| NL 37 | ||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STATEMENT AS ON 30.09.2013 | ||||||||||||
| STATEMENT OF DOWNGRADED INVESTMENTS | ||||||||||||
| PERIODICITY OF SUBMISSION : QUARTERLY | ||||||||||||
| Rupees in Crores | ||||||||||||
| Sr No | Security ID | Particulars of Investments | Fin.Trn.Number | Product Type | IRDA Code | Purchase Amount | Nominal Amount | Date of Purchase | Rating Agency | Original Grade | Current Grade | Date of Downgrade |
| A | DURING THE QUARTER | |||||||||||
| 1 | 11426 | MAHARASHTRA STATE ROAD DEVELOPMENT CORPORATION LTD | 2005010100458 | 04I | SGOA | 27 | 75 | 31.12.2005 | CARE | AAA | BBB+ | 30.09.2013 |
| 2 | 11630 | 6.7% RELIANCE ENERGY LTD. 2018 | 2005010100612 | 04I | IODS | 4.96 | 5 | 31.12.2005 | CRISIL | AA | A+ | 30.09.2013 |
| 3 | 12600 | 10.25% Ashok Leyland 2016 NCDs | 2011010100169 | 04I | OLDB | 10 | 10 | 14.10.2011 | ICRA | AA- | A+ | 30.09.2013 |
| 4 | 12666 | 10.50% Reliance Infrastructure 2018 Secured | 2011010100304 | 04I | IODS | 25 | 25 | 27.01.2012 | CRISIL | AA+ | A+ | 30.09.2013 |
| 5 | 12704 | 11.15% Reliance Infrastructure Ltd.2016 -NCDs | 2012010100089 | 04I | IODS | 15.3 | 15.3 | 29.06.2012 | CRISIL | AA+ | A+ | 30.09.2013 |
| 6 | 12792 | 10.75% Simplex Infra Ltd 2022 (put/Call 06.12.2019) | 2012010100268 | 04I | IODS | 15 | 15 | 11.12.2012 | CARE | AA | AA- | 30.09.2013 |
| B | AS ON DATE | |||||||||||
| 1 | 11947 | 9.75% JINDAL STAINLESS 31.01.2015 | 2005010100912 | 04I | OLDB | 10 | 10 | 01.02.2006 | CARE | AA | D | 31.12.2012 |
| 2 | 11948 | 8.75% ING VYSYA BANK LTD. 17.5.2015 | 2005010100913 | 04I | OLDB | 5 | 5 | 17.03.2006 | CRISIL | AA+ | AA | 31.12.2010 |
| 3 | 11949 | 8.00%UNITED BANK 29.04.2016 | 2005010100914 | 04I | EPBT | 5 | 5 | 29.03.2006 | CARE | AA+ | AA | 30.06.2013 |
| 4 | 11958 | 8.7-9.2% UCO BANK UPPER TIER II | 2005010100991 | 04I | OBPT | 5 | 5 | 22.03.2006 | CARE | AA | AA- | 31.12.2012 |
| 5 | 11980 | 9.25%(1.8.2016) VIJAYA BANK BONDS | 2006010100045 | 04I | OBPT | 5 | 5 | 01.08.2006 | FITCH | AA | AA- | 30.05.2012 |
| 6 | 11993 | 9.70% ING VYSYA Bank 28.8.2016 | 2006010100071 | 04I | OLDB | 5.12 | 5.12 | 08.09.2006 | CRISIL | AA+ | AA | 31.12.2010 |
| 7 | 11993 | 9.70% ING VYSYA Bank 28.8.2016 | 2006010100072 | 04I | OLDB | 5.14 | 5.14 | 13.09.2006 | CRISIL | AA+ | AA | 31.12.2010 |
| 8 | 11993 | 9.70% ING VYSYA Bank 28.8.2016 | 2007010100054 | 04I | OLDB | 4.96 | 4.96 | 14.08.2007 | CRISIL | AA+ | AA | 31.12.2010 |
| 9 | 11999 | 9.95% LAKSHMI VILAS BANK 30.4.2016 | 2006010100090 | 04I | OLDB | 5 | 5 | 01.10.2006 | FITCH | A | BBB+ | 31.12.2012 |
| 10 | 12010 | 8.50%ORIENTAL BANK OF COMMERCE 20.4.2016 | 2006010100075 | 04I | EPBT | 10 | 10 | 20.04.2006 | CARE | AAA | AA+ | 27.07.2012 |
| 11 | 12100 | 9.95%Orientak Bank comm Lower Tier II Bonds 23.4.2017 | 2007010100037 | 04I | EPBT | 15 | 15 | 23.04.2007 | CARE | AAA | AA+ | 27.07.2012 |
