Information Memorandum For Equity & Balanced Schemes

Company Name(s): 

April 11, 2013
April 11, 2013
KEY INFORMATION MEMORANDUM FOR EQUITY AND BALANCED SCHEMES
UTI Asset Management Co. Ltd.
UTI - Balanced Fund (An open-ended Balanced Fund)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments (maximum-75%) and fixed income securities (debt and money market securities)
l High risk
(Brown)
UTI - Banking Sector Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment primarily in equity instruments of companies engaged in banking and financial services activities
l High risk
(Brown)
UTI - Contra Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in undervalued equity instruments based on insights from behavioral finance
l High risk
(Brown)
UTI - Dividend Yield Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment predominantly in high dividend yielding equity instruments
l High risk
(Brown)
UTI - Energy Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of the energy sectors
l High risk
(Brown)
UTI - Equity Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies with good growth prospects
l High risk
(Brown)
UTI - India Lifestyle Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies that are expected to benefit from changing Indian demographics and indian lifestyles
l High risk
(Brown)
UTI - Infrastructure Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment predominantly in equity instruments of companies the infrastructure sector
l High risk
(Brown)
UTI - Leadership Equity Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies that are “Leaders” in their respective industries/sectors / sub-sectors.
l High risk
(Brown)
UTI - Master Plus Unit Scheme (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in high growth equity instruments comprised in S&P BSE 100
l High risk
(Brown)
Please read overleaf
UTI - Mastershare Unit Scheme (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of fundamentally strong companies
l High risk
(Brown)
UTI - Master Value Fund (An open-ended equity oriented value fund)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies that are undervalued to their expected long term earnings growth.
l High risk
(Brown)
UTI - Mid Cap Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment primarily in mid cap equity instruments
l High risk
(Brown)
UTI - MNC Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment predominantly in equity instruments of Multinational companies and other liquid stocks.
l High risk
(Brown)
UTI - Nifty Index Fund (An open-ended passive Index Fund tracking the CNX Nifty Index)
This product is suitable for investors who are seeking*:
l Capital growth in tune with the index returns
l Passive investment in equity instruments comprised in CNX Nifty Index
l High risk
(Brown)
UTI - Opportunities Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments by capitalizing on opportunities arising in the market dynamically
l High risk
(Brown)
UTI - Pharma & Healthcare Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies in the Pharma & Healthcare sector
l High risk
(Brown)
UTI - Services Industries Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of companies in the Services Industries sector
l High risk
(Brown)
UTI - Top 100 Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment predominantly in equity instruments of Top 100 companies by market capitalisation
l High risk
(Brown)
UTI-Transportation and Logistics Fund (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments of the companies engaged in the transportation and logistics sector
l High risk
(Brown)
UTI-Wealth Builder Fund Series II (An open-ended equity scheme)
This product is suitable for investors who are seeking*:
l Long term capital growth
l Investment in equity instruments/ Gold ETFs
l High risk
(Brown)
* Investors should consult their financial advisers if in doubt about whether the product is suitable for them.
Note: Risk is represented as:
(BLUE)
Investors understand that their principal will be at low risk
(YELLOW)
Investors understand that their principal will be at medium risk
(BROWN)
Investors understand that their principal will be at high risk
3
UTI - Balanced Fund
Investment Objective The scheme aims to invest in a portfolio of equity / equity related securities and fixed income securities (debt and
money market securities) with a view to generating regular income together with capital appreciation.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), Micro SIP, Systematic Transfer Investment Plan (STRIP), Dividend Transfer
Plan (DTP) and Systematic Withdrawal Plan (SWP) facilities are available.
Minimum Application Minimum Application Amount under all Plans and Options
Amount a. Minimum amount of initial investment
Growth Option – ` 1000/-
Dividend Option – ` 5000/- and in multiples of ` 1/- under both the options
b. Subsequent minimum investment ` 1000/- and in multiples of ` 1/- under both the options.
Benchmark Index CRISIL Balanced Fund Index.
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Amandeep Chopra (Debt Portfolio) and V. Srivatsa (Equity Portfolio)
Performance of the
scheme as on
March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.20%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.07
Investment Strategy The asset allocation in the fund is designed keeping in mind the necessity of providing consistent returns and
maintaining a balance between debt and equity, with occasional alterations. The fund follows a balanced and
disciplined approach to asset allocation at the macro level and specific investments at the micro level with a longterm
horizon.
Comparison with This is a balanced fund investing in a mix of debt and equity.
existing schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
882,959 ` 943.25 Crore
Compounded Scheme CRISIL
Annualised Returns Growth Balanced Fund
Returns* Option % Index %
Last 1 year 8.64 8.18
Last 3 years 4.37 4.63
Last 5 years 6.86 5.77
Since Inception 15.63 N.A.
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future
Types of Instruments Normal Allocation (% of Net Assets)
Equity & Equity Related Instruments Minimum 40% Maximum 75%
Debt & Money Market Instruments
including securitised debt Minimum 25% Maximum 60%
This Key Information Memorandum (KIM) sets forth the information, which a prospective investor ought to know before investing. For further
details of the scheme/Mutual Fund, due diligence certificate by the AMC, Key Personnel, investors’ rights & services, risk factors,
penalties & pending litigations etc. investors should, before investment, refer to the Scheme Information Document and Statement of
Additional Information available free of cost at any of the UTI Financial Centres or distributors or from the website www.utimf.com.
The Scheme particulars have been prepared in accordance with Securities and Exchange Board of India (Mutual Funds) Regulations
1996, as amended till date, and filed with Securities and Exchange Board of India (SEBI). The units being offered for public subscription
have not been approved or disapproved by SEBI, nor has SEBI certified the accuracy or adequacy of this KIM.
UTI - Banking Sector Fund
Investment Objective Investment objective is “capital appreciation” through investments in the stocks of the companies/institutions
engaged in the banking and financial services activities.
Asset Allocation Pattern of
the scheme
Types of Instruments Normal Allocation
(% of Net Assets)
Equity and equity related instruments Atleast 90%
Equity and equity related instruments of the companies / institutions
engaged in the banking services activities Atleast 65%
Cash/Money Market Instruments Upto 10%
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Plans and Options In addition to the Regular plan, there is a Direct Plan.
Both the plans will offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index CNX BANK Index
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Arun Khurana
Performance of the
scheme as on
March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.62%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013.: 0.04
Investment Strategy Within the banking sector, the fund could have companies/institutions, which are private or public, and, Indian or
foreign owned. Weightage in the above sub-segments will vary from time to time depending on the valuations and
the expected growth potential. As the benchmark index is skewed in favour of few stocks, the fund could have
substantial deviations from the respective weightage in the benchmark index so as to achieve diversification within
the sector.
Comparison with existing It is a scheme investing in the banking sector.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
63,503 ` 380.03 Crore
Compounded CNX
Annualised Scheme return % BANK
Returns* Index %
Last 1 year 8.80 11.25
Last 3 years 6.83 6.29
Last 5 years 12.39 11.28
Since Inception 17.72 16.44
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future
UTI - Contra Fund
Investment Objective The fund aims to provide long-term capital appreciation/dividend distribution through investments in listed Indian
equities and equity related instruments. The Fund’s investment policies are based on insights from behavioral
finance. The fund offers an opportunity to benefit from the impact of non-rational investors’ behavior by focussing
on stocks that are currently undervalued because of emotional and behavioral patterns present in the stock market.
The scheme name UTI - Contra Fund is derived from the approach of contrarian investing. Contrarian investing
refers to picking and investing in those stocks which are fundamentally strong. These stocks have a high intrinsic
value but are currently out of favour or have been overlooked as the market has failed to recognize their potential.
The lower price may also be due to investor reaction or behavior towards a company’s recent news / information
such as poor results, adverse publicity, legal issues or any negative information all of which may create doubts /
apprehension about company’s future prospects.
Over a longer period of time the company’s earnings drive the stocks prices and the true market price of a
company is unlocked in tandem with its intrinsic value. The unlocked or realized value signifies / reflects the
company’s fundamentals.
Investing contrarianly allows investor to own a portfolio at a bargained price and gain handsomely at the time
of value realization. Buying “off season” and selling “in season” would be correct description of such portfolio
management.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
Types of Instruments Normal allocation (% of net assets)
Equity & Equity related instruments based on Contrarian Strategy. 80-100%
Debt and money market instruments including securitised debt. 0-20%
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Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment is ` 5000/-.
Subsequent minimum investment under a folio is ` 1000/-and in multiples of ` 1/- thereafter with no upper limit.
Benchmark Index BSE 200
Dividend Policy Dividend distribution, if any, under the scheme will be made subject to availability of distributable surplus and other
factors and a decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Kaushik Basu
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.54%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.49
Investment Strategy The fund will be unrestricted and diversified as the potential of the entire universe of equities present in the market
could be tapped. The fund will adopt a bottom up approach to identify the universe of companies. The Fund will
select stocks that are temporarily undervalued because of psychological patterns present in the stock market. The
fund aims to systematically select Indian equities that are likely to be undervalued and hence outperform. Of the
universe so selected, the stock picking will broadly be guided by the following criteria:
1) The companies which are fundamentally sound and have long term growth potential,
2) The companies have attractive valuations.
Subject to the SEBI Regulations, the asset allocation pattern indicated above in respect of the entire scheme may
change from time to time, keeping in view market conditions, market opportunities, applicable regulations and
political and economic factors. It must be clearly understood that the percentages stated above are only indicative
and not absolute. These proportions can vary substantially depending upon the perception of the Investment
Manager; the intention being at all times to seek to protect the interests of the Unit holders. Asset allocation pattern
may be altered for short period on defensive considerations.
Comparison with existing The scheme works with an approach to benefit from non-rational behaviour of the investor/equity
schemes markets and focus on out of favour stocks. The portfolio would be a diversified portfolio of “out of favour” stocks
which have strong fundamentals.
Number of Folios and Number of Folios Assets Under Management (AUM)
AUM as on March 31, 2013 (Quarterly average as on 31/03/2013)
69,645 ` 142.56 Crore
UTI-Dividend Yield Fund
Investment Objective The investment objective of the Scheme is to provide medium to long term capital gains and / or dividend
distribution by investing predominantly in equity and equity related instruments, which offer high dividend yield.
There can be no assurance that the investment objectives of the scheme will be realised.
Asset Allocation Pattern
of the scheme
Dividend Yield is considered as high if it is greater than the Dividend Yield of the Nifty last released / published by
NSE.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), UTI STRIP
Advantage, Systematic Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are
available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment is ` 5,000/- and any amount thereafter.
Subsequent minimum investment under a folio is ` 1,000/- and in multiples of ` 1/- thereafter with no upper limit.
Types of instruments Normal Allocation (% of Net Assets)
High dividend yield equity & equity related instruments 65-100%
Other equity and equity related instruments 0-35%
Debt & Money Market Instruments 0-10%
Compounded Scheme
Annualised return % BSE 200 %
Returns *
Last 1 year 0.94 6.03
Last 3 years -3.68 1.32
Last 5 years 3.38 3.43
Since Inception 2.90 7.70
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future
6
Benchmark Index BSE-100
Dividend Policy Dividend distribution, if any, under the scheme will be made subject to availability of distributable surplus and other
factors and a decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Swati Kulkarni
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.00%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.56
Investment Strategy Dividend Yield: Dividend Yield is the ratio (expressed as a percentage) of total dividend declared per share for the
previous accounting year divided by the current market price at the time of investment. Dividend yield is calculated
as under:
Dividend = D/P * 100
Where,
D = Total Dividend Per share declared for the previous accounting year.
P = Current Market Price at the time of investment.
The fund manager will invest primarily in equity shares that have a high dividend yield at the time of investment.
Dividend Yield is considered as high if it is greater than the Dividend Yield of the Nifty last released / published
by NSE on its website: www.nseindia.com. Other scrips selection criteria would only be applicable once the initial
dividend yield criteria is fulfilled.
Though the high dividend yield is the prime factor involved in the evaluation of a company’s investment worthiness,
investment decisions would not be based on high dividend yield alone. Other parameters such as Business
Fundamentals, management competence, growth prospects, industry scenario etc. would also be considered.
However, all other factors remaining favorable, investment would be made primarily in high dividend stocks as
mentioned above.
Under normal circumstances atleast 65% of the scheme’s assets would be invested in high dividend yield stocks.
The Scheme could also invest in equity shares of other companies i.e. other than high dividend stocks to the extent
of 35% of the net assets.
Further the scheme may also invest not exceeding 10% of the scheme’s assets in debt instruments such as
Convertible Debentures, Non Convertible Debentures, Secured Premium Notes, Zero Interest Bonds, Deep
Discount Bonds, Short-term deposits, Floating Rates Bonds/Notes and Government securities and Money Market
Instruments like Call Deposit, Repos, Commercial Paper, Certificate of Deposit, Treasury Bills etc. This is for
providing ongoing liquidity & preservation of capital in a bear market.
Subject to the SEBI Regulations, the asset allocation pattern indicated above may change from time to time,
keeping in view market conditions, market opportunities, applicable regulations and political and economic factors.
It must be clearly understood that the percentages stated above are only indicative and not absolute. These
proportions can vary substantially depending upon the perception of the Investment Manager the intention being at
all times to seek to protect the interests of the Unit holders. Asset allocation pattern may be altered for short period
on defensive considerations.
It is perceived that high dividend yielding stocks have a limited downside especially in a falling/bearish market. It is
a general belief that high dividend paying companies are rich in cash generations from its business. At the same
time high dividend yield might indicate underpricing for the stock in spite of its cash generation. This might help to
unlock potential growth for the stock prices. Hence, high dividend yield stocks provide good possibilities of capital
appreciation in a reviving market, resulting in good capital gains.
Thus, the investment strategy of the scheme would focus on identifying and investing in a basket of high dividend
yield companies, which are expected to declare dividends on a consistent basis and also provide an opportunity for
capital appreciation due to the high intrinsic value of the underlying stocks.
Comparison with existing UTI Dividend Yield Fund is a diversified equity fund. The scheme portfolio primarily comprises of stocks
schemes which are high dividend yielding (on historical basis) or potential high dividend yielding stocks. The scheme has a
good mix of companies across various sectors. The scheme aims to distribute regular dividends to its investors.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
588,025 ` 3511.12Crore
Compounded
Annualised Scheme return % BSE 100 %
Returns *
Last 1 year 1.63 6.84
Last 3 years 4.45 1.73
Last 5 years 10.60 3.53
Since Inception 15.96 14.53
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
7
UTI - Energy Fund
Investment Objective Investment objective is capital appreciation through investment in equities and equity related instruments in the
following areas:-
Petro sector covering industries such as oil and gas drilling and exploration, refining of crude oil, distribution of oil,
gas, petro products, pipelines and manufacturing of downstream oil products.
All types of Power generation companies.
Companies which are into production of Ethanol.
Business related to storage of energy and companies involved in business of delivering energy in different forms.
Industrial manufacturing companies which are into manufacturing of equipment related to energy development (like
petro and power), and related areas, pipes/cables and laying them. It will also include manufacturing of bulbs and
related system.
Consultancy & Finance: Companies involved in consulting and financing these businesses.
Asset Allocation Pattern At least 90% investment will be made in stocks in the following areas:-
of the scheme Petro sector covering industries such as oil and gas drilling and exploration, refining of crude oil, distribution of oil,
gas, petro products, pipelines and manufacturing of downstream oil products.
All types of Power generation companies.
Companies which are into production of Ethanol.
Business related to storage of energy and companies involved in business of delivering energy in different forms.
Industrial manufacturing companies which are into manufacturing of equipment related to energy development (like
petro and power), and related areas, pipes/cables and laying them. It will also include manufacturing of bulbs and
related system.
Consultancy & Finance: Companies involved in consulting and financing these businesses.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-
Subsequent minimum amount of investment is ` 1000/-
Benchmark Index UTI Energy Index
Dividend Policy The dividend distribution under the dividend option of the fund will be made annually subject to the fund having
distributable dividend of not less than ` 1.00 per unit.
If in any year the net dividend of the fund is not sufficient to make distribution at the above level, no distribution will
be made for that year and the entire distributable amount of the fund will be carried forward and added to the next
year’s distributable amount of the fund.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.44%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: - 1.20
Investment Strategy The investment universe comprises sectors / sub-sectors including Power Generation & Distribution, Oil
Downstream & Upstream, Capital Equipment Manufacturing, Pipe Manufacturing, Gas Distribution etc.
Comparison with existing UTI Energy Fund is a Thematic Fund focusing on India’s high growth energy sector.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
121,470 ` 288.62 Crore
Compounded UTI
Annualised Scheme return % Energy
Returns * Index %
Last 1 year -7.66 -11.23
Last 3 years -7.99 -11.16
Last 5 years -4.25 -5.89
Since Inception -8.46 -9.63
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
8
UTI - Equity Fund
Investment Objective This Scheme primarily aims at securing for the unitholders capital appreciation by investing the funds of the
scheme in equity shares and convertible and non-convertible bonds/ debentures of companies with good growth
prospects and money market instruments.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-
Subsequent minimum amount of investment is ` 1000/-
Benchmark Index BSE 100
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 1.98%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.01
Investment Strategy The scheme portfolio will primarily comprise of leading stocks in the respective sectors. Large Caps would
comprise around 65% of the portfolio.
Comparison with existing UTI Equity Fund is a diversified equity fund. The scheme will invest across market capitalisation, large as
schemes well as mid caps.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
758,077 ` 2313.23 Crore
Types of Instruments Normal Allocation (% of Net Assets)
Equity & Equity Related Instruments at least 80%
Debt and money market instruments upto 20%
Compounded
Annualised Scheme return % BSE 100 %
Returns *
Last 1 year 8.04 6.84
Last 3 years 6.85 1.73
Last 5 years 9.06 3.53
Since Inception 11.10 9.36
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
UTI - India Lifestyle Fund
Investment Objective The investment objective of the scheme is to provide long term capital appreciation and/or income distribution from a
diversified portfolio of equity and equity related instruments by primarily investing in sectors, areas, companies and
themes that are expected to benefit from changing Indian demographics, Indian lifestyles and rising consumption
pattern. However, there can be no assurance that the investment objective of the scheme will be achieved.
Asset Allocation Pattern
of the scheme
Types of Instruments Normal Allocation (% of Net Assets)
1. (a) Equities & Equity related instruments of sectors / areas likely to 65% - 100%
benefit from changing Indian demographics, Indian lifestyle &
rising consumption pattern*
(b) Other Equity & Equity related instruments** 0% - 35%
2. Debt & Money Market Instruments including securitised Debt *** 0% - 20%
* Equities of Companies can include from the areas/sectors like outsourcing, autos, home goods, transportation,
computer, retail, telecom, consumer finance, food personal care, fashion accessories, restaurants, housing,
healthcare, leisure, entertainment and media. To put it precisely, the scheme will endeavor to invest in
companies/sectors/ areas which benefit directly or indirectly from changing Indian demographics, Indian
lifestyles and rising consumption pattern.
9
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), Systematic Transfer Investment Plan (STRIP) and Automatic Trigger facilities
are available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment is ` 5000/- and in multiples of ` 1/- thereafter without any upper limit.
Benchmark Index S&P CNX 500
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Lalit Nambiar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.41%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.31
Investment Strategy Investment focus and asset allocation strategy
The broad investment strategy of the fund will be to invest in equity and equity related securities of companies
including those in derivative segment which according to the fund manager are playing / can play pivotal role in
driving Indian demographics or consumer pattern. The scheme aims to build and maintain a diversified portfolio
of equity stocks that has the potential to appreciate in the long run. The investment manager will select equity
securities on a bottom-up, stock by stock basis within the overall investment objective of the scheme. In picking
out individual investment opportunities the investment manager will adhere to the defined universe eligible for
investment.
The scheme will predominantly invest in companies that could have the following characteristics:
• Companies that seek growth in their revenues arising out of demand from the younger generation for their
products or services eg. Companies involved in services like auto, home goods, computer hardware, telecom,
Consumer finance etc.
• Companies which are engaged in manufacturing of products or rendering of services that go directly to the
consumer. Eg Companies involved in services like Commodity chemicals (like paints), Sports Goods etc.
• Companies can include from the areas/sectors like Consumption, outsourcing, global competitiveness and
brand centric.
The investment manager will seek both value and growth. The in house research team will help us in identifying
such investment opportunities. The companies wise analysis will focus amongst others on the historical and current
financial conditions of the company, potential value creation /unlocking of value and its impact of earnings growth,
business prospects, strength of management, competitive edge etc.
Comparison with existing The scheme invests in sectors, areas, companies and themes that are expected to benefit from changing Indian
schemes demographics, Indian lifestyles and rising consumption pattern.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
111,697 ` 350.74 Crore
** Other equities as mentioned under 1(b) include stock / companies from the sector / areas which do not fall in
the category 1(a).
*** The scheme may invest upto 20% of its debt portfolio in Securitised debt.
The scheme may seek investment opportunity in the ADR/GDR/Foreign Equity and Debt Securities,
in accordance with guidelines stipulated in this regard by SEBI and RBI time to time. Under normal
circumstances, the scheme shall not have an exposure of more than 10% of its net assets in foreign securities
subject to regulatory limits.
The scheme may take derivatives position based on the opportunities available subject to the guidelines issued
by SEBI from time to time and in line with the overall investment objective of the scheme. These may be taken
to hedge the portfolio, rebalance the same or to undertake any other strategy as permitted under the SEBI
Regulations.
Compounded
Annualised Scheme return % S&P CNX 500 %
Returns *
Last 1 year 11.34 5.13
Last 3 years 9.64 0.96
Last 5 years 8.76 3.01
Since Inception 5.18 3.21
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
10
UTI - Infrastructure Fund
Investment Objective The investment objective of the Scheme is to provide income distribution and / or medium to long term “capital
appreciation” by investing predominantly in equity / equity related instruments in the companies engaged either
directly or indirectly in the infrastructure growth of the Indian economy. However, there is no assurance that the
investment objective of the scheme will be achieved.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index BSE 100
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Sanjay Dongre
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.00%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: - 0.82
Investment Strategy The broad investment strategy of the fund will be to invest in equity and equity related securities of companies
that are engaged either directly or indirectly in the infrastructure growth of the Indian economy, including those
in derivative segment. The scheme aims to build and maintain a diversified portfolio of equity stocks that has
the potential to appreciate in the long run. The investment manager will select equity securities on a bottom-up,
stock by stock basis within the overall investment objective of the scheme. In picking out individual investment
opportunities the investment manager will adhere to the defined universe eligible for investment.
The investment manager will seek both value and growth. The in house research team will help us in identifying
such investment opportunities. The companies wise analysis will focus amongst others on the historical and current
financial conditions of the company, potential value creation /unlocking of value and its impact of earnings growth,
business prospects, strength of management, competitive edge etc. The scheme will invest in companies broadly
within the following areas / sectors of the economy namely.
a) Airports & related services
b) Banking & other related financial services
c) Construction & related industry
d) Electrical & Electronic components
e) Energy including Coal, Oil & Gas, Petroleum, Pipelines etc
f) Engineering
g) Industrial Capital Goods & Products
Types of Instruments Normal Allocation (% of Net Assets)
Equity & Equity related instruments of companies engaged either 65% to 100%
directly or indirectly in the Infrastructure sector.
Debt and Money Market Instruments including Securitised Debt*. 0% to 35%
* The scheme may invest upto 100% of its debt portfolio in Securitised debt.
The scheme may seek investment opportunity in the ADR/GDR/Foreign Equity and Debt Securities, in accordance
with guidelines stipulated in this regard by SEBI and the RBI from time to time. The scheme shall not have an
exposure of more than 10% of its net assets in foreign securities subject to regulatory limits. The scheme may take
derivatives position based on the opportunities available subject to the regulations / guidelines issued by SEBI
from time to time and in line with the overall investment objective of the scheme. These may be taken to hedge the
portfolio, rebalance the same or to undertake any other strategy as permitted under the SEBI Regulations.
Compounded BSE 100
Annualised Scheme return % Index %
Returns *
Last 1 year -4.67 6.84
Last 3 years -9.28 1.73
Last 5 years -5.77 3.53
Since Inception 12.56 13.69
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
11
h) Irrigation & Water Management Services
i) Metals, Minerals & Construction Materials
j) Mining
k) Ports
l) Power & Power Equipments
m) Road & Railways
n) Telecom
o) Transportation & Logistics
p) Urban Infrastructure including Housing & Commercial Infrastructure.
The above list is only indicative and the Fund Manager will have the discretion to invest in all those sectors / areas
which are engaged either directly or indirectly in the infrastructure growth of the country.
Comparison with existing A large cap oriented Infrastructure Fund.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
707,837 ` 1715.79 Crore
UTI - Leadership Equity Fund
Investment Objective The investment objective of the scheme is to achieve long term capital appreciation and/or dividend distribution by
investing in stocks that are “Leaders” in their respective industries/sectors/sub-sectors.
Asset Allocation Pattern
of the scheme
* For Debt investments, the fund will invest in companies where the paper is rated AA+ and above.
“Leaders” tend to be companies with higher market shares, better operating efficiencies, better access to capital
and significant/sustainable competitive advantages. Normally at least 65% of the investments will be restricted to
the top five leading companies of an industry/sector/sub-sector in terms of sales turnover/market share/ market
capitalization.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment is ` 5,000/-.
Subsequent minimum investment under a folio is ` 1,000/- and in multiples of ` 1/- thereafter with no upper limit.
Benchmark Index S&P CNX Nifty
Dividend Policy Dividend distribution, if any, under the scheme will be made subject to availability of distributable surplus and other
factors and a decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Sanjay Dongre
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.31%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.17
Types of Instruments Normal Allocation (% of Net Assets)
Equity & Equity Related Instruments of “leaders” as stated below. 65-100%
Equity and Equity Related Instruments of others including investments 0 – 35%
in potential leaders
Debt* and Money Market Instruments including Securitised debt 0-10%
Compounded
Annualised Scheme return % S&P CNX Nifty %
Returns *
Last 1 year 10.07 7.31
Last 3 years 2.66 2.68
Last 5 years 2.94 3.72
Since Inception 6.61 9.45
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
12
Investment Strategy The scheme will primarily invest in a diversified portfolio of leadership stocks i.e. stocks of companies that are
leaders in their industry/sectors/sub-sectors to achieve long term capital appreciation over time. The scheme
will allow the fund manager to pick stocks that are leaders in their respective categories. “Leaders” tend to
be companies with higher market shares, better operating efficiencies, better access to capital and significant/
sustainable competitive advantages. They tend to give good returns in an economic upswing and are also able to
withstand economic downswings better than other companies. An industry or sector that the fund manager feels
will outperform others, will be selected and then leading companies within that industry/sectors will be picked.
Normally at least 65% of the investments will be restricted to the ‘Leaders’ (top five leading companies of an
industry/sector/ sub-sector in terms of sales turnover/market share/market capitalization). The scheme will also
invest upto 35% in companies that are potential leaders in order to profit from the probable upside potential in the
stock of these companies.
Subject to the SEBI Regulations, the asset allocation pattern indicated above in respect of the entire scheme may
change from time to time, keeping in view market conditions, market opportunities, applicable regulations and
political and economic factors. It must be clearly understood that the percentages stated above are only indicative
and not absolute. These proportions can vary substantially depending upon the perception of the Investment
Manager; the intention being at all times to seek to protect the interests of the Unit holders. Asset allocation pattern
may be altered for short period on defensive considerations.
Comparison with existing The scheme follows top down approach keeping in mind attractiveness of various sectors. After choosing the
schemes sectors which are expected to perform better in future, the scheme selects companies which are leaders/emerging
leaders in those sectors.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
162,411 ` 600.51 Crore
UTI - Master Plus Unit Scheme
Investment Objective Investment objective of the scheme is capital appreciation through investments in equity and equity related
instruments.
Asset Allocation Pattern Equity and equity related instruments, convertible debentures - upto 100%.
of the scheme No fixed allocation will normally be made for Money market instruments. Investment in money market instruments
will be kept to the minimum so as to able to meet the liquidity needs of the scheme.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index BSE Sensex
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Sanjay Dongre
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.19%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.02
Investment Strategy It aims to focus on high growth stocks of BSE 100 index, which has the potential to emerge as industry leaders in
medium term. Hence portfolio of the scheme will present a good blend of industry leaders and emerging industry
leaders.
Comparison with existing It primarily invests in stocks comprising of the BSE 100 Index.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
358,633 ` 887.32 Crore
Compounded
Annualised Scheme return % BSE Sensex %
Returns *
Last 1 year 8.16 8.23
Last 3 years 4.74 2.43
Last 5 years 3.80 3.78
Since Inception 12.65 11.37
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
13
UTI - Master Value Fund
Investment Objective Investment objective of the Scheme is “capital appreciation” through investment in stocks that are relatively
undervalued to their expected long-term earnings growth. The fund will utilise in-depth fundamental research
to evaluate factors such as a company’s financial structure, its competitive position in the market and its
management’s commitment to increasing shareholder value while selecting the universe of stocks for investment
by this fund.
Asset Allocation Pattern Upto 80% of the net assets will be invested in the scrips having any one or more of the following characteristics at
