Please submit the following documents to the RTA:

(a) Duly filled Transmission Request Form - Form ISR-5 (b) Original Death Certificate or copy of Death Certificate duly attested by the nominee subject to verification with the original or copy of death certificate duly attested by a notary public or by a gazetted officer (c) Original share certificate(s) (d) Self-attested copy of PAN card of the Nominee

Please submit the following documents to the RTA:

(a) Duly filled Transmission Request Form  - Form ISR-5.

(b) Original share certificate(s).

(c) Self-attested copy of the PAN card of the legal heir(s)/claimant(s)/Applicant(s).

(d) Original Death Certificate or copy of Death Certificate duly attested by the legal heir(s)/claimant(s) subject to verification with the original or copy of death certificate duly attested by a notary public or by a gazetted officer.

(e) Notarized Affidavit from all legal heir(s) made on non-judicial stamp paper of appropriate value, to the effect of identification and claim of legal ownership to the securities.

(f) a copy of 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 (39 of 1925) or Legal Heirship Certificate or its equivalent certificate issued by a competent Government Authority, attested by the legal heir(s)/claimant(s) subject to verification with the original or duly attested by a notary public or by a Gazetted Officer.

Provided that in a case where a copy of Will or a Legal Heirship Certificate or its equivalent certificate issued by a competent Government Authority is submitted, the same shall be accompanied with a notarized indemnity bond from the legal heir(s) /claimant(s) to whom the securities are transmitted, in the prescribed format.

Provided further that in a case where a copy of Legal Heirship Certificate or its equivalent certificate issued by a competent Government Authority is submitted, the same shall also be accompanied with a No Objection certificate from all non-claimants, in the prescribed format.

(g) For value of securities, threshold limit of up to INR 5,00,000 or such other value as may be decided by the Board for shares held in physical form and upto INR 15,00,000 per beneficial owner in case of shares held in demat form, as on the date of the application, and where the documents mentioned in (f) above are not available, the legal heir(s)/Claimant(s) may submit the following documents :

(i) No objection certificate from all legal heirs who do not object to such transmission; or Copy of family settlement deed duly attested by notary public or by a gazetted officer and executed by all the legal heirs.

(ii) A notarized Indemnity bond made on appropriate non judicial stamp paper, indemnifying the Company / RTA.

Please provide the following documents to RTA:

- Name deletion request

- Original or copy of Death Certificate duly attested by nominee subject to verification with original

or copy of death certificate duly attested by a notary public or by a gazetted officer

- Relevant share Certificate

- Self-attested copy of PAN card

Transmission of Securities in Joint Demat Accounts i.e. deletion of name.

In case of death of the holder(s) in joint demat account, the surviving holder (s) may opt to continue the existing demat account by deleting the name of deceased account holder(s) from the demat account, by submitting to the depository participant a specific request along with the original death certificate or copy of death certificate attested by the joint account holder(s) subject to verification with the original or copy of the death certificate duly attested by a notary public or by a gazetted officer or death certificate downloaded from the online portal of Government carrying digital/facsimile signature of the issuing authority.

In case, if the surviving holder(s) fails to submit above mentioned request within one year of the date of demise, a new demat account shall be opened by the surviving account holder(s) to execute transmission as per the existing procedure.

Please refer the NSDL circular no. NSDL/CIR/II/44/2023 dated November 07, 2023 for the operational guidelines for Transmission of Securities in Joint Demat Accounts i.e. deletion of name.

Please refer to the below process/ flow chart regarding issuance of shares post submission of all documents for transmission

NOTES:

For securities held in electronic form, please contact your Depository Participant.

For securities held in physical form, please ensure that your folio is KYC compliant. For more details on KYC compliance, please refer to faqs on KYC.

If you wish to appoint a nominee, kindly download and fill in the enclosed Nomination Form (SH-13) and submit it to our RTA.

Please send the documents enclosed for – making a new Nomination

1. Singly, if you are a sole holder, or jointly, if you are joint holders, to our RTA – KFin Technologies Limited

2. After verifying your signatures and details, your nomination would be registered and an intimation of the same would be sent to you, which you are requested to preserve to avoid any future dispute

The nomination can be made only by individual(s) holding shares singly or jointly. If the shares are held jointly, all the joint holders will sign the nomination form. Non-individuals including a society, trust, body corporate, partnership firm, Karta of Hindu Undivided Family and holder of Power of Attorney cannot nominate.

Only one nomination can be made for each folio. In a family having different folios containing different order or combination of names of shareholders will require separate nominations for each folios.

