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)	31-03-2019
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	6087600			6087600	40.18	6087600		6087600	40.18
(B)	Public	2403	9064800			9064800	59.82	9064800		9064800	59.82
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	2411	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				40.18					6087600
(B)	Public				59.82					8681199
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total				100					14768799

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	4007600			4007600	26.45	4007600		4007600	26.45
(d)	Any Other (specify)		3	2080000			2080000	13.73	2080000		2080000	13.73
Sub-Total (A)(1)			8	6087600			6087600	40.18	6087600		6087600	40.18
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)			8	6087600			6087600	40.18	6087600		6087600	40.18
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.		2261	1160849			1160849	7.66	1160849		1160849	7.66
(a(ii))	Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.		39	3607254			3607254	23.81	3607254		3607254	23.81
(e)	Any Other (specify)		101	4295297			4295297	28.35	4295297		4295297	28.35
Sub-Total (B)(3)			2401	9063400			9063400	59.81	9063400		9063400	59.81
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)			2403	9064800			9064800	59.82	9064800		9064800	59.82
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )			2411	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )			2411	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)				26.45					4007600
(d)				13.73					2080000
Sub-Total (A)(1)				40.18					6087600
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)				40.18					6087600
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))				7.66					841148
(a(ii))				23.81					3607254
(e)				28.35					4232297
Sub-Total (B)(3)				59.81					8680699
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)				59.82					8681199
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14768799
Total (A+B+C )				100					14768799

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	659500	740000	4007600
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	659500	740000	4007600
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	4.35	4.88	26.45
Number of Voting Rights held in each class of securities (IX)
Class eg:X	58100	1300000	1250000	659500	740000	4007600
Class eg:y
Total	58100	1300000	1250000	659500	740000	4007600
Total as a % of Total Voting rights	0.38	8.58	8.25	4.35	4.88	26.45
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	4.35	4.88	26.45
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	659500	740000	4007600
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)	1535000	145000	400000	2080000
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	1535000	145000	400000	2080000
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	10.13	0.96	2.64	13.73
Number of Voting Rights held in each class of securities (IX)
Class eg: X	1535000	145000	400000	2080000
Class eg:y
Total	1535000	145000	400000	2080000
Total as a % of Total Voting rights	10.13	0.96	2.64	13.73
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)	10.13	0.96	2.64	13.73
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)	1535000	145000	400000	2080000
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	2	3	4
Name of the Shareholders (I)	AARTI MITESH JHUNJHUNWALA	SHASHANK SONI	VANDANA JAIN	VIKAS AGARWAL	Click here to go back
PAN (II)	ACBPT9497K	CZGPS7550B	AEIPJ0088H	AAAPA9802G	Total
No. of fully paid up equity shares held (IV)	660670	235000	158576	297932	1352178
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	235000	158576	297932	1352178
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.36	1.55	1.05	1.97	8.92
Number of Voting Rights held in each class of securities (IX)
Class eg: X	660670	235000	158576	297932	1352178
Class eg:y
Total	660670	235000	158576	297932	1352178
Total as a % of Total Voting rights	4.36	1.55	1.05	1.97	8.92
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	1.55	1.05	1.97	8.92
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	235000	158576	297932	1352178
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	EXPLICIT FINANCE LIMITED	FLORENCE SECURITIES PRIVATE LIMITED	INTELLECT MONEY PRIVATE LIMITED
PAN (II)	AACCA1895Q	AACCA5772E	AAGCA9030R	AAFCK5317C	AAACS5604B	AABCF5634R	AAECR0508F
No. of the Shareholders (I)	1	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	328942	270545	430000	179200	333203	188988	308079
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	328942	270545	430000	179200	333203	188988	308079
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	2.17	1.79	2.84	1.18	2.2	1.25	2.03
Number of Voting Rights held in each class of securities (IX)
Class eg: X	328942	270545	430000	179200	333203	188988	308079
Class eg:y
Total	328942	270545	430000	179200	333203	188988	308079
Total as a % of Total Voting rights	2.17	1.79	2.84	1.18	2.2	1.25	2.03
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)	2.17	1.79	2.84	1.18	2.2	1.25	2.03
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	328942	270545	430000	179200	333203	188988	308079
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	8	9	10	11
Category	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	Category
Name of the Shareholders (I)	STARWINGS FASHION TRADING LIMITED	SYNCOM FORMULATION (INDIA) LTD	ORBIS FINANCIAL CORPORATION LIMITED		Click here to go back
PAN (II)	AAOCS7904C	AAFCS6794R	AAACF9386P		Total
No. of the Shareholders (I)	1	1	1	6	6
No. of fully paid up equity shares held (IV)	177000	274000	868123	13700	13700
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	177000	274000	868123	13700	13700
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.17	1.81	5.73	0.09	0.09
Number of Voting Rights held in each class of securities (IX)
Class eg: X	177000	274000	868123	13700	13700
Class eg:y
Total	177000	274000	868123	13700	13700
Total as a % of Total Voting rights	1.17	1.81	5.73	0.09	0.09
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)	1.17	1.81	5.73	0.09	0.09
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	177000	274000	868123	200	200
Reason for not providing PAN
Reason for not providing PAN