2016 - 2017 · 2017-07-28 · 2016 - 2017. baroda pioneer trustee company private limited cin :...

Baroda Pioneer Fixed Maturity Plan - Series EA Closed Ended Debt Scheme

Baroda Pioneer Fixed Maturity Plan - Series JA Closed Ended Debt Scheme

Baroda Pioneer Fixed Maturity Plan - Series MA Closed Ended Debt Scheme

Baroda Pioneer Fixed Maturity Plan - Series NA Closed Ended Debt Scheme

2016 - 2017

Baroda Pioneer Trustee Company Private Limited CIN : U74120MH2011PTC225365 501, Titanium, 5th Floor, Western Express Highway, Goregaon (East), Mumbai -400063 Ph. No. +91 22 30741000, 42197999 Fax No. +91 22 30741001 Email: [email protected] www.barodapioneer.in

REPORT OF THE BOARD OF DIRECTORS OF BARODA PIONEER TRUSTEE COMPANY PRIVATE LTD. TO THE UNIT HOLDERS OF THE SCHEMES OF BARODA PIONEER MUTUAL FUND FOR THE YEAR ENDED MARCH 31, 2017

The Board of Directors of Baroda Pioneer Trustee Company Private Limited (“Trustee”), trustee to Baroda Pioneer Mutual Fund (“Mutual Fund”), has pleasure in presenting the Twenty Third Annual Report and the audited accounts of the schemes of the Mutual Fund for the year ended March 31, 2017.

BRIEF BACKGROUND OF THE SPONSORS, TRUST/MUTUAL FUND, TRUSTEE COMPANY AND AMC

SPONSORS

(A) PIONEER GLOBAL ASSET MANAGEMENT S.p.A. (“PIONEER”)

Pioneer is the asset management division of the UniCredit Group, one of Europe’s leading banking groups. A wholly owned subsidiary of Unicredit and a multi-discipline investment management firm, Pioneer offers a complete range of traditional, institutional and alternative investment services. Pioneer operates in markets through its trademark, “Pioneer Investments”. As of March 31, 2017, Pioneer had its presence in 28 countries, an experienced team of over 2,050 employees globally, including approximately 350 investment professionals, and assets under management totalling €228.6 billion. (Source : Pioneer website)

(B) BANK OF BARODA (“BOB”)

BOB, a Body Corporate constituted under the Banking Companies (Acquisition and Transfer of Undertakings) Act, 1970, with its head office at Mandvi, Baroda, and Central Office at Baroda Corporate Centre, Bandra-Kurla Complex, Bandra (East), Mumbai, is the sponsor of the Mutual Fund. BOB has contributed a sum of Rupees Ten Lakh towards the establishment of the Mutual Fund’s trust.

BOB is one of the premier public sector banks of India with an extensive reach of 5,538 strong branch network as on date. BOB is also one of the few Indian banks with a formidable presence overseas in 24 countries through its 107 branches (including branches of subsidiaries and one representative office) as on date. (Source : Bank of Baroda website)

THE MUTUAL FUND / TRUST

The Mutual Fund has been constituted as a trust (established by BOB) in accordance with the provisions of the Indian Trusts Act, 1882, by the execution of trust deed dated October 30, 1992, and is registered with SEBI under Registration No. MF/018/94/2, dated November 21, 1994.

Pioneer acquired 51% of the shareholding of BOB Asset Management Company Limited (“AMC”) in June 2008 and became the co-sponsor of the Mutual Fund.

THE AMC

The AMC is a public limited company, which was incorporated under the Companies Act, 1956 on November 5, 1992 under the name, BOB Asset Management Company Limited. It was appointed as the asset management company of the Mutual Fund by the erstwhile Board of Trustees vide Investment Management Agreement (“IMA”) dated November 24, 1992, and was a wholly owned subsidiary of BOB. On June 27, 2008, Pioneer acquired a 51% shareholding in the AMC. Subsequently, the name of the AMC was changed to Baroda Pioneer Asset Management Company Limited and a fresh certificate of incorporation was issued by the Registrar of Companies, Mumbai, Maharashtra, on July 8, 2008.

The AMC’s registered office is situated at 501, Titanium, 5th Floor, Western Express Highway, Goregaon (E), Mumbai - 400 063.

The AMC also provides non-binding investment advice to Pioneer Investment Management Limited for investment in the Indian equity market by SEBI registered FII sub-accounts. SEBI has accorded its no-


objection vide letter no. OW/20656/2011 dated June 29, 2011. There is no conflict of interest between this activity and the mutual fund business. THE TRUSTEE COMPANY Baroda Pioneer Trustee Company Pvt. Ltd. (“Trustee”) is the Trustee to the Mutual Fund. Pursuant to the No-Objection Certificate received from SEBI vide its letter no. OW/24482/2011 dated July 28, 2011, the Trustee Company was incorporated on December 23, 2011, with Pioneer and BOB holding 51% and 49% respectively of its share capital. The Trustee is the exclusive owner of the Trust Fund and holds the same in trust for the benefit of the unitholders. The Trustee has been discharging its duties and carrying out the responsibilities as provided in the SEBI (Mutual Fund) Regulations, 1996 (“Regulations”) and the Trust Deed. The Trustee seeks to ensure that the Fund and the schemes floated thereunder are managed by the AMC in accordance with the Trust Deed, the SEBI MF Regulations, directions and guidelines issued by the SEBI, the Stock Exchanges, the Association of Mutual Funds in India and other regulatory agencies. ECONOMIC SCENARIO 2016-17 The year 2016-17 was a good year for investors. The principal equity indices gave double digit returns. The BSE Sensex returned 16.88%, while the S&P BSE 200’s one year return was over 22%. The mid-caps rallied during the year, outperforming the large caps. The BSE S&P mid-cap index return for 1 year as of March 31, 2017 was 33%. The inflation rate in the economy continued to ease during the year and was within the RBI’s comfort zone. The CPI as of March 31, 2017 was 3.7%, a drop from 4.9% average CPI for 2015-16. During the year, the RBI cut the Repo rate from 6.75% to 6.25%, in two tranches of 25 bps each. The yields eased with the 10 year G-sec at 6.69% as of March 31, 2017 as opposed to 7.46% in March last year. The forex reserves of the country increased to USD 370 bn as of March 31, 2017. The Union Budget 2017-18 had few major reforms. The presentation of Budget was advanced to 1st February to enable the Ministries to operationalise all activities from the commencement of the financial year. The practice of presenting Railway budget was discontinued and merged with General Budget itself, to bring Railways to the centre stage of Government’s Fiscal Policy and further, the classification of plan and non-plan expenditure was removed to facilitate holistic view of allocations. The Government’s fiscal prudence was reflected in fiscal deficit for the year at 3.2%. India has emerged as the fastest growing major economy in the world as per the Central Statistics Organization (CSO) and International Monetary Fund (IMF). Indian Economy grew by 7.1% for the full year, after factoring in fall in growth rate in the last quarter due to the demonetisation effect. This rate was lower than the 8% clocked during the previous year. The Government of India announced demonetisation of high denomination bank notes of Rs. 1,000 and Rs. 500, with effect on November 8, 2016, in order to eliminate black money and the growing menace of fake Indian currency notes. This was a bold move that was expected to impact the economy and trade in the short term, but eventually benefit the country in the long run by curbing parallel economy and give a big thrust to the digitization drive. The Indian Mutual Fund Industry had a great year, with the average assets growing to INR 18,29,583 crores during the March 2017 quarter. The average assets under management on a YOY basis grew by 35%. With equity markets doing well, equity funds attracted flows and their share in the overall AUM rose to 39% during the March quarter. The B15 towns continued to contribute to the Industry kitty and their share in the total AUM stood at 17%, with more than 50% flows in B15 towns coming in to equity funds. (Source: Union budget document, AMFI, internal research) FUTURE OUTLOOK AND OPERATIONS According to The World Bank, the Indian economy is likely to grow at 7.6 per cent in 2017-18 and 7.8 per cent in 2018-19. India’s macro-economic data continues to remain strong. The GST introduced with effect from July 1, 2017 will create one market in the nation, improving tax compliance and governance. This is expected to boost investment and growth in the long run, which augurs well for capital markets in general.


Similarly, demonetisation holds potential for long term benefits in terms of reduced corruption, enhancing digitisation, increased flow of savings in formal channels etc. thus potentially leading to higher GDP growth. This again, can have positive effect on the flows in the MF industry.

The Indian Mutual Fund industry has achieved the INR 20 lac crore mark ahead of the schedule. The industry is bullish on this growth momentum. The investment awareness initiatives undertaken by AMFI and the industry players has seen results in terms of newer investors getting in to the MF fold. The number of folios have crossed the 5.5 crore mark and holds potential to scale new highs. The SIP book is steadily increasing and contributing to monthly flows in a healthy way. Volumes of transactions and convenience is already being witnessed through digitisation of the transactional process.

For us, B15 cities and towns continue to be a focus area, apart from increasing our coverage through more distribution partners and delivering better risk-adjusted returns. We have introduced few new tools for investors to enhance their investment convenience and digitise the process. Some more initiatives are on anvil. Digital medium continues to be an integral part of our service proposition.

Our growth strategy continues to focus on increased retail participation in our equity and fixed income funds. The share of liquid funds in the asset mix has been coming down. The SIP campaigns launched during the last year have seen an upward shift in the average ticket size. The number of bank branches that are witnessing traction for SIPs has also gone up. We expect similar trend to continue in 2017-18, as we enhance our presence in the Bank’s network and reach out to more retail investors. We will also actively engage and grow partnerships with the IFAs, National and Regional Distributors, to create long-term business relationships and create more awareness of our products, performance and services among the investing community.

OVERVIEW

As on March 31, 2017, the Mutual Fund had 14 open-ended schemes, 2 close-ended schemes and 2 fixed maturity plans. The Average Assets Under Management (“AAUM”) of the Mutual Fund for the year ended March 31, 2017 was Rs. 10,486.63 crores as compared to Rs. 8,917 crores of AAUM for the year ended March 31, 2016.

During the year 2016-17, there was change in the fundamental attributes (including investment objective, asset allocation pattern and investment strategy) of Baroda Pioneer PSU Equity Fund and Baroda Pioneer Infrastructure Fund, open ended equity schemes, which were renamed as Baroda Pioneer Mid-Cap Fund and Baroda Pioneer Large Cap Fund respectively effective October 3, 2016.

Two fixed maturity plans viz. Baroda Pioneer Fixed Maturity Plan – Series E and Baroda Pioneer Fixed Maturity Plan – Series J matured on September 6, 2016 and December 28, 2016 respectively.


SCHEMES’ PERFORMANCE (as on March 31, 2017) (A) EQUITY SCHEMES : (i) Baroda Pioneer Growth Fund (an open ended growth scheme)

Compounded Annualised Return Plan A Plan B Scheme Return (%)

Benchmark Return*(%)

Scheme Return (%)


1 Year 23.73 22.47 24.72 22.47 3 Years 16.84 14.17 17.67 14.17 5 Years 14.11 13.08 - - Since Inception 17.45 15.54 14.90 12.05

*S&P BSE 200 effective May 2, 2016. Note: “Since Inception” returns are calculated from the date of allotment, viz. September 12, 2003 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the three years and five years due to overweight positions in consumer discretionary, financials, industrial & materials sectors and underweight positions in consumer staple, energy, IT, telecom & utilities sectors. However, underweight position in healthcare sector impacted the performance. The scheme outperformed its benchmark index over the one year period due to overweight position in financials, consumer discretionary & utilities sectors and underweight position in energy, telecom and consumer staples sectors. However, underweight position in healthcare sector and overweight position in industrial sector impacted the performance. (ii) Baroda Pioneer ELSS’96 (an open ended tax benefit-cum-growth scheme)

Compounded Annualised Return

Plan A Plan B Scheme Return (%)


Scheme Return (%)



*S&P BSE 200 effective May 2, 2016. Note: “Since Inception” returns are calculated from the date of allotment, viz. March 31, 1996 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the dividend option. Returns have been computed assuming that all payouts during the period have been re-invested in the units of the scheme at the respective prevailing NAVs. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the three years and five years periods due to overweight positions in consumer discretionary, financials, materials and utilities sectors and underweight positions in consumer staple, energy and utilities sectors. However, underweight position in healthcare, telecom and IT sectors impacted the performance. The scheme outperformed its benchmark index over the one year period due to overweight positions in financials, consumer discretionary and utilities sectors and underweight position in energy and telecom sectors. However, underweight positions in healthcare, IT and consumer staples sectors and overweight positions in the industrial sector impacted the performance.


(iii) Baroda Pioneer Balance Fund (an open ended balanced scheme)




Scheme Return (%)



*CRISIL Balanced Fund – Aggressive Index Note: “Since Inception” returns are calculated from the date of allotment, viz. September 12, 2003 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the three years and five years periods due to overweight positions in consumer discretionary, financials, industrial and materials sectors and underweight positions in consumer staple, energy, IT, telecom and utilities sectors. However, underweight position in healthcare sector impacted the performance. The scheme outperformed its benchmark index over the one year period due to overweight positions in financials, consumer discretionary and utilities sectors and underweight positions in energy, telecom and consumer staples sectors. However, underweight position in healthcare sector and overweight position to the industrial sector impacted the performance. (iv) Baroda Pioneer Banking & Financial Services Fund (an open ended sectoral scheme)




Scheme Return (%)


1 Year 37.01 32.85 37.89 32.85 3 Years 19.12 18.93 20.13 18.93 Since Inception 14.37 17.23 11.91 12.96

*Nifty Bank Index Note: “Since Inception” & FY 12-13 returns are calculated from the date of allotment, viz. June 22, 2012 and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has outperformed its benchmark index over the one year and three years periods due to overweight positions in mid-cap banks, NBFCs and mortgage companies and underweight positions in PSU banks. The scheme has underperformed its benchmark index since inception mainly due to overweight positions in PSU banks, NBFCs and exchange companies. (v) Baroda Pioneer Mid-Cap Fund (an open ended equity scheme)


Plan A Plan B (Direct) Scheme Return (%)


Scheme Return (%)


1 Year 25.60 32.75 10.80 32.75 3 Years 7.73 25.76 10.69 25.76 5 Years 2.74 17.29 - - Since Inception (2.67) 8.66 9.80 17.01

*S&P BSE Mid-cap index effective October 3, 2016


Note: “Since Inception” returns are calculated from the date of allotment, viz. October 04, 2010 for Plan A and January 1, 2013 for Plan B (Direct). The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. Effective October 3, 2016, the scheme (formerly known as Baroda Pioneer PSU Equity Fund), was converted into Baroda Pioneer Mid-cap Fund and the scheme benchmark index was also changed to S&P BSE Mid-cap index. Until September 30, 2016, the investment universe of the scheme was restricted to Public Sector Undertakings, as per the investment objective of the scheme. The scheme underperformed its new benchmark index since inception and over one year, three years and five years periods due to outperformance of S&P BSE Mid-cap index over S&P BSE PSU index over the three years and five years periods. The S&P BSE Mid-cap index outperformed S&P BSE PSU index by 15.2% and 14% over three years and five years periods respectively. (vi) Baroda Pioneer Large Cap Fund (an open ended equity scheme)




Scheme Return (%)



*Nifty 100 effective October 3, 2016. Note: “Since Inception” returns are calculated from the date of allotment, viz. June 22, 2010 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. Effective October 3, 2016, the scheme (formerly known as Baroda Pioneer Infrastructure Fund) was converted into Baroda Pioneer Large Cap Fund and the scheme benchmark index was also changed to Nifty 100. Until September 30, 2016, the scheme was restricted to invest only in sectors related to infrastructure and prohibited from investing in consumer staples, banking, consumer discretionary, pharmaceutical and IT sectors, as per the investment objective of the scheme. The scheme has outperformed its benchmark index over the one year and three years periods due to overweight positions in energy, material, utilities and financial sectors and underweight positions in IT and telecom sectors. However, underweight position in consumer discretionary, consumer staple and health care sectors impacted the performance. The scheme has underperformed its benchmark index since inception and over the five years period due to underweight positions in healthcare, consumer discretionary, consumer staple, banking and IT sectors. (vii) Baroda Pioneer Equity Trigger Fund – Series I (a close ended equity scheme)




Scheme Return (%)


1 Year 30.17 32.75 32.11 32.75 Since Inception 10.29 15.41 12.03 15.41

*S&P BSE Mid-cap index Note: “Since Inception” returns are calculated from the date of allotment, viz. December 29, 2014 The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments.


The scheme has underperformed its benchmark index since inception and over the one year period mainly due to [its overweight position in IT, materials and consumer discretionary sectors and underweight position in energy and healthcare sectors. (B) DEBT SCHEMES : (i) Baroda Pioneer Short Term Bond Fund (an open ended income scheme)



Benchmark Return* (%)

Scheme Return (%)



*CRISIL Short Term Bond Fund Index. Note: “Since Inception” returns are calculated from the date of allotment, viz. June 30, 2010 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has outperformed its benchmark index over the one year and three years periods due to its conservative position with regard to duration. The scheme has underperformed its benchmark index since inception and over the five years periods mainly due to its conservative position with regard to duration. The scheme had comparatively lower duration than its benchmark, which resulted in outperformance/underperformance of the scheme. (ii) Baroda Pioneer Monthly Income Plan (MIP) Fund (an open ended income scheme with no assured returns) (Monthly income is not assured and is subject to availability of distributable surplus)




Scheme Return (%)



*CRISIL MIP Blended Index. Note: “Since Inception” returns are calculated from the date of allotment, viz. September 08, 2004 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year, three years and five years periods mainly due to [its conservative position with regard to equity allocation. The scheme had comparatively lower equity allocation than its benchmark, which resulted in underperformance of the scheme.


(iii) Baroda Pioneer Income Fund (an open ended income fund)




Scheme Return (%)



*CRISIL Composite Bond Fund Index. Note: “Since Inception” returns are calculated from the date of allotment, viz. March 21, 2002 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year, three years and five years periods mainly due to [its conservative position with regard to duration. The scheme had comparatively lower duration than its benchmark, which resulted in underperformance of the scheme. (iv) Baroda Pioneer Treasury Advantage Fund (an open ended debt scheme)




Scheme Return (%)



*CRISIL Liquid Fund Index. Note: “Since Inception” returns are calculated from the date of allotment, viz. June 24, 2009 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the one year, three years and five years periods due to active management of duration and credit exposure. (v) Baroda Pioneer GILT Fund (an open ended gilt scheme)




Scheme Return (%)



*I-Sec Mi-Bex Index Note: “Since Inception” returns are calculated from the date of allotment, viz. March 21, 2002 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year, three years and five years periods mainly due to its conservative position with regard to duration. The scheme


had comparatively lower duration than its benchmark, which resulted in underperformance of the scheme. (vi) Baroda Pioneer Liquid Fund (an open ended liquid scheme)




Scheme Return (%)



* CRISIL Liquid Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. February 05, 2009 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the one year, three years and five years periods due to active management of average maturity and credit exposure. (vii) Baroda Pioneer Dynamic Bond Fund (an open ended income scheme)




Scheme Return (%)


1 Year 11.51 11.09 12.37 11.09 3 Years 11.52 11.26 12.37 11.26 Since Inception 9.77 9.47 10.61 9.37

* CRISIL Composite Bond Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. July 02, 2012 for Plan A and January 1, 2013 for Plan B. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the one year, three years and five years periods due to active management of duration. (viii) Baroda Pioneer Credit Opportunities Fund (an open ended debt scheme)




Scheme Return (%)



* CRISIL Short Term Bond Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. January 23, 2015. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has consistently outperformed its benchmark index since inception and over the one year periods due to active management of duration and credit exposure.


(ix) Baroda Pioneer Hybrid Fund – Series I (a close ended hybrid scheme)




Scheme Return (%)



* CRISIL MIP Blended Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. March 24, 2015. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year periods mainly because its gross exposure to equity and equity related instruments is higher than its benchmark index, which resulted in underperformance of the scheme. (x) Baroda Pioneer Fixed Maturity Plan - Series M (a close-ended debt scheme)




Scheme Return (%)



* CRISIL Short Term Bond Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. March 10, 2014. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year periods due to different maturity profile of the scheme v/s its benchmark. (xi) Baroda Pioneer Fixed Maturity Plan - Series N (a close-ended debt scheme)




Scheme Return (%)



* CRISIL Short Term Bond Fund Index Note: “Since Inception” returns are calculated from the date of allotment, viz. March 24, 2014. The “Returns” shown are for the growth option. Past performance may or may not be sustained in future and should not be used as a basis for comparison with other investments. The scheme has underperformed its benchmark index since inception and over the one year periods due to different maturity profile of the scheme v/s its benchmark.


INVESTMENT OBJECTIVES OF THE SCHEMES

Sr. No.

Name and nature of Scheme Investment Objective Name of Fund Manager

1. Baroda Pioneer Monthly IncomePlan (MIP) Fund*(an open ended income schemewith no assured returns)

*Monthly income is not assured andis subject to availability of distributable surplus.

The scheme aims to generate regular income through investment in debt and money market instruments and to generate long-term capital appreciation by investing a portion in equity and equity related instruments.

Ms. Hetal Shah

2. Baroda Pioneer Income Fund(an open ended income fund)

The scheme aims to generate regular income by investing in a portfolio of good quality fixed income securities by maintaining a balance between risk & return.

Ms. Hetal Shah

3. Baroda Pioneer Treasury Advantage Fund(an open ended debt scheme)

The scheme aims to provide optimal returns and liquidity through a portfolio comprising of debt and money market instruments.

Mr. Alok Sahoo & Ms. Hetal Shah

4. Baroda Pioneer GILT Fund(an open ended gilt scheme)

The scheme aims to generate income by investing in a portfolio of government securities.

Ms. Hetal Shah

5. Baroda Pioneer Short Term BondFund(an open ended income scheme)

The scheme aims to generate income from a portfolio constituted of short-term debt and money market securities.


6. Baroda Pioneer Liquid Fund(an open ended liquid scheme)

The scheme aims to generate income with a high level of liquidity by investing in a portfolio of money market and debt securities.


7. Baroda Pioneer Dynamic BondFund(an open ended income scheme)

The scheme aims to generate returns with liquidity by managing the portfolio dynamically through interest rate cycles.


8. Baroda Pioneer Credit Opportunities Fund(an open ended debt scheme)

The primary objective of the scheme is to generate returns by investing in debt and money market instruments across the credit spectrum.

Mr. Alok Sahoo & Mr. Karn Kumar

9. Baroda Pioneer Mid-Cap Fund(an open ended equity scheme)

The primary objective of the scheme is to generate capital appreciation by investing predominantly in a diversified portfolio of equity and equity related securities of growth oriented mid cap stocks.

Mr. Sanjay Chawla & Mr. Dipak Acharya

10. Baroda Pioneer Large Cap Fund(an open ended equity scheme)

The primary investment objective of the scheme is to generate capital appreciation by investing predominantly in a diversified portfolio of equity and equity related



Sr. No.

Name and nature of Scheme Investment Objective Name of Fund Manager

securities of large cap companies. The scheme may also invest in debt and money market securities.

11. Baroda Pioneer Growth Fund(an open ended growth scheme)

The scheme aims to generate long-term capital appreciation from an actively managed portfolio of equity and equity related instruments.


12. Baroda Pioneer ELSS’96(an open ended tax benefit-cum-growth scheme)

The scheme aims to provide the investor long-term capital growth as also tax benefit under Section 80C of the Income Tax Act, 1961.


13. Baroda Pioneer Balance Fund(an open ended balancedscheme)

The scheme is targeted for long-term capital appreciation along with stability through a well balanced portfolio comprising of equity, equity related instruments, money market instruments and debt securities.


14. Baroda Pioneer Banking andFinancial Services Fund(an open ended sectoral scheme)

The primary investment objective of the scheme is to generate long-term capital appreciation for unit holders from a portfolio invested predominantly in equity and equity related securities of companies engaged in the Banking & Financial Services Sector.

Mr. Dipak Acharya

15. Baroda Pioneer Equity TriggerFund – Series I(a close ended equity scheme)

The investment objective of the scheme is to provide capital appreciation by investing in a well-diversified portfolio of equity and equity related securities predominantly of mid-cap and small cap companies.

Mr. Dipak Acharya

16. Baroda Pioneer Hybrid Fund –Series I(a close ended hybrid scheme)

The investment objective of the scheme is to generate income by investing in fixed income securities maturing on or before the date of the maturity of the scheme and to generate capital appreciation by investing in equity and equity related instruments.

Mr. Alok Sahoo (for debt investments) &

Mr. Dipak Acharya (for equity investments)

17. Baroda Pioneer Fixed MaturityPlans(a series of close-ended debtschemes)

The investment objective of each scheme is to generate returns by investing in a portfolio comprising of debt instruments and money market instruments maturing on or before the maturity of the scheme.



BASIS AND POLICY OF INVESTMENT UNDERLYING THE SCHEMES The basis and policy of investment underlying the schemes are in line with the investment objective of the respective schemes as mentioned above, and as per the asset allocation pattern and investment strategy detailed in the respective Scheme Information Document (SID) of the schemes. SIGNIFICANT ACCOUNTING POLICIES Accounting Policies are in accordance with the SEBI (Mutual Funds) Regulations, 1996. The significant accounting policies are annexed to the accounts of the scheme(s). UNCLAIMED DIVIDEND & REDEMPTION Pursuant to SEBI circular no. SEBI/HO/IMD/DF2/CIR/P/2016/37 dated February 25, 2016, the unclaimed redemption and dividend amounts have been invested in a separate plan (viz. Plan C) of Baroda Pioneer Liquid Fund, an open ended liquid scheme, floated by the Mutual Fund specifically for deployment of the unclaimed amounts. The AMC does not charge any exit load in this plan and the total expense ratio of the plan is capped at 50 bps. Investors may refer to the website of the AMC (www.barodapioneer.in), which provides information on the names and addresses of investors in whose folios there are unclaimed amounts, subject to verification of prescribed parameters. The process of claiming the unclaimed amount along with the necessary form / documents is also readily available on the website of the AMC. Investors are requested to reconcile their bank account statements with the account statements sent by the Mutual Fund and contact the AMC in case of any non-receipt of dividend/redemption proceeds. We strongly advise investors to regularly check their account statements of the Mutual Fund and verify whether any redemptions or dividends have either not been received by them or not encashed. Investors can approach any of the AMC offices or Investor Service Centres in this regard. The total unclaimed dividend and redemption amounts as on March 31, 2017 were Rs. 16,164,990/- and Rs. 2,963,728 respectively. The scheme-wise unclaimed dividend and redemption amounts as at March 31, 2017 were as under :

Scheme Name Unclaimed Dividend Unclaimed Redemption

Amount (Rs.) No. of investors Amount (Rs.) No. of

investors Baroda Pioneer ELSS 96 Fund 86,74,323 5,198 603,443 51 Baroda Pioneer Growth Fund 16,032,464 11,052 1,525,618 144 Baroda Pioneer Balance Fund 75,840 26 94,000 9 Baroda Pioneer Large Cap Fund 20,630 6 127,771 9 Baroda Pioneer PSU Equity Fund - - 231,550 13 Baroda Pioneer Banking and Financial Services Fund 4,591 1 163,606 4

Baroda Pioneer MIP Fund 2,455 5 47,411 6 Baroda Pioneer Gilt Fund 6,925 12 48,491 6 Baroda Pioneer Income Fund 21,687 23 65,793 9 Baroda Pioneer Treasury Advantage Fund 398 1 960 1

Baroda Pioneer Short Term Bond Fund - - 55,085 3

Grand Total 16,164,990 16,324 2,963,728 255


REDRESSAL OF INVESTOR COMPLAINTS Details of investor complaints received during the financial year ended March 31, 2017 in respect of the Mutual Fund are provided under Annexure – I and forms part of this Trustee Report. DISCLOSURE ON VOTING POLICY AND ACTUAL VOTING RIGHTS EXERCISED BY THE MUTUAL FUND DURING THE FINANCIAL YEAR ENDED MARCH 31, 2017 The Mutual Fund has framed a general voting policy and procedures for exercising the voting rights in respect of shares held by the schemes of the Mutual Fund. The Board of Directors of the Trustee Company has adopted the Voting Policy and the same is enclosed as Annexure – II. Further, in terms of the SEBI circular no. SEBI/ IMD/ CIR No.18/198647/ 2010 dated March 15, 2010 as amended by SEBI circular no. CIR/IMD/DF/05/2014 dated March 24, 2014, details of the actual exercise of the proxy votes in the AGMs/EGMs of the investee companies of the Mutual Fund during the financial year ended March 31, 2017 along with a summary of the votes cast across all the investee companies and its break-up in terms of total number of votes cast in favour, against or abstained from, is annexed as Annexure – III. The unit holders may take note that in terms of the SEBI Circular No. CIR/IMD/DF/05/2014 dated March 24, 2014, M/s. M. P. Chitale & Co., Chartered Accountants, have certified the voting reports being disclosed by the AMC and the certification dated June 30, 2017 issued by M/s. M. P. Chitale & Co., Chartered Accountants, is enclosed as Annexure – IV. The Voting Policy and disclosure of proxy votes are also displayed on the website of the Mutual Fund viz. www.barodapioneer.in REGULATORY UPDATES Following are few important regulatory updates for the financial year ended March 31, 2017 :

In order to ensure that mutual funds play a pro-active role in tracing the rightful owner of the unclaimed dividend and redemption amounts, SEBI has advised mutual funds to provide on their websites, list of names and addresses of investors in whose folios there are unclaimed amounts. The process of claiming the unclaimed amount and necessary forms / documents required is also disclosed on the websites of the mutual funds. AMFI also provides a consolidated list of investors across the mutual fund industry, in whose folios there are unclaimed amounts.

In order to avoid discretionary disclosures and practices in the mutual fund industry on restrictions on redemptions and to bring more clarity and protect the interest of the investors, SEBI has prescribed specific conditions under which restriction on redemption can be imposed.

Central Know Your Client (KYC) Records Registry has been operationalised effective August 1, 2016 for individual investors.

Existing mutual fund schemes can invest in Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs) by providing an exit option of at least 15 days to its unit holders.

STATUTORY INFORMATION

a) The Sponsors are not responsible or liable for any loss resulting from the operation of the Schemes of the Mutual Fund beyond their initial contribution (to the extent contributed) of Rs. Ten lacs for setting up the Fund, and such other accretions / additions to the same.

b) The price and redemption value of the units, and income from them, can go up as well as down with

fluctuations in the market value of its underlying investments.

http://www.barodapioneer.in/


c) Full Annual Report is disclosed on the website (www.barodapioneer.in) and shall be available forinspection at the Head Office of the Mutual Fund. Present and prospective unit holders can obtain acopy of the trust deed and the full Annual Report of the Mutual Fund / AMC upon request.

ACKNOWLEDGEMENT

The Trustee is grateful to the unit holders for reposing faith and confidence in the Mutual Fund and expresses gratitude to the Securities and Exchange Board of India, Association of Mutual Funds in India, Reserve Bank of India, Auditors, Registrars, Custodians, and Bankers for their continued support, advice and co-operation.

The Trustee places on record its appreciation for the services rendered by the Directors and staff of the AMC in managing the affairs of the Mutual Fund.

For and on behalf of the Board of Directors of Baroda Pioneer Trustee Company Private Ltd.

Sd/-

R. L. Baxi Chairman

Place : Mumbai Date : July 21, 2017

Mutual fund investments are subject to market risks, read all scheme related documents carefully.

Disclaimer for Nifty Bank Index and Nifty 100 : Baroda Pioneer Large Cap Fund and Baroda Pioneer Banking and Financial Services Fund (“said Schemes”) offered by Baroda Pioneer Mutual Fund are not sponsored, endorsed, sold or promoted by India Index Services & Products Limited (“IISL”). IISL does not make any representation or warranty, express or implied (including warranties of merchantability or fitness for particular purpose or use) and disclaims all liability to the owners of the said Schemes or any member of the public regarding the advisability of investing in securities generally or in the said Schemes linked to Nifty 100 and Nifty Bank Index or particularly in the ability of the Nifty 100 and Nifty Bank Index to track general stock market performance in India. Please read the full disclaimers in relation to the Nifty 100 and Nifty Bank Index in the Offer Document / Prospectus / Information Statement.

http://www.barodapioneer.in/

ANNEXURE – I

Redressal of complaints received against Baroda Pioneer Mutual Fund during 2016-17

Redressal of Complaints received during

2016-2017

Name of the Mutual Fund Baroda Pioneer Mutual Fund

Total Number of Folios 309,415

Complaint code

Type of complaint#

(a) No. of complaints pending at

the beginning of the year

(b) No of complaints

received during the

year

Action on (a) and (b)

Resolved Non Actionable*

Pending

Within 30

days

30-60 days

60-180 days

Beyond 180 days

0-3 months

3-6 months 6-9 months 9-12 months

I A Non receipt of Dividend on Units

-

-

-

-

-

-

-

-

- - -

I B Interest on delayed payment of Dividend

-

-

-

-

-

-

-

-

- - -

I C Non receipt of Redemption Proceeds

-

6

6

-

-

-

-

-

- - -

I D Interest on delayed payment of Redemption

-

-

-

-

-

-

-

-

- - -

II A Non receipt of Statement of Account/Unit Certificate

-

-

-

-

-

-

-

-

- - -

II B Discrepancy in Statement of Account

-

-

-

-

-

-

-

- - -

II C Data corrections in Investor details

-

50

50

-

-

-

-

-

- - -

II D Non receipt of Annual Report/Abridged Summary

-

-

-

-

-

-

-

-

- - -

III A Wrong switch between Schemes

-

10

10

-

-

-

-

-

- - -

Redressal of Complaints received during

2016-2017

Name of the Mutual Fund Baroda Pioneer Mutual Fund

Total Number of Folios 309,415

Complaint code

Type of complaint#

(a) No. of complaints pending at

the beginning of the year

(b) No of complaints

received during the

year

Action on (a) and (b)

Resolved Non Actionable*

Pending

Within 30

days

30-60 days

60-180 days

Beyond 180 days

0-3 months

3-6 months 6-9 months 9-12 months

III B Unauthorized switch between Schemes

1

-

1

-

-

-

-

-

- - -

III C Deviation from Scheme attributes

-

1

1

-

-

-

-

-

- - -

III D Wrong or excess charges/load

-

1

1

-

-

-

-

-

- - -

III E Non updation of changes viz. address, PAN, bank details, nomination, etc

-

2

2

-

-

-

-

-

- - -

IV Others 1

22

23

-

-

-

- - -

V SIP / SWP / STP Related Queries **

-

274

274

-

-

-

-

-

- - -

TOTAL 2 366 368 - - - - - - - -

# including against its authorized persons/ distributors/ employees. etc. *Non actionable means complaints that are incomplete / outside the scope of the Mutual Fund.

