Capri Global Capital LimitedNSE: CGCL

Code of conduct under SEBI (PIT) Regulations

· Issued by Capri Global Capital Limited

Annexure A

Report by Capri Global Capital Limited for violations related to Code of Conduct under SEBI (Prohibition of

Insider Trading) Regulations, 2015.

[For listed companies: Schedule B read with Regulation 9 (1) of SEBI (Prohibition of

Insider Trading) Regulations, 2015

For Intermediaries/ Fiduciaries: Schedule C read with Regulation 9(1) and 9(2) of SEBI

(Prohibition of Insider Trading) Regulations, 2015]

Sr.

Particulars

Details

No.

Capri Global Capital Limited

1

Please tick appropr ate checkbox

Name of the listed company/ Intermediary/Fiduciary

2

Reporting in capacity of :

☐

Listed Company

☐ Intermediary

A.

Details of Designated Person

DP

3

Fiduciary

(

)

Mr. Vaibhav Shah

i.

Name of the DP

BAOPS3959K

ii.

PAN of the DP

National Credit Manager

iii.

Designation of DP

Credit - UR

iv.

Functional Role of DP

v.

Whether DP is Promoter or belongs to Promoter

No

Reporting is for immediate relative of DP

B. If

Group

N.A.

Name of the immediate

of DP

C. Details of transa tion(s)

N.A.

ii.

PAN of the immediate relativeof DP

ii.

Name of the scrip

Capri Global Capital Limited

No of shares traded and value (Rs.) (Date- wise)

400 Equity Shares purchased on June 27, 2022,

a calendar quarter

D. In case value of trade(s) is more than Rs.10 lacs in

for total value of Rs.2,83,968.

i.

Date of intimation of trade(s) by concerned DP /

N.A.

director/ promoter/promoter group to Company

under regulation 7 of SEBI (PIT) Regulations, 2015

ii.

Date of intimation of trade(s) by Company to Stock

N.A.

Exchanges under regulation 7 of SEBI (PIT)

4

Regulations, 2015

Contra Trade

Details ofviolations observed under Code of Conduct

5

Action taken by Listed

company

/ Intermediary/

Penalty of Rs. 5000/- imposed on the DP

Fiduciary

Sr.

Particulars

Details

No.

intoThe accountaforesaidtheactionfollowingwas factors:taken after taking

6

Reasons recorded in writing for taking action stated

above

1. The quantum of shares involved;

2. Contra Trade

7

Details of the previous instances of violations, if any, since

N.A. (first time offence)

last financial year

8

If any amount collected for Code of Conduct violation(s)

i. Mode of transfer to SEBI - IPEF (Online/Demand

Online

Draft)

P rticulars

Details

ii. Details of transfer/payment In case of Online:

Name of the

Vaibhav Shah

transferor

Bank Name,

Bank: Axis Bank

branch and

Branch:

South Bopal,

Account number

Ahmedabad

Number:

Account

910010017242924

UTR/Transaction

AXMB221947685478

reference

Number

Transaction date

13.07.2022

Transaction

Rs. 5000/-

Amount (in Rs.)

9

Any other relevant information

None

Yours faithfully,

for Capri Global Capital Limited

YASHESH PANKAJ BHATT

Digitally signed by

YASHESH PANKAJ BHATT

Date: 2022.07.26 16:44:49 +05'30'

(Yashesh Bhatt)

Company Secretary

PAN: AFLPB5264R

E-mailID:Yashesh.Bhatt@capriglobal.in,secretarial@capriglobal.in

Place: Mumbai

Date: July 26, 2022

Encl.: As above

Report by (Name of the listed company/ Intermediary/Fiduciary) for violations related to Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015 : Capri Global Capital Limited

[For listed companies: Schedule B read with Regulation 9 (1) of SEBI (Prohibition of Insider Trading) Regulations, 2015

1. Name of the listed

2 . Please fill appropriate

company/

Reporting in capacity of : Listed

3A. Details of Designated Person (DP)

3B. If Reporting is for immediate relative of DP

3C. Details of transaction(s)

3D. In case value of trade(s) is more than Rs.10 lacs in a calendar quarter

4. Details of violations observed under

5. Action taken by Listed company/

6. Reasons recorded in writing for taking action stated above

Code of Conduct

Intermediary/ Fiduciary

7. Details of the previous instances of

8. If any amount collected for Code

violations, if any, since

of Conduct violation(s)

8 . In case of online:

8. In case of Demand Draft (DD)

9. Any other

Date

Place

Name of Compliance Officer

PAN

Email ID

relevant

Intermediary/Fiduciary

Company / Intermediary /

Name of the DP

Fiduciary

IMr. Vaibhav Shah

ICapri Global Capital Limited I Listed Company

PAN of the DP iiDes gnation of DP Functional Role of DP

BAOPS3959K Nat onal Cred t Credit - UR I Manager

Whether DP is Promoter or belongs to Promoter Group

I No

Name of the immediate PAN of the immediate

relative of DP

relative of DP

I N.A.

i

N.A.

Name of the scrip

No of shares traded and value (Rs.) (Date- wise)

Date of intimation of trade(s) by concerned

Ii

I

DP/director/promoter/promoter group to

Company under regulation 7 of SEBI (PIT)

Regulations, 2015

Capri Global

400 Equity Shares purchased on June 27, 2022, for

N.A.

CapitalLim ted

total value of Rs. 2,83,968

Date of intimation of trade(s) by

IContra Trade

Company to stock exchanges under

regulation 7 of SEBI (PIT) Regulations,

i2015

N.A.

I

I

Penalty of Rs. 5,000/- imposed on the DP

The aforesaid action was taken after taking into account the following

factors:

1.The quantum of shares involved;

2.Contra Trade

last financial year

Please fill appropriate.

Name of the transferor

Bank Name, branch and Account number

Mode of transfer to SEBI - IPEF.

(Online/Demand Draft)

N.A. (First time offence)

Online

Vaibhav Shah

Bank: Axis Bank

I

I

I

Branch: South Bopal, Ahmedabad

iAccount Number: 910010017242924

UTR/Transaction reference Number

Transaction date

Transaction Amount (in Rs.)

Bank

DD Number

DD date

DD

information

Name and

amount

branch

( n Rs.)

AXMB221947685478

13.07.2022

5000

N.A.

N.A.

N.A.

N.A.

N.A.

26.07.2022

Mumbai

Yashesh Bhatt

AFLPB5264R

Yashesh.Bhatt@capriglobal.in

i

ii

Ii

iii

111

I

secretarial@capriglobal.in

~

YASHESH PANKAJ BHATT

Digitally signed by

YASHESH PANKAJ BHATT

Date: 2022.07.26 16:45:41 +05'30'