iifl special opportunities fund series...

IIFL SPECIAL

OPPORTUNITIES FUND

SERIES 7

ACCOUNTOPENINGFORM(INDIVIDUAL&NON-INDIVIDUAL)

ARNNo.________________________________________CHANNELPARTNER__________________________ APPLICATIONNo._______________________________

PAGE NO.5-12

13

1721-29

19

36-43

*AlongwithApplicationformfollowingdocumentsneedtobesubmitted:

SR. NO. SUBMITTED (Y/N)DOCUMENTS TO BE SUBMITTED (FOR ALL APPLICANTS)1.2.3.

4.

CopyofPANCard(includingcopyofPANofPOAholders/Guardian)CopyofAadhaarCard(includingcopyforauthorisedsignatoriesincaseofnon-individual)

(a) CKYC-KRAletter/status/formasdetailedbelow$

(b)CKYC-KRAdocumentsasmentionedinCKYC-KRAform&requiredtobesubmittedalongwithCKYC-KRAform(withIPVveri icationdulydone)CancelledCheque(a)CancelledChequeoftheaccountfromwhichInvestmenthasbeenmade(InvestmentAccount)(b)CancelledChequeoftheaccountinwhichdistributionproceedshasbeencredited(incasethesaidaccountisdifferentfromtheinvestmentaccountasmentionedinpoint(a)above.)^SupportingDocuments

$CKYC DOCUMENTS REQUIREDInvestorwhoare‘CKYC/KRAComplied’

Investorwhose‘CKYCKRAComplianceisunderprocess’

Investorwhoarenot‘CKYCKRAComplied’

Individual-Investors Non-IndividualInvestors

^SUPPORTING DOCUMENTS

CKYCKRACompliedVeri icationstatusobtainedfromKRAwebsite.(e.g.onCVLWebsiteitwillbe

mentioned‘Veri iedbyCVLKRA’)

KRAacknowledgementletterorCKYCVeri icationunderProcessstatusasavailableon

KRAwebsite

CKYCForm&KYCKRAFormforIndividuals

KRAFormfor

Non-Individuals

Resolution/AuthorisedtoInvest

ListofAuthorisedSignatorieswith

specimenSignatureMOA&AOA

Documents Companies

PartnershipAgreement/

Partnership/HUFDeed

ByeLawsTrustDeed

NotarizedPOA

OtherthanIndividual&

HUF

LLP / PartnershipFirms/HUF Society Inv through

POA Submitted

(Y/N) Trust

ForInvestinginIIFLSpecialOpportunitiesFund-Series7,aninvestorwillhavetosubmitthefollowingdocuments:

SR. NO. DOCUMENTS TO BE SUBMITTED SUBMITTED (Y/N)1.2.3.4.5.6.

*ApplicationFormNominationFATCAAcknowledgedcopyofPrivatePlacementMemorandumContributionAgreementFundingInstrument/Instruction(ChequeRTGSAcknowledgement)

Aadhaarcardcopy(#forAuthorisedsignatories)

CKYC-KRADocuments(includingcopyofCKYC-KRSofPOAholders/Guardian)

5.

# # # #

IIFLSpecialOpportunitiesFund-Series7

INR3,000cr

*ClassA4UnitholdersinvestinginClassCo-investment,shallbechargedupto1.75%p.a.ofdailynetassetsasManagementExpense.

KEY TERMS OF OFFERThisKeyTermsofoffersetsforththeinformation,whichaprospectiveinvestoroughttoknowbeforeinvesting.Furtherdetailsofthescheme,riskfactors,pendinglitigationsetc.investorshould,beforeinvestment,refertothePrivatePlacementMemorandum(PPM)oftheScheme.

Name of Alternative Investment Fund

Name of the SponsorIIFLHoldingsLimited

Name of Investment Manager

Name of the Co-SponsorIIFLWealthManagementLimited

IIFLAssetManagementLimited

IIFLWealthFinanceLimited

Name of Trustee CompanyIIFLTrusteeLimited

ComputerAgeManagementServicePrivateLimited

Name of the Registrar

INVESTMENTOBJECTIVE:TheobjectiveoftheFundistogeneratelongtermcapitalappreciationforinvestorsbyprimarilyinvesting inaportfolioofequityandequityrelatedsecuritiesofcompanieswhichareinthePre-IPOstageorhavelaunchedIPO.TERM:Upto42monthsfrom inalclosingdate;whichcanbeextendedfordurationof12monthssubjecttoapprovaloftwo-thirdsoftheunitholdersbyvalueoftheirinvestmentintheAlternativeInvestmentFund.

FUNDMANAGER:Mr.AmitMehtaMINIMUMCOMMITMENTAMOUNT(PERINVESTOR):

SHARECLASSClassA1ClassA2ClassA3ClassA4

Rs.1Crore&multiplesofRs.1lakhRs.5Crore&multiplesofRs.1lakhRs.15Crore&multipleofRs.1lakhRs.20Crore&multipleofRs.1lakh

MINIMUM COMMITMENT (Amt. in Rs.)

1)AnnualSchemeRecurringExpenses:a.ManagementExpenses:

ClassA1ClassA2ClassA3ClassA4ClassCo-Investment*ClassBClassS

Upto2.00%Upto1.75%Upto1.50%Upto1.00%Upto2.00%NilUpto0.10%

CLASS OF UNITS % OF DAILY NET ASSETS (per annum)

b.AdministrationExpenses:

2)FundIncorporationExpenses:

ClassA1ClassA2ClassA3ClassA4ClassCo-Investment

CLASS OF UNITS % of AGGREGATE CAPITAL COMMITMENTUpto2.00%Upto2.00%Upto2.00%Upto2.00%Upto2.00%

FundIncorporationExpensesshallbechargeableatthediscretionofInvestmentmanagerandshallbeexclusiveofGST3)FundHurdleRate:PosttaxpostexpensesInternalRateofReturnof10%p.a.(onCAGRbasis)onnetcapitalcontributionfromthedateof

allotmentforClassA1,ClassA2,ClassA3andClassA4investors(asdetailedinPPM)4) Performance Fees:10%of return over and above theHurdle Ratewithout catch-up for Class A1, Class A2, Class A3 andClass A4investors(asdetailedinPPM)

SPONSOR’SCONTINUINGINTEREST:2.5%ofthecorpusorRs.5CrorewhicheverislowerRISKFACTORS:ThefundwouldbeinvestingintoPre-IPOandIPObondcompanies.Thelistingofthesecompaniescouldbedependentonmarketconditions.FundInvestmentsinlistedsecuritiesaresubjecttoprice luctuationondailybasis.Thevolatilityinthevalueofinvestmentsisduetovariousmicroandmacroeconomicfactorssuchaseconomicandpoliticaldevelopmentsandothermarketfactorsaffectingthesecuritiesmarkets.Thismay have adverse impact on individual securities / sector and consequently on the NAV of Scheme. Kindly refer Private PlacementMemorandumfordetailsofriskfactors.

TARGETSIZE:

ClassCo-Investment*AsofferedbyInvestmentManagerClassSAsperregulatoryrequirement

*ClassSshallbeeligible(irrespectiveofinvestmentamount)toinvestunderClassCo-investment,uptotheCommitmentmadeinClassS.

Notexceeding0.15%perannumonDailyNetAssetsTheManagementExpenseandAdministrationExpensewillbeaccruedonDailyNetAssets.TheInvestmentManagerwillchargeitsManagementExpenseandreimbursementofAdministrationExpenses,onquarterlybasisorsuchotherperiodicityatthediscretionoftheInvestmentManager.TheManagementExpenseshallbeexclusiveofGSTandAdministrationExpensesmentionedaboveisinclusiveofGSTTheDistributionFees(formingpartofManagementExpense)maybechargedupfronttotheScheme,dulyamortisedovertheperioddeterminedbytheInvestmentManager.

Total3Signatures

CHANNELPARTNER__________________________

ARNNo.________________________________________

RMName______________________________________

INDIVIDUAL KYC ANDAPPLICATION FORM

PART I - APPLICATION FORM - FOR INDIVIDUAL - 1st / First Holder

3. PROOF SUBMITTED FOR IDENTITY & ADDRESS

PAN(mandatory)

AadhaarNumber(mandatory) CKYCNumber

(SelfattestedcopyofPAN&AadhaarCardismandatory)

2.2 CORRESPONDENCE / LOCAL ADDRESS DETAILSLine1

Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village

asperIndianMotorVehicleAct,1988

Business RegisteredOf ice Unspeci iedResidentialResidential/BusinessAddressType

asperISO3166CountryCode

PERSONAL DETAILS1.

Name(AsperAadhaar)MaidenName(Ifany)

Father/SpouseName

MotherNameDateofBirth (Mandatory)(AsPerAadhaar)MaritalStatus

Citizenship

ResidentialStatus

OccupationType

Gender Male TransgenderFemale

Married Unmarried Others

IN-Indian Others-Country____________________CountryCode

NonResidentResident

Service PrivateSector

SelfEmployed Retired

PoliticallyExposedPerson(PEP)Pleasetick,ifapplicable

Pre ix FirstName MiddleName LastName

ForeignNational PersonofIndianOrigin

PublicSector

Housewife Student

GovernmentSector

RelatedtoaPoliticallyExposedPerson(RPEP)

Others Professional

Business

NA

NotCategorised

Pleaseaf ixarecent

passportsizePhotographandsignacrossit

13

ADDRESS DETAILS2.

Line1

Line2

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District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village




2.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS (Mandatory if NRI / Foreign National / PIO is selected in Residential status)

Thepurposeofcollection/usageofAadhaarnumberincludingdemographicinformationistocomplywithapplicablelaws/rules/regulationsandprovisionofthesaiddataismandatoryasperapplicablelaws/rules/regulations.Aadhaarnumber provided authenticateinshouldbe toaccordancewiththeAadhaarAct,2016anddemographicinformationshallbeusedonlytocomplywithapplicablelaws/rules/regulations.

