Annexure: C-4

Certificatedatedsubmittedby______to NCDEX

Share Holding Patternof ason

Sr
No. / Name # / Nationality/ Residential Status of each shareholder
@ / Number of
Shares held ( ofFace value of
Rs _) / Amt paid up
( Rs) / %of total / PAN Nos
@@@
1
2
3
4
5
6
7
8
Others @@
TOTAL / 100.00%

AfterbecomingthememberofNCDEX,wehavechanged theShareholding Pattern in the past after seeking prior approval of NCDEX and the Shareholding Pattern and/or DPG given above was effected on

...... afterseekingtheapprovalofNCDEXvideitsletter/sref………

...... dated......

I/We hereby state that the above-mentioned particulars are true, correct and complete tothe bestofmy/ourknowledge andinformation. I/We also state that norelevant material fact has been suppressed.

Date:

Place:

Authorised Signatory/ies

NOTES:

# Incaseof

◊ Body corporate, give similar details thereof separately.

◊ Partnership firm, givenames of all partners and thesharing pattern

@ e gResident Indian Individual, NRI individual , PIO ( citizenof …… ), Foreign National ( citizenof ………………), Indian Co.nothavingany foreign and/orNRI/PIO shareholders, IndianCo.withforeignand/ or PIO/NRI shareholders( if so theshareholding patternof such shareholder co. shouldalso besubmitted in sameformat), Foreign Company (with its country of incorporation )etc.

@@ Persons holding 2% or more of the paid up capital should be shown separately and notclubbed in Others.

@@@ Copy of PAN card for Person holding 10% or more of paid up capital should be enclosed.

CERTIFICATE

ThisistocertifythattheShareholdingin asgivenabove,based onmy/our scrutinyof thebooks ofaccounts,recordsanddocumentsistrue and correct to the best ofmy/our knowledge and as per information provided to my/our satisfaction.

Place: For (Name of CA/CS firm)

Date:

Name ofPartner/Proprietor of

Chartered Accountant/Company Secretary

CA/CS Stamp and Membership Number

Annexure: C-5

Certificatedatedsubmittedby ______to NCDEX

Detailsof Dominant Promoter Group as on

Sr No. / Name of Dominant Shareholder / Person/Corporate supporting dominant share holder / Relation
(Self/Corporate) / No of shares held / Profit Sharing @ / Amt Paid Up (Rs) @ / % of Total @ / Total
Self / Relative / Corporate Support / Self / Relative / Corporate Support / Self / Relative / Corporate Support
Total

AfterbecomingthememberofNCDEX,wehavechanged theDPGPatternin thepastafterseekingpriorapprovalofNCDEXandthe last DPGPattern change with Exchange approval was effectedon...... ( NCDEX approval videits letter/s ref...... dated...... )

I/We hereby state that the above-mentioned particulars are true, correct and complete tothe bestofmy/ourknowledge andinformation. I/We also state that norelevant material fact has been suppressed.

Date:

Place:

Signature(s)

(Authorised Signatory/ies)

CERTIFICATE

ThisistocertifythattheShareholding/ Sharing Pattern of ______asgivenabove,basedon my/ our scrutiny of thebooks of accounts,records and documents is true and correct tothebestofmy/ourknowledgeandas perinformationprovidedtomy/our satisfaction.

Place:For (Name of CA/CS Firm)

Date:

Name ofPartner/Proprietor of

Chartered Accountant/Company Secretary

CA/CS Stamp and Membership Number

NOTE:

For arriving at the shareholding of persons constituting the Dominant Promoter Group, the shareholding of close relativesas per Section 6 of the Companies Act, 1956 and associates/corporates, only may be counted, provided these relatives give an irrevocable, unconditional support in writing in the prescribed format of the Exchange.

Annexure: C-6

(Eachrelative to use separatecopiesof this annexure)

Certificatedatedsubmittedby______to NCDEX

Undertaking from Relative of Persons Constituting the Dominant Promoter/Partner Group

I,Mr./Ms./Mrs. ,son/daughter/wifeofMr./Ms. , resident of declare that:

I am the absolute owner of ……… (no) of shares of Rs …….. each Rs…..per share paid up which constitutes ___% of the total paid up capital of the company______Private Limited/Limited………………….as on this date.

Or

I am a partner in the partnership firm for sharing profit and loss to theextentof % as on this date.

(Please strike off whichever is not applicable)

IstatethatIshallirrevocablyand unconditionallysupportinrespectofmy shareholding/sharingpattern,Mr/Ms. ,ashareholder/partner intheabovementionedcompany /partnershipfirm.IfurtherstatethatI have no objectiontomyabove-mentionedshareholding/sharing patternbeingclubbed with theshareholding/sharingpatternofMr/Ms. ,whoismy

(giverelationshipwiththelatter)forthepurposeofdeterminingthe dominant promoter / partner groupofthe said company / partnership firm.