ANNEXURE - II

PROXY VOTING POLICY

1. Overview As per the SEBI circular, SEBI/IMD/CIR No.18/198647/2010, dated March 15, 2010, on the role of mutual funds in the Corporate Governance of listed companies, AMCs shall disclose their general policies and procedures for exercising the voting rights in respect of shares held by them on their website as well as in the annual report distributed to the unit holders under the schemes of the mutual fund run by them. Further, AMCs are also required to disclose on their website as well as in the annual report distributed to the unit holders under the schemes of the mutual fund run by them, the actual exercise of their proxy votes in the Annual General Meetings (“AGM”) / Extraordinary General Meetings (“EGM”) of the investee companies in respect of the following matters:

Corporate governance matters, including changes in the state of incorporation, merger and other corporate restructuring, and anti takeover provisions.

Changes to capital structure, including increases and decreases of capital and preferred stock issuances.

Stock option plans and other management compensation issues; Social and corporate responsibility issues. Appointment and Removal of Directors.

Any other issue that may affect the interest of the shareholders in general and interest of the unit-holders in particular. This Policy has been drafted keeping in mind the aforesaid SEBI guidelines and also guiding principles from the corresponding policy of Pioneer Global Asset Management SpA (“Pioneer”). Accordingly, Baroda Pioneer Asset Management Company Limited (“AMC”) owes each of its client’s duties of care and loyalty with respect to proxy voting. The AMC’s sole concern in voting, either at annual or extraordinary general meetings, is the promotion of investors’ best interest aimed to increase f their portfolio value.

To satisfy its duty of loyalty, the AMC must, in all instances, cast the proxy votes in a manner consistent with the best interest of its investors and must place the investor’s interests ahead of its own, bearing in mind, where applicable, the objectives and strategies of the schemes of Baroda Pioneer Mutual Fund (“Fund”). Special consideration should be given to issues relating to Ethic Funds. It is advisable to vote all proxies presented in a timely manner.

This Policy is designed to complement the AMC’s investment policies and procedures regarding its general responsibility to monitor the performance and/or corporate events of companies that are issuers of securities held in schemes managed by the AMC. This Policy summarizes the AMC’s position on a number of issues solicited by underlying held companies. The indications given in Annex A (Administrative) are best practice principles that provide a general non-binding indication on how to achieve the best interests of investors, but do not include all potential voting scenarios.

The overall system of global compliance policies doesn’t create any legal obligation towards the AMC, which remains autonomous and exercises voting rights at its discretion.

This Policy has been drafted interpreting the spirit of the corresponding Pioneer guidelines which detail monitoring of voting, exception votes, and review of conflicts of interest and ensure that case-by-case votes are handled within the best interest of investors.

2. Proxy Voting Policies The foremost concern of the AMC in voting proxies is the economic effect of the proposal on the value of portfolio holdings, considering both the short and long term impact. To this end, the consistency of the vote shall be also evaluated on the basis of a cost-benefit analysis, duly

considering the economic costs that the voting procedure generates against its marginal weight on the overall vote. Should the analysis outline a negative cost-benefit ratio, a non-voting decision could be considered, duly supported by explanatory documentation. In many instances, the AMC believes that supporting the company’s strategy and voting “for” management proposals help build portfolio value. In other cases, however, proposals set forth by the management may have a negative effect on that value, while some shareholder proposals may hold the best prospects for enhancing it. The AMC will monitor developments in the proxy voting arena and will revise this policy as and when needed. The AMC will try to actively participate and vote, directly or through proxy voting services, all proxies in all managed funds, at least for all publicly traded companies. The Board of Trustees of the Fund has authorised the AMC to participate and exercise voting rights in respect of shares held by the schemes of the Fund. The AMC may appoint any of its senior executives or any other person or company or entities to exercise voting rights in respect of the shares held by the schemes of the Fund, as per the instructions issued by the AMC. The AMC may, as mentioned earlier, also use the services of a proxy voting services agency to exercise voting rights, on such terms and conditions as the Proxy voting co-ordination group deems fit and in terms of all applicable guidelines and/or dictates of SEBI in this behalf. To this end, the AMC has established Proxy voting procedures for identifying and reviewing conflicts of interest that may arise in the voting of proxies. 3. The Impact of the United Nations Principles for Responsible Investment (UNPRI) In 2009 Pioneer Global Asset Management SpA (“Pioneer”) became signatories of the United Nations Principles for Responsible Investment (PRI). These principles are a voluntary framework for incorporating environmental, social and governance (ESG) issues into mainstream investment decision-making and ownership practices. They are not prescriptive but instead provide possible actions that investors can take. Pioneer believes that introducing environmental, social and corporate governance considerations in its business decisions is essential in order to create value for its shareholders and to develope a more sustainable long term strategy for its portfolio companies. To this purpose, Pioneer has introduced a new annex (Annex B) in their Proxy Voting Policy, developed in order to render Pioneer’s voting strategy more closed to the principles agreed. The voting indications contained in Annex B are based, as always, on the best market practices and they are not intended to bind the AMC. 4. General Guiding Principles for Exercise of Votes In deciding whether to vote for or against a proposal or to abstain from voting on the proposal, the AMC will be guided by the following fundamental principles. Where the information that the AMC has or is able to gather on the proposal is insufficient and/or not meaningful enough to arrive at a decision, the AMC will abstain from voting on that proposal. Where the AMC has adequate and meaningful information regarding a proposal that, the AMC believes, would stand the test of being regarded as adequate and meaningful for an entity not associated with the company concerned to arrive at a decision, the AMC will exercise its vote on such proposal. Such vote may be for or against the proposal, and this decision will be guided by the facts of the proposal, in particular, the reason(s), explicit or otherwise, necessitating the proposal, as is/are available to the AMC, and the consequences that the AMC believes the implementation of the proposal will have from the perspective of impact on the schemes and, therefore, unit holders of the Fund. 5. Proxy Voting Procedures 5.1 Proxy Voting Service The AMC may engage, through specific written agreements, independent proxy voting services to assist in the voting of proxies. The proxy voting service will work with custodians to ensure that

all proxy materials are received by the custodians and are processed in a timely manner. Proxy voting services must vote all proxies in accordance with the proxy voting policies established by the AMC. Proxy voting services will refer proxy questions to the Proxy Coordinator, nominated among the members of the AMC’s Proxy Voting Oversight Group, for instructions under circumstances where: (1) the application of the proxy voting guidelines is unclear; (2) a particular proxy question is not covered by the guidelines; or (3) the guidelines call for specific instructions on a case-by-case basis. Proxy voting services are also requested to call to the Proxy Coordinator's attention specific proxy questions that, while governed by a guideline, appear to involve unusual or controversial issues. 5.2 Strategic Companies Also for Companies where Pioneer’s funds have a ‘strategic’ interest, the AMC, where not in contrast with the provisions on conflict of interests, could apply its standard Proxy Voting Policies, making use, where possible, of automatic systems provided by third parties (independent Proxy Voting Services), to the extent applicable. The list of Companies where Pioneer funds have a ‘strategic’ interest will be agreed between Pioneer CIO and Pioneer Global Compliance and will be delivered quarterly by Pioneer’s Global Compliance to the Compliance Officer of the AMC, who in turn will inform, the Proxy Voting Oversight Group. Such list will also be delivered quarterly to the Independent Directors during the meetings, to be held every three months, reporting on the Investment activities (and on potential Conflict of Interest situations), to the extent applicable to and relevant in India. In particular, the following Annual General Meetings (“AGM”) Policy for Strategic Companies shall be complied with, to the extent applicable:

to abstain from voting for the Companies controlled directly and indirectly by UniCredit; for the other strategic Companies – participated by UniCredit or participating in UniCredit

capital to vote via independent Proxy Voting Services, if available, according to PGAM proxy voting policy without any pre-notification. The details of the strategic companies’ AGM are then reported to the Independent Directors on a quarterly basis during their meeting;

for all AGMs to which Pioneer participates trough Assogestioni’s initiatives (only for the agenda items related to the appointments of the members of the Board of Directors and internal statutory Auditors), to report to the Independent Directors on a quarterly basis during their meeting, without any pre-notification. However Investments consults with the Global CIO as a member of the Assogestioni Corporate Governance Committee. In particular cases, due the sensitivity of the Strategic Companies and the agenda items, Investments may consult with the Global CIO and PGAM Compliance Officer in advance;

for all the other companies (non-strategic) to vote according to the Policy and through independent Proxy Voting Services, if available.

5.3 Proxy Voting Oversight Group The members of the Proxy Voting Oversight Group are to be decided by the Board of the AMC, but will include members from the Investment/Fund Management team, the Head of Operations (COO) and the Compliance Officer (CO). Any other members of Pioneer may be invited to attend meetings and otherwise participate as necessary. The Proxy Voting Oversight Group is responsible for developing, evaluating, and changing (when necessary) the Proxy Voting Policies and Procedures. The group shall meet at least annually to evaluate and review policies and procedures and the services of third-party proxy voting services. In addition, the Proxy Voting Oversight Group will meet as necessary to vote on referral items and address other business as necessary.

5.4 Proxy Coordinator Proxy Coordinator, as already said, will be nominated among the members of the Proxy Voting Oversight Group. The Proxy Coordinator will oversee the activities of the Proxy Voting Oversight Group. This group will be composed of members of the Investment team and the CO, as described in the dedicated chapter, and will be headed, in its works, by the COO. The Proxy Coordinator is responsible for ensuring that these questions and referrals are responded to in a timely fashion and for transmitting appropriate voting instructions to the proxy voting service. 5.5 Referral Items From time to time, the proxy voting service will refer such proxy questions to the Proxy Coordinator as are described by the AMC’s policy to be voted on a case-by-case basis, and are not covered by the AMC’s guidelines or where the guidelines may be unclear with respect to the matter to be voted on. Under such certain circumstances, the Proxy Coordinator will seek a written voting recommendation from the relevant analyst(s) or Fund Manager(s). Any such recommendation will include:

(i) the manner in which the proxies should be voted; (ii) the rationale underlying any such decision; and (iii) the disclosure of any contacts or communications made between Pioneer and any

outside parties concerning the proxy proposal prior to the time that the voting instructions are provided.

In addition, the Proxy Coordinator will ask the Compliance Department to review the question for any actual or apparent conflict of interest as described below under “Conflicts of Interest”. The Compliance Department will provide a “Conflicts of Interest Report,” applying the criteria set forth below under “Conflicts of Interest,” to the Proxy Coordinator summarizing the results of its review. In the absence of a conflict of interest, the Proxy Coordinator will vote in accordance with the recommendation of the Investment Operations/Investment Control department. If the matter presents a conflict of interest for Pioneer, then the Proxy Coordinator will refer the matter to the Proxy Voting Oversight Group for a decision and the Independent Directors, possibly before the decision is taken. In general, when a conflict of interest is present, the AMC will vote according to the recommendation of the Investment team (only where such recommendation would go against the AMC’s interest or where the conflict is deemed to be immaterial). The AMC, after transiting such decision through the Oversight Group, will vote, keeping in mind the recommendations of its proxy voting service when the conflict is deemed to be material and the AMC’s internal vote recommendation would favour the AMC’s interest. When making the final determination as to how to vote a proxy, the Proxy Voting Oversight Group should review the report from the Investment team and the Conflicts of Interest Report issued by the Compliance Department. 5.6 Conflicts of Interest A conflict of interest occurs when the interest of the AMC or any other UniCredit Group affiliated Company interferes with the investor’s interest. In fact, occasionally, the AMC may have a conflict that can affect how it votes proxies. The conflict may be actual or perceived and may exist when the matter to be voted on concerns: An affiliate of the AMC such as another company belonging to the UniCredit Spa banking

group or a group company of Bank of Baroda;

An issuer of a security for which Bank of Baroda, Pioneer or any UCI affiliated Company acts as a sponsor, advisor, manager, custodian, distributor, underwriter, broker, or other similar capacity (including those securities declared in a conflict of interest by the special task force composed of the MD, Investments team (CIO, when hired) and CO – please refer to Conflicts of Interest guidelines);

A person with whom the AMC (or any affiliate) has an existing, material contract or business relationship that was not entered into in the ordinary course of the AMC’s business.

The AMC will abstain from exercising voting rights when participating in general meetings of companies directly or indirectly owned by UniCredit Group. In any case the AMC’s personnel (and/or proxy voting services) will have to inform the CO or delegate Compliance in advance and the Independent Directors in case of participation in these general meetings. Any associate involved in the proxy voting process with knowledge of any apparent or actual conflict of interest must disclose such conflict to the Proxy Coordinator and the Compliance Department. The Compliance Department will review each item referred to the AMC to determine whether an actual or potential conflict of interest with the AMC exists in connection with the proposal(s) to be voted upon. For each referral item, the determination regarding the presence or absence of any actual or potential conflict of interest will be documented in a Conflicts of Interest Report to the Proxy Coordinator. 5.7 Securities Lending The AMC shall reserve voting rights and all lent securities, if any, shall be made available to be voted. The Proxy Coordinator will work with the Fund Manager and Investment team to recall the securities. It is excluded that voting rights will be impaired by any security lending program in place affecting the relevant securities, unless the economic costs that the recall procedure generates impair the best interests of the clients/subscribers. 5.8 Share Blocking – Does not, for the time being, apply in India. 5.9 Record Keeping The Proxy Coordinator shall ensure that the AMC’s proxy voting service and also its delegated entities: Retain a copy of the proxy statement received (if any); Retain a record of the vote cast; Prepare any other form as may be required by the local laws or regulations, and Is able to promptly provide the AMC with a copy of the voting record upon its request. The Proxy Coordinator shall ensure that for those votes that may require additional documentation (i.e. conflicts of interest, exception votes and case-by-case votes) the following records are maintained: A record memorializing the basis for each referral vote cast; A copy of any document created by the AMC that was material in making the decision on

how to vote the subject proxy; and A copy of any conflict notice, conflict consent or any other written communication (including

emails or other electronic communications) to or from the client regarding the subject proxy vote cast by, or the vote recommendation of the AMC.

The AMC shall maintain the above records in the client’s file for a period not less than ten (10) years. 5.10 Disclosure The AMCs will disclose on its website as well as in the annual report distributed to the unit holders under the schemes of the Fund, the actual exercise of their proxy votes in the AGMs / EGMs of the investee companies. The formats are given in Annex C.

Annex A – Administrative The matters on which, at an AGM / EGM, voting rights may be exercised in respect of shares held by the schemes of the Fund shall include, but may not necessarily be limited to the following: Corporate governance matters, including changes in the state of incorporation, merger and

other corporate restructuring, and anti takeover provisions; Changes to capital structure, including increases and decreases of capital and preferred

stock issuances; Stock option plans and other management compensation issues; Social and corporate responsibility issues; Appointment and Removal of Directors; Any other issue that may affect the interest of the shareholders in general and interest of the

unit-holders in particular; In addition, it is advisable to generally support, subject to the General Guiding Principles for Exercise of Votes, the following and similar other management proposals, as applicable : • Corporate name change. • Change of corporate headquarters. • Stock exchange listing. • Adjournment or postponement of AGM. • Acceptance / approval of financial statements. • Approval of dividend payments, dividend reinvestment plans and other dividend-related

proposals. • Approval of minutes and other formalities. • Authorization of the transferring of reserves and allocation of income. • Approval of accounting method changes or change in fiscal year-end. • Acceptance of labour agreements. • Appointment of internal auditors. It is advisable to vote on a case-by-case basis on other routine business in accordance with the best practices and also the General Guiding Principles for Exercise of Votes, in order to achieve the best interest of the unit holders of the schemes of the Fund. The AMC may also instruct its custodian and / or proxy voting service, if any, to inform the AMC of its analysis of any administrative items inconsistent, in its view, with supporting the value of the portfolio holdings in the schemes of the Fund so that the AMC may consider and vote on those items on a case-by-case basis. The following sections list some of the areas where companies seek share holders’ votes and the general approach of the AMC in exercising votes on proposals in those areas, and as mentioned earlier, in exercising votes or abstaining from doing so, the AMC will be guided by the General Guiding Principles for Exercise of Votes. 1. Auditors In accordance with the best practices and in order to achieve the best interest of investors, it is advisable to normally vote for proposals in respect of the following, to the extent applicable as per the extant law in India: Ratify the auditors – The AMC will consider voting against the ratification, if the AMC is

concerned about the auditors’ independence or their past work for the company concerned. Specifically, it is advisable to oppose the ratification of auditors and withhold votes from audit committee members, if non-audit fees paid by the company to the auditing firm exceed the sum of audit fees plus audit-related fees plus permissible tax fees.

Restore shareholder rights to ratify the auditors. Prohibit auditors from engaging in non-audit services for the company. It is advisable to also, to the extent applicable as per the extant law in India, normally oppose proposals that require companies to: • Seek bids from other auditors. • Rotate auditing firms only for opportunistic reasons and / or for convenience. • Indemnify auditors.

2. Board of Directors On issues related to the board of directors of companies, it is advisable to normally support the management. It is advisable to, however, consider a vote against the management in instances where corporate performance has been very poor or where the board appears to lack independence. 2.1 General Board Issues In accordance with the best practices and in order to achieve the best interest of investors and to the extent applicable as per the extant law in India it is advisable to vote for the following: Audit, compensation and nominating committees composed by a large majority of

independent directors. Indemnification for directors for actions taken in good faith in accordance with the business

judgment rule. It is advisable to vote against proposals for broader indemnification. Changes in board size that appear to have a legitimate business purpose and are not

primarily for anti-takeover reasons. Election of an honorary director. It is advisable to vote against the following, to the extent applicable: Minimum stock ownership by directors. Term limits for directors. Companies benefit from experienced directors and shareholder

control is better achieved through annual votes. Requirements for union or special interest representation on the board. Requirements to provide two candidates for each board seat. It is advisable to vote on a case-by-case basis on the following issues, to the extent applicable in accordance with the extant law in India: • Separate chairman and CEO positions. It is advisable to vote with shareholders on these issues in case of poor performance. 2.2 Election of Directors In uncontested elections of directors, it is advisable to vote against the following: • Individual directors with absenteeism above 25% without a valid reason. It is advisable to support proposals that require disclosure of director attendance. • Insider / Associate directors and affiliated outsiders who sit on the audit, compensation, stock option or nominating committees, as applicable. For the purposes of this policy, the definition of Insider / Associate directors, as provided in the extant laws and regulations applicable in India or as provided by the custodian and / or proxy voting services, if any, shall be acceptable. It is advisable to consider voting against: • Directors who have failed to act on a takeover offer where the majority of shareholders have tendered their shares. • Directors who appear to lack independence or are associated with very poor corporate performance. It is advisable to consider voting, on a case-by-case basis, on the following issues: • Re-election of Directors who have implemented or renewed a dead-hand or modified dead-hand poison pill (a “dead-hand poison pill” is a shareholder rights plan that may be altered only by incumbent or “dead “ directors. These plans prevent a potential acquirer from disabling a poison pill by obtaining control of the board through a proxy vote). • Contested election of directors. • Supporting the election of a majority of independent directors in case of poor performances. • Mandatory retirement policies. • Directors who have ignored a shareholder proposal that has been approved by shareholders for two consecutive years.

2.3 Takeover Related Measures The AMC is generally opposed to proposals that may discourage takeover attempts. The AMC believes that the potential for a takeover helps ensure that corporate performance remains high. It is advisable to vote for the following, to the extent applicable: • Cumulative voting. • Increased ability for shareholders to call special meetings. • Increased ability for shareholders to act by written consent. • Restrictions on the ability to make greenmail payments. • Submitting rights plans to shareholder vote. • Rescinding shareholder rights plans (“poison pills”). • Opting out of the following stake takeover statutes, to the extent and if applicable as per the extant law in India:

Control share acquisition statutes, which deny large holders voting rights on holdings over a specified threshold.

Control share cash-out provisions, which require large holders to acquire shares from other holders.

Freeze-out provisions, which impose a waiting period on large holders before they can attempt to gain control.

Stakeholder laws, which permit directors to consider interests of non-shareholder constituencies.

Disgorgement provisions, which require acquirers to disgorge profits on purchases made before gaining control.

Fair price provisions. Labour protection provisions. Authorization of shareholder rights plans. Mandatory classified boards.

It is advisable to vote on a case-by-case basis on the following issues, to the extent applicable as per the extant law in India: Fair price provisions. It is advisable to vote against provisions requiring any form of

supermajority votes to approve takeovers. It is also advisable to also consider voting against proposals that require any super qualified majority votes to repeal or amend the provision. Finally, the AMC will consider the mechanism used to determine the fair price; the AMC is generally opposed to complicated formulas or requirements to pay a premium.

Opting out of stake takeover statutes regarding fair price provisions. It is advisable to use the criteria used for fair price provisions in general to determine its vote on this issue.

Proposals that allow shareholders to nominate directors.

It is advisable to consider voting against the following, to the extent applicable as per the extant law in India: Classified boards. Limiting shareholder ability to remove or appoint directors. It is advisable to support

proposals to restore shareholder authority in this area. It is advisable to review, on a case-by-case basis, proposals which authorize the board to make interim appointments.

Classes of shares with unequal voting rights. Super qualified majority vote requirements. Severance packages. It is advisable to support proposals to put these packages to

shareholder vote. Reimbursement of dissident proxy solicitation expenses. While the AMC will ordinarily

support measures that encourage takeover bids, the AMC believes that the management should have full control over corporate funds.

Extension of advance notice requirements for shareholder proposals. Granting board authority normally retained by shareholders. Plans for rights issues/ Shareholder rights plans (“poison pills”) – These plans generally allow

shareholders to buy additional shares at a below-market price in the event of a change in control and may deter some bids.

3. Capital Structure Managements need considerable flexibility in determining the company’s financial structure, and the AMC normally supports managements’ proposals in this area. It is advisable to, however, reject proposals that impose high barriers to potential takeovers. It is advisable to consider voting for the following, to the extent applicable as per the extant law in India:

Changes in par value. Reverse splits (Reduction in authorised share capital), if accompanied by a reduction in

number of shares. Shares repurchase / buy-back programs, if all shareholders may participate on equal

terms. Bond / Debenture issuance. Cancellation of company treasury shares. Increases in "ordinary" preference shares. Proposals to have blank-check common stock placements (other than shares issued in

the normal course of business) submitted for shareholder approval. It is advisable to vote on a case-by-case basis on the following issues, to the extent applicable as per the extant law in India:

Reverse splits (Reduction in authorised share capital) which is not accompanied by a reduction in the number of shares, considering the risk of delisting.

Increase in authorized share capital. It is advisable to make a determination considering, among other factors: Number of shares currently available for issuance;

Size of requested increase (It is advisable to approve increases of up to 100% of current authorization); Proposed use of the additional shares; and Potential consequences of a failure to increase the number of shares outstanding

(e.g., delisting or bankruptcy). Blank-check preferred. It is advisable to normally oppose issuance of a new class of

blank-check preferred, but may approve an increase in a class already outstanding if the company has demonstrated that it uses this flexibility appropriately.

Proposals to submit private placements to shareholder vote. Other financing plans.

It is advisable to vote against pre-emptive rights that it believes will limit a company’s financing flexibility. 4. Compensation It is advisable to support compensation plans that link pay to shareholder returns, and believes that the management has the best understanding of the level of compensation needed to attract and retain qualified people. At the same time, stock-related compensation plans have a significant economic impact and a direct effect on the balance sheet. Therefore, while the AMC does not want to micromanage a company’s compensation program, it will place limits on the potential dilution these plans may impose. It is advisable to vote for the following, to the extent applicable as per the extant law in India:

Voluntary contribution pension plans. Employee Stock Options (ESOPs), as long as the shares allocated to ESOPs are less

than 5% of the outstanding shares. Larger blocks of stock in ESOPs can serve as a takeover defence. It is advisable to support proposals to submit ESOPs to shareholder vote.

Various issues related to the specific provisions of law, including: o Amendments to performance plans; o Caps on annual grants or amendments of administrative features; o Adding performance goals; and o Cash or cash-and-stock bonus plans.

Establishing a process to link pay, including stock-option grants, to performance, leaving the specifics of implementation to the company concerned.

Requiring that option re-pricing be submitted to shareholders. Requiring the expensing of stock-option awards. Requiring reporting of executive retirement benefits (e.g. deferred compensation, split-

dollar life insurance, pension benefits and others as may be referred by law). ESOPs, where the purchase price is equal to at least 85% of the market price, where the

offering period is no greater than 27 months and where potential dilution (as defined below) is no greater than 10%.

Stock options plans or any plan linked to share distribution if short period performances and / or holdings are not particularly rewarded.

It is advisable to vote on a case-by-case basis on the following issues, to the extent applicable as per the extant law in India: It is advisable to be in favor of proposals that increase participation beyond executives.. All other employee stock purchase plans. All other compensation-related proposals, including deferred compensation plans,

employment agreements, loan guarantee programs and retirement plans. All other proposals regarding stock compensation plans, including extending the life of a plan,

changing vesting restrictions, re-pricing options, lengthening exercise periods or accelerating distribution of awards and pyramiding and cashless exercise programs.

Limits on executive and director pay. Stock in lieu of cash compensation for directors. Pension for non-employee directors (The AMC believes that these retirement plans reduce

directors’ objectivity). Elimination of stock option plans. It is advisable to vote on a case-by-case basis with reference to executive and director stock-related compensation plans: generally supporting proposals asking companies to adopt rigorous vesting provisions for

stock option plans such as those that vest incrementally over, at least, a three- or four-year period with a pro rata portion of the shares becoming exercisable on an annual basis following grant date.

strongly supporting proposals asking companies to disclose their window period policies for stock transactions. Window period policies ensure that employees do not exercise options based on insider information contemporaneous with quarterly earnings releases and other material corporate announcements.

generally supporting proposals asking companies to adopt stock holding periods for their executives.

generally in favor of proposals that increase participation beyond executives. Please also consider the following factors when reviewing these plans: The program must be of a reasonable size. Please consider the approval of plans where the

combined employee and director plans together would generate less than 15% dilution. Please consider the rejection of plans with 15% or more potential dilution.

Dilution = (A + B + C) / (A + B + C + D), where A = Shares reserved for plan/amendment, B = Shares available under continuing plans, C = Shares granted but unexercised and D = Shares outstanding.

The plan should not explicitly permit unlimited option re-pricing authority or that have re-priced in the past without shareholder approval.

5. Corporate Governance It is advisable to vote for the following, to the extent applicable as per the extant law in India: Confidential Voting. Equal access provisions, which allow shareholders to contribute their opinion to proxy

materials.

Proposals requiring Directors to disclose their ownership of corporate securities. It is advisable to vote on a case-by-case basis on the following issues, to the extent applicable as per the extant law in India::

Change in the state of incorporation. It is advisable to support re-incorporations supported by valid business reasons. It is advisable to oppose those that appear to be solely for the purpose of strengthening takeover defenses.

Bundled proposals. It is advisable to evaluate the overall impact of the proposal. Adopting of or amending the memorandum and / or articles of association. Shareholder appraisal rights, which allow shareholders to demand judicial review of an

acquisition price. It is advisable to consider voting against: Shareholder advisory committees. While the management should solicit shareholder input,

the AMC prefers to leave the method of doing so to the discretion of the management. Limitations on stock ownership or voting rights. Reduction in share ownership disclosure guidelines. 6. Mergers and Restructuring It is advisable to vote on the following and similar issues on a case-by-case basis, to the extent applicable: Mergers and acquisitions. Corporate restructuring, including spin-off (where a company "splits off" sections of itself as

a separate business), liquidation, asset sale, joint venture, conversion to holding company and conversions to self-managed REIT structure.

Debt restructuring. Conversion of securities. Issuance of shares to facilitate a merger. Private placements, warrants, convertible debentures. Proposals requiring management to inform shareholders of merger opportunities.

It is advisable to normally vote against shareholder proposals requiring that the company be put up for sale. 7. Mutual Funds Some of the schemes of the Fund may invest in the shares of mutual funds or exchange traded funds. The non-corporate structure of these investments raises several unique proxy voting issues. Therefore, It is advisable to vote for the following, to the extent applicable: • Establishment of new classes or series of shares. • Establishment of a master-feeder structure. It is advisable to vote for the following, to the extent applicable, on a case-by-case basis: • Changes in fundamental attributes, such as investment objective, asset allocation pattern, liquidity provisions, listing, increase in fees and expenses etc. and / or any other matter that may adversely affect the interests of unit holders of the scheme concerned. • Approval of new or amended advisory contracts. • Change from a close-end to an open-end scheme. • Disposition of assets, termination, liquidation, winding up of scheme etc. 8. Investments in Group Companies of the AMC and Companies that have

Subscribed to the Units of the Schemes of the Fund Investment by the schemes of the Fund in the group companies of the AMC as well as in companies that have subscribed to the units of the schemes of the Fund will be strictly in compliance of the requirements of the SEBI (Mutual Funds) Regulations, 1996, as amended from time to time. The AMC will adopt the same governance measures in respect of voting on proposals of such companies as it follows in respect of proposals of other companies which are

not associated, in any manner whatsoever, with the AMC. The AMC will ensure, while voting on proposals of such companies, that it makes the best efforts to avoid any situation of conflict of interest, and in the event of encountering a situation of conflict of interest, the AMC will ensure that it is resolved in the best interest of the unit holders of the schemes of the Fund. The AMC will also be guided by its Conflicts of Interest Policy in managing and resolving such situations; provided, however, that the resolution will always be in the best interest of the unit holders of the schemes of the Fund.

Annex B – Social and Environmental Issues It is advisable to support shareholders’ social, workforce and environmental proposals that create good corporate citizens and improve the company’s public image. It is advisable to abstain on proposals calling for greater disclosure of corporate activities with regard to social issues. “Social issues” may generally be described as shareholders’ proposals for a company to:

o Conduct studies regarding certain issues of public concern and interests; o Study the feasibility of the company taking certain actions with regard to such

issues or o Take specific actions, including ceasing certain behavior and adopting company

standards and principles in relation to issues of public concern and interest It is advisable to vote against proposals calling for radical and drastic changes in the company’s business or activity. Please also consider voting against proposals with regard to contributions, believing that management should control the routine disbursement of funds. It is advisable to vote for:

Board Diversity: proposals asking the board to take additional measures to ensure that more women and minorities are considered for nomination, or otherwise commit to a policy of board inclusiveness;

Equal employment opportunities;

Human Rights: proposals asking companies to adopt codes of conduct addressing global

labor and human rights practices, to establish credible monitoring programs and to publicly report on these efforts;

Tobacco Sales restrictions on children;

Investing in clean / renewable energy: proposals seeking the preparation of a report on

a company‘s activities related the development of renewable energy sources;

Specific social and environmental proposals – Voting suggestions (To the extent applicable in India)

AGENDA ITEM

POLICY PROVISION POLICY POSITION VOTE INDICATIONS

Diversity and Equality

Add Women and Minorities to Board

Vote for shareholder proposals that ask the company to take steps to nominate more women and racial minorities to the board.

VOTE FOR

Vote for shareholder proposals asking for reports on board diversity.

VOTE FOR


AGENDA ITEM


Vote for shareholder proposals asking companies to adopt nomination charters or amend existing charters to include reasonable language addressing diversity.

VOTE FOR

Report on the Distribution of Stock Options by Gender and Race

Vote case by case shareholder proposals asking companies to report on the distribution of stock options by race and gender of the recipient.

REFER

Prepare Report/Promote EEOC-Related Activities

Vote for shareholder proposals that ask the company to report on its diversity and/or affirmative action programs.

VOTE FOR

Vote for shareholder proposals calling for legal and regulatory compliance and public reporting related to non-discrimination, affirmative action, workplace health and safety, and labour policies and practices that effect long-term corporate performance.

VOTE FOR

Vote for shareholder proposals requesting non-discrimination in salary, wages and all benefits.

VOTE FOR

Vote for shareholder proposals calling for action on equal employment opportunity and antidiscrimination.

VOTE FOR

Report on Progress Toward Glass Ceiling Commission Recommendations

Vote for shareholder proposals that ask the company to report on its progress against the Glass Ceiling Commission‘s recommendations.

VOTE FOR

Vote for shareholder proposals seeking to eliminate the "glass ceiling" for women and minority employees.

VOTE FOR

Prohibit Discrimination on the Basis of Sexual Orientation or Gender Identity

Vote for shareholder proposals to include language in EEO statements specifically barring discrimination on the basis of sexual

VOTE FOR


AGENDA ITEM


orientation or gender identity.

Vote for shareholder proposals seeking reports on a company‘s initiatives to create a workplace free of discrimination on the basis of sexual orientation or gender identity.

VOTE FOR

Vote against shareholder proposals that seek to eliminate protection already afforded to gay and lesbian employees.

VOTE AGAINST

Report on/Eliminate Use of Racial Stereotypes in Advertising

Vote case by case shareholder proposals seeking more careful consideration of using racial stereotypes in advertising campaigns, including preparation of a report on this issue.

REFER

Labor and Human Rights

Codes of Conduct and Vendor Standards

Vote for shareholder proposals to implement human rights standards and workplace codes of conduct.

