 8 Name of Director Appointed / Resigned (i) at the end of 1st FY(March 31, 2013) Nil Nil (ii) at the end of 2nd FY(March 31, 2014) Mr. Sumit Sharma Mr. Prasanta Nath Mr. Goutam Gupta Mr. Manoj Bajaj Resigned Appointed Appointed Resigned (iii) at the end of 3rd FY(March 31, 2015)# Mr. Amit Bansal Mr. Prasanta Nath Appointed Resigned # Changes till date 9 (i) as disclosed in the offer document (ii) Actual implementation (iii) Reasons for delay in implementation, if any 10 (i) as disclosed in the offer document (ii) Actual utilization (iii) Reasons for deviation, if any Source: Company / Annual Report 11 NA NA NA TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL YEARS (c) Any other reservations expressed by the monitoring agency about the end QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges (b) Comments on deviation, if any, in the use of proceeds of the issue from the objects stated in the offer document The funds raised from the IPO Issue shall be utilized for the specified Objects prior to April 30, 2013. N.A N.A. (a) Comments on use of funds Status of implementation of project/ commencement of commercial production (as submitted to stock exchanges under Clause 41 (IV) (e) of the listing agreement) Bronze Infra Tech Limited Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of the listing agreement) Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI (SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.) Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing agreement) Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the listing agreement) Funds were deployed within the schedule Rs. 855 Lacs ‐ The funds raised from the IPO shall be utilized for the specified Objects prior to April 30, 2013. Rs. 855 Lacs were utilised as per the object of the issue Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with Clause 43A of the listing agreement) 1
23
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TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 8.56
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.18
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2013)
2nd FY (March 31,
2014)
3rd FY (March
31, 2015)
Income from operations 38.70 1.85 2.09
Net Profit for the period 0.17 0.24 0.01
Paid‐up equity share capital 17.28 17.28 17.28
Reserves excluding revaluation
reserves8.26 8.29 0.00
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of DirectorAppointed /
Resigned(i) at the end of 1st FY(March 31,
2013)Nil Nil
(ii) at the end of 2nd FY(March 31,
2014)
Mr. Sumit Sharma
Mr. Prasanta Nath
Mr. Goutam Gupta
Mr. Manoj Bajaj
Resigned
Appointed
Appointed
Resigned (iii) at the end of 3rd FY(March 31,
2015)#
Mr. Amit Bansal
Mr. Prasanta Nath
Appointed
Resigned# Changes till date
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
10
(i) as disclosed in the offer
document(ii) Actual utilization
(iii) Reasons for deviation, if any
Source: Company / Annual Report
11
NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
(c) Any other reservations expressed by the monitoring agency about the end
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
The funds raised from the IPO Issue shall be utilized for the specified Objects prior to April 30,
2013.
N.A
N.A.
(a) Comments on use of funds
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
Bronze Infra Tech Limited
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Funds were deployed within the schedule
Rs. 855 Lacs ‐ The funds raised from the IPO shall be utilized for the specified Objects prior to
April 30, 2013.Rs. 855 Lacs were utilised as per the object of the issue
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2013)
Low
(during
the FY
2013)Market Price 16.30 16.05 14.65 10.00 20.10 6.20Sexsex(BSE Being the Designated
Price parameters As at the end of 2nd FY 2014 after the listing of the issue
At close of listing day At close of 30th
calendar day from
listing day
Company has change the Registrar and Share Transfer Agent from CB Management Services Private Limited to Maheshwari
Datamatics Private Limited w.e.f February 7, 2014
Source: Money Control and Capital Market Magzine and BSE
As at the end of 3rd FY after the
RoNW (%)
NAV per share based on balance
sheet
P/E
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
As at the end of 1st FY 2013 after the
listing of the issue
Price parameters
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 12.18
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 2.46
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)Income from operations 12 08 3 32 Not Available
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
GCM Securities Limited
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
1
Income from operations 12.08 3.32 Not Available
Net Profit for the period 9.29 1.07 Not Available
Paid‐up equity share capital 18.99 18.99 Not Available
Reserves excluding revaluation
reserves21.17 21.3 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of Director Appointed / (i) at the end of 1st FY(March 31, 2014) Nil Nil
(ii) at the end of 2nd FY(March 31, 2015)
Resigned
Appointed
Appointed
Resigned (iii) at the end of 3rd FY(March 31, 2016) NA NA
9
(i) as disclosed in the offer
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Mr. Ashok Bothra Mr.
