Wockhardt Ltd — Regulatory Filings 2021

May 19, 2021

HUMUZA CONSULTANTS

Corporate Office: G Block, Plot C-2 Wockhardt Towers, Bandra-Kurla Complex, Bandra (East), Mumbai- 400 051 Phone : 91-22-2653 4444. Fax : 91-22-2652 3905

			18thMay, 2021
	BSE Limited Corporate Relations Department P J Towers, Dalal Street Mumbai - 400 001 Scrip Code: 532300		National Stock Exchange of India Limited Exchange Plaza Bandra Kurla Complex, Bandra (E), Mumbai - 400 051 NSE Symbol: WOCKPHARMA

Dear Sirs,

Sub: Disclosure under Regulation 31(1) and 31(3) of SEBI (Substantial Acquisition of Shares and Takeover) Regulations. 2011.

Please find enclosed herewith disclosure in accordance with Regulations 31(1) and 31(3) of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011 pertaining to creation of pledge on 11,00,000 Nos. of Equity Shares held by us in Wockhardt Limited on 14[th] May, 2021.

Also enclosing herewith additional disclosure under Regulation 31(1) of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011 pursuant to SEBI circular SEBI/HO/CFD/DCR1/CIR/P/2019/90 dated 7[th] August, 2019 required to be submitted by promoters upon any change in encumbrance of shares exceeding 20% of total share capital of the Company. With the creation of Pledge on above mentioned 11,00,000 Nos. of Equity Shares (i.e. 0.99%), the percent of Pledged Shares now increased to 20.45%.

Kindly take the same on your records.

Thanking you,

For Humuza Consultants Themisto Trustee Company Private Limited as Trustee

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Dr. H. F. Khorakiwala Director of Trustee

Encl : As above

CC: Wockhardt Limited D-4, MIDC, Chikalthana, Aurangabad - 431006

Disclosure by the Promoter(s) to the stock exchanges and to the Target Company for encumbrance of shares / invocation of encumbrance/ release of encumbrance, in terms of Regulation 31(1) ~~and 31(2)~~ of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

Name of the Target Company (TC)	Wockhardt Limited	Wockhardt Limited	Wockhardt Limited	Wockhardt Limited	Wockhardt Limited	Wockhardt Limited	Wockhardt Limited
Names of the stock exchanges where the shares of the target company are listed	BSE Limited (BSE) and National Stock Exchange of India Limited (NSE)
Date of reporting	18th May, 2021
Name of the promoter or PAC on whose shares encumbrance has been created~~/released~~ ~~/invoked~~	Themisto Trustee Company Private Limited#
Details of the creation of encumbrance:
Name of the promoter (s) or PACs with him*	Promoter holding in the target company (1)		Promoter holding already encumbered (2)									Details of events pertaining to encumbrance (3)						Post event holding of encumbered shares~~{~~ ~~creation~~ ~~[(2)+(3)~~ ~~]~~/ release [(2)-(3)] / ~~invocation [(1)-(3)]]~~
	Number	% of total share capital	Number	% of total share capital	Type of event ( creation / ~~Release~~ / ~~invocation~~ ~~)~~			Date of creation/ ~~release/~~ ~~invocation~~ of encumbrance		Type of encumbrance (pledge~~/ lien/ non~~ ~~disposal~~ ~~undertaking~~ ~~/others~~ ~~)~~			Reasons for encumbrance	Number	% of share capital	Name of the entity in whose favor shares encumbered *			Number		% of total share capital
Themisto Trustee Company Private Limited#	60,495,957	54.61%	2,15,50,000 Nos. of Equity Shares	19.45%		Creation of Pledge		14/05/2021				Pledge	For the purpose of securing the Non- Convertible Debentures	11,00,000 Nos. of Equity Shares	0.99%	Catalyst Trusteeship Limited	2,26,50,000 Nos. of Equity Shares				20.45%
Habil F Khorakiwala	459,451	0.41%	Nil									Nil					Nil
Murtaza Habil Khorakiwala	226,200	0.20%
Huzaifa Habil Khorakiwala	216,000	0.19%
Nafisa Habil Khorakiwala	2,640	0.00%
Miqdad Huzaifa Khorakiwala	1,800	0.00%
Themisto Trustee Company Private Limited@	4,400,000	3.97%
Pasithee Trustee Company Private Limited@	1,500,000	1.35%
Callirhoe Trustee Company Private Limited@	1,320,578	1.19%
Ananke Trustee Company Private Limited@	1,472,716	1.33%
Pasithee Trustee Company Private Limited$	3,400,000	3.07%
Ananke Trustee Company Private Limited$	3,200,000	2.89%
Callirhoe Trustee Company Private Limited$	3,200,000	2.89%

Note:

1.[#] Themisto Trustee Company Private Limited holds these shares in its capacity as the Trustee of Habil Khorakiwala Trust, being a Partner of Humuza Consultants (Partnership Firm).

• 2.@ Shares are held by the said Companies in the capacity as a Trustee of respective Trusts.