VOTE FOR

Vote for shareholder proposals calling for the implementation and reporting on ILO codes of conduct, SA 8000 Standards, or the Global Sullivan Principles.

NOT APPLICABLE

Vote for shareholder proposals that call for the adoption of principles or codes of conduct relating to company investments in countries with patterns of human rights abuses (e.g. Northern Ireland, Burma, former Soviet Union, and China).

VOTE FOR

Vote for shareholder proposals that call for independent monitoring programs in conjunction with local and respected religious and human rights groups to monitor supplier and licensee compliance with codes.

VOTE FOR

Vote for shareholder proposals that seek publication of a "Code of

VOTE FOR


AGENDA ITEM


Conduct" to the company‘s foreign suppliers and licensees, requiring they satisfy all applicable standards and laws protecting employees‘ wages, benefits, working conditions, freedom of association, and other rights.

Vote for shareholder proposals seeking reports on, or the adoption of, vendor standards including: reporting on incentives to encourage suppliers to raise standards rather than terminate contracts and providing public disclosure of contract supplier reviews on a regular basis.

VOTE FOR

Vote for shareholder proposals to adopt labour standards for foreign and domestic suppliers to ensure that the company will not do business with foreign suppliers that manufacture products for sale in the U.S. using forced labour, child labour, or that fail to comply with applicable laws protecting employee‘s wages and working conditions.

VOTE FOR

Adopt/Report on MacBride Principles

Vote for shareholder proposals to report on or implement the MacBride Principles.

VOTE FOR

Community Impact Assessment / Indigenous Peoples’ Rights

Vote for shareholder proposals to prepare reports on a company‘s environmental and health impact on communities.

VOTE FOR

Report on Risks of Outsourcing

Vote case by case shareholders proposals asking for companies to report on the risks associated with outsourcing or off-shoring.

REFER

Report on the Impact of Health Pandemics on Company Operations

Vote case by case shareholder proposals asking for companies to report on the impact of pandemics, such as

REFER


AGENDA ITEM


HIV/AIDS, Malaria, and Tuberculosis, on their business strategies.

Operations in High Risk Markets

Reports on Operations in Burma/Myanmar

Vote for shareholder proposals to adopt labour standards in connection with involvement in Burma. Vote for shareholder proposals seeking reports on Burmese operations and reports on costs of continued involvement in the country. Vote for shareholder proposals to pull out of Burma on a case-by-case basis.

Reports on Operations in China

Vote for shareholder proposals requesting more disclosure on a company‘s involvement in China

VOTE FOR

Vote on a case-by-base basis shareholder proposals that ask a company to terminate a project or investment in China.

REFER

Product Sales to Repressive Regimes

Vote case-by-case on shareholder proposals requesting that companies cease product sales to repressive regimes that can be used to violate human rights.

REFER

Vote for proposals to report on company efforts to reduce the likelihood of product abuses in this manner.

VOTE FOR

Internet Privacy and Censorship

Vote for resolutions requesting the disclosure and implementation of Internet privacy and censorship policies and procedures.

VOTE FOR

Disclosure on Plant Closings

Vote for shareholder proposals seeking greater disclosure on plant closing criteria if the company has not provided such information.

VOTE FOR

Environment

Environmental/Sustainability Report

Vote for shareholder proposals seeking greater disclosure on the company‘s environmental practices, and/or environmental risks and liabilities.

VOTE FOR


AGENDA ITEM


Vote for shareholder proposals asking companies to report in accordance with the Global Reporting Initiative (GRI).

VOTE FOR

Vote for shareholder proposals to prepare a sustainability report.

VOTE FOR

Vote for shareholder proposals to study or implement the CERES principles.

VOTE FOR

Vote for shareholder proposals to study or implement the Equator Principles.

VOTE FOR

Climate Change/Greenhouse Gas Emissions

Vote for shareholder proposals seeking disclosure of liabilities or preparation of a report pertaining to global warming and climate change risk.

VOTE FOR

Vote for shareholder proposals calling for the reduction of GHG or adoption of GHG goals in products and operations.

VOTE FOR

Vote for shareholder proposals seeking reports on responses to regulatory and public pressures surrounding climate change, and for disclosure of research that aided in setting company policies around climate change.

VOTE FOR

Vote for shareholder proposals requesting a report on greenhouse gas emissions from company operations and/or products and operations.

VOTE FOR

Invest in Clean/Renewable Energy

Vote for shareholder proposals seeking the preparation of a report on a company‘s activities related to the development of renewable energy sources.

VOTE FOR

Vote for shareholder proposals seeking increased investment in renewable energy sources unless the terms of the

VOTE FOR


AGENDA ITEM


resolution are overly restrictive.

Energy Efficiency

Vote for shareholder proposals requesting a report on company energy efficiency policies and/or goals.

VOTE FOR

Operations in Protected/Sensitive Areas

Vote for requests for reports on potential environmental damage as a result of company operations in protected regions.

VOTE FOR

Vote for shareholder proposals asking companies to prepare a feasibility report or to adopt a policy not to mine, drill, or log in environmentally sensitive areas.

VOTE FOR

Vote for shareholder proposals seeking to prohibit or reduce the sale of products manufactured from materials extracted from environmentally sensitive areas such as old growth forests.

VOTE FOR

Phase Out Chlorine-Based Chemicals

Vote for shareholder proposals to prepare a report on the phase-out of chlorine bleaching in paper production.

VOTE FOR

Vote on a case-by-case basis on shareholder proposals asking companies to cease or phase-out the use of chlorine bleaching.

REFER

Land Procurement and Development

Vote Against shareholder proposals requesting that companies report on or adopt policies for land procurement and utilize the policies in their decision-making.

VOTE AGAINST

Report on the Sustainability of Concentrated Area Feeding Operations (CAFO)

Vote for requests that companies report on the sustainability and the environmental impacts of both company-owned and contract livestock operations.

VOTE FOR

Adopt a Comprehensive Recycling Policy

Vote for shareholder proposals requesting the preparation of a report on

VOTE FOR


AGENDA ITEM


the company‘s recycling efforts.

Vote for shareholder proposals that ask companies to increase their recycling efforts or to adopt a formal recycling policy.

VOTE FOR

Facility Safety

Vote case by case on shareholder proposals requesting companies report on or implement procedures associated with their operations and/or facilities on a case-by-case basis.

REFER

Nuclear Energy

Vote for shareholder proposals seeking the preparation of a report on a company‘s nuclear energy procedures.

VOTE FOR

Vote case-by-case on proposals that ask the company to cease the production of nuclear power.

REFER

Water Use

Vote for shareholder proposals seeking the preparation of a report on a company‘s risks linked to water use.

VOTE FOR

Kyoto Protocol Compliance

Vote for shareholder proposals asking companies to review and report on how companies will meet GHG reduction targets of the Kyoto-compliant countries in which they operate.

VOTE FOR

Health and Safety Toxic Materials

Vote for shareholder proposals asking companies to report on policies and activities to ensure product safety.

VOTE FOR

Vote for shareholder proposals asking companies to disclose annual expenditures relating to the promotion and/or environmental clean-up of toxins.

VOTE FOR

Vote for shareholder proposals asking companies to report on the feasibility of removing, or substituting with safer

VOTE FOR


AGENDA ITEM


alternatives, all "harmful" ingredients used in company products.

Product Safety

Generally vote for proposals requesting the company to report on or adopt consumer product safety policies and initiatives.

VOTE FOR

Generally vote for proposals requesting the study, adoption and/or implementation of consumer product safety programs in the company's supply chain.

VOTE FOR

Report on Handgun Safety Initiatives

Vote for shareholder proposals asking the company to report on its efforts to promote handgun safety.

VOTE FOR

Vote against shareholder proposals asking the company to stop the sale of handguns and accessories.

VOTE AGAINST

Phase-out or Label Products Containing Genetically Engineered Ingredients

Vote for shareholder proposals to label products that contain genetically engineered products or products from cloned animals.

VOTE FOR

Vote for shareholder proposals that ask the company to phase out the use of genetically engineered ingredients in their products.

VOTE FOR

Vote for shareholder proposals that ask the company to report on the use of genetically engineered organisms in their products.

VOTE FOR

Vote for shareholder proposals asking for reports on the financial, legal, and operational risks posed by the use of genetically engineered organisms.

VOTE FOR

Tobacco-related Proposals

Vote against shareholder proposals seeking to limit the sale of tobacco products to children.

VOTE AGAINST


AGENDA ITEM


Vote against shareholder proposals asking producers of tobacco product components (such as filters, adhesives, flavourings, and paper products) to halt sales to tobacco companies.

VOTE AGAINST

Vote against shareholder proposals that ask restaurants to adopt smoke-free policies and that ask tobacco companies to support smoke-free legislation.

VOTE AGAINST

Vote case by case on shareholder proposals seeking a report on a tobacco company‘s advertising approach.

REFER

Vote against shareholder proposals at insurance companies to cease investment in tobacco companies.

VOTE AGAINST

Vote case by case on proposals at producers of cigarette components calling for a report outlining the risks and potential liabilities of the production of these components.

REFER

Vote against proposals calling for tobacco companies to cease the production of tobacco products.

VOTE AGAINST

Vote case by case on shareholder proposals asking companies to stop all advertising, marketing and sale of cigarettes using the terms "light," "ultra-light," "mild," and other similar words and/or colours.

REFER

Vote against shareholder proposals asking companies to increase health warnings on cigarette smoking. (i.e.: information for pregnant women, "Canadian Style" warnings, filter safety).

VOTE AGAINST

Adopt Policy/Report on Drug Pricing

Vote case by case on shareholder proposals to REFER


AGENDA ITEM


prepare a report on drug pricing.

Vote against shareholder proposals to adopt a formal policy on drug pricing.

VOTE AGAINST

Vote case by case on shareholder proposals that call on companies to develop a policy to provide affordable HIV, AIDS, TB and Malaria drugs in third-world nations.

REFER

Vote for proposals asking for reports on the economic effects and legal risks of limiting pharmaceutical products to Canada or certain wholesalers.

VOTE FOR

Vote against proposals requesting that companies adopt policies not to constrain prescription drug re-importation by limiting supplies to foreign markets.

VOTE AGAINST

Healthcare Reform and Disclosure

Vote against shareholder proposals requesting companies to endorse or adopt IOM –based healthcare reform principles.

VOTE AGAINST

Vote case by case on shareholder proposals requesting a report on the implications of rising healthcare costs.

REFER

Ride Safety

Vote case by case on shareholder proposals to report on ride safety.

REFER

Government and Military

Prepare Report to Renounce Future Landmine Production

Vote against shareholder proposals seeking a report on the renouncement of future landmine production.

VOTE AGAINST

Prepare Report on Foreign Military Sales

Vote against shareholder proposals to report on foreign military sales or offset agreements.

VOTE AGAINST

Vote against proposals that call for outright restrictions on foreign military sales.

VOTE AGAINST

Depleted Uranium/Nuclear Weapons

Vote for shareholder proposals requesting a report on involvement, policies, and procedures related to depleted

VOTE FOR


AGENDA ITEM


uranium (DU) and nuclear weapons.

Adopt Ethical Criteria for Weapons Contracts

Vote case by case on shareholder proposals asking companies to review and amend, if necessary, the company‘s code of conduct and statements of ethical criteria for military production-related contract bids, awards and execution.

REFER

Animal Welfare

Animal Rights/Testing

Vote against shareholder proposals that seek to limit unnecessary animal testing where alternative testing methods are feasible or not barred by law.

VOTE AGAINST

Vote for shareholder proposals that ask companies to adopt or/and report on company animal welfare standards.

VOTE FOR

Vote for shareholder proposals asking companies to report on the operational costs and liabilities associated with selling animals.

VOTE FOR

Vote against shareholder proposals to eliminate cruel product testing methods.

VOTE AGAINST

Vote against shareholder proposals that seek to monitor, limit, report, or eliminate outsourcing animal testing to overseas laboratories.

VOTE AGAINST

Vote case by case shareholder proposals to publicly adopt or adhere to an animal welfare policy at both company and contracted laboratory levels.

REFER

Vote against shareholder proposals to evaluate, adopt or require suppliers to adopt CAK and/or CAS slaughter methods.

VOTE AGAINST

Political and Lobbying Efforts

Vote case by case shareholder proposals asking companies to

REFER


AGENDA ITEM


Charitable Giving

review and report on how companies utilize lobbying efforts to challenge scientific research and governmental legislation.

Non-Partisanship/ Political Contributions

Vote case by case proposals calling for a company to disclose its political and trade association contributions, unless the terms of the proposal are unduly restrictive.

REFER

Vote against proposals calling for a company to maintain a policy of non-partisanship and to limit political contributions.

VOTE AGAINST

Vote against proposals calling for a company to refrain from making any political contributions.

VOTE AGAINST

Control over Charitable Contributions

Vote against shareholder proposals giving criteria for requiring shareholder ratification of grants.

VOTE AGAINST

Vote against shareholder proposals requesting that companies prohibit charitable contributions.

VOTE AGAINST

Disclosure on Prior Government Service

Vote against shareholder proposals calling for the disclosure of prior government service of the company‘s key executives.

VOTE AGAINST

Consumer Lending and Economic Development

Adopt Policy/Report on Predatory Lending Practices

Vote case by case on shareholder proposals seeking the development of a policy or preparation of a report to guard against predatory lending practices.

REFER

Disclosure on Credit in Developing Countries (LDCs) or Forgive LDC Debt

Vote case by case on shareholder proposals asking for disclosure on lending practices in developing countries, unless the company has demonstrated a clear proactive record on the issue.

REFER

Vote against shareholder proposals asking banks to forgive loans outright.

VOTE AGAINST

Vote case-by-case on shareholder proposals REFER


AGENDA ITEM


asking for loan forgiveness at banks that have failed to make reasonable provisions for non-performing loans.

Vote case by case on proposals to restructure and extend the terms of non-performing loans.

REFER

Community Investing

Vote for proposals that seek a policy review or report addressing the company‘s community investing efforts.

VOTE FOR

Miscellaneous Adult Entertainment

Vote case by case on shareholder proposals that seek a review of the company‘s involvement with pornography.

REFER

Abortion/Right to Life Issues

Vote case by case on shareholder proposals that address right to life issues.

REFER

Coffee Crisis

Vote case by case on shareholder proposals asking for reports on company policies related to the coffee crisis.

REFER

Anti-Social Proposals

Vote case by case on shareholder proposals that do not seek to ultimately advance the goals of the social investment community.

REFER

Vote case-by-case on anti-social shareholder proposals seeking a review or report on the company's charitable contributions.

REFER

Violence and Adult Themes in Video Games

Vote case by case on shareholder proposals asking for reports on company policies related to the sale of mature-rated video games to children and teens.

REFER

Annex C – Formats (i) Revised format for disclosure of vote cast by Mutual Funds - during an individual quarter

Details of Votes cast during the quarter ended __, of the Financial year __-__

Meeting

Date Company

Name Type of

meetings (AGM/EGM)

Proposal by Management

or Shareholder

Proposal's description

Investee company’s Management

Recommendation

Vote (For/ Against/ Abstain)

Reason supporting the vote decision

(ii) Revised format for disclosure of voting by Mutual Funds/AMCs during a financial year

Details of Votes cast during the Financial year __-__ Quarter Meeting

Date Company

Name Type of

meetings (AGM/EGM)

Proposal by Management

or Shareholder

Proposal's description

Investee company’s Management

Recommendation

Vote (For/ Against/ Abstain)

Reason supporting the vote decision

(iii) Format of providing the summary of proxy votes cast by Mutual Funds/AMCs across all the investee companies

Summary of Votes cast during the F.Y. ___-___

F.Y. Quarter Total no. of resolutions

Break-up of Vote decision

For Against Abstained

ANNEXURE – III

DISCLOSURE OF EXERCISE OF PROXY VOTES IN EQUITY HOLDINGS ACROSS ALL SCHEMES OF BARODA PIONEER MUTUAL FUND DURING THE FINANCIAL YEAR ENDED MARCH 31, 2017

Summary of Votes cast by Baroda Pioneer Mutual Fund during FY 2016-17

F.Y. Quarter Total no. of Resolutions

Break-up of Vote decision

For Against Abstained

2016-17 Apr-Jun, 2016 83 78 4 1 2016-17 Jul-Sep, 2016 533 511 20 2 2016-17 Oct-Dec, 2016 27 27 0 0 2016-17 Jan-Mar, 2017 27 25 1 1

Details of Votes cast during the financial year 2016-17

Quarter Meeting Date Company Name

Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-

ment (M) or Shareholder

(S)

Proposal's Description

Investee Company’s

Manage-ment

Recommendations

Vote (For/

Against/ Abstain)

Reason Supporting the Vote Decision

Apr-Jun,2016 16-Apr-16 INGERSOLL RAND

INDIA LIMITED

PB

M

Changing the situation of registered office of the

Company

For

For

Internal Management

Apr-

Jun,2016

22-Apr-16

ICICI BANK

LIMITED

PB

M

Appointment of Mr. M.K. Sharma as Independent

Director

For

For

Rich academic and professional experience along

with industry exposure, which

will help the Board of the Bank, and functioning of the

Organisation.

Apr-

Jun,2016

22-Apr-16

ICICI BANK

LIMITED

PB

M

Appointment of Mr. M.K.

Sharma as Non-Executive Director

For

For

Rich academic and professional experience along

with industry


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


exposure, which will help the Board

of the Bank and functioning of the

Organisation.

Apr-

Jun,2016

22-Apr-16

ICICI BANK

LIMITED

PB

M

Appointment of Ms. Vishakha Mulye as Additional Director

For

For

Her academic knowledge and

diverse experience at the

Bank & Subsidiaries will

be an asset to the Board and

Organisation.

Apr-

Jun,2016

22-Apr-16

ICICI BANK

LIMITED

PB

M

Appointment of Ms.

Vishakha Mulye as Whole-Time Director

For

For

Her academic knowledge and

diverse experience at the

Bank & Subsidiaries will

be an asset to the Board and

Organisation.

Apr-

Jun,2016

22-Apr-16

ICICI BANK

LIMITED

PB

M

Amendment to the Employees Stock Option Scheme to align exercise period with the relevant

SEBI regulation

For

For

To comply with SEBI norms.

Apr-

Jun,2016

22-Apr-16

JET AIRWAYS INDIA LIMITED

CRT

M

Scheme of Merger between Jet Lite (India) Ltd and Jet

Airways (India) Ltd

For

For Merger scheme

Apr-Jun,2016 27-Apr-16 FAG BEARINGS

INDIA LIMITED

AGM

M Adoption of Accounts For For Regular course of

business

Apr-Jun,2016 27-Apr-16 FAG BEARINGS

INDIA LIMITED AGM M Declaration of Dividend For For Regular course of business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-

Jun,2016

27-Apr-16

FAG BEARINGS INDIA LIMITED

AGM

M

Re-appointment of Mr.

Avinash Gandhi as Director

For

For

Attended all Board

Meetings. He is Chairman of the

Company.

Apr-

Jun,2016

27-Apr-16


AGM

M


Dietmar Heinrich as Director

For

For

Attended all Board

Meetings.

Apr-

Jun,2016

27-Apr-16


AGM

M

Appointment of M/s B S R &

Co LLP, Chartered Accountants as Auditors

For

For

Regular course of

business

Apr-

Jun,2016

27-Apr-16


AGM

M

Enter into various related

party transactions

For

For

Transactions are being done on an arm’s length basis

Apr-

Jun,2016

27-Apr-16


AGM

M

Payment of remuneration to

Cost Auditors

For

For

Regular course of

business

Apr-

Jun,2016

27-Apr-16


AGM

M

Remuneration to Non-

Executive Director

For

For

In line with

Company Policy and Company Act

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Adoption of Accounts

For

For

Regular course of

business

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Confirmation of Dividend

For

For

Regular course of

business

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Ratification of appointment

of M/s SRBC & Co, as Statutory Auditors

For

For

Regular course of

business

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Approval of remuneration

payable to M/s. N I Mehta & Co, Cost Auditors

For

For

Regular course of

business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of Mr. J Silvestre, as Director

For

Against

Attended less than

75% Board Meetings

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Re-appointment of and

remuneration payable to Dr S Ayyangar, as Managing

Director

For

For

Attended all Board

Meetings

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of and

remuneration payable to Mr. N. Rajaram, as Whole-Time

Director

For

Against

Attended less than

75% Board Meetings

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of and

remuneration payable to Mr. L. Guerin, as Whole-Time

Director

For

Against

Attended less than

75% Board Meetings

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of and

remuneration payable to Mr. A. Sood, as Whole-Time

Director

For

Against

Attended less than

75% Board meetings

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of Mr. Aditya Narayan as Independent

Director

For

For

He is a Master of

Science, University of

Rochester, USA. He has rich

experience in the industry of over 40 years. He has also

served as an Independent Director on a

number of Boards.

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Appointment of Ms. Usha

Thorat as Independent Director

For

For

Ex RBI Deputy Governor. Her


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


experience will help the Company

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M

Adoption of new set of AOA

For

For

Adopt new set of AoA to conform with Companies

Act 2013

Apr-

Jun,2016

29-Apr-16

SANOFI INDIA

LIMITED

AGM

M


party transactions with Loan to Shantha Biotechnics Pvt

Ltd

For

For


Apr-

Jun,2016

29-Apr-16

TORRENT

PHARMACEUTICALS LIMITED

PB

M

Equity shares including

Convertible Bonds / Debentures through Qualified Institutional

Placement (QIP) and / or Depository Receipts or any other modes for an amount

not exceeding Rs. 3,000 crores: and

For

For

Business purpose

Apr-

Jun,2016

29-Apr-16

TORRENT

PHARMACEUTICALS LIMITED

PB

M

Unsecured / Secured

Redeemable Non-Convertible Debentures / Bonds by way of Private Placement for an amount not exceeding Rs. 7,500

crores, subject to the overall borrowing limits of Rs.

10,000 crores.

For

For

Business purpose

Apr-

Jun,2016

24-May-16

ASIAN PAINTS

LIMITED

PB

M

Change of place of keeping and inspection of register and index of members,

returns, etc.

For

For

Internal

Management


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-Jun,2016 4-Jun-16

BRITANNIA INDUSTRIES

LIMITED CRT M

For considering the proposed Scheme of

Arrangement between Daily Bread Gourmet Foods

(India) Private Limited and Britannia Industries Limited

and their respective shareholders and creditors.

For For

Scheme of Arrangement for

business purposes

Apr-Jun,2016 6-Jun-16

BHARAT FIN INCLUSION

LIMITED PB M

Approval for change of the Company' s existing name SKS Microfinance Ltd to

Bharat Financial Inclusion Ltd and consequent

alterations in the MOA and AOA

For For Internal Management

Apr-Jun,2016 7-Jun-16 YES BANK

LIMITED AGM M

Adoption of standalone and consolidated financial

statement for the year ended March 31, 2016

For For Regular course of business


LIMITED AGM M Approval of dividend on equity shares For For Regular course of

business


LIMITED AGM M

Appoint a Director in place of Mr. M.R. Srinivasan (DIN: 00056617), who retires by rotation and being eligible,

offers himself for re-appointment.

For For Attended all Board Meeting


LIMITED AGM M

Appointment of M/s. B. S. R. & Co. LLP., Chartered

Accountants as Auditors and fixation of remuneration

thereof

For For Regular course of business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



LIMITED AGM M

Approval for appointment of Mr. Ajai Kumar (DIN-

02446976) as a Director, liable to retire by rotation

For For

He has a distinguished career in the

banking industry having more than 40 years holding

position of CMD in Corporation Bank, ED in UCO Bank

and GM in Bank of Baroda.


LIMITED AGM M

Approval for appointment of Mr. Ashok Chawla (DIN-

00056133) as an Independent Director

For For

He is the ex- Charmain of CCI

(Competition Commission of India). He is an IAS of 1973 and having more than

40 years of experience in

various sectors of the economy in

India.


LIMITED AGM M

Approval for revision in the remuneration of Mr. Radha

Singh (DIN - 02227854), Non-Executive Part-Time

Chairperson of the Bank, in terms of the RBI approval, effective from November 1,

2015.

For For

In line with Companies Act

and approved by RBI


LIMITED AGM M

Payment of profit based commission to Non-

Executive Directors except Non-Executive Chairperson

For For In line with company act


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-

Jun,2016

7-Jun-16

YES BANK LIMITED

AGM

M

Approval for raising of

capital up to US$ 1 billion by issue of shares or

convertible securities in one or more tranches provided however that the aggregate

amount raised shall not result in increase of the issued and subscribed

equity share capital of the Bank by more than 15% of

the then issued and subscribed equity shares of

the Bank

For

For

To meet Fund requirement

Apr-

Jun,2016

7-Jun-16

YES BANK LIMITED

AGM

M

Approval for borrowing / raising funds in Indian /

foreign currency by issue of debt securities up to Rs.10,000 Crore (the

“NCDs”) to eligible investors on private placement basis

For

For

To meet Fund requirement

Apr-

Jun,2016

17-Jun-16

TATA

CONSULTANCY SERVICES LIMITED

AGM

M


For

For

Regular course of

business

Apr-

Jun,2016

17-Jun-16

TATA


AGM

M

Declaration of Dividend

For

For

Regular course of

business

Apr-

Jun,2016

17-Jun-16

TATA


AGM

M

Re appointment of Mr.

.Ishaat Hussain as Director

For

For

Attended more

than 75% Board Meetings,

Apr-

Jun,2016

17-Jun-16

TATA

CONSULTANCY

AGM

M

For

For

Regular course of

business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


SERVICES LIMITED

Appointment of M/s Deloitte Haskins & Sells, Chartered

Accountants as Auditors

Apr-

Jun,2016

17-Jun-16

TATA


AGM

M

Appointment of Branch

Auditors

For

For

Regular course of

business

Apr-

Jun,2016

21-Jun-16

JAGRAN

PRAKASHAN LIMITED

PB

M

Scheme of Arrangement, between Jagran Prakash Ltd and Crystal Sound &

Music Pvt Ltd and Spectrum Broadcast Holdings Pvt Ltd and Shri Puran Multimedia Ltd and Music Broadcast Ltd and their respective

shareholders and creditors

For

For

Scheme of

Arrangement for business purposes

Apr-

Jun,2016

22-Jun-16

KANSAI NEROLAC PAINTS LIMITED

AGM

M


For

For

Regular course of

business

Apr-

Jun,2016

22-Jun-16


AGM

M


For

For

Regular course of

business

Apr-

Jun,2016

22-Jun-16


AGM

M

Re appointment of Mr. P.D.

Chaudhari as Director

For

For

Attended all Board

Meetings

Apr-

Jun,2016

22-Jun-16


AGM

M

Re appointment of Mr. M.Tanaka as Director

For

For

Attended more

than 75% Board meetings

Apr-

Jun,2016

22-Jun-16


AGM

M

Appointment of M/s. B S R & Co, Chartered Accountants

as Auditors

For

For

Regular course of

business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-Jun,2016

22-Jun-16


AGM

M

Maintenance of Register of Members and other related

books at the place other than Registered Office

For

For

Regular course of

business

Apr-

Jun,2016

25-Jun-16

D.B.

CORPORATION LIMITED

PB

M

Increase in Foreign

Shareholding including but not limited to Foreign

Institutional Investors (FIIs), Non Resident Indians

(NRIs), Foreign Portfolio Investors (FPIs) and

Qualified Foreign Investors (QFIs) from existing 20% up

to an aggregate limit of 26% of the paid up equity

shares capital.

For

For

Increase in FII

limit

Apr-

Jun,2016

27-Jun-16

ITC LIMITED

PB

M

Increase in Authorised

Share Capital

For

For

Business purpose

Apr-

Jun,2016

27-Jun-16

ITC LIMITED

PB

M

Amendment to Article 4 of the Articles of Association

For

For

Internal

Management

Apr-

Jun,2016

27-Jun-16

ITC LIMITED

PB

M

Issue of Bonus Shares in the proportion of 1 Bonus Share

of Re. 1 each for every existing 2 fully paid up

Ordinary Shares of Re. 1 each

For

For

Rewards to share

holder

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M


For

For

Normal Business

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M


For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M


Sujata Prasad as Director

For

For

Attended 75%

Board Meetings. Nominee of Govt

of India.

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M

Appointment of M/s. S R

Batliboi & Co LLP, Chartered Accountants as

Auditors

For

For

Normal Business

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M

Payment of remuneration to Cost Auditors M s K G Goyal

& Company, Cost Accountant

For

For

Normal Business

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M

Appointment of Mr. Sudhir

Kumar as Independent Director

For

For

He has held

senior positions in different Ministries

and Dept of Central

Government. He holds Masters in

Science with specialisation in

Physics.

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M

Appointment of Mr. Akhilesh

Joshi as Whole time Director

For

For

Attended all Board

Meetings

Apr-

Jun,2016

28-Jun-16

HINDUSTAN ZINC

LIMITED

AGM

M

Appointment of Mr. Sunil

Duggal as Chief Executive Officer & Whole time

Director

For

For

Attended all Board

Meetings

Apr-

Jun,2016

30-Jun-16

HINDUSTAN UNILEVER LIMITED

AGM

M

Adoption of Financial

Statements and Reports thereon for the financial year

ended 31st March, 2016

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Apr-

Jun,2016

30-Jun-16


AGM

M

Confirmation of interim

dividend and declaration of final dividend

For

For

Normal Business

Apr-

Jun,2016

30-Jun-16


AGM

M


Harish Manwani as Director

For

For

Attended all Board

Meetings

Apr-

Jun,2016

30-Jun-16


AGM

M

Re-appointment of Mr. Pradeep Banerjee as

Director

For

For

Attended more than 75% of the Board Meetings

Apr-

Jun,2016

30-Jun-16


AGM

M

Re-appointment of Mr. P.B.

Balaji as Director

For

For

Regular course of

business

Apr-

Jun,2016

30-Jun-16


AGM

M

Ratification of the

appointment of M/s. B S R & Co. LLP, Statutory Auditors

and to fix their remuneration for the

financial year ending 31st March, 2017

For

For

Regular course of

business

Apr-

Jun,2016

30-Jun-16


AGM

M

Ratification of the

remuneration of M/s. RA & Co, Cost Accountants for the

financial year ending 31st March, 2017

For

For

Regular course of

business

Apr-

Jun,2016

30-Jun-16


CRT

M

To consider, and if thought

fit, approving, with or without modification(s), the

proposed arrangement embodied in the Scheme of

Arrangement amongst Hindustan Unilever Limited

and its Members to reclassify and transfer the

amounts lying to the credit of

For

For

Rewards to Share

Holders


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


General Reserves to the ‘Profit and Loss Account’, in

accordance with the Scheme

Apr-

Jun,2016

30-Jun-16

SOLAR

INDUSTRIES INDIA LIMITED

PB

M

Sub Division of Equity

Shares

For

For

To improve

liquidity

Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Alteration of Capital Clause

V of MOA

For

For

Internal

Management

Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Re appointment of Shri Satyanarayan Nuwal as Chairman & Executive

Director

For

For

Having rich and

varied experience in the industry

Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Re appointment of Shri

Kailashchandra Nuwal as Vice Chairman & Executive

Director

For

For

Having rich and


Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Appointment of Shri Manish

Nuwal as Managing Director

For

For

Having rich and


Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Remuneration of Shri Roomie Dara Vakil Executive Director

For

For

In line with

industry and company act

Apr-

Jun,2016

30-Jun-16

SOLAR


PB

M

Remuneration of Shri Anil

Kumar Jain Executive Director

For

For

In line with

industry and company act

Apr-

Jun,2016

30-Jun-16

STATE BANK OF

INDIA

AGM

M


For

Abstain

Due to technical

reason

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and adopt the

Audited Financial

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Statements of the Company for the financial year ended

March 31, 2016 together with the Reports of the Board of Directors and

Auditors thereon.

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To declare a dividend of Rs.

15.00 (150%) per equity share for the financial year

ended March 31, 2016.

For

For

Normal Business

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To appoint a Director in

place of Mr. Vivek Dhariwal who retires by rotation and being eligible offers himself

for re-appointment.

For

For

Attended all Board

Meetings

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To ratify the appointment of Messrs. B S R & Co. LLP, Chartered Accountants as Statutory Auditors of the

Company for the financial year ending March 31, 2017.

For

For

Regular course of

business

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and appoint Mr. S. Sridhar as the Managing Director of the Company for a period of 5 years effective

March 18, 2016.

For

For

Attended more than 75% of the Board Meetings

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and appoint Ms. Lu Hong as a Director of the Company, liable to retire by

rotation.

For

Against

No Board Meeting

attended

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and re-appoint Mr. Aijaz Tobaccowalla as

the Managing Director of the Company from August 16,

For

For

Attended all Board

Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


2015 to close of business on October 16, 2015.

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and ratify the remuneration payable to Messrs. RA & Co., Cost

Accountants for the financial year ending March 31, 2017.

For

For

Regular course of

business

Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and approve transactions with Pfizer

Service Company BVBA, Belgium, a Related Party for an amount not exceeding in aggregate Rs. 1,000 Crores

in each financial year

For

For


Jul-

Sep,2016

5-Jul-16

PFIZER LIMITED

AGM

M

To consider and approve transactions with Pfizer

Innovative Supply Point Intl BVBA, Belgium, a Related

Party for an amount not exceeding in aggregate Rs.

