Shareholding Pattern as on September 30, 2016


      Annexure - I
Format of holding of specified securities
1 Name of Listed Entity: Tata Steel Limited  
2 Scrip Code/Name of Scrip/Class of Security 500470  
3 Share Holding Pattern Filed under: Reg. 31(1)(a)/Reg. 31(1)(b)/Reg.31(1)(c)    
  a. If under 31(1)(b) then indicate the report for Quarter ending - 30th September 2016  
  b. If under 31(1)(c) then indicate date of allotment/extinguishment    
         
4 Declaration: The Listed entity is required to submit the following declaration to the extent of submission of information:-
         
    Particulars Yes* No*
  1 Whether the Listed Entity has issued any partly paid up shares?   N
  2 Whether the Listed Entity has issued any Convertible Securities or Warrants?   N
  3 Whether the Listed Entity has any shares against which depository receipts are issued? Y  
  4 Whether the Listed Entity has any shares in locked-in?   N
  5 Whether any shares held by promoters are pledge or otherwise encumbered? Y  
  * If the Listed Entity selects the option ‘No’ for the questions above, the columns for the partly paid up shares, Outstanding Convertible Securities/Warrants, depository receipts, locked-in shares, No of shares pledged or otherwise encumbered by promoters, as applicable, shall not be displayed at the time of dissemination on the Stock Exchange website. Also wherever there is ‘No’ declared by Listed Entity in above table the values will be considered as ‘Zero’ by default on submission of the format of holding of specified securities.
5 The tabular format for disclosure of holding of specified securities is as follows:-    

Table I - Summary Statement holding of specified securities
Cate-gory Category of shareholder Nos. of share-holders No. of fully paid up equity shares held No. of Partly paid-up equity shares held No. of shares underlying Depository Receipts Total nos. shares held Shareholding as a % of total no. of shares (calculated as per SCRR, 1957) Number of Voting Rights held in each class of securities No. of Shares Underlying Outstanding convertible securities (including Warrants) Shareholding , as a % assuming full conversion of convertible securities ( as a percentage of diluted share capital) Number of Locked in shares Number of Shares pledged or otherwise encumbered Number of equity shares held in dematerialized form
(I) (II) (III) (IV) (V) (VI) (VII) = (IV)+(V)+ (VI) (VIII) As a % of (A+B+C2) (IX) (X) (XI)= (VII)+(X) As a % of (A+B+C2) (XII) (XIII) (XIV)
No of Voting Rights Total as a % of (A+B+C) No. As a % of total Shares held No. As a % of total Shares held
Class eg: X Class eg:y Total (a) (b) (a) (b)
(A) Promoter & Promoter Group 12 30,45,02,341 0.00 0.00 30,45,02,341 31.35 30,45,02,341 0.00 30,45,02,341 31.35 0.00 31.35 0.00 0.00 1,74,00,000 5.71 30,45,01,776
(B) Public 9,06,642 64,65,20,547 0.00 2,01,92,551 66,67,13,098 68.65 66,67,13,098 0.00 66,67,13,098 68.65 0.00 68.65 0.00 0.00 NA 63,68,67,922
(C) Non Promoter- Non Public 0 0 0.00 0.00 0 0.00 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 NA 0
(C1) Shares underlying DRs 0 0 0.00 0.00 0 N.A 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 NA 0
(C2) Shares held by Employee Trusts 0 0 0.00 0.00 0 0.00 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 NA 0
  Total 9,06,654 95,10,22,888 0.00 2,01,92,551 97,12,15,439 100.00 97,12,15,439 0.00 97,12,15,439 100.00 0.00 100.00 0.00 0.00 1,74,00,000 1.79 94,13,69,698

