Wockhardt Ltd — Regulatory Filings 2021

Aug 16, 2021

Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Anand Rathi.

@Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Badjate.

* Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Standard Chartered. ^ The Shares were Pledged alongwith other collaterals for the loan from LIC Housing Finance Limited.

Encumbrance No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 Date of creation/ Release of encumbrance 19.12.2018 31.01.2019 20.05.2019 21.06.2019 04.07.2019 06.08.2019 23.08.2019 16.09.2019 30.09.2019 09.10.2019 11.11.2019 20.11.2019 25.11.2019 23.12.2019 27.12.2019 27.01.2020 28.01.2020 28.01.2020 12.03.2020 12.03.2020 13.03.2020 17.03.2020 Type of encumbrance (pledge, lien, negative lien, non-disposal Creation of pledge Release pf Creation of Pledge Release of pledged Shares Creation of Pledge pledged Shares undertaking etc. or any other covenant, transaction, condition or arrangement in the nature of encumbrance) No. and % of shares No. of shares : 1,000,000 250,000 150,000 300,000 500,000 800,000 300,000 - 650,000 600,000 200,000 1,300,000 850,000 500,000 7,200,000 6,500,000 - 1,400,000 - 400,000 - 444,000 775,000 2,100,000 700,000 925,000 encumbered % of total share capital : 0.90% 0.23% 0.14% 0.27% 0.45% 0.72% 0.27% -0.59% 0.54% 0.18% 1.17% 0.77% 0.45% 6.50% 5.87% -1.26% -0.36% -0.40% 0.70% 1.90% 0.63% Specific Details about the encumbrance Name of the entity in whose favour shares encumbered (X) Anand Rathi Global Finance Ltd Badjate Stock Broking Private Limited SBICAP Trustee Company Standard Chartered Standard Anand Rathi Global Finance Badjate Stock Anand Rathi Standard Chartered Badjate Stock Broking Standard Chartered Ltd (Trustee of LIC Housing Investments & Loans Chartered Ltd Broking Private Global Finance Investments & Loans (India) Private Limited Investments & Finance Ltd) (India) Ltd Investments & Limited Ltd Ltd Loans (India) Ltd Loans (India) Ltd Whether the entity X is a scheduled commercial bank, public Yes No. No. Yes Yes Yes No Yes Yes No Yes financial institution, NBFC or housing finance company? If No, Nature of Business: Stock Broking<br>Nature of Business: Trustee<br>Nature of Business:<br>Nature of Business:<br>provide the nature of the business of the entity.<br>Company on behalf of<br>Stock Broking Stock Broking<br>LICHFC. Names of all other entities in the agreement Humuza Consultants, Pledgor [Themisto Trustee Company Pvt Ltd holds these shares in Capacity as the Trustee of Habil Khorakiwala Trust, being a partner of Humuza Consultants, Partnership Firm] Whether the encumbrance is relating to any debt instruments Not applicable viz. debenture, commercial paper, certificate of deposit etc.? If yes, provide details about the instrument, including credit rating. If Yes, 1 Name of the issuer : 2 Details of the debt instrument : 3 Whether the debt instrument is listed on stock exchanges? 4 Credit Rating of the debt instrument 5 ISIN of theinstrurnent Security Cover/ Asset Cover Value of shares on the date of event / agreement (A) (Amount 520,400,000 110,362,500 58,155,000 110,040,000 186,225,000 226,480,000 76,395,000 212,420,000 153,840,000 47,610,000 373,685,000 245,565,000 127,275,000 1,772,280,000 1,604,850,000 494,060,000 138,220,000 153,424,200 160,192,500 434,070,000 157,290,000 189,948,750 in Rs. ) Amount involved (against which shares have been 20,00,00,000 # N.A. # 10,00,00,000 10,00,00,000 3,500,000,000 50,00,00,000 N.A. # @ encumbered) (B) (Amount in Rs. ) [Release of part [Release of part of the Pledged Shares] of the Pledged Shares] Ratio of A / B 0.26 # -do- # 3.73685 3.73 0.51^ 3.2097 N.A. # @ End use of money Borrowed amount to be (a)Personal use by Promoters - - - - - - - - - - - - - - - - - - - - - - utilized for what purpose - and PACs (b)For the benefit of listed - - - - - - - - - - - - - - - - - - - - - - company Provide details including amount, purpose of raising money by listed company, schedule for utilization of amount, repayment schedule etc Any other reason (please The amount raised by creating Pledge on Shares have been partially invested in Preference Shares/ extended unsecured loan to Wockhardt Limited from time to time. specify)
																			0.84%

Additional disclosure under Regulation 31(1) of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011 [Pursuant to Circular SEBI/HO/CFD/DCR1/CIR/P/2019/90 dated 7th August, 2019]

Name of Listed Company	Wockhardt Limited
Name of the recognised stock exchanges where the shares of	BSE Limited (BSE)
the company are listed	National Stock Exchange of India Limited (NSE)
Name of the promoter(s) / PACs whose shares have been encumbered	Humuza Consultants
Total promoter shareholding in the listed company	No. of Shares held: 7,71,95,342 (69.68%) % of total share capital : 69.68%
Encumbered shares as a % of promoter shareholding	24.89%
Whether encumbered share is 50% or more of promoter shareholding	No
Whether encumbered share is 20% or more of total share capital	Yes

Details of all the existing events/agreements pertaining to encumbrance

Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Anand Rathi.