Laxmi Narayan Sharma Ms.
Urmi Bose Mr.
Alok Kumar Das
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
i l ki i l b ili d d i(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
11
(a) Comments on use of funds NA
NA
NA
N.A.
(c) Any other reservations expressed by the monitoring agency about the end
Utilization of marging money is dependent on market conditions and hence there was delay in
implementation due to same
Augmenting long term working capital Rs. 11.58 Crores ‐ To be utilised during FY 2014
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
Augmenting long term working capital Rs. 11.58 Crores ‐ To be utilised during FY 2014
9 Crore was utilised till March 31, 2014 as per the Objects of the Issue and the balance amount of
Rs. 2.58 was utilised by September 2014
9 Crore was utilised till March 31, 2014 as per the Objects of the Issue and the balance amount of
Rs. 2.58 was utilised by September 2014
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 68.25 82.85 131.15 355.00 461.00 65.00Sexsex(BSE Being the Designated
Price parameters As at the end of 2nd FY 2015 after the listing of the issue As at the end of 3rd FY 2016 after
Price parameters At close of listing day At close of 30th
calendar day from
listing day
2
Stock Exchange):Sectoral Index (mention the index
that has been considered and
reasons for considering the same)
N.A. N.A. N.A. N.A. N.A. N.A.
#Equity shares were subdivided
toRs. 1 face value w.e.f.October 28,
2014
13
Accounting ratio Name of company
As disclosed in the
offer document (See
Clause (2) (VII) (K)
of Schedule VIII to
SEBI (ICDR)
Regulations, 2009)
At the end of
1st FY 2014
At the end of
2nd FY 2015
At the end
of 3rd FY
2016
GCM Securities
Limited 0.66 0.05 0.06 NA
Peer Group:
BNK Capital 3.00 0.53 3.60 NA
Frontline Sec. 3.80 3.40 6.64 NA
India Infoline 2.30 3.20 3.17 NADB (International)
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
EPS
DB (International)
Stock Brokers 1.60 1.30 0.53 NA
Industry Avg: NA NA NA NAGCM Securities
Limited 30.09 7,100.00 616.67 NA
Peer Group:
BNK Capital 6.80 39.43 10.00 NA
Frontline Sec. 7.90 11.84 8.43 NA
India Infoline 35.90 24.52 56.40 NADB (International)
Stock Brokers 59.60 66.08 89.81 NA
Industry Avg: 15.10 19.40 NAGCM Securities
Limited 2.59 0.23 2.65 NAPeer Group:
BNK Capital 7.60 0.13 8.23 NAFrontline Sec. 9.50 9.50 13.08 NA
India Infoline 4.40 7.40 7.01 NADB (International)
Stock Brokers 9.10 13.20 4.64 NA
Industry Avg: NA NA NA NAGCM Securities
Limited 25.71 21.14 2.12 NA
Peer Group:
P/E
RoNW (%)
BNK Capital 38.50 40.66 43.65 NAFrontline Sec. 36.50 36.80 50.77 NA
India Infoline 43.40 43.80 45.13 NADB (International)
Stock Brokers 7.70 10.90 11.37 NA
Industry Avg: NA NA NA NA
14 Any other material information N.A.Source: Money Control and Capital Market Magzine and BSE
NAV per share based on balance
sheet
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO ‐ Offer for Sale
2 Issue size (Rs crore) 12.00
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.13
5(i) allotment in the issue Nil(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil(iii) at the end of 1st FY Nil(iv) at the end of 2nd FY Nil(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)
Income from operations 167.89 85.6 Not Available
Net Profit for the period 0.48 0.47 Not AvailablePaid‐up equity share capital 19.79 19.79 Not AvailableReserves excluding revaluation
reserves21.53 21.90 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of DirectorAppointed /
Resigned(i) at the end of 1st FY(March 31,
2014)Mr. Mohan Lal Sureka Resigned
(ii) at the end of 2nd FY(March 31,
2015)#Devangna Tiwari Appointed
(iii) at the end of 3rd FY(March 31,
2016)N.A. N.A.
