CLAUSE 35 OF EQUITY LISTING AGREEMENT
Name of the Company:TATA MOTORS LIMITED
Name of the scrip, class of security - Class X ( Ordinary Shares )
Scrip Code :500570
Quarter Ended : 31st December 2011
(I) (a) Statement showing Shareholding Pattern
| Partly paid-up shares:- |
No. of partly paid-up
shares |
As a % of
total no. of
partly paid-up
shares |
As a % of total no. of shares of the
company |
| Held by Promoter / Promoters Group |
0 |
0 |
0 |
| Held by public |
|
|
|
| Rs. 1 paid and Rs. 1 outstanding |
69840 |
99.63 |
0.00 |
| Rs. 1.50 paid and Rs. 0.50 outstanding |
260 |
0.37 |
0.00 |
| Total |
70100 |
100.00 |
0.00 |
Outstanding convertible
securities:- |
No. of outstanding
securities |
As a % of
total No. of
outstanding
convertible
securities |
As a % of total no. of shares of the
company, assuming full conversion of the
convertible securities |
| Held by Promoter / Promoters Group |
0 |
0 |
0.00 |
| Held by public |
|
|
|
| Zero copoun notes (CARS) due 2012 US$ 100,000 each |
4730 |
80.12 |
3.72 |
| 4% Convertible notes(due2014) US$ 100,000 each |
1174 |
19.88 |
1.58 |
| Total |
5904 |
100.00 |
5.30 |
| |
| Warrants:- |
No. of warrants |
As a % of
total no. of
warrants |
As a % of total no. of shares of
the company, assuming full conversion of
warrants |
| Held by Promoter / Promoters Group |
0 |
0 |
0 |
| Held by public |
0 |
0 |
0 |
| Total |
0 |
0 |
0 |
| Total paid-up capital of the company assuming full conversion of warrants and convertible securities |
2842209188 |
Category
code (I) |
Category of Shareholder (II) |
Number of shareholders (III) |
Total number of shares (IV) |
Number of shares held in dematerialised form
(V) |
Total Shareholding as a percentage of total number of shares |
Shares pledged or otherwise encumbered |
| As a percentage of (A+B) (VI) |
As a percentage of (A+B+C) (VII) |
Number of shares (VIII) |
As a Percentage
(IX)=(VIII) /
(IV)*100 |
| (A) |
Shareholding of Promoter and Promoter Group2 |
|
|
|
|
|
|
|
| 1 |
Indian |
|
|
|
|
|
|
|
| (a) |
Individuals/ Hindu Undivided Family |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (b) |
Central Government/ State Government(s) |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (c) |
Bodies Corporate |
13 |
941466625 |
941466625 |
42.19 |
34.98 |
78500000 |
8.34 |
| (d) |
Financial Institutions/ Banks |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (e) |
Any Others(Specify) |
|
|
|
|
|
|
|
| (e-i) |
Trust |
4 |
1774880 |
1774880 |
0.08 |
0.06 |
|
|
| |
Sub Total(A)(1) |
17 |
943241505 |
943241505 |
42.27 |
35.04 |
78500000 |
8.32 |
| |
|
|
|
|
|
|
|
|
| 2 |
Foreign |
|
|
|
|
|
|
|
| a |
Individuals (Non-Residents Individuals/Foreign Individuals) |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| b |
Bodies Corporate |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| c |
Institutions |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| d |
Any Others(Specify) |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| |
Sub Total(A)(2) |