I/We,Acknowledgeandcon irmthattheinformationprovidedaboveistrueandcorrecttothebestofmy/ourknowledgeandbelief.Incaseanyoftheabovespeci iedinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/Wemaybeliableforit.I/WeherebyauthorizeIIFLAssetManagementLimitedtodisclose,share,remitinanyform,modeormanner,all/anyoftheinformationprovidedbyme/us,includingallchanges,updatestosuchinformationasandwhenprovidedbyme/ustoassociatesofIIFLGroup,issuers,brokers, banks and other relevant parties (‘Authorised Parties’) or any Indian or foreign Governmental or statutory or judicialauthorities/agenciesincludingbutnotlimitedtotheFinancialIntelligenceUnit-India(FIU-IND),thetax/revenueauthoritiesinIndiaoroutsideIndiawherever itislegallyrequiredandother investigationagencieswithoutanyobligationofadvisingme/usofthesame;Further,I/WeauthorizetosharethegiveninformationtootherAuthorizedpartiestofacilitatesinglesubmission/updation&forotherrelevantpurposes;I/Wealsoundertaketokeepyouinformedinwritingaboutanychanges/modi icationtotheaboveinformationinfuturepromptly,i.e.,within30daysandalsoundertaketoprovideanyotheradditionalinformationasmayberequiredatyourend,asmayberequiredbydomesticoroverseasregulators/taxauthorities.I/WeauthorizetheAuthorisedPartiestowithholdandpayoutanysumsfromyouraccountorcloseorsuspendyouraccount(s)withoutanyobligationofadvisingmeofthesame.I/Weherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmy/ourknowledgeandbeliefandI/Weundertaketoinform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading ormisrepresenting,I/Weam/areawarethatmaybeheldliableforit.I/WeherebydeclarethatI/Weam/arenotmakingthisapplicationforthepurposeofcontraventionofanyAct,Rules,Regulationsoranystatuteoflegislationoranynoti ications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.I/WeherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii )updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsimadethereunder)andPMLA.I/Weherebyprovidemy/ourconsentforsharing/disclosingofmyAadhaarnumber(s)includingdemographicinformationwithRegistrarandTransferAgent(RTA)forthepurposeofupdatingthesameinmy/ourfolioswithmy/ourPAN.

[Signature/ThumbImpression]

23

Signature/ThumbImpressionof1 Applicantst

Date

Place

GROSS ANNUAL INCOME6.

a)IncomeRangeperannum

Rs.10,00,001toRs.25,00,000

a)NetworthRs.________________________________ason(Networthshouldnotbeolderthanoneyear)

BelowRs.1,00,000 Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000Rs.25,00,001toRs.1,00,00,000 MorethanRs.1,00,00,000

FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable7.

8.

AdditionalDetailsRequired(mandatoryonlyifaboveoption(7)isticked)CountryofJurisdictionofResidence CountryCodeofJurisdictionofResidence asperISO3166

TaxIdenti icationNumberorequivalent(Ifissuedbyjurisdiction)

Place/CityofBirth CountryofBirth asperISO3166CountryCode

AddressinthejurisdictionwhereapplicantisresidentoutsideIndiafortaxpurposeLine1

Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village



CONTACT DETAILS4.

Tel(Off)

FaxNo.

Email

Tel(Res)

Mobile

APPLICANT DECLARATION

5. GST REGISTERED GOODS AND SERVICES TAX ( ) Yes No

GSTIN GSTNo(if Registered)Note:Proofof registrationisrequiredifselectedYes.GSTTheGoodsandServiceTaxNumber(GSTN)iscorrectandIIFLAMCwillnotberesponsibleforveri icationofGSTNIftheGSTNnotprovided,itwillbeconsideredasunregisteredandwillbeunabletoclaimtheinputtaxcreditonthefeesandchargespaid.

I/Wewishtoreceivethefundrelateddocumentandcommunicationviaphysicalinlieuofe-maildocument(s)[Please ]Emailwouldbethedefaultmodeofcommunication,incasetheaboveoptionisnotticked

PART I - APPLICATION FORM - FOR INDIVIDUAL - 2nd / Second Holder


CKYCNumber



Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village




PERSONAL DETAILS1.


Father/SpouseName


Citizenship

ResidentialStatus

OccupationType




NonResidentResident






PublicSector

Housewife Student

GovernmentSector


Others Professional

Business

NA

NotCategorised

Pleaseaf ixarecent


13

ADDRESS DETAILS2.

Line1

Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village






PAN(mandatory)

AadhaarNumber(mandatory)


23

Signature/ThumbImpressionof2 Applicantnd

Date

Place




Rs.10,00,001toRs.25,00,000



FATCA/CRS INFORMATION (tick If Applicable) Residence for Tax Purpose in Jurisdiction(s) Outside India Not Applicable6.AdditionalDetailsRequired(mandatoryonlyifaboveoption(6)isticked)CountryofJurisdictionofResidence CountryCodeofJurisdictionofResidence asperISO3166




Line2

Line3

District

State/UT

Zip/PostCodeCountry

State/UTCode

City/Town/Village




CONTACT DETAILS4.

Tel(Off)

FaxNo.

Email

Tel(Res)

Mobile


CKYCNumber



Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village




PERSONAL DETAILS1.


Father/SpouseName


Citizenship

ResidentialStatus

OccupationType




NonResidentResident






PublicSector

Housewife Student

GovernmentSector


Others Professional

Business

NA

NotCategorised

Pleaseaf ixarecent


13

ADDRESS DETAILS2.

Line1

Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village






PAN(mandatory)



23

Signature/ThumbImpressionof3 Applicantrd

Date

Place




Rs.10,00,001toRs.25,00,000







Line2

Line3

District

State/UT

Zip/PostCodeCountry

State/UTCode

City/Town/Village




CONTACT DETAILS4.

Tel(Off)

FaxNo.

Email

Tel(Res)

Mobile

PART I - APPLICATION FORM - GUARDIAN (IN CASE SOLE HOLDER IS MINOR)


CKYCNumber



Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village




PERSONAL DETAILS1.


Father/SpouseName


Citizenship

ResidentialStatus

OccupationType




NonResidentResident






PublicSector

Housewife Student

GovernmentSector


Others Professional

Business

NA

NotCategorised

Pleaseaf ixarecent


13

ADDRESS DETAILS2.

Line1

Line2

Line3

District

State/UT

Zip/PostCode

Country

State/UTCode

City/Town/Village






PAN(mandatory)



23

Signature/ThumbImpressionofGuardian

Date

Place




Rs.10,00,001toRs.25,00,000







Line2

Line3

District

State/UT

Zip/PostCodeCountry

State/UTCode

City/Town/Village




CONTACT DETAILS4.

Tel(Off)

FaxNo.

Email

Tel(Res)

Mobile

%%%

I/Wedonotwishtomakeanomination(strikeofthenominationdetailsbelow)

PART II - NOMINATION FORM

NominationDetails

I/Wewishtomakenomination(asperdetailsgivenbelow)

DATE:____________________________I/Wewishtomakeanominationanddoherebynominatethefollowingpersoninwhomallrightsand/oramountpayableinrespectofallmy/our investmentmadeinvariousAssetclassesbyIIFLAssetManagementLimitedandsecuritiesheld intheDepositorybyme/us inaccountshallvestintheeventofmy/ourdeath.I/WeauthorisethePOAholdertosubmittherelevantnominationformonmy/ourbehalfforallinvestmentmadethroughourPOAaccountheldunderCRN____________________________________withIIFLInvestmentManagers.Nominationcanbemadeuptothreenomineesintheaccount.

Detailsof1stNominee Detailsof2ndNominee Detailsof3rdNomineeNameofthenominee(s)ShareofeachNominee

RelationshipwiththeapplicantDateofBirthofNominee(s)

Anyoddlotafterdivisionshallbetransferredtothe irstnomineementionedintheform.

Note:AttachPANcopyofnominee,ifavailableIncaseNomineeisminorpleaseprovidebelowdetails:DateofBirthNameofGuardianAddressofNominee(s)

RelationshipofGuardianwithnomineeNote:AttachPANcopyofGuardian,ifavailable

Name(s)ofholder(s) Signature(s)ofholder3

33

33

3

Signature

Date

Instructionrelatedtonominationareasbelow:I. Thenominationcanbemadeonlybyindividualsholdingbene iciaryowneraccountsontheirownbehalfsinglyorjointly.Non-individuals

includingSociety,trust,bodycorporate,partnership irm,kartaofHinduUndividedFamily,holderofpowerofattorneycannotnominate.Iftheaccountisheldjointlyalljointholderswillsignthenominationform.

II.Aminorcanbenominated.Inthatevent,thenameandaddressoftheGuardianoftheminornomineeshallbeprovidedbythebene icialowner.III.Anon-residentIndiancanbeaNominee,subjecttotheexchangecontrolsinforce,fromtimetotime.IV.Nomination inrespectof thebene iciary owneraccount standsrescindeduponclosureof thebene iciaryowneraccount.Similarly, the

nominationinrespectofthesecuritiesshallstandterminatedupontransferofthesecurities.V.TransferofsecuritiesinfavourofanomineeshallbevaliddischargebytheInvestmentManageragainstthelegalheir.VI.Thecancellationof nominationcanbemadebyindividualsonlyholdingbene iciaryowneraccountstheirownbehalfsinglyorjointlybythe

samepersonswhomadetheoriginalnomination.Ifthebene iciaryowneraccountisheldjointly,alljointholderswillsignthecancellationform.VII.Oncancellationofthenomination,thenominationshallstandrescindedandtheInvestmentmanagershallnotbeunderobligationtotransfer

thesecuritiesinfavouroftheNominee.

COMMON AGREEMENTINDIVIDUAL & NON-INDIVIDUALTotal3Signatures

IIFLSpecialOpportunitiesFund-Series7

MemorandumDated:November14,2017

This Private Placement Memorandum (the ) is being prepared and“Memorandum”furnishedtoalimitednumberofprospectiveinvestorsonacon identialbasis,forthemtoconsideraninvestmentinthe‘IIFLSpecialOpportunitiesFund-Series7’(the ),a“Fund”unitschemeoftheIIFLPrivateEquityFundandmaynotbeusedforanyotherpurpose.

PotentialinvestorsshouldcarefullyreviewthisMemorandumbeforesubscribingtotheunits of the Fund. ThisMemorandummay not be reproduced or provided to otherswithoutthepriorwrittenpermissionoftheFundorInvestmentManager.Byacceptingdeliveryofthismemorandum,eachprospectiveinvestoragreestotheforegoing.