1,000 Crores in each financial year

For

For


Jul-

Sep,2016

10-Jul-16

BERGER PAINTS

INDIA LIMITED

PB

M

Issue of bonus shares in the proportion of 2 equity shares of Re 1 each for every 5 fully paid up equity shares of Re

1 each held

For

For

Way to reward the

Shareholders

Jul-

Sep,2016

10-Jul-16

BERGER PAINTS

INDIA LIMITED

PB

M

Increase in the Authorised

Share Capital of the Company to Rs. 110 crores

divided into 110 crores equity shares of Re 1 each from Rs. 75 crores divided

into 75 crores equity shares of Re 1 each

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

10-Jul-16

BERGER PAINTS

INDIA LIMITED

PB

M

Amend the Clause V of the

of Memorandum of Association

For

For

In sync with the

increase in Authorised capital

Jul-

Sep,2016

10-Jul-16

BERGER PAINTS

INDIA LIMITED

PB

M

Amend the Article 3 of the

Articles of Association

For

For

In sync with the

increase in Authorised capital

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Declaration of Dividend on

preference shares

For

For

Normal Business

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M


Equity shares

For

For

Normal Business

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Re appointment of Mr. Rajiv

Sabharwal as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Re appointment of Mr. N. S

Kannan as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Appointment of M/s. B S R &

Co LLP, Chartered Accountants as Auditors

For

For

Regular course of

business

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M


Auditors

For

For

Regular course of

business

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Appointment of Mr. Vijay

Chandok as Director

For

For

He is with the bank since 22 years. He is a

Master in Management


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Studies from NMIMS. He is B

Tech from Banaras Hindu

University.

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Appointment of Mr. Vijay Chandok as Whole time

Director

For

For

He is with the Bank since 22 years. He is a

Master in Management Studies from

NMIMS. He is B Tech from

Banaras Hindu University.

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Payment of profit linked

commission of Rs. 10,00,000 each p.a. to Non-

Executive Director

For

For

In line with

industry and subject to RBI

approval

Jul-

Sep,2016

11-Jul-16

ICICI BANK

LIMITED

AGM

M

Private placement of

securities under Section 42 of the Companies Act 2013

For

For

Fund requirement

for growth of business

Jul-

Sep,2016

12-Jul-16

NATIONAL

ALUMINUM CO LIMITED

PB

M

Approved the alteration of

articles of association of the Company to empower the Company to buy back its

shares

For

For

Investor Friendly

measure

Jul-

Sep,2016

12-Jul-16

NATIONAL

ALUMINUM CO LIMITED

PB

M

Approved the proposal to buyback of not exceeding

644309628 Sixty Four Crore Forty Three Lakh Nine

Thousand Six Hundred and Twenty Eight equity shares

of the Company

For

For

Investor Friendly

measure


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Jul-16

BHARAT

FINANCIAL INCLUSION

LIMITED

PB

M

Enhancement of the

borrowing limit to Rs. 12500 crore

For

For

Business

requirement

Jul-

Sep,2016

19-Jul-16

BHARAT

FINANCIAL INCLUSION

LIMITED

PB

M

Creation of Charge on the Company’s movable and immovable properties to

secure borrowings

For For

Business

requirement

Jul-

Sep,2016

19-Jul-16

BHARAT

FINANCIAL INCLUSION

LIMITED

PB

M

Issue and allotment of Non-Convertible Debentures and

other debt securities on private placement basis

For For

Business

requirement

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM M

Adoption of the Audited Financial Statements

(including audited consolidated financial

statements) for the financial year ended 31st March, 2016, the Report of the Board of Directors and

Auditors thereon.

For For

Normal Business

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Declaration of Dividend. For

For

Normal Business

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Re-appointment of Mr. s. Rajashree Birla, Director

retiring by rotation. For

Against

Attended less than

75% Board Meetings

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment of Khimji

Kunverji & Co., Chartered Accountants, Mumbai as

joint statutory auditors of the Company.

For For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Ratification of appointment

of M/s. BSR & Co. LLP, Chartered Accountants,

Mumbai as joint statutory auditors of the Company.

For

For

Normal Business

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Ratification of the

remuneration of the Cost Auditors viz. M/s. N. I. Mehta

& Co., Cost Accountants, Mumbai and M/s. N. D. Birla

& Co., Cost Accountants, Ahmedabad for the financial

year ending 31st March, 2017.

For

For

Normal Business

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment of Ms. Alka Marzban Bharucha as a Director of the Company.

For

For

She joined

Amarchand & Mangaldas as a

Partner in 1992. In 2008, she co-

founded Bharucha & Partners, since

inception has been ranked by

RSG Consulting, London among the top fifteen firms in India

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment of Mr. Krishna Kishore Maheshwari as a Director of the Company.

For

For

He is a Chartered Accountant with over 38 years’ experience, of

which over three decades with Aditya Birla

Group.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment and

remuneration of Mr. Krishna Kishore Maheshwari as the

Managing Director of the Company.

For

For

He is a Chartered Accountant with over 38 years’ experience, of

which over three decades with Aditya Birla

Group.

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment of Mr. Atul

Daga as a Director of the Company.

For

For

He is a Chartered Accountant with over 29 years’ experience, of which over two decades with Aditya Birla

Group.

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Appointment and

remuneration of Mr. Atul Daga as the Whole-time

Director and Chief Financial Officer of the Company.

For

For

He is a Chartered Accountant with over 29 years’ experience, of which over two decades with Aditya Birla

Group.

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Issue of Non-Convertible

Redeemable Debentures on private placement basis up to an amount of Rs. 9,000

crores.

For

For

Business

requirement

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Increase in borrowing limits

of the Company.

For

For

Business

requirement

Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Creation of security on the properties of the Company, both present and future, in

favour of lenders.

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Jul-16

ULTRATECH

CEMENTLIMITED

AGM

M

Increase in limits for

investment in the equity share capital of the

Company by Registered Foreign Portfolio Investors

including Foreign Institutional Investors from

24% to 30%.

For

For

To improve

liquidity.

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M

Confirm the Interim Dividend of 11.50 per Equity Shares

declared on 147500000 Equity Shares of face value of Re. 1 each already paid

for the Financial Year ended 31 03 2016

For

For

Normal Business

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M

Re Appointment of Mr.

Kushagra Nayan Bajaj as Director

For

Against

Attended less than

75% of Board Meetings

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M

Appointment of M/s. R S

Dani & Co, Chartered Accountants as Auditors

For

For

Regular course of

business

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M

Appointment of and payment

of remuneration to Mr. Sumit Malhotra as Managing Director

For

F

Attended all Board

Meetings. Remuneration was in line with

industry standards

Jul-

Sep,2016

20-Jul-16

BAJAJ CORP

LIMITED

AGM

M

Offer, issue and allot

securities aggregating to an amount up to Rs. 1,000

crore

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 21-Jul-16

BHARAT FINANCIAL INCLUSION

LIMITED

AGM M

To receive, consider and adopt the financial

statements of the Company for the financial year ended

March 31, 2016 together with the Reports of the Directors and Auditors

thereon.

For For Normal Business



LIMITED

AGM M

To appoint a Director in place of Mr. Paresh D. Patel [DIN: 01689226], who retires

by rotation at this Annual General Meeting and, being eligible, offered himself for

re-appointment.

For Against Attended less than 75% of Board

Meeting



LIMITED

AGM M

To ratify the appointment of S.R. Batliboi & Co. LLP,

Chartered Accountants (ICAI Firm’s Registration No.

301003E) as the Statutory Auditors of the company.




LIMITED

AGM M

To appoint Mr. Rajender Mohan Malla (DIN: 00136657) as an

Independent Director of the Company

For Abstain Full Information not available



LIMITED

AGM M

To approve revision in the remuneration payable to Mr. M. Ramachandra Rao (DIN:

03276291), Managing Director & Chief Executive

Officer (CEO) of the Company

For For

In line with the industry

considering the performance of the Company

Jul-Sep,2016 21-Jul-16 BHARAT

FINANCIAL AGM M To approve infusion of capital up to Rs. 750 Crore. For For Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


INCLUSION LIMITED



LIMITED

AGM M

To approve increase in Authorized Share Capital of the Company from Rs.155

crore to Rs.170 crore

For For Business requirement

Jul-Sep,2016 21-Jul-16 HDFC BANK

LIMITED AGM M Adoption of Accounts For For Normal Business


LIMITED AGM M Declaration of Dividend For For Normal Business


LIMITED AGM M Re appointment of Mr. Keki Mistry as Director For For

Under his leadership, the Company has

grown.


LIMITED AGM M Re appointment of Mr. S. Renu Karnad as Director For For Attended 5 Board

Meetings out of 7


LIMITED AGM M Appointment of M/s. Deloitte Haskins & Sells, Chartered Accountants as Auditors



LIMITED AGM M Appointment of Mr. Umesh

Chandra Sarangi as Independent Director

For For

She has 35 years of experience in

IAS. She was also the Chairman of

NABARD.


LIMITED AGM M

Enter into various related party transactions with Housing Development

Finance Corporation Ltd

For For

Transactions are being done in the ordinary course of

business of the


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Bank and on an arm's length basis

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M


party transactions with HDB Financial Services Ltd

For

For


business of the Bank and on an

arm's length basis

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M

Appointment of Mr. Paresh

Sukthankar Deputy as Managing Director

For

For

He is associated

with the Bank since 1994.

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M

Remuneration of Non-

Executive Director including Independent Director except

for part time Chairman

For

For

In line with

industry standards and law.

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M


Share Capital

For

For

Business

requirement

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M

Alteration of MOA

For

For

Internal

Management

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M

Issue Perpetual Debt

Instruments (part of Addition l Tier I capital), Tier II Capital

Bonds and Senior Long Term Infrastructure Bonds

on private placement basis

For

For

Business

requirement

Jul-

Sep,2016

21-Jul-16

HDFC BANK

LIMITED

AGM

M

Grant, offer, issue and

allot, in one or more tranches, to such present

and future officers and employees, whether working

in India or outside India ,

For

For

Incentive scheme


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


which expression shall include the Managing

Director and Whole time Director of Bank as may be

decided by the Board, 10,00,00,000 equity stock options, Convertible into

10,00,00,000 equity share of the nominal face value not exceeding Rs. 2 per equity

share under employee

stock options plan

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M


V.Srinivasan as Director

For

For

He attended all Board meetings.

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M


Batliboi & Co LLP, Chartered Accountants as

Auditors

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Appointment of Shri Rakesh

Makhija as Additional Director

For

For

He attended all Board meetings during his tenure

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Appointment of Smt. Ketaki

Bhagwati as Additional Director

For

For


Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Appointment of Shri B. Babu

Rao as Non-Executive Director

For

For



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 22-Jul-16 AXIS BANK

LIMITED AGM M Appointment of Smt. Shikha

Sharma as Managing Director

For For She is MD & CEO. She attended all Board meetings.


LIMITED AGM M Re appointment of Shri V. Srinivasan as Whole Time

Director For For He attended all

Board meetings.


LIMITED AGM M

Revision in the remuneration payable to Shri V.

Srinivasan as Whole Time Director

For For He attended all Board meetings.


LIMITED AGM M Appointment of Dr. Sanjiv

Misra as Independent Director

For For


He is the Nominee of SUUTI


LIMITED AGM M Appointment of Dr. Sanjiv Misra as Non-Executive

Chairman For For


He is the Nominee of SUUTI


LIMITED AGM M Appointment of Shri Rajiv Anand as Director For For

He is CA having over 25 years of

experience in Financial

Services. He has held key

management positions at

leading global financial

institutions.


LIMITED AGM M Appointment of Shri Rajiv

Anand as Whole time Director

For For

He is CA having over 25 years of

experience in Financial

Services. He has


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


held key management positions at

leading global financial

institutions.

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Appointment of Shri Rajesh

Dahiya as Director

For

For

He has an

experience over 25 years and he is

with the Bank since June 2010

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M


Dahiya as Whole time Director

For

For

He has an

experience of over 25 years and he is

with the Bank since June 2010

Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Payment of profit related commission to the Non-Executive Director of the

Bank

For

For

In line with


Jul-

Sep,2016

22-Jul-16

AXIS BANK

LIMITED

AGM

M

Borrowing, Raising Fund in

India Currency, Foreign Currency by issue of Debt

Instruments including but not limited to bonds, Green

bonds and Non-Convertible Debentures for an amount of up to Rs. 35,000 Crore

For

For

Business

requirement

Jul-

Sep,2016

22-Jul-16

ITC LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

ITC LIMITED

AGM

M


For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M Re appointment of Mr.

Nakul Anand as Director For For Attended all Board Meetings

Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M

Appointment of M/s Deloitte Haskins & Sells, Chartered Accountants as Auditors


Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M Appointment of Mr. Sanjiv

Puri as Whole time Director For For

He attended meetings during

his tenure

Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M Appointment of Mr. Rajiv

Tandon as Director For For

He attended meetings during

his tenure


Appointment of Mr. Nirupama Rao as

Independent Director For For

She is a 1973 batch IAS officer. Her experience in different countries

will help the Company.


Appointment of Mr. Yogesh Chander Deveshwar as Non-Executive Director

For For Attended all Board Meetings

Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M Remuneration payable to

the Whole time Director For For In line with the


Jul-Sep,2016 22-Jul-16 ITC LIMITED AGM M Payment of remuneration to

Non-Executive Director For For

In line with the industry’s

standards and law.


Payment of remuneration to Cost Auditors Mr. P Raju

Iyer, Cost Accountant For For Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

22-Jul-16

ITC LIMITED

AGM

M

Payment of remuneration to Cost Auditors M/s Shome & Banerjee, Cost Accountant

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

KOTAK

MAHINDRA BANK LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M

Appointment of M/s. S R Batliboi & Co, Chartered Accountants as Auditors

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M

Appointment of Mr. N. P.

Sarda as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M

Appointment of Mr. C.

Jayaram as Non Independent Director

For

For

Attended more

than 75% Board Meetings

Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M

Increase in remuneration of Dr. Shankar Acharya , Part

Time Chairman

For

For

In line with


Jul-

Sep,2016

22-Jul-16

KOTAK


AGM

M


Non-Executive Director

For

For

In line with the


Jul-

Sep,2016

22-Jul-16

MAHINDRA & MAHINDRA FINANCIAL SERVICES LIMITED

AGM

M


(Standalone)

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

22-Jul-16


AGM

M


(Consolidated)

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16


AGM

M


Equity Shares

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16


AGM

M

Re appointment of Mr. V. S.

Parthasarathy as Director

For

For


Jul-

Sep,2016

22-Jul-16


AGM

M

Appointment of M/s. B K Khare & Co, Chartered


For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M

Adoption of accounts

For

For

Normal Business

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M

Confirm the payment of the 1st Interim Dividend of Rs. 5

per share and the 2nd Interim Dividend of Rs. 3 per share for the financial year

2015-16

For

For Normal Business

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M

Appointment of M/s. Deloitte

Haskins & Sells LLP, Chartered Accountants as Joint Statutory Auditors of the Company to hold office

For

For Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


up to the conclusion of the 29 AGM to be held in the

calendar year 2019

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M

Appointment of M/s. Joshi

Apte & Co, Chartered Accountants, Pune as Joint

Statutory Auditors of the Company to hold office up to

the conclusion of the 27th AGM to be held in the

calendar year 2017

For

For Normal Business

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M


Mritunjay Kumar Singh as Director

For

For

He is with the Company since

2014 having operations

experiences at various start-ups

and large companies in

India

Jul-

Sep,2016

22-Jul-16

PERSISTENT

SYSTEMS LIMITED

AGM

M

Appointment of Mr. Thomas

(Tom) Kendra as Independent Director

For

Abstain

Full Information

not available

Jul-

Sep,2016

27-Jul-16

SHRIRAM

TRANSPORT FINANCE CO

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

27-Jul-16

SHRIRAM


LIMITED

AGM

M

Confirmation of Interim

Dividend and the declaration of Final Dividend on equity

shares

For

For

Normal Business

Jul-

Sep,2016

27-Jul-16

SHRIRAM


LIMITED

AGM

M

Appointment of Joint

Auditors to hold the office from conclusion of this AGM until conclusion of next AGM

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


and fixing their remuneration.


SHRIRAM TRANSPORT FINANCE CO

LIMITED

AGM M Re appointment of Mr. Umesh Revankar as

Director For For He attended all

Board meetings.



LIMITED

AGM M Appointment of Mr. Jasmit Singh Gujral as Additional

Director For For

He has 30 years of experience in

Financial Services and has been with Shriram Group for

last 28 years.



LIMITED

AGM M

Appointment of Mr. Jasmit Singh Gujral as Managing

Director & CEO and Payment of remuneration to

him

For For


Financial Services and has been with Shriram Group for

last 28 years.



LIMITED

AGM M Borrow up to Rs. 75,000 Crore For For Business

requirement



LIMITED

AGM M Creation of charge up to Rs.93,750 Crores For For Business

requirement



LIMITED

AGM M Issue of Securities on Private Placement basis For For Business

requirement

Jul-Sep,2016 27-Jul-16 SHRIRAM

TRANSPORT AGM M Alteration of AOA For For Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


FINANCE CO LIMITED


GODREJ CONSUMER PRODUCTS

LIMITED

AGM M Adoption of Accounts For For Normal Business



LIMITED

AGM M Declaration of Dividend For For Normal Business



LIMITED

AGM M Re appointment of Ms. Tanya Dubash as Director For For

Attended 75% of the Board Meetings



LIMITED

AGM M

Appointment of M s Kalyaniwalla & Mistry,

Chartered Accountants as Auditors




LIMITED

AGM M

Payment of remuneration to Cost Auditors M/s. P M Nanabhoy & Co, Cost

Accountant




LIMITED

AGM M Appointment of Mr. Adi Godrej as Whole time

Director For For Attended all Board

Meetings



LIMITED

AGM M Re appointment of Ms.

Nisaba Godrej as Executive Director



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

29-Jul-16

GODREJ

CONSUMER PRODUCTS

LIMITED

AGM

M


Vivek Gambhir as Managing Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

29-Jul-16

KEC

INTERNATIONAL LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M


For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M

Re appointment of Mr. R.D.

Chandak as Director

For

For

Attended all Board Meetings

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M

Appointment of M s Deloitte Haskins & Sells, Chartered


For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M


Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M

Appointment of Mr. Vimal

Kejriwal as Director

For

For

All Board Meeting

attended

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M


Cost Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M

Enhancement of Borrowing

limits of the company

For

For

Business

requirement

Jul-

Sep,2016

29-Jul-16

KEC


AGM

M

Creation of charge

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016 29-Jul-16

WABCO INDIA

LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M

Re appointment of Director

For

For

Attended 75%

Board Meetings.

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M


Batliboi & Associates, Chartered Accountants as

Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M

Appointment of Mr. Shivram

Narayanaswami as Non- Executive Non Independent

Director

For

For

Attended all Board Meetings during

his tenure

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M

Appointment of Mr. Sean

Ernest Deason as Additional Director

For

For


his tenure

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M

Appointment of Dr. Lakshmi Venu as Non-Executive Non

Independent Director

For

For

She is a graduate of Yale University

and she underwent her management

training for three years with

Sundaram Auto components Ltd.

Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M


Cost Auditors Mr. A. N.Raman, Cost Accountant

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

29-Jul-16

WABCO INDIA

LIMITED

AGM

M

Enter into contracts with

other related parties

For

Against

No mention about transactions are

being done in the ordinary course of

business of the Bank and on an

arm's length basis

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Re appointment of Mr. S. Shallu Jindal as Director

For

For

She is from

Promotor group. Attended 50%

Board Meetings

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M


Dinesh Kumar Saraogi as Director

For

Against

Attended less than

75% board meetings

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Appointment of M/s. Lodha

and Co, Chartered Accountants as Statutory

Auditors

For

For

Normal Business

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Appointment of M/s.

Ramanath Iyer and Co, Cost Accountants as Cost

Auditors to conduct audit of the Cost Records for

financial year 2016 17

For

For

Normal Business

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Approval for issuance of

Non-Convertible Debentures up to Rs. 5000 crore on Private Placement basis

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Approval for issuance of

securities for an amount not exceeding Rs. 5000 crore

For

For

Business

requirement

Jul-

Sep,2016

01-Aug-16

JINDAL STEEL &

POWER LTD

AGM

M

Approval for related party

transaction

For

For

Transaction related to a

subsidiary in which company

holds 96.4%

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M

Declare a Dividend for the

financial year ended 31/03/2016 the board

recommended a dividend of Rs. 3 and 50 paise per

Equity Shares of Rs. 5 each fully paid up

For

For

Normal Business

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M


Shaibal Sinha as Director

For

For

Attended all Board

Meetings.

Jul-

Sep,2016 04-Aug-16

BATA INDIA LTD

AGM

M

Appointment of Ms. S R

Batliboi and Co LLP Chartered Accountants as

Auditors

For

For

Normal Business

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M

Appointment of Mr.

Christopher MacDonald Kirk as Director

For

For

Attended Board Meetings during

his tenure.

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M


Rajeev Gopalakrishnan as Managing Director

For

For

Attended all Board

Meetings.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M

Appointment of Mr. Ram Kumar Gupta as Director

For

For


his tenure.

Jul-

Sep,2016

04-Aug-16

BATA INDIA LTD

AGM

M

Appointment of Mr. Ram

Kumar Gupta as Whole time Director

For

For


his tenure.

Jul-

Sep,2016

04-Aug-16

THE RAMCO

CEMENTS LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

04-Aug-16

THE RAMCO

CEMENTS LTD

AGM

M

Appointment of Shri P. R.

Ramasubrahmaneya Rajha as Director

For

For

Attended all Board

Meeting.

Jul-

Sep,2016

04-Aug-16

THE RAMCO

CEMENTS LTD

AGM

M

Appointment of Ms Jagannathan and N

Krishnaswami Chartered Accountants as Auditors

For

For

Normal Business

Jul-

Sep,2016

04-Aug-16

THE RAMCO

CEMENTS LTD

AGM

M

Appointment of Shri P. R.

Ramasubrahmaneya Rajha as Chairman and Managing

Director

For

For

Attended all Board Meetings. Salary is in line with past

years trend

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M


Rajen Mariwala as Director

For

For

Attended all Board

Meeting

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M

Appointment of M/s. Price

Waterhouse Chartered Accountants as Auditors

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M

Payment of remuneration to Cost Auditors M/s. Ashwin

Solanki and Associates Cost Accountant

For

For

Normal Business

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M

Approval of the Marico

Employee Stock Option Plan 2016 and granting of stock

option to the eligible employees of the Company

under the plan

For

For

Incentive to employee

Jul-

Sep,2016

05-Aug-16

MARICO LTD

AGM

M

Approval of the Grant of

Stock Option to the eligible of the Company’s

Subsidiaries under the Marico Employee Stock

Option Plan 2016

For

For


Jul-

Sep,2016

10-Aug-16

MAHINDRA AND MAHINDRA LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

10-Aug-16


AGM

M


For

For

Normal Business

Jul-

Sep,2016

10-Aug-16


AGM

M

Re appointment of Mr. S. B.

Mainak as Director

For

For

He is a Nominee

of LIC

Jul-

Sep,2016

10-Aug-16


AGM

M

Appointment of M/s. Deloitte Haskins and Sells Chartered


For

For

Normal Business

Jul-

Sep,2016

10-Aug-16


AGM

M

Payment of remuneration to Cost Auditors M/s/ D C Dave

and Co Cost Accountant

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

10-Aug-16


AGM

M

Borrow up to Rs. 5000

Crores

For

For

Business

requirement

Jul-

Sep,2016

10-Aug-16


AGM

M

Maintenance of Register of Members and other related

books at the place other than Registered Office

For

For

Business

requirement

Jul-

Sep,2016

11-Aug-16

THE GREAT EASTERN

SHIPPING CO.LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

11-Aug-16

THE GREAT EASTERN

SHIPPING CO.LTD

AGM

M

Re appointment of Mr. Tapas Icot as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

11-Aug-16

THE GREAT EASTERN

SHIPPING CO.LTD

AGM

M

Appointment of M/s.

Kalyaniwalla and Mistry Chartered Accountants as

Auditors

For

For

Normal Business

Jul-

Sep,2016

11-Aug-16

THE GREAT EASTERN

SHIPPING CO.LTD

AGM

M

Offer or invitation to

subscribe to Debentures on Private Placement basis for an amount up to Rs. 1500

Crores

For

For

Business

requirement

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M


Statements

For

For

Normal Business

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Re appointment of Sri Utpal Sheth as a Director liable to

retire by rotation

For

Against

Attended less than

75% Board Meetings.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Re appointment of Sri A. V. N. Raju as a Director liable

to retire by rotation

For

Against

Attended less than

75% Board Meetings.

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Ratification of the

appointment of the Joint Statutory Auditors

For

For

Normal Business

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Appointment of Sri S. Ravi as an Independent Director

For

Against

Attended less than

75% Board Meetings.

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Appointment of Dr. A. S.

Durga Prasad as an Independent Director

For

For

He was Vice-

President of Cost Accountants of

India for the year 2013-14. His

experience will help the Company

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Reappointment of Sri A. V. N. Raju as a Whole time

Director

For

Against

Attended less than

75% Board Meetings.

Jul-

Sep,2016

24-Aug-16

NCC LTD

AGM

M

Approval of the

remuneration payable to the Cost Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Aug-16

CYIENT

LIMITED(EX INFOTECH ENTERPRI

AGM

M


For

For

Normal Business

Jul-

Sep,2016

29-Aug-16

CYIENT

LIMITED(EX INFOTECH ENTERPRI

AGM

M

Declaration of dividend

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 29-Aug-16

CYIENT LIMITED(EX INFOTECH ENTERPRI

AGM M

To appoint a Director in place of Mr. B.V.R. Mohan

Reddy who retires by rotation and offers himself

for reappointment

For For

He is Executive Chairman.

Attended all Board Meetings.



AGM M

To appoint a Director in place of Mr. Krishna

Bodanapu who retires by rotation and offers himself

for reappointment

For For He is MD & CEO. Attended all Board

Meetings.



AGM M

To ratify the appointment of M/s. Deloitte Haskins and

Sells Chartered Accountants as Statutory Auditors


Jul-Sep,2016 2-Sep-16 PIDILITE

INDUSTRIES LTD AGM M Adoption of Accounts For For Normal Business


INDUSTRIES LTD AGM M Confirmation of Interim

Dividend and declaration of Final Dividend



INDUSTRIES LTD AGM M Re appointment of Shri A. B. Parekh as Director For For Attended all Board

Meetings


INDUSTRIES LTD AGM M Re appointment of Shri Sabyaschi Patnaik as

Director For For

Attended more than 75% Board Meetings during

his term


INDUSTRIES LTD AGM M Appointment of M/s. Deloitte Haskins and Sells Chartered

Accountants as Auditors For For Normal Business


INDUSTRIES LTD AGM M Appointment of Shri Vinod Kumar Dasari as Additional

Director For Against Attended less than

75% Board


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Meetings during his term

Jul-

Sep,2016

2-Sep-16

PIDILITE

INDUSTRIES LTD

AGM

M

Payment of remuneration to Cost Auditors M/s. V J Talati


For

For

Normal Business

Jul-

Sep,2016

2-Sep-16

PIDILITE

INDUSTRIES LTD

AGM

M

Appointment of Shri M. B.

Parekh as Executive Chairman

For

For

Attended all Board

Meetings

Jul-

Sep,2016

3-Sep-16

Mangalore Refinery and Petrochemicals

Limited

AGM

M


For

For

Normal Business

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Re appointment of Shri D. K.

Sarraf as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Appointment of Joint

Statutory Auditors

For

For

Normal Business

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Appointment of Shri A. K. Sahoo as Additional Director

For

For

He is appointed as Director ( Finance

)/ CFO of the company

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Appointment of Shri Diwakar

Nath Misra as Additional Director

For

For

Appointed as Government Director by Ministry of

Petroleum & Natural Gas since 9th March,2016

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Authorised to make offers or

invitations to subscribe to the Non-Convertible

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Debentures NCDs Bonds up to Rs. 3000 crore

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Offer issue and allot in one

or more tranches of securities including equity shares or to approve any other option available for

enhancement of the public shareholding to 25 percent

in compliance with Securities Contracts

For

For

To meet

Regulator's guidelines

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Ratify the remuneration of the Cost Auditors for the financial year 2015-16

For

For

Normal Business

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M

Ratify the remuneration of the Cost Auditors for the financial year 2016-17

For

For

Normal Business

Jul-

Sep,2016

3-Sep-16


Limited

AGM

M


party transactions

For

For


business of the Company and on an arm's length

basis

Jul-

Sep,2016

3-Sep-16

MANPASAND

BEVERAGES LTD

PB

M

Variation in terms of the

objects of the Issue

For

For

Company will use

the fund for adding up new

production lines at Ambala unit and

Vadodara 2 unit in place of original

intention of setting up of new

corporate office at Vadodara for


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


business purposes.

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M


Vishal Sood who retires by rotation

For

For

Attended all Board

Meetings.

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M


Dhruv Agarwal who retires by rotation

For

For

Attended all Board

Meetings.

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M

Appointment of auditors and

fixing their remuneration

For

For

Normal Business

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M

Revision in the remuneration

of Mr. Dhirendra Singh Chairman and MD of the

Company

For

For

In line with the

industry considering the

contribution to the Company and

profitability of the Company.

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M

Revision in the remuneration

of Mr. Abhishek Singh Whole Time Director of the

Company

For

For

In line with the


contribution to the Company and

profitability of the Company.

Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M

Increase in authorized capital of the Company

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

5-Sep-16

MANPASAND

BEVERAGES LTD

AGM

M

Raising of finance through

issue of equity shares

For

For

Business

requirement

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Appointment of a Director in

place of Mr. Robert K. Weiler who retires by

rotation and being eligible offers himself for re

appointment

For

For

Attended 75% of Board Meetings

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Appointment of a Director in

place of Mr. Harinderjit Singh who retires by rotation

and being eligible offers himself for re appointment

For

Against

Attended less than

75% Board meetings

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Ratification of appointment of M/s. S. R. Batliboi and

Associates LLP Chartered Accountants as statutory auditors of the Company

and to fix their remuneration

For

For

Normal Business

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Ratification of appointment of M/s. S. R. Batliboi and

Associates LLP Chartered Accountants as branch

auditors of the Company and to fix their remuneration

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Re appointment and terms of remuneration payable to Mr. Chaitanya Kamat as

Managing Director and CEO of the Company

For

For

Attended all Board

Meetings

Jul-

Sep,2016

7-Sep-16

ORACLE

FINANCIAL SERVICES

SOFTWARE LTD

AGM

M

Payment of commission to Non-Executive Directors of

the Company

For

For

In line with

Companies Act

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Director in place of Mr. Pushp Kumar

Joshi who retires by rotation and being eligible offers

himself for retirement

For

For

Attended all Board

Meetings

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Director in place of Mr. Y. K. Gawali

who retires by rotation and being eligible offers himself

for retirement

For

For

Attended all Board

Meetings

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

To consider an increase in

the remuneration payable to statutory auditors for

financial year 2015-16 from 30 lakhs to 41 lakhs

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Mr. J.

Ramaswamy as Director of the Corporation

For

For

Attended all Board

Meetings

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Mr. Ram

Niwas Jain as Independent Director of the Corporation

For

For

Attended more


Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Ms. Urvashi Sadhwani as Director of the

Corporation

For

For

Attended all Board

Meetings

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Appointment of Mr. Mukesh Kumar Surana as Chairman

and Managing Director of the Corporation

For

For

He is appointed as

Chairman & Managing Director by Government of

India effective from 1.4.2016

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M


cost auditors for financial year 2016-17

For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Approval for material related

party transactions

For

For

Transactions are in ordinary course of action and are at arm's length

basis

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

Approval to amend the AOA of the Company for increase

in number of Directors

For

For

In line with SEBI

(Listing Obligation & Disclosure

Requirements) Regulation.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

To increase authorize share capital of the Company and

amend the MOA and AOA of the company

For

For

Business Purpose

Jul-

Sep,2016

8-Sep-16

HINDUSTAN PETROLEUM

CORPORATION LTD

AGM

M

To capitalize reserves of the

Company and to issue bonus shares

For

For

Rewards to

Shareholders

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M

To declare dividend on

equity shares

For

For Normal Business

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M


place of Mr. R. C. Bhargava who retires by rotation and being eligible offers himself

for re appointment

For

For

He is the

Chairman of the Company

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M

To appoint a Director in place of Mr. Kazuhiko Ayabe who retires by

rotation and being eligible offers himself for reappointment

For

For

Attended all Board

meetings

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M

Appointment of M/s. Deloitte

Haskins and Sells LLP as Auditors

For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M

Re appointment of Mr. Kenichi Ayukawa as

Managing Director and Chief Executive Officer

For

For

He is the

Managing Director and CEO of the

Company


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M


Toshiaki Hasuike as Joint Managing Director

For

For

Attended more


Jul-

Sep,2016

8-Sep-16

MARUTI

SUZUKI(I)LTD

AGM

M

Ratification of remuneration of M/s. R J Goel and Co the

cost auditors

For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

Declaration of dividends

For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

Appointment of Mr. K.

Sengupta as Director who retires by rotation

For

For

Attended all Board

Meetings

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

To authorize Board of

Directors of the Company to fix the remuneration of the

joint statutory auditors of the Company for the financial

year 2016-2017

For

For

Normal Business

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

To appoint Mr. A. K.

Srinivasan as Director of the Company

For

For

Attended all Board

Meetings since appointment

Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

To appoint Mr. Ajai Malhotra as Director of the Company

For

For

Attended all Board


Jul-

Sep,2016

8-Sep-16

ONGC LTD

AGM

M

To appoint Mr. S. B. Kedare as Director of the Company

For

For

Attended all Board



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 8-Sep-16 ONGC LTD AGM M

To appoint Mr. K. M. Padmanabhan as Director of

the Company For For

Attended more than 75% Board Meetings since

appointment

Jul-Sep,2016 8-Sep-16 ONGC LTD AGM M

To appoint Mr. A. P. Sawhney as Director of the

Company For For

He is a Government

Director

Jul-Sep,2016 8-Sep-16 ONGC LTD AGM M To appoint Mr. Amar Nath

as Director of the Company For For He is a

Government Director

Jul-Sep,2016 8-Sep-16 ONGC LTD AGM M Remuneration to cost

auditors For For Normal Business

Jul-Sep,2016 8-Sep-16

VEDANTA LIMITED

CP09SP16 CRT M

The Scheme of Arrangement of Cairn India

Limited with Vedanta Limited For For

The merger was not impacting any

rights of the creditors.