9
(i) as disclosed in the offer
document
(ii) Actual implementation(iii) Reasons for delay in
implementation, if any
10
(i) as disclosed in the offer
document(ii) Actual utilization(iii) Reasons for deviation, if any
11
NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
SILVERPOINT INFRATECH LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of the
listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
N.A. as the Issue comprised only Offer for Sale and no funds were received by the Company
N.A.
N.A.
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
N.A.
N.A.N.A.
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)(a) Comments on use of funds
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
(c) Any other reservations expressed by the monitoring agency about the end
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 13.60 9.50 8.30 7.10 14.80 6.20Sexsex(BSE Being the Designated
2016)Market Price 7.6 9.7 7.1 N.A. N.A. N.A.Sexsex(BSE Being the Designated
Stock Exchange):
27957.49 29681.77 22277.23 N.A. N.A. N.A.
Sectoral Index (mention the index
that has been considered and
reasons for considering the same)
186.57 191.29 168.02 N.A. N.A. N.A.
#S&P BSE India Infrastructure Index
started from May 28, 201413
Accounting ratio Name of company
As disclosed in the
offer document (See
Clause (2) (VII) (K)
of Schedule VIII to
SEBI (ICDR)
Regulations, 2009)
At the end of
1st FY 2014
At the end of
2nd FY 2015
At the end
of 3rd FY
2016
Silverpoint Infratech
Limited 0.25 0.24 0.24
Peer Group:Arihant
Superstructures
Limited 1.26 0.68 2.36 NA
VSF Projects Limited 1.43 1.54 NA
RPP Infra Projects
Limited 4.8 5.00 7.64 NA
Kyra Landscapes
Limited
(Aricent Infra Limited)0.3 0.16
Industry Avg: NA NA NA NA
Silverpoint Infratech
Limited 60 29.58 31.67 NA
Peer Group:Arihant
Superstructures
Limited 29.17 47.65 15.25 NA
VSF Projects Limited 6.13 4.94 NA
RPP Infra Projects
Limited 7.14 11.82 14.14 NA
Kyra Landscapes
Limited
(Aricent Infra Limited)577.17 633.44 NA
Industry Avg: 18.95 22.7 23.7 NA
Silverpoint Infratech
Limited 1.20 1.15 1.12
Peer Group:
Price parameters At close of listing day At close of 30th
calendar day from
listing day
At close of 90th
calendar day
from listing day
As at the end of 1st FY 2014 after the
listing of the issue
Price parameters As at the end of 2nd FY 2015 after the listing of the issue As at the end of 3rd FY 2016 after
the listing of the issue
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
EPS
P/E
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Arihant
Superstructures
Limited 8.93 4.25 13.13 NA
VSF Projects Limited 14.31 3.03 NA
RPP Infra Projects
Limited 10.55 9.42 12.71 NA
Kyra Landscapes
Limited
(Aricent Infra Limited)2.99 3.15
Industry Avg: NA NA NA NA
Silverpoint Infratech
Limited 20.50 20.88 21.12
Peer Group:Arihant
Superstructures
Limited 13.35 15.97 17.97 NA
VSF Projects Limited 10.02 50.75 NA
RPP Infra Projects
Limited 45.54 53.08 60.11 NA
Kyra Landscapes
Limited
(Aricent Infra Limited)10.00 5.04 NA
Industry Avg: NA NA NA NA
14 Any other material information
RoNW (%)
NAV per share based on balance
sheet
Source: Money Control and Capital Market Magzine and BSE
3
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 12.75
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.02
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)Income from operations 2.22 5.11 Not Available
Net Profit for the period 0.17 0.28 Not Available
Paid‐up equity share capital 17.85 17.85 Not Available
Reserves excluding revaluation
reserves7.97 8.07 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of Director Appointed /
(i) at the end of 1st FY(March 31, 2014)Mr. Arjun Singh
Mr. Vinay Kumar
Appointed
Resigned
(ii) at the end of 2nd FY(March 31, 2015)Ms. Asha Rani Mr.
