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1. Required documents for transfer of securities in physical mode:


As per SEBI circular No.SEBI/HO/MIRSD/ODS3/CIR/P/2018/139 dated 06.11.2018 and SEBI Press dated 27.03.2019 request for effecting transfer of shares in physical form shall not be processed from 1st April 2019 except the cases that the transfer deed(s) lodged prior to deadline i.e., before 01.04.2019 and returned due to deficiency in the documents. Those documents which were rejected due to technical reasons can be re-submitted by holders along with following documents.


a.  Rejected Transfer deed(s) duly filled in and stamped in all respects (Form 7B or SH-4)
b.  Original Share certificate(s).
c.  PAN copy of the both transferor and transferee. (The transfer deed executed on or before 1st December 2015 also will be accepted in the absence of PAN copy of the transferor as per the circular dated 6th November 2018, in case of rejection and returned requests before deadline.
d.  Sufficient Share Transfer stamps should be affixed on the transfer deeds.
e.  In case of major mismatch or non-availability of Transferor’s Signature, the transferee has to provide the Indemnity Bond as prescribed by SEBI.Click here for Transferee Indemnity format.
f.  Mismatch of name on share certificate and name in PAN Card: In such cases, transfer shall be registered on submission of any of the following additional documents explaining the difference in names:

1.  Copy of Passport
2.  Copy of Legally recognized Marriage Certificate
3.  Copy of Gazette notification regarding change in name
4.  Copy of Aadhar Card

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2. Required documents for transmission of securities in physical mode:


As per SEBI circular No. SEBI/HO/MIRSD3/CIR/P/2016/85 dated 15.09.2016; the following documents are required for registration of transmission of shares.

I. For securities held in single name with a nominee:

1.  Duly signed transmission request form by the nominee.Click here for Transmission Application Form.
2.  Copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.
3.  Self attested copy of PAN card of the nominee. (Copy of PAN card may be substituted with ID proof in case of residents of Sikkim after collecting address proof)
4.  Original share certificate(s).

II. For securities held in single name without a nominee

A. For value of Securities upto Rs.2,00,000 per issuer company as on date of application:

1.  Duly signed transmission request form by legal heir.
2.  Copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.
3.  Self attested copy of PAN card of the legal heir. (Copy of PAN card may be substituted with ID proof in case of residents of Sikkim after collecting address proof).
4.  An Affidavit from all the legal heirs made on appropriate non judicial stamp paper – to the effect of identification and claim of legal ownership to the securities.
5.  Succession certificate or probate of will or will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925. Or (in absence of Succession Certificate)

a.  A No objection certificate [NOC] from all legal heir(s) executed by all the legal heirs of the deceased holder not objecting to such transmission (or) copy of Family Settlement Deed duly notarized

and

b. An Indemnity bond made on appropriate non judicial stamp paper – indemnifying the STA/Issuer Company.

6.  Original Share certificate(s).
7.  Any other documents and Sureties if any as required by the concerned company. Click here for Transmission formats.

B. For value of Securities more than Rs.2,00,000 per issuer company as on date of application:

1.  Duly signed transmission request form by legal heir.
2.  Copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.
3.  Self attested copy of PAN card of the legal heir. (Copy of PAN card may be substituted with ID proof in case of residents of Sikkim after collecting address proof).
4.  An Affidavit from all the legal heirs made on appropriate non judicial stamp paper – to the effect of identification and claim of legal ownership to the securities.
5.  Succession certificate or probate of will or will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925.
6.  Original Share certificate(s).
7.  Any other documents and Sureties if any as required by the concerned company.Click here for Transmission formats.

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3. Name Deletion on share certificate: Submit the following documents


1.  Copy of death certificate duly attested by a Notary Public or by a Gazetted Officer.
2.  Self attested copy of PAN card of Joint shareholder(s).
3.  A Request letter duly signed by Joint Shareholder(s).
4.  Original Share Certificate(s).