0 |
0 |
0 |
0.00 |
0.00 |
0.00 |
0.00 |
| |
|
|
|
|
|
|
|
|
| |
Total Shareholding of Promoter and Promoter Group (A)= (A)(1)+(A)(2) |
17 |
943241505 |
943241505 |
42.27 |
35.04 |
78500000 |
8.32 |
| |
|
|
|
|
|
|
|
|
| (B) |
Public shareholding |
|
|
|
|
|
|
|
| B 1 |
Institutions |
|
|
|
|
|
|
|
| (a) |
Mutual Funds/ UTI |
166 |
48142931 |
48042351 |
2.16 |
1.79 |
|
|
| (b) |
Financial Institutions / Banks |
212 |
3308020 |
2895850 |
0.15 |
0.12 |
|
|
| (c) |
Central Government/ State Government(s) |
5 |
2031105 |
17200 |
0.09 |
0.08 |
|
|
| (d) |
Venture Capital Funds |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (e) |
Insurance Companies |
100 |
333677172 |
333675622 |
14.95 |
12.40 |
|
|
| (f) |
Foreign Institutional Investors |
611 |
649723503 |
649676678 |
29.11 |
24.14 |
|
|
| (g) |
Foreign Venture Capital Investors |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (h) |
Any Other (specify) |
|
|
|
|
|
|
|
| (h-i) |
Foreign Bodies - DR |
4 |
7980706 |
7980706 |
0.36 |
0.30 |
|
|
| (h-ii) |
Foreign Nationals - DR |
0 |
0 |
0 |
0.00 |
0.00 |
|
|
| (h-iii) |
Foreign Institutional Investors - DR |
5 |
2507462 |
2507462 |
0.11 |
0.09 |
|
|
| |
Sub-Total (B)(1) |
1103 |
1047370899 |
1044795869 |
46.93 |
38.92 |
0.00 |
0.00 |
| |
|
|
|
|
|
|
|
|
| B 2 |
Non-institutions |
|
|
|
|
|
|
|
| (a) |
Bodies Corporate |
2852 |
13414895 |
12673085 |
0.60 |
0.50 |
|
|
| (b) |
Individuals |
|
|
|
|
|
|
|
| I |
Individuals -i. Individual shareholders holding nominal share capital up to Rs 1 lakh |
421703 |
198620183 |
165000983 |
8.90 |
7.38 |
|
|
| II |
ii. Individual shareholders holding nominal share capital in excess of Rs. 1 lakh. |
68 |
6754480 |
5166935 |
0.30 |
0.25 |
|
|
| (c) |
Any Other (specify) |
|
|
|
|
|
|
|
| (c-i) |
Directors & their Relatives |
12 |
1091795 |
1091795 |
0.05 |
0.04 |
|
|
| (c-ii) |
Non Resident Indians |
9359 |
12991568 |
9083808 |
0.58 |
0.48 |
|
|
| (c-iii) |
Clearing Member |
720 |
6594195 |
6594195 |
0.30 |
0.24 |
|
|
| (c-iv) |
Trusts |
71 |
1281384 |
1279624 |
0.06 |
0.05 |
|
|
| (c-v) |
Overseas Corporate Bodies |
3 |
490 |
0 |
0.00 |
0.00 |
|
|
| (c-vi) |
Foreign Corporate Bodies (including FDI) |
4 |
182396 |
182396 |
0.01 |
0.01 |
|
|
| |
Sub-Total (B)(2) |
434792 |
240931386 |
201072821 |
10.80 |
8.95 |
0.00 |
0.00 |
| |
|
|
|
|
|
|
|
|
| (B) |
Total Public Shareholding (B)= (B)(1)+(B)(2) |
435895 |
1288302285 |
1245868690 |
57.73 |
47.87 |
0.00 |
0.00 |
| |
TOTAL (A)+(B) |
435912 |
2231543790 |
2189110195 |
100.00 |
82.91 |
78500000 |
3.52 |
| (C) |
Shares held by Custodians and against which Depository Receipts have been issued |
|
|
|
|
|
|
|
| i |
Promoter / Promoter Group |
0 |
0 |
0 |
|
0.00 |
0.00 |
0 |
| ii |
Public |
4 |
460069665 |
460048415 |
|
17.09 |
|
|
| |
GRAND TOTAL (A)+(B)+(C) |
435916 |
2691613455 |
2649158610 |
|
100.00 |
78500000 |
2.92 |
(III)(a) Statement showing the voting pattern of shareholders, if more than one class of shares / securities is issued by the issuer.
