| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AKSHITA NIKHIL GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 2 |
|
|
ANSH BHAVESH GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 3 |
|
|
ANUSHKA BHAVESH GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 4 |
|
|
GEORGE VARGHESE
(PAN:ABOPV3794R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TCM LTD.
|
DIRECTED TO DISINVEST 1,38,000 SHARES OF TCM LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE ENSURING THAT SUCH SALE DOES NOT DISTURB THE MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
29-MAY-2015
|
SAT: SAT VIDE ITS ORDER DATED 23/09/2016 SET ASIDED IMPUGNED ORDER DATED 29/05/2015 AND RESTORED THE MATTER TO FILE OF WTM OF SEBI FOR FRESH DECISION ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 06/10/2017 DIRECTED MR.JOSEPH VARGHESE AND MR.GEORGE VARGHESE TO MAKE A PUBLIC ANNOUNCEMENT TO ACQUIRE SHARES OF THE TARGET COMPANY, TCM LTD. IN ACCORDANCE WITH THE PROVISIONS OF THE TAKEOVER REGULATIONS, 2011, WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER 2) PAY INTEREST @10% PER ANNUM, FROM THE DATE WHEN THEY INCURRED THE LIABILITY TO MAKE PUBLIC ANNOUNCEMENT TILL THE DATE OF PAYMENT OF CONSIDERATION
|
| 5 |
|
|
JOSEPH VARGHESE
(PAN:ABOPV3793J)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TCM LTD.
|
DIRECTED TO DISINVEST 1,38,000 SHARES OF TCM LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE ENSURING THAT SUCH SALE DOES NOT DISTURB THE MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
29-MAY-2015
|
SAT: SAT VIDE ITS ORDER DATED 23/09/2016 SET ASIDED IMPUGNED ORDER DATED 29/05/2015 AND RESTORED THE MATTER TO FILE OF WTM OF SEBI FOR FRESH DECISION ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 06/10/2017 DIRECTED MR.JOSEPH VARGHESE AND MR.GEORGE VARGHESE TO MAKE A PUBLIC ANNOUNCEMENT TO ACQUIRE SHARES OF THE TARGET COMPANY, TCM LTD. IN ACCORDANCE WITH THE PROVISIONS OF THE TAKEOVER REGULATIONS, 2011, WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER 2) PAY INTEREST @10% PER ANNUM, FROM THE DATE WHEN THEY INCURRED THE LIABILITY TO MAKE PUBLIC ANNOUNCEMENT TILL THE DATE OF PAYMENT OF CONSIDERATION
|
| 6 |
|
|
JYOTI PRAKASH KANODIA
(PAN:AFUPK6043E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIQUE ORGANICS LTD.
|
DIRECTED TO DISINVEST 3.40% SHARES OF UNIQUE ORGANICS LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON THE STOCK EXCHANGE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
11-JUL-2017
|
|
| 7 |
|
|
KRISHNAKUMAR JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 8 |
|
|
MADHU KANODIA
(PAN:ADHPA0741Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIQUE ORGANICS LTD.
|
DIRECTED TO DISINVEST 3.40% SHARES OF UNIQUE ORGANICS LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON THE STOCK EXCHANGE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
11-JUL-2017
|
|
| 9 |
|
|
MADHUSUDAN JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 10 |
|
|
PRIYANKA NIKHIL GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 11 |
|
|
SARLA DEVI KANODIA
(PAN:AGBPK7516N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIQUE ORGANICS LTD.
|
DIRECTED TO DISINVEST 3.40% SHARES OF UNIQUE ORGANICS LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON THE STOCK EXCHANGE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
11-JUL-2017
|
|
| 12 |
|
|
SARLADEVI M.JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 13 |
|
|
VRINDA K.JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