Nomination once made can be revoked by a shareholder by giving a fresh nomination. If the nomination is made by joint holders, and one of the joint-holders dies, the remaining joint holder(s) can make a fresh nomination by revoking the existing nomination.

Please download form SH-14 for revocation of nomination along with documents enclosed for – Appointing a new Nomination or Revocation of nomination.

The prescribed form SH-13 only provides for the name and address of the nominee. In addition to the above, the shareholder may also provide the specimen signature of the nominee duly attested by his banker where he/she is holding an account along with form SH-13.

Yes. Shareholders holding shares jointly may together nominate a person to whom the shares shall vest in the event of death of all joint holders.

In the unfortunate event of death of one of the joint holders, the surviving joint holders are the persons recognised by the Company as the holders of the shares. The death of one of the joint holders does not rescind the nomination. Nominee will have title to the shares only on the death of all the joint holders.

Nomination once made can be revoked by a shareholder by giving a fresh nomination. If the nomination is made by joint holders, and one of the joint-holders dies, the remaining joint holder/s can make a fresh nomination by revoking the existing nomination.

Please download form SH-14 for revocation of nomination and send it to our RTA along with documents enclosed for – Appointing a new Nomination or Revocation of nomination.

In the event of death of the shareholder, the shares shall vest with the guardian of the nominee as mentioned in the form.

In the event of death of the shareholder, the shares shall vest with the guardian of the nominee as mentioned in the form.

No, the nomination should be for the full holding and not part.

A Will or any other testamentary law/ instrument will override nomination.

A nominee, after getting the shares transmitted in his name, is entitled to sell the inherited shares in dematerialised form in the open market. However, he is not allowed to transfer the shares in physical form post March 31, 2019.

No. The nominee is required to complete all the formalities for the transmission process and once the name is registered in the register of members, the dividend and other benefits are accordingly released by the RTA.

A nominee is not entitled to exercise any voting rights before being registered as a member.

The nomination made by the shareholders in respect of electronic holdings is distinct from their nomination for the physical holdings. Hence, Hero MotoCorp will not recognize the nomination made by deemed members for their holdings in demat form. Such shareholders are given an option of nomination at the time of opening a demat account. However, the deemed members who have part of their holdings in physical form are entitled to make nomination in prescribed Form SH-13 for their physical holdings.

No, The Power of Attorney holder is not allowed to sign the nomination form on behalf of the shareholder.

Upon receipt of documents from the shareholder, the signature and other details of the holder are verified and accordingly, the nominee name is updated in the system. On successful registration, an intimation letter is also sent to the investor with details of the nominee registered under the said folio/ Demat account.

If the nominee dies before the nominator i.e shareholder, Hero MotoCorp shall transmit the shares in the name of the heirs or legal representatives of the registered shareholder or holder of the succession certificate. The heirs of the nominee are not entitled to the shares if the nominee has predeceased the shareholder.

1. Duly filled up Form SH-13 (Nomination Form)
   

   Note:

    In case of appointing Nominee only one Nominee can be nominated per folio

    

2. Duly filled up Form SH-14 (in case of revocation of nomination)

3. Self-attested copy of PAN Card of the Applicant and the Nominee

4. Self attested copy of any other identity proof of the Applicant and the Nominee

5. Proof of encashment of dividend received from the Company

Please submit a request for issuance of duplicate share certificates in Form ISR-4, format enclosed below, along with following duly completed documents:

1. Copy of FIR (Required only if value of securities as on date of submission of application is more than Rs. 5,00,000)

   The below mentioned documents are also acceptable:

   1. e-FIR

   2. Police Complaint

   3. Court injunction order

   4. Copy of Plaint (where Suit filed has been accepted by the Court and Suit no. has been given)
      
      

   All the above documents shall necessarily have the following details -

   1. Details of the shares - no. of shares, face value , etc.

   2. Folio no.

   3. Distinctive no. , and

   4. Certificate no.

2. For Overseas Shareholder , in lieu of FIR, following documents are acceptable:

   1. Self-declaration of the security certificates lost/ stolen/ misplaced - duly notarised/ apostilled/ attested by Indian Consulate/ Embassy in their country of residence.