Arjun Singh
Appointed
Resigned
(iii) at the end of 3rd FY(March 31, 2016)#
Ms. Asha Devi Ms.
Archana Devi Mr.
Arun Kumar
Chalukya
Resigned
Appointed
Resigned
# Year to date
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
11
(a) Comments on use of funds NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
VKJ INFRADEVELOPERS LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
To meet the fund requirements for execution of Ongoing and Forthcoming Projects and other
working capital requirements ‐Rs. 10.65 Cr; General Corporate Purposes ‐ Rs. 1.5 Cr To be utilised
during FY 2014Money was utilised as per objects during FY 2014
N.A.
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
To meet the fund requirements for execution of Ongoing and Forthcoming Projects and other
working capital requirements ‐Rs. 10.65 Cr; General Corporate Purposes ‐ Rs. 1.5 Cr To be utilised
during FY 2014
Money was utilised as per objects during FY 2014
N.A.
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
(c) Any other reservations expressed by the monitoring agency about the end
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 23.80 26.25 48.15 55.30 60.15 16.10Sexsex(BSE Being the Designated
Price parameters At close of listing day At close of 30th
calendar day from
listing day
At close of 90th
calendar day
from listing day
As at the end of 1st FY 2014 after the
listing of the issue
P/E
RoNW (%)
NAV per share based on balance
sheet
Source: Money Control and BSE
Price parameters As at the end of 2nd FY 2015 after the listing of the issue As at the end of 3rd FY 2016 after
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 6.5
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.42
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)Income from operations 39.74 42.06 Not Available
Net Profit for the period ‐0.02 0.12 Not Available
Paid‐up equity share capital 16.43 16.43 Not Available
Reserves excluding revaluation
reserves0.26 0.38 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of Director Appointed / (i) at the end of 1st FY(March 31, 2014) Nil Nil
(ii) at the end of 2nd FY(March 31, 2015)
Mr. Puneet
Bhawakar Mr.
Sachin Kumar
Agarwal
Appointed
Resigned
(iii) at the end of 3rd FY(March 31, 2016) NA NA
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
11
(a) Comments on use of funds NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
ANISHA IMPEX LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
Augmenting long term working capital Rs. 610.12 Lacs ‐ To be utilised during FY 2015
Entire amount was utilised as per objects of the Issue
N.A.
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Augmenting long term working capital Rs. 610.12 Lacs ‐ To be utilised during FY 2015
Entire amount was utilised as per objects of the Issue
N.A.
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
(c) Any other reservations expressed by the monitoring agency about the end
use of funds
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 14.35 11.60 24.70 16.00 18.60 14.35Sexsex(BSE Being the Designated
Industry Avg: 11.20 19.40 NA NAGCM Capital Advisors
Limited 1.92 0.07 NA NA
Peer Group:AK Capital Services 11.50 5.76 NA NA
Ladderup Finance 8.50 4.96 NA NA
Motilal Oswal Finance 6.90 10.52 NA NA
Industry Avg: NA NA NA NAGCM Capital Advisors
Limited 20.34 20.22 NA NA
Peer Group:
AK Capital Services 437.30 480.8 NA NA
Ladderup Finance 24.80 27.42 NA NA
Motilal Oswal Finance 40.90 41.01 NA NA
Industry Avg: NA NA NA NA
14 Any other material information N.A.
Price parameters As at the end of 2nd FY 2016 after the listing of the issue As at the end of 3rd FY 2017 after
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
EPS
Price parameters At close of listing day At close of 30th
calendar day from
listing day
P/E
RoNW (%)
NAV per share based on balance
sheet
Source: Money Control and Capital Market Magzine and BSE
At close of 90th
calendar day
from listing day
As at the end of 1st FY 2015 after the
listing of the issue
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 643
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 2.28
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)Income from operations 5.82 0.01 Not Available
Net Profit for the period 0.07 0.05 Not Available
Paid‐up equity share capital 24.36 24.36 Not Available
Reserves excluding revaluation
reserves0.33 0.38 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of Director Appointed / (i) at the end of 1st FY(March 31, 2014) Nil Nil(ii) at the end of 2nd FY(March 31, 2015)# Nil Nil(iii) at the end of 3rd FY(March 31, 2015) NA NA# Changes till date
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
11
(a) Comments on use of funds NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
UNISHIRE URBAN INFRA LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
Development of the residential building complex at Kolkata Rs. 1259.44 Lacs, Rs. 643 Lacs IPO
Proceeds to be utilised for the same ‐ To be utilised by March 2016The Company has not yet started the project and is finalising a different land for the project
Delay due to land clearence issues
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Development of the residential building complex at Kolkata Rs. 1259.44 Lacs, Rs. 643 Lacs IPO
Proceeds to be utilised for the same ‐ To be utilised by March 2016The Company has not yet started the project and is finalising a different land for the project
Delay due to land clearence issues
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
(c) Any other reservations expressed by the monitoring agency about the end
use of funds
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 11.45 11.00 131.15 11.00 13.95 9.90Sexsex(BSE Being the Designated
Price parameters At close of listing day At close of 30th
calendar day from
listing day
At close of 90th
calendar day
from listing day
As at the end of 1st FY 2014 after the
listing of the issue
P/E
RoNW (%)
NAV per share based on balance
sheet
Source: Money Control and Capital Market Magzine and BSE
Price parameters As at the end of 2nd FY 2015 after the listing of the issue As at the end of 3rd FY 2016 after
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 6.32
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.46
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2014)
2nd FY (March 31,
2015)
3rd FY (March
31, 2016)Income from operations 93.21 69.05 Not Available
Net Profit for the period ‐0.06 5.27 Not Available
Paid‐up equity share capital 23.95 23.95 Not Available
Reserves excluding revaluation
reserves‐0.03 0.03 Not Available
7
Particulars BSE SME Platform(i) at the end of 1st FY Frequently Traded(ii) at the end of 2nd FY Frequently Traded(iii) at the end of 3rd FY Frequently Traded
8
Name of Director
Appointed /
Resigned
(i) at the end of 1st FY(March 31, 2014) NA NA
(ii) at the end of 2nd FY(March 31, 2015)
Mrs. Purnima Maity
Mr. Akash Kumar
Mr. Sharad
Jhunjhunwala
Appointed
Appointed
Resigned
(iii) at the end of 3rd FY(March 31, 2016) NA NA
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
11
(a) Comments on use of funds NA
NA
NA
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
NEWEVER TRADE WINGS LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of
the listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
Augmenting long term working capital Rs. 594.84 Lacs ‐ To be utilised during FY 2014
Entire working capital was used during FY 2014
N.A.
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Augmenting long term working capital Rs. 594.84 Lacs ‐ To be utilised during FY 2014
Entire working capital was used during FY 2014
N.A.