| 12 | 12182 | 10.25% KARNATAKA BANK LTD. 2018(ANNUAL) LOWER TIER II BONDS | 2007010100153 | 04I | OLDB | 5 | 5 | 29.03.2008 | CARE | A+ | A | 07.09.2012 |
| 13 | 12186 | 10.10% Tata Power Company Ltd. 2018 | 2008010100008 | 04I | IODS | 5 | 5 | 25.04.2008 | CRISIL | AA | AA- | 30.06.2013 |
| 14 | 12211 | 8.75%(S.A.) TAMIL NADU ELECTRICITY BOARD 1.3.2018 (P/C2015) | 2008010100070 | 04I | SGOA | 9.7 | 9.7 | 18.08.2008 | CARE | A+(SO) | A-(SO) | 12.12.2011 |
| 15 | 12224 | 11%TAMIL NADU ELECTRICITY BOARD 3.11.13/14/15 (P/C-3.11.13) | 2008010100091 | 04I | SGOA | 10.57 | 10.57 | 11.11.2008 | ICRA | A+(SO) | A-(SO) | 12.12.2011 |
| 16 | 12236 | 12.30% Bharat Hotels Limited Sec Red NCDs | 2008010100106 | 04I | OLDB | 25 | 25 | 06.02.2009 | CARE | A | BBB+ | 03.12.2012 |
| 17 | 12237 | 11.20% TATA COMMUNICATIONS LTD. Rated Sec.Tax NCDs | 2008010100107 | 04I | ICTD | 25 | 25 | 23.01.2009 | CARE | AAA | AA+ | 31.12.2010 |
| 18 | 12264 | 10.50% Sec.Red.NC Gammon India Ltd. | 2009010100005 | 04I | IODS | 15 | 15 | 07.05.2009 | CARE | AA | B | 22.04.2013 |
| 19 | 12270 | 8.81% 2019 Tamilnadu Electricity Board | 2009010100016 | 04I | SGOA | 10 | 10 | 04.05.2009 | ICRA | A+(SO) | A-(SO) | 12.12.2011 |
| 20 | 12270 | 8.81% 2019 Tamilnadu Electricity Board | 2009010100036 | 04I | SGOA | 10.08 | 10.08 | 08.06.2009 | ICRA | A+(SO) | A-(SO) | 12.12.2011 |
| 21 | 12271 | 13%Sec Red NCDs of Era Infra Engineering Ltd | 2009010100029 | 04I | OLDB | 20 | 20 | 05.06.2009 | CARE | A | BBB | 31.12.2012 |
| 22 | 12272 | 11% Bharati Shipyard Ltd Sec.Rated Red.NCDs of | 2009010100011 | 04I | OLDB | 20 | 20 | 09.06.2009 | CARE | A | BB- | 28.12.2011 |
| 23 | 12275 | 10.75% Sec.NCDs -Hindusthan National Glass(1% additional) | 2009010100015 | 04I | OLDB | 25 | 25 | 18.06.2009 | CARE | AA | A+ | 09.11.2012 |
| 24 | 12276 | 8.80% -Unsec.NCRed.Sub.Bonds Central Bank-Put call 10 yrs | 2009010100018 | 04I | OBPT | 5 | 5 | 23.06.2009 | CARE | AA | AA- | 06.07.2012 |
| 25 | 12289 | 10.50% NAGARJUNA CONSTRUCTION CO.LTD.2014 | 2009010100033 | 04I | OLDB | 2 | 2 | 24.07.2009 | CRISIL | AA- | BBB+ | 18.01.2013 |
| 26 | 12322 | 8.40% 2020Tamilnadu Electricity Board | 2009010100113 | 04I | SGOA | 10 | 10 | 06.01.2010 | ICRA | A+(SO) | A-(SO) | 12.12.2011 |
| 27 | 12365 | 9.97% Unsec.Red.Sub.NCDs Deutsche Postbank Home Finance | 2010010100240 | 04I | HTDN | 10.26 | 10.26 | 08.02.2011 | ICRA | AA+ | AA | 31.03.2012 |
| 28 | 12384 | 11.15% Sec.Red.NCD -Era Infra Engineering Ltd. | 2009010100215 | 04I | OLDB | 10 | 10 | 27.02.2010 | CARE | A | BBB- | 16.04.2013 |
| 29 | 12391 | 8.95% Damodar Valley Corporation Sec.Red.Taxable NCD- | 2009010100227 | 04I | OBPT | 5.6 | 5.6 | 26.02.2010 | CRISIL | AA | A+ | 12.10.2012 |
| 30 | 12391 | 8.95% Damodar Valley Corporation Sec.Red.Taxable NCD- | 2010010100054 | 04I | OBPT | 15.39 | 15.39 | 14.06.2010 | CRISIL | AA | A+ | 12.10.2012 |