   2. Self-attested copies of valid passport and overseas address proof

3. Affidavit- format enclosed below

4. Indemnity Bond duly attested by notary public - format enclosed below

5. Banker attestation form in ISR-2 - format enclosed below

6. Demand Draft for proportionate cost of Advertisement as may be specified by the Board of Directors/Delegated authority in this regard from time to time (Advertisement regarding loss of securities in a widely circulated newspaper is mandatory if value of securities as on date of submission of application is more than Rs. 5,00,000)

Please ensure that your folio is KYC compliant. To know more on KYC compliance, you are requested to refer to FAQS on KYC.

Please submit a request for issuance of duplicate share certificates cum transmission in Form ISR-4, format enclosed below, along with following duly completed documents:

1. Copy of FIR (Required only if value of securities as on date of submission of application is more than Rs. 5,00,000)
   
   The below mentioned documents are also acceptable:

   1. e-FIR

   2. Police Complaint

   3. Court injunction order

   4. Copy of Plaint (where Suit filed has been accepted by the Court and Suit no. has been given)
      
      

   All the above documents shall necessarily have the following details -

   1. Self-declaration of the security certificates lost/ stolen/ misplaced - duly notarised/ apostilled/ attested by Indian Consulate/ Embassy in their country of residence.

   2. Self-attested copies of valid passport and overseas address proof

2. Affidavit and Indemnity bond duly attested by notary public - format enclosed below

3. Self-attested copy of the PAN card of the Applicant(s)

4. Documents required for transmission (Pls refer to Faqs on transmission)

5. Demand Draft for proportionate cost of Advertisement as may be specified by the Board of Directors/Delegated authority in this regard from time to time (Advertisement regarding loss of securities in a widely circulated newspaper is mandatory if value of securities as on date of submission of application is more than Rs. 5,00,000)

Please submit a request for issuance of duplicate share certificates cum transfer in Form ISR-4, format enclosed below, along with following duly completed documents:

1. Evidence for discharge of consideration i.e. copy of passbook.

2. Copy of postal acknowledgement / receipt issued by the courier through whom the transfer documents were sent but lost in transit (if share certificates were lost in transit) / stolen.

3. Copy of postal acknowledgement / receipt issued by the courier through whom the transfer documents were sent but lost in transit (if share certificates were lost in transit) / stolen.

4. Copies of transfer documents (if retained).

5. Copy of FIR (Required only if value of securities as on date of submission of application is more than Rs. 5,00,000)

   The below mentioned documents are also acceptable:

   1. e-FIR

   2. Police Complaint

   3. Court injunction order

   4. Copy of Plaint (where Suit filed has been accepted by the Court and Suit no. has been given)

   
   All the above documents shall necessarily have the following details -

   1. Details of the shares - no. of shares, face value , etc.

   2. Folio no.

   3. Distinctive no. , and

   4. Certificate no.
      
      

6. For Overseas Shareholder, in lieu of FIR, following documents are acceptable:

   1. Self-declaration of the security certificates lost/ stolen/ misplaced - duly notarised/ apostilled/ attested by Indian Consulate/ Embassy in their country of residence.

   2. Self-attested copies of valid passport and overseas address proof

7. Affidavit and Indemnity bond duly attested by notary public
   

8. Self-attested copy of the PAN card of the Applicant
   

9. Documents required for transfer (Please refer the Faqs on Transfer of Shares)
   

10. Demand Draft for proportionate cost of Advertisement as may be specified by the Board of Directors/Delegated authority in this regard from time to time (Advertisement regarding loss of securities in a widely circulated newspaper is mandatory if value of securities as on date of submission of application is more than Rs. 5,00,000)

The applicant shall quantify the value (whether it is exceeding Rs. 5 lakhs or not) of the securities on the basis of the closing price of such securities at any one of the recognized stock exchanges a day prior to the date of such submission in the application.

TThe shareholder should send a written request to the RTA along with his/her registered signature and address to know the above details. Only where the signature & address of the shareholder matches with the RTA/Company's records, the RTA will provide the requested information/details. 

In case the signature and/or the address do not match, the shareholder shall first comply with the KYC procedure and then only the details of the securities shall be provided to the shareholder by the RTA/Company.

As mandated vide SEBI Circular dated January 25, 2022, duplicate share certificates shall be issued in dematerialized mode only.

Along with the above mentioned documents/details, the shareholder shall also submit the following:
- Surety Affidavit along with his proof of identity like PAN card of sureties duly attested by Notary

Please surrender the original share certificates to the RTA immediately if the duplicate share certificates (Letter of Confirmation) have been issued. However, if the original share certificates are found before you comply with the procedure for obtaining duplicate share certificate, please inform the RTA immediately so that the Company can take suitable action.

Please submit a request for renewal of share certificates in Form ISR-4, format enclosed below, along with following duly completed documents:.