TheInformationcontainedinthisPPMmaynotbeprovidedtootherswhoarenotdirectlyconcernedwithyourdecisionregardingsuchinvestment.TheinformationcontainedinthisPPMisnotopentopubliccirculationandifthesameweretofallintothehandsofanunauthorisedPerson(asde inedherein),theoffermadeinthisPPMshallnotbevalidtothem;however,suchPersonshallbeboundbythecon identialityofthisPPM.

OffereeName:_____________________________________________________________

DocumentNo.:_____________________________________________________________

Private&Con idential(onlyforprivatecirculation)

13

SIGNATUREOFOFFEREE

Iherebycon irmandacknowledgethereceiptof

acopyofthisPPM

PRIVATEPLACEMENTMEMORANDUM

OF

ACloseEndedSchemeof

IIFLPrivateEquityFund(CategoryIIAlternativeInvestmentFund)

I.I/WehavereadandunderstoodthecontentsofthePrivatePlacementMemorandumandtheContributionAgreementtoIIFLSpecialOpportunitiesFund-Series7('theScheme')includingtheprovisionsrelatingto"AntiMoneyLaundering"andKnowYourCustomers.I/WeherebyapplytotheTrusteesoftheFundforunitsoftheSchemeasindicatedaboveandagreetoabidebythetermsandconditionsoftheScheme.I/Wehavenotreceivednorhavebeeninducedbyanyrebateorgifts,directlyorindirectly,inmakingthisinvestment.I/Wefurtherdeclarethattheamountinvestedbyme/usintheSchemeisderivedthroughlegitimatesourcesandisnotheldordesignedforthepurposeofcontraventionofanyact,rules,andregulationsoranystatuteorlegislationoranyotherapplicablelawsoranynoti ications,directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.Further,relevantdeclarationanddocumentsasmandatedhereinhavebeenprovidedforthemodeofmypayment.

ii. I/Wefurthercon irmthatI/wehavetheexpressauthorityfromtherelevantconstitutiontoinvestintheunitsoftheSchemeandtheInvestmentManager,itsTrusteeandtheFundwouldnotberesponsibleiftheinvestmentisultravirestherelevantconstitution.

iii. I/WeauthorizetheInvestmentManagertorejecttheapplication,reversetheunitscredited,restrainme/usfrommakinganyfurtherinvestmentinanyoftheScheme/softheFund,recover/debitmy/ourfolio(s)withthepenalinterestandtakeanyappropriateactionagainstme/usincasethecheque(s)/paymentinstrumentis/arereturnedunpaidbymy/ourbankforanyreasonwhatsoever.

iv.I/WeherebyfurtheragreethattheInvestmentManagercandirectlycreditallthedistributionpay-outsandredemptionamounttomy/ourbankaccount,wheretheInvestmentManagerhassucharrangementwithmy/ourBank.

v. I/WeherebyauthorisetheInvestmentManagertoprovidemy/ourinformation,asmentionedinthisapplicationformorformingpartofmy/ourFoliodetails,toRegistrarandTransferAgentorserviceprovidersengagedbyR&T,foreffectivelycarryingoutthemaintenance,storageandprocessingofunitholders'relatedactivities.

vi.I/Weherebycon irmthatjointinvestorismyspouse/parent/daughter/son(relative).

NOTE:IncaseJointInvestorisnotrelativeasde inedaboveminimumcapitalcommitmentofRs.1cr.willbeapplicableforeachjointinvestor.

FirstApplicant/Guardian/AuthorisedSignatory

SecondApplicant/AuthorisedSignatory

ThirdApplicant/AuthorisedSignatory

FundIncorporation/SetupFees_____________Upto2.00%CommitmentAmount*`ClassofUnitPaymentDetailsChequeAmount*`Cheque/RTGS/NEFTNo.AccountType(Please) Savings

Savings

PaymentfromBankA/c.No.Current

Current

Branch&City

COMMITMENT/PAYMENTDETAILS(MANDATORY)[REFERINSTRUCTIONS]

A1A2A3A4

ModeofPayment(Please)

NRE

NRE

NRO

NRO

FCNR

FCNR

RTGSMICRCode

DrawnonBankDated DDMMYYYY

BANKACCOUNTDETAILS(Mandatory)[ReferInstructions](Mandateforpay-outofdistributionproceeds)

(InWords)(InFigures)

BankNameAccountNo.BranchAddressPinCodeAccountType(Please)

Pleaseverifyandensuretheaccuracyofbankdetailsprovidedabove.TheFundshallnotbeheldresponsiblefordelaysorerrorsinprocessingyourrequestiftheinformationprovidedisincompleteorinaccurate.[*indicates-Mandatory]

IFSC/NEFT*Code

Branch/City(Pleaseprovideacancelledblankchequeofthementionedaccount)

DECLARATIONS

IIFLSpecialOpportunitiesFund-Series7ACloseEndedSchemeofIIFLPrivateEquityFund

CategoryIIAlternativeInvestmentFund

ApplicantName(Mandatory)Cheque/DD/RTGS/NEFTNo.DrawnonBank&BranchAmountRs.PleaseNote:Allallotmentsaresubjecttorealisationofpayment.Thisacknowledgmentslipisforyourreferenceonly.Informationontheformwillbeconsidered inal.

Date DDMMYYYY

SIGNATURE,STAMP&DATE

ACKNOWLEDGMENTSLIP(ForOf iceUseOnly)

PAN(Mandatory)

“VERIFIED WITH ORIGINAL” STAMP AFFIXED ON PROOFS Yes No

NameoftheEmployeeEmployeeCodeDesignationoftheemployee

Signature

Documentsveri iedwithOriginals ClientInterviewedBy In-PersonVeri icationdoneby

CONTRIBUTIONAGREEMENTFORSUBSCRIPTIONTOUNITS

OF

IIFLSPECIALOPPORTUNITIESFUNDSERIES7(ACloseendedSchemeofIIFLPrivateEquityFund,registeredwithSecuritiesandExchangeBoardofIndia

asaCategoryII–AlternativeInvestmentFundvideregistrationno.IN/AIF2/12-13/0015)

BETWEEN

IIFLASSETMANAGEMENTLTD(InvestmentManagertoIIFLSpecialOpportunitiesFund-Series7)

ANDIIFLTRUSTEELIMITED

(TrusteetoIIFL )SpecialOpportunitiesFund-Series7

AND

CONTRIBUTOR

InitialofIMInitialofTrusteeInitialofContributor(s)

CONTRIBUTIONAGREEMENT

This isexecutedonthis dayof 20_________at_____________________CONTRIBUTIONAGREEMENT(“Agreement”) __________________ _________________,byandbetween: acompanyincorporatedundertheCompaniesAct,1956havingitsregisteredof iceatIIFLCentre,IIFLAssetManagementLimited.,KamalaCitySenapatiBapatMarg,LowerParel,Mumbai 400013(hereinafterreferredtoas“ ”whichexpression- AMCorIMorInvestmentManagershallunlessitberepugnanttothecontextormeaningthereofbedeemedtoincludeitssuccessorsandpermittedassigns),oftheONEPART;ANDIIFLTrusteeLimited,acompanyincorporatedundertheCompaniesAct,1956havingitsregisteredof iceatIIFLCentre,6thFloor,KamalaCity,S.B.Marg,LowerParel,Mumbai-400013(hereinafterreferredtoas“ ”whichexpressionshallunlessitberepugnanttothecontextormeaningTrusteethereofbedeemedtoincludeitssuccessorsandpermittedassigns),oftheSECONDPART;ANDSole/FirstContributor________________________________________________________________________________

JointContributor1____________________________________________________________________________________

JointContributor2____________________________________________________________________________________

Residingat/havingitsregisteredof ice/CorrespondenceAddressat

____________________________________________________________________________________________________________________________________________________________

____________________________________________________________________________________________________________________________________________________________(hereinafterreferredtoasthe“ ”whichexpressionshallunlessitberepugnanttothecontextormeaningthereofbeContributor”/“Bene iciarydeemedtomeanandinclude,whentheContributoris(a)anindividual,hisorherheirs,executors,administratorsandpermittedassigns, apartnership irmcarryingbusinessunderthenameregistered(b) undertheIndianPartnershipAct,1932,intheircapacityaspartnersoftheaforesaid irmandalsointheirpersonalcapacity,thepartnerorpartnersforthetimebeingofthesaidpartnership,thesurvivororsurvivorsofthemandtheheirs,executorsandadministratorsofthelastsurvivor,his/her/theirpermittedassigns,(c)alimitedliabilitypartnershipregisteredundertheLimitedLiabilityPartnershipAct,2008,shallmeanandincludeitssuccessorsandpermittedassigns(d)aHUFrepresentedthroughitsKarta,andshalldeemtomeanandincludethemembersormembersforthetimebeingoftheHUFandtheirrespectiveheirs,executors,administratorsandassigns(e)acompanyincludingitssuccessorsandpermittedassignsandallmembersandtheir respective heirs, executors, administrators and permitted assigns), (f) in case of any otherentity_______________________________________________________________________(pleasespecifyi.e.Trust/Society/AOP/BOIetc.)shallmeanandincludeitssuccessorsandpermittedassigns)ofthe .THIRDPART“ ”shallmeancollectivelytheTrustee,InvestmentManagerandtheContributorand“ ”meanseachoftheTrustee,InvestmentManagerandParties PartytheContributorindividually.WHEREAS:

1. UndertheTrustDeeddatedJuly23,2012theSettlorhasappointedtheTrusteetoactasthetrusteetoIIFLPrivateEquityFundwhichisestablishedbyvirtueoftheTrustDeedto,carryontheactivityofanAlternativeInvestmentFundandtoactasaprivatelypooledinvestmentvehiclewhichshallcollectfundsfrominvestorsconsistingofnaturalaswellasarti icialpersonslikecorporates,HighNetworthIndividualsetc,whetherIndianor foreignandwill invest insecuritieswithade ined investmentpolicyfor thebene itof its investors intermsof SEBI(AlternativeInvestmentFunds)Regulations,2012asmaybeinforcefromtimetotime.TheIndentureofTrusthasbeenamendedvidetheAmendedandReinstatedIndentureofTrustdatedOctober1,2014andMarch31,2015.