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4. Change of name in physical share certificates


Any shareholder who is desirous of changing/updating his/her name in the share certificates possessed by him/her will have to make application to the company/RTA along with following documents:


1.  Request letter mentioning the reason for the name change
2.  Attested copies of marriage certificate or Gazette notification
3.  Self attested copy of PAN card
4.  Self attested copy of address proof. (E.g. Aadhar card/voter id/driving license/bank statement etc.)
5.  Original share certificate(s).

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5. What is the procedure for consolidation and sub-division of shares?


The shareholder(s) has to make a written application along with the original share certificate(s) for consolidation / sub-division as the case may be and new certificate(s) in lieu of the original one(s) will be issued. For the convenience of payment of dividend, transfer etc., it is desirable that the shares held in different folios in the same names may be consolidated into one folio.

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6. How to dematerialize the securities


Dematerialisation means conversion of physical shares into Electronic Form, the shareholders needs to have demat account with Depository Participants (DPs) who have connectivity with either of Depositories viz., National Securities Depository Limited (NSDL) or Central Depository Services Limited (CDSL). The Shareholders will have to lodge the securities of the Issuer Company along with Demat Request Form (DRF) duly filled in and signed for the purpose of dematerialisation to the concern DPs. DPs shall comply with the required formalities and then send the original share certificates along with DRF to the company’s Share Transfer Agent for confirmation of dematerialisation. Your DP will update your account after each transaction, and would periodically furnish you with a statement of holding.

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7. How to rematerialize the demated shares


Rematerialisation means conversion of shares from electronic form to physical form. This process will facilitate the shareholders to get shares in physical form. For this purpose the shareholder have to approach the DP and submit the Remat Request Form (RRF) duly filled in and signed to the concern DPs where they have demat account, and then DP will forward RRF along with Client Master List (CML) to the Company’s Share Transfer Agent (STA). Upon getting the Remat Request Form, if the same is in order the RRF will confirmed electronically for the requested quantity of shares. STA will issue and dispatch the physical share certificate to the respective Shareholder in consultation with the Issuer Company.

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8. How to obtain duplicate share certificate


In case, if the original share certificate(s) have been lost / misplaced duplicate share certificate(s) can be obtained by submitting the following documents:

a.  Copy of First Information Report (FIR) issued by the Police Department or At least Police complaint acknowledgement.
b.  An Affidavit in the specified format, executed on appropriate non-judicial stamp paper duly notarized.
c.  An Indemnity bond in the specified format executed on appropriate non-judicial stamp paper.
d.  Proof of Photo Identity (self attested copy of any one Passport/Voter ID/PAN Card/Driving License).
e.  Residence Proof (Copy of any one Telephone Bill / Ration Card / Electricity bill / Aadhar Card)
f.  Advertisement charges payable to company as per the company’s procedure
g.  Additional documents if any required as per company’s procedure.Click here for Duplicate share certificate formats.


On receipt of above said documents, Company shall arrange to intimate Stock Exchanges and then take steps to issue duplicate share certificate(s).

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9. How to obtain duplicate dividend / interest warrant(s)


In case the original dividend / interest warrant(s) has been lost / misplaced, duplicate warrant(s) can be obtained by submitting the following documents before expiry of valid date:  

a.  An Affidavit in the specified format, executed on a non-judicial stamp paper duly notarized.Click here duplicate dividend Indemnity Bond.
b.  Bank Account particulars (either original cancelled cheque or Bank passbook with IFSC
c.  Proof of Identity (Copy of Passport / Voters ID / PAN Card / Driving License / any other valid Photo Identity proof), Residence Proof (Copy of Telephone Bill / Ration Card / Electricity bill / Aadhar card).


On receipt of above said documents, Company shall arrange to inform its Bankers and issue duplicate warrant(s).

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10. How to record Nomination


Pursuant to section 72 of the Companies Act, 2013 and rule 19(1) of the Companies (Share Capital and Debentures) Rules 2014, shareholder(s) who holds shares in physical form desirous to submit the Nominee Form SH-13 along with nominee self attested copy of PAN and Aadhar cards either to Company or its Share Transfer Agent for registration. Click here for Form Sh-13.