| 31 | 12394 | 8.64% TAMIL NADU ELECTRICITY BOARD 10 years(7 year P/C) | 2009010100232 | 04I | SGOA | 10 | 10 | 29.03.2010 | CARE | A+(SO) | A-(SO) | 12.12.2011 |
| 32 | 12394 | 8.64% TAMIL NADU ELECTRICITY BOARD 10 years(7 year P/C) | 2009010100252 | 04I | SGOA | 10 | 10 | 29.03.2010 | CARE | A+(SO) | A-(SO) | 12.12.2011 |
| 33 | 12429 | 9.50% Gammon India-NCD (Put option-18.6.2017)-2020 | 2010010100050 | 04I | IODS | 10 | 10 | 18.06.2010 | CARE | AA | BBB+ | 28.09.2012 |
| 34 | 12429 | 9.50% Gammon India-NCD (Put option-18.6.2017)-2020 | 2010010100188 | 04I | IODS | 10 | 10 | 16.11.2010 | CARE | AA | BBB+ | 28.09.2012 |
| 35 | 12515 | 11.25%Elder Pharma NCDs-2018 | 2010010100252 | 04I | OLDB | 10 | 10 | 30.03.2011 | CARE | A+ | D | 30.06.2013 |
| 36 | 12527 | 10.75% Patel Engineering Ltd.-2016 | 2011010100022 | 04I | OLDB | 10.22 | 10.22 | 29.04.2011 | CARE | AA | A | 18.03.2013 |
| 37 | 12542 | 10.75% Jindal Saw Ltd. Secured NCD | 2011010100060 | 04I | OLDB | 10.34 | 10.34 | 26.05.2011 | CARE | AA | AA- | 29.08.2012 |
| 38 | 12542 | 10.75% Jindal Saw Ltd. Secured NCD | 2011010100061 | 04I | OLDB | 5.17 | 5.17 | 27.05.2011 | CARE | AA | AA- | 29.08.2012 |
| 39 | 12560 | 9.35% Union Bank 2018 | 2011010100104 | 04I | EPBT | 4.99 | 4.99 | 27.06.2011 | ICRA | AAA | AA | 28.09.2012 |
| 40 | 12560 | 9.35% Union Bank 2018 | 2011010100105 | 04I | EPBT | 4.99 | 4.99 | 28.06.2011 | ICRA | AAA | AA | 28.09.2012 |
| 41 | 12577 | 9.95% Indian Hotels 2021-NCDs Secured | 2011010100133 | 04I | ECOS | 10.13 | 10.13 | 18.08.2011 | CARE | AA+ | AA | 14.09.2012 |
| 42 | 12583 | 11.25% Cox & Kings Ltd. | 2011010100147 | 04I | OLDB | 10.19 | 10.19 | 30.08.2011 | CARE | AA | AA- | 14.03.2013 |
| 43 | 12583 | 11.25% Cox & Kings Ltd. | 2011010100149 | 04I | OLDB | 5.1 | 5.1 | 02.09.2011 | CARE | AA | AA- | 14.03.2013 |
| 44 | 12583 | 11.25% Cox & Kings Ltd. | 2011010100200 | 04I | OLDB | 10.16 | 10.16 | 31.10.2011 | CARE | AA | AA- | 14.03.2013 |
| 45 | 12630 | 10.10% Indian Hotels | 2011010100227 | 04I | ECOS | 10 | 10 | 24.11.2011 | CARE | AA+ | AA | 14.09.2012 |
| 46 | 12642 | 11% Dhanlaxmi Bank 2018 | 2011010100241 | 04I | OLDB | 10 | 10 | 21.01.2012 | CARE | A | BBB | 29.06.2012 |
| 47 | 12653 | 11.40% Lakshmi vilas 2018 (OptionI VII-A) Unsecured | 2011010100255 | 04I | OLDB | 10 | 10 | 10.02.2012 | FITCH | A- | BBB+ | 31.12.2012 |
| 48 | 12791 | 11.25% Cox & Kings Ltd.2016 Secured NCDs | 2012010100269 | 04I | OLDB | 15.27 | 15.27 | 11.12.2012 | CARE | AA | AA- | 20.02.2013 |
| 577.63 | 625.67 | |||||||||||
| DECLARATION | ||||||||||||
| Certified that the information given herein are correct and complete to the best of my knowledge and belief and nothing has been processed or suppressed. | ||||||||||||
| DATE | ||||||||||||
| Signature | ||||||||||||
| Full Name & Designation | ||||||||||||