of the scheme the time of acquisition:
(i) Low P/E ratio (PE ratio lower than the market PE or the sector PE) OR
(ii) Attractive dividend yield OR
(iii) Low price to book value ratio OR
(iv) Companies with positive Economic Value Added (EVA)
UTI - Mastershare Unit Scheme
Investment Objective This scheme aims at securing for the unitholders capital appreciation by investing the funds of the scheme in
equity shares, equity-related instruments and fully convertible bonds/debentures of companies. Investment may
also be made in issues of partly convertible debentures/bonds including those issued on rights basis subject to the
condition that, as far as possible, the non-convertible portion of the debentures/bonds so acquired or subscribed
shall be disinvested within a period of twelve months from the date of acquisition.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-
Subsequent minimum amount of investment is ` 1000/-
Benchmark Index BSE – 100
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Swati Kulkarni
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 1.99%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: - 0.12
Investment Strategy This scheme intends to maintain a conservative portfolio, with a disciplined investment strategy of investing only in
fundamentally strong companies. The scheme seeks to pursue the policy of distributing dividend on an annual basis.
Comparison with existing UTI Mastershare is positioned as a highly diversified equity fund investing predominantly in large cap stocks,
schemes aiming to provide a relatively stable and sustainable performance.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
569,330 ` 2321.94 Crore
Type of Security Preferred Allocation Maximum Allocation Minimum Allocation
(% NAV) (% NAV) (% NAV)
Equity & Equity Related 90% 100% 70%
Debt & Money Market 10% 30% 0%
Compounded
Annualised Scheme return % BSE - 100 %
Returns *
Last 1 year 6.66 6.84
Last 3 years 4.09 1.73
Last 5 years 5.97 3.53
Since Inception 12.39 N.A.
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
14
Upto 20% of net assets will be invested in equity / equity related instruments issued by blue chip companies with a
potential for consistent growth and with management of high quality and track record.
Not more than 20% of net assets will be invested in money market instruments.
The endeavour will be to always retain the value orientation of the portfolio. With this objective, the scheme will
regularly book profits in scrips where the valuation of the stocks has increased much higher than the market PE or
the sector PE.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index BSE – 200
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.34%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.64
Investment Strategy The scheme invests in stocks that are relatively undervalued to their intrinsic value and which will create wealth for
the various stakeholders in the medium to long term. Investment tools like low P/E, Low P/Book value and positive
EVA (Economic Value Added) will be used to identify the stocks. The scheme is committed to booking profits
periodically in order to retain the value orientation of the portfolio.
Comparison with existing Master Value Fund is positioned as a pure value fund with clearly defined investment criteria for investing in value
schemes stocks. The fund invests in a blend of small and large cap stocks as per the defined criteria.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
135,113 ` 610.86 Crore
Compounded
Annualised Scheme return % BSE - 200 %
Returns *
Last 1 year 0.31 6.03
Last 3 years 3.62 1.32
Last 5 years 8.37 3.43
Since Inception 19.04 14.20
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
UTI - Mid Cap Fund
Investment Objective Investment objective is “capital appreciation” by investing primarily in mid cap stocks.
Asset Allocation Pattern The Fund would invest, at least 65% of its Net Assets in equity and equity related instruments issued by companies
of the scheme which are constituents of CNX Midcap Index or S&P CNX 500 but not a part of BSE Sensex (30) or Nifty (50), at
the time of investment. Currently, companies having an annual average market capitalisation of less than ` 75
crores would not be considered for investment in the aforesaid portion of the portfolio, in line with the floor specified
in the Benchmark CNX Mid Cap Index. This lower limit of ` 75 crores would change in line with the change in the
lower limit of the market capitalisation criterion in the Benchmark.
Further, no stocks, which are among the top 50 stocks in terms of market capitalisation, will form part of the
aforesaid 65% of the net assets of UTI Mid Cap Fund, at the time of investment.
Upto 35% of the Net Assets would be invested in equity and equity related instruments issued by companies with a
potential for consistent growth and are relatively undervalued to their expected long-term earning growth.
Not more than 20% of net assets will be invested in money market instruments.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available.
15
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-
Subsequent minimum amount of investment is ` 1000/-
Benchmark Index CNX Midcap Index
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.55%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.45
Investment Strategy The entire portfolio is invested in dynamic and well managed, medium sized enterprises with higher growth
potential vis-à-vis their well established counterparts. The scheme will make investments as given in the asset
allocation pattern.
Comparison with existing UTI Mid Cap fund is a pure mid cap fund with the entire portfolio invested in medium sized enterprises.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
65,312 ` 277.96 Crore
Compounded CNX Midcap
Annualised Scheme return % Index %
Returns *
Last 1 year 2.89 -4.02
Last 3 years 2.84 -1.33
Last 5 years 7.28 3.47
Since Inception 14.70 14.13
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
UTI - MNC Fund
Investment Objective The Funds collected under the scheme shall be invested predominantly in stocks of Multinational Corporations and
other liquid stocks.
Asset Allocation Pattern Equity – Maximum allocation 100%
of the scheme Money Market Instruments - No fixed allocation will normally be made for money market instruments. Investment in
money market instruments will be kept to the minimum so as to be able to meet the liquidity needs of the scheme.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index CNX MNC
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Swati Kulkarni
Performance of the scheme
as on March 31, 2013
Compounded
Annualised Scheme return % CNX MNC %
Returns *
Last 1 year 0.87 -3.17
Last 3 years 10.76 2.33
Last 5 years 14.04 8.02
Since Inception 15.82 9.45
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
16
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.57%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.90
Investment Strategy The scheme will predominantly invest only in companies which are forming part of CNX MNC index and / or where
more than 25% of the holding is by the MNC parent and / or where FII / FDI and MNC parent combined holding is
more than 50%.
Comparison with existing The scheme invests predominantly in stocks of Multinational Corporations and other liquid stocks.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
57,784 ` 251.74 Crore
UTI - Nifty Index Fund
Investment Objective The principal investment objective of the scheme is to invest in stocks of companies comprising S&P CNX Nifty
Index and endeavour to achieve return equivalent to Nifty by “passive” investment. The scheme will be managed
by replicating the index in the same weightage as in the S&P CNX Nifty-Index with the intention of minimising the
performance differences between the scheme and the S&P CNX-Nifty Index in capital terms, subject to market
liquidity, costs of trading, management expenses and other factors which may cause tracking error. The scheme
would alter the scrips/weights as and when the same are altered in the S&P CNX-Nifty Index.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), UTI STRIP
Advantage, Systematic Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are
available.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/- under both the options.
Subsequent minimum investment amount is ` 1000/-.
Benchmark Index S&P CNX Nifty
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Kaushik Basu
Performance of the scheme
as on March 31, 2013
Expenses of the scheme Entry Load (As % of NAV) Exit Load (As % of NAV)
Load structure Nil (any application size)
< 15 days 1%
>= 15 days Nil
Actual recurring Period 01-04-2012 to 31-03-2013: 1.57%
expenses For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: - 0.02
Investment Strategy UTI NIF is a low cost pure index Fund which tracks the S&P CNX NIFTY passively. The scheme endeavours to
achieve return equivalent to S&P CNX NIFTY while minimising tracking error.
Comparison with existing UTI-Nifty Index Fund is an Index Fund that will passively replicate its benchmark index S & P CNX NIFTY.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
15,964 ` 169.85 Crore
Types of Instruments Normal Allocation (% of Net Assets)
Equity Instruments Upto 100%
Money Market Instruments Investment in money market instruments will be kept to the minimum
Compounded Scheme
Annualised Returns % S&P CNX Nifty %
Returns *
Last 1 year 7.77 7.31
Last 3 years 2.64 2.68
Last 5 years 3.43 3.72
Since Inception 10.14 9.72
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
17
UTI - Opportunities Fund
Investment Objective This scheme seeks to generate capital appreciation and/or income distribution by investing the funds of the
scheme in equity shares and equity-related instruments. The main focus of this scheme is to capitalize on
opportunities arising in the market by responding to the dynamically changing Indian economy by moving its
investments amongst different sectors as prevailing trends change.
Asset Allocation Pattern
of the Scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment is ` 5,000/-.
Subsequent minimum investment under a folio is ` 1,000/- and in multiples of ` 1/- thereafter with no upper limit.
Benchmark Index BSE 100
Dividend Policy Dividend distribution, if any, under the scheme will be made subject to availability of distributable surplus and other
factors and a decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.09%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.29
Investment Strategy The scheme will primarily invest in equity and equity related instruments. The main highlight of this scheme is
to respond to the dynamically changing Indian economy by moving its investments amongst different sectors as
prevailing trends change. The scheme will allow the fund manager to invest in select sectors based on his views
of the macro economy. UTI-Opportunities Fund will predominantly invest in 4 to 5 sectors that are expected to
outperform the broader market in the short to medium-term.
As markets evolve and grow, new opportunities for growth keep emerging. UTI Opportunities Fund would endeavor
to capture these opportunities to generate wealth for its investors.
The aim of the scheme is to outperform plain vanilla equity funds, which are more diversified but at the same time
minimise the risk arising from pure sector funds while generating a reasonable return.
The fund would invest in companies/sectors, which present good growth opportunities. These companies/sectors
would seek to capitalize on opportunities such as:
1. An opportunity arising in sectors where India’s potential is being acknowledged in the world.
2. An opportunity arising in sectors wherein future growth may be influenced by various economic reforms.
3. An opportunity arising in sectors that currently drives the Indian economy. Subject to the SEBI Regulations,
the asset allocation pattern indicated above in respect of the entire scheme may change from time to time,
keeping in view market conditions, market opportunities, applicable regulations and political and economic
factors. It must be clearly understood that the percentages stated above are only indicative and not absolute.
These proportions can vary substantially depending upon the perception of the Investment Manager; the
intention being at all times to seek to protect the interests of the Unit holders.
Asset allocation pattern may be altered for short period on defensive considerations.
Comparison with existing The scheme is positioned as a dynamic sector allocation scheme. The scheme will, at any given point in time,
schemes invest in only select sectors and will dynamically change the allocation from one sector to another depending on
the potential risk reward. On a risk return profile the scheme is positioned between a diversified equity fund and
sector fund.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
542,717 ` 3511.05 Crore
Types of instruments Normal Allocation (% of Net Assets)
Equity & Equity related Instruments 90-100%
Debt Instruments & Money Market Instruments 0-10%
Compounded
Annualised Scheme Return % BSE 100 %
Returns *
Last 1 year 4.79 6.84
Last 3 years 7.86 1.73
Last 5 years 11.15 3.53
Since Inception 15.32 12.52
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
18
UTI - Pharma & Healthcare Fund
Investment Objective The scheme aims to provide capital appreciation through investments in stocks of companies engaged in
manufacturing of Pharmaceuticals, bulk drugs, formulations and OTC drugs, medical equipment and accessories,
personal healthcare products and also companies owning/managing hospitals etc.
Asset Allocation Pattern At least 90% of investment will be made in stocks of companies engaged in manufacturing of Pharmaceuticals
of the scheme bulk drugs, formulations & OTC drugs, medical equipment and accessories, personal healthcare products and also
companies owning/managing hospitals etc.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index S&P CNX Pharmaceuticals
Dividend Policy The dividend distribution under the dividend option of the fund will be made annually subject to the fund having
distributable dividend of not less than ` 1.00 per unit.
If in any year the net dividend of any of the fund is not sufficient to make distribution at the above level, no
distribution will be made for that year and the entire distributable amount of the fund will be carried forward and
added to the next year’s distributable amount of the fund.
Name of the Fund Manager Lalit Nambiar
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.70%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.42
Investment Strategy The scheme could have companies in the pharmaceutical sector, which are large or small, and Indian or MNC.
As the benchmark index is skewed in favour of few stocks, the scheme could have substantial deviations from the
respective weightages in the benchmark index so as to achieve diversification within the sector. The weightages of
above sub-segments will vary depending on valuations and expected growth potential.
Comparison with existing It is a scheme investing in the pharmaceutical and healthcare sector.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
22,508 ` 103.56 Crores
Compounded S&P CNX
Annualised Scheme return % Pharmaceuticals %
Returns *
Last 1 year 12.35 15.21
Last 3 years 10.04 11.81
Last 5 years 16.67 15.89
Since Inception 13.96 15.08
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
UTI - Services Industries Fund
Investment Objective The scheme aims to provide capital appreciation through investments in stocks of companies engaged in the
business of banking, finance and insurance, education and training, telecom services, travel and tourism, leisure
and entertainment, transportation etc.
Asset Allocation Pattern At least 90% of investment will be made in stocks of companies engaged in the business of banking, finance &
of the scheme insurance, education & training, telecom services, travel & tourism, leisure & entertainment, transportation etc.
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
19
Benchmark Index CNX Service Sector
Dividend Policy The dividend distribution under the dividend option of the fund will be made annually subject to the fund having
distributable dividend of not less than ` 1.00 per unit.
If in any year the net dividend of the fund is not sufficient to make distribution at the above level, no distribution will
be made for that year and the entire distributable amount of the fund will be carried forward and added to the next
year’s distributable amount of the fund.
Name of the Fund Manager Arun Khurana
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.48%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: 0.33
Investment Strategy The scheme primarily invests in companies which provide services or produce products wherein, the value addition
comes more from human resources, than from capital or machines. As the benchmark index is skewed in favour of
few stocks, the fund could have substantial deviations from the respective weightages in the benchmark index so
as to achieve diversification within the sector.
Comparison with existing The scheme invests in the Service sector. Its exposure is diversified amongst various industries in the services and
schemes IT sectors.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
68,354 ` 217.43 Crore
Types of Instruments Normal Allocation
(% of net assets)
Equity and Equity related instruments of top 100 stocks by market capitalisation 65-100%
Other equity or equity related instruments 0-35%
Debt and Money Market instruments including securitised debt.* 0-35%
* The fund may invest upto 100% of its debt portfolio in securitised debt.
UTI - Top 100 Fund
Investment Objective The fund aims to provide long term capital appreciation/dividend distribution by investing predominantly in equity
and equity related instruments of top 100 stocks by market capitalisation. There can be no assurance that the
investment objectives of the scheme will be realised.
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index BSE 100
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Swati Kulkarni
Compounded CNX Service
Annualised Scheme return % Sector %
Returns *
Last 1 year 12.40 8.92
Last 3 years 4.78 4.47
Last 5 years 4.37 5.61
Since Inception 20.23 14.86
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
20
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.32%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: - 0.34
Investment Strategy The investment strategy of primarily restricting the equity portfolio to the Top 100 Indian companies is intended to
reduce risks while maintaining steady growth. The scheme is designed for those investors who seek exposure to
large market capitalization stocks and Growth cum value style of investing. The fund shall invest at least 65% of its
corpus in equity and equity related securities of top 100 Indian companies as measured by market capitalisation on
BSE (stock market worth) and listed on BSE. Risk will also be reduced through a diversification of the portfolio. The
remaining portion of the portfolio will be invested in equity and equity related securities of companies other than
the Top 100 companies which in the opinion of the fund manager have attractive growth prospects and potential to
outperform the broad market indices.
Comparison with existing UTI Top 100 Fund is a fund which primarily invests in large cap companies. The Fund Invests 65% of its assets in
schemes top 100 companies by market capitalization.
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
226,637 ` 612.33 Crore
UTI - Transportation & Logistics Fund
Investment Objective Investment Objective is “capital appreciation” through investments in stocks of the companies engaged in the
transportation and logistics sector
Asset Allocation Pattern
of the scheme
Plans and Options In addition to the existing plan, there is a Direct Plan.
Both the plans offer Growth Option and Dividend Option with Payout and Reinvestment facilities.
Facilities Offered Systematic Investment Plan (SIP), MICRO SIP, Systematic Transfer Investment Plan (STRIP), Systematic
Withdrawal Plan (SWP), Dividend Transfer Plan (DTP) and Automatic Trigger facilities are available
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum amount of initial investment is ` 5000/-.
Subsequent minimum amount of investment is ` 1000/-.
Benchmark Index UTI Transportation & Logistics Index.
Dividend Policy Dividend distribution under the dividend option will be made subject to availability of distributable surplus and a
decision is taken by the Trustees to make dividend distribution.
Name of the Fund Manager Anoop Bhaskar
Performance of the scheme
as on March 31, 2013
*Compounded UTI Transportation
Annualised Scheme return % & Logistics
Returns Index %
Last 1 year -0.37 -0.59
Last 3 years 6.50 6.86
Since Inception 15.05 13.27
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
Types of Instruments Normal Allocation
(% of net assets)
Equity and equity related instruments. Atleast 90%
Equity and equity related instruments of the companies principally engaged in providing
transportation services, companies principally engaged in the design, manufacture,
distribution, or sale of transportation equipment and companies in the logistics sector. Atleast 80%
Cash/money market instruments. Upto 10%
Compounded
Annualised Scheme return % BSE 100%
Returns *
Last 1 year 4.12 6.84
Last 3 years 3.28 1.73
Since Inception 8.29 7.95
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
21
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.71%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013:- 0.67
Investment Strategy The investment universe comprises sectors/sub-sectors including Auto/auto ancillary, Railway, Ports, Airports,
Roads, Shipping, Courier, Logistics and other ancillary sectors catering to Transportation & Logistics.
Comparison with existing UTI Transportation & Logistics Fund is a thematic fund investing in the transportation and logistics sector in India.
schemes
Number of Folios and Number of Folios Assets Under Management (AUM)
AUM as on March 31, 2013 (Quarterly average as on 31/03/2013)
19,390 ` 52.97 Crore
Types of Instruments Normal Allocation (% of Net Assets)
Equity and Equity Related Instruments Minimum - 65% Maximum - 100%
Gold ETFs Minimum - 0% Maximum - 35%
Debt and Money Market Instruments * Minimum - 0% Maximum - 35%
UTI - Wealth Builder Fund – Series II
Investment Objective The objective of the Scheme is to achieve long term capital appreciation by investing predominantly in a diversified
portfolio of equity and equity related instruments along with investments in Gold ETFs and Debt and Money Market
Instruments. However, there can be no assurance that the investment objective of the Scheme will be achieved.
Asset Allocation Pattern
of the scheme
* Debt instruments will also include Securitised Debt which may go upto 100% of the Debt Portfolio.
The scheme may seek investment opportunity in the ADR/GDR/Foreign Equity and Debt Securities, in accordance
with guidelines stipulated in this regard by SEBI and RBI time to time. Under normal circumstances, the scheme
shall not have an exposure of more than 10% of its net assets in foreign securities subject to regulatory limits.
The scheme may take derivatives position based on the opportunities available subject to the guidelines issued
by SEBI from time to time and in line with the overall investment objective of the scheme. These may be taken
to hedge the portfolio, rebalance the same or to undertake any other strategy as permitted under the SEBI
Regulations.
Plans and Options In addition to the Retail Plan, there is a Direct Plan.
Both the plans will offer Growth Option and Dividend Option with Payout and Reinvestment facilities.In case no
option is indicated in the application form, then the default option will be the Growth Option.
Facilities Offered Systematic Investment Plan (SIP) (under Retail Plan only), MICRO SIP (under Retail Plan only) and Systematic
Transfer Investment Plan (STRIP) (under Retail Plan only) and Systematic Withdrawal Plan (SWP) (under Retail
Plan only) Dividend Transfer Plan (DTP) are available.
Restriction on Subscription The Scheme will be open for subscription during each calendar month subject to the condition that not more
than 10% of the number of outstanding units allotted as on the last business day of the previous month would
be available for the sale in the immediately following month. However, the UTI AMC reserves the right to collect
the subscriptions in excess of the said limit of 10% of the outstanding allotted Units. The excess subscription for
allotment of Units will be decided by the Fund Manager of the Scheme on the basis as stated in the case of NFO
period. All such applications in excess of the above 10% limit will be accepted for full allotment.
Similarly, the AMC/Trustee may close such additional subscription by giving one day’s notice in one daily
newspaper and UTI MF website.
However, Subscriptions by way of SIPs/STRIPs will be allowed on all business days at the applicable NAVs
(subject to load) even if the said limit of 10% is exceeded. However, subscriptions through online mode will be
allowed. The subscriptions through online mode will not be reckoned for the purpose of determining the 10% limit.
Regarding subscription through online mode, refer to Statement of Additional Information (SAI) for details.
For Applications submitted through other than online mode or SIPs/STRIPs, Investors are required to check
the Official Points of Acceptance (OPAs) whether the Scheme is open for subscription before submitting
their application forms for subscription of Units of the Scheme failing which the UTI MF/UTI AMC shall not be
responsible/liable in any manner whatsoever.
Minimum Application Amount Minimum Application Amount under all Plans and Options
Minimum initial investment amount is ` 5,000/- and in multiples of ` 1/- thereafter.
Benchmark Index BSE 100 is the benchmark index for the Equity part of the Portfolio, CRISIL Bond Fund Index is the benchmark for
that part of the Portfolio relating to investments in Debt and Money Market Instruments and the Price of Gold as per
SEBI Regulations for Gold ETFs in India is the benchmark in so far it pertains to investments in Gold ETFs.
Dividend Policy Dividend distribution, if any, under the scheme will be made subject to availability of distributable surplus and other
factors and a decision is taken by the Trustee to make dividend distribution.
Name of the Fund Manager Lalit Nambiar
22
Performance of the scheme
as on March 31, 2013
Actual recurring expenses Period 01-04-2012 to 31-03-2013: 2.41%
For details regarding additional expenses charged to the Scheme, please read the related Section under “Features
common to all Schemes”.
Sharpe Ratio Period 01-04-2012 to 31-03-2013: -0.39
Investment Strategy Investment focus and asset allocation strategy
Investment in Equities and Equity related Securities
The broad Investment strategy of the Scheme will be to invest in equity and equity related securities of companies
including those in the derivatives segment. The Scheme aims to build and maintain a diversified portfolio of equity
stocks that has the potential to appreciate in the long run. Companies identified for selection in the portfolio will
have the potential to grow at a reasonable rate in the long run.
Investment in Gold ETFs:
Gold has been generally considered as a safe haven during times of economic upheavals and volatile equity
markets. Since Gold traded internationally is typically denominated in US dollars, any negative news about the US
economy, adversely impacts the value of US Dollar against other currencies of the world and acts as one of the
main factors for the rise in Gold Prices, as investors, especially those in US, generally seek to invest in Gold and
Gold ETFs to protect their financial risk during such times.
The Scheme may invest in Gold ETFs to manage the volatility of equity returns and downturn in equity markets
depending upon the market conditions.
Comparison with existing UTI Wealth Builder II has a diversified equity portfolio with gold exposure through investment in Gold ETFs.
schemes
Number of Folios and AUM Number of Folios Assets Under Management (AUM)
as on March 31, 2013 (Quarterly average as on 31/03/2013)
118,725 ` 590.20 Crore
Features Common to all Schemes
Risk Profile of the Scheme Mutual Fund Units involve investment risks including the possible loss of principal. Please read the SID carefully for
details on risk factors before investment. Scheme specific Risk Factors are summarized below:
UTI – Nifty Index Fund (UTI-NIF)
(a) UTI - NIF are passively managed index funds i.e. the amount collected under the scheme is invested in
securities of companies comprising the S&P CNX-Nifty in the same weightages as they have in the Nifty.
(b) The composition of the S&P CNX – Nifty is subject to changes that may be effected periodically by the IISL.
(c) Performance of the S&P CNX – Nifty will have a direct bearing on the performance of and UTI - NIF.
(d) The extent of the Tracking error may have an impact on the performance of the UTI - NIF.
UTI - MNC Fund
There may be risk associated due to limited diversification of the portfolio.
UTI - Master Value Fund
The scheme will use a bottom up approach to investing. While the scheme will utilise in depth fundamental
research to select stocks, there is always a potentially high element of risk. This risk arises from investing in mid
cap and small cap stocks where the business is still young and growing and the business model in some cases is
vulnerable to changes in macroeconomic or sector specific conditions.
UTI – Mastershare Unit Scheme, UTI - Dividend Yield Fund, UTI - Leadership Equity Fund, UTI -
Opportunities Fund & UTI - Contra Fund
The scheme intends to deploy funds in money market instruments to maintain liquidity. To the extent that some
assets/funds are deployed in money market instruments, the scheme will be subject to credit risk as well as
settlement risk which might affect the liquidity of the scheme.
UTI - Dividend Yield Fund
Risk associated with high dividend yield stocks:
Though the investments would be in companies having a track record of dividend payments, the performance of
the scheme would inter-alia depend on the ability of these companies to sustain dividends in future. These stocks,
at times, may be relatively less liquid as compared to growth stocks.
UTI - Leadership Equity Fund
The investment focus is on select companies/industries/sectors of the market and hence the portfolio may be
concentrated in these companies/sectors/industries. This may make the portfolio vulnerable to factors that may
affect these companies/sectors/industries in general thereby leading to increased volatility in the movement of the
scheme’s NAV.
UTI - Opportunities Fund
The investment focus is on select sectors of the market and hence the portfolio will be concentrated in select
*Compounded #Composite
Annualised Scheme return % Benchmark
Returns %
Last 1 year 4.75 6.12
Last 3 years 8.37 8.69
Since Inception 19.51 21.60
# BSE 100 is the benchmark index for the Equity part of the
Portfolio, CRISIL Bond Fund Index is the benchmark for
that part of the Portfolio relating to investments in Debt and
Money Market Instruments and the Price of Gold as per SEBI
Regulations for Gold ETFs in India is the benchmark in so far it
pertains to investments in Gold ETFs.
* Computed on compounded annualised basis.
Past performance may or may not be sustained in future.
23
companies across these select sectors. This may make the portfolio vulnerable to factors that may affect these
sectors in general thereby leading to increased volatility in the movement of the scheme’s NAV.
UTI - Contra Fund
(a) Time Risk is inherent as to how long will it take for the companies to realize the true value can not be
predicted. Further all times there may be risk of short term under performance.
(b) The scheme aims to invest in stocks which are undervalued as they are out of favour currently with the
anticipation that soon the stock will find their true price. But, due to various reasons it may so happen that
such stocks continue to languish and are not able to attain the price discovery.
UTI - Banking Sector Fund
(a) The Bank’s performance is highly correlated to the performance of the economy and the financial markets
which in turn depends on the domestic economic growth, state of the global economy and business &
consumer confidence, among other factors. Any event disturbing the dynamic balance of these diverse factors
would directly or indirectly affect the performance of the Bank.
(b) Increased competition in the banking sector has raised the overall standards in respect of the level of quality
of services demanded. Thus, the banks are vulnerable to any changes in the quality of services demanded /
provided.
(c) Any changes in the Govt. policy pertaining to taxation / regulations etc might have significant bearing on the
sector. Also any change in structural reforms / banking regulations act can have an adverse affect on the
working of the banks.
(d) The financial sector is also vulnerable to the interest rate movements / exchange rate fluctuations which might
adversely affect their profitability.
UTI - Infrastructure Fund
(a) Sectors like Metals, Building Materials, Oil & Gas, Chemicals, etc. are exposed to the variations in commodity
prices like metal, crude, polymers, etc. Hence any domestic or international factors affecting the price
movements will have an adverse affect.
(b) Any changes in Govt. policy / regulation / reforms etc. affecting infrastructure industries such as Power,
Housing, Infrastructure, etc may have a significant bearing on the companies.
UTI - Mid Cap Fund
(a) Due to general illiquidity in the small cap securities, realisation of investment objective may take more time
than expected.
(b) These companies being smaller in size may get affected adversely due to prolonged recession /economic
slowdown.
UTI - Transportation & Logistics Fund
(a) The automobile sector is vulnerable to the domestic as well as the world economy. Events such as recession,
war, monsoon, political upturn, etc. in India as well as in the export markets may adversely affect the
companies.
(b) Taxes and other levies imposed by the GoI on the acquisition and ownership of vehicles as well as increase in
fuel prices may have an adverse effect on the demand.
(c) Excessive competition from domestic as well as international players will have a significant bearing on the
sector.
(d) Price variations in the key input materials of auto components may affect profitability to that extent.
(e) The companies are subject to risks arising from exchange rate fluctuations.
(f) Changes in emission norms affect the costs and hence profitability of auto companies.
Sector Specific Risk Factors UTI - Growth Sectors Fund
The objective of the scheme is to invest predominantly in the stocks of respective sectors as indicated elsewhere
in the Scheme Information Document or of those sectors which may be added later; which may be subject to the
sector specific risks due to the change in government policies relating to the concerned sector and sector specific
new developments in the Indian and the international markets. There is a risk associated with non-diversification of
the portfolio of a fund across different sectors of the economy.
Energy Fund
A fluctuation in the international crude prices will impact the margins of oil marketing companies negatively in
case they are not able to pass on the higher cost to the consumers. As most of the companies in the Petro-
Sector are in the public sector, any action or inaction on the part of Government may affect the valuation of oil
companies. Petrochemicals being commodities, their prices are subject to cyclical fluctuations and thus may affect
the profitability of companies engaged in their production.
Pharma and Health Care Fund
(a) Pricing of drugs is subject to price control and any reduction in prices of bulk drugs/formulations manufactured
by pharma companies may affect the valuation of the concerned companies adversely.
(b) Proposed pruning of list of drugs from Drug Price Control Order (DPCO) may take longer than expected.
(c) High competition in the generics market may impact the margins of Indian pharma companies.
(d) Other barriers for growth of pharma companies could be inadequate patent infrastructure, weak redressal
system for patent infringement etc.
(e) INR appreciation may hit Pharma companies competitiveness and margins.
Services Sector Fund
(a) Prolonged recession / economic slow–down may affect most of the industries in the service sector.
(b) Increased competition in most of the industries in the service sector, has raised the overall standards in
respect of the level of quality of services demanded. Thus, the companies in this sector are vulnerable to any
changes in the quality of services demanded / provided.
(c) Presence of unorganized sector on account of low capital requirements and few entry barriers poses a
significant risk to the organized players in some of the industries engaged in service sector.
(d) Any changes in the Govt. policy pertaining to taxation / regulations etc might have significant bearing on the
services sector.
UTI - Wealth Builder Fund – Series II
Risk factors relating to investments in Gold ETFs:
(a) The price of gold may fluctuate due to various reasons which are:
(i) Global gold supplies and demand, which is influenced by factors such as forward selling by gold
24
producers, purchases made by gold producers to unwind gold hedge positions, central bank purchases
and sales, and productions and cost levels in major gold producing countries such as the South Africa,
the United States and Australia.
(ii) Investor’s expectations with respect to the rate of inflation.
(iii) Currency exchange rates.
(iv) Interest rates
(v) Investment and trading activities of commodity funds/hedge funds.
