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Microlesson · 5-min read

Buy Back of Shares — Three Tests for Maximum Permissible Buyback

## Three Tests for Maximum Buyback of Shares

A company must satisfy all three tests before proceeding with a buyback. The maximum permissible buyback is the minimum result across all three tests.

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### Test 1 — Shares Outstanding Test

> Maximum shares that can be bought back = 25% of total paid-up equity share capital (by number of shares)

This is a headcount cap — it answers how many shares, not how much money.

Formula:

```

Max shares = Total paid-up equity shares × 25%

```

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### Test 2 — Resources Test

> Total buyback consideration must not exceed 25% of (paid-up capital + free reserves)

Formula:

```

Max BB amount = (Paid-up capital + Free reserves) × 25%

Max shares = Max BB amount ÷ Buyback price per share

```

Free reserves include: Securities Premium, General Reserve, Profit & Loss (credit balance). Deduct any accumulated debit balance in P&L.

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### Test 3 — Debt-Equity Ratio Test

> Post-buyback: Total Debt ≤ 2 × Total Equity (D:E ratio must not exceed 2:1)

Step-by-step:

1. Identify Total Debt = Secured borrowings + Unsecured borrowings + Current liabilities (Trade payables excluded if given separately; ICAI permits both treatments)

2. Minimum equity post-buyback = Total Debt ÷ 2

3. Maximum buyback amount = Present Equity − Minimum Equity (net of simultaneous CRR transfer — see CRR Calculation topic)

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### Decision Rule

TestResult
1 – Shares OutstandingX shares
2 – ResourcesY shares
3 – Debt-EquityZ shares
Maximum permissiblemin(X, Y, Z)

If the company proposes a buyback ≤ min(X, Y, Z), it complies with the Companies Act 2013.

Special situations:

  • If present equity is already below the required minimum equity (D:E already breached), no buyback is permissible under Test 3.
  • If present equity exactly equals minimum equity, the D:E test allows zero buyback.

Worked example

### Example 1

Q013 — All three tests with D:E calculation

Given: 4,00,000 equity shares; Paid-up capital + Free reserves = ₹1,16,00,000; Total debt (incl. current liabilities) = ₹1,20,00,000; Buyback price = ₹25, FV = ₹10.

Test 1 (Shares Outstanding):

4,00,000 × 25% = 1,00,000 shares

Test 2 (Resources):

₹1,16,00,000 × 25% = ₹29,00,000 ÷ ₹25 = 1,16,000 shares

Test 3 (D:E Ratio):

Min equity post-BB = ₹1,20,00,000 ÷ 2 = ₹60,00,000

Gap = ₹1,16,00,000 − ₹60,00,000 = ₹56,00,000

Max shares (shortcut) = ₹56,00,000 ÷ (₹25 + ₹10) = ₹56,00,000 ÷ ₹35 = 1,60,000 shares

Conclusion: Least of three = 1,00,000 shares (Test 1 is binding)

Company proposes to buy back 80,000 shares — within the permissible limit ✓

### Example 2

Q014 — Three cases showing pass, fail, and zero scenarios (₹ in crores)

Given: 33 crore shares; Paid-up capital + Free reserves = ₹750 cr; Buyback price = ₹30, FV = ₹10.

Test 1 (same for all cases): 33 cr × 25% = 8.25 crore shares

Test 2 (same for all cases): ₹750 cr × 25% ÷ ₹30 = ₹187.5 cr ÷ ₹30 = 6.25 crore shares

Test 3 — Case I (Total Debt = ₹1,800 cr):

Min equity = ₹1,800 cr ÷ 2 = ₹900 cr > Present equity ₹750 cr

→ D:E already breached. No buyback possible.

Test 3 — Case II (Total Debt = ₹1,200 cr):

Min equity = ₹1,200 cr ÷ 2 = ₹600 cr

Gap = ₹750 − ₹600 = ₹150 cr

Max shares = ₹150 cr ÷ (₹30 + ₹10) = 3.75 crore shares ← binding

Test 3 — Case III (Total Debt = ₹1,500 cr):

Min equity = ₹1,500 cr ÷ 2 = ₹750 cr = Present equity

Gap = ₹0 → No buyback possible.

Conclusion (Case II only): Least of three = 3.75 crore shares

⚠️ Common exam mistakes

  • Selecting the maximum of the three tests instead of the minimum — the binding constraint is always the least result
  • Using the same equity figure for all three tests without recognising that Test 3 involves a simultaneous CRR deduction (see CRR topic)
  • Confusing Test 1 (headcount: shares as % of outstanding shares) with Test 2 (money: rupees as % of capital + reserves)
  • Including trade payables in Total Debt for Test 3 without checking the question — ICAI permits both inclusions and exclusions; state your assumption
  • Failing to check whether the company already violates the D:E ratio before buyback — if present equity < required minimum equity, no buyback is possible at all
Bare-Act text Section 68(2)(d) and (f) · Companies Act, 2013 · click to expand
No company shall purchase its own shares or other specified securities unless— (d) the buy-back is twenty-five per cent or less of the aggregate of paid-up capital and free reserves of the company: Provided that the buy-back of equity shares in any financial year shall not exceed twenty-five per cent of its total paid-up equity capital in that financial year; (f) the ratio of the aggregate of secured and unsecured debts owed by the company after buy-back is not more than twice the paid-up capital and its free reserves.
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