Encumbrance No.		23	24	25	26	27	28	29 30	31	32	33	34	35	36	37	38 08.12.2020	39	40	41	42	43	44
Date of creation/ Release of encumbrance		18.03.2020		Creation of Pledge	19.03.2020 24.03.2020 24.03.2020	25.03.2020 08.04.2020		17.04.2020 Release of Pledged Shares	04.05.2020 05.05.2020		0607.2020 03.08.2020		02.11.2020 20.11.2020 Release of pledged Shares		27.11.2020 01.12.2020		11.12.2020 18.12.2020		18.12.2020 Release of pledged Shares	31.12.2020	15.01.2021 03.02.2021 Creation of Pledge
Type of encumbrance (pledge, lien, negative lien, non-disposal No. and % of shares No. of shares :		500,000 350,000 3,900,000			2,100,000	744,000 -	600,000 -	600,000 - 4,525,000 - 2,825,000 -			1,800,000 - 1,400,000 -	1,400,000 -	1,400,000 -	480,000 -	1,500,000 -	500,000 -	1,318,500 -		1,500 - 700,000 -	2,500,000 -	300,000	2,200,000
encumbered	% of total share capital :	0.45%	0.32%	3.52%	1.90%	0.67%	-0.54%	-0.54% -4.09%	-2.55%	-1.63%	-1.26%	-1.26%	-1.26%	-0.43%	-1.35%	-0.45%	-1.19%		0.00% -0.63%	-2.26%	-0.27%	1.99%
Specific Details about the encumbrance
	Name of the entity in whose favour shares encumbered (X)	Anand Rathi Global	Badjate Stock	Standard	Anand Rathi		Badjate Stock Broking Private Limited	Standard		Anand Rathi Global Finance Ltd	Standard	Badjate Stock Broking	Badjate Stock	Anand Rathi Global Finance	Standard Chartered	Standard	Anand Rathi Global Finance Ltd			Standard Chartered Investments & Loans (India) Ltd
		Finance Ltd	Broking Private	Chartered	Global Finance Ltd			Chartered			Chartered	Private Limited	Broking Private	Ltd	Investments & Loans	Chartered
			Limited	Investments &				Investments &			Investments &		Limited		(India) Ltd	Investments &
				Loans (India) Ltd				Loans (India) Ltd			Loans (India) Ltd					Loans (India) Ltd
	Whether the entity X is a scheduled commercial bank, public	Yes	No.	Yes	Yes		No	Yes		Yes	Yes	No	No	Yes	Yes	Yes	Yes			Yes
	financial institution, NBFC or housing finance company? If No,		Nature of				Nature of Business: Stock Broking`					Nature of Business:	Nature of Business:
provide the nature of the business of the entity.			Business: Stock									Stock Broking| Stock Broking
			Broking`
Names of all other entities in the agreement													Humuza Consultants, Pledgor
														[Themisto Trustee Company Pvt Ltd holds these shares in Capacity as the Trustee of Habil Khorakiwala Trust, being a partner of Humuza Consultants, Partnership Firm]
	Whether the encumbrance is relating to any debt instruments												Not Applicable
	viz. debenture, commercial paper, certificate of deposit etc.?
	If yes, provide details about the instrument, including credit
rating.
If Yes,
1 Name of the issuer :
2 Details of the debt instrument :	3 Whether the debt instrument is listed on stock exchanges?
4 Credit Rating of the debt instrument
5 ISIN of theinstrurnent
Security Cover/ Asset Cover
	Value of shares on the date of event / agreement (A) (Amount		98,300,000 63,560,000 612,885,000		330,015,000	123,541,200		132,780,000 162,540,000 1,185,097,500 726,025,000			496,890,000 425,040,000	413,910,000	550,620,000	216,912,000		694,125,000 243,275,000	682,851,150		763,875 356,475,000	1,366,375,000	159,915,000	1,135,530,000
Amount involved (against which shares have been Ratio of A / B		# #	@ @		# #	@ @						N.A. N.A.							N.A. N.A.			400,000,000 2.838825
End use of money
Borrowed amount to be	(a)Personal use by Promoters	-	-	-	-	-	-	- -	-	-	-	-	-	-	-	-	-	-	-	-	-	-
utilized for what purpose -	and PACs
	(b)For the benefit of listed	-	-	-	-	-	-	- -	-	-	-	-	-	-	-	-	-	-	-	-	-	-
	company
	Provide details including
	amount, purpose of raising
	money by listed company,
	schedule for utilization of
	amount, repayment schedule
	etc
	Any other reason (please													The amount raised by creating Pledge on Shares have been partially invested in Preference Shares/ extended unsecured loan to Wockhardt Limited from time to time.
	specify)

@Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Badjate.

* Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Standard Chartered. ^ The Shares were Pledged alongwith other collaterals for the loan from LIC Housing Finance Limited.

Encumbrance No. Date of creation/ Release of encumbrance		45 19.02.2021	46	47 23.03.2021 26.03.2021 09.04.2021	48	49 20.04.2021	50 27.04.2021	51 07.05.2021	52 10.05.2021 10.05.2021	53	54 11.05.2021	55 14.05.2021	56 17.05.2021	57 20.05.2021	58 20.05.2021	59 26.05.2021	60 18.06.2021	61 21.06.2021		62 30.06.2021	63 30.06.2021	64 30.06.2021	65 19.07.2021	66 20.07.2021	67 11.08.2021	68 11.08.2021	69 11.08.2021	70 11.08.2021
	Type of encumbrance (pledge, lien, negative lien, non-disposal undertaking etc. or any other covenant, transaction, condition		Creation of Pledge Release of pledged shares				Creation of Pledge	Release of pledged shares			Creation of Pledge			Release of Pledged shares					Creation of Pledge				Release of Pledged shares				Creation of Pledge
or arrangement in the nature of encumbrance) No. and % of shares	No. of shares :	3,900,000	200,000		850,000 - 1,000,000	3,000,000	3,400,000 -		800,000 - 1,200,000	1,100,000	2,100,000	1,100,000 -	500,000 -	180,000 -	90,000	2,050,000	253,000		405,000	550,000	230,000	1,450,000 -	150,000 -	100,000	380,000	310,000	160,000	150,000
encumbered	% of total share capital :	3.52%	0.18%	0.77%	-0.90%	2.71%	3.07%	-0.72%	-1.08%	0.99%	1.90%	0.99%	-0.45%	-0.16%	-0.08%	1.85%	0.23%		0.37%	0.50%	0.21%	1.31%	-0.14%	-0.09%	0.34%	0.28%	0.14%	0.14%
Specific Details about the encumbrance
Name of the entity in whose favour shares encumbered (X)		Standard Chartered Investments & Loans (India) Ltd Badjate Stock Catalyst Trusteeship Limited& Broking Private Limited						Badjate Stock Broking Private Limited	Standard Chartered Investments & Loans (India) Ltd	Anand Rathi Global Finance Ltd#		Catalyst Trusteeship Limited&	Standard Chartered Investments & Loans (India) Ltd	Badjate Stock Broking Private Limited	Anand Rathi Global Finance Ltd#	Catalyst Trusteeship Limited&	Badjate Stock Broking Private Limited	Standard Chartered Investments & Loans (India) Ltd		Standard Chartered Investments & Loans (India) Ltd	Badjate Stock Broking Private Limited	Arka Fincap Limited Badjate Stock Broking	Private Limited	Anand Rathi Global Finance Ltd#	Standard Chartered Investments & Loans (India) Ltd	Badjate Stock Broking Private Limited	Anand Rathi Global Finance Ltd#	Arka Fincap Limited
provide the nature of the business of the entity.	Whether the entity X is a scheduled commercial bank, public financial institution, NBFC or housing finance company? If No,		Yes			No Nature of Business: Stock Broking| No<br>Nature of Business:<br>Debenture Trustee | No<br>Nature of<br>Business: Stock<br>Broking	Yes	Yes	No Nature of Business: Debenture Trustee		Yes	No Nature of Business: Stock Broking| Yes | No<br>Nature of Business:<br>Debenture Trustee | No<br>Nature of<br>Business: Stock<br>Broking	Yes		Yes	No Nature of Business: Stock Broking| Yes | No<br>Nature of Business:<br>Stock Broking	Yes	Yes	No Nature of Business: Stock Broking`	Yes	Yes
Names of all other entities in the agreement														[Themisto Trustee Company Pvt Ltd holds these shares in Capacity as the Trustee of Habil Khorakiwala Trust, being a partner of Humuza Consultants, Partnership Firm]	Humuza Consultants, Pledgor
If yes, provide details about the instrument, including credit rating. If Yes, 1 Name of the issuer : 2 Details of the debt instrument : 4 Credit Rating of the debt instrument 5 ISIN of theinstrurnent	Whether the encumbrance is relating to any debt instruments viz. debenture, commercial paper, certificate of deposit etc.? 3 Whether the debt instrument is listed on stock exchanges?			Not Applicable			1. Wockhard Limited 2. Non-Convertible Debenture ('NCDs') 3. The NCDs are not listed 4. CARE BBB-; Stable 5.INE049B07048		Not Applicable		1. Wockhard Limited 2. Non-Convertible Debenture ('NCDs') 3. The NCDs are not listed 4. CARE BBB-; Stable 5.INE049B07055			Not Applicable		1. Wockhard Limited 2. Non-Convertible Debenture ('NCDs') 3. The NCDs are not listed 4. CARE BBB-; Stable 5. INE049B07063							Not Applicable