• $ Shares are held by the said Companies in capacity as a Trustee of respective Trusts being partner in Partnership Firms.

• Promoters hold total 7,98,95,342 (72.12%) Equity Shares in Wockhardt Limited.

• Promoters' have earlier created pledge on 2,15,50,000 No.of Equity Shares (19.45%) held by them in the Company. With the creation of Pledge on above mentioned 11,00,000 Nos. of Equity Shares (0.99%), the No.of Pledged Shares now increased to 2,26,50,000 No.of Equity Shares (20.45%). 5. As reported in annual disclosure, other Promoter/ PACs are Ms. Zahabiya Khorakiwala, Dartmour Holdings Private Limited, Palanpur Holdings and Investments Private imited, Khorakiwala Holdings and Investments Pvt. Ltd. However, they do not hold Equity Shares in Wockhardt Limited.

• All the No of Shares reported above are Equity Shares held in Wockhardt Limited.

For Themisto Trustee Company Private Limited

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Dr. H. F. Khorakiwala Director

Date: 18th May, 2021

Place: Mumbai

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 the company are listed	BSE Limited (BSE) 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: 7,98,78,676 (72.12%) % of total share capital : 72.12%
Encumbered shares as a % ofpromoter shareholding	20.45%
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

Details of all the existing events/agreements pertaining to	Details of all the existing events/agreements pertaining to	encumbrance
Encumbrance No.		1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17	18	19
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
Type of encumbrance (pledge, lien, negative lien, non-disposal undertaking etc. or any other covenant, transaction, condition or arrangement in the nature of encumbrance)		Creation of pledge							Release pf pledged Shares	Creation of Pledge							Release of pledged Shares			Creation of Pledge
No. and % of shares encumbered	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
	% 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%
Specific Details about the encum	brance
Name of the entity in whose favo	ur shares encumbered (X)	Anand Rathi Global Finance Ltd										Badjate Stock Broking Private Limited			SBICAP Trustee Company Ltd (Trustee of LIC Housing Finance Ltd)	Standard Chartered Investmets & Loans (India) Ltd	Standard Chartered Investmets & Loans (India) Ltd	Anand Rathi Global Finance Ltd	Badjate Stock Broking Private Limited	Anand Rathi Global Finance Ltd
Whether the entity X is a scheduled commercial bank, public financial institution, NBFC or housing finance company? If No, provide the nature of the business of the entity.		Yes										No. Nature of Business: Stock Broking|||No.<br>Nature of Business: Trustee<br>Company on behalf of<br>LICHFC.	Yes	Yes	Yes	No Nature of Business: Stock Broking`	Yes
Names of all other entities in the agreement		Humuza Consultants, Pledgor [Themisto Trustee CompanyPvt Ltd holds these shares in Capacityas the Trustee of Habil Khorakiwala Trust,beingapartner of Humuza Consultants,PartnershipFirm]
Whether the encumbrance is relating to any debt instruments 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		Not applicable
Security Cover/ Asset Cover
Value of shares on the date of ev in Rs.)	ent / 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
Amount involved (against which (B) (Amount in Rs. )	shares have been encumbered)	20,00,00,000	#						N.A. [Release of part of the Pledged Shares]	#		10,00,00,000	10,00,00,000		3,500,000,000	50,00,00,000	N.A. [Release of part 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 utilized for what purpose -	(a)Personal use by Promoters 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 specify)	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.

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.	Encumbrance No.	20	21	22	23	24	25	26	27	28	29	30	31	32	33	34	35	36	37	38
Date of creation/ Release of encumbrance		12.03.2020	13.03.2020	17.03.2020	18.03.2020	19.03.2020	24.03.2020	24.03.2020	25.03.2020	08.04.2020	17.04.2020	04.05.2020	05.05.2020	06..07.2020	03.08.2020	02.11.2020	20.11.2020	27.11.2020	01.12.2020	08.12.2020
Type of encumbrance(pledge,lien,negative lien,non-disposal		Creation of Pledge								Release of Pledged Shares				Release ofpledged Shares
No. and % of shares encumbered	No. of shares :	2,100,000	700,000	925,000	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 -
	% of total share capital :	1.90%	0.63%	0.84%	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%
Specific Details about the encum	brance
Name of the entity in whose favo	ur shares encumbered (X)	Standard Chartered Investmets & Loans (India) Ltd	Badjate Stock Broking Private Limited	Standard Chartered Investmets & Loans (India) Ltd	Anand Rathi Global Finance Ltd	Badjate Stock Broking Private Limited	Standard Chartered Investmets & Loans (India) Ltd	Anand Rathi Global Finance Ltd	Badjate Stock Broking Private Limited			Standard Chartered Investmets & Loans (India) Ltd	Anand Rathi Global Finance Ltd		Standard Chartered Investmets & Loans (India) Ltd	Badjate Stock Broking Private Limited	Badjate Stock Broking Private Limited	Anand Rathi Global Finance Ltd	Standard Chartered Investmets & Loans (India) Ltd	Standard Chartered Investmets & Loans (India) Ltd
Whether the entity X is a scheduled commercial bank, public financial institution, NBFC or housing finance company? If No, provide the nature of the business of the entity.		Yes	No Nature of Business: Stock Broking|Yes|Yes|No.<br>Nature of<br>Business: Stock<br>Broking	Yes	Yes	No Nature of Business: Stock Broking|||Yes|Yes||Yes|No<br>Nature of Business:<br>Stock Broking	No Nature of Business: Stock Broking`	Yes	Yes	Yes
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 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		Not Applicable
Security Cover/ Asset Cover
Value of shares on the date of ev	ent / agreement(A) (Amount	434,070,000	157,290,000	189,948,750	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
Amount involved(against which	shares have been encumbered)	*	@	*	#	@	*	#	@	N.A.
Ratio of A / B		*	@	*	#	@	*	#	@	N.A.
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 company Provide details including amount, purpose of raising money by listed company, schedule for utilization of amount, repayment schedule etc	-	-	-	-	-	-	-	-	-	-	-	-	-	-	-	-	-	-	-
	Any other reason (please specify)	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.

