Procedure to Buy A V Thomas & Co. Limited Unlisted SharesStepAction ItemDetails1Booking ConfirmationConfirm your booking of A V Thomas & Co. Limited unlisted shares with Rook Capital at the agreed-upon trading price.2KYC SubmissionProvide your Client Master Report (CMR)—available from your broker—along with your PAN Card. If funds are not being transferred from the bank account linked to your CMR, a Cancelled Cheque is also required to comply with SEBI regulations.3Bank DetailsRook Capital will provide the necessary bank account details for the transaction.4Fund TransferTransfer the total amount via RTGS, NEFT, or IMPS. Please note that Cash Deposits are strictly prohibited.5Account VerificationPayments must originate from the same bank account that is linked to the demat account where the shares will be credited.Important Timelines & ComplianceShare Transfer: Shares will be transferred to your demat account within 24 hours, provided the funds are credited to our account before 2:00 PM.Post-IPO Lock-in Period: In accordance with regulatory guidelines, there is a 6-month lock-in period following the listing date. You cannot sell shares purchased in the Pre-IPO market until 6 months have passed from the official listing date.Contact Us: For any queries or to begin your investment, please reach out to our team at sales@rookcapital.in.

Procedure to Sell A V Thomas & Co. Limited Unlisted SharesStepAction ItemDetails1Price ConfirmationRook Capital will provide a firm buying price for your A V Thomas & Co. Limited unlisted shares.2Share TransferWe will provide our Client Master Report (CMR). You will then initiate the transfer of the shares from your demat account to the Rook Capital demat account.3Bank DetailsOnce the shares are successfully received and reflected in our demat account, we will request your bank account details for the payout.4Payment TimelineRook Capital will initiate the fund transfer to your bank account within 24 hours of receiving the shares.5Mode of PaymentAll payments are processed via RTGS, NEFT, IMPS, or Cheque Transfer. Please note that Cash Deposits are strictly prohibited.6Account VerificationTo comply with SEBI regulations, funds will only be transferred to the bank account linked to your demat account. If using a different account, you must provide a Cancelled Cheque with your name printed on it for verification. Third-party transfers are strictly prohibited.Important Terms & ConditionsPrice Validity: The quoted buying price is fixed for 3 days.Market Fluctuations: If the share transfer is not completed within this 3-day window, the prevailing market price on the date the shares hit our demat account will be applicable.Compliance: All transactions are handled in accordance with standard unlisted market protocols to ensure security for both parties.Contact Us: To initiate a sell request or for further assistance, please contact us at sales@rookcapital.in.

SEBI Regulatory Framework & Rook Capital Compliance While the unlisted market operates differently from the secondary stock exchange, the Securities and Exchange Board of India (SEBI) maintains a significant regulatory influence to ensure market integrity. At Rook Capital, we align our operations with these statutory requirements to provide a secure environment for our clients. 1. Mandatory Rules and Transaction Standards Certain SEBI-mandated protocols are strictly followed for every transaction involving unlisted shares: Lock-in Period: A mandatory 6-month lock-in period applies to all Pre-IPO shares after the company lists on the exchanges. Statutory Charges: All transactions attract government-mandated Stamp Duty and Depository Participant (DP) charges. Standardization: These measures ensure that unlisted trades meet the same baseline of documentation and legality as listed market trades. 2. Brokerage Transparency and Due Diligence Currently, SEBI does not have a specific, separate licensing category for "Unlisted Brokers." This regulatory gap makes it critical for investors to choose a partner with a proven track record. Rook Capital’s Commitment: We bridge this gap by enforcing rigorous internal due diligence, transparent pricing, and clear KYC (Know Your Customer) protocols. Investor Safety: Because the space is not directly regulated by a specific brokerage license, Rook Capital prioritizes the safety of your funds and the timely delivery of shares to your demat account. 3. Investor Protection & Market Transparency The existing regulations—such as the lock-in period—are designed to prevent short-term market volatility immediately after an IPO and to protect long-term investors. Mitigating Risk: Trading unlisted securities involves less public scrutiny than listed ones. Rook Capital adds a layer of transparency by providing verified financial data and historical performance insights for companies like A V Thomas & Co. Limited. Research-Driven Approach: We encourage all participants to exercise caution. Our team at Rook Capital provides the necessary research and documentation to help you make informed investment decisions. Our Philosophy: At Rook Capital, we don't just facilitate trades; we ensure that every transaction adheres to the prevailing legal spirit of SEBI’s investor protection guidelines. For more information, contact us at: sales@rookcapital.in

"For comprehensive and up-to-date news and information about A V Thomas & Co. Limited Unlisted Shares, we have several platforms to keep you informed. Our website is regularly updated with the latest insights and developments. For real-time updates and engaging discussions, you can join our Telegram channel. Additionally, follow us on Twitter for quick news bites and industry trends. And for more in-depth analysis and informative content, subscribe to our YouTube channel. These resources are designed to provide you with a well-rounded understanding of the unlisted market, ensuring you have access to all the information you need about A V Thomas & Co. Limited Unlisted Shares."