(vi) Global or regional political, economic or financial events and situations.
In addition, there is no assurance that gold will maintain its long-term value in terms of purchasing power
in the future. In the event that the price of gold declines, the value of investment in units in which the
scheme has invested will, in general decline proportionately.
(b) There may be certain circumstances that may motivate large-scale sales of gold by the issuer of Gold ETFs
which could decrease the price of gold and adversely affect the value of investment in the Gold ETFs in which
the Scheme has invested.
(c) The gold underlying the Gold ETFs in which the Scheme has invested may be subject to loss, damage, theft,
or restriction on access. There is a risk that part or all of the underlying gold of the Gold ETFs could be lost,
damaged or stolen. Access to the said gold could also be restricted by natural events (such as earthquake) or
human actions (such as terrorist attack). Any of these actions may adversely affect the investment value of the
Gold ETFs in which the Scheme has invested.
(d) Impact cost risk:
Impact costs are implicit costs also which is paid by liquidity demanders to liquidity providers. Generally, the
best bid and ask prices quoted in the market are for only small transactions. Larger transactions may have to
be executed at even less favorable prices. The additional cost is called an impact cost. For eg. if the ruling
market price of a security is ` 500/- one may be able to buy/sell small quantities for that price. But, if one
wishes to buy/sell huge quantities he might have to pay /receive higher/lower price.
Similarly, absence of adequate liquidity of Gold ETF units may impact the cost of purchasing and selling the
Gold ETF units.
(e) Changes in indirect taxes like custom duties for import, sales tax, VAT or any other levies will have an impact
on the valuation of gold and consequently the NAV of the units in which the scheme has invested.
Direct Plan Direct Plan is only for investors who purchase/subscribe units directly with the Fund and is not available for
investors who route their investments through a Distributor.
All categories of Investors (whether existing or new Unitholders) as permitted under the SID of the Fund/Scheme
are eligible to subscribe under Direct Plan. Investments under the Direct Plan can be made through various modes
offered by the Fund/Scheme (except all Platform(s) where investor’s applications for subscription of units are
routed through Distributors).
The Direct Plan will be a separate plan under the Fund/Scheme and shall have a lower expense ratio excluding
distribution expenses, commission etc and will have a separate NAV. No commission for distribution of units will be
paid/charged under Direct Plan.
How to apply: Investors subscribing under Direct Plan of UTI-Opportunities Fund (example scheme) will have to
indicate “Direct Plan” against the Scheme name in the application form, as for example., “UTI-Opportunities Fund-
Direct Plan” .
Investors should also indicate “Direct” in the ARN column of the application form. However, in case Distributor code
is mentioned in the application form, but “Direct Plan” is indicated against the Scheme name, the Distributor code
will be ignored and the application will be processed under Direct Plan. Further, where an application is received for
Regular Plan without Distributor code or “Direct” mentioned in the ARN Column, the application will be processed
under Direct Plan.
Scheme characteristics of Direct Plan: Scheme characteristics such as Investment Objective, Asset Allocation
Pattern, Investment Strategy, risk factors, facilities offered and terms and conditions including load structure will be
the same for the Regular Plan and the Direct Plan except that:
(a) Switch of investments from Regular Plan through a distributor with ARN Code (whether the investments
were made before or after January 1, 2013) to Direct Plan shall be subject to applicable exit load, if any. The
holding period for applicability of load will be considered from the date of such switch to Direct Plan.
(b) However, no exit load shall be levied for switch of investments from Regular Plan made directly without an
ARN Code (whether the investments were made before or after January 1, 2013) to Direct Plan of the scheme
(subject to statutory taxes and levies, if any). The holding period for applicability of load will be considered
from the date of initial investment in the Regular Plan.
(c) No exit load shall be levied in case of switches from Direct Plan to Regular Plan.
(d) Portfolio of the Scheme under the Regular Plan and Direct Plan will be common.
(e) Eligible investors/modes for applying: All categories of investors (whether existing or new unitholders) as
permitted under the SID of the eligible schemes are eligible to subscribe under Direct Plan.
(f) Investments through systematic routes: In case of Systematic Investment Plan (SIP)/ Systematic Transfer
Investment Plan (STRIP)/ Dividend Transfer Plans (DTP), registered prior to January 1, 2013 without any
distributor code under the Regular Plan of all Schemes, installments falling on or after the January 1, 2013 will
automatically be processed under the Direct Plan.
Dedicated Fund Manager Arpit Kapoor
for Overseas investments
Applicable NAV Purchase : For Purchases less than ` 2 lacs
Cut-off Timing Applicable NAV
Upto 3 p.m. NAV of the day of receipt of the
application.
After 3 p.m. NAV of the next business day.
Within business NAV of the day on which cheque /
hours. demand draft is credited to the
Scheme/Plan.
Operation
Valid applications received with local cheques / demand
drafts payable at par at the place where the application is
received.
Valid applications received with local cheques / demand
drafts payable at par at the place where the application
is received.
Valid applications received with outstation cheques /
demand drafts (for the schemes/investors as permitted
in the SID) not payable at par at the place where the
application is received.
25
Risk Mitigation process Restriction on Third Party Payments
against Third Party Third party payments are not accepted in any of the schemes of UTI Mutual Fund subject to certain exceptions.
Cheques “Third Party Payments” means the payment made through instruments issued from an account other than that of the
beneficiary investor mentioned in the application form. However, in case of payments from a joint bank account, the
first named applicant/investor has to be one of the joint holders of the bank account from which payment is made.
The exceptions, inter-alia, includes:-
Payment by Parents/Grand-Parents/related persons on behalf of a minor in consideration of natural love and
affection or as gift for a value not exceeding ` 50,000/- (each regular purchase or per SIP installment).
Further, this restriction is not applicable for payment made by a guardian whose name is registered in the records
of UTI Mutual Fund in that folio.
For further details, please refer to SAI.
Exit load on death of an In the case of the death of an unitholder, no exit load (if applicable) will be charged for redemption of units by the
unitholder claimant under certain circumstances and subject to fulfilling of prescribed procedural requirements. For further
details refer to SAI.
Despatch of Redemption Within 10 business days of the receipt of the redemption request at the authorised centre of UTI Mutual Fund.
Request
Name of the Trustee Company UTI Trustee Company Private Limited
Expenses of the Scheme
i) Load Structure Entry Load (As % of NAV) Exit Load (As % of NAV)
For all schemes
except UTI – NIF NIL (any application size) < 1 year – 1%
>= 1 year - Nil
ii) Recurring expenses (a) First ` 100 crores of the average daily net assets - 2.50%
for all schemes (b) Next ` 300 crores of the average daily net assets - 2.25%
except UTI-NIF (c) Next ` 300 crores of the average daily net assets - 2.00%
(d) Balance - 1.75%
Recurring expenses The investment management and advisory fees shall not exceed three fourths of one percent (0.75%) of the daily
for UTI-NIF average net assets. Total expenses of the schemes including investment management and advisory fees shall not
exceed one and half of one percent (1.50%) of the weekly average net assets.
Expenses in addition to In addition to the recurring expenses stated for the respective Scheme(s) under the paragraph ‘Recurring
Recurring Expenses expenses’, the following expenses including Service Tax, as may be applicable, shall be charged to the
Scheme(s):-
(a) Expenses in respect of new inflows from beyond top 15 cities (as per SEBI Regulations/Circulars) subject to
a maximum of 0.30% of the daily net assets for meeting distribution expenses incurred in bringing the inflows
from such cities.
(b) Expenses not exceeding 0.20% of the daily net assets towards investment management and advisory fees
(including service tax) and various other sub-heads of recurring expenses as mentioned under Regulation
52(2) and 52(4) of the SEBI (Mutual Fund) Regulations respectively.
(c) Brokerage and transaction costs not exceeding 0.12% of the value of trades in case of cash market
transaction and 0.05% of the value of trades in the case of derivatives transactions.
Tax Treatment for the Investor is advised to refer to the details in the Statement of Additional Information and also independently refer to
Investors (Unitholders) his tax advisor.
Daily Net Asset Value The NAVs will be declared on all business days and will be issued to two daily newspapers for publication and will
(NAV) Publication also be available on website of UTI Mutual Fund, www.utimf.com and / or website of AMFI namely www.amfiindia.
com. You can also call us at 1800 22 1230 (toll free number) or (022) 2654 6200 (non toll free number).
Eligible Investors An application for issue of units may be made by any resident or non-resident Indian as well as non-individuals as
indicated below:
(a) a resident individual or a NRI or a person of Indian origin residing abroad, either singly or jointly with another
or upto two other individuals on joint/anyone or survivor basis. An individual may make an application in his
personal capacity or in his capacity as an officer of a Government or of a Court;
(b) a parent, step-parent or other lawful guardian on behalf of a resident or a NRI minor. Units can be held on
‘Joint’ or ‘Anyone or Survivor’ basis.
(c) an association of persons or body of individuals whether incorporated or not;
(d) a Hindu Undivided Family - both resident and non-resident;
(e) a body corporate including a company formed under the Companies Act, 1956 or established under State or
Central Law for the time being in force;
(f) a bank including a scheduled bank, a regional rural bank, a co-operative bank etc.;
(g) an eligible trust including Private Trust being irrevocable trust and created by an instrument in writing;
(h) a society as defined under the scheme;
(i) a Financial Institution;
(j) an Army/Navy/ Air Force/Paramilitary Fund;
(k) a partnership Firm;
Purchase : For Purchases of ` 2 lacs and above
Operation Cut-off Timing Applicable NAV
Valid applications received Upto 3 p.m. NAV of the day (or immediately following Business Day if that day
with cheques / demand drafts. is not a Business Day) on which the funds are available for
utilization shall be applicable.
The above mentioned rule will be applicable irrespective of the date of debit to investor’s account. ` 2 lacs shall be
considered after considering multiple applications received from the investor under all the schemes/plans on the
day and also under all modes of investment i.e. additional purchase, Systematic Investment Plan (SIP), Systematic
Transfer Investment Plan (STRIP), Switch, etc. The investor will be identified through PAN.
Redemption :
Operation Cut-off Timing Applicable NAV
Valid applications received Upto 3 p.m. NAV of the day of receipt of the application
Valid applications received After 3 p.m. NAV of the next business day.
26
(l) FIIs registered with SEBI;
(m) Mutual Funds registered with SEBI;
(n) Scientific and Industrial Research Organisations;
(o) Multilateral Funding Agencies / Bodies Corporate incorporated outside India with the permission of
Government of India/Reserve Bank of India;
(p) Other schemes of UTI Mutual Fund subject to the conditions and limits prescribed by SEBI Regulations.
(q) Such other individuals / institutions / body corporate etc., as may be decided by the AMC from time to time, so
long as wherever applicable they are in conformity with SEBI Regulations.
(r) Subject to the Regulations, the Sponsors, the Mutual Funds managed by them, their associates and the AMC
may acquire units of the scheme. The AMC shall not be entitled to charge any fees on its investments in the
scheme.
The fund reserves the right to include/exclude, new/existing categories of investors to invest in the schemes
from time to time, subject to SEBI Regulations, if any.
For the purposes of carrying out the transactions by Foreign Nationals in the units of the Schemes of UTI
Mutual Fund,
1. Foreign Nationals shall be resident in India as per the provisions of the Foreign Exchange Management
Act, 1999.
2. Foreign Nationals are required to comply (including taking necessary approvals) with all the laws, rules,
regulations, guidelines and circulars, as may be issued/applicable from time to time, including but not
limited to and pertaining to anti money laundering, know your customer (KYC), income tax, foreign
exchange management (the Foreign Exchange Management Act, 1999 and the Rules and Regulations
made thereunder) including in all the applicable jurisdictions.
The Fund reserves the right to include/exclude, new/existing categories of investors to invest in the schemes from
time to time subject to SEBI Regulations, if any.
Qualified Foreign Investors (QFIs) shall mean a person resident in a country that is compliant with Financial Action
Task Force (FATF) standards and that is a signatory to International Organization of Securities Commission’s
(IOSCO’s) Multilateral Memorandum of Understanding, provided that
- Such person is not resident in India and
- Such person is not registered with SEBI as Foreign Institutional Investor or sub account.
Explanation: For the above purpose,
1. The term “Person” shall carry the same meaning under Section 2(31) of the Income Tax Act, 1961.
2. The phrase “resident in India” shall carry the same meaning as in the Income Tax Act, 1961
3. “resident” in a country, other than India, shall mean resident as per the direct tax laws of that country.
QFIs are eligible to make investment in the equity oriented schemes of UTI Mutual Fund as may be specified by
UTI AMC from time to time.
For Investor Name and Address of Registrar All investors could refer their grievances giving full particulars of
Grievance investment at the following address:
please contact M/s. Karvy Computershare Pvt. Ltd, Shri G S Arora
Narayani Mansion, H. No. 1-90-2/10/E, Assistant Vice President – Department of Operations
Vittalrao Nagar, Madhapur, UTI Asset Management Company Ltd.,
Hyderabad -500 081 UTI Tower, Gn Block, Bandra-Kurla Complex,
Tel.: 040-23312454 Bandra (East), Mumbai – 400 051.
Fax: 040-23115503 Tel: 022-6678 6666, Fax: 022-26523031
Email: uti [at] karvy [dot] com Investors may post their grievances at our
website: www.utimf.com or e-mail us at service [at] uti [dot] co [dot] in
Transferability of units Units of the schemes held in dematerialised form shall be freely transferable from one demat account to another
demat account. For details of terms and conditions governing such transferability of units, kindly refer to the
Statement of Additional Information.
Investment in the Units of the schemes through SIP route under demat mode also is available with effect from 1st
January 2012.
The facility of conversion of units held in Dematerialisation (Demat) mode into physical by way of Rematerialisation
(Remat) for investments held under various options of the Scheme(s) / Plan(s) of the UTI Mutual Fund including
units held under Systematic Investment Plan (SIP), is extended, wherever Demat facility is available, with effect
from April 16, 2012. For further details please refer to SAI.
Unitholders Information Accounts statement at intervals mentioned in SID/SAI of specific schemes and abridged annual report shall be
provided to investors by post / any other mode. Half-yearly scheme portfolio disclosure will be mailed to unitholders
or published in the newspapers as permitted under SEBI (Mutual Funds) Regulations, 1996.
Risk Mitigation Factors Type of Risk Risk Mitigation Strategies
Non-adherence to the various System control. Continuous review and management of schemes’ portfolio.
Asset allocation limits, as per Internal norms/ process on equity investments & monthly review thereof.
the Regulations / SID
Market Risk Controlling stock level/sector level exposure norms. Periodic review of strategy
and performance of the schemes as compared to benchmarks / peer group.
Periodic detailed risk analysis. Independent Internal Research.
Liquidity Risk Investments will be made in debt, money market instruments and equity and
equity related instruments having adequate liquidity in the secondary market.
Periodic Review of exposure to Illiquid Securities.
Credit Risk Well laid out norms for investing in debt instruments. Securities rated below
prescribed grade are generally backed by adequate collaterals. Review
of Credit ratings and Companies’ Financials as per the laid down process.
Review of credit profile of portfolio, industry developments in the credit ratings
movements and investment decisions. Periodic review of sector-wise debt
exposure & stipulation of restraints, wherever required.
27
Disclaimer
1. UTI - Services Industries Fund, UTI - MNC Fund, UTI - Pharma & Healthcare Fund, UTI - Nifty Index Fund, UTI - Leadership Equity Fund and
UTI - Mid Cap Fund which are benchmarked to the indices as indicated in the KIM are not sponsored, endorsed, sold or promoted by India
Index Services & Products Limited (IISL). IISL is not responsible for any errors or omissions or the results obtained from the use of such index
and in no event shall IISL have any liability to any party for any damages of whatsoever nature (including lost profits) resulted to such party
due to purchase or sale or otherwise of such product benchmarked to such index.
2. UTI Banking Sector Fund
The Product is not sponsored, endorsed, sold or promoted by India Index Services & Products Limited ("IISL"). IISL does not make any
representation or warranty, express or implied, to the owners of the Product or any member of the public regarding the advisability of investing
in securities generally or in the Product particularly or the ability of the CNX Bank Index to track general stock market performance in India.
The relationship of IISL to the Issuer is only in respect of the licensing of certain trademarks and trade names of its Index which is determined,
composed and calculated by IISL without regard to the Issuer or the Product. IISL does not have any obligation to take the needs of the Issuer
or the owners of the Product into consideration in determining, composing or calculating the CNX Bank Index. IISL is not responsible for or has
participated in the determination of the timing of, prices at, or quantities of the Product to be issued or in the determination or calculation of the
equation by which the Product is to be converted into cash. IISL has no obligation or liability in connection with the administration, marketing or
trading of the Product.
IISL do not guarantee the accuracy and/or the completeness of the CNX Bank Index or any data included therein and they shall have no
liability for any errors, omissions, or interruptions therein. IISL does not make any warranty, express or implied, as to results to be obtained by
the Issuer, owners of the Product, or any other person or entity from the use of the CNX Bank Index or any data included therein. IISL makes
no express or implied warranties, and expressly disclaim all warranties of merchantability or fitness for a particular purpose or use with respect
to the index or any data included therein. Without limiting any of the foregoing, IISL expressly disclaim any and all liability for any damages or
losses arising out of or related to the Product, including any and all direct, special, punitive, indirect, or consequential damages (including lost
profits), even if notified of the possibility of such damages.
3. UTI - Energy Fund & UTI - Transportation & Logistics Fund
The UTI - Energy Fund & UTI - Transportation & Logistics Fund are not sponsored, endorsed, sold or promoted by India Index Services
& Products Limited (IISL). UTI Energy Index & UTI Transportation & Logistics Index have been exclusively customized for UTI Asset
Management Company Ltd. for UTI - Energy Fund and UTI - Transportation and Logistics Fund respectively and have been developed and
are being maintained as per the specifications and requirements of UTI Asset Management Company. IISL does not make any representation
or warranty, express or implied regarding the advisability of investing in the products linked to the UTI Energy Index & UTI Transportation &
Logistics Index and availing the services generally or particularly or the ability of UTI Energy Index & UTI Transportation & Logistics Index
to track general stock market performance in India. The relationship of IISL to UTI Asset Management Company Ltd. is with respect to the
supply of data and information regarding the UTI Energy Index & UTI Transportation & Logistics Index which are determined, composed and
calculated by IISL without regard to UTI Asset Management Company Ltd. and its information product(s) or services offered or distributed. IISL
have no obligation or liability in connection with the administration, marketing or trading of the information product(s) based on UTI Energy
Index & UTI Transportation & Logistics Index.
IISL does not guarantee the accuracy and/or the completeness of the UTI Energy Index & UTI Transportation & Logistics Index or any data
included therein and they shall have no liability for any errors, omissions, or interruptions therein. IISL does not make any warranty, express
or implied, as to the results to be obtained by UTI Asset Management Company owners of the Product, or any other persons or entities from
the use of UTI Energy Index & UTI Transportation & Logistics Index or any data included therein. IISL make no express or implied warranties
and expressly disclaim all warranties of merchantability or fitness for a particular purpose or use with respect to the UTI Energy Index & UTI
Transportation & Logistics Index or any data included therein. Without limiting any of the foregoing, in no event shall IISL have any liability for
any special, punitive, indirect or consequential damages (including lost profits), even if notified of the possibility of such damages.
IISL has taken due care and caution in development, compilation, maintenance and dissemination of the UTI Energy Index & UTI
Transportation & Logistics Index as per the requirements, specifications and instructions of the UTI Asset Management Company Ltd.
Information has been obtained by IISL from sources which it considers reliable. However, IISL does not guarantee the accuracy, adequacy or
completeness of information and is not responsible for any errors or omissions or for the results obtained from the use of such information.
IISL is also not responsible for any errors in transmission.
Date: April 11, 2013
28
GENERAL INSTRUCTIONS FOR FILLING
THE APPLICATION FORM
(a) Please read the terms of the Key Information Memorandum, Scheme Information Documents and Statement of Additional
Information carefully before filling the Application Form. Investors should also apprise themselves of the prevailing Load
structure on the date of submitting the Application Form. Investors are deemed to have accepted the terms subject to which
this offer is being made and bind themselves to the terms upon signing the Application Form and tendering payment.
(b) Before submission of application form at UTI Financial Centres and other authorised collection centres investors may please
ensure that the form has been filled in completely and signed by all the applicants properly as incomplete application is liable
to be rejected.
(c) NRI applicants should preferably submit the application at NRI Branch, Mumbai, Dubai Representative Office or any Financial
Centre of UTI AMC along with NR(E) / NR(O) cheque or a rupee draft payable at the place where the application is submitted.
(d) Please write the application serial on the reverse of the cheque / draft.
(e) Please fill in the names of the applicant(s) / beneficiary / alternate child (if any) / institution / parent or lawful guardian / minor /
alternate applicant / nominee etc. at the appropriate places in the application form. PIN code no. must be given with address to
avoid delay / loss in transit.
(f) Attach any one of the documents as proof of date of birth and relationship with minor viz., birth certificate, School leaving
certificate/mark sheet issued by Higher Secondary Board of respective states, ICSE, CBSE etc., Passport of the minor or any
other suitable proof evidencing the date of birth and relationship with the minor.
(g) It is mandatory for an applicant to furnish full and correct particulars of bank account such as nature and number of the
account, name and address of the bank, name of the branch, MICR code of the branch (where applicable) etc. at the
appropriate place in the application form. Application without such bank particulars is liable to be rejected. If the credit
of dividend distribution is delayed or not effected at all for reason of incomplete or incorrect information furnished by the
applicant, UTI AMC cannot be held responsible.
(h) If you have invested through a distributor, kindly specify the Name and ARN Code, Sub ARN Code of the distributor, else
for Direct Investment, please mention “Direct” in the Column “Name & Broker Code/ARN / Sub ARN Code”. In case nothing
is specified, then by default, the Broker Code will be treated as Direct and the application form will be treated as Direct
Application.
(i) Transaction Charges
Pursuant to SEBI circular no. CIR/IMD/DF/13/2011 dated August 22, 2011, a transaction charge of ` 100/- for existing
investors and ` 150/- in the case of first time investor in Mutual Funds, per subscription of ` 10,000/- and above, respectively,
is to be paid to the distributors of UTI Mutual Fund products. However, there shall be no transaction charges on direct
investment/s.
There shall be no transaction charge on subscription below ` 10,000/-.
The transaction charge, if any, shall be deducted by UTI AMC from the subscription amount and paid to the distributor and the
balance shall be invested. Allocation of Units under the scheme will be Net of Transaction Charges. The Statement of Account
(SOA) would also reflect the same.
Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors’
assessment of various factors including the service rendered by the distributor.
For details on opting in/out by distributors for charging transaction charges etc., refer to SAI/SID.
(j) Direct Plan
Direct Plan is for all category of eligible investors (whether existing or new Unitholders) who purchase/subscribe Units directly
with the Fund and is not available for investors who route their investments through a Distributor.
The Direct Plan will be a separate plan under the Fund/Scheme and shall have a lower expense ratio excluding distribution
expenses, commission etc and will have a separate NAV. No commission shall be paid from Direct Plan. Portfolio of the
scheme under the Existing Plan and Direct Plan will be common.
For further details refer to SAI.
(k) ‘Friend In Need’ details will be used by UTI MF only for ascertaining the present address of the unit holder (without disclosing
investment details of the investor) if no response is received from the unit holder on sending communication in any form to his/
her registered address or e-mail ID, if available, atleast for two occasions. For further details, please refer to SAI.
29
(l) SEBI has made it mandatory for all applicants, irrespective of amount of investment, to furnish Income Tax PAN (PAN not
applicable to Micro SIP). An application without PAN will be rejected. Investors are required to provide the photocopy (self
attested by the investor) of the PAN card along with the application form. If the investment is in the name of minor the PAN of
the minor or his father / mother / guardian whose particulars are provided in the application form is to be provided.
Investment & Payment Details
(m) The cheque/draft accompanying an application should be made payable in favour of “The name of the scheme”.
In the case of ‘Direct Plan’, the cheque/draft shall be payable in favour of “the name of the scheme-Direct Plan”.
(n) Outstation cheques are not accepted. In case the payment is made by demand draft, the draft commission will have to be
borne by the applicants. However for investment made from areas where there are no UTI Financial Centres or authorised
collection centres (where local cheques are accepted), UTI AMC may, if it so decides, bear draft charges to the extent of `
250/- per application or the actual as is prescribed by banks, whichever is lower or such amount as may be decided by UTI
AMC from time to time. The investors have to attach proof of the DD charges paid to a bank (i.e. acknowledgement issued by
the bank where DD is purchased). The reimbursement/adjustment of DD charges is solely at the discretion of UTI AMC and in
case if it is found that such charges are unreasonably higher than normal market rates, such charges may not be admissible.
For further details, refer to SAI/SID of respective scheme.
(o) UTI AMC/MF shall not accept application for subscription of units accompanied with Third Party Payment except in certain
exceptional cases as may be permitted. For details please refer to SAI.
Payment Modes
(p) No money orders, outstation cheques, post-dated cheques [except through Systematic Investment Plan(SIP)/Micro
SIP] and postal orders will be accepted.
However, cash payment to the extent of ` 20,000/- per financial year through designated branches of Axis Bank will be
accepted subject to the following procedure:-
i. Investors who desire to invest upto ` 20,000/- per financial year shall contact any of our UTI UFCs and obtain a Form for
Deposit of Cash and fill-up the same.
ii. Investors shall then approach the designated branch of Axis Bank along with the duly filled-in Form for Deposit of Cash
and deposit the cash and deposit the cash.
iii. Axis Bank will provide an Acknowledgement slip containing the details of Date & Time of deposit, Unique serial number,
Scheme Name, Name of the Investor and Cash amount deposited. The Investors shall attach the Acknowledgement slip
with the duly filled-in application form and submit them at the UFCs for time stamping.
For further details please refer to SAI.
(q) Know Your Customer (KYC): Know Your Customer (KYC) Norms
Common Standard KYC through CDSL Ventures Ltd (CVL) is applicable for all categories of investors and for any amount of
investment. KYC done once with a SEBI registered intermediary will be valid with another intermediary. Intermediaries shall
carry out In-Person Verification (IPV) of their clients.
For further details related to KYC, please refer to SAI/SID of the respective scheme.
PAN-Exemption for micro financial products
Only individual Investors (including NRIs, Minors & Sole proprietary firms) who do not have a PAN, and who wish to invest
upto ` 50000/- in a financial year under any Scheme including investments, if any, under SIPs shall be exempted from
the requirement of PAN on submission of duly filled in purchase application forms, payment amount/instrument and KYC
application form with other prescribed documents towards proof of identity as specified by SEBI. For all other categories of
investors, this exemption is not applicable.
Please refer to the SAI for further details on KYC.
(r) Aadhar Card
In addition to KYC compliance proof / self attested PAN Card copy, the investors are advised to provide Aadhar Card No., if
any.
(s) Consolidated Account Statement (CAS)
The AMC will issue a Consolidated Account Statement (CAS) for each calendar month to the investor in whose folios
transactions has taken place during that month and such statement will be issued on or before the 10th day of the succeeding
30
CHECK LIST
Please ensure that:
Your name and address is given in full.
Your preferred scheme, plan and option is selected.
Your investment is not less than the minimum investment amount.
Your application is completed and signed by all applicants.
Cheques are drawn in favour of ‘The name of the scheme’ (in case of Direct Plan, “name of the scheme-Direct Plan”) dated,
signed and crossed ‘A/c Payee only’.
On the reverse of each cheque submitted, the Application Form number is written.
PAN details of all holders are given failing which your application will be rejected (PAN not applicable to micro SIP).
Copy of KYC acknowledgement for all holders provided by service provider is given, failing which your application will be
rejected.
Your bank account details are entered completely and correctly. This is mandatory. If this is not included, your application will
be rejected.
Only CTS-2010 complied cheques are submitted (effect from 1st April, 2013).
month detailing all the transactions and holding at the end of month including transaction charges paid to the distributor, if any,
across all schemes of all mutual funds.
Further, CAS as above, will also be issued every half yearly (September/March), on or before the 10th day of succeeding
month detailing holding at the end of the sixth month, across all schemes of all mutual funds, to all such investors in whose
folios no transactions has taken place during that period.
The word “transaction” for the purposes of CAS would include purchase, redemption, switch, dividend payout, dividend
reinvestment, Systematic Investment Plan (SIP), Systematic Withdrawal Plan (SWP), Systematic Transfer of Investment Plan
(STRIP), bonus transactions and merger, if any.
However, Folios under Micropension arrangement shall be exempted from the issuance of CAS.
For further details on other Folios exempted from issuance of CAS, PAN related matters of CAS etc, please refer to SAI.
(t) E-mail communication: Unitholders who have opted to receive documents/communication by e-mail will be required to
download and print the documents/communication after receiving the e-mail from UTI AMC. Should the unitholder experience
any difficulty in accessing the electronically delivered documents/communication, the unitholder should advise the Registrars
immediately to enable UTI AMC to send the same through alternate means. In case of non receipt of any such intimation of
difficulty within 24 hours from receiving the e-mail, it will be regarded as receipt of email by the unitholder. It is deemed that
the unitholder is aware of all the security risks including possible third party interception of the documents/communications and
contents of the same becoming known to third parties. SMS and Email on the registered address of the investor shall be sent
confirming the number of unit allotted within 5 business days from the date of transaction.
(u) Abridged Annual Report:
The unitholders whose Email ID is registered with UTI Mutual Fund will receive Abridged Annual Report by email unless
indicated by the investor otherwise to receive the physical copy. The scheme-wise Abridged Annual report will also be made
available on the website of UTI Mutual Fund (www.utimf.com).
(v) Note on EUIN: Investors should mention the EUIN of the person who has advised the investor. If left blank, the fund will
assume following declaration by the investor “I/We hereby confirm that the EUIN box has been intentionally left blank by me/us
as this is an “execution-only” transaction without any interaction or advice by the employee/relationship manager/sales person
of the above distributor or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship
manager/sales person of the distributor and the distributor has not charged any advisory fees on this transaction”. EUIN will
assist in tackling the problem of mis-selling even if the employee/relationship manager/sales person leave the employment of
the ARN holder /Sub broker.
31
Sr.No. 2013/
Registrar Sr. No.
OPTION FOR DESPATCH OF STATEMENT OF ACCOUNT
OVERSEAS ADDRESS (Overseas address is mandatory for NRI / FII applicants in addition to mailing address in India)
City*
State Country* Zip/Pin*
NAME IN FULL OF THE FATHER (OR) MOTHER / GUARDIAN (IN CASE OF MINOR)$ / CONTACT PERSON FOR INSTITUTIONAL APPLICANTS Mr. Ms. Mrs.
$ Proof of date of birth and proof of relationship with minor to be attached or else sign the declaration on the reverse (Refer instruction ‘f ’).
F I R S T M I D D L E L A S T
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below) (Refer Instruction ‘i’)
I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS OR I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
` 150 will be deducted as transaction charges per Subscription of ` 10,000 and above ` 100 will be deducted as transaction charges per Subscription of ` 10,000 and above
Existing Unit Holder information Scheme Name: Folio Number:
COMMON APPLICATION FORM FOR OPEN-ENDED
EQUITY AND BALANCED SCHEMES
PLEASE USE SEPARATE FORM FOR EACH SCHEME
PLEASE FILL IN ALL COLUMNS IN CAPITAL LETTERS ONLY
(PLEASE READ INSTRUCTIONS CAREFULLY TO HELP US SERVE YOU BETTER)
Applicant’s address (for NRIs) At my Overseas address as mentioned above / To be despatched to my resident relative’s address in India as given above
ACKNOWLEDGEMENT
(To be filled in by the Applicant)
Stamp of UTI AMC Office/
Authorised Collection Centre
dated
(scheme name)
Sr. No. 2013/
Received from Mr / Ms / M/s
An application under
along with Cheque / DD No.$ /Cash
Drawn on (Bank)
for ` (in figures)
 