2. IIFLSpecialOpportunitiesFund–Series7(the“ ”),hasbeencreatedasaschemeofIIFLPrivateEquityFundaCategoryII–AlternativeSchemeInvestmentFund.TheSettlorandTrusteehasalsoenteredintoasupplementarytrustdeedinrelationtolaunchoftheSchemei.e.IIFLSpecialOpportunitiesFund–Series7.

3. TheInvestmentManagerhas,onbehalfoftheFund,issuedthePrivatePlacementMemorandumdatedNovember14,2017(“ ”)andthePPMApplicationformwhichtheUnitholderhasreadandunderstoodandtermsofwhichareincorporatedbyreferenceinthisAgreementandhasunconditionallyagreedtomakeaContributiononthetermsandconditionsofthisAgreement,theTrustDeed,thePPMandApplicationForm.TheKeyTermsoftheOfferasmentionedinPPMandApplicationForm,whichhasbeeninteraliaagreeduponbytheUnitholder,areannexedasAnnexureI.

1. INTERPRETATION1.1 anyprovisionofthisAgreementwhichisstatedtobeapplicabletoUnitholdersasaclassofinvestorsshall,unlessthecontextotherwise

requires,alsobedeemedtobeapplicabletotheUnitholder;1.2 withoutprejudicetotheabove,wordsinthesingularshallincludewordsinthepluralandwordsinthepluralshallincludethesingular;1.3 theheadingsandsub-headingsareinsertedonlyforreferencetotheprovisionsandshallnotaffecttheconstructionofsuchprovisions;1.4 referencestoclauses,parties,schedulesandannexurerefertoclauses,parties,schedulesandannexuretothisAgreement;1.5 referencestoanystatutoryprovisionsshallbeconstruedasreferencestothoseprovisionsasmodi iedorre-enactedfromtimetotime

(whetherbeforeorafter thedateof thisAgreement) andtoany subordinate legislationmadeundersuchprovisionsandshall includereferencestoanyrepealedstatutoryprovisionwhichhasbeensore-enacted(whetherwithorwithoutmodi ication);andthePartiesshallbeboundbythetermsandconditionslaidoutinthePPMinsofarastheyareapplicabletothisAgreementandarenotrepugnanttoanyoftheprovisionscontainedinthisAgreement.

1.6 Capitalisedandotherde inedtermsusedandnotexpresslyde inedhereinshallhavethesamemeaningasareassignedtosuchtermsinthePPMandtheTrustDeed.



AgreementorContributionAgreement

meanstheagreementexecutedamongsteachContributoraswellastheTrusteeand/ortheInvestmentManagertoregulatetheacceptanceanddisbursalofCapitalContributionstotheFundandtheincomethereon.The Contribution Agreementwill also includewithin its de inition agreement signed by the investor towards Co-investmentunits(i.e.theCo-InvestmentContributionAgreement).ThesearethefeesandexpensesforoperatingtheScheme.AnnualScheme

RecurringExpensesAssociate meansacompanyoralimitedliabilitypartnershiporabodycorporateinwhichadirectorortrusteeorpartneror

SponsororInvestmentManageroftheAlternativeInvestmentFundoradirectororpartneroftheInvestmentManagerorSponsorholds,eitherindividuallyorcollectively,morethan ifteenpercentofitspaid-upequitysharecapitalorpartnershipinterest,asthecasemaybe.

BusinessDay meansadayotherthanaSaturdayoraSundayoradayonwhichbanksorstockexchangesinMumbaiareauthorizedorrequiredbyApplicableLawstoremainclosed,andsuchotherdaysastheInvestmentManagermayspecifyfromtimetotime.

Bene icialInterest meanstheproportionateinterestorshareofeachBene iciaryinthedistributionsoftheFund,calculatedonbasisofUnits/AUMheldbyeachsuchBene iciaryintheFundinproportiontototalUnits/AUMissuedbytheFund.

Bene iciaries meanstheContributorsoftheFundCapitalCommitment meanstheaggregateamountorcommitmentreceivedbytheFundfromtheContributors.CapitalContribution meansamountofCapitalthathasbeendrawndownandreceivedbytheFundfromContributors.ClassAUnits meansunitsofferedbytheFundandsubscribedbyInvestors(solelyorinassociationwithothersincludingitsrelatives

/trust/company).ClassAunitsfurtherclassi iedintotypeClassA1,ClassA2,ClassA3andClassA4basedonamountofCapitalCommitment.

Contributorand/orInvestor

means thePersons signatory totheContributionAgreementsandallotherPersons,whomakeoragree tomakecontributionstotheFundinaccordancewiththeContributionAgreementsandthisMemorandum.ContributorcanonlybeanyPersonwhoispermittedtoinvestintheUnitsunderApplicableLaws.

Co-Sponsor IIFLWealthManagementLimited;IIFLWealthFinanceLimitedNAV MeansNetAssetValueperunitoftheSchemecalculatedinthemannerdescribedinthePPMorasmaybeprescribedby

theSEBIRegulationsfromtimetotime.NetCapitalContribution

CapitalContributionminustheFundIncorporationexpensechargedbytheFund.

Regulations/SEBIRegulations

MeansSEBI(AlternativeInvestmentFunds)Regulations,2012,asamendedfromtimetotimeincludinganycirculars,directionsorclari icationsissuedbySEBIoranyGovernmentauthorityandasapplicabletotheSchemeandtheFund.

Settlor/Sponsor IIFLHoldingsLimitedTrust Means'IIFLPrivateEquityFund',theirrevocable,non-discretionary,determinateandspeci ictrustdeclaredbythe

IndentureofTrustdatedJuly23,2012underIndiantrustsActandregisteredasCategoryII-AlternativeInvestmentFundunderRegulations.TheIndentureofTrusthasbeenamendedvidetheAmendedandReinstatedIndentureofTrustdatedOctober1,2014andMarch31,2015.

Trustee IIFLTrusteeLimitedUnit ClassofunitswhichmaybeissuedbytheFundundervariousClassoftheFund,eachofwhichrepresentsthebene icial

interestoftheUnitholderintheFundAssets.UnitHolder MeansaContributorwhoisregisteredholderforthetimebeing,ofaunitofaschemeoftheFund/Trust.

2.CONTRIBUTIONANDRETURNSONCONTRIBUTION2.1(a)TheContributorcommitstoinvestanamountofRs._______________________(Rupees_____________________________________________

only),aspertermsandconditionsamentionedinthePPMandtheApplicationForm(thekeytermsofwhichareannexedasAnnexureI).

(b)TheContributorherebyagreestocontributeanamountofRs._____________________________(Rupees__________________________________________________________________________________________),beingthe irstdrawndownamount(i.e.%ofthecommittedamount).

2.2TheContributoragreestocontributetheamountattimeofeachdrawdown,asintimatedbytheInvestmentManager.2.3UponreceiptoftheContributionsfromtheContributors,theInvestmentManagershallatitsdiscretionallottheunits.2.4 On execution of this Agreement, the details of the Unitholder will be entered into the Register of Unit holders /

Bene iciaries,whichshallbemaintainedandupdatedbytheInvestmentManager.2.5 AllpaymentsmadetotheFundshallbywayofpaymentinstrumentsinthenameoftheFund,orbywiretransfertothe

designatedbankaccountoftheFundorthroughanyotherlegalandpermissiblebankingchannelsasmaybeagreedbytheUnitholderandIM.

ClassBUnits

ClassSUnits

Class(Co-investment)Units

meansUnitsofferedbytheFundandsubscribedbyIIFLGrouporsuchotherpersonsasnominatedbySponsor/Co-Sponsorinvolvedinmanagement,distributionoradvisetotheFund.means Units offered by the Fund and subscribed by Sponsor, Investment Manager, IIFL Group Companies andEmployeesofIIFLGroupmeansaContributorwhohasbeenprovidedanopportunitybytheInvestmentManagertoinvestintheCo-investUnits*.TheFundmayissueadditionalclassesofUnitstoContributorswhohaveco-invested.TheCo-investUnitsshallbeissuedindifferentseriesrepresentinginterestinaparticularportfolioinvestment.*ClassSUnitholdersshallbeeligible(irrespectiveofinvestmentamount)toinvestunderClassCo-investment,uptotheCommitmentmadeinClassS.


IIFLSpecialOpportunitiesFund-Series7,

thatthefundmayborroworengageleverageformeetingtemporaryfundingrequirementsormayengageinhedgingintermsofRegulation17ofSEBI(AlternativeInvestmentFunds)Regulations,2012andnoseparateapprovalwillbetakenfromtheContributoratthetimeofeveryeventofborrowing,leveragingorhedging.

KEYTERMSOFTHEOFFER(ANNEXUREI)

Particulars InvestmentObjective

InvestmentStrategy

MinimumCommitment(solelyorinassociationwithothersincludingitsrelatives/trust/company).

FundIncorporationExpenses(setupfees)

AnnualSchemeRecurringExpensesincludingManagementExpense(ASRE)

I.ManagementExpense

TheobjectiveoftheFundistogeneratelongtermcapitalappreciationforinvestorsbyprimarilyinvestinginaportfolioofequityandequityrelatedsecuritiesofcompanieswhichareinthePre-IPOstageorhavelaunchedIPO.Thefundwouldbeachievingitsobjectivebyinvestinginthefollowingopportunities:Pre-IPO–ThefundwouldbeinvestingintounlistedcompaniesinthePre-IPOstage.ThesewouldbethosecompanieswhichareinthepipelineforIPOandwouldbelistinginthecomingmonths.IPOthroughQIBroute–ThefundduetoitsnaturewouldbeabletoinvestinIPOsthroughtheQIBroutetherebyincreasingtheyieldonthecapitalduringtimesofover-subscription.TheFundshallalsoinvestinspecialcorporateeventslikeQIP,Preferentialallotment,FPO,OpenOffer,BuyBackandMergers.TheFundshallinvestinIPOsharespostlistingifavailableatattractivevaluation.IntermsofSEBI(AIF)Regulations,theFundshallinvestprimarilyinunlistedinvesteecompanies.However,atthetimeofbuildinguptheportfolio(afterthe inalclosingoftheFund)andtowardstheendofthematurityoftheFund,theportfoliomayhavehigherallocationtocashandcashequivalentinstrumentsandlistedsecuritiesforliquiditypurpose.TheFundManagerreservestherighttoinvestinListedSecuritiesorsuchotherinstruments/securities,aspermittedbySEBI,fromtimetotime,andwithinthelimitsprescribedunderapplicablelaws.