Class X - Ordinary Shares
Class Y - 'A' Ordinary Shares with Differential Voting Rights*
Class Z - NIL
| Category code (I) |
Category of Shareholder (II) |
Number of Voting Rights held in each class of securities |
Total Voting Rights
(III+IV+V) |
Total Voting Rights i.e. (VI) |
Class X
(III) |
Class Y
(IV) |
Class Z
(V) |
As a percentage of (A+B)
(VI) |
As a percentage of (A+B+C) (VII) |
| (A) |
Shareholding of Promoter and Promoter Group |
|
|
|
|
|
|
| (1) |
Indian |
|
|
|
|
|
|
| (a) |
Individuals / Hindu Undivided Family |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (b) |
Cental Government / State Governments(s) |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (c) |
Bodies Corporate |
941466625 |
4383453 |
0 |
945850078 |
41.49 |
34.52 |
| (d) |
Financial Institutions / Banks |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (e) |
Any Other ( Specify ) |
|
|
0 |
0 |
0.00 |
0.00 |
| (e-i) |
Trust |
1774880 |
0 |
0 |
1774880 |
0.08 |
0.07 |
| Sub-Total (A) (1) |
943241505 |
4383453 |
0 |
947624958 |
41.57 |
34.59 |
| (2) |
Foreign |
|
|
|
|
|
|
| (a) |
Individuals (Non-Resident Individuals / Foreign Individuals) |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (b) |
Bodies Corporate |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (c) |
Institutions |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (d) |
Any Other (specify) |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| Sub-Total (A) (2) |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| |
|
|
|
|
|
|
|
| Total Shareholding of Promoter and Promoter Group (A) = (A)(1)+(A)(2) |
943241505 |
4383453 |
0 |
947624958 |
41.57 |
34.59 |
| (B) |
Public Shareholding |
|
|
|
|
|
|
| (1) |
Institutions |
|
|
|
|
|
|
| (a) |
Mutual Funds / UTI |
48142931 |
19835826 |
0 |
67978757 |
2.98 |
2.48 |
| (b) |
Financial Institutions / Banks |
3308020 |
70604 |
0 |
3378624 |
0.15 |
0.12 |
| (c) |
Cental Government / State Governments(s) |
2031105 |
0 |
0 |
2031105 |
0.09 |
0.08 |
| (d) |
Venture Capital Funds |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (e) |
Insurance Companies |
333677172 |
2553379 |
0 |
336230551 |
14.75 |
12.27 |
| (f) |
Foreign Institutional Investors |
649723503 |
13625380 |
0 |
663348883 |
29.10 |
24.21 |
| (g) |
Foreign Venture Capital Investors |
0 |
0 |
0 |
0 |
0.00 |
0.00 |
| (h) |
Any Other (specify) |
|
|
|
|
|
0.00 |
| (h-i) |
Foreign Bodies - DR |
7980706 |
0 |
0 |
7980706 |
0.35 |
0.29 |
| (h-ii) |
Foreign Nationals |
0 |
250 |
0 |
250 |
0.00 |
0.00 |
| (h-iii) |
Foreign Instutional Investors - DR |
2507462 |
0 |
|
2507462 |
0.11 |
0.09 |
| Sub-Total (B) (1) |
1047370899 |
36085439 |
0 |
1083456338 |
47.53 |
39.54 |
| (2) |
Non-Institutions |
|
|
|
|
|
|
| (a) |
Bodies Corporate |
13414895 |
1720444 |
0 |
15135339 |
0.66 |
0.55 |
| (b) |
Individuals - |
|
|
|
|
|
|
| i |
Individual shareholders holding nominal share capital upto Rs. 1 lakh |
198620183 |
3443386 |
0 |
202063569 |
8.86 |
7.38 |
| ii |
Individual shareholders holding nominal share capital in excess of Rs. 1 lakh |
6754480 |
1717508 |
0 |
8471988 |
0.37 |
0.31 |
| (c) |
Any Other (specify) |
|
|
|
|
|
|
| (c-i) |
Directors & their Relatives |
1091795 |
27813 |
0 |
1119608 |
0.05 |
0.04 |
| (c-ii) |
Non Resident Indians |
12991568 |
501663 |
0 |
13493231 |
0.59 |
0.49 |
| (c-iii) |
Clearing Member |
6594195 |
288150 |
0 |
6882345 |
0.30 |
0.25 |
| (c-iv) |
Trusts |
1281384 |
25452 |
0 |
1306836 |
0.06 |
0.05 |
| (c-v) |
Overseas Corporate Bodies |
490 |
0 |
0 |
490 |
0.00 |
0.00 |
| (c-vi) |
Foreign Corporate Bodies (including FDI) |
182396 |
0 |
0 |
182396 |
0.01 |
0.01 |
| Sub-total (B) (2) |
240931386 |
7724416 |
0 |
248655802 |
10.90 |
9.08 |
| Total Public Shareholding (B) = (B)(1)+(B)(2) |