$ Cheques and drafts are subject to realisation.
DISTRIBUTOR INFORMATION (only empanelled Distributors/Brokers will be permitted to distribute Units) (refer instruction ‘h’) BDA / CA Code
Amt. in words
PAYMENT DETAILS
Account No.
Date
Bank
Branch
Amt. of investment (i)
DD Charges if any (ii)
Net amount paid (i-ii)
# Please mention the application No. on the reverse of
the cheque / DD, NEFT / RTGS advice. Cheque / DD
must be drawn in favour of “The Name of the Scheme”
& crossed “A/c Payee Only”
 Investment amount shall be Rs. 2 lacs and above
in case of payments through NEFT / RTGS.
#Cheque/DD/NEFT/RTGS Ref. No.
/ Unique Serial No. (For Cash) Account type Savings Current NRE
(please ) NRO DD issued from abroad
Cash
*PAN of 3rd Applicant
Name of 2nd Applicant Mr. Ms. Mrs. Date of Birth of 2nd Applicant d d m m y y y y
*PAN of 2nd Applicant
Name of 3rd Applicant Mr. Ms. Mrs. Date of Birth of 3rd Applicant d d m m y y y y
F I R S T M I D D L E L A S T
Enclosed PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
F I R S T M I D D L E L A S T
Enclosed PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
DETAILS OF OTHER APPLICANTS
AADHAR CARD NO.
AADHAR CARD NO.
Upfront commission shall be paid directly by the investor to the AMFI / NISM certified UTI MF registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
@ I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of
in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction. ( Please tick and sign below when EUIN box is left blank) (refer instruction ‘v’).
Name of First Applicant (as appearing in ID proof given for KYC)
First Applicant’s Address (Do not repeat the name) Name & Address of resident relative in India (for NRIs) (P.O. Box No. is not sufficient)
Village/Flat/Bldg./Plot*
City/Town* State Pin*
Street/Road/Area/Post
F I R S T M I D D L E
L A S T Date of Birth d d m m y y y y Mandatory for minors
Enclosed PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
APPLICANT’S PERSONAL DETAILS Mr. Ms. Mrs. * Denotes Mandatory Fields
*PAN OF 1ST APPLICANT/FATHER/MOTHER/GUARDIAN (whose particulars are furnished in the form) AADHAR CARD NO.
Ê
Ê
Signature of 1st Applicant / Guardian
Name of 1st Authorised Signatory
Signature of 2nd Applicant
Name of 2nd Authorised Signatory
Signature of 3rd Applicant
Name of 3rd Authorised Signatory
ARN Name of Financial Advisor Sub ARN Code Sub Code/ M O Code EUI No.@ UTI RM No.
Bank Branch Code
INVESTMENT DETAILS (For “DIRECT PLAN” Please tick here & tick Scheme, Plan / Option given below) (Refer instruction ‘j’)
Notes :
1. If the application is incomplete and any other requirement is not fulfilled, the application is liable to be rejected.
2. Consolidated Account Statement (CAS) will be sent within 10 days of the following month of the transaction.
3. Please ensure that all KYC Compliance Proof and PAN details are given, failing which your application will be rejected. PAN not applicable for Micro SIP.
4. All communication relating to issue of Statement of Account, Change in name, Address or Bank particulars, Nomination, Redemption, Death Claims etc., may please be addressed to the Registrar :
M/s. Karvy Computershare Private Limited, Narayani Mansion, H.No.1-90-2/10/E, Vittalrao Nagar, Madhapur, Hyderabad – 500 081. Tel. 040-23312454, Fax: 040-23115503,
E-mail: uti [at] karvy [dot] com
Unitholding Option Demat Mode Physical Mode (if Demat account details are provided below, units will be allotted by default in Electronic Mode only)
DEMAT ACCOUNT DETAILS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the Depository Participant. Demat Account details are compulsory if demat mode is opted above
National Securities
Depository Limited
Depository Name _______________________________________
Central Depository
Securities Limited
Depository Name ______________________________________________________
DP ID No.
Beneficiary
Account No.
Target ID No.
Enclosures : Client Master List (CMl) Transaction cum Holding Statement Delivery Instruction Slip (DIS)
Sign.
here
Ê
Sign.
here
Ê
Signature of 1st Applicant / Guardian
Name of 1st Authorised Signatory
______________________________________
Designation ___________________________
Signature of 2nd Applicant
Name of 2nd Authorised Signatory
______________________________________
Designation ___________________________
Signature of 3rd Applicant
Name of 3rd Authorised Signatory
______________________________________
Designation ___________________________
Ê
Annual Income of First Individual Applicant (Please () < 5 Lacs > 5 Lacs - < 15 Lacs > 15 Lacs - < 25 Lacs > 25 Lacs
GENERAL INFORMATION - Please () wherever applicable Resident Individual Minor through guardian HUF Partnership Trust Company Sole Proprietorship Society Body Corporate Others AOP BOI FII NRI
STATUS Business Student Agriculture Self-employed Others Professional Housewife Retired Service
OCCUPATION Single Anyone or survivor Joint
MODE OF HOLDING Unmarried
MARITAL STATUS Married Wedding
Anniversary
D
D
M
M
NOMINATION DETAILS (Please ) (please sign if you do not wish to nominate) I/We hereby nominate the undermentioned Nominee to receive the amounts to my / our credit in the event of my / our death. I/We also understand that all payments and settlements made to such Nominee and signature of the Nominee acknowledging receipt thereof, shall be a valid discharge by the AMC / Mutual Fund / Trustee.
Name and Address of Nominee
To be furnished in case nominee is a minor
Name
Date of Birth d d m m y y y y
(in case of nominee is a minor)
Name of the guardian
Address of guardian
Address with pin code
Signature of Nominee / guardian (for minor)
Investors who wish to nominate two or three persons may fill in the separate form prescribed for the same and attach it with this application form.
I/We do not wish to nominate
Signature of 1st Applicant / Guardian
Signature of 2nd Applicant
Signature of 3rd Applicant
DECLARATION AND SIGNATURE OF APPLICANT/s
l I/We have read and understood the contents of the Scheme Information Document, statement of additional information and Key Information Memorandum, addenda issued till date and apply to the Trustee of UTI Mutual Fund as indicated above. I/We agree to abide by the terms and conditions, rules and regulations of the scheme as on the date of investment. I/We undertake to confirm that this investment has been duly authorised by appropriate authorities in terms of all relevant documents and procedural requirements. l I/We have not received nor been induced by any rebate or gifts, directly or indirectly in making investments. l The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. l I/We hereby authorize UTI MF/UTI AMC to share my data furnished in the Form to my distributor and other service providers of the UTI MF for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI MF. l I/We confirm that we are Non-Residents of Indian Nationality/Origin and that the funds are remitted from abroad through approved banking channels or from my / our NRE / NRO Account. I/We undertake to provide further details of source of funds and any such other relevant documents, if called for by UTI Mutual Fund (Applicable to NRI’s). l I hereby solemnly declare that I am the father/mother/guardian of the minor child in whose name the application is made. The date of birth stated by me is true and correct. I do not have any documents in support of the date of birth and relationship with minor child. (Strike out if this declaration is not applicable).
* Please send the Account Statement, Abridged Annual Report, Transaction confirmation, communication of change of address, change of bank details etc. through email only at the below email ID. (If you wish to receive in physical form please tick )
First Applicant Details
Mobile Number
Tel.
No.
(R)
STD CODE
(O)
STD CODE
*E mail _____________________________________________
Alternate E-mail ________________________________________