Up to 2.00% Up to 1.75% Upto1.50% Upto1.00% Upto2.00% Nil

ClassA1ClassA2ClassA3ClassA4ClassCo-Investment*ClassBClass S Upto0.10%

ClassUnits%ofdailynetassets(perannum)

TheManagementExpensewillbepayabletoInvestmentManageronquarterlybasis.*ClassA4Unitholders investing inClassCo-investment, shallbechargedupto1.75%p.a.ofdailynetassetsasManagementExpense.II.ADMINISTRATIONEXPENSESNotexceeding0.15%perannumondailynetassets.OtherexpensesmaybedebitedtotheFund,asdetailedinPPM.TheManagementExpenseandAdministrationExpensewillbeaccruedondailyNetAssets.TheInvestmentManagerwillchargeitsmanagementexpenseandreimbursementofadministrationexpenses,onquarterlybasisorsuchotherperiodicity at the discretion of Investment Manager. The management expense shall be exclusive of GST andAdministrationexpensesmentionedaboveisinclusiveofGST.TheDistributionFees(formingpartofManagementExpense)maybechargedupfronttotheScheme,dulyamortisedovertheperioddeterminedbytheInvestmentManagerIntheeventInvestmentManagermakesDistributiontoinvestors,theunamortisedpre-paidexpensesattributabletotheAUMbeingdistributedwillbedeductedfromthedistribution. ForExample,withAUMofRs.1000Crore,theFundisdistributingRs.200Crore,constituting20%of AUM.On the date of distribution, the Scheme has prepaid expense of Rs.5 crore to be amortized over the remaining tenure of the Scheme, considering there is no distribution of AUM. As the AUM of the scheme will fall on account of distribution, the Scheme will not be able to amortize the proportionate pre-paid expenses (i.e. Rs. 1 Crore, calculated as 20% of 5 crore) and accordingly the said un-amortized expense will be deducted from the distribution amount

27

Share class %ofAggregateCapitalCommitmentClassA1 Upto2.00%ClassA2 Upto2.00%ClassA3 Upto2.00%ClassA4 Upto2.00%ClassCo-Investment Upto2.00%

The Fund Incorporation expenses shall be chargeable at the discretion of the InvestmentmanagershallandbeexclusiveofGST.

SHARECLASSClassA1ClassA2ClassA3ClassA4

Rs.1Crore&multiplesofRs.1lakhRs.5Crore&multiplesofRs.1lakhRs.15Crore&multipleofRs.1lakhRs.20Crore&multipleofRs.1lakh

MINIMUM COMMITMENT (Amt. in Rs.)

ClassCo-Investment*AsofferedbyInvestmentManagerClassSAsperregulatoryrequirement

*ClassSshallbeeligible(irrespectiveofinvestmentamount)toinvestunderClassCo-investment,uptotheCommitmentmadeinClassS.

ForClassA(A1,A2,A3andA4),ClassCo-investmentandClassBunitholders:Firstly,100%toallholdersofClassA(A1,A2,A3andA4)units,ClassCo-investmentandClassBunits,proratainproportiontounitsheld,untileachofthemhasreceived(aftertakingintoaccountalldistributionsmadetoallsuchUnitholders),anamountequalto100%oftheirrespectivenetcapitalContribution;Secondly,100%toallholdersofClassA(A1,A2,A3andA4)units,ClassCo-investmentandClassBunits,proratainproportiontounitsheld,untileachholderhasreceivedanamountequaltothePreferredHurdleRate.Thereafter,asfollows;ForClassA1distributioni. 10%toholdersofClassBunits(withoutcatchup);ii. 90%toholdersofClassA1units(withoutcatchup).

ForClassA2distributioni. 10%toholdersofClassBunits(withoutcatchup);ii. 90%toholdersofClassA2units(withoutcatchup).



ForClassCo-investmenti. 0%toholdersofClassBunits;ii. 100%toholdersofClassCo-Investmentunits;

ForClassSdistributioni. 0%toholdersofClassBunits;ii. 100%toholdersofClassSunits;

TheNetDistributableSurplustotheSponsor/InvestmentManagerisequaltothe'continuinginterest'totheextentrequired by the Regulations shall be retained by the Fund and distributed to Sponsor/InvestmentManager inproportiontounitsheld,attheendofthetermofFundorredemption(whicheverisearlier),oratsuchothertimeasmaybeprescribedbytheRegulationsorasmaybeclari iedbySEBIfromtimetotime.Itisclari iedthatanyincomeorreturnsfromthe'continuinginterest'shallaccruetotheaccountoftheSponsor/InvestmentManagerasandwhenthey accrue to the Fund. Any amount higher than the 'continuing interest' shall be distributed to theSponsor/InvestmentManager.Forthesakeofclarity,thedistributionwaterfallasmentionedaboveisonlyforthepurposeoflayingdownthepriorityandmannerofdistributionofNetDistributableProceedstotheContributorsanddoesnotlaydownthemannerinwhichsuchNetDistributableProceedswillbetaxedoraccountedinthehandsoftheFundorContributors.Further,thedistributionofNetDistributableProceedsbytheFundmaybeintheformofdistributiononUnitsatthediscretionoftheInvestmentManager.Further, thedistributionofDistributionProceedsbytheFundmaybe intheformofdistributiononunitsorthroughredemptionofUnitsoracombinationthereof,providedthatthebene icialinterestoftheBene iciariesintheTrustshallremainunchanged.Alltaxes,dutiesandothercharges/levies,ifany,payableinconnectionwiththeincome/gainsfromPortfolioInvestmentsequaltoeachContributor'srespectiveholdingofUnitsshallbepaidbytheInvestmentManagerinconsultationwiththeInvestmentManagerandshallnotbetakenintoaccountwhilecalculating'DistributionWaterfall'assetoutabove.Anysuchtaxes/duties/charges/

28

Tenure

PreferredHurdleRate[forClassA1,A2,A3,A4]

DistributionWaterfall(Post-taxpostexpenseswithout

catchup)

Upto42monthsfrom inalclosingdate;whichcanbeextendedfordurationof12monthssubjecttoapprovaloftwo-thirdsoftheunitholdersbyvalueoftheirinvestmentintheAlternativeInvestmentFund.AfterdistributionofanamountequaltothenetCapitalContribution,aContributorisentitledtoreceivefromthebalanceofDistributableSurplusanamountequaltoapost-taxpostexpensesinternalrateofreturnof10%perannum(onCAGRbasis)ontheirnetCapitalContribution/s.Itisclari iedthatthisisanentitlementfordistributionpurposesonly.ThisisnotanentitlementtoanyabsoluteorguaranteedamountandisnotapplicableincasetheDistributableSurplusamountsareinsuf icienttocoverthesame.

TheDistributable Surplusmaybedistributed to the Unit holders in termsof thisPPMuponmaturity orredemptionwhicheverisearlier.TheInvestmentManagermay,initssolediscretion,makeDistributionsafterpaymentof,ormakingaprovisionforanyunpaidDebt,unamortised prepaid expenses attributable to AUM being distributed,interest,taxes,estimatedtaxes,allcostsandexpensesincludingFundExpensesandthecostsofwindingupinthefollowingorder:

Target Size Rs.3000Crore.

Capital Structure

DefaultingContributors

leviessufferedaswithholdingtaxorpaidbytheTrusteeequaltoeachContributor'srespectiveholdingofUnitsintheFundshallbedeemedtoformpartof‘DistributionWaterfall'undertherespectiveclauseasprovidedhereinabovetosuchContributorasondatewhensuchtaxes/duties/charges/leviesaredeductedorpaid,asthecasemaybe.SubjecttotheprovisionsoftheRegulations,theTrusteemay,inconsultationwiththeInvestmentManageranduponthewrittenconsentoftheSuper-MajorityoftheContributorsoftheFund,atanytimeduringthetermoftheFundmakeinspeciedistributionsof theassetsof theFundonsuchtermsandconditionsas theInvestmentManagermaydeemappropriateandinthemanneraslaiddownabove.Distributionsofunlistedsecurities,ifany,willbemadeinthesamemannerandpriorityasiftheNetDistributableProceedswereequivalenttothefairmarketvaluethatisatthemarketvalueofthatdistributionascomputedbyindependentvaluersatthetimeofthedistribution.DistributionsoflistedsecuritieswillbemadeinthesamemannerandpriorityasiftheNetDistributableProceedswereequivalenttothefairmarketvalue(whichwillbedeterminedattheclosingpriceofsuchsecuritiesonarecognizedstockexchangeonthedateofdistributionofsuchsecurities).TheInvestmentManagerwillmakebesteffortstoliquidatethePortfolioInvestmentsuponterminationoftheFund(asapplicable).IftheInvestmentManagerisunabletoliquidatealloftheinvestmentsandrealizecashproceedsoutofsuchdisposition,theInvestmentManagermaydistributeallun-liquidatedinvestmentsinspecieamongsttheContributors inthemannerstatedaboveandonsuchtermsandconditions,astheInvestmentManagermay,initssolediscretiondeemappropriate.