Table II - Statement showing shareholding pattern of the Promoter and Promoter Group  
  Category & Name of the Shareholders No. of shareholder No. of fully paid up equity shares held Partly paid-up equity shares held Nos. of shares underlying Depository Receipts Total nos. shares held Shareholding % calculated as per SCRR, 1957 Number of Voting Rights held in each class of securities No. of Shares Underlying Outstanding convertible securities (including Warrants) Shareholding , as a % assuming full conversion of convertible securities ( as a percentage of diluted share capital) Number of Locked in shares Number of Shares pledged or otherwise encumbered Number of equity shares held in dematerialized form
(I) (II) (III) (IV) (V) (VI = III+IV+V) As a % of (A+B+C2) (VII) (VIII) I(X) (X) = (VI)+(IX) as a % of A+B+C2 (XI) (XII) (XIII)
No of Voting Rights Total as a % of Total Voting rights No. As a % of total Shares held No. As a % of total shares held
Class X Class Y Total (a) (b) (a) (b)
(1) Indian                                  
(a) Individuals/Hindu undivided Family 0 0 0 0 0 0.00 0 0 0 0 0 0.00 0 0.00 0 0.00 0
(b) Central Government/ State Government(s) 0 0 0 0 0 0.00 0 0 0 0 0 0.00 0 0.00 0 0.00 0
(c) Financial Institutions/ Banks 0 0 0 0 0 0.00 0 0 0 0 0 0.00 0 0.00 0 0.00 0
(d) Any Other (specify) 0 0 0 0 0 0.00 0 0 0 0 0 0.00 0 0.00 0 0.00 0
(i) Bodies Corporate 12 30,45,02,341 0 0 30,45,02,341 31.35 30,45,02,341 0 30,45,02,341 31.35 0 31.35 0 0.00 1,74,00,000 5.71 30,45,01,776
(i) TATA SONS LIMITED 1 28,88,98,245 0 0 28,88,98,245 29.75 28,88,98,245 0 28,88,98,245 29.75 0 29.75 0 0.00 1,74,00,000 6.02 28,88,97,680
(ii) TATA MOTORS LIMITED 1 44,32,497 0 0 44,32,497 0.46 44,32,497 0 44,32,497 0.46 0 0.46 0 0.00 0 0.00 44,32,497
(iii) TATA INVESTMENT CORPORATION LIMITED 1 33,85,885 0 0 33,85,885 0.35 33,85,885 0 33,85,885 0.35 0 0.35 0 0.00 0 0.00 33,85,885
(iv) TATA CHEMICALS LTD 1 24,91,977 0 0 24,91,977 0.26 24,91,977 0 24,91,977 0.26 0 0.26 0 0.00 0 0.00 24,91,977
(v) EWART INVESTMENTS LIMITED 1 17,95,142 0 0 17,95,142 0.18 17,95,142 0 17,95,142 0.18 0 0.18 0 0.00 0 0.00 17,95,142
(vi) RUJUVALIKA INVESTMENTS LIMITED** 1 11,68,393 0 0 11,68,393 0.12 11,68,393 0 11,68,393 0.12 0 0.12 0 0.00 0 0.00 11,68,393
(vii) SIR DORABJI TATA TRUST 1 8,42,460 0 0 8,42,460 0.09 8,42,460 0 8,42,460 0.09 0 0.09 0 0.00 0 0.00 8,42,460
(viii) TATA INDUSTRIES LIMITED 1 7,91,675 0 0 7,91,675 0.08 7,91,675 0 7,91,675 0.08 0 0.08 0 0.00 0 0.00 7,91,675
(ix) SHEBA PROPERTIES LIMITED 1 4,91,542 0 0 4,91,542 0.05 4,91,542 0 4,91,542 0.05 0 0.05 0 0.00 0 0.00 4,91,542
(x) SIR RATAN TATA TRUST 1 1,89,000 0 0 1,89,000 0.02 1,89,000 0 1,89,000 0.02 0 0.02 0 0.00 0 0.00 1,89,000
(xi) TATA CAPITAL LTD 1 13,500 0 0 13,500 0.00 13,500 0 13,500 0.00 0 0.00 0 0.00 0 0.00 13,500
(xii) TITAN COMPANY LIMITED 1 2,025 0 0 2,025 0.00 2,025 0 2,025 0.00 0 0.00 0 0.00 0 0.00 2,025
Sub-Total (A)(1) 12 30,45,02,341 0 0 30,45,02,341 31.35 30,45,02,341 0 30,45,02,341 31.35 0 31.35 0 0.00 1,74,00,000 5.71 30,45,01,776
(2) Foreign                                  
(a) Individuals (Non-Resident Individuals/ Foreign Individuals) 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
(b) Government 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
(c) Institutions 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
(d) Foreign Portfolio Investor 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
(e) Any Other (specify) 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
  Name (xyz…)                                  
Sub-Total (A)(2) 0 0 0 0 0 0.00 0 0 0 0 0 0 0 0.00 0 0.00 0
Total Shareholding of Promoter and Promoter Group (A)= (A)(1)+(A)(2) 12 30,45,02,341 0 0 30,45,02,341 31.35 30,45,02,341 0 30,45,02,341 31.35 0 31.35 0 0.00 1,74,00,000 5.71 30,45,01,776
Details of Shares which remain unclaimed may be given hear along with details such as number of shareholders, outstanding shares held in demat/unclaimed suspense account, voting rights which are frozen etc.                                    
** 11,68,393 Ordinary Shares held by Rujuvalika Investments Limited ( a wholly owned subsidiary of Tata Steel Limited w.e.f May 8, 2015), do not carry any voting rights.
Note:                                    
(1) PAN would not be displayed on website of Stock Exchange(s).                                  
(2) The term “Encumbrance” has the same meaning as assigned under regulation 28(3) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.                                  