FRIEND IN NEED DETAILS (refer instruction - k) In case UTI MF is unable to communicate with me/us at my / our registered address, I / we authorize UTI MF to correspond with the following person to ascertain my/our updated contact details.
Email
Name
Address:
Relationship with the applicant (optional)
Mobile
F I R S T
M I D D L E
L A S T UTI-Infrastructure Fund UTI-Leadership Equity Fund UTI-Master Plus Unit Scheme UTI-Mastershare Unit Scheme UTI-Master Value Fund UTI-Mid Cap Fund UTI-MNC Fund
OPTION (for all schemes) Growth Dividend Payout Dividend Reinvestment (Default is growth option)
IFS Code
(this is a 11-digit number)
BANK PARTICULARS OF 1ST APPLICANT (Mandatory as per SEBI Guidelines)
Bank Name Branch
Address MICR Code
(this is a 9-digit number next to your cheque number)
City Pin*
Account type (please ) Savings Current NRO NRE
Account No. UTI-Balanced Fund UTI-Banking Sector Fund UTI-Contra Fund UTI-Dividend Yield Fund UTI-Energy Fund UTI-Equity Fund UTI-India Lifestyle Fund UTI-Nifty Index Fund UTI-Opportunities Fund UTI-Pharma & Healthcare Fund UTI-Services Industries Fund UTI-Top 100 Fund UTI-Transportation & Logistics Fund UTI-Wealth Builder Fund Series II
Sr.No. 2013/
Registrar Sr. No.
OPTION FOR DESPATCH OF STATEMENT OF ACCOUNT
OVERSEAS ADDRESS (Overseas address is mandatory for NRI / FII applicants in addition to mailing address in India)
City*
State
Country*
Zip/Pin*
NAME IN FULL OF THE FATHER (OR) MOTHER / GUARDIAN (IN CASE OF MINOR)$ / CONTACT PERSON FOR INSTITUTIONAL APPLICANTS Mr. Ms. Mrs.
$ Proof of date of birth and proof of relationship with minor to be attached or else sign the declaration on the reverse (Refer instruction ‘f ’).
F I R S T
M I D D L E
L A S T
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below) (Refer Instruction ‘i’) I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS OR
I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
` 150 will be deducted as transaction charges per Subscription of ` 10,000 and above ` 100 will be deducted as transaction charges per Subscription of ` 10,000 and above
Existing Unit Holder information Scheme Name: Folio Number:
COMMON APPLICATION FORM FOR OPEN-ENDED
EQUITY AND BALANCED SCHEMES
PLEASE USE SEPARATE FORM FOR EACH SCHEME
PLEASE FILL IN ALL COLUMNS IN CAPITAL LETTERS ONLY
(PLEASE READ INSTRUCTIONS CAREFULLY TO HELP US SERVE YOU BETTER)
Applicant’s address (for NRIs) At my Overseas address as mentioned above / To be despatched to my resident relative’s address in India as given above
ACKNOWLEDGEMENT
(To be filled in by the Applicant)
Stamp of UTI AMC Office/
Authorised Collection Centre
dated
(scheme name)
Sr. No. 2013/
Received from Mr / Ms / M/s
An application under
along with Cheque / DD No.$ /Cash
Drawn on (Bank)
for ` (in figures)