VEDANTA LIMITED

CP20SP16 CRT M

the Scheme of Arrangement of Cairn India Limited with

Vedanta Limited For For

The merger was not impacting any

rights of the creditors.


BHARAT ELECTRONICS

LTD PB M

Proposal to buyback of not exceeding 1,66,37,207

equity shares of the Company representing 6

point 93 percent of the total number of equity shares in the paid up share capital of the Company at a price of Rs. 1305 per equity share

payable in cash

For For Investor Friendly measures.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M


For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Re appointment of Smt

Rajashree Birla as Director

For

For

She is from the

Promoter Group. She has attended 3 meetings out of

5

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Re appointment of Mr. D. Bhattacharya as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Appointment of M/s Singhi

and Co, Chartered Accountants as Auditors

For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Payment of remuneration to Cost Auditors M/s.

Nanabhoy and Co, Cost Accountant

For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Appointment of Mr. Girish Dave as Independent

Director

For

For

He is a lawyer by

profession. He has varied and

extensive experience in

Financial, Banking and Project

Finance.

Jul-

Sep,2016

14-Sep-16

HINDALCO

INDUSTRIES LIMITED

AGM

M

Charging fees for delivery of

documents through a particular mode to members

For

For

Recovery of

expenses of a particular mode of

delivery.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



HINDALCO INDUSTRIES

LIMITED AGM M

Offer or invitation to subscribe to Non-

Convertible Debentures on a private placement basis

For For Business Requirement


HINDALCO INDUSTRIES

LIMITED AGM M Appointment of Mr. Satish

Pai as Managing Director For For Attended all Board Meetings


HINDALCO INDUSTRIES

LIMITED AGM M

Appointment of Mr. Praveen Kumar Maheshwari as Whole Time Director

For For

He is a CA. He joined the

Company in December 2011

and is responsible for providing

strategic leadership on

financial matters.


INDIAN OIL CORPORATION

LTD AGM M Adoption of Accounts For For Normal Business



LTD AGM M Declaration of Dividend For For Normal Business



LTD AGM M Re appointment of Shri A. K.

Sharma as Director For For Attended all Board Meetings



LTD AGM M Appointment of Shri B. S.

Canth as Director For For Attended all Board Meetings during

his tenure



LTD AGM M

Appointment of Shri Subroto Bagchi as Independent

Director For For Attended 2 out of

3 Board Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

14-Sep-16

INDIAN OIL

CORPORATION LTD

AGM

M

Appointment of Shri Sanjay

Kapoor as Independent Director

For

For


his tenure

Jul-

Sep,2016

14-Sep-16

INDIAN OIL

CORPORATION LTD

AGM

M

Appointment of Shri Parindu

K Bhagat as Independent Director

For

For


his tenure

Jul-

Sep,2016

14-Sep-16

INDIAN OIL

CORPORATION LTD

AGM

M

Appointment of Shri G K

Satish as Director

For

For

He is a

Mechanical Engineer from NIIT, Surat. He

has over 30 years’ experience in

various disciplines in Indian Oil

Jul-

Sep,2016

14-Sep-16

INDIAN OIL

CORPORATION LTD

AGM

M

Ratify the remuneration of the Cost Auditors for the financial year 31.3.2017

For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

INDIAN OIL

CORPORATION LTD

AGM

M

Issue secured unsecured

redeemable non-convertible bonds debentures of face

value up to Rs. 12,000 crore

For

For

Fund

requirements for Business

Jul-

Sep,2016

14-Sep-16

NBCC (INDIA) LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

NBCC (INDIA) LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

14-Sep-16

NBCC (INDIA) LTD

AGM

M

Re appointment of Shri S. K.

Pal as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

14-Sep-16

NBCC (INDIA) LTD

AGM

M

Fix remuneration of the

Statutory Auditors

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 14-Sep-16 NBCC (INDIA) LTD AGM M

Appointment of Mr. Ashok Khurana as Independent

Director For For

He is a Government

Nominee Director


Appointment of Mr. Tajuddin Moulali Mhaisale as Independent Director

For For He is a

Government Nominee Director


Appointment of Mr. C. Subba Reddy as


He is a Government

Nominee Director


Appointment of Mr. Chamarthi Rajendra Raju as


He is a Government

Nominee Director


Appointment of Mr. Rajendrasinh

Ghanshyamsinh Rana as Independent Director

For For He is a

Government Nominee Director


Appointment of Mr. Sairam Mocherla as Independent

Director For For

He is a Government

Nominee Director


Increase the Authorised Share Capital by amending

the Capital Clause of the MOA

For For Fund

requirements for Business

Jul-Sep,2016 15-Sep-16 NLC INDIA LTD AGM M Adoption of Accounts For For Normal Business

Jul-Sep,2016 15-Sep-16 NLC INDIA LTD AGM M

Confirmation of Interim Dividend and declaration of

Final Dividend For For Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 15-Sep-16 NLC INDIA LTD AGM M Re appointment of Shri

Rakesh Kumar as Director For For Attended all Board Meetings


Appointment of Shri V. Thangapandian as Director

liable to retire by rotation For For

Attended all Board meetings held

after his appointment


Appointment of Shri P. Selvakumar as Director

liable to retire by rotation For For




Appointment of Shri Chandra Prakash Singh as Independent Director not liable to retire by rotation

For Against

Attended less than 75% Board

meetings held after his

appointment


Appointment of Shri Azad Singh Toor as Independent

Director not liable to retire by rotation

For Against



appointment


Appointment of Shri K. Madhavan Nair as

Independent Director not liable to retire by rotation

For Against



appointment

Jul-Sep,2016 15-Sep-16 NLC INDIA LTD AGM M Payment of remuneration to

Cost Auditors For For Normal Business


POWER GRID CORPORATION

LTD. AGM M Adoption of accounts For For Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)




LTD. AGM M Declaration of dividend For For Normal Business



LTD. AGM M

To appoint a Director in place of Dr. Pradeep Kumar who retires by rotation and being eligible offers himself

for re appointment

For For Attended more

than 75% of meetings



LTD. AGM M

To appoint a Director in place of Ms. Jyoti Arora

who retires by rotation and being eligible offers herself

for reappointment

For For

She is a Government

nominee Director. Attended 8

meetings out of 14 meetings.



LTD. AGM M

To fix the remuneration of the Statutory Auditors for the

Financial Year 201617 For For Normal Business



LTD. AGM M

Approve the appointment of Shri Jagdish Ishwarbhai Patel as an Independent

Director For For

Attended all Board Meetings post his

appointment.



LTD. AGM M

Ratification of remuneration of the Cost Auditors for the

Financial Year 201617 For For Normal Business



LTD. AGM M

To raise funds in INR or any other acceptable foreign currency as permitted by

Reserve Bank of India up to Rs14000 Crore from Domestic, external

Overseas sources through issue of secured un-

secured non-convertible non- cumulative redeemable



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


taxable tax free Rupee Linked Bonds

under Private Placement during the Financial year

2017 18 in up to eight tranches offers with without

Green Shoe Option and each tranche offer shall be of up to Rs. 2000 Crore of Bonds exclusive of Green

Shoe Option

Jul-Sep,2016 16-Sep-16 SYNDICATE BANK EGM M

Raise capital by creating offering issuing and allotting

up to 10,60,39,901 equity shares of face value of Rs.

10 each for cash at Rs. 73.18 determined by the Board in accordance with Regulation 76(1) of SEBI

ICDR Regulations aggregating up to Rs. 776

crore on preferential basis to Government of India


Jul-Sep,2016 16-Sep-16 SYNDICATE BANK EGM M

Elect one Director from amongst shareholders of the

Bank other than Central Government

For For

He is B.Tec, IIT Delhi, and PGDM

from IIM Bangalore and Ph.D from IIT Kanpur. His

credential looks high.

Jul-Sep,2016 17-Sep-16 ICRA LTD. PB M

Sale of the entire shareholding held by the

Company in ICRA Techno Analytics Ltd, wholly owned

subsidiary

For For

To enhance company's focus

on its core business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Adoption of Accounts For For Normal Business


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Declaration of Dividend For For Normal Business


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Mr. Dilip S. Shanghvi as Director For For Attended all Board

Meetings


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Appointment of M/s. Deloitte Haskins and Sells Chartered



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M

Payment of remuneration to Cost Auditors M/s. Kailash

Sankhlecha and Associates Cost Accountant



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Mr. S. Mohanchand Dadha as Independent Director



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Mr. Keki

Mistry as Independent Director




SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Mr.

Ashwin Dani as Independent Director




Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Mr.

Hasmukh Shah as Independent Director



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Re appointment of Ms.

Rekha Sethi as Independent Director



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M

Increase in maximum limit of remuneration to Mr. Dilip S.

Shanghvi as Managing Director

For For


considering the contribution to the

Company and profitability of the

Company.


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M

Increase in maximum limit of remuneration to Mr. Sudhir

V. Valia as Whole Time Director

For For




Company.


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M

Increase in maximum limit of remuneration to Mr. Sailesh

T. Desai as Whole time Director

For For




Company.


SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM M Adoption of new set of AOA For For As per Companies Act


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



SUN PHARMACEUTICA

L INDUSTRIES LTD

AGM ‘

M

Re classification of certain promoter group persons

entities from Promoter and Promoter Group Category

to Public Category

For For As per SEBI Requirement

Jul-Sep,2016 19-Sep-16 ENGINEERS INDIA

LTD AGM M Adoption of Accounts For For Normal Business


LTD AGM M Declaration of Dividend For For Normal Business


LTD AGM M Re appointment of Mr. Ram Singh as Director For For Attended all Board

Meetings


LTD AGM M Re appointment of Mr. Ashwani Soni as Director For For Attended all Board

Meetings


LTD AGM M Appointment of Auditors For For Normal Business


LTD AGM M

Appointment of Dr. Prof Mukesh Khare as Non

Official Part time Independent Director

For For




LTD AGM M

Appointment of Mr. S. Arusha Vasude as Non

Official Part time Independent Director

For For




LTD AGM M

Appointment of Mr. Vikas Khushalrao Deshpande as

Non Official Part time Independent Director

For For




Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Sep-16

ENGINEERS INDIA

LTD

AGM

M

Appointment of Mr. Umesh

Chandra Pandey as Non Official Part time

Independent Director

For

For

Attended all Board


appointment

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

Ratification of appointment of M/s. Shah Gupta and Co Chartered Accountants as

Statutory Auditors for financial year 201617 to hold office from the conclusion of

the 14th Annual General Meeting till the conclusion of

15th Annual General Meeting

For

For

Normal Business

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M


place of Mr. Ajai Kumar who retires by rotation and being eligible offers himself for re

appointment

For

For

Attended all Board

Meetings

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

To appoint a Director in place of Mr. M. A. K. Prabhu who retires by

rotation and does not seek reappointment and in this

regard to appoint Mr. Chengalath Jayaram as a

Shareholder Director

For

For

A nomination from

Kotak Mahindra Bank


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

Appointment of Mr. Mr.

Ugank Madhukar Paranjape as a Director

For

For


varied areas such as Corporate

Banking, Securities market

and Investor services

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

Appointment of Mr. Mr.

Ugank Madhukar Paranjape as Managing Director and Chief Executive Officer of

the Company for a period of three years with effect from 9th May 2016 and payment

of remuneration to him

For

For


varied areas such as Corporate

Banking, Securities market

and Investor services

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

To approve foreign

investment in the Company up to a maximum cap of 34

percent as against the prescribed sectorial cap of

49 percent

For

For

In line with Law

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

To approve ratification of and entering into material related party transactions

with Multi Commodity Exchange Investor Client

Protection Fund

For

For


basis

Jul-

Sep,2016

19-Sep-16

MCX INDIA LTD

AGM

M

To consider and determine the fees for delivery of any

document through a particular mode of delivery

to a Member

For

For

To meet the

expense.

Jul-

Sep,2016

21-Sep-16

BHARAT

PETROLEUM

AGM

M


For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


CORPORATION LTD.

Jul-

Sep,2016

21-Sep-16

BHARAT

PETROLEUM CORPORATION

LTD.

AGM

M


For

For

Normal Business

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

To appoint a Director in place of Shri Shrikant

Prakash Gathoo Director who retires by rotation and being eligible offers himself

for re appointment

For

For

Attended all Board

Meetings

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

To authorise the Board of

Directors of the Company to fix the remuneration of the Joint Statutory Auditors of

the Company for the Financial Year2016-17

For

For

Normal Business

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Approval of Private Placement of Non-Convertible Bonds

Debentures and or Debt Securities

For

For

Fund requirements for

Business

Jul-

Sep,2016

21-Sep-16

BHARAT PETROLEUM

CORPORATION LTD.

AGM

M

Approval of Material Related

Party Transactions

For

For


basis

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M


Kumar Mangal as an Independent Director

For

For


his tenure


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Appointment of Shri Deepak Bhojwani as an Independent

Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Appointment of Shri Gopal

Chandra Nanda as an Independent Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Appointment of Shri Anant

Kumar Singh as Government Nominee

Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Appointment of Shri Ramesh

Srinivasan as Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Appointment of Shri

Ramamoorthy Ramachandran as Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

BHARAT


LTD.

AGM

M

Approval of Remuneration of

the Cost Auditors for the Financial Year 2016-17

For

For

Normal Business

Jul-

Sep,2016

21-Sep-16

STEEL

AUTHORITY OF INDIA LTD.

AGM

M


For

For

Normal Business

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M


Binod Kumar as Director

For

For

Attended more



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M


Auditors

For

For

Normal Business

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Shri P. K.

Dash as Independent Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Prof Ashok

Gupta as Independent Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Shri Pramod

Bindal as Independent Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Mr. S. Anshu

Vaish as Independent Director

For

For

Attended more

than 75% Board Meetings during

his term

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Dr. N.

Mohapatra as Whole time Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Shri G.

Vishwakarma as Whole time Director

For

For


his tenure

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Appointment of Shri Raman

as Whole time Director

For

For

He is B.Tech from BIT, Government Nominee Director.

He has also worked in SAIL.

Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Borrow and Creation of

charge up to Rs 5000 crore

For

For

Business

Requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

21-Sep-16

STEEL


AGM

M

Payment of remuneration to Cost Auditors M/s. R J Goel


For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Confirmation of Interim

Dividend and declaration of Final Dividend

For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Re appointment of Mr. M. L.

Shanmukh as Director

For

For

Attended all Board

Meetings

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Statutory

Auditors

For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Mr. S.

Kusum Singh as Director

For

For


her tenure

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Dr. Bhaskar

Ramamurthi as Director

For

For


his tenure

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Dr. R. K. Shevgaonkar as Director

For

For


his tenure

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Mr. S. Usha

Mathur as Director

For

For


her tenure

Jul-

Sep,2016

22-Sep-16

BHARAT

ELECTRONICS LTD

AGM

M

Appointment of Mr. Sharad

Sanghi as Director

For

Against

Attended less than

75% Board Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



BHARAT ELECTRONICS

LTD AGM M Appointment of Mr. Girish

Kumar as Director For For He is Government Nominee Director


BHARAT ELECTRONICS

LTD AGM M Appointment of Mr. Nataraj

Krishnappa as Director For For He is Government Nominee Director


BHARAT ELECTRONICS

LTD AGM M

Payment of remuneration to Cost Auditors M/s. GNV and Associates Cost Accountant


Jul-Sep,2016 22-Sep-16 GUJARAT.STATE.

PETRONET LTD AGM M Adoption of Accounts For For Normal Business


PETRONET LTD AGM M Declaration of Dividend For For Normal Business


PETRONET LTD AGM M Re appointment of Smt. Shridevi Shukla as Director For For


her tenure


PETRONET LTD AGM M Appointment of Statutory Auditors For For Normal Business


PETRONET LTD AGM M Appointment of Dr. Sudhir

Kumar Jain as Independent Director

For Against Attended less than

75% Board Meetings


PETRONET LTD AGM M Appointment of Shri Bhadresh Mehta as



her tenure


PETRONET LTD AGM M Appointment of Shri Sujit Gulati IAS as Director For For

He is a Mechanical

Engineer and an IAS officer of the

Gujarat Cadre


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


since 1985. He is having varied and

rich experience and has served as

Joint Secretary and Financial

Advisor, Ministry of Mines of

Government of India.

Jul-

Sep,2016

22-Sep-16

GUJARAT.STATE.PETRONET LTD

AGM

M

Payment of remuneration to Cost Auditors M/s. R K Patel

and Co, Cost Accountant

For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

GUJARAT.STATE.PETRONET LTD

AGM

M

Payment of remuneration to Shri M. M. Srivastava IAS as

Chairman

For

For

Attended all Board

Meetings

Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M

Appoint a Director in place of Shri Jayant Kumar who

retires by rotation and being eligible offers himself for re

appointment for the remaining term at the

pleasure of the President of India

For

For

Attended all Board meetings since his

appointment

Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M

Appoint a Director in place of Shri Radheshyam Mina who retires by rotation and being eligible offers himself for re appointment for the

remaining term at the

For

For


appointment


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


pleasure of the President of India

Jul-Sep,2016 22-Sep-16 NHPC LTD AGM M

To authorize Board of Directors to fix the

remuneration of the Joint Statutory Auditors for the financial year 2016-2017



Ratification of the remuneration of the Cost Auditors for the financial

year 2016-2017



Appointment of Shri Krishna Mohan Singh as Chairman

and Managing Director For For


appointment

Jul-Sep,2016 22-Sep-16 NHPC LTD AGM M Appointment of Shri Ratish

Kumar as Director For For Attended all Board meetings since his

appointment

Jul-Sep,2016 22-Sep-16 NHPC LTD AGM M Appointment of Shri Balraj

Joshi as Director For For

He joined the Company in

October 1982 and has distinguished

career


Appointment of Shri Satya Prakash Mangal as



appointment


Appointment of Prof Arun Kumar as Independent

Director For For


appointment


Appointment of Prof. Kanika T Bhal as Independent

Director For For


appointment


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M

Appointment of Shri Farooq

Khan as Independent Director

For

For


appointment

Jul-

Sep,2016

22-Sep-16

NHPC LTD

AGM

M

Issue of secured

secured/unsecured, redeemable, non-

convertible, debentures/bonds

aggregating up to Rs. 4500 crores through private

placement

For

For

Business

requirement

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

To confirm the payment of

Interim Dividend of Rs. 0.63 per share and to declare the

final dividend on equity shares for the financial year

2015/16

For

For

Normal Business

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M


place of Shri Rakesh Kumar Bansal who retires by


appointment

For

For

Attended all Board

Meetings

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M


place of Shri Amarjit Singh Bindra who retires by


appointment

For

For

Attended all Board

Meetings

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

For

For

Attended all Board

meetings held


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Approval of appointment of Shri Ganesh Dutt as Independent Director


Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

Approval of appointment of

Shri Pravinbhai Patel as Independent Director

For

For

Attended all Board


appointment

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

Approval of appointment of Shri Shamsher Singh Uppal

as Independent Director

For

For

Attended all Board


appointment

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

Approval of appointment of

Dr. Rajni Sarin as Independent Director

For

For

Attended all Board


appointment

Jul-

Sep,2016

22-Sep-16

SJVN LTD

AGM

M

Ratification of Remuneration

of Cost Auditor for the Financial Year 2016-17

For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

GAIL (INDIA) LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

GAIL (INDIA) LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

GAIL (INDIA) LTD

AGM

M

Re appointment of Shri Subir Purkayastha as

Director

For

For

Attended more


his term

Jul-

Sep,2016

23-Sep-16

GAIL (INDIA) LTD

AGM

M


Ashutosh Jindal as Director

For

For

Attended more


his term


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-Sep,2016 23-Sep-16 GAIL (INDIA) LTD AGM M Appointment of Auditors For For Normal Business

Jul-Sep,2016 23-Sep-16 GAIL (INDIA) LTD AGM M

Appointment of Shri Sanjay Kumar Srivastava as Independent Director

For For Attended all Board Meetings during

his tenure


Appointment of Shri Anupa Kulshrestha as Independent

Director For For


his tenure


Appointment of Shri Sanjay Tandon as Independent

Director For For


his tenure

Jul-Sep,2016 23-Sep-16 GAIL (INDIA) LTD AGM M Payment of remuneration to

Cost Auditors For For Normal Business

Jul-Sep,2016 23-Sep-16 GAIL (INDIA) LTD AGM M Enter into contracts with

other related parties For For


basis

Jul-Sep,2016 23-Sep-16 GAIL (INDIA) LTD AGM M Borrow up to Rs. 2500 crore For For Business

Requirement

Jul-Sep,2016 23-Sep-16 GRASIM

INDUSTRIES LTD AGM M Adoption of Accounts For For Normal Business


INDUSTRIES LTD AGM M Declaration of Dividend For For Normal Business


INDUSTRIES LTD AGM M Re appointment of Mr. Shailendra K Jain as

Director For For

Attended more than 75% Board

Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



INDUSTRIES LTD AGM M Re appointment of Mr. s Rajashree Birla as Director For For

She is from the promoter group, and attended 1

meeting out of 6.


INDUSTRIES LTD AGM M Re appointment of M s G P Kapadia and Co Chartered



INDUSTRIES LTD AGM M Appointment of M s BSR and Co LLP Chartered



INDUSTRIES LTD AGM M Appointment of Mr. K K

Maheshwari as Non-Executive Director



INDUSTRIES LTD AGM M Appointment of Mr. Arun Kannan Thaigarajan as Independent Director

For For

He has done M.Sc., Eng., and was associated

with ABB, Aditya Birla Fashion,

Alstom India, and GMR Group. His vast experience will benefit the

Company


INDUSTRIES LTD AGM M Appointment of Mr. Dilip Gaur as Director For For

He joined the Company & was

appointed as Managing Director.


INDUSTRIES LTD AGM M Appointment of Mr. Dilip Gaur as Managing Director For For

He joined the Company & was

appointed as Managing Director.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Payment of Commission to the Non-Executive Director

For

For

In line with Act

Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Issuance of Non-Convertible

Debentures on private placement basis

For

For

Business

Requirement

Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Payment of remuneration to Cost Auditors M s D C Dave


For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Subdivision of Equity Shares

of the Company

For

For

Investor friendly

measure

Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Alteration of MOA

For

For

Change in Capital

Clause

Jul-

Sep,2016

23-Sep-16

GRASIM

INDUSTRIES LTD

AGM

M

Alteration of AOA

For

For

Change in Capital

Clause

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M

Consideration and adoption

of Standalone and Consolidated Audited

Balance Sheet Statement of Profit and Loss with the

Report of Board of Directors and the Auditors thereon for the financial year ended 31st

March 2016

For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M

Re appointment of Mr. Sunil

Gupta as a Director who retires by rotation

For

For

Attended all Board

Meetings

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M


Satish Chandra Mishra as a

For

For

Attended all Board

Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Director who retires by rotation

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M

Appointment of Auditors and

fixing their remuneration

For

For

Normal Business

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M

Re appointment of Ms. Anita Nayyar as an Independent Director of the Company for a term up to the conclusion

of the Annual General Meeting of the Company to be held in the calendar year

2019

For

Against

Attended less than

75% Board Meetings

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M

Appointment of Mr. Vikram Sakhuja as an Independent Director of the Company to hold office for a term up to

the Annual General Meeting to be held in the calendar

year 2020

For

For

He is an engineer

from IIT Delhi, with an MBA from IIM Calcutta. He has more than 8

years of experience in

Media

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M


Mahendra Mohan Gupta as Chairman and Managing

Director of the Company for a further period of five years with effect from October 01

2016

For

For

Attended all Board

Meetings

Jul-

Sep,2016

23-Sep-16

Jagran Prakashan

Limited

AGM

M


Sanjay Gupta as a Whole Time Director and

designated as Chief Executive Officer of the

Company for a further period

For

For

Attended all Board

Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


of five years with effect from October 01, 2016

Jul-Sep,2016 23-Sep-16 Jagran Prakashan

Limited AGM M

Re appointment of Mr. Shailesh Gupta as a Whole

Time Director of the Company for a further period of five years with effect from

October 01, 2016



Limited AGM M

Re- appointment of Mr. Dhirendra Mohan Gupta as a Whole Time Director of the Company for further period of five years with effect from

October 01, 2016


than 75% Board Meetings.


Limited AGM M

Re appointment of Mr. Sunil Gupta as a Whole Time

Director of the Company for a further period of five years with effect from October 01,

2016


Jul-Sep,2016 24-Sep-16 RAMAKRISHNA

FORGINGS LTD AGM M Adoption of accounts For For Normal Business


FORGINGS LTD AGM M Declaration of dividend For For Normal Business


FORGINGS LTD AGM M

Appointment of Director in place of Mr. Mahabir Prasad Jalan who retires by rotation

and being eligible, offers himself for

reappointment.



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

24-Sep-16

RAMAKRISHNA FORGINGS LTD

AGM

M

Reification of the

appointment of M/s. Singhi and Co Chartered

Accountants as Statutory Auditors from the conclusion

of this AGM until the conclusion of the next AGM

of the Company

For

For

Normal Business

Jul-

Sep,2016

24-Sep-16


AGM

M

Appointment of M/s. Jitendra

K Agarwal and Associates as the Statutory Auditors of

the Company from the conclusion of this AGM until the conclusion of the 39th

AGM of the Company

For

For

Normal Business

Jul-

Sep,2016

24-Sep-16


AGM

M

Appointment of Mr.

Sandipan Chakravortty who is hereby appointed as an

Independent Director of the Company for a term of 5

consecutive years

For

For

He is B.E. and M.E. from IIT

Kharagpur. He has served Tata

Steel from 1975 to 2001. His

experience will help the company

Jul-

Sep,2016

24-Sep-16


AGM

M

Appointment of Mr. Partha Sarathi Bhatacharyya as an Independent Director for a

term of 5 years

For

For

He was CMD of Bharat Cocking

Coal Ltd fro. 2003 to 2011. He was associated with

Western Coalfields ltd,

Coal India.

Jul-

Sep,2016

24-Sep-16


AGM

M

Ratification of the

Remuneration to be paid to M/s. U Sharma & Associates

Cost Accountants as the Cost Auditors for the

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


financial year ending March31 2017

Jul-

Sep,2016

24-Sep-16


AGM

M


Mahabir Prasad Jalan as the while Director designated as Chairman of the Company

for a period of 5 years

For

For

Attended all Board

Meetings

Jul-

Sep,2016

24-Sep-16


AGM

M

Re appointment of Mr. Naresh Jalan as the

Managing Director of the Company for a period of 5

years

For

For

Attended all Board

Meetings

Jul-

Sep,2016

24-Sep-16


AGM

M


Pawan Kumar Kedia as the while Director designated as

Director Finance of the Company for a period of 3

years

For

For

Attended all Board

Meetings

Jul-

Sep,2016

24-Sep-16


AGM

M

Re pricing of exercise price

of ESOP Scheme 2015

For

For


Jul-

Sep,2016

24-Sep-16


AGM

M

Payment for service of

documents

For For

To meet expenses

Jul-

Sep,2016

28-Sep-16

SADBHAV

ENGINEERING LTD

AGM

M

Consider and adopt Audited Financial Statement Report

of the Board of Directors and Auditors Audited

Consolidated Financial Statement

For

For

Normal Business

Jul-

Sep,2016

28-Sep-16

SADBHAV

ENGINEERING LTD

AGM

M


Equity Shares

For

For

Normal Business


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



SADBHAV ENGINEERING

LTD AGM M

Re Appointment of Mr. Vasistha C. Patel who

retires by rotation For Against

Attended less than 75% Board Meetings.


SADBHAV ENGINEERING

LTD AGM M

Re Appointment of Mr. Vikram Kumar R. Patel who

retires by rotation For For

Attended more than 75% Board

Meetings.


SADBHAV ENGINEERING

LTD AGM M

Ratification of appointment of Statutory Auditors and fixing their remuneration



SADBHAV ENGINEERING

LTD AGM M To appoint Mr. Vipul H.

Patel as an Additional Director of the Company

For For

He is B.E.Civil having more than

12 years' experience in the

field of Road sector, Metro Rail, Irrigation Buildings and Mining sector


SADBHAV ENGINEERING

LTD AGM M

To appoint Mr. Vipul H. Patel as a Whole time

Director of the Company for a period of three Years

For For

He is B.E.Civil having more than

12 years' experience in the

field of Road sector, Metro Rail, Irrigation Buildings and Mining sector


SADBHAV ENGINEERING

LTD AGM M Ratification of Remuneration

to Cost Auditor For For Normal Business


SADBHAV ENGINEERING

LTD AGM M To approve conversion of

loan into equity For For

Business purpose. New projects

Company need equity. Earlier Company has


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


passed resolution for borrowing in

AGM for Rs. 2000 crs. Company has borrowed money from Banks/FPIs

by executing documents which also includes one of the condition of

conversion

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M


For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

To declare Dividend on

Equity Shares

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

To re appoint a Director in

place of Shri Sanjeev Kumar IAS who retires by rotation

and being eligible offers himself for reappointment

For

For


her tenure

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

To authorise the Board of

Directors of the Company to fix the remuneration of

Statutory Auditors of the Company for the FY 2016-

2017 in terms of the provisions of Section 142 of

Companies Act 2013

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

Appointment of Dr. J.N.

Singh IAS as Director not liable to retire by rotation

For

For


her tenure

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

Appointment of Shri Sujit Gulati IAS as Director not liable to retire by rotation

For

For


her tenure


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

Appointment of Dr. T.

Natarajan IAS as Director liable to retire by rotation

For

For


her tenure

Jul-

Sep,2016

29-Sep-16

GUJARAT GAS

LTD

AGM

M

Ratification of remuneration

of Cost Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M


Statements for the year ended March 31, 2016

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M


Gangadhara Ganapati as a Director

For

For

Attended all Board

Meetings.

Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M

Retirement by rotation of Mr. Prakash Parthasarathy as a

Director

For

For

Attended more


Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M

Ratification of the

appointment of Deloitte Haskins and Sells as

Statutory Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M

Ratification of remuneration

payable to Cost Auditors

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

HEALTHCARE

GLOBAL ENTERPRISES

LTD

AGM

M

Approval for revision in

remuneration of Dr. B. S. Ajai Kumar Whole time Director designated as Chairman subject to approval of Central

Government

For

For

In line with

industry and variable

remuneration will depend upon performance.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



HEALTHCARE GLOBAL

ENTERPRISES LTD

AGM M

Approval for FIIs FPIs QFIs to invest in the equity of the Company to 100 percent of paid up equity share capital

of the Company from the present allowed limits of 24

percent of paid up equity share capital of the

Company

For For In line with new guidelines


HEALTHCARE GLOBAL

ENTERPRISES LTD

AGM M

Approval to make further grants or allot shares under an existing Employee Stock

Option Scheme of the Company

For For Employee Incentive scheme

Jul-Sep,2016 29-Sep-16 INDRAPRASTHA

GAS LTD AGM M

To consider and adopt the audited financial statements for FY ended 31.03.2016 the

Reports of the Board of Directors and Auditors

thereon and the audited consolidated financial

Statements for FY ended 31.03.2016 and the reports

of Auditors thereon



GAS LTD AGM M To declare a dividend on equity shares For For Normal Business


GAS LTD AGM M

To appoint a Director in place of Shri M. Ravindran, who retires by rotation and being eligible offers himself

for reappointment

For For Attended all Board Meetings.


GAS LTD AGM M Approval of remuneration

payable to Statutory Auditors of the Company



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Appointment of Shri Narendra Kumar as

Managing Director and approval of his remuneration

For

For

Attended all Board

Meetings.

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Appointment of Shri E. S.

Ranganathan as a Director of the Company not liable to

retire by rotation

For

For

He is nominated by GAIL India Ltd

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Appointment of Shri E. S.

Ranganathan as Managing Director and approval of his

remuneration

For

For

He is nominated by GAIL India Ltd

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Ratification of the

remuneration payable to Cost Auditors of the

Company for the financial year ending 31st March

2017

For

For

Normal Business

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Approval of material Related Party Transactions under a contract entered with GAIL

India Limited

For

For

Transactions are entered into at a

price to be decided by Govt.

of India.

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Approval of material Related Party Transactions under a contract entered with GAIL

India Limited

For

For

Transactions are entered into at a

price to be decided by Govt.

of India.

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Authority to the Board of

Directors us 180(1)(c) of the Companies Act 2013 to

borrow moneys for business purposes of the Company

For

For

Business requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


for an amount up to Rs. 4000 crores

Jul-

Sep,2016

29-Sep-16

INDRAPRASTHA

GAS LTD

AGM

M

Authority to the Board of

Directors us 180(1)(a) of the Companies Act 2013 to mortgage and or create charge on assets of the

Company for an amount up to Rs. 4000 crores

For

For

Business requirement

Jul-

Sep,2016

30-Sep-16

PNC INFRATECH

LTD

AGM

M

Consider and adopt the

audited Standalone Financial Statement of the

Company for the year ended March 31, 2016 and the

report of the Board of Directors and Auditors there

on the audited Consolidated Financial

Statement of the Company for the financial year ended

March 31, 2016 and the report of the Auditors

thereon

For

For Normal Business

Jul-

Sep,2016

30-Sep-16

PNC INFRATECH

LTD

AGM

M

Declare dividend on Equity

Shares for the financial year ended 31st March 2016

For

For

Normal Business

Jul-

Sep,2016

30-Sep-16

PNC INFRATECH

LTD

AGM

M

Appoint a Director in place

of Shri Chakresh Kumar Jain Managing Director who


appointment

For

For

Attended all Board

Meetings.