Security Cover/ Asset Cover in Rs. )	Value of shares on the date of event / agreement (A) (Amount		1,909,830,000 88,610,000 342,550,000			475,250,000 1,518,900,000		1,746,410,000 458,800,000 716,880,000 657,140,000			1,304,310,000 697,180,000		319,725,000	124,218,000	62,109,000		1,612,632,500 149,409,150		242,979,750	284,927,500 119,151,500		751,172,500	87,127,500	55,760,000		181,507,000 148,071,500	76,424,000	71,647,500
Amount involved (against which shares have been encumbered) (B) (Amount in Rs. )		700,000,000 *		*	N.A. [Release of part of the Pledged	500,000,000	750,000,000	N.A. [Release of part of the Pledged		200,000,000		500,000,000 250,000,000		N.A. [Release of part of the Pledged Shares]		500,000,000	@	*		*	@	500,000,000	@	#	*	@	#	!
Ratio of A / B		2.728328571 *		*	Shares] N.A.	3.0378	2.328546667	Shares] N.A.		3.2857	2.60862	2.78872		N.A.		3.225265	@	*		*	@	1.502345	@	#	*	@	#	!
End use of money
Borrowed amount to be utilized for what purpose -	(a)Personal use by Promoters and PACs (b)For the benefit of listed	- -	- -	- -	- -	- -	- The amount of Rs. 75	- -	- -	- -	- The amount of Rs. 75 crore raised by the	-	- -	- -	- -	- The amount of Rs. 50	- -	- -		- -	- -	- The amount of Rs. 50 crore	- -	- -	- -	- -	- -	- The amount of Rs. 50 crore
	company Provide details including amount, purpose of raising money by listed company, schedule for utilization of amount, repayment schedule etc Any other reason (please	crore raised by the Company by issuance of NCDs (Tranche I) has been utilised for meeting working capital requirements and R&D purposes. The repayment schedule is 24 to 36 months from the date of allotment							The amount raised by creating Pledge on Shares		Company by issuance of NCDs (Tranche II) has been utilised for meeting working capital requirements and R&D purposes. The repayment schedule is 24 to 36 months from the date of allotment - -			The amount raised by creating Pledge on Shares have been partially		crore raised by the Company by issuance of NCDs (Series B Tranche I) has been utilised for meeting working capital requirements and R&D purposes. The repayment schedule is 24 to 36 months from the date of allotment -		The amount raised by creating Pledge on Shares have been partially utilised for				raised by the Company by availing Term loan will be utilised for meeting working capital requirements, refinancing of existing loan, Capex and general corporate purposes purposes. The repayment schedule is 12 to 36 months from the date of availment of loan -						raised by the Company by availing Term loan is being/will be utilised for meeting working capital requirements, refinancing of existing loan, Capex and general corporate purposes purposes. The repayment schedule is 12 to 36 months from the date of availment of loan
	specify)	The amount raised by creating Pledge on Shares have been partially utilised for extending - unsecured loan to Wockhardt Limited from time to time.							have been partially utilised for extending unsecured loan to Wockhardt Limited from time to time.					utilised for extending unsecured loan to Wockhardt Limited from time to time.				extending unsecured loan to Wockhardt Limited from time to time.					The amount raised by creating Pledge on Shares have been partially utilised for extending unsecured loan to Wockhardt Limited from time to time.

Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Anand Rathi.

@Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Badjate. * Extended additional collateral for loan (i.e. loan against pledge of shares) taken earlier from Standard Chartered.

^ The Shares were Pledged alongwith other collaterals for the loan from LIC Housing Finance Limited.

& The share are pledged in favour of Catalyst Trusteeship Limited ("Debenture Trustee") to secure the Non-Convertible Debentures issued and allotted to Centrum Credit Opportunities Trust ("Lender") ! The shares are pledged in favour of Arka Fincap Limited for securing the term loan availed by Wockhardt Limited

For and on behalf Humuza Consultants.

Themisto Trustee Company Private Limited as Trustee

Dr. H. F. Khorakiwala, Director of Trustee

Place: Mumbai Date: 13-08-2021