$ Cheques and drafts are subject to realisation.
DISTRIBUTOR INFORMATION (only empanelled Distributors/Brokers will be permitted to distribute Units) (refer instruction ‘h’)
BDA / CA Code
Amt. in words
PAYMENT DETAILS
Account No.
Date
Bank
Branch
Amt. of investment (i)
DD Charges if any (ii)
Net amount paid (i-ii)
# Please mention the application No. on the reverse of the cheque / DD, NEFT / RTGS advice. Cheque / DD must be drawn in favour of “The Name of the Scheme” & crossed “A/c Payee Only”
 Investment amount shall be Rs. 2 lacs and above in case of payments through NEFT / RTGS.
#Cheque/DD/NEFT/RTGS Ref. No.
/ Unique Serial No. (For Cash)
Account type Savings Current NRE
(please
) NRO DD issued from abroad Cash
*PAN of 3rd Applicant
Name of 2nd Applicant Mr. Ms. Mrs.
Date of Birth of 2nd Applicant
d d m m y y y y
*PAN of 2nd Applicant
Name of 3rd Applicant Mr. Ms. Mrs.
Date of Birth of 3rd Applicant
d d m m y y y y
F I R S T
M I D D L E
L A S T
Enclosed
PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
F I R S T
M I D D L E
L A S T
Enclosed
PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
DETAILS OF OTHER APPLICANTS
AADHAR CARD NO.
AADHAR CARD NO.
Upfront commission shall be paid directly by the investor to the AMFI / NISM certified UTI MF registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
@ I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of
in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction. (
Please tick and sign below when EUIN box is left blank) (refer instruction ‘v’).
Name of First Applicant (as appearing in ID proof given for KYC)
First Applicant’s Address (Do not repeat the name) Name & Address of resident relative in India (for NRIs) (P.O. Box No. is not sufficient)
Village/Flat/Bldg./Plot*
City/Town*
State
Pin*
Street/Road/Area/Post
F I R S T
M I D D L E
L A S T
Date of Birth
Mandatory for minors
d d m m y y y y
Enclosed
PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
APPLICANT’S PERSONAL DETAILS Mr. Ms. Mrs. * Denotes Mandatory Fields
*PAN OF 1ST APPLICANT/FATHER/MOTHER/GUARDIAN (whose particulars are furnished in the form) AADHAR CARD NO.
Ê
Ê
Signature of 1st Applicant / Guardian
Name of 1st Authorised Signatory
Signature of 2nd Applicant
Name of 2nd Authorised Signatory
Signature of 3rd Applicant
Name of 3rd Authorised Signatory
ARN Name of Financial Advisor Sub ARN Code Sub Code/ M O Code EUI No.@ UTI RM No.
Bank Branch Code
INVESTMENT DETAILS (For “DIRECT PLAN” Please tick here & tick Scheme, Plan / Option given below) (Refer instruction ‘j’)
Notes :
1. If the application is incomplete and any other requirement is not fulfilled, the application is liable to be rejected.
2. Consolidated Account Statement (CAS) will be sent within 10 days of the following month of the transaction.
3. Please ensure that all KYC Compliance Proof and PAN details are given, failing which your application will be rejected. PAN not applicable for Micro SIP.
4. All communication relating to issue of Statement of Account, Change in name, Address or Bank particulars, Nomination, Redemption, Death Claims etc., may please be addressed to the Registrar :
M/s. Karvy Computershare Private Limited, Narayani Mansion, H.No.1-90-2/10/E, Vittalrao Nagar, Madhapur, Hyderabad – 500 081. Tel. 040-23312454, Fax: 040-23115503,
E-mail: uti [at] karvy [dot] com
Unitholding Option Demat Mode Physical Mode (if Demat account details are provided below, units will be allotted by default in Electronic Mode only)
DEMAT ACCOUNT DETAILS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the Depository Participant. Demat Account details are compulsory if demat mode is opted above
National Securities
Depository Limited
Depository Name _______________________________________
Central Depository
Securities Limited
Depository Name ______________________________________________________
DP ID No.
Beneficiary
Account No.
Target ID No.
Enclosures : Client Master List (CMl) Transaction cum Holding Statement Delivery Instruction Slip (DIS)
Sign.
here
Ê
Sign.
here
Ê
Signature of 1st Applicant / Guardian
Name of 1st Authorised Signatory
______________________________________
Designation ___________________________
Signature of 2nd Applicant
Name of 2nd Authorised Signatory
______________________________________
Designation ___________________________
Signature of 3rd Applicant
Name of 3rd Authorised Signatory
______________________________________
Designation ___________________________
Ê
Annual Income of First Individual Applicant (Please () < 5 Lacs > 5 Lacs - < 15 Lacs > 15 Lacs - < 25 Lacs > 25 Lacs
GENERAL INFORMATION - Please () wherever applicable Resident Individual Minor through guardian HUF Partnership Trust Company Sole Proprietorship Society Body Corporate Others AOP BOI FII NRI
STATUS Business Student Agriculture Self-employed Others Professional Housewife Retired Service
OCCUPATION Single Anyone or survivor Joint
MODE OF HOLDING Unmarried
MARITAL STATUS Married Wedding
Anniversary
D
D
M
M
NOMINATION DETAILS (Please ) (please sign if you do not wish to nominate) I/We hereby nominate the undermentioned Nominee to receive the amounts to my / our credit in the event of my / our death. I/We also understand that all payments and settlements made to such Nominee and signature of the Nominee acknowledging receipt thereof, shall be a valid discharge by the AMC / Mutual Fund / Trustee.
Name and Address of Nominee
To be furnished in case nominee is a minor
Name
Date of Birth d d m m y y y y
(in case of nominee is a minor)
Name of the guardian
Address of guardian
Address with pin code
Signature of Nominee / guardian (for minor)
Investors who wish to nominate two or three persons may fill in the separate form prescribed for the same and attach it with this application form.
I/We do not wish to nominate
Signature of 1st Applicant / Guardian
Signature of 2nd Applicant
Signature of 3rd Applicant
DECLARATION AND SIGNATURE OF APPLICANT/s
l I/We have read and understood the contents of the Scheme Information Document, statement of additional information and Key Information Memorandum, addenda issued till date and apply to the Trustee of UTI Mutual Fund as indicated above. I/We agree to abide by the terms and conditions, rules and regulations of the scheme as on the date of investment. I/We undertake to confirm that this investment has been duly authorised by appropriate authorities in terms of all relevant documents and procedural requirements. l I/We have not received nor been induced by any rebate or gifts, directly or indirectly in making investments. l The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. l I/We hereby authorize UTI MF/UTI AMC to share my data furnished in the Form to my distributor and other service providers of the UTI MF for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI MF. l I/We confirm that we are Non-Residents of Indian Nationality/Origin and that the funds are remitted from abroad through approved banking channels or from my / our NRE / NRO Account. I/We undertake to provide further details of source of funds and any such other relevant documents, if called for by UTI Mutual Fund (Applicable to NRI’s). l I hereby solemnly declare that I am the father/mother/guardian of the minor child in whose name the application is made. The date of birth stated by me is true and correct. I do not have any documents in support of the date of birth and relationship with minor child. (Strike out if this declaration is not applicable).
* Please send the Account Statement, Abridged Annual Report, Transaction confirmation, communication of change of address, change of bank details etc. through email only at the below email ID. (If you wish to receive in physical form please tick )
First Applicant Details
Mobile Number
Tel.
No.
(R)
STD CODE
(O)
STD CODE
*E mail _____________________________________________
Alternate E-mail ________________________________________


FRIEND IN NEED DETAILS (refer instruction - k) In case UTI MF is unable to communicate with me/us at my / our registered address, I / we authorize UTI MF to correspond with the following person to ascertain my/our updated contact details.
Email
Name
Address:
Relationship with the applicant (optional)
Mobile
F I R S T
M I D D L E
L A S T UTI-Infrastructure Fund UTI-Leadership Equity Fund UTI-Master Plus Unit Scheme UTI-Mastershare Unit Scheme UTI-Master Value Fund UTI-Mid Cap Fund UTI-MNC Fund
OPTION (for all schemes) Growth Dividend Payout Dividend Reinvestment (Default is growth option)
IFS Code
(this is a 11-digit number)
BANK PARTICULARS OF 1ST APPLICANT (Mandatory as per SEBI Guidelines)
Bank Name Branch
Address MICR Code
(this is a 9-digit number next to your cheque number)
City Pin*
Account type (please ) Savings Current NRO NRE
Account No. UTI-Balanced Fund UTI-Banking Sector Fund UTI-Contra Fund UTI-Dividend Yield Fund UTI-Energy Fund UTI-Equity Fund UTI-India Lifestyle Fund UTI-Nifty Index Fund UTI-Opportunities Fund UTI-Pharma & Healthcare Fund UTI-Services Industries Fund UTI-Top 100 Fund UTI-Transportation & Logistics Fund UTI-Wealth Builder Fund Series II
Authorisation of the Bank Account Holder (to be signed by the Investor) (To be retained by the Bank)