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11. How to Cancel or change previous Nomination


Pursuant to sub-section (3) of section 72 of the Companies Act, 2013 and rule 19(9) of the Companies (Share Capital and Debentures) Rules 2014, nominee name can be canceled or changed by submitting Form No. SH-14 along with new nominee self attested copy of PAN and Aadhar cards either to company or it’s Share Transfer Agent. Click here for Form Sh-14.

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12. How to update KYC details:


As per SEBI circulars dated 20.04.2018 & 08.06.2018, the shareholders who are having shares in physical mode are required to submit the following documents either to Issuer Company or its Share Transfer Agent along with KYC Form. Click here for KYC Form.

a.  Copy of self attested PAN Card of all the Holders.
b.  Original Cancelled cheque leaf of first holder and Bank Passbook/Bank Statement duly attested by Bank in case the name of the first holder is not available on the cheque leaf.


Securities holders who are unable to provide PAN and Bank account details, securities available in their name as per the records of RTA does not belongs to them and it shall be subject to enhanced due diligence by issuer company/RTA.


A Securities holder who fails to update their bank details with STA, they won’t get dividend / interest through National Electronic Clearance Service (NECS).

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13. How to record change of mailing address:


All the communication from companies to its shareholders will be made at their registered mailing addresses. In case of change in the address of Members holding securities in dematerialized form, they may provide their new address along with address proof of the same to their respective Depository Participants (DPs).


In case of Members holding securities in physical form, they may provide their new address along with proof of the same either to the company or its Registrars and Share Transfer Agent. Click here Requisition Form.

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14. Procedure for claim of shares & dividend from IEPF account:


Pursuant to Section 124(6) of the Companies Act, 2013 read with Investor Education and Protection Fund Authority (Accounting, Audit, Transfer & Refund) Rules 2016 as amended (IEPF Rules), the company is required to transfer the shares in respect of which dividend remains unpaid or unclaimed for a period of seven consecutive years or more to the Investor Education and Protection Fund (IEPF) Authority which have come into force from September 7, 2016.


Shareholder have to claim the shares/all unclaimed dividend from IEPF Authority by making an Application in Form IEPF-5 online and forward the physical copy (print out) of the same duly signed as per registered specimen signature along with following documents to Nodal Officer (IEPF) of the company at its registered office in an envelope marked "Claim for refund from IEPF Authority".


We furnish below required documents and procedure to claim the amount/shares transferred to IEPF:-


1. Download the form IEPF-5 from the website of IEPF (http://www.iepf.gov.in), fill the form and save it on your computer. Before filling & saving the claim form IEPF-5 read the instructions provided on the website/instruction kit.

2. After filling the form save it on your computer and submit the duly filled form IEPF-5 by following the instructions given in the upload link on the website. On successful uploading an acknowledgement will be granted indicating the SRN. Please note the SRN for future tracking of the form.

3. Take a print out of the duly filled IEPF-5 and the acknowledgement (SRN) issued after uploading the form.

4. Submit (a) Self-attested copy of IEPF-5 form duly signed by all the shareholders (b) Self attested copy of MCA acknowledgement (SRN) (c) Indemnity bond in original to be signed by all the shareholders as per format duly typed on non-judicial stamp paper and duly filled the details of shares & total dividend amount (d) Advanced stamp receipt signed by all the shareholders across the revenue stamp and duly filled the details of shares & total dividend amount (e) Original share certificates or self certified copy of demat account transaction statement in case demat shareholder (f) Self attested copies of Aadhar card & PAN Card (g) Original cancelled cheque leaf and Certified copy of Bank Pass Book or Statement in case of name is not printed on the cheque leaf (h) Self certified copy of Passport/OCI and PIO card in case of NRI shareholders (i) Self attested copy of Demat account client master list to the Nodal officer of the company.

Claim forms completed in all aspects will be verified by the concerned company and on the basis of company's verification report; refund will be released by the IEPF Authority in favor of claimants' Aadhaar linked bank account through electronic transfer.

For further any clarification or more information shareholder may contact or write or email either to company or to us. We will happy to assist shareholders. Click here for IEPF-5 formats (10).

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