Jul-

Sep,2016

30-Sep-16

PNC INFRATECH

LTD

AGM

M

Appoint a Director in place of Shri Yogesh Kumar Jain

Managing Director who

For

For

Attended all Board

Meetings.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)



appointment

Jul-Sep,2016 30-Sep-16 PNC INFRATECH

LTD AGM M

Re appointment of M/s. Purushottam Agrawal and Company Statutory Auditor

of the Company



LTD AGM M

Re appointment of M/s. S S Kothari Mehta and Co, Joint

Statutory Auditor of the Company



LTD AGM M Ratify remuneration of Cost Auditors of the Company for

FY 2016 -17 For For Normal Business


LTD AGM M Re Appoint Mr. Pradeep

Kumar Jain, Chairman and Managing Director

For For

He is Chairman and Managing Director of the

Company


LTD AGM M Re Appoint Mr. Chakresh

Kumar Jain Managing Director

For For Attended all Board Meetings.


LTD AGM M Re Appoint Mr. Yogesh Kumar Jain Managing

Director For For Attended all Board

Meetings.


LTD AGM M Re Appoint Mr. Anil Kumar Rao Whole Time Director For Against

Attended less than 75% Board Meetings

Oct-Dec,2016 03-Oct-16


LTD PB M Authorize capitalization of

reserves for bonus issue For For Steps to reward investors.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Oct-

Dec,2016

10-Oct-16

GRASIM

INDUSTRIES LTD

EGM

M

Approve increase in limit on

foreign shareholdings

For

For

Investors' friendly

measures.

Oct-Dec,2016

20-Oct-16

ULTRATECH CEMENT LTD

CRT

M

Scheme of Arrangement

under Sections 391 to 394 of the Companies Act 1956

between Jaiprakash Associates Limited and

Jaypee Cement Corporation Limited and UltraTech

Cement Limited and their re spective shareholders and

creditors

For

For

The scheme is in

line with the Company's

strategy to grow inorganically

Oct-

Dec,2016

26-Oct-16

KARUR VYSYA

BANK LTD

PB

M

Subdivision of shares

For

For

To improve

liquidity

Oct-

Dec,2016

26-Oct-16

KARUR VYSYA

BANK LTD

PB

M

Alteration of the capital

clause of the MOA of the Bank

For

For

Business purpose

Oct-

Dec,2016

26-Oct-16

KARUR VYSYA

BANK LTD

PB

M

Alteration of Article 3 and

article 25 of the AOA of the Bank

For

For

Internal

Management

Oct-

Dec,2016

08-Dec-16

CAPITAL FIRST

LIMITED

EGM

M

To offer issue and allot

equity shares on preferential basis

For

For

Capital required for growth of the

Company. Placement is at Rs.712, which is significant above

market value now.

Oct-

Dec,2016

09-Dec-16

HINDALCO INDS

LTD

EGM

M

Issue of Securities

For

For

Fund required for

growth of the Company.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Oct-Dec,2016 17-Dec-16 JSW STEEL PB M

Subdivision of Equity Shares of the Company from the Face Value of Rs. 10 per

Equity Shares to Re. 1 per Equity Shares

For For To improve liquidity


Alteration of the Capital Clause in the Memorandum

of Association For For Change in Capital

Clause


Alteration of the Capital Clause of the Articles of

Association For For Change in Capital

Clause


Enter into various related party transactions with JSW International Tradecorp Pte

Ltd Singapore

For For

Transactions to be entered into at all times be on arm's length basis and

ordinary course of the Company.

Oct-Dec,2016 18-Dec-16 MUTHOOT

FINANCE LTD PB M

Under Section 13 of the Companies Act 2013 and

the Rules made thereunder for shifting sub clause (13) and (15) of clause III (C) of Other Objects to Clause III

(A) of the Main Objects

For For Business purpose

Oct-Dec,2016 18-Dec-16 MUTHOOT

FINANCE LTD PB M

Under Section 13 of the Companies Act 2013 and

the Rules made thereunder for inserting a new sub

clause under Clause III A to carry out mutual fund

activities



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Oct-

Dec,2016

18-Dec-16

MUTHOOT

FINANCE LTD

PB

M

Under Section 13 of the

Companies Act 2013 and the Rules made thereunder

for inserting a new sub clause under Clause III A to provide financial services

and advisory services

For

For

Business purpose

Oct-

Dec,2016

18-Dec-16

MUTHOOT

FINANCE LTD

PB

M


Companies Act 2013 and the Rules made thereunder for shifting sub clause (10)

of Clause III (C) of Other Objects to Clause III (B) Objects incidental and

ancillary to the attainment of main objects

For

For

Business purpose

Oct-

Dec,2016

18-Dec-16

MUTHOOT

FINANCE LTD

PB

M


Companies Act 2013 and the Rules made thereunder for deletion of Clause III (C)

(1) to (C) (15) of Other Objects

For

For

Business purpose

Oct-

Dec,2016

20-Dec-16

INDIAN HOTELS

CO. LTD.

EGM

M

Removal of Mr. C. P. Mistry

as a Director

For

For

Parent Company support is very critical for the

Company

Oct-

Dec,2016

20-Dec-16

STATE BANK OF

INDIA

EGM

M

Create offer issue and allot

such number of Equity Shares of Re. 1 each at

such price to be determined by the Board in accordance

with Regulation 76(1) of SEBI ICDR Regulations

aggregating to the tune of up to Rs. 5681 Crore on

preferential basis to the

For

For

Capital required

for growth of company.


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Government of India

Oct-Dec,2016 20-Dec-16 STATE BANK OF

INDIA EGM M

To create, offer, issue and allot, such number of Equity

Shares of Re.1 each, not exceeding Rs. 15,000 crore

(rupees fifteen thousand crore) or such amount as

may be approved by GoI & RBI, by way of public issue (i.e. Further Public Offer-

FPO) or Private Placement, including Qualified

Institutional Placement (QIP)/ Global Depository

Receipt (GDRs)/American Depository Receipt (ADRs) and/or any other mode(s)or a combination(s) thereof. To decide the quantum &

mode(s), number of tranches, prices,

discount/premium, reservations to employees,

existing shareholders and or any other persons as may be decided by the Board.

For For Capital required

for growth of company.

Oct-Dec,2016 22-Dec-16 SHEMAROO

ENTERTAIN LTD PB M

Amendments to Objects Clause of the Memorandum

of Association of the Company


Oct-Dec,2016 22-Dec-16 SHEMAROO

ENTERTAIN LTD PB M Amendment to Clause IV of

the Memorandum of Association of the Company



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Oct-

Dec,2016

22-Dec-16

TATA MOTORS LIMITED DVR

EGM

M

Removal of Mr. Cyrus P

Mistry as a Director

For

For


Company

Oct-

Dec,2016

22-Dec-16

TATA MOTORS LIMITED DVR

EGM

M

Removal of Mr. Nusli N

Wadia as a Director

For

For


Company

Oct-

Dec,2016

23-Dec-16

ENGINEERS INDIA

LTD

EGM

M


Share Capital from Rs. 300 crore to Rs. 400 crore

For

For

Steps to reward

investors.

Oct-

Dec,2016

23-Dec-16

ENGINEERS INDIA

LTD

EGM

M

Alteration of Articles of

association

For

For

Steps to reward

investors.

Oct-

Dec,2016

23-Dec-16

ENGINEERS INDIA

LTD

EGM

M

Issue of Bonus Shares in the ratio of 1 Equity Share of Rs.

5 each for every 1 Equity Share of Rs. 5 each

For

For

Steps to reward

investors.

Jan-

Mar,2017

06-Jan-17

HINDUSTAN PETROLEUM

CORPORATION LIMITED

PB

M

Approve for issue of Non-

convertible bonds or debentures

For

For

Fund required for

growth of company.

Jan-

Mar,2017

10-Jan-17

SADBHAV.ENGINE

ERING LIMITED

PB

M

Approve Related Party

Transactions

For

For

Transactions to be

entered into during the

ordinary course of business and at

arm length basis.

Jan-

Mar,2017

16-Jan-17

ASHOK LEYLAND

PB

M

Alteration of the Objects

Clause and Liability Clause of the Memorandum of

Association of the Company

For

For

Business

requirement


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jan-

Mar,2017

16-Jan-17

ASHOK LEYLAND

PB

M

Increase in the number of stock options under Ashok Leyland Employees Stock

Option Plan 2016

For

For

Incentive scheme

Jan-

Mar,2017

17-Jan-17

RBL BANK

EGM

M

Ratification of Employee

Stock Option Plan 2013 of RBL Bank Limited

For

For

Incentive scheme

Jan-

Mar,2017

18-Jan-17

PNC INFRATECH

LIMITED

PB

M

Special Resolution to

enhance Borrowing Powers of the Company

For

For

Business

requirement

Jan-

Mar,2017

18-Jan-17

PNC INFRATECH

LIMITED

PB

M

Special Resolution to

enhance power of Board to Mortgage Hypothecate

Pledge Creation Of Charge

For

For

Business

requirement

Jan-

Mar,2017

08-Feb-17

JAGRAN

PRAKASHAN LTD

PB

M

Approval for buyback of

equity shares

For

For

Step to reward

investors.

Jan-

Mar,2017

08-Feb-17

SIEMENS LTD

AGM

M


For

For

Normal Business

Jan-

Mar,2017

08-Feb-17

SIEMENS LTD

AGM

M

Confirmation of Special

Dividend of Rs. 27.50 paise per Equity Share of Rs. 2 each and Declaration of

Final Dividend of Rs. 6 per Equity Share

For

For

Normal Business

Jan-

Mar,2017

08-Feb-17

SIEMENS LTD

AGM

M

To appoint a Director in place of Ms. Mariel von

Schumann who retires by rotation and being eligible

offers herself for re appointment

For Against

Attended 50%

Board Meetings


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Jan-Mar,2017 08-Feb-17 SIEMENS LTD AGM M

Appointment of M/s. S R B C and Co LLP, Chartered Accountants as Auditors



Payment of remuneration to Cost Auditors M/s. R

Nanabhoy and Co Cost Accountant



Approval of transactions with Siemens Healthcare Private

Limited For For

Transactions were entered into at all

times on arm’s length basis and

ordinary course of the company.

Jan-Mar,2017 12-Feb-17 NBCC (INDIA) LTD PB M Issue of Bonus Shares by

Capitalization of Reserves For For Step to reward investors.

Jan-Mar,2017 04-Mar-17 GAIL (INDIA) LTD PB M

Issue of Bonus Shares by way of Capitalisation of

Reserves For For Step to reward

investors

Jan-Mar,2017 05-Mar-17

BHARAT ELECTRONICS

LTD PB M

Approval for sub division of one equity share of Rs .10

each into 10 equity shares of Re. 1 each

For For To improve liquidity


BHARAT ELECTRONICS

LTD PB M

Approval for alteration of the capital clause in the

memorandum of association of the company

For For To meet capital requirement


ALEMBIC PHARMACEUTICA

LS LTD PB M

Appointment of Mr. Udit Amin a Related party under Section 2 (76) of the Act to office or Place of Profit in

Alembic Global Holding SA

For For Promotor group


Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Wholly owned subsidiary of the Company

Jan-

Mar,2017

14-Mar-17

Larsen & Toubro

Limited

CRT

M

Scheme of Arrangement

between Larsen & Toubro Limited (Transferor) and

L&T Valves Ltd (Transferee) and their respective

shareholders, creditors for transfer of the Coimbatore

Undertaking of the Transferor Company as a

going concern to the Transferee company.

For

For

Scheme of

arrangement

Jan-

Mar,2017

16-Mar-17

ITC LTD

PB

M

Approval for the alteration of the Objective Clause of the

Memorandum of Association of the Company to include

Healthcare

For

For

Business purpose

Jan-

Mar,2017

17-Mar-17

J.K.CEMENT LTD

PB

M

Approval of contract for

rendering the expert advisory services of Mr. Paul Heinz Hugentobler Director of the Company

For

For

Business

requirement

Jan-

Mar,2017

30-Mar-17

UPL LIMITED

EGM

M

Approval of UPL Limited Employees Stock Option

Plan 2017

For

For

Employee

Incentive scheme

Jan-

Mar,2017

30-Mar-17

UPL LIMITED

EGM

M

Grant of options to the

employees of the Subsidiary Company(ies) of the

Company under Employees Stock Option Plan 2017

For

For

Employee

Incentive scheme

Jan-

Mar,2017

31-Mar-17

INFOSYS LIMITED

PB

M

Revision in compensation of Mr. U. B. Pravin Rao,. Chief

For

For

In line with



Type of Meetings

[AGM/ EGM/ Postal

Ballot (PB))

Proposal by Manage-


(S)



Manage-ment

Recommendations

Vote (For/

Against/ Abstain)


Operating Officer and Whole time Director Performance of

the company

Jan-Mar,2017 31-Mar-17 INFOSYS LIMITED PB M

Appointment of Mr. D. N. Prahlad as Independent

Director For Abstain No proper information available

Jan-Mar,2017 31-Mar-17 INFOSYS LIMITED PB M

To adopt new Articles of Association of the Company

in conformity with the Companies Act 2013

For For In line with Company Act

M. P. Chitale & Co. Chartered Accountants 1/11, Prabhadevi Ind. Estate, 1st Flr., Opp. Siddhivinayak Temple, Veer Savarkar Marg, Prabhadevi, Mumbai - 25 Tel.: 43474301-03 Fax : 43474304

June 30, 2017

Board of Directors, Baroda Pioneer Mutual Fund 501, Titanium, 5th Floor, Western Express Highway, Goregaon (E), Mumbai, 400 063.

We have been appointed by Baroda Pioneer Asset Management Company Limited as scrutinizer to provide certification on the disclosure of votes cast in terms of SEBI circular No. CIR/IMD/DF/05/2014 dated March 24, 2014 modified by SEBI Circular No. SEBI/HO/IMD/DF2/CIR/P/2016/68 dated August 10, 2016 to be submitted to trustees.

We have verified the voting disclosures made by Baroda Pioneer Asset Management Company Limited on the website for the year 2016-17 on the basis of data obtained from custodian w.r.t resolutions on which AMC is required to cast votes, fund manager’s voting decision (either to vote for/against/abstain from voting) duly supported by the rationale for each agenda item intimated to proxy and confirmations sent by proxy for voting carried out.

We certify that AMC has disclosed details of all the votes cast in the format specified in the circular.

This certification has been issued to Baroda Pioneer Asset Management Company Limited for submission to Board of Directors of Baroda Pioneer Trustee Company Limited and for disclosure on AMC website and in the scheme Annual report in terms of SEBI circular No. CIR/IMD/DF/05/2014 dated March 24, 2014 modified by SEBI Circular No. SEBI/HO/IMD/DF2/CIR/P/2016/68 dated August 10, 2016 and should not be used for any other purpose.

Yours faithfully,

For M. P. Chitale& Co. Chartered Accountants Firm Reg. No. 101851W

Vidya Barje Partner M. No. 104994

ANNEXURE – IV

6

BARODA PIONEER MUTUAL FUND

To the Board of Directors of

BARODA PIONEER TRUSTEE COMPANY PRIVATE LIMITED

Report on the Financial Statements

1. We have audited the accompanying financial statements of the under mentioned schemes of Baroda Pioneer Mutual Fund (the “Schemes”), which comprise the Balance Sheet, the related Revenue Account and Cash Flow Statement for the year/period mentioned below, and a summary of significant accounting policies and other explanatory information, which we have signed under reference to this report.

The Schemes Year/Period

Baroda Pioneer Fixed Maturity Plan - Series E April 01, 2016 to September 6, 2016

Baroda Pioneer Fixed Maturity Plan - Series J April 01, 2016 to December 28, 2016

Baroda Pioneer Fixed Maturity Plan - Series M April 01, 2016 to March 31, 2017

Baroda Pioneer Fixed Maturity Plan - Series N April 01, 2016 to March 31, 2017

Trustee’s and Management’s Responsibility for the Financial Statements

2. The Trustee of Baroda Pioneer Mutual Fund and the Management of Baroda Pioneer Asset Management Company Limited (the “Management”) are responsible for the preparation of these financial statements that give a true and fair view of the financial position, financial performance and cash flows of the Schemes in accordance with the accounting policies and standards specified in the Ninth Schedule of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 and amendments thereto (the “Regulations”). This responsibility includes the design, implementation and maintenance of internal control relevant to the preparation and presentation of the financial statements that give a true and fair view and are free from material misstatement, whether due to fraud or error.

Auditors’ Responsibility

3. Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with Standards on Auditing and other applicable authoritative pronouncements issued by the Institute of Chartered Accountants of India. Those Standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement.

4. An audit involves performing procedures to obtain audit evidence, about the amounts and disclosures in the financial statements. The procedures selected depend on the auditors’ judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditors consider internal control relevant to the preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Our procedures included confirmation of securities owned and unit capital balances as at March 31, 2017 /maturity date by correspondence with the custodian/others and registrar and transfer agent, respectively. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of the accounting estimates made by the Trustee and the Management, as well as evaluating the overall presentation of the financial statements.

5. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.

Opinion

6. In our opinion, and to the best of our information and according to the explanations given to us, the accompanying financial statements give the information required by the Regulations in the manner so required and give a true and fair view in conformity with the accounting principles generally accepted in India:

(a) in the case of the Balance Sheet, of the state of affairs of the Scheme as at year/period mentioned above;

(b) in the case of the Revenue Account, of the net surplus for the year/period mentioned above; and

(c) in the case of the Cash Flow Statement, of the cash flows for the year/period mentioned above.

Other Matter

7. The financial statements of the Scheme as at March 31, 2016 and for the year then ended were audited by another firm of chartered accountants who, vide their report dated July 22, 2016, expressed an unmodified opinion on those financial statements.

Report on Other Legal and Regulatory Requirements

8. As required by section 55(4) of the Regulations, we report that:

(a) We have obtained all the information and explanations which, to the best of our knowledge and belief, were necessary for the purposes of our audit; and

(b) In our opinion, the Balance Sheet, Revenue Account and Cash Flow Statement dealt with by this report have been prepared in accordance with the accounting policies and standards specified in the Ninth Schedule of the Regulations.

9. As required by clause 5 (ii)(2) of the Eleventh Schedule to the Regulations, we report that the Balance Sheet, Revenue Account, and Cash Flow Statement dealt with by this Report are in agreement with the books of account of the Scheme.

10. In our opinion, the methods used to value non-traded securities as at March 31, 2017, as determined by Baroda Pioneer Asset Management Company Limited under procedures approved by the Trustee of Baroda Pioneer Mutual Fund in accordance with the guidelines for valuation of securities for mutual funds as mentioned in the Eighth Schedule of the Regulations issued by the Securities and Exchange Board of India, are fair and reasonable.

For Price Waterhouse Chartered Accountants LLPFirm Registration Number: 012754N/N500016

Chartered Accountants

Sd/-

Alpa KediaPlace : Mumbai PartnerDate : July 21, 2017 Membership Number: 100681

INDEPENDENT AUDITORS’ REPORT

ANNUAL REPORT 2016 - 2017

7

BALANCE SHEET AS AT MARCH 31, 2017

ASSETS

Investments 1 - 277,987,699 - 689,415,649 333,980,329 551,146,384 123,376,304 273,689,497

Other Current Assets 2 306,364,618 23,664,114 778,532,357 52,981,555 288,591,785 27,175,326 196,556,063 27,883,206

306,364,618 301,651,813 778,532,357 742,397,204 622,572,114 578,321,710 319,932,367 301,572,703

LIABILITIES

Unit Capital 3 234,867,065 234,867,065 605,668,291 605,668,291 484,442,857 484,442,857 252,006,618 252,006,618

Reserves and Surplus 4 70,498,530 62,644,817 171,284,523 132,780,777 137,813,889 93,681,418 67,328,560 45,304,729

Current Liabilities & Provisions 5 999,023 4,139,931 1,579,543 3,948,136 315,368 197,435 597,189 4,261,356

306,364,618 301,651,813 778,532,357 742,397,204 622,572,114 578,321,710 319,932,367 301,572,703

Notes to the financial statements 8

The Schedules referred to herein form an integral part of the Financial Statements.

This is the Balance Sheet referred to in our report of even date.

For Price Waterhouse Chartered Accountants LLP For Baroda Pioneer Trustee Company Private Limited For Baroda Pioneer Asset Management Company Limited

Firm Registration Number - 012754N / N500016


Alpa Kedia R.L. Baxi Anthony Heredia Sanjay Grover

Partner Chairman Director & CEO Director

Membership No. 100681 DIN : 168751 DIN : 2205628 DIN : 7217384

S.K. Suvarna Kiran Deshpande

Director COO & CFO

DIN : 3641694

Place : MUMBAI

Place : MUMBAI Place : MUMBAI

Date : July 21, 2017

Date : July 21, 2017 Date : July 18, 2017

BARODA PIONEER FIXEDMATURITY PLAN - SERIES E

BARODA PIONEER FIXEDMATURITY PLAN - SERIES J

BARODA PIONEER FIXED MATURITY PLAN - SERIES M

BARODA PIONEER FIXEDMATURITY PLAN - SERIES N

As at September 06, 2016

Rupees

As atMarch 31, 2016

Rupees

As atDecember 28, 2016

Rupees

As atMarch 31, 2016

Rupees

As atMarch 31, 2017

Rupees

As atMarch 31, 2016

Rupees

As atMarch 31, 2017

Rupees

As atMarch 31, 2016

Rupees

Schedule

(In Rupees)

Alok SahooHead - Fixed Income

Hetal ShahFund Manager

REVENUE ACCOUNT FOR THE YEAR / PERIOD ENDED MARCH 31, 2017

INCOME AND GAINS

Interest and Discount (Note 2.2) 6 10,637,528 25,676,642 48,272,772 64,221,275 50,736,813 49,576,749 26,374,799 26,501,689

Net Profit on Sale / Redemption of Investments 224,255 - - - - - - - and Derivative transactions (Note 2.5)

Net Profit on Inter Scheme Sale of Investments - - - - 24,600 - - - (Note 2.5)

Miscellaneous Income - - - - 5,511 940 - -

TOTAL (A) 10,861,783 25,676,642 48,272,772 64,221,275 50,766,924 49,577,689 26,374,799 26,501,689

EXPENSES AND LOSSES

Net Loss on Sale / Redemption of Investments - - 6,513,685 4,055 4,322,136 28,187 3,211,835 - and Derivative transactions (Note 2.5)

Net Loss on Inter Scheme Sale of Investments - - - - - 4,624 - 1,345 (Note 2.5)

Investment Management Fees (Note 4) 1,404,848 1,182,715 5,266,767 1,187,848 3,870,632 913,660 2,340,246 833,151

Service Tax on Investment Management Fees 210,003 166,726 789,020 165,791 580,010 126,606 350,761 117,553

Trusteeship Fees and Expenses (Note 5) 3,746 5,816 15,278 14,409 16,594 11,288 8,524 5,812

Brokerage and commission - 13,890 - - - 5,732 - 6,444

Audit Fees - - - - 6,598 - 3,386 -

Marketing and Publicity Expenses 205,000 - - - - - - 16,281

Investor Education and Awareness Expenses 26,334 57,167 113,391 141,672 120,577 115,486 61,938 60,455

Other Operating Expenses 7 - 14 - 5 98 4 1 -

TOTAL (B) 1,849,931 1,426,328 12,698,141 1,513,780 8,916,645 1,205,587 5,976,691 1,041,041

Net Realised Gains / (Losses) for the Year (A-B) 9,011,852 24,250,314 35,574,631 62,707,495 41,850,279 48,372,102 20,398,108 25,460,648

Net Change in Unrealised Depreciation in Value) - - 2,934,431 (2,934,431) 2,331,299 (2,265,910) 1,612,443 (1,595,095)of Investments and Derivative transactions (Note 8)

Net Gains / (Losses) for the Year 9,011,852 24,250,314 38,509,062 59,773,064 44,181,578 46,106,192 22,010,551 23,865,553

Net Change in Unrealised Appreciation in Value (437,392) (657,631) (5,316) (2,883) (49,107) 49,107 13,280 - of Investments and Derivative transactions(Note 8)

Net Surplus / (Deficit) including Net Change in 8,574,460 23,592,683 38,503,746 59,770,181 44,132,471 46,155,299 22,023,831 23,865,553 Unrealised Appreciation/Depreciation in Value of Investments and Derivative transactions

Net Change in Unrealised Appreciation in 437,392 657,631 5,316 2,883 49,107 (49,107) (13,280) - Value of Investments and Derivative transactionstransferred to Unrealised Appreciation Reserve(Note 8)

Net Surplus / (Deficit) for the Year 9,011,852 24,250,314 38,509,062 59,773,064 44,181,578 46,106,192 22,010,551 23,865,553

Add : Transfer from Reserve Fund 172,518,511 148,268,197 144,356,785 84,583,721 203,520,169 157,592,714 119,416,995 95,561,648

Less : Dividend Distributions 520,571 - - - - 129,095 - 7,371

Less : Dividend Distribution Tax thereon 200,176 - - - - 49,642 - 2,835

Balance Transferred to Reserve Fund 180,809,616 172,518,511 182,865,847 144,356,785 247,701,747 203,520,169 141,427,546 119,416,995

Notes to the financial statements 8

The Schedules referred to herein form an integral part of the Financial Statements.

This is the Balance Sheet referred to in our report of even date.







S.K. Suvarna

Director

DIN : 3641694

Place : MUMBAI








April 01, 2016September 06, 2016

Rupees

April 01, 2016December 28, 2016

RupeesSchedule

April 01, 2015March 31, 2016

Rupees

April 01, 2015March 31, 2016

Rupees

April 01, 2016March 31, 2017

Rupees

April 01, 2015March 31, 2016

Rupees

April 01, 2016March 31, 2017

Rupees

April 01, 2015March 31, 2016

Rupees


8

(In Rupees)

Kiran Deshpande

COO & CFO




9

CASH FLOW STATEMENT FOR THE YEAR ENDED MARCH 31, 2017

A. Cash flow from Operating Activities

Net Surplus/(Deficit) for the year 8,574,460 23,592,683 38,503,746 59,770,181 44,132,471 46,155,299 22,023,831 23,865,553

Change in unrealised depreciation in value of - - (2,934,431) 2,934,431 (2,331,299) 2,265,910 (1,612,443) 1,595,095investments/derivatives

Change in unrealised appreciation in value of 437,392 657,631 5,316 2,883 49,107 (49,107) (13,280) - investments/derivatives

Operating Profit/(Loss) Before Working 9,011,852 24,250,314 35,574,631 62,707,495 41,850,279 48,372,102 20,398,108 25,460,648 Capital Changes

Adjustments for:-

(Increase)/Decrease in Other Current Assets 9,366,277 (308,677) 33,694,193 (11,755,732) (15,723,749) (25,338,387) (5,652,818) (11,457,800)

(Increase)/Decrease in Investments 277,550,307 (16,213,023) 692,344,764 (37,400,695) 219,448,247 1,144,088,013 151,938,916 822,965,558

Increase/(Decrease) in Current Liabilities (3,140,908) 3,915,336 (2,368,593) 3,903,091 117,933 (453,687) (3,664,167) 3,703,588 and Provisions

Net cash generated from/(used in) Operating ( A ) 292,787,528 11,643,950 759,244,995 17,454,159 245,692,710 1,166,668,041 163,020,039 840,671,994Activities

B. Cash flow from Financing Activities

Increase/(Decrease) in Unit Capital - - - - - (1,058,150,889) - (792,736,213)

Increase/(Decrease) in Unit Premium Reserve - 3 - (1) - (109,745,101) - (74,094,918)and Income Equalisation Reserve

Adjustments for:-

(Increase) / Decrease in Subscription Receivable - - - - 100 (100) - -

Dividend Distribution (including dividend (720,747) - - - (178,737) - (10,206)distribution tax paid)

Net Cash Generated from/(used in) ( B ) (720,747) 3 - (1) 100 (1,168,074,827) - (866,841,337)Financing Activities

Net Increase/(Decrease) in Cash and ( A+B ) 292,066,781 11,643,953 759,244,995 17,454,158 245,692,810 (1,406,786) 163,020,039 (26,169,344)Cash Equivalents

Cash and Cash Equivalents at the beginnings 14,253,702 2,609,749 19,155,410 1,701,252 1,835,729 3,242,515 16,415,884 42,585,228of the year

Cash and Cash Equivalents at the end of the year 306,320,483 14,253,702 778,400,405 19,155,410 247,528,539 1,835,729 179,435,923 16,415,884

Net Increase/(Decrease) in Cash and 292,066,781 11,643,953 759,244,995 17,454,158 245,692,810 (1,406,786) 163,020,039 (26,169,344)Cash Equivalents

Notes : -

1. Cash and Cash Equivalents include the following :

Balances with Schedule Banks :

- In Current Accounts 55,002,960 4,049,974 330,897 4,087,857 72,369 15,459 37,725 4,066,998

Other Collateralised lending

- Collateralised Borrowing and Lending Obligation 251,317,523 10,203,728 778,069,508 15,067,553 247,456,170 1,820,270 179,398,198 12,348,886

306,320,483 14,253,702 778,400,405 19,155,410 247,528,539 1,835,729 179,435,923 16,415,884

2. The above Cash Flow Statement has been prepared under the “Indirect Method” set out in the Accounting Standard - 3 on the Cash Flow Statements issued by The Institute of Chartered Accountants of India.

3. The figures in brackets represents cash outflow.

This is the Cash Flow Statement referred to in our report of even date.







S.K. Suvarna

Director

DIN : 3641694

Place : MUMBAI








September 06, 2016Rupees

December 28, 2016RupeesSchedule

March 31, 2016Rupees






(In Rupees)

Kiran Deshpande

COO & CFO



Schedules to the financial statements as at March 31, 2017

Debentures and Bonds Listed / Awaiting listing - 277,987,699 - 674,579,254 333,980,329 532,503,584 123,376,304 273,689,497

- 277,550,307 - 677,513,685 334,057,699 534,912,253 123,363,024 275,301,940

Certificate of Deposit - - - 14,836,395 - 18,642,800 - -

- - - 14,831,079 - 18,593,693 - -

TOTAL - 277,987,699 - 689,415,649 333,980,329 551,146,384 123,376,304 273,689,497

- 277,550,307 - 692,344,764 334,057,699 553,505,946 123,363,024 275,301,940





As at September 06, 2016Market / Fair value

Rupees Cost Rupees

As atMarch 31, 2016

Market / Fair value Rupees

Cost Rupees

As atDecember 28, 2016Market / Fair value

Rupees Cost Rupees

As atMarch 31, 2016


Cost Rupees

As atMarch 31, 2017


Cost Rupees

As atMarch 31, 2016

Market / Fair valueRupees

Cost Rupees

As atMarch 31, 2017


Cost Rupees

As atMarch 31, 2016


Cost Rupees

(Refer to attached Statement of Portfolio Holdings as at March 31, 2017)

SCHEDULE - 2 OTHER CURRENT ASSETS

Balance with Banks

- in Current Account 55,002,960 4,049,974 330,897 4,087,857 72,369 15,459 37,725 4,066,998

Collateralised Borrowing and Lending Obligations (CBLO) 251,317,523 10,203,728 778,069,508 15,067,553 247,456,170 1,820,270 179,398,198 12,348,886

Unit Subscription Receivable - - - - 310 410 320 320

Interest Receivable on

- Collateralised Borrowing and Lending Obligation 44,135 1,399 131,952 2,457 37,192 399 26,982 1,865

- Debentures / Bonds - 9,409,013 - 33,823,688 41,025,744 25,338,788 17,092,838 11,465,137

TOTAL 306,364,618 23,664,114 778,532,357 52,981,555 288,591,785 27,175,326 196,556,063 27,883,206





As at September 06, 2016Market / Fair value

Rupees

As atMarch 31, 2016


As atDecember 28, 2016Market / Fair value

Rupees

As atMarch 31, 2016


As atMarch 31, 2017


As atMarch 31, 2016


As atMarch 31, 2017


As atMarch 31, 2016


SCHEDULE - 1 INVESTMENTS (Notes 2.5, 8, 12, 17, 19 and 21)

10


(In Rupees)


11


Plan A - Growth Option

Units outstanding, beginning of the year 17,010,126.913 170,101,269 17,010,126.913 170,101,269 4,525,868.810 45,258,688 4,525,868.810 45,258,688

Units issued during the year - - - - - - - -

Units repurchased during the year - - - - - - - -

Units outstanding, end of the year 17,010,126.913 170,101,269 17,010,126.913 170,101,269 4,525,868.810 45,258,688 4,525,868.810 45,258,688

Plan A - Dividend Option

Units outstanding, beginning of the year 400,000.000 4,000,000 400,000.000 4,000,000 - - - -



Units outstanding, end of the year 400,000.000 4,000,000 400,000.000 4,000,000 - - - -

Plan B (Direct) - Growth Option





Plan B (Direct) - Dividend Option

Units outstanding, beginning of the year 2,000.000 20,000 2,000.000 20,000 - - - -



Units outstanding, end of the year 2,000.000 20,000 2,000.000 20,000 - - - -

Total





Note : Includes units allotted to Baroda Pioneer Asset Management Company Limited on account of its investment in the schemes as stipulated under Securities and Exchange board of India (Mutual Funds) (Amendment) Regulations, 2014.

BARODA PIONEER FIXED MATURITY PLAN - SERIES E BARODA PIONEER FIXED MATURITY PLAN - SERIES J

(Units) Amounts (Units) Amounts

September 06, 2016 March 31, 2016 December 28, 2016 March 31, 2016


SCHEDULE - 3 UNIT CAPITAL


Plan A - Growth Option



Units repurchased during the year - - (22,386,439.424) (223,864,394) - - (29,703,905.160) (297,039,052)


Plan A - Dividend Option

Units outstanding, beginning of the year - - 149,234.526 1,492,345 - - 11,000.000 110,000


Units repurchased during the year - - (149,234.526) (1,492,345) - - (11,000.000) (110,000)

Units outstanding, end of the year - - - - - - - -

Plan B (Direct) - Growth Option

Units outstanding, beginning of the year 41,187,350.857 411,873,509 124,466,765.838 1,244,667,658 3,846,232.127 38,462,321 53,404,948.317 534,049,483


Units repurchased during the year - - (83,279,414.981) (832,794,150) - - (49,558,716.190) (495,587,162)


Plan B (Direct) - Dividend Option

Units outstanding, beginning of the year 25,000.000 250,000 25,000.000 250,000 - - - -



Units outstanding, end of the year 25,000.000 250,000 25,000.000 250,000 - - - -

Total

Units outstanding, beginning of the year 48,444,285.695 484,442,857 154,259,374.626 1,542,593,746 25,200,661.793 252,006,618 104,474,283.143 1,044,742,831


Units repurchased during the year - - (105,815,088.931) (1,058,150,889) - - (79,273,621.350) (792,736,214)


Note : Includes units allotted to Baroda Pioneer Asset Management Company Limited on account of its investment in the schemes as stipulated under Securities and Exchange board of India (Mutual Funds) (Amendment) Regulations, 2014.