TEAR AWAY
Bank Account Number
First
Account Holder's Signature
(As in Bank Records)
Second
Account Holder's Signature
(As in Bank Records)
Third
Account Holder's Signature
(As in Bank Records)
To,
The Branch Manager
PIN
This is to inform that I/We hereby register for the RBI’s Electronic Clearing Service (Debit Clearing)/Direct Debit and that my/our payment towards my investment in UTI Mutual Fund shall be made from my/our below mentioned bank account with your bank. I authorise you to honour such payments. I/We also authorise the representative carrying this Direct/ECS Debit Mandate Form to get it verified & executed, if necessary.The verification charges, if any, may be debited to my/our account.
FORM FOR SIP / MICRO SIP (AUTO DEBIT/ECS FACILITY)
(Please read instructions)
Banker’s Attestation (For bank use only)
Certified that the signature of the account holder and the details of Bank account are correct as per our records.
Signature of Authorised Official from Bank with Stamp and Date
Signature of Signature of Signature of
1st Applicant / Guardian / Authorised Signatory 2nd Applicant / Authorised Signatory 3rd Applicant / Authorised Signatory
Signature of 1st Applicant / Guardian Signature of 2nd Applicant Signature of 3rd Applicant
Name of 1st Authorised Signatory Name of 2nd Authorised Signatory Name of 3rd Authorised Signatory
SYSTEMATIC
INVESTMENT
PLAN
S
I
P
Name of Financial Advisor and ARN@ Sub ARN Code@ Sub Code@ MO Code@ EUI No.@ UTI RM No.@
MICRO SIP
SIP
@Refer Instruction ‘13’
Branch
City
9 digit MICR Code*
IFSC Code
Scheme Name, Plan / Option
Each SIP/Micro SIP Amount (`)#
Frequency: Mntly Qrtly
1st 7th 15th 25th
Date# :
Mandatory Enclosure (if 1st installment is not by cheque) Blank cancelled cheque Copy of cheque
I / We hereby, authorise UTI Mutual Fund and their authorised service providers, to debit my/our following bank account by Direct Debit/ECS Debit for collection of SIP/Micro SIP Payments.
SIP/Micro SIP Period : Start from
End On**
M M Y Y
M M Y Y
OR Default Month (December 2099)
** Please refer instruction No. 5
Application No./ Existing Folio No .
Date
(Default Date is 1st) #Please refer instruction No. 3
DETAILS OF SIP (For “DIRECT PLAN” please tick here & write the Scheme name, Plan / Option below) (Refer Instruction ‘15’)
BANK ACCOUNT DETAILS (Mandatory As Per SEBI Guidlines)
A/C Type () SB Current NRO NRE FCNR Account No.
Bank Name
Branch
PIN
Accountholder Name as in
Bank Account
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below. Refer Instruction ‘14’ regarding deduction of transaction charges)
I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS OR I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
` 150 will be deducted as transaction charges (Refer Instruction '14') ` 100 will be deducted as transaction charges (Refer Instruction '14')
I wish to opt. for Physical Mode Demat Mode
DEMAT ACCOUNT DETAILS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the the
Depository Participant. Demat Account details are compulsary if demat mode is opted above)
National Securities Depository Limited
Depository Name
DP ID No.
Beneficiary
Account No.
Central
Depository
Securities
Limited
Depository Name
Target ID No.
Enclosures : Client Master List (CM) Transaction cum Holding Statement Delivery Instruction Slip (DIS)
APPLICANT PAN KYC Complied (Mandatory) Date of Birth Mobile No E-mail ID
First/Sole Applicant
Second Applicant
Third Applicant
Guardian
FIRST / SOLE APPLICANT INFORMATION (MANDATORY)
Name of First / Sole Applicant
Name of Second Applicant
Name of Third Applicant
Name of Guardian (in case
First/Sole applicant is minor)
(Default Amount is ` 500)
(Core Banking A/c No.)
UTI MF
Upfront commission shall be paid directly by the investor to the AMFI / NISM registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction. (
Please tick and sign below when EUIN box is left blank) (Refer instruction 17)
• I/We hereby declare that the particulars given below are correct and express my willingness to make payments referred below through participation in Auto Debit. If the transaction is delayed or not effected at all for reasons of incomplete or incorrect information or other reasons, I/we would not hold UTI Mutual Fund responsible. I/We will also inform UTI Mutual Fund, about any changes in my bank account. I/We have read and understood the contents of the SAI, SID, KIM, Instructions and Addenda issued from time to time of the respective Scheme(s) of UTI Mutual Fund mentioned within and have read and agreed to the terms and conditions of SIP/Micro SIP. • I/We do not have any existing Micro SIPs which together with the current application will result in aggregate investments exceeding ` 50,000 in a year (applicable only for Micro SIP applicants). • **I/We hereby authorise UTI MF to send my Consolidated Account Statement (CAS)/ Statement of Account (SoA)/ Abridged Annual Report/All other communication related to my investment in SIP/Micro SIP only through e-mail instead of physical copy. (**Those who wish to get physical CAS/SoA/AAA/All other Communication may delete the same). • The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. • I/We hereby authorize UTI MF/UTI AMC to share my data furnished in the Form to my distributor and other service providers of the UTI MF for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI MF
FORM FOR SIP / MICRO SIP (FOR POST DATED CHEQUE)
(Please read instructions) (Only CTS - 2010 compliant cheques are allowed)
Signature of Signature of Signature of
1st Applicant / Guardian / Authorised Signatory 2nd Applicant / Authorised Signatory 3rd Applicant / Authorised Signatory
Date :
Upfront commission shall be paid directly by the investor to the AMFI / NISM registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction. (
Please tick and sign below when EUIN box is left blank) (Refer instruction 17)
• I/We have read and understood the contents of the SAI, SID, KIM, Instructions and Addenda issued from time to time of the respective Scheme(s) of UTI Mutual Fund mentioned within and have read and agreed to the terms and conditions of SIP/Micro SIP. • I/We do not have any existing Micro SIPs which together with the current application will result in aggregate investments exceeding ` 50,000 in a year (applicable only for Micro SIP applicants).
**I/We hereby authorise UTI MF to send my Consolidated Account Statement (CAS)/ Statement of Account (SoA)/ Abridged Annual Report/All other communication related to my investment in SIP/Micro SIP only through e-mail instead of physical copy. (**Those who wish to get physical CAS/SoA/AAA/All other Communication may delete the same). • The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. • I/We hereby authorize UTI MF/UTI AMC to share my data furnished in the Form to my distributor and other service providers of the UTI MF for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI MF
SIP AUTO DEBIT FORM CHECKLIST Application Form is complete in all respect. Name, Application Number/ Folio, Scheme, Plan, Option are mentioned clearly SIP Date, SIP Frequency has been ticked correctly Start Date and End Date is clearly mentioned as Month – Year. Bank Name, Full Branch Address, Full Account Number, MICR Code for debit has been mentioned clearly and legibly. Form is signed by all applicants as in bank records in two places as specified. Auto Debit is from first Unit Holder’s own bank account only.
Application No./ Existing Folio No .
Date
I/We have attached PAN Card/Document copies of all applicants.
Scheme Name, Plan / Option
Mandatory Enclosure (if 1st installment is not by cheque) Blank cancelled cheque Copy of cheque
Initial Investment Amount Each SIP/Micro SIP Amount (`)#
SIP/Micro SIP Date# : 1st 7th 15th 25th
Cheque Nos. From To $ No. of Cheques
$ Please refer instruction (1) under SIP / Micro SIP by Cheque/s. No UCC Cheque are allowed.
Account No. Drawn on
Branch PIN Code
Frequency : Monthly Quarterly
Post Dtd. Chq. Amt.
SIP/Micro SIP Period : Start from
End On**
M M Y Y
M M Y Y
OR Default Month (December 2099)
** Please refer instruction No. 5
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below. Refer Instruction ‘14’ regarding deduction of transaction charges)
I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS OR I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
` 150 will be deducted as transaction charges (Refer Instruction '14') ` 100 will be deducted as transaction charges (Refer Instruction '14')
I wish to opt. for Physical Mode Demat Mode
DEMAT ACCOUNT DETAILS - (Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with any one of the the Depository Participant. Demat Account details are compulsary if demat mode is opted above)
National Securities Depository Limited
Depository Name
DP ID No.
Beneficiary
Account No.
Central
Depository
Securities
Limited
Depository Name
Target ID No.
Enclosures : Client Master List (CM) Transaction cum Holding Statement Delivery Instruction Slip (DIS)
APPLICANT PAN KYC Complied (Mandatory) Date of Birth Mobile No E-mail ID
First/Sole Applicant
Second Applicant
Third Applicant
Guardian
FIRST / SOLE APPLICANT INFORMATION (MANDATORY)
Name of First / Sole Applicant
Name of Second Applicant
Name of Third Applicant
Name of Guardian (in case
First/Sole applicant is minor)
DETAILS OF SIP (For “DIRECT PLAN” please tick here & write the Scheme Name, Plan / Option below) (Refer Instruction ‘15’)
(Default Date is 1st) #Please refer instruction No. 3
(Default Amount is ` 500)
UTI MF
SYSTEMATIC
INVESTMENT
PLAN
S
I
P
Name of Financial Advisor and ARN@ Sub ARN Code@ Sub Code@ MO Code@ EUI No.@ UTI RM No.@
MICRO SIP
SIP
@Refer Instruction ‘13’
Signature of 1st Applicant / Guardian Signature of 2nd Applicant Signature of 3rd Applicant
Name of 1st Authorised Signatory Name of 2nd Authorised Signatory Name of 3rd Authorised Signatory
ACKNOWLEDGEMENT SLIP
(To be filled in by the Unit holder/Investor)
UTI Mutual Fund, UTI Tower, Bandra-Kurla Complex, Bandra (East), Mumbai - 400 051.
Received from Mr./Ms./Mrs
‘SIP/Micro SIP’ Application for
Scheme/Plan/Option
Folio No./Investor Id/Application No.
Date
Note: All purchases are subject to realisation of Cheques.
Payment Mechanism
(Please tick any one box)
Stamp of UTI AMC Offices alongwith
receiving Officials’ Signature


GENERAL INSTRUCTIONS FOR SIP & MICRO SIP
1. SIP/Micro SIP is offered with following Periodicity.
a. Monthly Systematic Investment Plan (MSIP) and
b. Quarterly Systematic Investment Plan (QSIP).
2. Both the options (MSIP and QSIP) can not be mingled. A separate Enrolment Form needs to be filled in for MSIP and QSIP.
3. Please submit SIP / Micro SIP Mandate forms not less than 30 days and not more than 60 days before the First installment date. Forms received more than 60 days prior to the First Installment Date are liable to be rejected. Such of the Forms that are received within the period of 1 month before the first installment date, will be considered from the date of the following month/Quarter, as per the date (1st/7th/15th/25th) opted by the Investor.
"If the first instalment month is not written, then by default, it will start from the date of the following month/quarter and as per the Frequency date(1st/7th/15th/25th) opted by the Investor subject to the compliance of the minimum of 30/60 days period as aforesaid. If the Frequency date is not ticked,then,"1st" will be considered as the default option of the investor. However, the above is subject to the acceptance of the investor's mandate by his/her Bank."
If each SIP/Micro SIP amount is not specified, then by default, the same will be reckoned at the rate of ` 500/- per month for the frequency period chosen by investor.
New Fund Offer: Investors may submit the mandate Form during the NFO period for such Schemes as may be decided by AMC from time to time. In such case, the mandate shall commence on the dates stipulated by the Investor after a gap of at least 20 days from the date of re-opening of the Scheme for purchase and redemption of Units. For e.g. If the Units of the Scheme re-opens for purchase and redemption post NFO on 16th December, the earliest Installment date can be only on 7th January of the following year.
4. The minimum amount of each investment for SIP Micro SIP is ` 500/- (for monthly option) and ` 1,500/- (for quarterly option) for all the schemes except for which UTI-Floating Rate Fund-Regular Plan & Direct Plan-Growth Option. The minimum amounts is ` 2500/- (for monthly option) and ` 7500/- (for quarterly option) and in multiples of Re.1/-. However, investors desiring to start SIP/Micro SIP in a Dividend Plan of any of the debt schemes are required to have a minimum investment of ` 5,000/-. Minimum Application Amount, as specified in the respective SID of the schemes of UTI Mutual Fund is not applicable in the case of transaction through SIP.
5. There is no stipulated period up to which a SIP/Micro SIP can be under operation, however if no period is specified the default period ended 2099.
6. Units Allotment: Units will be allotted at NAV based purchase price declared on the applicable dates i.e. 1st or 7th or 15th or 25th of the month/quarter. In case the date falls on a non-business day or falls during a book closure period, the immediate next business day will be taken into account for the purpose of determining the price. The applications will be accepted at all official points of acceptance of UTI AMC. Outstation cheques will not be accepted.
7. Account statement: An account statement will be sent to the unitholder through e-mail.
8. Investors can choose to discontinue this facility by giving 1 month written notice to the Scheme's registrar.
9. Investor will not hold UTI Mutual Fund or its service providers responsible if the transaction is delayed or not effected or the investors bank account is debited in advance or after the specific SIP date due to various clearing cycles of ECS / local holidays.
10. Investor will not hold UTI Mutual Fund or its service providers responsible for non-allotment of units for SIP/Micro SIP if the payment is not received from the unitholder's bank for various reasons.
11. UTI Mutual Fund or its other service providers shall not be responsible and liable for any damages/compensation for any loss, damage, etc. incurred by the investor. The investor assumes the entire risk of using this facility and takes full responsibility. In case all the cheques are not attached with initial SIP application, UTI Mutual Fund shall not be responsible for discontinuation of SIP due to non receipt of subsequent cheques in time.
12. UTI Mutual Fund reserves the right to reject SIP/ Micro SIP or auto debit mandate without assigning any reasons thereof.
13. If you have invested through a distributor, kindly specify the Name of Financial Advisor and ARN Code of the distributor, else, for Direct Investment, please mention “Direct” in the Column “Name of Financial Advisor & Sub Code/ARN”. In case nothing is specified, then by default, the Sub Code will be treated as Direct and the application form will be treated as Direct Application.
14. Transaction Charges
i) Transaction charges of ` 100/- (existing investor) or ` 150/- (new investor) will be deducted for investment of ` 10000/- and above for investments being made through distributors having valid ARN and opted in for transaction charges. The units will be allotted to the investor on the net subscription amount. In case of SIPs, the transaction charge shall be applicable only if the total commitment through SIPs amounts to ` 10,000/- and above. In such cases the transaction charge shall be recovered in 3-4 installments. However, there shall be no transaction charges for direct investments, Subscriptions below ` 10000/-, and on transactions other than purchases/ subscriptions relating to new inflows such as switch/ Systematic Transfer Investment Plan (STRIP)/ Systematic Withdrawal Plan (SWP)/ Dividend Transfer Plan (DTP) etc.
The transaction charge, if any, shall be deducted by the AMC from the subscription amount and paid to the distributor and the balance shall be invested
ii) UTI Mutual Fund will endeavor to check the existing available investor base at the RTA level /Industry based on various parameters to find if the investor is an existing or a new investor to Mutual Fund. If the details of the investor are found, then the investor will be treated as existing investor, else, the details furnished under the “Distributor information” in the Form will be treated as valid and accordingly the investor will be treated as new or existing investor.
iii) If the investor has not ticked / not furnished the details under “Distributor Information” of the application form, then by default, the investor will be treated as an existing investor and transaction charges of ` 100 will be deducted for investment of ` 10000 and above.
15. Direct Plan
Direct Plan is for all category of eligible investors (whether existing or new Unitholders) who purchase/subscribe Units directly with the Fund and is not available for investors who route their investments through a Distributor.
The Direct Plan will be a separate plan under the Fund/Scheme and shall have a lower expense ratio excluding distribution expenses, commission etc and will have a separate NAV. No commission shall be paid from Direct Plan
Investors subscribing under Direct Plan of a Scheme will have to indicate “Direct Plan” against the Scheme Name in the application form e.g. “UTI-Opportunities Fund - Direct Plan”.
Investors should also indicate “Direct” in the ARN column of the application form. However, in case Distributor code is mentioned in the application form, but “Direct Plan” is indicated against the Scheme name, the Distributor code will be ignored and the application will be processed under Direct Plan. In case investors do not indicate his/her choice and no ARN code is mentioned, it will be treated as direct application and accordingly considered under ‘Direct plan’.
For further details refer to SAI
16. It will be the sole responsibility of the unit holder(s) bank and its branch to ensure proper registration of the debit mandate and confirm registration. If no confirmation of registration or rejection is received, the AMC/RTA/it’s agents will deem the same to be registered and confirm the registration to unitholder(s)/s entirely at the risk of unit holder(s).
17. Note on EUIN: Investors should mention the EUIN of the person who has advised the investor. If left blank, the fund will assume following declaration by the investor “I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the employee/relationship manager/sales person of the above distributor or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor and the distributor has not charged any advisory fees on this transaction”. EUIN will assist in tackling the problem of mis-selling even if the employee/relationship manager/sales person leave the employment of the ARN holder/ Sub broker.
18. In case of rejection of SIP form for any reason whatsoever, the Mutual Fund will not entertain any request for refund of proceeds of first cheque which is already processed. Investors will have to redeem the units allotted through first cheque at applicable NAV.
19. The Unit holder(s) agree that the Fund/AMC / RTA and their agents shall not be held liable for any unsuccessful registration and or transaction due to any action or inaction of the unit holders’ bank including but not limited to reasons mentioned below and agree to indemnify the Fund/AMC/RTA for all liabilities, losses, damages and expenses which they may consequent sustain or incur either directly or indirectly:
a. Loss of the debit mandate form in transit from point of acceptance of the form to RTA head office and further to the unit holder(s)’ bank branch;
b. Non acceptance or rejection of debit mandate for whatsoever reason by the unit holder(s)’ bank branch, with or without any reason assigned by the unit holder(s) bank;
c. Non registration of the debit mandate by the unit holder(s)’ bank and branch;
d. Deemed registration due to non confirmation of registration or rejection by the bank and any subsequent rejection of debit of bank account for funds;
e. Non availability of funds in the bank account of the Unit holder(s) at the time of debit;
f. Rejection of registration or transaction debit for any reason or without assigning any reason whatsoever.
Cheque
Auto Debit
Physical Mode
Demat Mode
SIP / Micro SIP is available under the Existing Plan and Direct Plan of the below mentioned schemes
Sr. No.
Scheme Name
Demat eligible
1
UTI-Balanced Fund

2
UTI-Banking Sector Fund

3
UTI-Contra Fund

4
UTI-Dividend Yield Fund

5
UTI-Energy Fund

6
UTI-Equity Fund

7
UTI India Lifestyle Fund

8
UTI-Infrastructure Fund

9
UTI-Leadership Equity Fund

10
UTI-Master Plus Unit Scheme

11
UTI-Master Value Fund

12
UTI-Mastershare Unit Scheme

13
UTI-Mid Cap Fund

Sr. No.
Scheme Name
Demat eligible
14
UTI-MNC Fund

15
UTI-Opportunities Fund

16
UTI-Pharma & Healthcare Fund

17
UTI-Services Industries Fund

18
UTI-Top 100 Fund

19
UTI-Transportation & Logistics Fund

20
UTI-Wealth Builder Fund – Series II

21
UTI-MIS Advantage Plan

22
UTI-Monthly Income Scheme

23
UTI-Children’s Career Balanced Plan

24
UTI-CCP Advantage Fund

25
UTI-Mahila Unit Scheme

26
UTI-Equity Tax Savings Plan

Sr. No.
Scheme Name
Demat eligible
27
UTI-Floating Rate Fund - Regular Plan
(Regular Plan – Growth Option)