1288302285 |
43809855 |
0 |
1332112140 |
58.43 |
48.62 |
| TOTAL (A)+(B) |
2231543790 |
48193308 |
0 |
2279737098 |
100.00 |
83.21 |
| (C) |
Shares held by Custodians and against which Depository Receips have been issued |
460069665 |
0 |
0 |
460069665 |
|
16.79 |
| GRAND TOTAL (A)+(B)+(C) |
2691613455 |
48193308 |
0 |
2739806763 |
|
100.00 |
*each 'A' Ordinary Shareholder is entitled to one vote for every ten 'A' Ordinary shares held
| Sr.No |
Notes |
| 1 |
For determining public shareholding for the purpose of Clause 40A. |
| 2 |
For definitions of "Promoter" and "Promoter Group", refer to Clause 40A. |
| 3 |
For definitions of "Public Shareholding", refer to Clause 40A. |
(I) (b) Statement showing holding of securities (including shares,warrants,convertible securities) of persons belonging to the category "Promoter and Promoter Group"
Sr. No.
(I) |
Name of the shareholder
(II) |
Details of Shares held |
Encumbered Share |
Details of warrants |
Details of convertible securties |
Total shares(including underlying shares assuming full conversion of warrants and convertible securities) as a % of diluted share capital (XII) |
| No.of Shares held (III) |
As a % of Grand Total (A)+(B)+(C) (IV) |
Number of Shares (V) |
As a Percentage (VI)=(V)/(III)*100 |
As a % of grand total (A)+(B)+(C ) of sub-clause (I)(a) (VII) |
No.of warrants held (VIII) |
As a % of total numbers of warrants of the same class (IX) |
No.of convertible securities held
(X) |
As a % of total numbers of convertible securities of same class (XI) |
| 1 |
TATA SONS LIMITED |
696,889,695 |
25.89 |
78500000 |
11.26 |
2.92 |
0 |
0.00 |
0 |
0.00 |
24.52 |
| 2 |
TATA STEEL LIMITED |
147,810,695 |
5.49 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
5.20 |
| 3 |
TATA INDUSTRIES LIMITED |
68,436,485 |
2.54 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
2.41 |
| 4 |
TATA INVESTMENT CORPORATION LIMITED |
11,525,000 |
0.43 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.41 |
| 5 |
TATA AIG LIFE INSURANCE COMPANY LIMITED |
5,565,300 |
0.21 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.20 |
| 6 |
KALIMATI INVESTMENT COMPANY LIMITED |
4,239,865 |
0.16 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.15 |
| 7 |
EWART INVESTMENTS LIMITED |
2,923,610 |
0.11 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.10 |
| 8 |
TATA CHEMICALS LTD |
1,863,705 |
0.07 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.07 |
| 9 |
TATA INTERNATIONAL LIMITED |
1,580,605 |
0.06 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.06 |
| 10 |
SIR RATAN TATA TRUST |
859,200 |
0.03 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.03 |
| 11 |
SIR DORABJI TATA TRUST |
808,960 |
0.03 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.03 |
| 12 |
AF-TAAB INVESTMENT COMPANY LIMITED |
338,525 |
0.01 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.01 |
| 13 |
TATA AIG GENERAL INSURANCE COMPANY LIMITED |
120,000 |
0.01 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.00 |
| 14 |
TATA GLOBAL BEVERAGES LIMITED |
116,665 |
0.00 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.00 |
| 15 |
J R D TATA TRUST |
105,280 |
0.00 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.00 |
| 16 |
SIMTO INVESTMENT COMPANY LIMITED |
56,475 |
0.00 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.00 |
| 17 |
LADY TATA MEMORIAL TRUST |
1,440 |
0.00 |
0 |
0.00 |
0.00 |
0 |
0.00 |
0 |
0.00 |
0.00 |
| GRAND TOTAL |
943,241,505 |
35.04 |
78,500,000 |
11.26 |
2.92 |
0 |
0 |
0 |
0 |
33.19 |
(I) (c) (i) Statement showing holding of securities (including shares,warrants,convertible securities) of persons belonging to the category "Public" and holding more than 1% of the total number of shares
Sr. No.
