AU Small Finance Bank Limited has announced the allotment of 42,604 equity shares on March 21, 2026, pursuant to the exercise of employee stock options under multiple Employee Stock Option Plans (ESOPs). The allotment was carried out in compliance with applicable regulations and has been disclosed to stock exchanges under Regulation 30 of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

ESOP Exercise Details

The equity shares allotted have a face value of Rs. 10 each and were distributed across four different ESOP schemes implemented by the bank over the years. The breakdown of shares allotted under each scheme demonstrates the bank's continued commitment to employee participation in equity ownership.

Impact on Share Capital

The allotment has resulted in an increase in the bank's paid-up equity share capital. Following the allotment of these 42,604 equity shares, the paid-up equity share capital has increased from Rs. 7,48,22,45,170 to Rs. 7,48,26,71,210.

Regulatory Compliance

The bank has duly informed both the National Stock Exchange of India Limited and BSE Limited about this development. AU Small Finance Bank trades on NSE under the symbol AUBANK and on BSE with scrip code 540611. The disclosure was made through a formal communication signed by Manmohan Parnami, Company Secretary and Compliance Officer, ensuring full transparency with stakeholders and regulatory authorities.

This allotment represents the bank's ongoing employee stock option program, allowing eligible employees to exercise their stock options and become equity shareholders in the institution.

Wasatch Advisors LP, a US-based investment advisory firm, has reduced its shareholding in AU Small Finance Bank Ltd through an off-market transfer transaction. The firm disclosed the share sale under Regulation 29(2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

Transaction Details

The shareholding reduction involved the sale of 13,39,659 equity shares carrying voting rights through off-market transfer on March 11, 2026. This transaction represents a 0.179% decrease in the firm's total shareholding in the bank.

Shareholding Position

Following the transaction, Wasatch Advisors LP's shareholding position in AU Small Finance Bank has been adjusted as detailed below:

The firm confirmed that it does not belong to the promoter or promoter group of AU Small Finance Bank and holds no encumbered shares, voting rights through other instruments, or convertible securities in the bank.

Company Capital Structure

AU Small Finance Bank's equity share capital structure remains unchanged following this transaction:

Regulatory Compliance

The disclosure was signed by Dan Thurber, Vice President and General Counsel of Wasatch Advisors LP, on March 12, 2026. The firm is headquartered at 505 Wakara Way, 3rd Floor, Salt Lake City, UT 84108, USA. The disclosure has been filed with both BSE and NSE, where AU Small Finance Bank shares are listed under scrip codes 540611 and AUBANK respectively.

This transaction reflects Wasatch Advisors LP's portfolio management activities while maintaining compliance with Indian securities regulations for substantial shareholding disclosures.