28
UTI-Gilt Advantage Fund-Growth Plan and Dividend Plan

29
UTI-Bond Fund

30
UTI-G-Sec Short Term Plan

31
UTI-Short Term Income Fund - Institutional Plan

32
UTI-Nifty Index Fund

33
UTI-Retirement Benefit Pension Fund

34
UTI Dynamic Bond Fund

35
UTI Credit Opportunities Fund

SIP/Micro SIP by Auto Debit / ECS
Customers with a bank account with following bank branches can avail of SIP Facility using this form.
• All bank branches participating in Reserve Bank of India (‘RBI’) Electronic Clearing System (‘ECS’) /National Electronic Clearing System (‘NECS’)/Regional Electronic Clearing System (‘RECS’) facility.
• All Core Banking branches of following banks, irrespective of location:
At Present with Axis Bank, Bank of Baroda, Bank of India, Chhattisgarh Gramin Bank, Dhanlaxmi Bank, Federal Bank, HDFC bank, ICICI Bank, IDBI Bank, IndusInd Bank, Kotak Mahindra Bank, Punjab National Bank, State Bank of India, State Bank of Patiala (only in NON ECS locations), UCO Bank (only in NON ECS locations), Union Bank of India, United Bank of India (only in NON ECS locations) subject to Account length specifications prescribed by the banks.
• ECS Debit : Currently SIP payment through Electronic Clearing Service (Debit Clearing) of the Reserve Bank of India (RBI) is offered only to the investors having bank account in select cities
(a) The cities in the list may be modified/updated/changed/removed at any time in future entirely at the discretion of UTI Mutual Fund without assigning any reasons or prior notice.
(b) If any city is removed, SIP/Micro SIP instructions for investors in such cities via ECS (debit) route will be discontinued without prior notice.
(c) The Investor’s bank branch should participate in Electronic Clearing Service (Debit Clearing) of RBI.
(d) It is mandatory to submit the copy of cancelled cheque leaf (issued by the bank branch mentioned overleaf) along with the Auto Debit (ECS Debit) Form.
The investor’s bank particulars in the scheme Application Form and the bank particulars in Auto Debit Form should be one and the same.
SIP/Micro SIP by Cheque/s (Only CTS - 2010 compliant cheques)
1. The disbursal of cheques could be as under :
Monthly Option
Quarterly Option
New investor
1 Cheque of initial investment + 5 Cheques (Min)
1 Cheque of initial investment + 3 Cheques
Existing unit holder
6 Cheques (Min)
4 Cheques
Note : If a unit holder desires to submit 12 cheques under the monthly option, the same will be accepted. No Up Country Cheques (UCC) shall be accepted. Only Local Country Cheques (LCC) i,e, from locations where Axis bank branch is present shall be accepted as a mode of payment under PDC w.e.f 17th July 2012. CTS 2010 standard complied cheques shall be accepted w.e.f. 1st January 2013.
2. All Cheques must be dated 1st, 7th, 15th or 25th of the month. All installment cheques under MSIP & QSIP should be of uniform amount. For example: If an investor enrolls under MSIP say under UTI Mastershare for the period Aug 2013 to Jul 2014, the first cheque can be of any amount drawn on any date of Aug 2013. The remaining cheques should be of uniform date (1st/ 7th/ 15th/ 25th) and of uniform amount i.e. ` 2000/-. Similarly for quarterly option the first cheque could be of any amount and of any date of Aug 2013 and subsequent cheques should be of uniform date and amount.
3. Please draw your cheques in the name of the Scheme/Plan in which the amount is invested.
4. Returned Cheques, if any, may not be presented again.
“Note: Please refer Scheme Information Document (SID) for the applicable load structure of the above listed schemes.”
For Micro SIP Only
1. Applicability & Transactions covered:
a) Micro SIP is allowed only for those who do not have PAN.
b) Systematic Investment Plans (SIPs) where aggregate of installments in a rolling 12 month period or in a financial year i.e. April to March does not exceed ` 50,000 will be covered (to be referred as “Micro SIP” hereinafter).
c) This exemption will be applicable ONLY to investments by individuals (including NRIs but not PIOs) and Minors. HUFs and other categories will not be eligible for Micro SIPs.
d) The exemption is applicable to joint holders also.
2. Procedure:
a) W.e.f. 1st January 2012 KYC has become mandatory through KRA.
b) KYC photo ID Proof and Address Proof should be submitted along with KYC Form to any of the official point of acceptance. For details of documents to be submitted please visit: www.cvlkra.com.
3. a) A Micro SIP application will be rejected where it is found that the registration of the application will result in the aggregate of Micro SIP installments in a financial year exceeding ` 50,000 or where there are deficiencies in supporting documents.
b) Rejected application will be sent back to the investor with a deficiency memo.
c) In case the first Micro SIP installment is processed (as the cheque may be banked), and the application is found to be defective, the Micro SIP registration will be ceased for future installments. No refunds to be made for the units already allotted. Investor will be sent a communication to this effect. However, redemptions shall be allowed.
D D M M Y Y Y Y
(application form continued on reverse)
Acknowledgement
(To be filled in by applicant)
Received request for Trigger Facility under _________________________________________________________________ (Scheme name)
in respect of Investor ID / Folio / Application No. _____________________________________ as under.
Trigger Option _ ___________________________________
Payment Option_ __________________________________
Signature of Authorised Signatory with Office Seal
UTI MUTUAL FUND
Application for Trigger Facility
Scheme Name Investor ID No./Folio No./ Appln.No. : Date of Transaction
(i.e. Date of acceptance)
I / We would like to redeem/repurchase units from the ____________________________________________________________ Scheme / Fund on reaching the trigger point owing to any of the following events.
I. Trigger Option: (Please tick (ü) any one of the following trigger options:)
1. Value Trigger:
As & when investment reaches value of Rs. _______________ or above. (Indicate the amount at which exit is sought)
2. Appreciation Trigger:
On capital appreciation of ______ % or above (Indicate the absolute % of growth at which exit is sought)
3. Date Trigger:
On the day of (Indicate the exact date at which trigger is sought)
4. Stop-Loss Trigger:
On reaching the depreciation of _________ % or below (Indicate the absolute % at which exit is sought)
II. Payment Options: (Please tick (ü) any one of the payment options given below:)
a. Pay amount equivalent to capital appreciation over and above value of my investment (applicable to option I (1) & (2) above}
b. Pay full repurchase proceeds repurchasing all the units (applicable to all the four options in I above)
Bank Details are mandatory. (Please fill in bank a/c details only if there is change or not given earlier)
Name of the Bank_ __________________________________________________________________________________________________
Branch Address_____________________________________________________________________________________________________
Branch Pincode:_______________________________________Account Type____________________________________________________
A/c no. MICR No.
IFS Code No.
D D M M Y Y Y Y
DECLARATION
I / We are aware that I / We can revise or cancel these instructions{Such requests will be effective after 5 working days(business days) of receipt by UTI Mutual Fund Branches or direct at office of Registrars}.
I / We are aware that since the scheme is open ended, I / We can repurchase units any time before the trigger of specific event.
I / We also note that once the payment is made by exercising the trigger option, the investment cannot be reinstated for any reason whatsoever. The payment made to me/us is final and binding.
I / We are aware that the value will be paid by repurchasing units at the repurchase price prevailing on the day following the day of event of trigger in the case of value trigger, appreciation trigger and stop-loss trigger and at the repurchase price prevailing on the specified date in the case of date trigger.
I / We are aware that the repurchase amount payable on account of trigger will be restricted to Rs. 10 lakhs only and the balance units if any will continue in the scheme, subject to maintaining minimum value of units prescribed under the scheme.
I / We understand that if the Trigger selected by me / us is not activated and / or implemented due to reasons which are beyond the control of UTI Mutual Fund, I / We would not hold UTI Mutual Fund responsible.Trigger Facility is only a facility extended by UTI Mutual Fund for the convenience of unit holders and does not form part of any scheme / fund objectives. I/We also understand that UTI Mutual Fund reserves the right to amend / terminate this facility at any time, keeping in view business/operational exigencies.
I / We have read and understood the terms and conditions given overleaf and accept the same. I / We agree to abide by the terms and conditions and opt for the Trigger Facility.
Date:
________________________ ________________________ ________________________
Signature of 1st unitholder Signature of 2nd Unitholder Signature of 3rd Unitholder
1. The following are the four types of Trigger Options:
a. As & when investment reaches value of Rs._____________. (For example if Rs.10,000/- is invested and the unit holder wants to encash when the investment becomes Rs.15000/- he has to write Rs.15,000/- inside the boxes provided for amount in the application form.)
b. On capital appreciation of ____________% (Indicate in whole numbers like 10, 11 etc.) {For example if an investor invests Rs.10,000/- and wants to encash when the capital is appreciated by 10% (only appreciation amount) his units will be repurchased at the applicable repurchase price and paid 10% of capital appreciation i.e. Rs.1,000/-. He will be paid full repurchase value of his units if he opts for full repurchase of units}. Fractions indicated if any will be ignored.
c. Repurchase on the day of
d. On depreciation of capital by______ % (Indicate in whole numbers like 10, 11 etc.) {For example if an investor invests Rs.10,000/- and wants to encash when the capital is depreciated by 10%, the entire units will be repurchased and amount paid to the unitholder, when the value comes down to Rs. 9000/- or lesser}. Fractions indicated if any will be ignored.
2. Trigger Facility is available in the Schemes/Funds mentioned below:
Serial No Name of the Scheme/Fund
1. UTI-Banking Sector Fund
2. UTI-Contra Fund
3. UTI-Dividend Yield Fund
4. UTI-Energy Fund
5. UTI-Equity Fund
6. UTI-India Lifestyle Fund
7. UTI-Infrastructure Fund
8. UTI-Leadership Equity Fund
9. UTI-Master Plus Unit Scheme
10. UTI-Nifty Index Fund
11. UTI-Mastershare Unit Scheme
12. UTI-Master Value Fund
13. UTI-Mid Cap Fund
14. UTI-MNC Fund
15. UTI-Opportunities Fund
16. UTI-Pharma & Healthcare Fund
17. UTI-Services Industries Fund
18. UTI-Transportation & Logistics Fund
19. UTI-Top 100 Fund
20 UTI-G-Sec Fund
Terms and Conditions
3. A separate form request for trigger facility has to be made for each investment in a folio.
4. All Trigger requests will be accepted at UTI Mutual Fund Branches / Registrars handling the target scheme only.
5. For fresh applications, the trigger facility will be effective only after a gap of 5 working days (business days) from the date of acceptance in the Scheme/Fund. For existing investors in case of exercising automatic trigger facility at a later date, trigger facility will become operative after a gap of 5 working days (business days) from the date of receipt of the request.
6. Change / Cancellation of trigger will be effective only after a gap of 5 working days (business days) from the date of receipt of the request.
7. Trigger Facility is not available if the Folio / Certificate is under Lien or marked “ STOP ” on the advice of I.T Authorities / Court or any other reason.
8. Repurchase amount will be paid only to the first unit holder as per normal existing practice.
9. Each allotment of Accumulated Income Units (AIUs) / bonus units will be treated as a separate investment. Accordingly, a separate Trigger request for each allotment has to be made, if each AIU/ bonus allotment has to be brought under Trigger Facility.
10. Incomplete application form will be treated as invalid.
11. The unit holder holding Unit Certificates has to convert the unit certificate into Statement of Account (SOA) for availing Trigger Facility. Only after receipt of SOA the request for Trigger Facility can be made.
12. Trigger facility is available to the ‘individual’ as well as non-individual unitholders upto the payment value of Rs.10 lakh per event per folio(per investor id).
13. Units under trigger option can be repurchased fully or partially any time. In such event, the trigger facility will be automatically cancelled and the unitholder will be informed of the same while sending the repurchase cheque.
D D M M Y Y Y Y
41
CORPORATE OFFICE
UTI Tower, ‘Gn’ Block, Bandra-Kurla Complex, Bandra (E),
Mumbai - 400 051. Tel.: 66786666
OFFICIAL POINTS OF ACCEPTANCE
UTI FINANCIAL CENTRES
AHMEDABAD REGION
Ahmedabad: 101/105 A&B, Super Mall, Near Lal Bungalow, CG Road, Ahmedabad-380 006, Tel: (079) 26462180/26462905, Ajmer: Uday Jyoti
Complex, First Floor, India Motor Circle, Kutchery Road, Ajmer-305 001, Tel: (0145) 2423948, Alwar: Plot No.1, Jai Complex (1st Floor), Above AXIS
Bank, Road No.2, Alwar – 301 001, Rajasthan, Tel.:(0144) 2700303/4, Anand: 12-A, First Floor, Chitrangna Complex, Anand – V. V. Nagar Road,
Anand – 388 001, Gujarat, Tel.: (02692) 245943 / 944, Bharuch: 103-105, Aditya Complex, 1st Floor, Near Kashak Circle, Bharuch – 392 001, Gujarat,
Tel.:(02642) 227331, Bhavnagar: Shree Complex, 6-7 Ground Floor, Opp. Gandhi Smruti, Crescent Circle, Crescent, Bhavnagar – 364 001, Tel.:
(0278)-2519961/2513231, Bhilwara: B-6 Ground Floor, S K Plaza, Pur Road, Bhilwara – 311 001, Rajasthan, Tel.: (01482) 242220/21, Bhuj: First Floor
13 & 14, Jubilee Circle, Opposite All India Radio, Banker’s Colony, Bhuj – 370 001, Gujarat, Tel: (02832) 220030, Bikaner: Gupta Complex, 1st Floor,
Opposite Chhapan Bhog, Rani Bazar, Bikaner – 334 001, Rajasthan, Tel: (0151) 2524755, Gandhinagar: Shop No.1 & 2, Shree Vallabh Chambers,
Nr. Trupti Parlour, Plot 382, Sector 16, Gandhinagar – 382 016, Gujarat, Tel : (079) 23240461, 23240786, Jaipur: 2nd Floor, Anand Bhavan, Sansar
Chandra Road, Jaipur-302 001, Tel: (0141)-4004941/43 to 46, Jamnagar: “Keshav Complex”, First Floor, Opp. Dhanvantary College, Pandit Nehru
Marg, Jamnagar – 361 001, Tel:(0288)-2662767/68, Jodhpur: 51 Kalpataru Shopping Centre, Shastri Nagar, Near Ashapurna Mall, Jodhpur - 342
005,Tel.: (0291)-5135100, Kota: Sunder Arcade, Plot No.1, Aerodrome Circle, Kota-324007, Tel: (0744)-2502242/07, Navsari: 1/4 Chinmay Arcade,
Sattapir, Sayaji Road, Navsari – 396 445, Gujarat, Tel: (02637)-233087, Rajkot: Race Course Plaza, Shop No.5,6,7, Ground Floor, Near Income
Tax, Rajkot-360 001, Tel:(0281) 2433525/244 0701, Sikar: 9-10, 1st Floor, Bhasker Height, Ward No.28, Silver Jubilee Road, Shramdaan Marg, Nr.
S K Hospital, Sikar, Rajasthan – 332 001, Tel: (01572) 271044, 271043, Sriganganagar: Shop No.4 Ground Floor, Plot No.49, National Highway
No.15, Opp. Bhihani Petrol Pump, Sriganganagar – 335 001, Rajasthan, Tel: (0154) 2481602, Surat: B-107/108, Tirupati Plaza, Near Collector Office,
Athwa Gate, Surat-395 001, Tel: (0261) 2474550, Udaipur: Ground Floor, RTDC Bldg., Hotel Kajri, Shastri Circle, Udaipur-313001, Tel: (0294)–
2423065/66/67, Vadodara: G-6 & G-7, “Landmark” Bldg., Transpeck Centre, Race Course Road, Vadodara-390 007, Tel: (0265) 2336962, Vapi: GF 1
& GF 2, Shoppers Stop, Near Jay Tower-1, Imran Nagar, Silvassa Road, Vapi – 396 195, Gujarat, Tel: (0260) 2421315.
BENGALURU REGION
Bengaluru: (1) B-14 & B-15, Gr Floor, Devatha Plaza, 132 Residency Road, Bengaluru - 560 025.Tel. No.:(080) 64535089, (2) 427 / 14-1, Harmony,
9th Main Road, Near 40th Cross, 5th Block, Jayanagar, Bengaluru -560 041, Tel: (080) 22440837, 64516489, (3) No.60, Maruthi Plaza, 8th Main,
18th Cross Junction, Malleswaram West, Bengaluru-560 055, Tel.: (080) 23340672, Belgaum: 1st Floor, ‘Indira’, Dr. Radha Krishna Marg 5th Cross,
Subhash Market, Hindwadi, Belgaum - 590 011, Karnataka, Tel.: (0831) 2423637, Bellary: Kakateeya Residency, Kappagal Road, Gandhinagar,
Bellary – 583 103, Karnataka, Tel: (08392) 255 634/635, Cuddapah: No. 2/790, Sai Ram Towers, Nagarajpeta, Cuddapah-516 001, Tel: (08562)
222121/131, Davangere: No.998 (Old No.426/1A) “Satya Sadhana”, Kuvempu Road, Lawers Street, K. B. Extension, Davangere - 577 002, Karnataka,
Tel.: (08192) 231730/1, Gulbarga: F-8, First Floor, Asian Complex, Near City Bus Stand, Head Post Office Road, Super Market, Gulbarga – 585
101, Karnataka, Tel.: (08472) 273864/865, Guntur: Door No.12-25-170, Ground Floor, Kothapet Main Road, Guntur–522 001, Tel: (0863)-2333819,
Hubli: 1st Floor, Kalburgi Square, Desai Cross, T B Road, Hubli-580 029, Dist Dharwad, Karnataka State, Tel: (0836)-2363963/64, Hyderabad: (1)
Lala II Oasis Plaza, 1st floor, 4-1-898 Tilak Road, Abids, Hyderabad-500 001, Tel: (040) 24750281/24750381/382, (2) 6-3-679, First Floor, Elite Plaza,
Opp. Tanishq, Green Land Road, Punjagutta, Hyderabad-500 082, Tel: (040)-23417246, (3) 10-2-99/1, Ground Floor, Sterling Grand CVK, Road No.
3, West Marredpally, Secunderabad-500 026, Tel: (040) 27711524, Mangalore: 1st Floor, Essel Tower, Bunts Hostel Circle, Mangalore-575 003, Tel:
(0824) 2426290, Mysore: No.2767/B, New No. 83/B, Kantharaj Urs Road, Saraswathipuram 1st Main, Opposite to Saraswathi Theatre, Mysore-570
009, Tel: (0821)-2344425, Nellore: Plot no.16/1433, Sunshine Plaza, 1st Floor, Ramalingapuram Main Road, Nellore – 524 002, Andhra Pradesh, Tel:
(0861) 2335818/19, Rajahmundry: Door No.7-26-21, 1st Floor, Jupudi Plaza, Maturi Vari St., T. Nagar, Dist. – East Godavari, Rajahmundry – 533101,
Andhra Pradesh, Tel.: (0883) 2008399/2432844, Tirupati: D no. 20-1-201-C, Ground Floor, Korlagunta junction, Tirumala Byepass Road, Tirupati-517
501, Andhra Pradesh, Tel.: (0877) 2100607/2221307, Vijaywada: 29-37-123, 1st Floor, Dr. Sridhar Complex, Vijaya Talkies Junction, Eluru Road,
Vijaywada-520 002, Tel:(0866) 2444819, Vishakhapatnam: 202, 1st Floor, Door No.9-1-224/4/4, Above Lakshmi Hyundai Car Showroom, C.B.M.
Compound, Near Ramatalkies Junction, Visakhapatnam-530 003, Tel : (0891) 2550 275, Warangal: House No.9-2-31, Shop No.23 & 24, 1st Floor,
Nirmala Mall, J P N Road, Warangal-506 002, Tel: (0870) 2441099 / 2440766.
CHANDIGARH REGION
Ambala: 5686-5687, Nicholson Road, Ambala Cantt, Haryana, Pin-133 001, Tel.: (0171) 2631780, Amritsar: 69, Court Road, Amritsar-143001, Tel:
(0183) 2564388, Bhatinda: 2047, II Floor, Crown Plaza Complex, Mall Road, Bhatinda – 151 001, Punjab, Tel: (0164) 223 6500, Chandigarh: Jeevan
Prakash (LIC Bldg.), Sector 17-B, Chandigarh-160 017, Tel: (0172) 2703683, Jalandhar: “Ajit Complex”, First Floor, 130 Ranjit Nagar, G. T. Road,
Jalandhar-144 001, Tel: (0181) 22324756, Jammu: 104, B2, South Block, 1st Floor, Bahu Plaza, Jammu – 180 014, Tel.: (0191) 247 0627, Ludhiana:
Ground Floor, S CO 28, Feroze Gandhi Market, Ludhiana-141 001, Tel: (0161) 2441264, Panipat: Office no.7, 2nd Floor, N K Tower, Opposite ABM
AMRO Bank, G T Road, Panipat – 132 103, Haryana, Tel.: (0180) 263 1942, Patiala: SCO No. 43, Ground Floor, New Leela Bhawan, Patiala,
Punjab-147 001, Tel: (0175) 2300341, Shimla: Bell Villa, 5th Floor, Below Scandal Point, The Mall, Shimla, Himachal Pradesh - 171 001, Tel. No.:
(0177) 2657 803.
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CHENNAI REGION
Chennai: (1) “Ruby Regency”, First Floor, New No.69/4, (Old Door No.65/4), Anna Salai, Chennai-600 002, Tel: (044) 2851 1727/2851 4466, (2) W
123, III Avenue, Annanagar, Chennai – 600 040, Tel: (044) 65720030, (3) 1st Floor, 29, North Usman Road, T Nagar, Chennai-600 017, Tel: (044)
65720011/12, Cochin: Ground Floor, Palackal Bldg., Chittoor Road, Nr. Kavitha International Hotel, Iyyattu Junction, Ernakulam, Cochin-682 011,
Kerala, Tel: (0484) 238 0259/2163, 286 8743, Fax: (0484) 237 0393, Coimbatore: U R House, 1st Floor, 1056-C, Avinashi Road, Opp. Nilgiris Dept.
Stores, Coimbatore-641 018, Tel: (0422) 2244973, Kottayam: Muringampadam Chambers, Ground Floor, Door No.17/480-F, CMS College Road,
CMS College Junction, Kottayam–686 001, Tel.: (0481) 2560734, Kozhikode: Aydeed Complex, YMCA Cross Road, Kozhikode - 673 001, Kerala,
Tel.: (0495) 2367284 / 324, Madurai: “Jeevan Jyothi Building”, First Floor, 134 Palace Road, Opp. to Christian Mission Hospital, Madurai - 625 001,
Tel.: (0452) 2333317, Salem: No.2/91, Sri Vari Complex, First Floor, Preethee Bajaj Upstairs, New Bus Stand Road, Meyyanur, Salem - 636 004, Tel.:
(0427) 2336163, Thiruvananthapuram: T C 15/49(2), 1st Floor, Saran Chambers, Vellayambalam, Thriuvananthapuram-695 010, Tel: (0471) 2723674,
Trichur: 26/621-622, Kollannur Devassy Building, 1st Floor, Town Hall Road, Thrissur-680 020, Tel. No.:(0487) 2331 259/495, Tirunelveli: 1st Floor,
10/4 Thaha Plaza, South Bypass Road, Vannarpet, Tirunelveli–627 003. Tel.: (0462) 2500186, Tirupur: 47, Court Street, Sabhapathipuram, Tirupur –
641 601, Tamil Nadu, Tel.: (0421) 223 6337/6339, Trichy: Kingston Park No.19/1, Puthur High Road, (Opp. Aruna Theatre), Puthur, Tiruchirapalli-620
017, Tel.: (0431) 2770713, Vellore: S R Arcade, 1st floor, 15/2 No.30, Officers Line, Vellore – 632 001, Tamil Nadu, Tel.: (0416) 223 5357/5339.
DELHI REGION
New Delhi: (1) G-5-10 Aggarwal Cyber Plaza, Netaji Subhash Place, Pitam Pura, Delhi – 110 034, Tel: (011) 27351001, (2) Savitri Bhawan, 1st & 2nd
Floor, Plot no.3 & 4, Preet Vihar Community Centre, Delhi-110 092, Tel: (011) 22529374, 22529398, (3) G-7, Hemkunt Tower (Modi Tower), 98, Nehru
Place (Near Paras Cinema), New Delhi-110 019, Tel: (011) 28898128, (4) 13th Floor, Jeevan Bharati, Tower II, Connaught Circus, New Delhi – 110
001. Tel: (011) 2332 7497, 2373 9491/2, (5) Bldg. No.4, First Floor, B-1, Community Centre, B-Block, Janak Puri, New Delhi – 110 058, Tel.: (011)
25523246/47/48, Dehradun: 56, Rajpur Road, Hotel Classic International, Dehradun-248 001, Tel: (0135) 2743203, Faridabad: Shop No.6, First Floor,
Above AXIS Bank, Crown Complex, 1 & 2 Chowk, NIT, Faridabad-121 001, Tel: (0129) 2424771, Ghaziabad: C-53 C, Main Road, RDC, Opp. Petrol
Pump, Ghaziabad - 201001, Uttar Pradesh, Tel: (0120) 2820920/23, Gurgaon: SCO 14, 1st floor, Sector 14, Gurgaon–122 001, Tel: (0124) 2336622,
Meerut: 10/8 Ground Floor, Niranjan Vatika, Begum Bridge Road, Near Bachcha Park, Meerut - 250 001, Uttar Pradesh, Tel.: (0121) 648031/2,
Moradabad: Shri Vallabh Complex, Near Cross Road Mall, Civil Lines, Moradabad – 244 001, Uttar Pradesh, Tel.: (0591) 2411220, Noida: J-26,
Ground Floor, Near Centre Stage Mall, Sector 18, Noida –201 301, Tel: (0120) 2512311 to 314.
GUWAHATI REGION
Agartala: Suriya Chowmohani, Hari Ganga Basak Road, Agartala - 799 001, Tripura, Tel.: (0381) 2387812, Guwahati: 1st Floor, Hindustan Bldg.,
M.L. Nehru Marg, Panbazar, Guwahati-781 001, Tel: (0361) 254 5870, Shillong: Saket Bhawan, Above Mohini Store, Police Bazar, Shillong-793 001,
Meghalaya, Tel.: (0364) 250 0910, Silchar: First Floor, N. N. Dutta Road, Shillong Patty, Silchar, Assam - 788 001, Tel.: (03842) 230082/230091,
Tinsukia: Ward No.6, Chirwapatty Road, Tinsukia – 786 125, Assam, Tel.: (0374) 234 0266/234 1026.
KOLKATA REGION
Kolkata: (1) 29, Netaji Subhash Chandra Road, Kolkata-700 001, Tel: (033) 22436571/22134832, (2) Ground Floor, 99 Park View Appt.,
Rash Behari Avenue, Kolkata-700 029, Tel.: (033) 24639811, (3) AD-55, Sector-1, Salt Lake City, Kolkata-700 064, Tel.: (033) 23371985,
Baharampur: 1/5 K K Banerjee Road, 1st Floor, Gorabazar, Baharampur – 742 101, West Bengal, Tel.: (03482) 277163, Balasore: Plot
No.570, 1st Floor, Station Bazar, Near Durga Mandap, Balasore – 756 001, Orissa, Tel.: (06782) 241894/241947, Barasat: 57 Jessore Road,
1st Floor, Sethpukur, Barasat, North 24 Paraganas, Pin-700 124, West Bengal, Tel.: (033) 25844583, Bardhaman: Sree Gopal Bhavan, 37 A,
G.T.Road, 2nd Floor, Parbirhata, Bardhaman – 713 101, West Bengal, Tel.: (0342) 2647238, Berhampur: 4th East Side Lane, Dharma Nagar,
Gandhi Nagar, Berhampur - 760 001, Orissa, Tel.: (0680) 2225094/95, Bhubaneshwar: 1st & 2nd Floor, OCHC Bldg., 24, Janpath, Kharvela
Nagar, Nr. Ram Mandir, Bhubaneshwar-751 001, Tel: (0674) 2410995, Bokaro: Plot C-1, 20-C (Ground Floor), City Centre, Sector – 4, Bokaro
Steel City, Bokaro – 827 004, Jharkhand, Tel.: (06542) 323865, 233348, Cuttack: Roy Villa, 2nd floor, Bajrakabati Road, P.O.-Buxi Bazar,
Cuttack-753 001, Orissa, Tel: (0671) 231 5350/5351/5352, Dhanbad: 111 & 112, Shriram Mall, Shastri Nagar, Bank More, Dhanbad-826 001,
Tel.: (0326) 6451 971/2304676, Durgapur: 3rd Administrative Bldg., 2nd Floor, Asansol Durgapur Dev. Authority, City Centre, Durgapur-713216,
Tel: (0343) 2546831, Jamshedpur: 1-A, Ram Mandir Area, Gr. & 2nd Floor, Bistupur, Jamshedpur-831 001, Tel: (0657) 2756074, Kalyani:
B-12/1 Central Park, Kalyani -741 235, District: Nadia, West Bengal, Tel.: (033) 25025135/6, Kharagpur: M/s. Atwal Real Estate Pvt. Ltd.,
1st Floor, M S Tower, O.T. Road, Opp. College INDA, Kharagpur, Paschim Midnapore-721 305, Tel: (0322) 228518, Malda: 10/26 K J Sanyal
Road, 1st Floor, Opp Gazole Taxi Stand, Malda – 732 101, West Bengal, Tel.: (03512) 223681/724/728, Ranchi : Shop No. 8 & 9, SPG
Mart, Commercial Complex, Old H B Road, Bahu Bazar, Ranchi-834 001, Tel: (0651) 2900 206/07, Rourkela: Shree Vyas Complex, Ground Floor,
Panposh Road, Near Shalimar Hotel, Rourkela – 769 004, Orissa, Tel.: (0661) 2401116/2401117, Sambalpur: Plot No.2252/3495, 1st Floor, Budharaja,
Opp. Budharaja Post Office, Sambalpur, Orissa-768 004, Tel: (0663) 2520214, Serampore: 6A/2, Roy Ghat Lane, Hinterland Complex, Serampore,
Dist. Hooghly – 712 201, West Bengal, Tel.: (033) 26529153/9154, Siliguri: Ground Floor, Jeevan Deep Bldg., Gurunanak Sarani, Sevoke Rd.,
Silliguri-734 401, Tel: (0353) 2535199.
LUCKNOW REGION
Agra: FCI Building, Ground Floor, 60/4, Sanjay Place, Agra–282 002, Tel: (0562) 2857789, 2858047, Allahabad: 4, Sardar Patel Marg, 1st Floor,
Civil Lines, Allahabad-211 001, Tel: (0532) 2561028, Aligarh: 3/339-A Ram Ghat Road, Opp. Atrauli Bus Stand, Aligarh, Uttar Pradesh–202 001, Tel :
(0571) 2741511, Bareilly: 116-117 Deen Dayal Puram, Bareilly, Uttar Pradesh-243 005, Tel.: (0581) 2303014, Bhagalpur: 1st floor, Kavita Apartment,
Opposite Head Post Office, Mahatma Gandhi Road, Bhagalpur-812 001, Bihar, Tel.: (0641) 2300040/41, Darbhanga: VIP Road, Allalpatti, Opposite
Mahamaya Nursing Home, P.O. Darbhanga Medical College, Laheraisarai, Dist – Darbhanga, Bihar – 846 003, Tel.: (06272) 250 033, Gaya: 1st Floor,
Zion Complex, Opp. Fire Brigade, Swarajpuri Road, Gaya-823 001, Bihar, Tel: (0631) 2221623, Gorakhpur: Cross Road The Mall, Shop No. 16 - 20,
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1st Floor, Bank Road, A. D. Chowk, Gorakhpur - 273 001, Uttar Pradesh, Tel.: (0551) 220 4995 / 4996, Kanpur: 16/77, Civil Lines, Kanpur-208 001,
Tel: (0512) 2304278, Lucknow: Aryan Business Park, 2nd floor, 19/32 Park Road (old 90 M G Road), Lucknow-226 001, Tel: (0522) 2238491/2238598,
Muzaffarpur: Ground Floor, LIC ‘Jeevan Prakash’ Bldg., Uma Shankar Pandit Marg, Opposite Devisthan (Devi Mandir) Club Road, Muzaffarpur (Bihar),
Pin – 842 002, Tel.: (0621) 2265091, Patna: 1st Floor, N.I. Building (LIC Bldg.), Besides Maharaja Kameshwar Complex, Fraser Road, Patna-800 001,
Tel: (0612) 2911207, Varanasi: 1st Floor, D-58/2A-1, Bhawani Market, Rathyatra, Varanasi-221 010, Tel: (0542) 2226881.
MUMBAI REGION
Mumbai: (1) Lotus Court Building, 196, Jamshedji Tata Road, Backbay Reclamation, Mumbai-400020, Tel: (022) 22821357, (2) UTI Tower, ‘Gn’ Block,
Ground Floor, Bandra-Kurla Complex, Bandra (E), Mumbai-400051, Tel: (022) 66786354/6101, (3) Purva Plaza, Ground Floor, Juntion of S V Road &
Shimpoli, Soni Wadi Corner, Borivali (West), Mumbai – 400 092. Tel. No.: (022) 2898 0521/ 5081, (4) Shop No.1-4, Ground Floor, Sai Plaza, Junction
of Jawahar Road and R. B. Mehta Road, Near Ghatkopar Rly Station, Ghatkopar (East), Mumbai - 400 077, Tel: (022) 25012256/25010812/715/833,
(5) Unit No.2, Block ‘B’, Opp. JVPD Shopping Centre, Gul Mohar Cross Road No.9, Andheri (W), Mumbai-400049, Tel:(022) 26201995/26239841, (6)
A-1, Ground Floor, Delphi Orchard Avenue, Hiranandani Business Park, Hiranandani Gardens, Powai, Mumbai–400 076, Tel: (022) 67536797/98, (7)
Shop no.2, Ground floor, Green Lawn Apartment, Opp. St., Pius College, Aarey Road, Goregaon (East), Mumbai – 400 063, Tel.: (022) 26866133,
(8) Plot No.12, Road No.9 Behind Hotel Tunga Paradise MIDC Marol, Andheri (East), Mumbai – 400 093, Maharashtra, Tel.: (022) 2836 5138,
Aurangabad: “Yashodhan”, Near Baba Petrol Pump, 10, Bhagya Nagar, Aurangabad – 431 001, Maharashtra, Tel.: (0240) 2345219 / 29, Jalgaon:
First Floor, Plot No-68, Zilha Peth, Behind Old Court, Near Gujrat Sweet Mart, Jalgaon (Maharashtra), Pin - 425 001, Tel.: (257) 2240480/2240486,
Kalyan: Ground Floor, Jasraj Commercial Complex, Chitroda Nagar, Valli Peer, Station Road, Kalyan (West) - 421 301, Tel: (0251) 2316063/7191,
Kolhapur: 11 & 12, Ground Floor, Ayodhya Towers, C S No 511, KH-1/2, ‘E’ Ward, Dabholkar Corner, Station Road, Kolhapur-416 001, Tel.: (0231)
2666603/2657315, Margao: Shop No. G-6 & G-7, Jeevottam Sundara, 81, Primitive Hospicio Road, Behind Cine Metropole, Margao, Goa-403 601,
Tel.: (0832) 2711133, Nasik: Apurva Avenue, Ground Floor, Near Kusumagraj Pratishthan, Tilak Wadi, Nasik-422002, Tel: (0253) 2570251/252, Panaji:
E.D.C. House, Mezzanine Floor, Dr. A.B. Road, Panaji, Goa-403 001, Tel: (0832) 2222472, Pune: (1) 1099A, First Floor, Maheshwari Vidya Pracharak
Mandal Building, Near Hotel Chetak, Model Colony Road, Shivaji Nagar, Pune-411 016, Tel.: (020) 25670419, (2) City Pride, 1st Floor, Plot No.92/C, D
III Block, MIDC, Mumbai-Pune Highway, Kalbhor Nagar, Chinchwad, Pune-411 019, Tel: (020) 65337240, Solapur: 157/2 C, Railway Lines, Rajabhau
Patwardhan Chowk, Solapur – 413 003, Maharashtra, Tel.: (0217) 223 11767, Thane: Suraj Arcade, Ground Floor, Next to Deodhar Hospital, Opp. To
HDFC Bank, Gokhale Road, Thane (West)-400 602, Tel: (022) 2533 2409, Vashi: Shop no. 4, 5 & 6, Plot no. 9, Ganesh Tower, Sector 1, Vashi, Navi
Mumbai – 400 703, Tel.: (022) 27820171/74/77.
NAGPUR REGION
Amravati: C-1, VIMACO Tower, S.T. Stand Road, Amravati – 444 602, Maharashtra, Tel.: (0721) 2553126/7/8, Bhilai: 38 Commercial Complex, Nehru
Nagar (East), Bhilai – 490 020, Distt. Durg, Chhattisgarh, Tel.: (0788) 2293222, 2292777, Bhopal: 2nd Floor, V. V. Plaza, 6 Zone II, M. P. Nagar,
Bhopal-462 011, Tel: (0755) 2558308, Gwalior: 45/A, Alaknanda Towers, City Centre, Gwalior-474011, Tel: (0751) 2234072, Indore: UG 3 & 4, Starlit
Tower, YN Road, Indore-452 001, Tel:(0731) 2533869/4958, Jabalpur: Ground Floor, Ayush Complex, Home Science College Road, Napier Town,
Jabalpur, Madhya Pradesh–482 001, Tel: (0761) 2480004, 2480005, Nagpur: 1st Floor, Shraddha House, S. V. Patel Marg, Kings Way, Nagpur-440
001, Tel: (0712) 2536893, Raipur: Vanijya Bhavan, Sai Nagar, Jail Road, Raipur-492 009, Tel: (0771) 2881410/12, Ratlam: Shop No. 3 Ground Floor,
Ratlam Plaza, 16/45 New Road, Ratlam – 457 001, Madhya Pradesh, Tel.: (07412) 243041/222771/2.
UTI NRI CELL
UTI Tower, ‘Gn’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai-400 051, Tel: 66786064 • Fax 26528175 •E-mail: uti-nri [at] uti [dot] co [dot] in
OFFICE OF THE REGISTRAR
M/s. Karvy Computershare Pvt. Ltd.: Narayani Mansion, H. No. 1-90-2/10/E, Vittalrao Nagar, Madhapur, Hyderabad – 500 081, Tel.: (040) 23312454,
Fax: (040) 23115503, Email: uti [at] karvy [dot] com
KARVY CENTRES
Abohar: C/o. Shri S K Goyal, Business Development Associate of UTI Mutual Fund, H. No. 1184, Street No.5, 7th Chowk, Abohar, Punjab – 152
116, Tel.: 01634 – 221238, Ahmednagar: C/o. Mr. Santosh H. Gandhi, 3312, Khist Lane, Ahmednagar – 414 001, Maharashtra, Mob.: 9850007454,
Akola: Shop No.30, Ground Floor, Yamuna Tarang Complex, N H No.06, Murtizapur Road, Akola – 444 004 Tel.: 0724 – 2451 874, Alappuzha:
Karvy Computershare Pvt. Ltd., 2nd Floor, JP Towers, Near West of Zilla Court Bridge, Mullakkal, Alappuzha (Alleppey) – 688 011, Tel.: 0477-3294001,
Ananthapur: # 15-149, 2nd Floor, S.R.Towers, Opp: Lalithakala Parishat, Subash Road, Anantapur-515 001, Tel.: (08554) 244449, Andaman &
Nicobar Islands: C/o Shri P N Raju, 5, Middle Point, 112, M G Road, Midyna Tower, Ground Floor, Port Blair, Andaman & Nicobar Islands – 744 101,
Tel.: 03192-233083, Angul: C/o Shri Surya Narayan Mishra, 1st Floor, Sreeram Complex, NH-42,Similipada, Angul, Orissa, Pin-759122, Tel.: 06764-
230192, Asansol: 18, G T Road, 1st Floor, Asansol-713 301, Tel.: (0341) 2214624, Bilaspur: Karvy Computershare Pvt. Ltd., Shop no. 201/202, V R
Plaza, Link Road, Bilaspur – 495 001, Tel.: 07752-408436, Chinsura: J C Ghose Sarani, Near Bus Stand, Chinsura–712101, Tel: (033) 26810049/50,
Dhule: Ashoka Estate, Shop No. 14/A, Upper Ground Floor, Sakri Road Opp. Santoshi Mata Mandir Dhule – 424 002 Tel.: (02562) 282824 / 23
Dindigul: No.9, Old No.4/B, New Agraharam, Palani Road, Dindigul-624 001, Tel.: (0451) 2436077/177, East Midnapore: C/o Shri Manoj Kumar Dolai,
Town Padumbasan, P O Tamluk, East Midnapore, West Bengal, Pin-721636, Mob.: 953228266242, Eluru: 23A-3-32, Gubbalavari Street, R R Pet,
Eluru - 534 002, Tel.: (08812) 227851 to 54, Erode: No. 4, KMY Salai, Veerappan Traders Complex, Opp. Erode Bus Stand, Sathy Road, Erode-638
003, Tel.: (0424) 2225615, Gandhinagar: 27, Suman Tower, Near Hotel Haveli, Sector No.11, Gandhinagar, Ahmedbad-382 011, Tel.: (079) 28529222
/ 23249943 / 4955, Haridwar: 8, Govind Puri, Opp. LIC 2, Above Vijay Bank, Main Road, Ranipur More, Haridwar-249 401, Tel.: (01334) 312828,
Hazaribagh: C/o. Hemlata Jain, Kalibari Road, Hazaribagh–825301, Tel.: (06546) 267352, Hissar: Sco 71, 1st Floor, Red Square Market, Hissar–125
001, Tel.: (01662) 225845/68/36, Howrah: C/o Shri Asok Pramanik, Uluberia – R.S., Majherrati, Jaduberia, Dist. Howrah, West Bengal, Pin-711316,
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Tel.: 033-26610546, Jalpaiguri: D.B.C. Road, Near Rupasree Cinema Hall, Beside Kalamandir, Po & Dist Jalpaiguri, Jalpaiguri–735 101, Tel.: (03561)
224207/225351, Jhansi: 371/01, Narayan Plaza, Gwalior Road, Near Jeevan Shah Chauraha, Jhansi-284 001, Tel.: (0510) 2333685, Jorhat: New
Medical Store Complex, 3rd Floor, A T Road, Opp. Chowk Bazar, Jorhat–785 001, Tel.: (0376) 2301923, Junagadh: 124/125, Punit Shopping Center,
Ranavat Chowk, Junagadh, Gujarat–362 001, Tel.: (0285) 2624154, Kannur: 2nd Floor, Prabhat Complex, Fort Road, Kannur– 689 107, Tel.: (0497)
2764190, Karimnagar: H. No.4-2-130/131, Above Union Bank, Jafri Road, Rajeev Chowk, Karimnagar-505001, Tel.: (0878) 2244773/ 75/79, Karnal:
Karvy Computer Pvt Ltd., 18/369, Char Chaman, Kunjpura Road, Karnal – 132 001, Haryana, Tel:(0184) 2251524 / 2251525 / 2251526, Khammam:
2-3-117, Gandhi Chowk, Opp. Siramvari Satram, Khammam-507 003, Tel.: (08742) 258567, Kollam: Vigneshwara Bhavan, Below Reliance Web World,
Kadapakkada, Kollam–691 008, Tel.: (0474) 3012778, Korba: 1st Floor, 35 Indira Complex, P. Nagar, Korba (C.G.) – 495 677, Tel.: (07759) 245089/
245354/ 320039, Krishna: C/o Shri Mamidi Venkateswara Rao, D. No. 25-474, Kojjilipet, Machilipatnam, Dist Krishna, Andhra Pradesh, Pin-521001,
Tel.: 08672-221520, Kurnool: Shop No.43, 1st Floor, S V Complex, Railway Station Road, Kurnool - 518 004, Tel.: (08518) 228850/950, Madhubani:
C/o Shri Anand Kumar, Bimal Niwas, 7/77, Narial Bazar, P.O. & Dist. Madhubani, Bihar, Pin-847211, Tel.: 06276-223507, Malout: S/o. S. Kartar
Singh, Back Side SBI Bank, Ward No.18 H. No.202, Heta Ram Colony, Malout, Distt. Muktsar – 152 107, Punjab, Mob.:9417669417, Mathura: Karvy
Computershare Pvt. Ltd., Ambey Crown II Floor, In front of BSA Collage, Gaushala Road, Mathura – 281 001, Mob.: 9369918618, Mehsana: 14-15,
Prabhu Complex, Near HDFC Bank, Mehsana Highway, Mehsana–384 002, Tel.: (02762) 322559, Nadia: C/o Shri Prokash Chandra Podder, Udayan,
20, M.M. Street, (Nr. Sadar Hospital, Traffic More), PO Krishnagar, Dist. Nadia, West Bengal, Pin-741101, Mob.: 953472255806, Nagaon: C/o Shri
Sajal Nandi, A D P Road, Christianpatty, Nagaon, Assam, Pin-782001, Tel.: 03672-233016, Nagarcoil: 3 A, South Car Street, Parfan Complex, Nr The
Laxmi Vilas Bank, Nagarcoil –629 001, Tel: (04652) 233551/52/53, Nalanda: C/o MD Mokhtar Alam, Hotel Anukul Complex, Post Office Road, P.O.
Biharsharif, Dist. Nalanda, Bihar, Pin-803101, Tel.: 06112-227199, Nanded: Karvy Computershare Private Limited, Shop No.4, First Floor, Opp. Bank
of India, Santkrupa Market, Gurudwara Road, Nanded, Maharashtra – 431 602 – Tel.: 02462 – 237885, Nizamabad: H. No. 5-6-430, First Floor, Above
Bank of Baroda, Beside HDFC Bank, Ginza View, Hyderabad Road, Nizambad-503 003, Tel.: (08462) 224366, Ongole: Y R Complex, Near Bus Stand,
Opp. Power House, Kurnool Road, Ongole-523 002, Tel.: (08592) 657801/282258, Palghat: 12/310, (No.20 & 21), Metro Complex, Head Post Office
Road, Sultanpet, Palghat, Tel.: (0491) 2547143/373, Patnamthitta: C/o. UTI Financial Centre, Near Superintendent of Police Office, Kumbakattu Nagar,
Makkamkunnu, Patnamthitta – 689 645, Kerala, Tel.: (0468) 2320769, Pondicherry: No. 7, First Floor, Thiayagaraja Street, Pondicherry – 605 001
Tel: (0413) 2220 640, Puri: C/o Shri Pradeep Kumar Nayak, Lavanyapuri, Sarvodaya Nagar, Puri, Orissa, Pin-752002, Tel.: 06752-251788, Rewari:
H. No. 3398 1/H, Shiv Kutir, Near Saini Sr. Secondary School, Mohalla Said Sarai, Rewari – 123 401, Haryana, Tel.: (01274) 253470, Rohtak: 1st
Floor, Ashoka Plaza, Delhi Road, Rohtak–124 001, Tel.: (01262) 253597/271984/230258, Roorkee: Shree Ashadeep Complex, 16 Civil Lines, Near
Income Tax Office, Roorkee- 247 667, Tel.: (01332) 277664/667, Saharanpur: 18 Mission Market, Court Road, Saharanpur– 247 001, Uttar Pradesh,
Tel.: (0132) 3297451, Sangli: C/o. Shri Shridhar D Kulkarni, “Gurukrupa Sahniwas” CS No.478/1, Gala No. B-4, Sambhare Road, Gaon Bhag, Near
Maruti Temple, Sangli – 416 416, Maharashtra, Tel.: (0233) 2331228, Satara: C/o. Shri Deepak V. Khandake, ‘Pratik’, 31 Ramkrishna Colony Camp,
Satara – 415 001, Tel.: (02162) 230657, Satna: 1st Floor, KB Complex, Reva Road, Satna-485 001, Tel.: (07672) 503791, Shimoga: LLR Road, Opp.
Telecom Gm Office, Durgi Gudi, Shimoga–577 201, Tel.: (08182) 227485, Thanjavur: Nalliah Complex, No.70, Srinivasam Pillai Road, Thanjavur–613
001, Tel.: (04362) 279407/08, Tuticorin: 4 B, A34, A37, Mangalmal, Mani Nagar, Opp. Rajaji Park, Palayamkottai Road, Tuticorin–628 003, Tel.: (0461)
2334601/602, Udupi: C/o Shri Walter Cyril Pinto, C/o Feather Communications, 13-3-22A1, Vishnu Prakash Building, Ground Floor, Udupi, Karnataka,
Pin-576101, Tel.: 0820-2529063, Ujjain: 101, Astha Tower, 13/1, Dhanwantri Marg, Free Gunj, Ujjain-456 010, Tel.: (0734) 3203222/3205222/2515313
/2515321, Uttar Dinajpur: C/o Shri Prasanta Kumar Bhadra, Sudarshanpur, Near Telecom Exchange, P.O. Raiganj, Uttar Dinajpur, West Bengal, Pin-
733134, Tel.: 03523-253638, Valsad: Shop No 2, Phiroza Corner, ICICI Bank Char Rasta, Tithal Road, Valsad–396 001, Tel.: (02632) 326902.
DUBAI REPRESENTATIVE OFFICE
UTI International Limited, Office No.4, Level 4, Al Attar Business Towers, Near DIFC, Post Box No. 29288, Sheikh Zayed Road, Dubai (UAE), Tel:
+971-4- 3857707 • Fax: +971-4-3857702.
AXIS BANK ATMS (only for redemption transactions), UTI MF website (www.utimf.com), AND STOCK BROKERS
REGISTERED ON THE MUTUAL FUND PLATFORM OF NSE/BSE AND ALSO EMPANNELLED WITH UTI MF ARE OPAs.
For further details refer to SAI.