(I) |
Name of the shareholder
(II) |
Details of Shares held |
Details of warrants |
Details of convertible securties |
Total shares(including underlying shares assuming full conversion of warrants and convertible securities) as a % of diluted share capital |
| No.of Shares held |
Shares as a percentage of total number of shares {.i.e. Grand Total (A)+(B)+(C) indicated in Statement at para (I) (a) above} |
No.of warrants held |
As a % of total number of warrants of the same class |
No.of convertible securities held
|
% w.r.t. total number of convertible securities of same class |
| 1 |
EUROPACIFIC GROWTH FUND |
69545458 |
2.58 |
0 |
0.00 |
0 |
0.00 |
2.45 |
| 2 |
LIFE INSURANCE CORPORATION OF INDIA |
228790567 |
8.50 |
0 |
0.00 |
0 |
0.00 |
8.05 |
| TOTAL |
298336025 |
11.08 |
0 |
0 |
0 |
0 |
10.50 |
(I) (c) (ii) Statement showing holding of securities (including shares,warrants,convertible securities) of persons (together with PAC) belonging to the category "Public" and holding more than 5% of the total number of shares of the company
Sr. No.
(I) |
Name of the shareholder
(II) |
Details of Shares held |
Details of warrants |
Details of convertible securties |
Total shares(including underlying shares assuming full conversion of warrants and convertible securities) as a % of diluted share capital |
| No.of Shares held |
Shares as a percentage of total number of shares {.i.e. Grand Total (A)+(B)+(C) indicated in Statement at para (I) (a) above} |
No.of warrants held |
As a % of total number of warrants of the same class |
No.of convertible securities held
|
% w.r.t. total number of convertible securities of same class |
| 1 |
LIFE INSURANCE CORPORATION OF INDIA |
228790567 |
8.50 |
0 |
0.00 |
0 |
0.00 |
8.05 |
| TOTAL |
228790567 |
8.50 |
0 |
0.00 |
0 |
0.00 |
8.05 |
(I)(d) Statement showing details of locked-in shares
| Sr. No. |
Name of the shareholder |
Category of Shareholders (Promotes / Public ) |
Number of locked-in shares |
Locked-in shares as a percentage of total number of shares {i.e., Grand Total (A)+(B)+(C) indicated in Statement at para (I)(a) above} |
| 1 |
NIL |
|
NIL |
NIL |
| TOTAL |
|
|
|
(II)(a) Statement showing details of Depository Receipts (DRs)
| Sr. No. |
Type of outstanding DR (ADRs, GDRs, SDRs, etc.) |
Number of outstanding
DRs |
Number of shares underlying outstanding DRs |
Shares underlying outstanding DRs as a percentage of total number of shares {i.e., Grand Total (A)+(B)+(C) indicated in Statement at para (I)(a) above} |
| 1 |
Citibank N A as Depository for ADR |
459722820 |
459,722,820 |
17.08 |
| 2 |
Citibank N A as Depository for GDR |
346845 |
346845 |
0.01 |
| TOTAL |
460069665 |
460069665 |
17.09 |
(II)(b) Statement showing Holding of Depository Receipts (DRs), where underlying shares held by Promoter / Promoter Group are in excess of 1% of the total number of shares
| Sr. No. |
Name of the DR Holder |
Type of outstanding DR (ADRs, GDRs, SDRs, etc.) |
Number of shares
underlying outstanding DRs |
Shares underlying outstanding DRs as a percentage of total number of shares {i.e., Grand Total (A)+(B)+(C) indicated in Statement at para (I)(a) above} |
| 1 |
NIL |
NIL |
NIL |
NIL |
| TOTAL |
|
|
|
|