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)	30-09-2023
Date of allotment / extinguishment (in case Capital Restructuring selected) / Listing Date
Shareholding pattern filed under	Regulation 31 (1) (b)
Whether the listed entity is Public Sector Undertaking (PSU)?	No

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
8	Whether the listed entity has any significant beneficial owner?	Yes

Table VI - Statement showing foreign ownership limits
Particular	Approved limits (%)	Limits utilized (%)
As on shareholding date	0	0
As on the end of previous 1st quarter	0	0
As on the end of previous 2nd quarter	0	0
As on the end of previous 3rd quarter	0	0
As on the end of previous 4th quarter	0	0

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	Total as a % of (A+B+C)
(A)	Promoter & Promoter Group	8	8243146			8243146	54.4	8243146		8243146	54.4
(B)	Public	4017	6909254			6909254	45.6	6909254		6909254	45.6
(C)	Non Promoter- Non Public
(C1)	Shares underlying DRs
(C2)	Shares held by Employee Trusts
	Total	4025	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)Sub-categorization of shares

No.
(a)As a % of total Shares held
(b)No.
(a)As a % of total Shares held
(b)Sub-category (i)Sub-category (ii)Sub-category (iii)

(A)Promoter & Promoter Group54.48243146

(B)Public45.66544653000

(C)Non Promoter- Non Public

(C1)Shares underlying DRs

(C2)Shares held by Employee Trusts

Total10014787799000

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	Total as a % of Total Voting rights
A	Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
(1)	Indian
(a)	Individuals/Hindu undivided Family	5	4855143			4855143	32.04	4855143		4855143	32.04
(d)	Any Other (specify)	3	3388003			3388003	22.36	3388003		3388003	22.36
Sub-Total (A)(1)		8	8243146			8243146	54.4	8243146		8243146	54.4
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)		8	8243146			8243146	54.4	8243146		8243146	54.4
B	Table III - Statement showing shareholding pattern of the Public shareholder
(1)	Institutions (Domestic)
(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
(2)	Institutions (Foreign)
(3)	Central Government / State Government(s)
(4)	Non-institutions
(g)	Resident Individuals holding nominal share capital up to Rs. 2 lakhs	3838	1296787			1296787	8.56	1296787		1296787	8.56
(h)	Resident Individuals holding nominal share capital in excess of Rs. 2 lakhs	29	2482586			2482586	16.38	2482586		2482586	16.38
(i)	Non Resident Indians (NRIs)	35	29882			29882	0.2	29882		29882	0.2
(l)	Bodies Corporate	68	2115970			2115970	13.96	2115970		2115970	13.96
(m)	Any Other (specify)	46	983129			983129	6.49	983129		983129	6.49
Sub-Total (B)(4)		4016	6908354			6908354	45.59	6908354		6908354	45.59
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)+(B)(4)		4017	6909254			6909254	45.6	6909254		6909254	45.6
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )		4025	15152400			15152400	100	15152400		15152400	100
Total (A+B+C )		4025	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)	Sub-categorization of shares
Sr.		No. of Shares Underlying Outstanding Warrants (Xi)			No. (a)	As a % of total Shares held (b)	No. (a)	As a % of total Shares held (b)	Number of equity shares held in dematerialized form (XIV)	Sub-category (i)	Sub-category (ii)	Sub-category (iii)
A	Table II - Statement showing shareholding pattern of the Promoter and Promoter Group
(1)	Indian
(a)				32.04					4855143
(d)				22.36					3388003
Sub-Total (A)(1)				54.4					8243146
(2)	Foreign
Total Shareholding of Promoter and Promoter Group (A)=(A)(1)+(A)(2)				54.4					8243146
B	Table III - Statement showing shareholding pattern of the Public shareholder
(1)	Institutions (Domestic)
(a)				0.01					0	0	0	0
Sub-Total (B)(1)				0.01					0	0	0	0
(2)	Institutions (Foreign)
(3)	Central Government / State Government(s)
(4)	Non-institutions
(g)				8.56					996186	0	0	0
(h)				16.38					2482286	0	0	0
(i)				0.2					16382	0	0	0
(l)				13.96					2066670	0	0	0
(m)				6.49					983129	0	0	0
Sub-Total (B)(4)				45.59					6544653	0	0	0
Total Public Shareholding (B)=(B)(1)+(B)(2)+(B)(3)+(B)(4)				45.6					6544653	0	0	0
C	Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
Total ( A+B+C2 )				100					14787799
Total (A+B+C )				100					14787799

Individuals/Hindu undivided Family
Searial No.	1	2	3	4	5
Name of the Shareholders (I)	NAVRATI ANURAG GUPTA	PRATIBHA DAYAKRISHNA GOYAL	D K GOYAL (HUF) .	BAL KISHAN GOYAL	DAYA KRISHNA GOYAL	Click here to go back
PAN (II)	AFIPG4775K	AHAPG4289L	AACHD0154N	ABIPG1339B	AACPG8766B	Total
No. of fully paid up equity shares held (IV)	659500	1587543	1300000	58100	1250000	4855143
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	659500	1587543	1300000	58100	1250000	4855143
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	4.35	10.48	8.58	0.38	8.25	32.04
Number of Voting Rights held in each class of securities (IX)
Class eg:X	659500	1587543	1300000	58100	1250000	4855143
Class eg:y
Total	659500	1587543	1300000	58100	1250000	4855143
Total as a % of Total Voting rights	4.35	10.48	8.58	0.38	8.25	32.04
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)	4.35	10.48	8.58	0.38	8.25	32.04
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)	659500	1587543	1300000	58100	1250000	4855143
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 PRIVATE LIMITED	YASH SECURITIES PVT. LTD.	GAGAN DEEP MULTITRADE PRIVATE LIMITED
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	2843003	3388003
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	2843003	3388003
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0.96	2.64	18.76	22.36
Number of Voting Rights held in each class of securities (IX)
Class eg: X	145000	400000	2843003	3388003
Class eg:y
Total	145000	400000	2843003	3388003
Total as a % of Total Voting rights	0.96	2.64	18.76	22.36
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)	0.96	2.64	18.76	22.36
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)	145000	400000	2843003	3388003
Reason for not providing PAN
Reason for not providing PAN
Shareholder type	Promoter	Promoter	Promoter