TheFundshallissueClassA1,ClassA2,ClassA3,ClassA4,ClassCo-investment&ClassSwithafacevalueofRs.10/-each.Unitsevidencingbene icialinterestintheFundshallbeissuedbytheTrustee/InvestmentManageronthemakingofaCapitalContributionandincludesafractionofaunitevidencingbene icialinterestintheCapitalContributionofavaluelessthanthefacevalueoftherespectiveclassofunits.TheInvestmentManager/Trusteemayalsoissuefurtherclassesofunits,ifrequiredforanyreason,onspeci icterms.AnyContributor failing topayanyinstallmentofCapitalContributiononDrawdownDate,at thediscretionof theInvestmentManagerortheTrustee,maybedeclaredasa .Asaconsequenceofsuchdefault,"DefaultingContributor"the InvestmentManageror theTrusteemay in itsdiscretion takeanyor all of the followingactions to theextentpermissibleunderlawinrespectofDefaultingContributors.1.DefaultingContributorshallbeliabletopaytheoverdueamountwithoverdueinterestthereoncalculatedatarateof

1.5%permonthorsuchrateasdeterminedbytheInvestmentManagercalculatedfromtheduedate/extendedduedateofDrawdownuntilpaymentand/orrealization.

2. If the default continues for aperiodofmorethan30(thirty)daysbeyondtheDrawdownDate,theInvestmentManagermay,atitsdiscretionatanytime,bywrittennoticetotheContributoradditionallyexerciseall/anyofthefollowingrights:

(i) theInvestmentManagermaycanceltherightoftheDefaultingContributortomakefurtherCapitalContributionsand/or

(a)adjustanamountequalupto20%(twentypercent)oftheunpaidCommittedAmount/s('DefaultInterest')oftheDefaultingContributor(whichamounttheDefaultingContributoragreesisagenuinepre-estimateoflosswhichtheFundwillsuffer)againsttheamountpaid-upontheUnitsheldbytheDefaultingContributor;

(b)thesaidadjustmentofDefaultInterestwillbedonebycancellationofproportionateunitsheldbytheDefaultingContributororbyadjustingthesameagainstanydistributionmadetosuchdefaultingdistributor.

(c)after30daysofduedateofdrawdownifthedefaultingcontributor'stotalcapitalcontributionislessthanRs.1Crore,theInvestmentManagershall, interalia,adjustanamountequalupto20%ofthedefaultedamount('DefaultInterest') andaftermaking the saidadjustmentwill refund thebalanceamount to thedefaulting contributor,therebyrevokingtheInvestor'sinterestintheFund.

(ii) theInvestmentManagermaynotmakeanyfurtherDistributiontotheDefaultingContributoruntilthedefaultisremediedbypaymentorbyadjustmentandadjustthesameagainsttheoverdueinterest;

(iii)additionally,theInvestmentManagermaytakeanyotherenforcementactionagainsttheDefaultingContributorasitmaydeemnecessary(includingforfeitureofunits).

TheDefaultingContributorshallbeliabletopaytotheInvestmentManagerallcostsandexpensesincurredbyitinpursuinganyremediesagainsttheDefaultingContributorincludinginrecoveryoftheoverdueamountandinterestfromtheDefaultingContributor.At the discretion of the Trustee or the Investment Manager, a Contributor may also be designated a DefaultingContributorandbesubjecttotheaforesaidconsequencesiftheContributorcommitsamaterialbreachofitsobligationstotheFundundertheContributionAgreementotherthantheobligationtopayCapitalCommitmentascalledundertheDrawdownNotice,ifthebreachremainsun-remediedfor30(thirty)daysafternoticeofthebreachhasbeengivenbytheFundtotheContributorinbreach.InthecaseofadefaultonaccountofmaterialbreachbytheContributorofitsobligations,theFundmayalsoserveanoticeonthatContributorrequiringsuchmeasuresastheFundmaydetermine.

29

OfferPrice

AtfacevalueuntiltheInitialClosingDate&atapplicableNAVforunitssubscribedattimeofsubsequentclosings,ifanyandforunitsallottedagainstdrawdownamount.

PART I - APPLICATION FORM - FOR NON - INDIVIDUAL

GROSS ANNUAL INCOME5.a)IncomeRangeperannum

Rs.10,00,001toRs.25,00,000

b)NetworthRs._____________ason D DMM Y Y Y YRs.25,00,001toRs.1,00,00,000

BelowRs.1,00,000 Rs.1,00,001toRs.5,00,000 Rs.5,00,001toRs.10,00,000

MorethanRs.1,00,00,000

(Networthshouldnotbeolderthanoneyear)

DateofIncorporation

1. IDENTITY DETAILS

PAN(mandatory)

NameofApplicant(pleasewritecompletenameasperCerti icateofIncorporation/Registration;leavingoneboxblankbetween2words.PleasedonotabbreviatetheName).

PlaceofIncorporation

RegistrationNo.(e.g.CIN)

Status PrivateLimitedCompanyPleasetick(anyone)

Trust/Charities/NGOBankBOI

PublicLimitedCompanyFPI________________________GovernmentBodySociety

BodyCorporateHUFNon-GovernmentOrganizationNPO

Partnership/LLPAOPDefenseEstablishmentOther__________________________(Pleasespecify)

CONTACT DETAILS3.

Tel(Off)

FaxNo.

Email

Tel(Res)

Mobile

(SelfattestedcopyofPAN)

DateofCommencementofBusiness

ADDRESS DETAILS2.

CorrespondenceAddress

City/Town

State

RegisteredAddress

(Ifdifferentfromabove)

City/Town

State

ProofofaddresstobeprovidedbyApplicant.(Pleasesubmitselfcerti iedcopyofANYONEofthefollowingvaliddocuments)

PINCode

Country

PINCode

Country

DocumentNo.________________________________________________

IssuingAuthority____________________________________________

DateofIssue

Validity/Expirydateofproofofaddresssubmitted

PlaceofIssue______________________________________

LatestTelephoneBill(onlyLandLine)

ElectricityBill LatestBankA/cStatement/Passbook

RegisteredLease/SaleAgreementofOf icePremises

Anyotherproofofaddressdocument(aslistedinadditionaldocumentspage)______________________________________________(Notmorethan3Monthsold.)

4. GST REGISTERED GOODS AND SERVICES TAX ( ) Yes No

GSTIN GSTNo(if Registered)Note:Proofof registrationisrequiredifselectedYes.GSTTheGoodsandServiceTaxNumber(GSTN)iscorrectandIIFLAMCwillnotberesponsibleforveri icationofGSTNIftheGSTNnotprovided,itwillbeconsideredasunregisteredandwillbeunabletoclaimtheinputtaxcreditonthefeesandchargespaid.

(AadhaarcardismandatoryforalltheAuthorisedSignatories/Partners/DesignatedPartners/Trustees/Membersoftheentityholdingaccountwithus)

33

I/Wewishtoreceivethefundrelateddocumentandcommunicationviaphysicalinlieuofe-maildocument(s)[Please ]Emailwouldbethedefaultmodeofcommunication,incasetheaboveoptionisnotticked

34

6. OCCUPATION DETAILS

Business-NatureofBusiness_________________________________________________________ Others-PleaseSpecify______________________________________

Pleasetick.ofapplicable,foranyofyourAuthorisedSignatories/Promoters/Partners/Karta/Trustees/WholeTimeDirectors.

PoliticallyExposedPerson(PEP) RelatedtoPoliticallyExposedPerson(RPEP) NA

7. OTHER DETAILS (Please see guidelines)

1.Name/PAN/DIN/UID,residentialaddressandphotographsofPromoters/Partners/Karta/Trustees/WholeTimeDirectors/AuthorisedSignatories(PleaseuseAnnexureto illindetails)

2.a)DINofWholeTimeDirectors:(PleaseuseAnnexureto illindetails)b)AadhaarnumberofPromoter/Partners/Karta:(PleaseuseAnnexureto illindetails)

8.

I/WeherebydeclarethatthedetailsfurnishedabovearetrueandcorrecttothebestofmyknowledgeandbeliefandI/Weundertaketoinformyouofanychangestherein,immediately.Incaseanyoftheaboveinformationisfoundtobefalseoruntrueormisleadingormisrepresenting,I/Weam/areawarethatI/Wemaybeheldliableforit.I/WeherebydeclarethatI/Weam/arenotmakingthisapplicationforthepurposeofcontraventionofanyAct.Rules,Regulationsoranystatuteoflegislationoranynotifications/directionsissuedbyanygovernmentalorstatutoryauthorityfromtimetotime.I/Weherebyauthoriseyoutokindlyupdate/modifyKRA/CKYCbasisthedocumentssubmittedandalsotoupdatetheaccountdetailsbasisanychangesdoneonKRA/CKYC.I/Weherebyprovidemy/ourconsentinaccordancewithAadhaarAct,2016andregulationsmadethereunder,for(i)collecting,storingandusage(ii)validating/authenticatingand(ii )updatingmy/ourAadhaarnumber(s)inaccordancewiththeAadhaarAct,2016(andregulationsimadethereunder)andPMLA.I/WeherebyconsenttoreceivinginformationfromCentralKYCRegistrythroughSMS/Emailontheaboveregisterednumber/emailaddress.

36

FATCA-CRS Declaration & Supplementary KYC Information - Declaration Form for Non-IndividualPlease seek appropriate advice from your professional tax professional on your tax residency and related FATCA & CRS guidance

PANNameAddressType[forKYCaddress]PlaceforIncorporation

Istheentityinvolvedin/providinganyofthefollowingservices:

GrossAnnualIncomeDetailsinINR

Residential Business Residential/Business RegisteredOf ices

CountryforIncorporation

Below1Lakh1-5Lacs5-10Lacs10-25Lacs25Lacs1cr>1Crore

NetworthinINRinLacsNetworthasof dd/mm/yyyy

[Pleasespecify][ifapplicable]

Anyotherinformation

ForeignExchange/MoneyChangerServicesGaming/Gambling/LotteryServices[e.g.casinos,bettingsyndicates]MoneyLaundering/Pawning

Isyour[Entity]CountryofTaxResidencyotherthanIndia-YesNoIf‘Yes’pleasespecifythedetailsofallcountrieswhereyou[Entity]holdtaxResidencyanditsTaxIdenti icationNumber&type

Sr.No. CountryofTaxResidency

123

Identi icationType[TINorotherpleasespecify]

IncasetheEntity’sCountryofIncorporation/TaxResidenceisUSbutEntityisnotaSpeci iedUSPerson,mentionEntity’sexemptioncodehere______________________(ReferInstructions)

PART - A

Part B [to be filled By Financial Instructions or Direct Reporting NFFEs]GIIN(GlobalIntermediaryIdenti icationNumber):

Nameofthesponsoringentity

GIINnotavailable[tickanyone]:AppliedForNotrequiredtoapplyfor-specifysub-categorycodeNotobtained-Non-participatingFFI

WeareaFinancialInstitution/FFI[referinstructionsa.]

