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)	30-09-2018
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	2398	9799300			9799300	64.67	9799300		9799300	64.67
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	2406	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					9408999
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total				100					14762099

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		2	358100			358100	2.36	358100		358100	2.36
(d)	Any Other (specify)		6	4995000			4995000	32.97	4995000		4995000	32.97
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.		2246	1126613			1126613	7.44	1126613		1126613	7.44
(a(ii))	Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.		43	3702034			3702034	24.43	3702034		3702034	24.43
(e)	Any Other (specify)		107	4969253			4969253	32.8	4969253		4969253	32.8
Sub-Total (B)(3)			2396	9797900			9797900	64.66	9797900		9797900	64.66
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)			2398	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 )			2406	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )			2406	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)				2.36					358100
(d)				32.97					4995000
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))				7.44					806812
(a(ii))				24.43					3702034
(e)				32.8					4899653
Sub-Total (B)(3)				64.66					9408499
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)				64.67					9408999
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14762099
Total (A+B+C )				100					14762099

Individuals/Hindu undivided Family
Searial No.	1	2
Name of the Shareholders (I)	BAL KISHAN GOYAL	NAVRATI GUPTA	Click here to go back
PAN (II)	ABIPG1339B	AFIPG4775K	Total
No. of fully paid up equity shares held (IV)	58100	300000	358100
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	358100
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.38	1.98	2.36
Number of Voting Rights held in each class of securities (IX)
Class eg:X	58100	300000	358100
Class eg:y
Total	58100	300000	358100
Total as a % of Total Voting rights	0.38	1.98	2.36
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)+(Xi)(a) As a % of (A+B+C2)	0.38	1.98	2.36
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	358100
Reason for not providing PAN
Reason for not providing PAN
Shareholder type

Any Other (specify)
Searial No.	1	2	3	4	5	6
Category	Bodies Corporate	Bodies Corporate	Bodies Corporate	Director or Director's Relatives	Director or Director's Relatives	Director or Director's Relatives
Name of the Shareholders (I)	GAGAN DEEP MULTITRADE PRIVATE LIMITED	UPSURGE SHARE AND SECURITIES PRIVATE LIMITED	YASH SECURITIES PRIVATE LIMITED	D K GOYAL (HUF)	DAYAKRISHNA GOYAL	PRATIBHA DAYAKRISHNA GOYAL
PAN (II)	AADCG3604J	AABCU2002J	AAACY3116E	AACHD0154N	AACPG8766B	AHAPG4289L
No. of the Shareholders (I)	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	1160000	145000	400000	1300000	1250000	740000
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	1300000	1250000	740000
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	8.58	8.25	4.88
Number of Voting Rights held in each class of securities (IX)
Class eg: X	1160000	145000	400000	1300000	1250000	740000
Class eg:y
Total	1160000	145000	400000	1300000	1250000	740000
Total as a % of Total Voting rights	7.66	0.96	2.64	8.58	8.25	4.88
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	8.58	8.25	4.88
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	1300000	1250000	740000
Reason for not providing PAN
Reason for not providing PAN
Shareholder type

Any Other (specify)
Searial No.
Category	Click here to go back
Name of the Shareholders (I)
PAN (II)	Total
No. of the Shareholders (I)	6
No. of fully paid up equity shares held (IV)	4995000
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	4995000
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	32.97
Number of Voting Rights held in each class of securities (IX)
Class eg: X	4995000
Class eg:y
Total	4995000
Total as a % of Total Voting rights	32.97
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)	32.97
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)	4995000
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
Name of the Shareholders (I)	AARTI MITESH JHUNJHUNWALA	SUNIL ANANT MAHADIK	VIKASH AGARWAL	Click here to go back
PAN (II)	ACBPT9497K	ANNPM1023B	AAAPA9802G	Total
No. of fully paid up equity shares held (IV)	737188	250202	152256	1139646
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	737188	250202	152256	1139646
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.87	1.65	1	7.52
Number of Voting Rights held in each class of securities (IX)
Class eg: X	737188	250202	152256	1139646
Class eg:y
Total	737188	250202	152256	1139646
Total as a % of Total Voting rights	4.87	1.65	1	7.52
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)	4.87	1.65	1	7.52
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	737188	250202	152256	1139646
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 TRADING CO PVT LTD	CANOPY FINANCE LIMITED	CHARTERED CAPITAL RESEARCH PRIVATE LIMITED	CHOICE EQUITY BROKING PRIVATE LIMITED	ECO RECYCLING LIMITED	EXPLICIT FINANCE LIMITED	FLORENCE SECURITIES PRIVATE LIMITED
PAN (II)	AACCA5772E	AAFCK5317C	AADCC4238N	AADCC8390B	AAACS6183R	AAACS5604B	AABCF5634R
No. of the Shareholders (I)	1	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	270545	179200	344900	1004983	233945	323801	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)	270545	179200	344900	1004983	233945	323801	588988
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.79	1.18	2.28	6.63	1.54	2.14	3.89
Number of Voting Rights held in each class of securities (IX)
Class eg: X	270545	179200	344900	1004983	233945	323801	588988
Class eg:y
Total	270545	179200	344900	1004983	233945	323801	588988
Total as a % of Total Voting rights	1.79	1.18	2.28	6.63	1.54	2.14	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)	1.79	1.18	2.28	6.63	1.54	2.14	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)	270545	179200	344900	1004983	233945	323801	588988
Reason for not providing PAN
Reason for not providing PAN

Any Other (specify)
Searial No.	8	9	10	11
Category	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
Name of the Shareholders (I)	GAGANBASE VINCOM PRIVATE LIMITED	INTELLECT MONEY PRIVATE LIMITED	STARWINGS FASHION TRADING LIMITED	SYNCOM FORMULATION (INDIA) LTD	Click here to go back
PAN (II)	AAACG9996N	AAECR0508F	AAOCS7904C	AAFCS6794R	Total
No. of the Shareholders (I)	1	1	1	1	0
No. of fully paid up equity shares held (IV)	218566	309843	177000	274000	0
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	177000	274000	0
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.44	2.04	1.17	1.81	0
Number of Voting Rights held in each class of securities (IX)
Class eg: X	218566	309843	177000	274000	0
Class eg:y
Total	218566	309843	177000	274000	0
Total as a % of Total Voting rights	1.44	2.04	1.17	1.81	0
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	1.17	1.81	0
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	177000	274000	0
Reason for not providing PAN
Reason for not providing PAN