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.

AU Small Finance Bank Limited has announced the allotment of 1,33,465 equity shares on March 12, 2026, following the exercise of Employee Stock Options under multiple ESOP schemes. The allotment was disclosed under Regulation 30 of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

ESOP Exercise Details

The equity shares, each with a face value of Rs. 10, were allotted pursuant to the exercise of equivalent Employee Stock Options across four different schemes. The distribution across various ESOP schemes demonstrates the bank's structured approach to employee incentivization over multiple years.

Impact on Share Capital

The allotment has resulted in an increase in the bank's paid-up equity share capital. Following the exercise of these stock options, the paid-up equity share capital has risen from Rs. 7,48,09,10,520 to Rs. 7,48,22,45,170, reflecting the addition of the newly allotted shares.

Regulatory Compliance

The bank has fulfilled its disclosure obligations by informing both the National Stock Exchange of India Limited and BSE Limited about this allotment. The communication was signed by Manmohan Parnami, Company Secretary and Compliance Officer, ensuring proper regulatory compliance and transparency with stakeholders.

The ESOP 2020 scheme contributed the largest portion of the allotment with 81,880 shares, representing over 61% of the total shares allotted. This significant contribution from the 2020 scheme indicates substantial employee participation in that particular stock option program.