BARODA PIONEER FIXED MATURITY PLAN - SERIES M BARODA PIONEER FIXED MATURITY PLAN - SERIES N


March 31, 2017 March 31, 2016 March 31, 2017 March 31, 2016


SCHEDULE - 3 UNIT CAPITAL

12



13


Unit Premium Reserve

At the beginning of the year (110,311,085) (110,311,085) (11,581,323) (11,581,323) (109,745,101) - (74,094,918) -

On issue / redemption during the year - - - - - (109,745,101) - (74,094,918)

At the end of the year (110,311,085) (110,311,085) (11,581,323) (11,581,323) (109,745,101) (109,745,101) (74,094,918) (74,094,918)

Unrealised appreciation reserve

At the beginning of the year 437,391 1,095,022 5,315 8,198 (93,650) (142,757) (17,348) (17,348)

Net change in Unrealised Appreciation in Value of (437,392) (657,631) (5,316) (2,883) (49,107) 49,107 13,280 - Investments and Derivatives transferred fromRevenue Account

At the end of the year (1) 437,391 (1) 5,315 (142,757) (93,650) (4,068) (17,348)

Reserve Fund

At the beginning of the year 172,518,511 148,268,197 144,356,785 84,583,721 203,520,169 157,592,714 119,416,995 95,561,648

Transferred to Revenue Account (172,518,511) (148,268,197) (144,356,785) (84,583,721) (203,520,169) (157,592,714) (119,416,995) (95,561,648)

Balance Transferred from Revenue Account 180,809,616 172,518,511 182,865,847 144,356,785 247,701,747 203,520,169 141,427,546 119,416,995

At the end of the year 180,809,616 172,518,511 182,865,847 144,356,785 247,701,747 203,520,169 141,427,546 119,416,995

TOTAL 70,498,530 62,644,817 171,284,523 132,780,777 137,813,889 93,681,418 67,328,560 45,304,729







December 28, 2016Rupees






SCHEDULE - 4 RESERVES AND SURPLUS

Investment Management Fees (Including Service Tax) 60,991 311,408 1,549,371 75,883 291,134 181,417 582,589 417,091

Trusteeship Fees and Expenses - - 141 - 618 - 317 -

Audit Fees - - - - 5,938 - 3,047 -

Selling and Distribution Expenses 200,900 - - - - - - -

Purchase Contracts Awaiting Completion

- Collateralised Borrowing and Lending Obligation - 3,823,078 - 3,858,775 - - - 3,838,822

Dividend Payable (including DDT) 720,748 - - - - - - -

Investor Education and Awareness Payable (Note 15) - 5,016 11,905 12,437 10,552 9,745 5,416 5,011

Brokerage and Commission payable - - - - - 5,732 40 40

Tax deducted at source payable 4,111 62 269 15 770 36 470 83

Sundry Payables 12,273 367 17,857 1,026 6,356 505 5,310 309

TOTAL 999,023 4,139,931 1,579,543 3,948,136 315,368 197,435 597,189 4,261,356













SCHEDULE - 5 CURRENT LIABILITIES AND PROVISIONS

Debentures and Bonds 8,473,450 25,216,125 42,806,096 63,089,368 49,236,233 45,233,636 25,131,062 22,656,552

Certificate of Deposits - - 168,921 3,249 23,836 2,934,924 - 2,606,040

CBLO and Reverse Repo 2,164,078 460,517 5,297,755 1,128,658 1,476,744 1,408,189 1,243,737 1,239,097

TOTAL 10,637,528 25,676,642 48,272,772 64,221,275 50,736,813 49,576,749 26,374,799 26,501,689













SCHEDULE - 6INTEREST AND DISCOUNT

Other Expenses - 14 - 5 98 4 1 -

TOTAL - 14 - 5 98 4 1 -













SCHEDULE - 7OTHER OPERATING EXPENSES

Schedule - 8 NOTES TO THE FINANCIAL STATEMENTS

1. Organization

a) Baroda Pioneer Mutual Fund (“the Mutual Fund”), formerly known as BOB Mutual Fund, has been constituted as a Trust in accordance with the provisions of the Indian Trusts Act, 1882 (2 of 1882) on 30th October 1992. The trust deed has been registered under the Indian Registration Act, 1908. The Mutual Fund is registered with SEBI under Registration No. MF/018/94/2, dated November 21, 1994.

b) BOB Mutual Fund was established by Bank of Baroda by the execution of a Trust Deed dated October 30, 1992. Pioneer Global Asset Management S.p.A. acquired 51% stake in BOB Asset Management Company Limited in 2008 and became co-sponsor for BOB Mutual Fund. The name of BOB Mutual Fund was then changed to Baroda Pioneer Mutual Fund, for which SEBI approval was received vide their letter IMD/RB/134922/08 dated August 12, 2008.

c) The key features of the FMP Schemes of the Mutual Fund presented in these financial statements are as under :

"Scheme Name(Collectively termed as "the Schemes")

Type of Scheme

Launched onDate of

allotmentInvestment Objective

Plans/Optionscurrently offered

Baroda Pioneer Fixed Maturity Plan - Series E @ A closed ended August 26, August 30, The investment objective of the Plan A - Growth Option debt scheme 2013 2013 returns by investing in a portfolio comprising of debt Plan A - Dividend Option

instruments and money market instruments maturing Plan B (Direct) - Growth Optionon or before the maturity of the Scheme. Plan B (Direct) - Dividend Option

Baroda Pioneer Fixed Maturity Plan - Series J @ A closed ended December 17, December 23, The investment objective of the Scheme is to generate Plan A - Growth Optiondebt scheme 2013 2013 returns by investing in a portfolio comprising of debt Plan B (Direct) - Growth Option

instruments and money market instruments maturing onor before the maturity of the Scheme.

Baroda Pioneer Fixed Maturity Plan - Series M A closed ended February 25, March 10, The investment objective of the Scheme is to generate Plan A - Growth Optiondebt scheme 2014 2014 returns by investing in a portfolio comprising of debt Plan A - Dividend Option

instruments and money market instruments maturing Plan B (Direct) - Growth Optionon or before the maturity of the Scheme. Plan B (Direct) - Dividend Option

Baroda Pioneer Fixed Maturity Plan - Series N A closed ended March 21, March 28, The investment objective of the Scheme is to generate Plan A - Growth Optiondebt scheme 2014 2014 returns by investing in a portfolio comprising of debt Plan A - Dividend Option

instruments and money market instruments maturing on Plan B (Direct) - Growth Optionor before the maturity of the Scheme.

Note ;-

@ Baroda Pioneer Fixed Maturity Plan - Series E Matured on September 06, 2016 and Baroda Pioneer Fixed Maturity Plan - Series J Matured on December 28, 2016.Financial statements have been drawn up to the date of maturity

Scheme is to generate

2. Significant Accounting Policies

2.1 BASIS OF ACCOUNTING

The scheme maintains books of accounts on an accrual basis. These financials statements have been prepared in accordance with the accounting policies and standards specified in the Ninth Schedule of the Securities and Exchange Board of India (Mutual Fund) Regulations 1996 and amended thereto ("SEBI Regulations") as applicable. Presentation of these separate balance sheet and revenue account in a columnar form is not intended to indicate that they bear any relation to each other or are comparable in any way. They are independent of each other.

2.2 INCOME RECOGNITION

i. Interest income is recorded on accrual basis.

ii. Dividend income is recognized on ex-dividend date

2.3 EXPENSES

i. Expenses are accounted for on accrual basis.

ii. Investment management fees payable to Asset Management Company is computed on the basis of Daily Net Asset Value.

2.4 LOAD CHARGES

SEBI circular No. CIR /IMD/DF/ 4/2011 dated March 09, 2011 has mandated that there should be segregation of load accounts into two parts, one to reflect the balance as on July 31, 2009 and the other to reflect accretions since August 01, 2009. While the unutilized balances can be carried forward, not more than one third of the load balances lying in the Scheme as on July 31, 2009 can be used in any financial year, starting from 2010-2011 for future marketing and selling expenses. All accretions after July 31, 2009 can be used by the Schemes for future marketing and selling expenses including distributors/agents commission.

Pursuant to SEBI (Second Amendment) (Mutual Fund) Regulations, 1992 dated September 26, 2012, with effect from October 01, 2012, exit load net off service tax is credited to the scheme.

2.5 INVESTMENTS

a) Basis of accounting

i. Transactions for purchase and sale of investments are recognized as of the trade date. In determining the holding cost of investments and the gain or loss on sale of investments, the “weighted average cost” method is followed. The cost of investments includes brokerage, stamp charges and any other charge customarily included in the contract note but excludes custodian safekeeping fees. Pursuant to SEBI circular no. CIR/IMD/DF/21/2012 dated September 13, 2012, with effect from October 01, 2012, Brokerage and Transaction Costs which are incurred for the purpose of execution of trade are included in the cost of investment, not exceeding 0.12 per cent in case of cash market transactions and 0.05 per cent in case of derivatives transactions. Remaining portion is charged to expenses, within total expense ratio in line with Regulations.

ii. Bonus entitlements are recognized as investments on ex-bonus date.

iii. Rights entitlements are recognized as investments on ex-rights date.

14



15

Schedule - 8 NOTES TO THE FINANCIAL STATEMENTS (contd.)

b) Valuation

Investments are stated at market/fair value at the Balance Sheet date/date of determination. In valuing the Scheme's investments:-

I) Valuation of Equity and Equity related securities

Category Traded Non-Traded Thinly Traded

Equity Shares / Preference Shares / Warrants The securities shall be valued at the last quoted closing price on the primary stock exchange (National Stock Exchange of India Limited).

When on a particular valuation day, a security has not been traded on the primary stock exchange; the value at which it is traded on another stock exchange may be used.

Any security for which the trading in a month is less than Rs 5 lakhs and total volume is less than 50,000 shares will be classified as a Thinly traded security.

When a security is not traded on any stock exchange on a particular valuation day, the value at which it was traded on the selected stock exchange or any other stock exchange, as the case may be, on the earliest previous day may be used provided such date is not more than thirty days prior to the valuation date.

If the security is not traded even after 30 days, the same would be valued in Good Faith by the AMC as per the valuation principles laid down by SEBI.

Such Thinly traded securities shall be valued in Good Faith by the AMC as per the valuation principles laid down by SEBI.

Futures and Options Valued as per NSE Settlement price. Based on settlement price / any other equivalent price provided by the respective stock exchange.

Unlisted Shall be valued in Good Faith by the AMC based on the latest available Annual Report of the company as per SEBI Regulations. In case of any deviation due to non-availability of any parameters required for valuation as per SEBI Regulations, the methodology used for valuation shall be documented and recorded.

Rights

Amalgamation / Merger / De-merger / Spin off

Initial Public Offer (IPOs)

In accordance with guidelines prescribed by the SEBI.

In case if any of the resultant entities is not listed, the valuation for the same shall be arrived at in good faith by the Valuation Committee.

Valued at acquisition cost till the date of listing. Post listing, it will be valued as per the norms applicable for Traded equity shares.

II. Valuation of Fixed Income and related Instruments

Category Details

All securities with residual maturity greater than 60 days shall be valued at the average of the prices provided by the agencies nominated by AMFI (currently CRISIL & ICRA) on a daily basis

For Instruments with residual maturity less than or equal to 60 days –

At least 3 trades aggregating to Rs. 100 crores or more are reported on a public platform. The traded price would be compared to the amortised price. In case if the difference between the traded price and the amortised price is greater than +/- 0.10% band, the YTM will have to be adjusted to bring the price within the +/- 0.10% band.

All securities with residual maturity greater than 60 days shall be valued at the average of the prices provided by the agencies nominated by AMFI (currently CRISIL & ICRA) on a daily basis.

Securities with residual maturity less than or equal to 60 days Straight line amortisation from the last valuation price / cost, whichever is more recent. The amortised price would be compared to the reference price. In case if the difference between the amortised price and the reference price is greater than +/- 0.10%, the YTM will have to be adjusted to bring the price within the +/- 0.10% band.

Securities with residual maturity of less than or equal to 60 days will be valued as per the methodology prescribed above for traded and non-traded securities. Securities with residual maturity of more than 60 days would be valued at the average of the prices provided by the agencies nominated by AMFI (currently CRISIL & ICRA) on a daily basis.

To be Valued at Cost

Securities with residual maturity of less than or equal to 60 days will be valued on Straight line amortisation from the last valuation price / cost, whichever is more recent. Securities with residual maturity of more than 60 days would be valued at the average of the prices provided by the agencies nominated by AMFI (currently CRISIL & ICRA) on a daily basis.

To be valued as per the same day NAV or last available NAV

Own trade shall mean trades by schemes of Baroda Pioneer Mutual Fund provided the face value of such trades is INR 5 crores or more. The price at which the own trade has taken place, will be considered as reflective of the realizable value of the total holding in a single instrument. Accordingly, the total holding in that instrument will be valued at the weighted average yield at which the own trade has taken place.

In respect of convertible debentures, the non-convertible and convertible components shall be valued separately. The non-convertible component should be valued on the same basis as would be applicable to a debt instrument. The convertible component should be valued on the same basis as would be applicable to an equity instrument. If, after conversion the resultant equity instrument would be traded paripassu with an existing instrument which is traded, the value of the latter instrument can be adopted after an appropriate discount for the non-tradability of the instrument during the period preceding the conversion. While valuing such instruments, the fact whether the conversion is optional, should also be factored in.

Traded Securities

Non-Traded Securities

Government Securities, Treasury Bills and Cash Management Bills

Fixed Deposits / CBLO / Reverse Repo

Bill Rediscounting

Mutual Fund Units

Own Trades

Convertible Debentures

The net unrealized appreciation / depreciation in the value of investments is determined separately for each category of investments. In respect of each category of investments, the net change in the unrealized appreciation if any, between two balance sheet dates / valuation dates is accounted through the Revenue Account and thereafter the net unrealized appreciation is transferred from the Revenue Account to the Unrealized Appreciation Reserve. The net change in depreciation if any is accounted through the Revenue Account.

Net unrealized appreciation is reduced from the distributable income at the time of income distribution.

2.6 UNIT CAPITAL, UNIT PREMIUM RESERVE ACCOUNT AND EQUALISATION ACCOUNT

Unit capital represents the net outstanding as at the balance sheet date.

Upon issue and redemption of units, the net premium or discount to the face value of the units is adjusted against the unit premium reserve of the respective plans/ options of the Scheme, after an appropriate portion of the issue proceeds and redemption pay-out is credited or debited respectively to the income equalization reserve.

The net distributable income relating to units issued / repurchased is transferred to / from income equalization reserve for determining the net surplus / deficit, transferred from / to unit premium reserve. At year end, balance in income equalization reserve is transferred to revenue account.

2.7 NET ASSET VALUE (NAV)

The net asset value of the units of the Schemes is determined separately for units issued under the various Plans /Options.

For reporting the net asset values of the Plans /Options, daily income earned, including realized and unrealized gain or loss in the value of investments and expense incurred by the Schemes is allocated to the Plans /Options in proportion to the value of the net assets.

2.8 DERIVATIVES

The Scheme enters into derivative transactions in equity/ index futures for the purpose of hedging, leveraging and portfolio balancing.

“Derivative margin deposit” representing the margin towards equity derivative contracts entered into by the Scheme is disclosed under “Deposits”.

Futures

i. Futures contracts are marked to market daily at the futures settlement price as determined by the exchange. The variation margin calculated as the difference between the trade price and the previous day's settlement price, as the case may be, and the current day's settlement price is recorded as a receivable or payable.

ii. When a contract is closed (squared off)/settled (on expiry), the difference between the final settlement/ square-off price and the contract price is recognized in the revenue account. If more than one futures contracts in respect of the same stock/index and expiry date, to which the squared off /settled contract pertains, is outstanding at the time of square off /settlement of the contract, the weighted average method is followed for determining the gain or loss.

iii. As at the Balance Sheet date/date of determination, all open futures positions are valued at the futures settlement price as determined by the exchange where it is traded. Non traded futures contracts are valued as per fair valuation policy as approved by AMC and the trustee. The unrealized appreciation/depreciation on all open positions is considered for determining the net asset value.

Options

(i) Premium paid/received on bought/written option contracts is debited/credited to "Investments-Options" and recorded as Asset/Liability.

(ii) When the option contracts are squared off before expiry, the difference between the premium paid and received on the squared off transactions is recognized in the Revenue Account. When the option contracts are exercised on or before the expiry, the difference between the option settlement price as determined by the exchange and the premium is recognized in the revenue account. If more than one option contracts in respect of the same stock/index with the same strike price and expiry date to which the squared off/ exercised contract pertains is outstanding at the time of square off/ exercise of the contract, the weighted average method is followed for determining the gain or loss.

(iii) Premium assets/liabilities in respect of options not exercised/ squared off as at expiry date is transferred to Revenue Account.

(iv) As at the Balance Sheet date/ date of determination, all open option positions are valued at the settlement price as determined by the exchange where it is traded. Non-traded option contracts are valued at fair value as per procedures determined by the AMC and approved by the Trustee. The unrealized appreciation/depreciation all open positions is considered for determining the net asset value.

3. Net Asset Value Per Unit

The net asset values of the various plans of the Schemes as on the date of the Balance sheet are as follows:

SCHEME NAME Options As on Balance sheet Date March 31, 2016

Baroda Pioneer Fixed Maturity Plan - Series E Plan A - Growth Option 13.0333 12.6711

Plan A - Dividend Option 10.0000 11.4649

Plan B (Direct) - Growth Option 13.1116 12.7361

Plan B (Direct) - Dividend Option 10.0000 11.5017

Baroda Pioneer Fixed Maturity Plan - Series J Plan A - Growth Option 12.7850 12.1594


Baroda Pioneer Fixed Maturity Plan - Series M Plan A - Growth Option 12.7786 11.8928

Plan A - Dividend Option - -


Plan B (Direct) - Dividend Option 11.6429 10.8140

Baroda Pioneer Fixed Maturity Plan - Series N Plan A - Growth Option 12.6614 11.7918

Plan A - Dividend Option - -


@ Baroda Pioneer Fixed Maturity Plan - Series E details are as of September 06, 2016. and Baroda Pioneer Fixed Maturity Plan - Series J details are as of December 28, 2016.

Schedule - 8 NOTES TO THE FINANCIAL STATEMENTS (contd.)

16


4. Investment Management Fees

The computation of the management fees (Excluding service tax on management fees) charged to the Revenue Account for the year ended March 31, 2017 for the Schemes are as under:

Scheme Name Period ended Average Daily Net Asset Value Management Fees % of Management Fees to (Excluding service tax) Average Net Asset Value

Baroda Pioneer Fixed Maturity Plan - Series E September 6, 2016 302,264,522 1,404,848 1.07

March 31, 2016 285,836,648 1,182,715 0.41

Baroda Pioneer Fixed Maturity Plan - Series J December 28, 2016 760,802,301 5,266,767 0.93

March 31, 2016 708,359,973 1,187,848 0.17

Baroda Pioneer Fixed Maturity Plan - Series M March 31, 2017 602,882,929 3,870,632 0.64

March 31, 2016 577,430,504 913,660 0.16

Baroda Pioneer Fixed Maturity Plan - Series N March 31, 2017 309,693,040 2,340,246 0.76

March 31, 2016 302,275,894 833,151 0.28

5. Trusteeship Fees

Baroda Pioneer Trustee Company Private Limited, Trustee to Baroda Pioneer Mutual Fund was entitled to an annual fee of 1.25% of the net assets or INR 21 lacs per annum, whichever was lower, for the Financial year 2016-17. Such fee was allocated among the schemes of Baroda Pioneer Mutual Fund proportionately on the basis of their month end AUMs.

6. Custodian Fees

CITI Bank NA. provides custodial services to the Schemes for which it receives Custody fees (including transaction and registration charges). The Custody fees are borne by Baroda Pioneer Asset Management Company Limited.


Schedule - 8 NOTES TO THE FINANCIAL STATEMENTS

17

7. Custodian Confirmation

Confirmation has been received from Citibank NA at the end of the year for the investments held by the Schemes. All investments, except Government of India Securities, Fixed Deposit Receipts, Mutual Fund Units and Collateralized Borrowing and Lending Obligation (CBLO) are held in safe custody of the custodian. Investments in Government Securities are held in an SGL account maintained with Reserve Bank of India in the name of “Baroda Pioneer Mutual Fund”.

8. Aggregate Appreciation and Depreciation in the Value of Investments and Derivatives

Scheme Name Investments Appreciation Depreciation

March 31, 2017 March 31, 2016 March 31, 2017 March 31, 2016

Baroda Pioneer Fixed Maturity Plan - Series E @ Debentures and Bonds Listed / Awaiting listing - 735,721 - 298,329

TOTAL - 735,721 - 298,329

Baroda Pioneer Fixed Maturity Plan - Series J @ Certificate of Deposit - 5,316 - -

Debentures and Bonds Listed / Awaiting listing - 370,147 - 3,304,578

TOTAL - 375,463 - 3,304,578

Baroda Pioneer Fixed Maturity Plan - Series M Certificate of Deposit - 49,107 - -

Debentures and Bonds Listed / Awaiting listing 41,388 - 118,758 2,408,669

TOTAL 41,388 49,107 118,758 2,408,669

Baroda Pioneer Fixed Maturity Plan - Series N Debentures and Bonds Listed / Awaiting listing 22,410 - 9,130 1,612,443

TOTAL 22,410 - 9,130 1,612,443

@ Baroda Pioneer Fixed Maturity Plan - Series E details are as of September 06, 2016. and Baroda Pioneer Fixed Maturity Plan - Series J details are as of December 28, 2016.

9. Disclosure under Regulation 25(11) of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 as amended

Investment made by Baroda Pioneer Mutual Fund in companies which hold units in excess of 5% of the net asset value of any of the schemes of Baroda Pioneer Mutual Fund for the period ended March 31, 2017 which have been listed in Annexure I

10. Disclosure under Regulation 25(8) of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 as amended

The Schemes have entered into transactions with certain related parties. The information required in accordance with Accounting Standard (AS) -18 on ‘Related Party Disclosures’ issued by the Institute of Chartered Accountants of India and Regulation 25(8) of the SEBI Regulations, is provided in Annexure II.

11. Segment Reporting

The Schemes are primarily engaged in the business of investing the amounts received from investors as unit capital, in accordance with their investment objectives, to generate returns. Since there is only one business segment and no geographical segments, the segmental reporting disclosures as required by Accounting Standard (AS) - 17, issued by the Institute of Chartered Accountants of India have not been made.

12. Aggregate Value of Purchase and Sale of Investments

The aggregate value of investments (excluding Fixed Deposits, CBLO, Future, Option and Reverse Repo) purchased and sold (including maturity/redemptions) during the year and their percentage of the respective average daily net assets are as follows:

March 31, 2017 March 31, 2016

Scheme Name Purchases Sales Purchases Sales

Amount % of Avg. Amount % of Avg. Amount % of Avg. Amount % of Avg. Net Assets Net Assets Net Assets Net Assets

Baroda Pioneer Fixed Maturity Plan - Series E - - 281,774,134 93.22 5,026,020 1.76 - -

Baroda Pioneer Fixed Maturity Plan - Series J - - 686,000,000 90.17 132,965,165 18.77 95,563,665 13.49

Baroda Pioneer Fixed Maturity Plan - Series M 72,112,626 11.96 291,286,080 48.32 970,070,774 168.00 2,120,871,373 367.29

Baroda Pioneer Fixed Maturity Plan - Series N 57,188,909 18.47 208,000,000 67.16 471,381,491 155.94 1,298,596,113 429.61

13. Income / Expenditure

Annualised total income (includes net of loss on sale and appreciation/depreciation on investments) and expenditure (excluding loss on sale of investments) as a percentage of the average daily net assets during the year are given below:

March 31, 2017 March 31, 2016

Scheme Name Total income Percentage of Total Expenses Percentage of Total income Percentage of Total Expenses Percentage of (Rupees) average daily (Rupees) average daily. (Rupees) average daily (Rupees) average daily

Net assets Net Assets Net Assets Net Assets

Baroda Pioneer Fixed Maturity Plan - Series E 10,424,391 7.92 1,849,931.00 1.40 25,019,011.00 8.75 1,426,328.00 0.50

Baroda Pioneer Fixed Maturity Plan - Series J 44,688,202 7.88 6,184,456.00 1.09 61,279,906.00 8.65 1,509,725.00 0.21

Baroda Pioneer Fixed Maturity Plan - Series M 48,726,980 8.08 4,594,509.00 0.76 47,328,075.00 8.20 1,172,776.00 0.20

Baroda Pioneer Fixed Maturity Plan - Series N 24,788,687 8.00 2,764,856.00 0.89 24,905,249.00 8.24 1,039,696.00 0.34

14. Details of unclaimed redemption and dividend amount and the number of investors to whom these amounts are payable are : NIL (Previous year :NIL)

Baroda Pioneer Mutual Fund has unidentified unclaimed dividend and redemption amounts of Rs. 2.60 Crores as of March 31, 2017. As represented by the management, these amount are not recorded in the schemes financial statements as it pertains to unidentified investors prior to March 31, 2008. Had this amount been identified, it would have been recorded as asset and liability in the respective schemes resulting in no impact in net asset value.

15. Investor Education and Awareness Initiatives

In view of the AMFI Best Practices Guidelines Circular No. 56/2015-16, the IEF accrual is set aside in a separate bank account and the consolidated balance across all schemes as on March 31, 2017 is Rs. 13.10 lacs. The break-up of which is as under:

An annual charge of 2 basis points ( 0.02% p.a.) of daily net assets, being part of total recurring expenses is set aside for Investor Education and Awareness Initiatives (IEAI) in accordance with SEBI (Mutual Funds) Regulations, 1996 and guidelines issued thereunder. These funds set aside are used only for meeting expenses for Investor Education and Awareness Initiatives. As per SEBI circular no. IMD/DF2/RS/813/2016 dated January 08, 2016, 50% of the unutilised portion of investor awareness and education fund as on March 31, 2016 has been transferred to AMFI. Also from April 1, 2016 onwards, 50% of the 2 bps accrual on daily net assets set aside by mutual fund for investor education and awareness initiative has been transferred to AMFI.Movement of IEAI balances for Baroda Pioneer Mutual fund during the financial year ended 31 March, 2017 and 31 March, 2016 is given below:

Particulars FY 2016-17

Amount (Rupees in Lakhs)

Opening balance 13.10

Add : Accrual for the period April 1, 2016 to February 28, 2017 194.73

Add : Accrual for the period March 1, 2017 to March 31, 2017 16.87

Less : 50% of Opening balance and accrual till February, 17 transferred to AMFI 103.16

Less : utilization during the current year 103.63

Closing balance 17.91

Particulars FY 2015-16

Amount (Rupees in Lakhs)

Opening balance 122.35

Additions during the current year 185.91

Less : utilisation during the current year 295.15

Closing balance 13.10

16. Income Taxes

No provision for taxation is required as Baroda Pioneer Mutual Fund is a recognised Mutual Fund under Section 10 (23D) of the Income Tax Act, 1961.

17. Aggregate Fair Value of Non Traded / Thinly Traded Investments

The aggregate fair value of non traded / thinly traded investments, which have been valued in good faith in accordance with the guidelines for valuation of securities for Mutual Fund issued by SEBI, are given below:

Scheme Name March 31, 2017 March 31, 2016

Market / Fair Value Market / Fair Value

Baroda Pioneer Fixed Maturity Plan - Series E - 277,987,699

Baroda Pioneer Fixed Maturity Plan - Series J - 674,579,254

Baroda Pioneer Fixed Maturity Plan - Series M 333,980,329 551,146,384

Baroda Pioneer Fixed Maturity Plan - Series N 123,376,304 273,689,497

18. Disclosure under SEBI Circular No Cir/ IMD/ DF/11/2010 dated August 18, 2010

Pursuant to the above SEBI Circular, the disclosure for investments in derivative instruments has been done as per Annexure III.

19. The Statement of Portfolio Holding and industry wise classification of the schemes' investments in each category of investment as on March 31, 2017 is given in Annexure IV.

20. Details of large holding (over 25% of NAV of the schemes) are : NIL (Previous year :NIL).

21. Registered Securities

In accordance with Regulation 44(1) of the Securities and Exchange board of India (Mutual Fund) Regulations, 1996, Securities purchased should be held in the name of scheme. Government Securities and Treasury bills Investments in following scheme are held in the name of Baroda Pioneer Mutual Fund. This is in accordance with the requirement of Reserve Bank of India to open the subsidiary general ledger account, holding securities issued by the Government of India in the name of the fund and not in the name of Individual Scheme.

22. Previous Year’s Figures

Previous period's figures have been reclassified, wherever necessary, to conform with current year's presentation.







S.K. Suvarna

Director

DIN : 3641694

Place : MUMBAI




18


Kiran Deshpande

COO & CFO




Disclosure under Regulation 25(11) of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 as amended In vestments made by the schemes of Baroda Poineer Mutual Fundin Companies or their subsidiaries that have invested more than 5% of the net assets of any scheme.

Company Name Schemes invested in Investment made by schemes of Aggregate cost of acquisition Outstanding as atby the Company Baroda Poineer Mutual Fund in the during the period ended 31st March, 2017

company/subsidiary 31st March, 2017 (At Market / Fair Value)(Rupees in Lakhs) (Rupees in Lakhs)

Asian Paints Ltd. Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 1,483.12 -

(Including Subsidiary Berger Baroda Pioneer Growth Fund 988.82 -

Paints India Ltd.) Baroda Pioneer Large Cap Fund 79.83 -

Bank of Baroda Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 695.12 -

Baroda Pioneer Banking and Financial Services Fund 329.03 147.01

Baroda Pioneer Growth Fund 1,292.60 864.75

Baroda Pioneer Monthly Income Plan (MIP) Fund 17.37 6.92

Baroda Pioneer ELSS 96 Fund 78.73 -

Baroda Pioneer Large Cap Fund 34.80 34.59

Baroda Pioneer Mid-cap Fund 224.60 -

Cairn India Ltd. Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 461.83 -

Baroda Pioneer Equity Trigger Fund-Series I 115.99 -

Baroda Pioneer Growth Fund 181.63 -

Baroda Pioneer Large Cap Fund 83.76 -

Dewan Housing Finance Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 1,219.80 199.22

Corporation Ltd. Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Credit Opportunities Fund 3,902.06 3,918.39

Baroda Pioneer Dynamic Bond Fund 199.12 200.16

Baroda Pioneer Income Fund 425.88 180.14

Baroda Pioneer Liquid Fund 74,727.05 -

Baroda Pioneer Short Term Bond Fund 2,488.79 2,500.62

Baroda Pioneer Treasury Advantage Fund 14,079.31 14,194.74

HDFC Bank Ltd. Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 4,361.40 937.66

(Including Subsidiary HDB Baroda Pioneer Banking and Financial Services Fund 1,184.04 865.53

Financial Services Ltd.) Baroda Pioneer Credit Opportunities Fund 1,181.73 -

Baroda Pioneer Growth Fund 2,376.62 2,163.83

Baroda Pioneer Liquid Fund 119,192.39 29,603.58

Baroda Pioneer Short Term Bond Fund 1,181.73 -

Baroda Pioneer Treasury Advantage Fund 12,920.47 -

Baroda Pioneer Monthly Income Plan (MIP) Fund 25.09 11.54

Baroda Pioneer ELSS 96 Fund 440.55 360.64


Baroda Pioneer Fixed Maturity Plan - Series J 30.08 -

Infosys Ltd. Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 3,719.24 -

Baroda Pioneer Growth Fund 2,206.03 1,022.25

Baroda Pioneer Monthly Income Plan (MIP) Fund 31.62 -

Baroda Pioneer ELSS 96 Fund 436.70 204.45


Interglobe Aviation Ltd. Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Balance Fund 83.93 -





Punjab National Bank Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Liquid Fund 67,065.21 -

(Including Subsidiary PNB Baroda Pioneer Balance Fund 16.19 -

Housing Finance Ltd.) Baroda Pioneer Banking and Financial Services Fund 5.75 -

Baroda Pioneer Equity Trigger Fund-Series I 12.01 -





Baroda Pioneer Mid-cap Fund 3.14 -

Religare Finvest Ltd. Baroda Pioneer Liquid Fund Baroda Pioneer Liquid Fund 83,306.47 -(Including Subsidiary Religare Baroda Pioneer Treasury Advantage Fund 9,810.35 -Housing Development FinanceCorporation Ltd.)

The above investments comprise equity shares, debentures / bonds, commercial paper, certificate of deposits and other debt inst ruments including fixed deposits. Investments in debt instruments have been madeon account of their high credit quality and competitive yield while those in equity instruments have been made on acccount of a ttractive valuations.

ANNEXURE I

19


20

ANNEXURE II

1. Details of transactions with Associates in terms of regulation 25(8)

a) Brokerage paid to associates/related parties/group companies of Sponsor/AMC

Name of associates/related parties/group Nature of Association/ Period Value of % of Total Value Brokerage % of total Brokeragecompanies of Sponsor/AMC Nature of relation Covered Transaction of Transaction paid by the Fund

of the Fund

BOB Capital Markets Ltd. Associate Broker Apr-16 To Mar-17 118.89 2.41 0.14 3.92

SBICAP Securities Ltd. Associate Broker Apr 16 To Nov 16* 47.97 1.38 0.06 2.45

* SBICAP Securities Ltd. was associate till November 2016.