Security Cover/ Asset Cover
Value of shares on the date of event / agreement(A) (Amount		434,070,000	157,290,000	189,948,750	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
Amount involved(against which shares have been encumbered)		*	@	*	#	@	*	#	@						N.A.
Ratio of A / B		*	@	*	#	@	*	#	@						N.A.
End use of money
Borrowed amount to be utilized	(a)Personal use by Promoters	-	-	-	-	-	-	-	-	-	-	-	-	-	-		-	-	-		-	-
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 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.	Encumbrance No.	39	40	41	42	43	44	45	46	47	48	49	50	51	52	53	54	55
Date of creation/ Release of encumbrance		11.12.2020	18.12.2020	18.12.2020	31.12.2020	15.01.2021	03.02.2021	19.02.2021	23.03.2021	26.03.2021	09.04.2021	20.04.2021	27.04.2021	07.05.2021	10.05.2021	10.05.2021	11.05.2021	14.05.2021
Type of encumbrance (pledge, lien, negative lien, non-disposal undertaking etc. or any other covenant, transaction, condition		Release of pledged Shares					Creation of Pledge				Release of pledged shares	Creation of Pledge		Release of pledged shares		Creation of Pledge
No. and % of shares encumbered ~~or arrangement in the nature of~~	No. of shares : ~~encumbrance)~~	1,318,500 -	1,500 -	700,000 -	2,500,000 -	300,000 -	2,200,000	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
	% of total share capital :	-1.19%	0.00%	-0.63%	-2.26%	-0.27%	1.99%	3.52%	0.18%	0.77%	-0.90%	2.71%	3.07%	-0.72%	-1.08%	0.99%	1.90%	0.99%
Specific Details about the encumbrance
Name of the entity in whose favo	ur shares encumbered (X)	Anand Rathi Global Finance Ltd		Standard Chartered Investmets & Loans (India) Ltd								Badjate Stock Broking Private Limited	Catalyst Trusteeship Limited	Badjate Stock Broking Private Limited	Standard Chartered Investmets & Loans (India) Ltd	Anand Rathi Global Finance Ltd#	Catalyst Trusteeship Limited
Whether the entity X is a scheduled commercial bank, public financial institution, NBFC or housing finance company? If No, provide the nature of the business of the entity.		Yes		Yes								No Nature of Business: Stock Broking|No<br>Nature of Business:<br>Debenture Trustee|No<br>Nature of Business:<br>Stock Broking	Yes	Yes	No Nature of Business: Debenture Trustee
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 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		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
Security Cover/ Asset Cover
Value of shares on the date of ev in Rs. )	ent / agreement (A) (Amount	682,851,150	763,875	356,475,000	1,366,375,000	159,915,000	1,135,530,000	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
Amount involved (against which (B) (Amount in Rs. )	shares have been encumbered)	N.A. [Release of part of the Pledged Shares]					500,000,000	700,000,000	*	*	N.A. [Release of part	500,000,000	750,000,000	N.A. [Release of part of the Pledged Shares]		200,000,000	500,000,000	250,000,000
Ratio of A / B		N.A.					2.27106	2.728328571	*	*	~~f th Pl d~~ ~~d~~ N.A.	3.0378	2.328546667	N.A.		3.2857	2.60862	2.78872
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 company Provide details including amount, purpose of raising money by listed company, schedule for utilization of amount, repayment schedule etc	-	-	-	-	-	-	-	-	-	-	-	The amount of Rs. 75 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 of Rs. 75 crore raised by the 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
	Any other reason (please specify)	The amount raised by creating Pledge on Shares have been partially extended unsecured loan to Wockhardt Limited from time to time.											-	The amount raised by creating Pledge on Shares have been partially extended 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.

For and on behalf Humuza Consultants. Themisto Trustee Company Private Limited as Trustee

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Dr. H. F. Khorakiwala, Director of Trustee

Place: Mumbai Date: 18-05-2021