This supportis irrevocable and I also undertake to give prior informationto the National CommodityDerivativesExchange Limited beforesellingorotherwise transferring any part or whole of my above mentioned shareholding / sharing pattern.

WITNESS BY :

Signature:Signature:

Name:Name:

Address:

Place :

Date:Date :

CERTIFICATE

ThisistocertifythattheShareholding/sharingpatternin

asgivenabove,basedonmy/ourscrutinyofthe booksofaccounts,recordsanddocumentsistrueandcorrecttothebestofmy/our

Knowledgeand asper informationprovidedto my/oursatisfaction.

Place:For (Name of CA/CS Firm)

Date:

Name ofPartner/Proprietor of

Chartered Accountant/Company Secretary

CA/CS Stamp and Membership Number

Note:

For arriving at the shareholding of persons constituting the Dominant Promoter Group, the shareholding of close relatives as per Section 6 of the Companies Act, 1956 and associates/corporates, only may be counted, provided these relatives give an irrevocable, unconditional support in writing in the prescribed format of the Exchange.

Annexure: C-6

Certificatedatedsubmittedby______to NCDEX

Undertaking from Corporate supporting DominantPromoter Group

We, M/s. Limited, incorporated as a Company under the Companies Act, 1956 and having its registered office at :

do state as under:

1. As per the existing norms of National Commodity & Derivatives Exchange (NCDEX), the shareholding of Mr./Ms. * in our company in direct proportion to our shareholding in the Member Company, may be reckoned for the purpose of arrivingat the Dominant Promoter Group in M/s. (Member Company).

2. We are % shareholderof the Member Company and Mr./Ms., dominant promoters of the Trading Member Companyalong with his/her specifiedrelatives @ i.e., are having_ % shareholding in ourcompany.

3. Mr./Ms.* have requested NCDEXto consider their shareholding inour company inthe permissible proportionto arrive at the dominant shareholders inthe Member Company and also requestedus to give an irrevocableundertaking extendingunconditional supportto Mr./Ms. (Name of theDominant promoters of the Member Company)to enable NCDEXto consider the aforesaid as Dominant Promoter Group.

4. We hereby extend our unconditional and irrevocable support in support of Mr./Ms. (Name of the Dominant promoters of the Member Company) forthepurpose of the determining the Dominant Promoter Group inthe said MemberCompany.

5. We also undertake togive prior information to NCDEXbefore effecting any change in the shareholding of Mr./Ms. .*

WITNESS BY :

Signature:Signature:

Name:Name:

Address:

Place :

Date:Date :

NOTES:

* Name oftheDominantPromoters oftheMemberCompany along withtheir specified relatives having shareholding inthe corporate giving the undertaking.

@ For arriving at the shareholding of persons constituting the Dominant Promoter Group, the shareholding of close relatives as per Section 6 of the Companies Act, 1956 and associates/corporates, only may be counted, provided these relatives give an irrevocable, unconditional support in writing in the prescribed format of the Exchange.

CERTIFICATE

ThisistocertifythattheshareholdingofM/s.

is/are asmentioned below, basedon our scrutiny of the books of accounts, records anddocuments. Wefurthercertifythattheinformationgivenaboveistrueand correct to the best of our knowledge andas per information provided toour satisfaction.

Sr No. / NameoftheShare holder / No. of Shares / Paid up Share
Capital / % Shareholding

Place:For (Name of Chartered Accountant Firm) Date:

Name ofPartner/Proprietor of

Chartered Accountant/Company Secretary

CA/CS Stamp and Membership Number

Note:ThebelowBoardresolutionshouldbegivenalongwiththe undertaking as given by Corporate supportingthe Dominant PromoterGroup

BoardResolution

(Tobegiven onthecompany’sletterhead)

Certified true copy of the Resolution passed at the meeting of the Board of Directors of (NameoftheCompany) heldon (Date)at (Venue).

Resolved that the company do extend its unconditional and irrevocable support in favour of Mr/Ms.______for the purpose of determining the Dominant Promoter Group in M/s.______(Name of the Member) and accordingly, execute necessary documents including an irrevocable undertaking to give effect to the same and submit it to National Commodity & Derivatives Exchange Limited. Resolved further that Mr/Mrs.______, Director(s) of the company be and is /are hereby jointly or severally authorized to execute necessary documents including undertakings as prescribed by NCDEX from time to time.

Certified to be true

For (Name ofthe Company)

(Signature & Designation)