General information about company
Scrip code	531390
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)	30-09-2017
Date of allotment / extinguishment (in case Capital Restructuring selected) / Listing Date
Shareholding pattern filed under	Regulation 31 (1) (b)

Sr. No.	Particular	Yes/No
1	Whether the Listed Entity has issued any partly paid up shares?	No
2	Whether the Listed Entity has issued any Convertible Securities ?	No
3	Whether the Listed Entity has issued any Warrants ?	No
4	Whether the Listed Entity has any shares against which depository receipts are issued?	No
5	Whether the Listed Entity has any shares in locked-in?	No
6	Whether any shares held by promoters are pledge or otherwise encumbered?	No
7	Whether company has equity shares with differential voting rights?	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	2397	9799300			9799300	64.67	9799300		9799300	64.67
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	2405	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					9393099
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total				100					14746199

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
Sub-Total (B)(1)			1	900			900	0.01	900		900	0.01
( 3 )	Non-institutions
(a(i))	Individuals - i.Individual shareholders holding nominal share capital up to Rs. 2 lakhs.		2249	1116200			1116200	7.37	1116200		1116200	7.37
(a(ii))	Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.		41	3966209			3966209	26.18	3966209		3966209	26.18
(b)	NBFCs registered with RBI		1	50			50	0	50		50	0
(e)	Any Other (specify)		105	4715941			4715941	31.12	4715941		4715941	31.12
Sub-Total (B)(3)			2396	9798400			9798400	64.67	9798400		9798400	64.67
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)			2397	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 )			2405	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )			2405	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
Sub-Total (B)(1)				0.01					0
( 3 )	Non-institutions
(a(i))				7.37					780199
(a(ii))				26.18					3966209
(b)				0					50
(e)				31.12					4646641
Sub-Total (B)(3)				64.67					9393099
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)				64.67					9393099
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14746199
Total (A+B+C )				100					14746199

Individuals/Hindu undivided Family
Searial No.	1	2	3	4	5
Name of the Shareholders (I)	PRATIBHA DAYAKRISHNA GOYAL	BAL KISHAN GOYAL	D K GOYAL (HUF) .	NAVRATI GUPTA	DAYA KRISHNA GOYAL	Click here to go back
PAN (II)	AHAPG4289L	ABIPG1339B	AACHD0154N	AFIPG4775K	AACPG8766B	Total
No. of fully paid up equity shares held (IV)	740000	58100	1300000	300000	1250000	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)	740000	58100	1300000	300000	1250000	3648100
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.88	0.38	8.58	1.98	8.25	24.08
Number of Voting Rights held in each class of securities (IX)
Class eg:X	740000	58100	1300000	300000	1250000	3648100
Class eg:y
Total	740000	58100	1300000	300000	1250000	3648100
Total as a % of Total Voting rights	4.88	0.38	8.58	1.98	8.25	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)	4.88	0.38	8.58	1.98	8.25	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)	740000	58100	1300000	300000	1250000	3648100
Reason for not providing PAN
Reason for not providing PAN

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	YASH SECURITIES PVT. LTD.	UPSURGE SHARES AND SECURITIES PRIVATE LIMITED
PAN (II)	AADCG3604J	AAACY3116E	AABCU2002J	Total
No. of the Shareholders (I)	1	1	1	3
No. of fully paid up equity shares held (IV)	1160000	400000	145000	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	400000	145000	1705000
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	7.66	2.64	0.96	11.25
Number of Voting Rights held in each class of securities (IX)
Class eg: X	1160000	400000	145000	1705000
Class eg:y
Total	1160000	400000	145000	1705000
Total as a % of Total Voting rights	7.66	2.64	0.96	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	2.64	0.96	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	400000	145000	1705000
Reason for not providing PAN

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	VISHNU GARG HUF	VISHNU GARG	SUNIL ANANT MAHADIK	Click here to go back
PAN (II)	ACBPT9497K	AABHV8391Q	ACLPG7760Q	ANNPM1023B	Total
No. of fully paid up equity shares held (IV)	737188	271188	174500	250202	1433078
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	271188	174500	250202	1433078
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.87	1.79	1.15	1.65	9.46
Number of Voting Rights held in each class of securities (IX)
Class eg: X	737188	271188	174500	250202	1433078
Class eg:y
Total	737188	271188	174500	250202	1433078
Total as a % of Total Voting rights	4.87	1.79	1.15	1.65	9.46
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	1.79	1.15	1.65	9.46
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	271188	174500	250202	1433078
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)	PAATH FINANCIAL SERVICES PRIVATE LIMITED	ASHIKA STOCK BROKING LTD. - CLIENT A/C	ECO RECYCLING LIMITED	SYNCOM FORMULATION (INDIA) LTD	MODERN TRADING BUSINESS PRIVATE LIMITED	ASHIKA CREDIT CAPITAL LIMITED	FLORENCE SECURITIES PRIVATE LIMITED
PAN (II)	AAHCP2103K	AACCA7156Q	AAACS6183R	AAFCS6794R	AABCH4502L	AACCA1721D	AABCF5634R
No. of the Shareholders (I)	1	1	1	1	1	1	1
No. of fully paid up equity shares held (IV)	215000	199999	368945	274000	574983	200000	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)	215000	199999	368945	274000	574983	200000	588988
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.42	1.32	2.43	1.81	3.79	1.32	3.89
Number of Voting Rights held in each class of securities (IX)
Class eg: X	215000	199999	368945	274000	574983	200000	588988
Class eg:y
Total	215000	199999	368945	274000	574983	200000	588988
Total as a % of Total Voting rights	1.42	1.32	2.43	1.81	3.79	1.32	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)	1.42	1.32	2.43	1.81	3.79	1.32	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)	215000	199999	368945	274000	574983	200000	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)	INTELLECT MONEY PRIVATE LIMITED	SIGNORA FINANCE PRIVATE LIMITED	GAGANBASE VINCOM PRIVATE LIMITED	AZURA PROJECTS PRIVATE LIMITED	Click here to go back
PAN (II)	AAECR0508F	AAHCS4031R	AAACG9996N	AAGCA9030R	Total
No. of the Shareholders (I)	1	1	1	1	0
No. of fully paid up equity shares held (IV)	301843	344900	176966	430000	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)	301843	344900	176966	430000	0
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.99	2.28	1.17	2.84	0
Number of Voting Rights held in each class of securities (IX)
Class eg: X	301843	344900	176966	430000	0
Class eg:y
Total	301843	344900	176966	430000	0
Total as a % of Total Voting rights	1.99	2.28	1.17	2.84	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)	1.99	2.28	1.17	2.84	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)	301843	344900	176966	430000	0
Reason for not providing PAN
Reason for not providing PAN