Table III - Statement showing shareholding pattern of the Public shareholder
  Category & Name of the Shareholders Nos. of shareholder No. of fully paid up equity shares held Partly paid-up equity shares held Nos. of shares underlying Depository Receipts Total nos. shares held Shareholding % calculated as per SCRR, 1957 Number of Voting Rights held in each class of securities No. of Shares Underlying Outstanding convertible securities (including Warrants) Total Shareholding , as a % assuming full conversion of convertible securities ( as a percentage of diluted share capital) Number of Locked in shares Number of Shares pledged or otherwise encumbered Number of equity shares held in dematerialized form
(I) (II) (III) (IV) (V) (VI = III+IV+V) As a % of (A+B+C2) (VII) (VIII) (IX) (X) = (V)+(IX) as a % of A+B+C2 (XI) (XII) (XIII)
No of Voting Rights Total as a % of Total Voting rights No. As a % of total Shares held No. (not applicable) As a % of total shares held (Not applicable)
Class X Class Y Total (a) (b) (a) (b)
(1) Institutions                             NA  
(a) Mutual Funds/UTI 136 8,75,81,644 0 0 8,75,81,644 9.02 8,75,81,644 0 8,75,81,644 9.02 0 9.02 0 0.00 NA 8,75,22,602
i Hdfc Trustee Company Limited 1 4,51,36,066 0 0 4,51,36,066 4.65 4,51,36,066 0 4,51,36,066 4.65 0 4.65 0 0.00 NA 4,51,36,066
ii Reliance Capital Trustee Co Limited 1 2,06,38,994 0 0 2,06,38,994 2.13 2,06,38,994 0 2,06,38,994 2.13 0 2.13 0 0.00 NA 2,06,38,994
(b) Venture Capital Funds 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
(c) Alternate Investment Funds 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
(d) Foreign Venture Capital Investors 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
(e) Foreign Portfolio Investors 514 12,43,45,807 0 0 12,43,45,807 12.80 12,43,45,807 0 12,43,45,807 12.80 0 12.80 0 0.00 NA 12,43,18,525
(f) Financial Institutions/ Banks 292 79,50,654 0 0 79,50,654 0.82 79,50,654 0 79,50,654 0.82 0 0.82 0 0.00 NA 77,47,873
(g) Insurance Companies # 34 18,83,60,541 0 0 18,83,60,541 19.39 18,83,60,541 0 18,83,60,541 19.39 0 19.39 0 0.00 NA 18,83,59,086
(i) Life Insurance Corporation of India 1 13,22,67,693 0 0 13,22,67,693 13.62 13,22,67,693 0 13,22,67,693 13.62 0 13.62 0 0.00 NA 13,22,67,693
(ii) The New India Assurance Co Ltd 1 1,13,26,058 0 0 1,13,26,058 1.17 1,13,26,058 0 1,13,26,058 1.17 0 1.17 0 0.00 NA 1,13,26,058
(h) Provident Funds/ Pension Funds 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
(i) Any Other (specify) 12 5,69,815 0 0 5,69,815 0.06 5,69,815 0 5,69,815 0.06 0 0.06 0 0.00 NA 5,68,690
i Foreign National- DR 1 164 0 0 164 0.00 164 0 164 0.00 0 0.00 0 0.00 NA 164
ii Foreign Bodies - DR 4 5,63,134 0 0 5,63,134 0.06 5,63,134 0 5,63,134 0.06 0 0.06 0 0.00 NA 5,63,134
iii Foreign Porfolio Investments - Individual 1 892 0 0 892 0.00 892 0 892 0.00 0 0.00 0 0.00 NA 892
iv Overseas Corporate Bodies 6 5,625 0 0 5,625 0.00 5,625 0 5,625 0.00 0 0.00 0 0.00 NA 4,500
Sub-Total (B)(1) 988 40,88,08,461 0 0 40,88,08,461 42.09 40,88,08,461 0 40,88,08,461 42.09 0 42.09 0 0.00 NA 40,85,16,776
(2) Central Government/ State Government(s)/ President of India 8 4,16,277 0 0 4,16,277 0.04 4,16,277 0 4,16,277 0.04 0 0.04 0 0.00 NA 3,05,000
Sub-Total (B)(2) 8 4,16,277 0 0 4,16,277 0.04 4,16,277 0 4,16,277 0.04 0 0 0 0 NA  
(3) Non-institutions                             NA  
(a) Individuals - 9,00,545 21,10,71,683 0 0 21,10,71,683 21.73 21,10,71,683 0 21,10,71,683 21.73 0 21.73 0 0.00 NA 18,70,42,015
  i. Individual shareholders holding nominal share capital up to Rs. 2 lakhs. 9,00,102 19,25,35,432 0 0 19,25,35,432 19.82 19,25,35,432 0 19,25,35,432 19.82 0 19.82 0 0.00 NA 16,97,86,479
  ii. Individual shareholders holding nominal share capital in excess of Rs. 2 lakhs. 443 1,85,36,251 0 0 1,85,36,251 1.91 1,85,36,251 0 1,85,36,251 1.91 0 1.91 0 0.00 NA 1,72,55,536
(b) NBFCs registered with RBI 3 3,696 0 0 3,696 0.00 3,696 0 3,696 0.00 0 0.00 0 0.00 NA 3,696
(c) Employee Trusts 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
(d) Overseas Depositories (holding DRs) (balancing figure) 1 0 0 20192551 2,01,92,551 2.08 2,01,92,551 0 2,01,92,551 2.08 0 2.08 0 0.00 NA 2,01,92,551
i Citibank N.A. New York, Nyadr Dept 1 0 0 20192551 2,01,92,551 2.08 2,01,92,551 0 2,01,92,551 2.08 0 2.08 0 0.00 NA 2,01,92,551
(e) Any Other (specify) - Bodies Corporate 5097 2,62,20,430 0 0 2,62,20,430 2.70 2,62,20,430 0 2,62,20,430 2.70 0 2.70 0 0 NA 2,08,07,884
Sub-Total (B)(3) 9,05,646 23,72,95,809 0 20192551 25,74,88,360 26.51 25,74,88,360 0 25,74,88,360 26.51 0 26.51 0 0.00 NA 22,80,46,146
Total Public Shareholding (B)= (B)(1)+(B)(2)+(B)(3) 9,06,642 64,65,20,547 0 20192551 66,67,13,098 68.65 66,67,13,098 0 66,67,13,098 68.65 0 68.65 0 0.00 NA 63,68,67,922
Details of the shareholders acting as persons in Concert including their Shareholding (No. and %):                                    
# TATA AIA LIFE INSURANCE COMPANY LIMITED is not considered part of Promoter Group holds 11,10,357 Ordinary Shares representing 0.11% of the paidup Ordinary Share Capital. Accordingly, holding of Tata AIA Life insurance Company Ltd. is included under Public Shareholding under the head "Instutitions"-Insurance Companies
Details of Shares which remain unclaimed may be given hear along with details such as number of shareholders, outstanding shares held in demat/unclaimed suspense account, voting rights which are frozen etc.                                    
Note:                                    
(1) PAN would not be displayed on website of Stock Exchange(s).                                  
(2) The above format needs to be disclosed along with the name of following persons:                                  
  Institutions/Non Institutions holding more than 1% of total number of shares.                                  
(3) W.r.t. the information pertaining to Depository Receipts, the same may be disclosed in the respective columns to the extent information available and the balance to be disclosed as held by custodian,                                  

