General information about company
Scrip code	531390
NSE Symbol
MSEI Symbol
ISIN	INE890B01014
Name of the company	UPSURGE INVESTMENT AND FINANCE LIMITED
Whether company is SME	No
Class of Security	Equity Shares
Type of report	Quarterly
Quarter Ended / Half year ended/Date of Report (For Prelisting / Allotment)	31-12-2018
Date of allotment / extinguishment (in case Capital Restructuring selected) / Listing Date
Shareholding pattern filed under	Regulation 31 (1) (b)

Declaration
Sr. No.	Particular	Yes/No	Promoter and Promoter Group	Public shareholder	Non Promoter- Non Public
1	Whether the Listed Entity has issued any partly paid up shares?	No	No	No	No
2	Whether the Listed Entity has issued any Convertible Securities ?	No	No	No	No
3	Whether the Listed Entity has issued any Warrants ?	No	No	No	No
4	Whether the Listed Entity has any shares against which depository receipts are issued?	No	No	No	No
5	Whether the Listed Entity has any shares in locked-in?	No	No	No	No
6	Whether any shares held by promoters are pledge or otherwise encumbered?	No	No
7	Whether company has equity shares with differential voting rights?	No	No	No	No

Table I - Summary Statement holding of specified securities
Category (I)	Category of shareholder (II)	Nos. Of shareholders (III)	No. of fully paid up equity shares held (IV)	No. Of Partly paid-up equity shares held (V)	No. Of shares underlying Depository Receipts (VI)	Total nos. shares held (VII) = (IV)+(V)+ (VI)	Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	Number of Voting Rights held in each class of securities (IX)
								No of Voting (XIV) Rights			Total as a % of (A+B+C)
								Class eg: X	Class eg:y	Total
(A)	Promoter & Promoter Group	8	5353100			5353100	35.33	5353100		5353100	35.33
(B)	Public	2395	9799300			9799300	64.67	9799300		9799300	64.67
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	2403	15152400			15152400	100	15152400		15152400	100

Table I - Summary Statement holding of specified securities
Category (I)	Category of shareholder (II)	No. Of Shares Underlying Outstanding convertible securities (X)	No. of Shares Underlying Outstanding Warrants (Xi)	No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)	Shareholding , as a % assuming full conversion of convertible securities ( as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	Number of Locked in shares (XII)		Number of Shares pledged or otherwise encumbered (XIII)		Number of equity shares held in dematerialized form (XIV)
						No. (a)	As a % of total Shares held (b)	No. (a)	As a % of total Shares held (b)
(A)	Promoter & Promoter Group				35.33					5353100
(B)	Public				64.67					9414299
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total				100					14767399

Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
Sr.	Category & Name of the Shareholders (I)		Nos. Of shareholders (III)	No. of fully paid up equity shares held (IV)	No. Of Partly paid-up equity shares held (V)	No. Of shares underlying Depository Receipts (VI)	Total nos. shares held (VII) = (IV)+(V)+ (VI)	Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	Number of Voting Rights held in each class of securities (IX)
									No of Voting (XIV) Rights			Total as a % of Total Voting rights
									Class eg: X	Class eg:y	Total
A	Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
(1)	Indian
(a)	Individuals/Hindu undivided Family		5	3648100			3648100	24.08	3648100		3648100	24.08
(d)	Any Other (specify)		3	1705000			1705000	11.25	1705000		1705000	11.25
Sub-Total (A)(1)			8	5353100			5353100	35.33	5353100		5353100	35.33
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)			8	5353100			5353100	35.33	5353100		5353100	35.33
B	Table III - Statement showing shareholding pattern of the Public shareholder
(1)	Institutions
(a)	Mutual Funds		1	900			900	0.01	900		900	0.01
(f)	Financial Institutions/ Banks		1	500			500	0	500		500	0
Sub-Total (B)(1)			2	1400			1400	0.01	1400		1400	0.01
( 3 )	Non-institutions
(a(i))	Individuals - i.Individual shareholders holding nominal share capital up to Rs. 2 lakhs.		2248	1192034			1192034	7.87	1192034		1192034	7.87
(a(ii))	Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.		38	2961612			2961612	19.55	2961612		2961612	19.55
(e)	Any Other (specify)		107	5644254			5644254	37.25	5644254		5644254	37.25
Sub-Total (B)(3)			2393	9797900			9797900	64.66	9797900		9797900	64.66
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)			2395	9799300			9799300	64.67	9799300		9799300	64.67
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )			2403	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )			2403	15152400			15152400	100	15152400		15152400	100

Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
Sr.	No. Of Shares Underlying Outstanding convertible securities (X)	No. of Shares Underlying Outstanding Warrants (Xi)	No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)	Shareholding , as a % assuming full conversion of convertible securities ( as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	Number of Locked in shares (XII)		Number of Shares pledged or otherwise encumbered (XIII)		Number of equity shares held in dematerialized form (XIV)
					No. (a)	As a % of total Shares held (b)	No. (a)	As a % of total Shares held (b)
A	Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
(1)	Indian
(a)				24.08					3648100
(d)				11.25					1705000
Sub-Total (A)(1)				35.33					5353100
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)				35.33					5353100
B	Table III - Statement showing shareholding pattern of the Public shareholder
(1)	Institutions
(a)				0.01					0
(f)				0					500
Sub-Total (B)(1)				0.01					500
( 3 )	Non-institutions
(a(i))				7.87					877533
(a(ii))				19.55					2961612
(e)				37.25					5574654
Sub-Total (B)(3)				64.66					9413799
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)				64.67					9414299
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14767399
Total (A+B+C )				100					14767399

Individuals/Hindu undivided Family
Searial No.	1	2	3	4	5
Name of the Shareholders (I)	BAL KISHAN GOYAL	D K GOYAL (HUF)	DAYA KRISHNA GOYAL	NAVRATI GUPTA	PRATIBHA DAYAKRISHNA GOYAL	Click here to go back
PAN (II)	ABIPG1339B	AACHD0154N	AACPG8766B	AFIPG4775K	AHAPG4289L	Total
No. of fully paid up equity shares held (IV)	58100	1300000	1250000	300000	740000	3648100
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	58100	1300000	1250000	300000	740000	3648100
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.38	8.58	8.25	1.98	4.88	24.08
Number of Voting Rights held in each class of securities (IX)
Class eg:X	58100	1300000	1250000	300000	740000	3648100
Class eg:y
Total	58100	1300000	1250000	300000	740000	3648100
Total as a % of Total Voting rights	0.38	8.58	8.25	1.98	4.88	24.08
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(Xi)(a) As a % of (A+B+C2)	0.38	8.58	8.25	1.98	4.88	24.08
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of Shares pledged or otherwise encumbered (XIII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	58100	1300000	1250000	300000	740000	3648100
Reason for not providing PAN
Reason for not providing PAN
Shareholder type	Promoter	Promoter	Promoter	Promoter	Promoter

Any Other (specify)
Searial No.	1	2	3
Category	Bodies Corporate	Bodies Corporate	Bodies Corporate	Click here to go back
Name of the Shareholders (I)	GAGAN DEEP MULTITRADE PRIVATE LIMITED	UPSURGE SHARES AND SECURITIES PRIVATE LIMITED	YASH SECURITIES PVT. LTD.
PAN (II)	AADCG3604J	AABCU2002J	AAACY3116E	Total
No. of the Shareholders (I)	1	1	1	3
No. of fully paid up equity shares held (IV)	1160000	145000	400000	1705000
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	1160000	145000	400000	1705000
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	7.66	0.96	2.64	11.25
Number of Voting Rights held in each class of securities (IX)
Class eg: X	1160000	145000	400000	1705000
Class eg:y
Total	1160000	145000	400000	1705000
Total as a % of Total Voting rights	7.66	0.96	2.64	11.25
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	7.66	0.96	2.64	11.25
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of Shares pledged or otherwise encumbered (XIII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	1160000	145000	400000	1705000
Reason for not providing PAN
Reason for not providing PAN
Shareholder type

Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.
Searial No.	1
Name of the Shareholders (I)	AARTI MITESH JHUNJHUNWALA	Click here to go back
PAN (II)	ACBPT9497K	Total
No. of fully paid up equity shares held (IV)	660670	660670
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	660670	660670
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.36	4.36
Number of Voting Rights held in each class of securities (IX)
Class eg: X	660670	660670
Class eg:y
Total	660670	660670
Total as a % of Total Voting rights	4.36	4.36
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	4.36	4.36
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	660670	660670
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	1	2	3	4	5	6	7
Category	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate
Category / More than 1 percentage	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding
Name of the Shareholders (I)	ADVANI PVT LTD	ADVANI TRADING CO PVT LTD	AZURA PROJECTS PRIVATE LIMITED	CANOPY FINANCE LIMITED	ECO RECYCLING LIMITED	EXPLICIT FINANCE LIMITED	FLORENCE SECURITIES PRIVATE LIMITED
PAN (II)	AACCA1895Q	AACCA5772E	AAGCA9030R	AAFCK5317C	AAACS6183R	AAACS5604B	AABCF5634R
No. of the Shareholders (I)	1	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	268942	270545	430000	179200	233945	348819	188988
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	268942	270545	430000	179200	233945	348819	188988
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.77	1.79	2.84	1.18	1.54	2.3	1.25
Number of Voting Rights held in each class of securities (IX)
Class eg: X	268942	270545	430000	179200	233945	348819	188988
Class eg:y
Total	268942	270545	430000	179200	233945	348819	188988
Total as a % of Total Voting rights	1.77	1.79	2.84	1.18	1.54	2.3	1.25
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	1.77	1.79	2.84	1.18	1.54	2.3	1.25
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	268942	270545	430000	179200	233945	348819	188988
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	8	9	10	11	12	13	14
Category	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate	Bodies Corporate	Clearing Members	Non-Resident Indian (NRI)
Category / More than 1 percentage	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	More than 1 percentage of shareholding	Category
Name of the Shareholders (I)	GAGANBASE VINCOM PRIVATE LIMITED	INTELLECT MONEY PRIVATE LIMITED	SPECIE FINANCE PRIVATE LIMITED	STARWINGS FASHION TRADING LIMITED	SYNCOM FORMULATION (INDIA) LTD	ORBIS FINANCIAL CORPORATION LIMITED
PAN (II)	AAACG9996N	AAECR0508F	AABCH4228H	AAOCS7904C	AAFCS6794R	AAACF9386P
No. of the Shareholders (I)	1	1	1	1	1	1	6
No. of fully paid up equity shares held (IV)	218566	309843	194834	177000	274000	1169883	23300
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	218566	309843	194834	177000	274000	1169883	23300
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.44	2.04	1.29	1.17	1.81	7.72	0.15
Number of Voting Rights held in each class of securities (IX)
Class eg: X	218566	309843	194834	177000	274000	1169883	23300
Class eg:y
Total	218566	309843	194834	177000	274000	1169883	23300
Total as a % of Total Voting rights	1.44	2.04	1.29	1.17	1.81	7.72	0.15
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	1.44	2.04	1.29	1.17	1.81	7.72	0.15
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	218566	309843	194834	177000	274000	1169883	0
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.
Category
Category / More than 1 percentage
Name of the Shareholders (I)	Click here to go back
PAN (II)	Total
No. of the Shareholders (I)	6
No. of fully paid up equity shares held (IV)	23300
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	23300
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.15
Number of Voting Rights held in each class of securities (IX)
Class eg: X	23300
Class eg:y
Total	23300
Total as a % of Total Voting rights	0.15
No. Of Shares Underlying Outstanding convertible securities (X)
No. of Shares Underlying Outstanding Warrants (Xi)
No. Of Shares Underlying Outstanding convertible securities and No. Of Warrants (Xi) (a)
Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) (XI)= (VII)+(X) As a % of (A+B+C2)	0.15
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	0
Reason for not providing PAN
Reason for not providing PAN