You need to submit your Client Master List (CML) copy, PAN card, Aadhar card, and a cancelled cheque for KYC purposes.

There are no additional costs such as stamp papers, document preparation charges, or consultant fees. Stamp Duty and DP charges are now included in the price of the shares, making the transaction completely transparent and all-inclusive.

At **Rook Capital**, our strategy for sourcing **A V Thomas & Co. Limited** unlisted shares is built on direct relationships and market expertise. We primarily secure these shares through two high-value channels: ### **1. Employee Equity & ESOPs** Company employees often receive shares as part of their long-term incentive plans or **Employee Stock Option Plans (ESOPs)**. * **Liquidity Solutions:** As these holdings vest, employees may seek to liquidate for personal financial goals, home purchases, or portfolio rebalancing. * **Direct Engagement:** **Rook Capital** provides a professional and secure platform for these stakeholders to exit their positions, ensuring our clients receive shares sourced directly from the internal talent of the organization. ### **2. Early-Stage & Strategic Investors** These are the visionary initial investors or angel groups who backed the company during its foundational years. * **Capital Realization:** As **A V Thomas & Co. Limited** matures and its valuation grows, these early backers may choose to "book profits" or reallocate their capital toward new ventures. * **Exclusive Access:** By facilitating these large-block secondary transactions, **Rook Capital** provides our clients with access to institutional-grade stakes that are typically unavailable to the general public. --- ### **The Rook Capital Advantage** By maintaining deep connections with these specific groups, we ensure a **reliable and transparent supply** of shares. This ecosystem creates a seamless experience: * **For Sellers:** We offer fair market pricing and a streamlined exit process for their private equity. * **For Buyers:** Our clients gain entry into a high-potential company with a robust market cap of **₹ 570 Cr.** and a strong **ROE of 12.26%**, before it hits the public exchanges. This direct-sourcing model minimizes middleman intervention and maximizes value for both parties, all handled with the professional rigor expected from **Rook Capital**. > **Secure your position today: sales@rookcapital.in**

"The price of A V Thomas & Co. Limited Unlisted Shares can be checked in two ways. First, you can join our Telegram channel, where we share the latest prices of all unlisted shares daily in the morning. Secondly, you can check price on our RookCapital platform to view historical graphs and prices of all shares in one place."

**Taxation Transition: From Unlisted to Listed Assets** When your investment in **A V Thomas & Co. Limited** transitions from the unlisted space to the public exchange, the taxation framework shifts significantly. At **Rook Capital**, we ensure our clients understand these nuances to optimize their exit strategies. ### **1. Shift to Listed Security Tax Rates** Once your pre-IPO shares are officially listed on a stock exchange (NSE/BSE) and sold through the platform, they are no longer taxed as "unlisted assets." Instead, they qualify for the more favorable tax treatments applicable to listed equity securities under prevailing laws. ### **2. Calculating the Holding Period** A common misconception is that the "holding clock" resets upon listing. This is incorrect. * **Original Purchase Date:** The holding period is calculated from the **original date** you purchased the shares through **Rook Capital**, even while they were unlisted. * **Inclusion of Pre-IPO Tenure:** Both your time spent holding the shares as unlisted and the time held after listing are combined to determine your tax liability. ### **3. Long-term vs. Short-term Capital Gains** The duration of your ownership (including the pre-listing period) determines the tax category: | Category | Holding Period | Tax Treatment | | :--- | :--- | :--- | | **Long-Term Capital Gains (LTCG)** | **More than 1 Year** | Applied if the total holding period from the original purchase date exceeds 12 months. | | **Short-Term Capital Gains (STCG)** | **Less than 1 Year** | Applied if the shares are liquidated within 12 months of the original purchase date. | ### **4. Strategic Significance for Rook Capital Investors** Understanding this transition is vital for sophisticated tax planning. By monitoring your original acquisition date, you can strategically timing your exit post-listing to significantly reduce your tax burden—potentially moving from a higher unlisted tax bracket to the lower LTCG rates of the listed market. --- ### **Investor Guidelines** * **Documentation:** Retain your purchase contract notes provided by **Rook Capital** to verify your original acquisition date. * **Listing Updates:** We provide regular updates on the listing status of companies like **A V Thomas & Co. Limited** to help you stay ahead of the 6-month post-listing lock-in period. * **Professional Consultation:** While we provide the data, we always recommend consulting with a certified tax advisor for precise calculations based on the latest Finance Act amendments. > **Maximize your investment efficiency with Rook Capital. Contact us: sales@rookcapital.in**

In recent years, the unlisted share market has expanded significantly, leading to a reduction in the minimum investment amount. Previously, the typical investment ticket size ranged from 5-10 Lakhs, but in the current market scenario, it has decreased to between 35-50k. Therefore, through our RookCapital platform, if someone wishes to invest in A V Thomas & Co. Limited Unlisted Shares, the minimum investment required would now be in the range of 35-50k