Table IV - Statement showing shareholding pattern of the Non Promoter- Non Public shareholder
  Category & Name of the Shareholders No. of shareholder No. of fully paid up equity shares held Partly paid-up equity shares held Nos. of shares underlying Depository Receipts Total nos. shares held Shareholding % calculated as per SCRR, 1957 Number of Voting Rights held in each class of securities No. of Shares Underlying Outstanding convertible securities (including Warrants) Total Shareholding , as a % assuming full conversion of convertible securities (as a percentage of diluted share capital) Number of Locked in shares Number of Shares pledged or otherwise encumbered Number of equity shares held in dematerialized form
(I) (II) (III) (IV) (V) (VI= III+IV+V) As a % of (A+B+C2) (VII) (VIII) (IX) (X) = (VI)+(IX) as a % of A+B+C2 (XI) (XII) (XIII) (Not Applicable)
No of Voting Rights Total as a % of Total Voting rights No. As a % of total Shares held No. (not appli-cable) As a % of total shares held (Not applicable)
Class X Class Y Total (a) (b) (a) (b)
(1) Custodian/DR Holder 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00   0
(a) Name of DR Holder (if available)                             NA  
(2) Employee Benefit Trust (under SEBI (Share based Employee Benefit) Regulations, 2014) 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 0 0
Total Non-Promoter- Non Public Shareholding (C)= (C)(1)+(C)(2) 0 0 0 0 0 0.00 0 0 0 0.00 0 0.00 0 0.00 NA 0
Note                                    
(1) PAN would not be displayed on website of Stock Exchange(s).                                  
(2) The above format needs to disclose name of all holders holding more than 1% of total number of shares                                  
(3) W.r.t. the information pertaining to Depository Receipts, the same may be disclosed in the respective columns to the extent information available,