Name of associates/related parties/group Nature of Association/ Period Value of % of Total Value Brokerage % of total Brokeragecompanies of Sponsor/AMC Nature of relation Covered Transaction of Transaction paid by the Fund

of the Fund

BOB Capital Markets Ltd. Associate Broker Apr-15 To Mar-16 135.68 2.36 0.26 4.10

SBICAP Securities Ltd Associate Broker Apr-15 To Mar-16 87.20 1.52 0.15 2.38

b) Commission paid to associates/related parties/group companies of sponsor/AMC

Name of associate/related parties/group Nature of association Yearly

companies of Sponsor/AMC /Nature of relation April 01, 2016 to March 31, 2017

Business % of Total Business Commission % of total commissionGiven (Rs. In Cr) received by the fund Paid (Rs.) paid by the fund

BANK OF BARODA Sponsor 22,246,600,000 0.88 67,300,000 38.56

Name of associate/related parties/group Nature of association Yearly

companies of Sponsor/AMC /Nature of relation April 01, 2015 to March 31, 2016

Business % of Total Business Commission % of total commissionGiven (Rs. In Cr) received by the fund Paid (Rs.) paid by the fund

BANK OF BARODA Sponsor 25,696,291,128 1.38 34,781,874 18.98

2. Interest on Borrowings & Bank charges

Scheme Name of Associate Nature of Association Nature of Expenses 2016-17 2015-1

Baroda Pioneer Liquid Fund Bank of Baroda Sponsor Interest on borrowing 131,507 7,911,119Bank charges 23,363 21,645

Baroda Pioneer Treasury Advantage Fund Bank of Baroda Sponsor Interest on borrowing 1,183,562 1,670,530

Bank charges 18,904 14,744

Baroda Pioneer Credit Opportunities Fund Bank of Baroda Sponsor Bank charges 1,092 100.00

Baroda Pioneer ELSS’96 Bank of Baroda Sponsor Bank charges 1,300 300.00

Baroda Pioneer Growth Fund Bank of Baroda Sponsor Bank charges 1,578 300.00

Baroda Pioneer Balance Fund Bank of Baroda Sponsor Bank charges 1,127 300.00

Baroda Pioneer Short Term Bond Fund Bank of Baroda Sponsor Bank charges 700 -

Baroda Pioneer Mid-cap Fund Bank of Baroda Sponsor Bank charges 100 -

Baroda Pioneer Large Cap Fund Bank of Baroda Sponsor Bank charges 100 -

3. Related Party Disclosures (Schedule 8 - Refer Note 10 for Equity, Debt and Schedule 7 - Refer Note 10 for Fixed Maturity Plan )

(A) RELATED PARTY TRANSACTIONS

The information in accordance with Accounting Standard 18 on ‘Related Party Disclosures’ issued by the Institute of Chartered Accountants of India and Regulation 25(8) of the SEBI Regulations, is provided below.

Related party relationships

Name Description of relationship

Bank of Baroda Sponsor of the Fund

Pioneer Global Asset Management Sponsor of the Fund

Baroda Pioneer Trustee Company Private Limited Trustee of the Fund

Baroda Pioneer Asset Management Company Limited

Schemes of the Fund under common control

Baroda Pioneer ELSS 96 Fund

Baroda Pioneer Growth Fund

Baroda Pioneer Balance Fund

Baroda Pioneer Large Cap Fund

Baroda Pioneer Mid-cap Fund

Baroda Pioneer Banking and Financial Services Fund

Baroda Pioneer Equity Trigger Fund-Series I

Baroda Pioneer MIP Fund

Baroda Pioneer Gilt Fund

Baroda Pioneer Income Fund

Baroda Pioneer Liquid Fund

Baroda Pioneer Treasury Advantage Fund

Baroda Pioneer Short Term Bond Fund

Baroda Pioneer Dynamic Bond Fund

Baroda Pioneer Credit Opportunities Fund

Baroda Pioneer Hybrid Fund - Series I

Baroda Pioneer Fixed Maturity Plan - Series E

Baroda Pioneer Fixed Maturity Plan - Series J

Baroda Pioneer Fixed Maturity Plan - Series M

Baroda Pioneer Fixed Maturity Plan - Series N

Asset Manager to the Scheme


21

ANNEXURE II (Contd.)

3. Related Party Disclosures (Schedule 8 - Refer Note 10 for Equity, Debt and Schedule 7 - Refer Note 10 for Fixed Maturity Plan ) (Contd.)

(A) RELATED PARTY TRANSACTIONS (Contd.)

Key Management Personnel

AMC

Mr. Anthony Heredia

Mr. Kiran Deshpande

Ms. Farhana Mansoor

Associate Director & Chief Executive Officer Chief

Operating Officer and Chief Financial Officer Head - Compliance and Company Secretary

(B) The Schemes have entered into transactions with related parties which are required to be disclosed in accordance with Accoutinng Standard - 18 ‘Related Party Disclosures’

(i) Transactions during the Year

Transaction between the Schemes under Common Control of Sponsor

Selling Scheme Buying Scheme Amount (Rs.)

Baroda Pioneer Balance Fund Baroda Pioneer Credit Opportunities Fund 212,978,927

Baroda Pioneer Balance Fund Baroda Pioneer Fixed Maturity Plan - Series M 27,026,361

Baroda Pioneer Balance Fund Baroda Pioneer Fixed Maturity Plan - Series N 10,010,020

Baroda Pioneer Balance Fund Baroda Pioneer Liquid Fund 497,535,880

Baroda Pioneer Balance Fund Baroda Pioneer Monthly Income Plan (MIP) Fund 5,168,193

Baroda Pioneer Balance Fund Baroda Pioneer Short Term Bond Fund 1,953,944

Baroda Pioneer Balance Fund Baroda Pioneer Treasury Advantage Fund 380,923,151

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Balance Fund 242,339,762

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Liquid Fund 326,284,230

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Monthly Income Plan (MIP) Fund 15,022,575

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Short Term Bond Fund 741,035,250

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Treasury Advantage Fund 2,786,299,243

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Balance Fund 30,981,915

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Credit Opportunities Fund 21,166,719

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Gilt Fund 10,125,635

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Monthly Income Plan (MIP) Fund 14,930,829

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Short Term Bond Fund 19,057,140

Baroda Pioneer Dynamic Bond Fund Baroda Pioneer Treasury Advantage Fund 49,094,700

Baroda Pioneer Fixed Maturity Plan - Series M Baroda Pioneer Dynamic Bond Fund 2,505,380

Baroda Pioneer Fixed Maturity Plan - Series M Baroda Pioneer Treasury Advantage Fund 12,107,080

Baroda Pioneer Gilt Fund Baroda Pioneer Balance Fund 24,179,897

Baroda Pioneer Gilt Fund Baroda Pioneer Dynamic Bond Fund 997,300

Baroda Pioneer Gilt Fund Baroda Pioneer Monthly Income Plan (MIP) Fund 7,243,218

Baroda Pioneer Hybrid Fund - Series I Baroda Pioneer Treasury Advantage Fund 1,004,580

Baroda Pioneer Income Fund Baroda Pioneer Balance Fund 31,089,651

Baroda Pioneer Income Fund Baroda Pioneer Credit Opportunities Fund 5,980,041

Baroda Pioneer Income Fund Baroda Pioneer Monthly Income Plan (MIP) Fund 2,024,083

Baroda Pioneer Income Fund Baroda Pioneer Short Term Bond Fund 46,912,163

Baroda Pioneer Income Fund Baroda Pioneer Treasury Advantage Fund 76,360,576

Baroda Pioneer Liquid Fund Baroda Pioneer Balance Fund 95,666,688

Baroda Pioneer Liquid Fund Baroda Pioneer Credit Opportunities Fund 1,231,451,820

Baroda Pioneer Liquid Fund Baroda Pioneer Short Term Bond Fund 1,449,553,068

Baroda Pioneer Liquid Fund Baroda Pioneer Treasury Advantage Fund 6,096,557,254

Baroda Pioneer Monthly Income Plan (MIP) Fund Baroda Pioneer Balance Fund 9,089,406

Baroda Pioneer Monthly Income Plan (MIP) Fund Baroda Pioneer Credit Opportunities Fund 22,066,155

Baroda Pioneer Monthly Income Plan (MIP) Fund Baroda Pioneer Short Term Bond Fund 13,232,687

Baroda Pioneer Monthly Income Plan (MIP) Fund Baroda Pioneer Treasury Advantage Fund 26,907,889

Baroda Pioneer Short Term Bond Fund Baroda Pioneer Credit Opportunities Fund 231,673,950

Baroda Pioneer Short Term Bond Fund Baroda Pioneer Liquid Fund 782,692,066

Baroda Pioneer Short Term Bond Fund Baroda Pioneer Treasury Advantage Fund 1,353,781,870

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Balance Fund 115,596,470

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Credit Opportunities Fund 1,203,429,665

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Dynamic Bond Fund 18,077,850

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Fixed Maturity Plan - Series N 26,138,632

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Hybrid Fund - Series I 13,074,256

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Income Fund 22,095,150

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Liquid Fund 11,489,027,900

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Short Term Bond Fund 1,605,137,600


22

ANNEXURE II (Contd.)

3. Related Party Disclosures (Schedule 8 - Refer Note 10 for Equity, Debt and Schedule 7 - Refer Note 10 for Fixed Maturity Plan ) (Contd.)

(B) The Schemes have entered into transactions with related parties which are required to be disclosed in accordance with Accoun ting Standard - 18 ‘Related Party Disclosures’ (Contd.)

(ii) (a) Investment in schemes under common control of sponsor

Scheme Particulars of investment Purchase (Rs) Sell (Rs)

Baroda Pioneer Credit Opportunities Fund Baroda Pioneer Liquid Fund - Plan B (Direct) - Growth Option 1,690,000,000 1,491,532,186

Baroda Pioneer Treasury Advantage Fund Baroda Pioneer Liquid Fund - Plan B (Direct) - Growth Option 113,000,000,000 113,032,648,990

(b) By Key Management Personnel

Key Management Scheme Name Dividend including Redemption of Value of the unitsPersonnel dividend reinvested) Units (including outstanding As at

(Rs.) switch out) (Rs.) March 31, 2017 (Rs)

Anthony Heredia Baroda Pioneer Dynamic Bond Fund 4,000,000 - - 4,394,582

Anthony Heredia Baroda Pioneer Liquid Fund 13,472,681 1,472,681 4,000,000 39,500,377

Kiran Deshpande Baroda Pioneer Credit Opportunities Fund 1,100,000 - - 1,237,980

Kiran Deshpande Baroda Pioneer Growth Fund - - 646,197 -

Kiran Deshpande Baroda Pioneer Large Cap Fund 300,000 - - 316,773

Kiran Deshpande Baroda Pioneer Mid-cap Fund 200,000 - - 212,240

Kiran Deshpande Baroda Pioneer Treasury Advantage Fund 180,000 - - 1,187,718

Kiran Deshpande Baroda Pioneer Equity Trigger Fund-Series I - - - 161,500

Farhana Mansoor Baroda Pioneer Equity Trigger Fund-Series I - - - 103,360

Farhana Mansoor Baroda Pioneer Liquid Fund - - - 6,379

(c) By Investment Manager

Investment Manager Scheme Name Value of Subscription of Redemption of Value of the unitsUnits (including switch in and Units (including outstanding As at

dividend reinvestment) (Rs.) (Rs.) switch out) (Rs.) March 31, 2017 (Rs)

Baroda Pioneer Asset Baroda Pioneer Liquid Fund 2,792,600,000 - 2,796,574,751 254,308,037Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer ELSS 96 - - - 3,278,045Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Balance Fund - - - 2,486,018Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Banking - - - 4,328,344Management Company Ltd And Financial Services Fund

Baroda Pioneer Asset Baroda Pioneer Credit - - - 4,245,450Management Company Ltd Opportunities Fund

Baroda Pioneer Asset Baroda Pioneer Dynamic Bond Fund - - - 6,058,931Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Gilt Fund - - - 4,711,752Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Growth Fund - - - 5,888,917Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Income Fund - - - 8,265,867Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Large Cap Fund - - - 2,598,114Management Company Ltd (Infra Fund till 30.9.2016)

Baroda Pioneer Asset Baroda Pioneer Monthly Income - - - 754,378Management Company Ltd Plan (MIP) Fund

Baroda Pioneer Asset Baroda Pioneer Mid-Cap Fund - - - 5,191,617Management Company Ltd (PSU Equity till 30.9.2016)

Baroda Pioneer Asset Baroda Pioneer Short Term Bond Fund - - - 2,553,423Management Company Ltd

Baroda Pioneer Asset Baroda Pioneer Treasury Advantage Fund - - - 6,020,389Management Company Ltd

(d) By Sponsor of Investment Manager and Trustee

Sponsor of Investment Scheme Name Value of Subscription of Dividend (including Redemption of Value of the unitsManager and Trustee Units (including switch in and dividend reinvested) Units (including outstanding As at

dividend reinvestment) (Rs.) (Rs.) switch out) (Rs.) March 31, 2017 (Rs)

Bank of Baroda Baroda Pioneer Equity Trigger Fund-Series I - - - 64,600,000

Baroda Pioneer Growth Fund - 27,454,027 - 172,494,172

Baroda Pioneer Liquid Fund 20,000,000,000 - 20,270,286,116 -

Baroda Pioneer Monthly Income - - - 33,820,886Plan (MIP) Fund

Pioneer Global Asset Management NIL

Value of Subscription ofUnits (including switch in and

dividend reinvestment) (Rs.)

Dividend includingdividend reinvested)


23

ANNEXURE II (Contd.)3. Related Party Disclosures (Schedule 8 - Refer Note 10 for Equity, Debt and Schedule 7 - Refer Note 10 for Fixed Maturity Plan ) (Contd.)

(B) The Schemes have entered into transactions with related parties which are required to be disclosed in accordance with Accoun ting Standard - 18 ‘Related Party Disclosures’ (Contd.)

(iii) Investment Management Fees and Trustee fees

(a) Accrued during the year

Scheme Management Fees Trustee Fees(Rs.) (Rs.)

Baroda Pioneer ELSS 96 Fund 11,608,606 16,441

Baroda Pioneer Growth Fund 62,503,742 87,497

Baroda Pioneer Balance Fund 18,117,578 38,810

Baroda Pioneer Monthly Income Plan (MIP) Fund 2,679,086 6,357

Baroda Pioneer Gilt Fund 5,044,552 13,832

Baroda Pioneer Income Fund 3,947,883 6,892

Baroda Pioneer Liquid Fund 122,563,866 1,409,287

Baroda Pioneer Treasury Advantage Fund 79,611,059 578,607

Baroda Pioneer Large Cap Fund 3,828,468 4,964

Baroda Pioneer Short Term Bond Fund 11,218,682 73,749

Baroda Pioneer Mid-cap Fund 5,740,144 7,651

Baroda Pioneer Banking and Financial Services Fund 9,537,128 13,173

Baroda Pioneer Dynamic Bond Fund 1,681,783 7,706

Baroda Pioneer Fixed Maturity Plan - Series E 1,404,848 3,746

Baroda Pioneer Fixed Maturity Plan - Series J 5,266,767 15,278

Baroda Pioneer Fixed Maturity Plan - Series M 3,870,632 16,594

Baroda Pioneer Equity Trigger Fund-Series I 11,599,493 18,698

Baroda Pioneer Fixed Maturity Plan - Series N 2,340,246 8,524

Baroda Pioneer Credit Opportunities Fund 17,398,949 78,165

Baroda Pioneer Hybrid Fund - Series I 5,565,832 8,029

(b) Outstanding at the end of the year

Scheme Management Fees Trustee Fees(Rs.) (Rs.)

Baroda Pioneer ELSS’96 Fund 142,687 863

Baroda Pioneer Growth Fund 1,847,577 4,291

Baroda Pioneer Balance Fund 165,299 2,342

Baroda Pioneer Monthly Income Plan (MIP) Fund 81,778 174

Baroda Pioneer Gilt Fund 36,017 472

Baroda Pioneer Income Fund 173,646 248

Baroda Pioneer Liquid Fund 4,581,555 28,018

Baroda Pioneer Treasury Advantage Fund 2,649,089 15,329

Baroda Pioneer Large Cap Fund 264,127 236

Baroda Pioneer Short Term Bond Fund 1,832,977 2,944

Baroda Pioneer Mid-cap Fund 475,508 325

Baroda Pioneer Banking and Financial Services Fund 179,124 409

Baroda Pioneer Dynamic Bond Fund 144,554 255

Baroda Pioneer Fixed Maturity Plan - Series E 60,992 -

Baroda Pioneer Fixed Maturity Plan - Series J 1,549,371 141

Baroda Pioneer Fixed Maturity Plan - Series M 291,134 618

Baroda Pioneer Equity Trigger Fund-Series I 782,508 771

Baroda Pioneer Fixed Maturity Plan - Series N 582,589 317

Baroda Pioneer Credit Opportunities Fund 467,907 5,086

Baroda Pioneer Hybrid Fund - Series I 389,880 302

(iv) Reimbursement of Expenses (Net) to the Schemes : NIL

(v) Transactions with Associate Companies

Associate Company Scheme Name Purchase (Rs) Sell (Rs) Market Value (Rs)

Bank of Baroda Baroda Pioneer Growth Fund 86,754,500 - 86,754,500

Bank of Baroda Baroda Pioneer Monthly Income Plan (MIP) Fund 690,370 - 690,370

Bank of Baroda Baroda Pioneer Large Cap Fund 3,487,280 - 3,487,280

Bank of Baroda Baroda Pioneer Mid-cap Fund 6,545,600 6,809,200 13,354,800

Bank of Baroda Baroda Pioneer Banking and Financial Services Fund 17,419,850 3,292,800 20,712,650

(vi) Transactions where Associate Company is counterparty

Associate Company Scheme Name Purchase (Rs) Sell (Rs) Market Value (Rs)

BOB Capital Markets Ltd. Baroda Pioneer ELSS’96 Fund 49,095,245 54,583,973 103,679,218

BOB Capital Markets Ltd. Baroda Pioneer Growth Fund 207,772,173 219,033,890 426,806,064

BOB Capital Markets Ltd. Baroda Pioneer Balance Fund 139,653,850 90,733,215 230,387,065

BOB Capital Markets Ltd. Baroda Pioneer Monthly Income Plan (MIP) Fund 2,332,535 5,286,520 7,619,055

BOB Capital Markets Ltd. Baroda Pioneer Large Cap Fund 13,900,650 17,074,255 30,974,905

BOB Capital Markets Ltd. Baroda Pioneer Mid-cap Fund 33,297,995 24,045,120 57,343,115

BOB Capital Markets Ltd. Baroda Pioneer Banking and Financial Services Fund 17,252,640 42,108,980 59,361,620

BOB Capital Markets Ltd. Baroda Pioneer Equity Trigger Fund-Series I 39,354,963 59,398,300 98,753,263

SBICAP Securities Ltd. Baroda Pioneer ELSS 96 Fund 30,334,060 17,956,500 48,290,560

SBICAP Securities Ltd. Baroda Pioneer Growth Fund 155,416,951 176,833,975 332,250,926

SBICAP Securities Ltd. Baroda Pioneer Balance Fund 80,581,020 22,412,000 102,993,020

SBICAP Securities Ltd. Baroda Pioneer Large Cap Fund 7,964,680 11,007,140 18,971,820

SBICAP Securities Ltd. Baroda Pioneer Mid-cap Fund 17,473,773 10,464,360 27,938,133

SBICAP Securities Ltd. Baroda Pioneer Banking and Financial Services Fund 30,099,840 22,232,300 52,332,140

SBICAP Securities Ltd. Baroda Pioneer Equity Trigger Fund-Series I 19,366,937 11,225,100 30,592,037


24

ANNEXURE III

Disclosure for investments in derivative instruments

Hedging Positions through Futures as on March 31, 2017 : Nil

For the period April 01, 2016 to March 31, 2017, following hedging transactions through futures have been squared off/expired :

Scheme Total Number of Total Number Total Number of Gross Notional Gross Notional Gross Notional Net Profit/Losscontracts where of contracts contracts where Value of contracts Value of contracts Value of contracts value on all

futures were Sold where futures futures were sold where futures where futures where futures contracts(opening balance) were bought were Sold (opening balance) were bought were sold combined

Baroda Pioneer Growth Fund - 374 374 - 234,264,850 232,416,791 (1,848,058)

Baroda Pioneer Balance Fund - 87 87 - 57,424,356 56,550,012 (874,344)

Baroda Pioneer Banking and Financial Services Fund - 20 20 - 12,791,520 13,145,280 353,760

Baroda Pioneer Large Cap Fund $ - 8 8 - 4,810,680 4,637,744 (172,936)

Other than Hedging Positions through Futures as on March 31, 2017 : Nil

For the period April 01, 2016 to March 31, 2017, following non-hedging transactions through futures have been squared off/expired :

Scheme Total Number of Total Number Total Number of Gross Notional Gross Notional Gross Notional Net Profit/Losscontracts where of contracts contracts where Value of contracts Value of contracts Value of contracts value on all

futures were Sold where futures futures were sold where futures where futures where futures contracts(opening balance) were bought were Sold (opening balance) were bought were sold combined

Baroda Pioneer Growth Fund - 450 450 - 264,361,991 269,986,005 5,624,014

Baroda Pioneer Balance Fund - 149 149 - 94,333,951 96,878,450 2,544,499

Baroda Pioneer Large Cap Fund $ - 15 15 - 8,016,730 8,206,375 189,645

Baroda Pioneer Equity Trigger Fund-Series I - 25 25 - 17,768,590 18,288,820 520,230

Baroda Pioneer Banking and Financial Services Fund - 87 87 - 62,248,016 61,804,285 (443,731)

Hedging Position through Put Option as on March 31, 2017 : Nil

For the period April 01, 2016 to March 31, 2017, hedging transactions through options which have been squared off/expired : Nil

Other than Hedging Positions through Options as on March 31, 2017

Scheme Underlying Call / Put Number of Option Price when Current OptionContracts purchased (Rs. Per unit) Price (Rs. Per unit)

Baroda Pioneer Hybrid Fund - Series I NIFTY Call 333 2,060.00 1,036.15

Total exposure through options as a % of net assets 8.50%

For the period April 01, 2016 to March 31, 2017, non-hedging transactions through options have been squared off/expired : Nil.

Previous Year

Hedging Positions through Futures as on March 31, 2016 : Nil.

For the period April 01, 2015 to March 31, 2016, following hedging transactions through futures have been squared off/expired : Nil.

Other than Hedging Positions through Futures as on March 31, 2016 : Nil.

For the period April 01, 2015 to March 31, 2016, following non-hedging transactions through futures have been squared off/expired :Nil.

Hedging Position through Put Option as on March 31, 2016 : Nil.

For the period April 01, 2015 to March 31, 2016, hedging transactions through options which have been squared off/expired : Nil.

Other than Hedging Positions through Options as on March 31, 2016

Scheme Underlying Call / Put Number of Option Price when Current OptionContracts purchased (Rs. Per unit) Price (Rs. Per unit)

Baroda Pioneer Hybrid Fund - Series I NIFTY Call 333 2,060.00 996.50

Total exposure through options as a % of net assets 8.76%

For the period April 01, 2015 to March 31, 2016, non-hedging transactions through options have been squared off/expired : Nil

Note : In case of derivative transactions end of the day position on the date of such transaction is considered as the basis to assess the nature of transaction as hedge / non-hedge.


ANNEXURE IV:

SUPPLEMENTARY INVESTMENT PORTFOLIO INFORMATION AND INDUSTRYWISE CLASSIFICATION OF - BARODA PIONEER FIXED MATURITY PLAN - SERIES E

Details of investment portfolio and industrywise classification of the Scheme's investments in each category of investments as at September 06, 2016 are presented below. The industry and company exposures are stated as a percentage of scheme's net assets as at September 06, 2016 as well as the aggregate investments in each investment category.

Industry and Company Particulars Quantity Amount (in Rs.) Percentage to Percentage to Net Assets Investment Category

COLLATERALISED LENDING (CBLO) 251,317,523 82.30% 100.00%

NET CURRENT ASSETS / (LIABILITIES) 54,048,072 17.70% 100.00%

NET ASSETS 305,365,595 100.00%

ANNEXURE IV:

SUPPLEMENTARY INVESTMENT PORTFOLIO INFORMATION AND INDUSTRYWISE CLASSIFICATION OF - BARODA PIONEER FIXED MATURITY PLAN - SERIES J

Details of investment portfolio and industrywise classification of the Scheme's investments in each category of investments as at December 28, 2016 are presented below. The industry and company exposures are stated as a percentage of scheme's net assets as at December 28, 2016 as well as the aggregate investments in each investment category.



NET CURRENT ASSETS / (LIABILITIES) (1,116,694) (0.14)% 100.00%

NET ASSETS 776,952,814 100.00%

ANNEXURE IV:

SUPPLEMENTARY INVESTMENT PORTFOLIO INFORMATION AND INDUSTRYWISE CLASSIFICATION OF - BARODA PIONEER FIXED MATURITY PLAN - SERIES M

Details of investment portfolio and industrywise classification of the Scheme's investments in each category of investments as at March 31, 2017 are presented below. The industry and company exposures are stated as a percentage of scheme's net assets as at March 31, 2017 as well as the aggregate investments in each investment category.


DEBENTURES/BONDS

Listed / Awaiting listing on Stock Exchanges

Finance 214 272,555,958 43.80% 100.00%

07.95% Indian Railway Finance Corporation Ltd. 10-Apr-2017 NCD ** 100 100,022,200 16.07% 36.70%

08.81% L & T Finance Ltd. 06-Apr-2017 NCD ** 39 97,517,258 15.67% 35.78%

09.05% Indiabulls Housing Finance Ltd. 10-Apr-2017 NCD ** 75 75,016,500 12.06% 27.52%

Pharmaceuticals 27 27,002,403 4.34% 100.00%

09.18% Piramal Enterprises Ltd. 03-Apr-2017 NCD ** 27 27,002,403 4.34% 100.00%

TOTAL 299,558,361 48.14% 100.00%

ZERO COUPON BONDS


Finance 28 34,421,968 5.53% 100.00%

0.00% India Infoline Housing Finance Ltd. 10-Apr-2017 ** 28 34,421,968 5.53% 100.00%

TOTAL 34,421,968 5.53% 100.00%

REVERSE REPO 233,407,828 37.51% 100.00%



NET ASSETS 622,256,746 100.00%

** Thinly traded/Non traded securities as defined in SEBI Regulations.

25


ANNEXURE IV:

SUPPLEMENTARY INVESTMENT PORTFOLIO INFORMATION AND INDUSTRYWISE CLASSIFICATION OF - BARODA PIONEER FIXED MATURITY PLAN - SERIES N

Details of investment portfolio and industrywise classification of the Scheme's investments in each category of investments as at March 31, 2017 are presented below. The industry and company exposures are stated as a percentage of scheme's net assets as at March 31, 2017 as well as the aggregate investments in each investment category.


DEBENTURES/BONDS


Finance 60 90,017,650 28.19% 100.00%

08.81% L & T Finance Ltd. 06-Apr-2017 NCD ** 20 50,008,850 15.66% 55.55%

09.05% Indiabulls Housing Finance Ltd. 10-Apr-2017 NCD ** 40 40,008,800 12.53% 44.45%

Pharmaceuticals 10 10,000,890 3.13% 100.00%

09.18% Piramal Enterprises Ltd. 03-Apr-2017 NCD ** 10 10,000,890 3.13% 100.00%

TOTAL 100,018,540 31.32% 100.00%

ZERO COUPON BONDS


Finance 19 23,357,764 7.31% 100.00%

0.00% India Infoline Housing Finance Ltd. 10-Apr-2017 ** 19 23,357,764 7.31% 100.00%

TOTAL 23,357,764 7.31% 100.00%

REVERSE REPO 172,018,667 53.87% 100.00%



NET ASSETS 319,335,178 100.00%

** Thinly traded/Non traded securities as defined in SEBI Regulations.

26


27

Perspective Historical Per Unit Statistics for the year/period ended March 31, 2017

Annexure VBARODA PIONEER BARODA PIONEER

FIXED MATURITY PLAN - SERIES E FIXED MATURITY PLAN - SERIES J

Period Ended Period Ended Period Ended Period Ended Period Ended Period Ended

September 06, 2016 March 31, 2016 March 31, 2015 December 28, 2016 March 31, 2016 March 31, 2015

(a) Net asset value per unit at the end of the period / maturity /final redemption date

Plan A - Dividend Option 10.0000 11.4649 10.5612 - - -

Regular Plan - Dividend Option - - - - - -

Regular Plan - Growth Option - - - - - -

Regular Plan - Daily Dividend Option - - - - - -

Regular Plan - Weekly Dividend Option - - - - - -

Regular Plan - Monthly Dividend Option - - - - - -

Regular Plan - Quarterly Dividend Option - - - - - -

Plan A - Bonus Option - - - - - -

Plan A - Daily Dividend Option - - - - - -

Plan A - Weekly Dividend Option - - - - - -

Plan A - Growth Option 13.0333 12.6711 11.6723 12.7850 12.1594 11.1908

Plan A - Monthly Dividend Option - - - - - -

Plan A - Quarterly Dividend Option - - - - - -

Plan B (Direct) - Dividend Option 10.0000 11.5017 10.5736 - - -

Plan B (Direct) - Bonus Option - - - - - -

Plan B (Direct) - Daily Dividend Option - - - - - -

Plan B (Direct) - Growth Option 13.1116 12.7361 11.7088 12.8315 12.1950 11.2066

Plan B (Direct) - Quarterly Dividend Option - - - - - -

Plan B (Direct) - Weekly Dividend Option - - - - - -

Plan B (Direct) - Monthly Dividend Option - - - - - -

Plan C - Growth Option - - - - - -

(b) Gross Income

(i) income other than profit on sale of investment 0.45 1.09 3.08 0.80 1.06 1.10

(ii) income from profit on inter scheme sales/transfer of investment - - - - - 0.00

(iii) income (net) from profit on sale of investments to third party 0.01 - - (0.11) (0.00) 0.00

(c) Aggregate of expenses, writeoff, amortisation and charges(excluding loss on sale of investments)

(d) Net Income (excluding change in unrealised appreciation/depreciation on investments)

(e) Unrealised appreciation / (depreciation) in value of investments (0.02) (0.03) (0.21) 0.05 (0.05) (0.00)

(f) Redemption price

Highest



Regular Plan - Bonus Option - - - - - -






Plan A - Dividend Option 11.7845 11.4649 11.0499 - - 10.9326







Plan B (Direct) - Dividend Option 11.8323 11.5017 11.0720 - - 10.9435







Lowest











0.08 0.06 0.10 0.10 0.02 0.01

0.38 1.03 2.98 0.59 1.04 1.09


28

Perspective Historical Per Unit Statistics for the year/period ended March 31, 2017

Annexure V (Contd.,)BARODA PIONEER BARODA PIONEER

FIXED MATURITY PLAN - SERIES E FIXED MATURITY PLAN - SERIES J



(Contd.,)













Purchase price

Highest























Lowest























(h) Price earnings ratio N.A N.A N.A N.A N.A N.A

(i) Ratio of expenses to average daily net assets by percentage 0.61% 0.50% 0.25% 0.80% 0.21% 0.09%(annualised,excluding unrealised appreciation/depreciation on investments)

(j) Ratio of gross income/loss to average daily net assets by 3.41% 8.75% 9.09% 5.75% 8.65% 8.91%(annualised, including unrealised appreciation /

investments and net profit or loss on sale of investments.)

percentage depreciation on


29

Perspective Historical Per Unit Statistics for the year/period ended March 31, 2017 (Contd.,)


FIXED MATURITY PLAN - SERIES M FIXED MATURITY PLAN - SERIES N



(a) Net asset value per unit at the end of the period /maturity / final redemption date

Plan A - Dividend Option - - 11.0052 - - 10.9089





















(b) Gross Income

(i) income other than profit on sale of investment 1.05 1.02 0.97 1.05 1.05 0.91

(ii) income from profit on inter scheme sales/transfer of investment 0.00 (0.00) - - (0.00) -

(iii) income (net) from profit on sale of investments to third party (0.09) (0.00) - (0.13) - -

(c) Aggregate of expenses, writeoff, amortisation and charges(excluding loss on sale of investments)

(d) Net Income (excluding change in unrealised appreciation/ depreciation on investments)

(e) Unrealised appreciation / (depreciation) in value of investments 0.05 (0.05) (0.05) 0.06 (0.06) 0.00

(f) Redemption price

Highest









Plan A - Dividend Option - 11.0216 11.0052 - 10.9264 10.9089














Lowest











0.09 0.02 0.01 0.11 0.04 0.01

0.86 1.00 0.96 0.81 1.01 0.90


30

Perspective Historical Per Unit Statistics for the year/period ended March 31, 2017 (Contd.,)


FIXED MATURITY PLAN - SERIES M FIXED MATURITY PLAN - SERIES N















Purchase price

Highest























Lowest























(h) Price earnings ratio N.A N.A N.A N.A N.A N.A

(i) Ratio of expenses to average daily net assets by percentage 0.74% 0.20% 0.04% 0.87% 0.34% 0.07%(annualised,excluding unrealised appreciation/depreciation on

(j) Ratio of gross income/loss to average daily net assets by percentage 7.83% 8.20% 8.70% 7.76% 8.24% 8.70%(annualised, including unrealised appreciation / depreciation oninvestments and net profit or loss on sale of investments.)

investments)

2016 - 2017 · 2017-07-28 · 2016 - 2017. baroda pioneer trustee company private limited cin :...

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