Bodies Corporate
Searial No.	1	2	3	4
Name of the Shareholders (I)	SYNCOM FORMULATION (INDIA) LTD	INTELLECT STOCK BROKING LIMITED	ADVANI TRADING COMPANY PRIVATE LIMITED	ADVANI PRIVATE LIMITED	Click here to go back
PAN (II)	AAFCS6794R	AADCR1862K	AACCA5772E	AACCA1895Q	Total
No. of fully paid up equity shares held (IV)	274000	288016	321033	331436	1214485
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	274000	288016	321033	331436	1214485
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.81	1.9	2.12	2.19	8.02
Number of Voting Rights held in each class of securities (IX)
Class eg: X	274000	288016	321033	331436	1214485
Class eg:y
Total	274000	288016	321033	331436	1214485
Total as a % of Total Voting rights	1.81	1.9	2.12	2.19	8.02
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)	1.81	1.9	2.12	2.19	8.02
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	274000	288016	321033	331436	1214485
Reason for not providing PAN
Reason for not providing PAN
Sub-categorization of shares
Shareholding (No. of shares) under
Sub-category (i)	0	0	0	0	0
Sub-category (ii)	0	0	0	0	0
Sub-category (iii)	0	0	0	0	0

Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.
Searial No.	1	2	3	4	5
Name of the Shareholders (I)	VANDANA JAIN	SANDEEP KUMAR JAIN	GAURAV BOLIA	NIKITA DHANNALAL JAIN	SNEHA VIKASH AGRWAL	Click here to go back
PAN (II)	AEIPJ0088H	ABKPJ0859M	BZEPB4023J	ALEPJ9930F	APYPA7569R	Total
No. of fully paid up equity shares held (IV)	156738	167972	248757	249000	408812	1231279
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	156738	167972	248757	249000	408812	1231279
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	1.03	1.11	1.64	1.64	2.7	8.13
Number of Voting Rights held in each class of securities (IX)
Class eg: X	156738	167972	248757	249000	408812	1231279
Class eg:y
Total	156738	167972	248757	249000	408812	1231279
Total as a % of Total Voting rights	1.03	1.11	1.64	1.64	2.7	8.13
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)	1.03	1.11	1.64	1.64	2.7	8.13
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	156738	167972	248757	249000	408812	1231279
Reason for not providing PAN
Reason for not providing PAN
Sub-categorization of shares
Shareholding (No. of shares) under
Sub-category (i)	0	0	0	0	0	0
Sub-category (ii)	0	0	0	0	0	0
Sub-category (iii)	0	0	0	0	0	0

Any Other (specify)
Searial No.	1	2
Category	Others	HUF
Category / More than 1 percentage	Category	Category
Name of the Shareholders (I)	Broker		Click here to go back
PAN (II)			Total
No. of the Shareholders (I)	1	45	46
No. of fully paid up equity shares held (IV)	217	982912	983129
No. Of Partly paid-up equity shares held (V)
No. Of shares underlying Depository Receipts (VI)
Total nos. shares held (VII) = (IV)+(V)+ (VI)	217	982912	983129
Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) (VIII) As a % of (A+B+C2)	0	6.49	6.49
Number of Voting Rights held in each class of securities (IX)
Class eg: X	217	982912	983129
Class eg:y
Total	217	982912	983129
Total as a % of Total Voting rights	0	6.49	6.49
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	6.49	6.49
Number of Locked in shares (XII)
No. (a)
As a % of total Shares held (b)
Number of equity shares held in dematerialized form (XIV)	217	982912	983129
Reason for not providing PAN
Reason for not providing PAN
Sub-categorization of shares
Shareholding (No. of shares) under
Sub-category (i)	0	0	0
Sub-category (ii)	0	0	0
Sub-category (iii)	0	0	0

significant beneficial owners

Sr. No.Details of the SBODetails of the registered ownerDetails of holding/ exercise of right of the SBO in the reporting company, whether direct or indirect*:Date of creation / acquisition of significant beneficial interest

NamePAN Passport No. in case of a foreign nationalNationalityNationality (Applicable in case of Any other is selected)NamePAN Passport No. in case of a foreign nationalNationalityNationality (Applicable in case of Any other is selected)Whether by virtue of:

SharesVoting rightsRights on distributable dividend or any other distributionExercise of controlExercise of significant influence

DAYAKRISHNA GOYAL

AACPG8766B

India

Dayakrishna Goyal

AACPG8766B

India

Yes

08-02-2019

DAYAKRISHNA GOYAL

AACPG8766B

India

DK Goyal (HUF)

AACHD0154N

India

Yes

08-02-2019

Total:

General information about company

Declaration

Table VI - Statement showing foreign ownership limits

Table I - Summary Statement holding of specified securities

Table I - Summary Statement holding of specified securities

Table II - Statement showing shareholding pattern of the Promoter and Promoter Group

Table II - Statement showing shareholding pattern of the Promoter and Promoter Group

Individuals/Hindu undivided Family

Any Other (specify)

Bodies Corporate

Individuals - ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs.

Any Other (specify)

significant beneficial owners