DirectReportingNFFE[referinstructionsb.]

[Fill any one as applicable - to be filled by NFEs other than Direct Reporting NFFEs]1

2

3

4

Istheentityisalistedcompany[whosesharesareregularlytradedonarecognizedstockexchange[referinstructionsd.]Istheentitya‘RelatedEntity’ofalistedcompany[whosesharesareregularlytradeonarecognizedstockexchange][referinstructionse.]IstheentityanActiveNFE?

IstheentityaPassiveNFE:[referinstructionsh.]

Yes(PleasespecifythenameoftheStockExchange(s)whereitistradedregularly)

1.____________________________________________________________

2.____________________________________________________________

Yes(Pleasespecifythenameofthelistedcompany,nameoftheStockExchange(s)whereitistradedregularly)Nameofthelistedcompany:_____________________________________________

NameoftheStockExchange:_____________________________________________

YesNatureofbusiness_________________________________________________

Pleasespecifysub-categoryofActiveNFE:[referinstructionsg.]

YesNatureofbusiness_________________________________________________

AlsosubmitUBOForm[providedseparately]

Instruction for FATCA & CRS Declaration

GovernmentalEntity,InternationalOrganizationorCentralBankTreatyQuali iedRetirementFund;aBroadParticipationRetirementFund;aNarrowParticipationRetirementFund;oraPensionFundofaGovernmentalEntity,InternationalOrganizationorCentralBank

Code01

02

0405060708091011121314

Sub-category

Non-publicfundofthearmedforces,anemployees'stateinsurancefund,agratuityfundoraprovidentfundEntityisanIndianFIsolelybecauseitisaninvestmententityQuali iedcreditcardissuerInvestmentAdvisorsandInvestmentManagersExemptcollectiveinvestmentvehicleTrusteeofanIndianTrustFIwithalocalclientbaseNon-registeringlocalbanksFFIwithonlyLow-ValueAccountsSponsoredinvestmententityandcontrolledforeigncorporationSponsored,CloselyHeldInvestmentVehicleOwnerDocumentedFFI

01

02

03

04

05

06

07

a.FinancialInstitution/ForeignFinancialInstitution[FFI]–Meansanynon-US inancialinstitutionsthatisa–(1)Depositoryinstitution–acceptsdepositsintheordinarycourseofbankingorsimilarbusiness;(2)Custodianinstitution-asasubstantialportionofitsbusiness,hold inancialassetsfortheaccountsofothers;(3)Investmententity–conductsabusinessoroperatesfororonbehalfofacustomerforanyoftheactivitiesliketrading inmoneymarket instruments, foreignexchange, foreigncurrency, etc.or individualorcollectiveportfoliomanagementor investing,administeringormanagingfunds,moneyor inancialassetsonbehalfofotherpersons;oranentitymanagedbythistypeofentity;or(4)Insurancecompany–entityissuinginsuranceproductsi.e.lifeinsurance;(5)HoldingorTreasurycompany–entitythatispartofanexpandedaf iliategroupthatincludesadepository,custodian,speci iedinsurancecompanyorinvestmententity

b.DirectReportingNFFE–aNFFEthatelectstoreportinformationaboutitsdirectorindirectsubstantialU.S.ownerstotheIRSc.GIINnotrequiredcategory:

d.ListedCompany-Acompanyispubliclytradedifitsstockareregularlytradedononeormoreestablishedsecuritiesmarkets(Establishedsecuritiesmarketmeansanexchangethatisof iciallyrecognizedandsupervisedbyagovernmentalauthorityinwhichthesecuritiesmarketislocatedandthathasameaningfulannualvalueofsharestradedontheexchange)

e.RelatedEntity-anentityisa“RelatedEntity”ofanotherentityifonecontrolstheother,orthetwoentitiesareundercommoncontrol(wherecontrolmeansdirectorindirectownershipofmorethan50%ofthevoteorvalueinanentity)

f.Non- inancialforeignentity[NFFE]–Non-USentitythatisnota inancialinstitution[includingaterritoryNFFE].FollowingNFFEsareexcludedfromFATCAreporting–(a)Publiclytradedcorporation/listedcompanies;(b)RelatedEntityofalistedcompany;and(c)ActiveNFFEg.ActiveNFFE–Anyoneofthefollowing–

Lessthan50%oftheNFE’sgrossincomefortheprecedingcalendaryearorotherappropriatereportingperiodispassiveincomeand<50%oftheassetsheldbyNFEareassetsthatproduceorareheldfortheproductionofpassiveincomeTheNFEisaGovernmentalEntity,anInternationalOrganization,aCentralBank,oranentitywhollyownedbyoneormoreoftheforegoing;

SubstantiallyalloftheactivitiesoftheNFEconsistofholding(inwholeorinpart)theoutstandingstockof,orproviding inancingandservicesto,oneormoresubsidiariesthatengageintradesorbusinessesotherthanthebusinessofaFinancialInstitution,exceptthatanentityshallnotqualifyforNFEstatusiftheentityfunctions(orholdsitselfout)asaninvestmentfund,suchasaprivateequityfund,venturecapitalfund,leveragedbuyoutfund,oranyinvestmentvehiclewhosepurposeistoacquireorfundcompaniesandthenholdinterestsinthosecompaniesascapitalassetsforinvestmentpurposes;

TheNFEisnotyetoperatingabusinessandhasnoprioroperatinghistory,butisinvestingcapitalintoassetswiththeintenttooperateabusinessotherthanthatofaFinancialInstitution,providedthattheNFEshallnotqualifyforthisexceptionafterthedatethatis24monthsafterthedateoftheinitialorganizationoftheNFE;TheNFEwasnotaFinancialInstitutioninthepast iveyears,andisintheprocessofliquidatingitsassetsorisreorganizingwiththeintenttocontinueorrecommenceoperationsinabusinessotherthanthatofaFinancialInstitution;TheNFEprimarilyengagesin inancingandhedgingtransactionswith,orfor,RelatedEntitiesthatarenotFinancialInstitutions,anddoesnotprovide inancingorhedgingservicestoanyEntitythatisnotaRelatedEntity,providedthatthegroupofanysuchRelatedEntitiesisprimarilyengagedinabusinessotherthanthatofaFinancialInstitution;AnyNFEisa'nonforpro it'organizationwhichmeetsallofthefollowingrequirements: Itisestablishedandoperatedinitsjurisdictionofresidenceexclusivelyforreligious,charitable,scienti ic,artistic,cultural,athletic,or

educationalpurposes;oritisestablishedandoperatedinitsjurisdictionofresidenceanditisaprofessionalorganization,businessleague,chamberofcommerce,labourorganization,agriculturalorhorticulturalorganization,civicleagueoranorganizationoperatedexclusivelyforthepromotionofsocialwelfare;

ItisexemptfromincometaxinIndia; Ithasnoshareholdersormemberswhohaveaproprietaryorbene icialinterestinitsincomeorassets;

Code Sub-Category

03

39

TheapplicablelawsoftheNFE'sjurisdictionofresidenceortheNFE'sformationdocumentsdonotpermitanyincomeorassetsoftheNFEtobedistributedto,orappliedforthebene itof,aprivatepersonornon-charitableEntityotherthanpursuanttotheconductoftheNFE'scharitableactivities,oraspaymentofreasonablecompensationforservicesrendered,oraspaymentrepresentingthefairmarketvalueofpropertywhichtheNFEhaspurchased;and

TheapplicablelawsoftheNFE'sjurisdictionofresidenceortheNFE'sformationdocumentsrequirethat,upontheNFE'sliquidationordissolution,allofitsassetsbedistributedtoagovernmentalentityorothernon-pro itorganization,orescheattothegovernmentoftheNFE'sjurisdictionofresidenceoranypoliticalsubdivisionthereof.

h.Passive NFE-meansanyNFEthatisnot(i)anActiveNFFEorlisted/publiclytradedentityorentityrelatedtothelisted/publiclytradedentity,or(ii)awithholdingforeignpartnershiporwithholdingforeigntrustpursuanttorelevantU.S.TreasuryRegulationsor(iii)thegrossincomeofwhich isprimarily attributableto investing, reinvesting, or trading in inancial assets, if theentity ismanagedbyanotherentity that is adepositoryinstitution,acustodialinstitution,aspeci iedinsurancecompany,oraninvestmententity-(Note:ForeignpersonshavingcontrollinginterestinapassiveNFEareliabletobereportedfortaxinformationcompliancepurposes)

i. PassiveIncome–portionofgrossincomethatconsistsofdividends,interest,rentsandloyalties(otherthanrentsandloyaltiesderivedintheactiveconductofatradeorbusinessconducted,atleastinpart,byemployeesoftheNFFE),incomeequivalenttointerest/amountreceivedfrompoolofinsurancecontracts,annuities,excessofgainsoverlossesfromthesaleorexchangeofproperty/fromtransactions(includingfutures,forwardsorsimilartransactions)inanycommoditiesbutnotincluding(i)anycommodityhedgingtransaction,determinedbytreatingtheentityasacontrolledforeigncorporationor(ii)activebusinessgainsorlossesfromthesaleofcommoditiesbutonlyifsubstantiallyalltheforeignentity’scommoditiesareproperty,excessofforeigncurrencygainsoverlosses,netincomefromnotionalprincipalcontracts,amountsreceivedundercashvalueinsurancecontracts,amountsearnedbyinsurancecompanyinconnectionwithitsreservesforinsuranceandannuitycontracts

j.ControllingPersonsmeansthenaturalpersonswhoexercisecontroloveranentity.Inthecaseofatrust,suchtermmeansthesettlor,thetrustees,theprotector(ifany),thebene iciariesorclassofbene iciaries,andanyothernaturalpersonexercisingultimateeffectivecontroloverthetrust,andinthecaseofalegalarrangementotherthanatrust,suchtermmeanspersonsinequivalentorsimilarpositions.Theterm“ControllingPersons”shallbeinterpretedinamannerconsistentwiththeFinancialActionTaskForceRecommendations.