Comments of monitoring agency, if applicable (See Regulation 16 of SEBI (ICDR) Regulations, 2009 read with
Clause 43A of the listing agreement)
(b) Comments on deviation, if any, in the use of proceeds of the issue from the
objects stated in the offer document
(c) Any other reservations expressed by the monitoring agency about the end
use of funds
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
12 Price‐ related data Issue price (Rs):
Closing price High
(during the
FY 2014)
Low
(during
the FY
2014)Market Price 12.80 25.60 28.05 27.00 34.45 12.80Sexsex(BSE Being the Designated
Price parameters At close of listing day At close of 30th
calendar day from
listing day
At close of 90th
calendar day
from listing day
As at the end of 1st FY 2015 after the
listing of the issue
P/E
RoNW (%)
NAV per share based on balance
sheet
Source: Money Control and BSE
Price parameters As at the end of 2nd FY 2016 after the listing of the issue As at the end of 3rd FY 2017 after
Basis for Issue Price and Comparison with Peer Group & Industry Average (Source of accounting ratios of peer group and industry
average may be indicated; source of the accounting ratios may generally be the same, however in case of different sources, reasons for
the same may be indicated)
2
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS
Name of the issue:
1 Type of issue (IPO/ FPO) SME IPO
2 Issue size (Rs crore) 16.008
3 Grade of issue alongwith name of the rating agency Not Applicable
4 Subscription level (number of times) 1.289
5(i) allotment in the issue Nil
(ii) at the end of the 1st Quarter immediately after the listing of the issue Nil
(iii) at the end of 1st FY Nil
(iv) at the end of 2nd FY Nil
(v) at the end of 3rd FY Nil
6
(Rs. in crores)
Parameters1st FY (March 31,
2015)
2nd FY (March 31,
2016)
3rd FY (March
31, 2017)Income from operations 190.68 Not Available Not Available
Net Profit for the period 0.39 Not Available Not Available
Paid‐up equity share capital 20.85 Not Available Not Available
Reserves excluding revaluation
reserves18.35 Not Available Not Available
7
Particulars BSE SME Platform
(i) at the end of 1st FY Frequently Traded
(ii) at the end of 2nd FY Frequently Traded
(iii) at the end of 3rd FY Frequently Traded
8
Name of Director Appointed / Resigned
(i) at the end of 1st FY(March 31, 2015) Nil Nil
(ii) at the end of 2nd FY(March 31, 2016)# NA NA
(iii) at the end of 3rd FY(March 31, 2017) NA NA
9
(i) as disclosed in the offer
document
(ii) Actual implementation
(iii) Reasons for delay in
implementation, if any
Source: Company
10
(i) as disclosed in the offer
document
(ii) Actual utilization
(iii) Reasons for deviation, if anySource: Company/ Annual Report
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE INVENTURE MERCHANT BANKER SERVICES PRIVATE LIMITED IN THE LAST 3 FINANCIAL
YEARS
AANCHAL ISPAT LIMITED
QIB holding (as a % of total outstanding capital) as disclosed to stock exchanges
Financials of the issuer (as per the annual financial results submitted to stock exchanges under Clause 41 of the
listing agreement)
Trading status in the scrip of the issuer (whether frequently traded (as defined under Regulation 2 (j) of SEBI
(SAST) Regulations, 2011) or infrequently traded/ delisted/ suspended by any stock exchange, etc.)
Change, if any, in directors of issuer from the disclosures in the offer document (See Clause 30 of the listing
agreement)
Status of implementation of project/ commencement of commercial production (as submitted to stock
exchanges under Clause 41 (IV) (e) of the listing agreement)
Expansion and modernizing by upgradation and automation of our TMT Bar manufacturing
facilities ‐ Rs. 5.36 Cr to be utilised by May 2015; Additional Working Capital Requirements ‐ Rs.
10.15 Cr to be utilised in FY 2014‐15
11.89 Crore was utilised till September 30, 2015 as per the Objects of the Issue, Rs. 1.23 cr was used
for expansion and mordenisation out of Rs. 5.36 Cr earmarked for the same
The utilisation in expansion and mordenisation has been delayed due to th edemand situation in
the market
Status of utilization of issue proceeds (as submitted to stock exchanges under Clauses 41, 43 and 43A of the
listing agreement)
Expansion and modernizing by upgradation and automation of our TMT Bar manufacturing
facilities ‐ Rs. 5.36 Cr to be utilised by May 2015; Additional Working Capital Requirements ‐ Rs. 11.89 Crore was utilised till September 30, 2015 as per the Objects of the Issue, Rs. 1.23 cr was used
for expansion and mordenisation out of Rs. 5.36 Cr earmarked for the same
N.A.
1
TRACK RECORD OF THE PUBLIC ISSUES MANAGED BY THE MERCHANT BANKER IN THE LAST 3 FINANCIAL YEARS