General information about company
Scrip code	531390
NSE Symbol
MSEI Symbol
ISIN	INE890B01014
Name of the company	Upsurge Investment & Finance Ltd.
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)	31-03-2018
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	2401	9799300			9799300	64.67	9799300		9799300	64.67
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	2409	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					9395599
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total				100					14748699

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.		2215	1050008			1050008	6.93	1050008		1050008	6.93
(a(ii))	Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.		34	3219736			3219736	21.25	3219736		3219736	21.25
(e)	Any Other (specify)		150	5528156			5528156	36.48	5528156		5528156	36.48
Sub-Total (B)(3)			2399	9797900			9797900	64.66	9797900		9797900	64.66
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)			2401	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 )			2409	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )			2409	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))				6.93					717907
(a(ii))				21.25					3219736
(e)				36.48					5457456
Sub-Total (B)(3)				64.66					9395099
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)				64.67					9395599
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14748699
Total (A+B+C )				100					14748699

Individuals/Hindu undivided Family
Searial No.	1	2	3	4	5
Name of the Shareholders (I)	BAL KISHAN GOYAL	NAVRATI GUPTA	PRATIBHA DAYAKRISHNA GOYAL	DAYA KRISHNA GOYAL	D K GOYAL (HUF) .	Click here to go back
PAN (II)	ABIPG1339B	AFIPG4775K	AHAPG4289L	AACPG8766B	AACHD0154N	Total
No. of fully paid up equity shares held (IV)	58100	300000	740000	1250000	1300000	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	300000	740000	1250000	1300000	3648100
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.38	1.98	4.88	8.25	8.58	24.08
Number of Voting Rights held in each class of securities (IX)
Class eg:X	58100	300000	740000	1250000	1300000	3648100
Class eg:y
Total	58100	300000	740000	1250000	1300000	3648100
Total as a % of Total Voting rights	0.38	1.98	4.88	8.25	8.58	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	1.98	4.88	8.25	8.58	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	300000	740000	1250000	1300000	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)	UPSURGE SHARES AND SECURITIES PRIVA	YASH SECURITIES PVT. LTD.	GAGAN DEEP MULTITRADE PRIVATE LIMIT
PAN (II)	AABCU2002J	AAACY3116E	AADCG3604J	Total
No. of the Shareholders (I)	1	1	1	3
No. of fully paid up equity shares held (IV)	145000	400000	1160000	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)	145000	400000	1160000	1705000
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.96	2.64	7.66	11.25
Number of Voting Rights held in each class of securities (IX)
Class eg: X	145000	400000	1160000	1705000
Class eg:y
Total	145000	400000	1160000	1705000
Total as a % of Total Voting rights	0.96	2.64	7.66	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)	0.96	2.64	7.66	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)	145000	400000	1160000	1705000
Reason for not providing PAN
Reason for not providing PAN
Shareholder type	Promoter Group	Promoter Group	Promoter Group

Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.
Searial No.	1	2	3
Name of the Shareholders (I)	VISHNU GARG	SUNIL ANANT MAHADIK	AARTI MITESH JHUNJHUNWALA	Click here to go back
PAN (II)	ACLPG7760Q	ANNPM1023B	ACBPT9497K	Total
No. of fully paid up equity shares held (IV)	164500	250202	737188	1151890
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	164500	250202	737188	1151890
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.09	1.65	4.87	7.6
Number of Voting Rights held in each class of securities (IX)
Class eg: X	164500	250202	737188	1151890
Class eg:y
Total	164500	250202	737188	1151890
Total as a % of Total Voting rights	1.09	1.65	4.87	7.6
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)	1.09	1.65	4.87	7.6
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	164500	250202	737188	1151890
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	1	2	3	4	5	6	7
Category	Non-Resident Indian (NRI)	Bodies Corporate	Bodies Corporate	Bodies Corporate	Clearing Members	Bodies Corporate	HUF
Category / More than 1 percentage	Category	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)		YADUKA FINANCIAL SERVICES LIMITED	IVORY CONSULTANTS PVT. LTD.	GAGANBASE VINCOM PRIVATE LIMITED	CHOICE EQUITY BROKING PRIVATE LIMIT	EXPLICIT FINANCE LIMITED .	VISHNU GARG HUF
PAN (II)		AAECP3304K	AAACI5518C	AAACG9996N	AADCC8390B	AAACS5604B	AABHV8391Q
No. of the Shareholders (I)	6	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	23300	199999	200000	211966	215000	228622	232484
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	199999	200000	211966	215000	228622	232484
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.15	1.32	1.32	1.4	1.42	1.51	1.53
Number of Voting Rights held in each class of securities (IX)
Class eg: X	23300	199999	200000	211966	215000	228622	232484
Class eg:y
Total	23300	199999	200000	211966	215000	228622	232484
Total as a % of Total Voting rights	0.15	1.32	1.32	1.4	1.42	1.51	1.53
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	1.32	1.32	1.4	1.42	1.51	1.53
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	199999	200000	211966	215000	228622	232484
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	Clearing Members	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)	ECO RECYCLING LIMITED	SYNCOM FORMULATION (INDIA) LTD	INTELLECT MONEY PRIVATE LIMITED	CHARTERED CAPITAL RESEARCH PRIVATE	CHOICE MERCHANDISE BROKING PRIVATE	CARRON INVESTMENTS PVT LTD	FLORENCE SECURITIES PRIVATE LIMITED
PAN (II)	AAACS6183R	AAFCS6794R	AAECR0508F	AADCC4238N	AADCC8468J	AAACC1995K	AABCF5634R
No. of the Shareholders (I)	1	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	268945	274000	301843	344900	430000	574983	588988
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	268945	274000	301843	344900	430000	574983	588988
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.77	1.81	1.99	2.28	2.84	3.79	3.89
Number of Voting Rights held in each class of securities (IX)
Class eg: X	268945	274000	301843	344900	430000	574983	588988
Class eg:y
Total	268945	274000	301843	344900	430000	574983	588988
Total as a % of Total Voting rights	1.77	1.81	1.99	2.28	2.84	3.79	3.89
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	1.81	1.99	2.28	2.84	3.79	3.89
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	268945	274000	301843	344900	430000	574983	588988
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	15	16	17
Category	Clearing Members	HUF	Bodies Corporate
Category / More than 1 percentage	Category	Category	Category
Name of the Shareholders (I)				Click here to go back
PAN (II)				Total
No. of the Shareholders (I)	16	43	85	150
No. of fully paid up equity shares held (IV)	690093	706788	4107975	5528156
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	690093	706788	4107975	5528156
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.55	4.66	27.11	36.47
Number of Voting Rights held in each class of securities (IX)
Class eg: X	690093	706788	4107975	5528156
Class eg:y
Total	690093	706788	4107975	5528156
Total as a % of Total Voting rights	4.55	4.66	27.11	36.47
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)	4.55	4.66	27.11	36.47
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	690093	705388	4061975	5457456
Reason for not providing PAN
Reason for not providing PAN