k.Non-ParticipatingFFIs[NPFFIs]–anFFIotherthanparticipatingFFI,adeemed-complaintFFI,oranexemptbene icialownerl. Speci ied US Persons–AnyUSPersonotherthanI).Apubliclytradedcorporation;ii).Acorporationthatisamemberofthesameexpanded

af iliategroup;iii).Ataxexemptorganization;iv).anindividualretirementplan;v).theUnitedStatesoranagencyorinstrumentalityoftheUnitedStates;vi).Anystate[includingDistrictofColumbiaandUnitedStatespossession]orStateAuthorities;vii).Abank,viii).Arealestateinvestmenttrust;ix).Aregulatedinvestmentcompany;x).anentityregisteredwiththeSECundertheInvestmentCompanyActof1940;xi).Acommontrustfund;xii).Ataxexempttrust;xiii).Aregistereddealer;xiv).Aregisteredbroker

m.Expandedaf iliatedgroup–Oneormorechainsofmembersconnectedthroughownership(50%ormore,byvoteorvalue)byacommonparententityifthecommonparententityownsstockorotherequityinterestsmeetingtherequirementsinatleastoneoftheothermembers

n. Owner documented FFI–ANFFImeetingthefollowingrequirements–(a)FFIisanFFIsolelybecauseitisaninvestmententity;(b)FFIisnotownedbyorrelatedtoanyFFIthatisadepositoryinstitution,custodialinstitution,orspeci iedinsurancecompany;(c)FFIdoesnotmaintainainancialaccountforanynon-participatingFFI;(d)FFIprovidesthedesignatedwithholdingagentwithallofthedocumentationandagreestonotifythewithholdingagentifthereisachangeinthecircumstances,and(e)ThedesignatedwithholdingagentagreestoreporttotheIRS(or,incaseofareportingModel1IGA,totherelevantforeigngovernmentoragencythereof)alloftheinformationdescribedinor(asappropriate)withrespecttoanyUSspeci iedpersonsand(2)Notwithstandingtheprevioussentence,thedesignatedwithholdingagentisnotrequiredtoreportinformationwithrespecttoanindirectowneroftheFFIthatholdsitsinterestthroughaparticipatingFFI,adeemed-compliantFFI(otherthananowner-documentedFFI),anentitythatisaUSperson,anexemptbene icialowner,oranexemptedNFE

CodeABCD

E

Sub-category

Adealerinsecurities,commodities,orderivative inancialinstruments(includingnotionalprincipalcontracts,futures,forwards,andoptions)thatisregisteredassuchunderthelawsoftheUnitedStatesoranystate

Aregulatedinvestmentcompanyasde inedinsection851oranentityregisteredatalltimesduringthetaxyearundertheInvestmentCompanyActof1940

F

G

H

IJ

KLM

Abankasde inedinsection581AbrokerAtrustexemptfromtaxundersection664ordescribedinsection4947(a)(1)Ataxexempttrustunderasection403(b)planorsection457(g)plan

Anorganizationexemptfromtaxundersection501(a)oranyindividualretirementplanasde inedinsection7701(a)(37)TheUnitedStatesoranyofitsagenciesorinstrumentalitiesAstate,theDistrictofColumbia,apossessionoftheUnitedStates,oranyoftheirpoliticalsubdivisionsorinstrumentalitiesAcorporationthestockofwhichisregularlytradedononeormoreestablishedsecuritiesmarkets,asdescribedinReg.section1.1472-1(c)(1)(i)Acorporationthatisamemberofthesameexpandedaf iliatedgroupasacorporationdescribedinReg.section1.1472-1(c)(1)(i)

Arealestateinvestmenttrust

Acommontrustfundasde inedinsection584(a)

40

Ifyouhavequestionsaboutyourtaxresidency,pleasecontactyourtaxadvisor.IfyouareaUScitizenorresidentorgreencardholder,pleaseincludeUnitedStatesintheforeigncountryinformation ieldalongwithyourUSTaxIdenti icationNumber.

p.IncasecustomerhasasthefollowingIndiciapertainingtoaforeigncountryandyetdeclaresselftobenon-taxresidentintherespectivecountry,customertoproviderelevantCuringDocumentsasmentionedbelow:

FATCA/CRSIndiciaobserved(ticked) DocumentationrequiredforCureofFATCA/CRSIndicia

1 U.S.placeofbirth

IfcustomerdoesnotagreetobeSpeci iedU.S.person/reportablepersonstatus

2 Residence/mailing address in a countryotherthanIndia

3 Telephone number in a country other thanIndia (and no telephone number in Indiaprovided)

Standing instructions to transfer funds toan account maintained in a country otherthanIndia

4

1. Self-certi ication(inattachedformat) thantheaccountholderisneitheracitizenofUnitedStatesofAmericanoraresidentfortaxpurpose;

2 . N on -U S p a s spor t o r any n on- US g ove rnmen t i s s ued d o cument(referlistbelow);evidencingnationalityorcitizenship AND

3.Anyoneofthefollowingdocuments:a.Certi iedCopyof“Certi icateofLossofNationalityor. b. Reasonable explanation of why the customer does not have such a certi icate despite renouncing US citizenship; or Reason the customerdidnotobtainU.S.citizenshipatbirth

1. Self-certi ication (in attached format) that the account holder is neither a citizen of United States of America nor a resident for tax purposes; and2.Documentaryevidence(referlistbelow)



Listofacceptabledocumentaryevidenceneededtoestablishedtheresidence(s)fortaxpurpose:1.Certi icateofresidenceissuedbyanauthorizedgovernmentbody*2.Valididenti icationissuedbyanauthorizedgovernmentbody*(e.g.passport,NationalIdentitycard,etc.)*Governmentoragencythereofamunicipality2)ItismandatorytosupplyaTINorfunctionalequivalentifthecountryinwhicharetaxresidentissuessuchidenti iers.

IfTIN/FunctionalEquivalentavailableNoTINisyetavailable

AnydocumentevidencingTINissuedbyanauthorisedgovernmentbodyAnexplanationandattachittotheform.

41

InstructionsonControllingPerson/UltimateBene icialOwner

AsperSEBImasterCircularNo.CIR/ISD/AML/3/2010datedDecember31,2010regardingClientDueDiligencepolicy,relatedcircularsonandanti-moneylaunderingandSEBIcircularNo.CIR/MIRSD/2/2013datedJanuary24,2013,non-individualsandtrustarerequiredtoprovidedetailsofcontrollingperson[CP]/ultimatebene iciaryowner[UBO]andsubmitappropriateproofofidentityofsuchCPs/UBOs.Thebene icialownerhasbeende inedinthecircularasthenaturalpersonorpersons,whoultimatelyown,controlorin luenceaclientand/orpersononwhosebehalfatransactionisbeingconducted,andincludesapersonwhoexercisesultimateeffectivecontroloveralegalpersonorarrangement.

A.ForInvestorsotherthanindividualsortrusts:(i) Theidentityofthenaturalperson,who,whetheractingalongortogether,orthroughoneormorejuridical person,exercisescontrol

throughownershiporwhoultimatelyhasacontrollingownershipinterest.Controllingownershipinterestmeansownershipof/entitlementto:

-morethan25%ofsharesorcapitalorpro itsofthejuridicalperson,wherethejuridicalpersonisacompany;-morethan15%ofthecapitalorpro itsofthejuridicalperson,wherethejuridicalpersonisapartnership;-morethan15%ofthepropertyorcapitalorpro itsofthejuridicalperson,wherethejuridicalpersonisanunincorporatedassociationorbodyofindividuals.

(ii)Incaseswherethereexistsdoubtunderclause(i)aboveastowhetherthepersonwiththecontrollingownershipinterestisthebene icialownerorwherenonaturalpersonexertscontrolthroughownershipinterests,theidentityofthenaturalpersonexercisingcontroloverthejuridicalpersonthroughothermeanslikethroughvotingrights,agreement,arrangementsorinanyothermanner.

(iii)Wherenonaturalpersonisidenti iedunderclauses(i)or(ii)above,theidentityoftherelevantnaturalpersonwhoholdsthepositionofseniormanagingof icial.

B.ForInvestorswhichisatrust: Theidentityofthesettlerofthetrust,thetrustee,theprotector,thebene iciarieswith15%ormoreinterestinthetrustandanyother

naturalpersonexercisingultimateeffectivecontroloverthetrustthroughachainofcontrolorownership.

C.Exemptionincaseoflistedcompanies/foreigninvestors Theclientortheownerofthecontrollinginterestisacompanylistedonastockexchange,orisamajority-ownedsubsidiaryofsucha

companyitisnotnecessarytoidentifyandverifytheidentityofanyshareholderorbene icialownerofsuchcompanies.Intermediariesdealingwithforeigninvestor’sviz.,ForeignInstitutionalinvestors,SubAccountsandQuali iedForeignInvestors,maybeguidedbytheclari icationsissuedvideSEBIcircularCIR/MIRSD/11/2012datedSeptember5,2012,forthepurposeofidenti icationofbene icialownershipoftheclient

D.KYCrequirementsBene icialOwner(s)is/arerequiredtocomplywiththeprescribedKYCprocessasstipulatedbySEBIfromtimetotimewithanyoneofthe

KRA&submitthesametoAMC.KYCacknowledgementproofistobesubmittedforallthelistedBene icialOwner(s).

E.ControllingPersonType[UBO]Code:

C01C02C03C04C05C06C07

CP/UBOCodeCPoflegalperson-ownershipCPoflegalperson-othermeansCPoflegalperson-seniormanagingof icialCPoflegalarrangement-trust-settlorCPoflegalarrangement-trusttrusteeCPoflegalarrangement-trustprotectorCPoflegalarrangement-trustbene iciary

Description CP/UBOCode DescriptionC08C09C10C11C12C13C14

CPoflegalarrangement-trust-otherCPoflegalarrangement-trust-other-settlorequivalentCPoflegalarrangement-trust-other-trustee-equivalentCPoflegalarrangement-trust-other-protectorequivalentCPoflegalarrangement-trust-other-bene iciary-equivalentCPoflegalarrangement-trust-other-other-equivalentUnknown