1. Original Share Certificate(s)

2. Self-attested copy of the PAN card of the Applicant

Process/Flow chart for issuance of duplicate share certificate in dematerialised form is provided below.

1. Application (Board Resolution and list of signatories in case applicant is a body corporate)

2. Original Share Certificate(s)

3. Self-attested copy of the PAN card of the applicant

4. Address proof of the applicant

5. Bank statement showing encashment of any previous dividend received from the Company

1. Duly signed written application (signed by all shareholders) for duplicate share certificates.

2. Lodge an FIR with the local police station ensuring the following:

   1. It should contain the complete details of shares lost i.e. Name of the Company, Folio no., No. of shares, Share certificate no(s). and Distinctive nos.;

   2. It should also state the reason for delay in lodging the FIR, if applicable;

   3. In case the same is in regional language, then a true copy of its translation in English language; &

   4. It should be duly attested by Notary Public.

3. Execute an affidavit on a non-judicial stamp paper of Rs. 100/- (or of such appropriate value as applicable in the state of execution of this Affidavit) affirming the factum of loss of shares and change/variation in signatures/address/name of the investor, as may be applicable.

4. Execute an Indemnity Bond, on a non–judicial stamp paper of the value of Rs. 100/- (or of such appropriate value as applicable in the state of execution of this Bond), duly attested by Notary Public.

5. Submit the Surety Form along with the documents as prescribed below:

   1. Self attested PAN card;

   2. Latest Income Tax Return filed;

   3. Address proof;

   4. ID proof

6. Self-attested copy of PAN card of the Applicant.

7. Self-attested copy of Residence proof of the applicant which should match with the registered address recorded in the Company i.e., Aadhaar card or valid Passport or Driving License or Utility bills like Telephone Bill, Electricity bill & Gas Bill (not more than 3 months old).

8. Bank statement showing encashment of any previous dividend received from the Company

9. Banker attestation form

10. Cancelled cheque

11. Remit the following proportionate cost towards advertisement to be issued by Hero MotoCorp Limited in a national English daily and a Hindi newspaper by way of a demand draft in favour of “Hero MotoCorp Limited” payable at par at New Delhi:

12. for Rs.5000/-, when no. of shares held is 100 or more;

    for Rs.2000/-, when no. of shares held is less than 100.

     

    Note:

     If there is change in address we will ask for Change of Address procedure.

     

    In case request is made by the Legal Heir/ Nominee, provide the following documents:

1. Application

2. Original Share Certificate(s)

3. Self-attested copy of the PAN card of the Applicant

4. Address proof of the Applicant which should match with the registered address in the record of the Company

5. Bank statement showing encashment of any previous dividend received from the Company

1. Application (Board Resolution and list of signatories in case applicant is a body corporate)

2. Original Share Certificate(s)

3. Self-attested copy of the PAN card of the applicant

4. Address proof of the applicant

5. Proof of encashment of dividend received from the Company

Dematerialisation ('Demat' in short form) signifies conversion of a share certificate from its present physical form to electronic form for the same number of holding.

It offers scope for paperless trading through state-of-the-art technology, whereby share transactions and transfers are processed electronically without involving any share certificate or transfer deed after the share certificates have been converted from physical form to electronic form.

Demat attempts to avoid the time consuming and complex process of getting shares transferred in the name of buyers as well its inherent problems of bad deliveries, delay in processing/fraudulent interception in postal transit, etc.

Dematerialisation of shares is optional and an investor can still hold shares in physical form. However, as per SEBI (Listing Obligations & Disclosure Requirements) Regulations, 2015, with effect from 1st April 2019, the transfer, except transmission and transposition, of securities shall be carried out in dematerialized form only.

The two Depositories in operation are National Securities Depository Limited (NSDL) and Central Depository Services Limited (CDSL).

Following are some of the advantages of maintaining the securities in Dematerialised form:

1. A safe, convenient way to hold securities;

2. Immediate transfer of securities;

3. Elimination of risks associated with physical certificates such as bad delivery, fake securities, Delays in transit, thefts etc.

4. Change in address recorded with DP gets registered with all companies in one go in which the investor holds securities electronically thereby eliminating the need to correspond with each of them separately;

5. Easy Nomination facility;

6. Smooth Transmission of securities in case of any eventualities.

Common risk factors applicable to trading in physical shares like mismatch in signatures, loss in postal transit, etc., are absent since the dematerialised shares are traded scrip-less. 

However, in an unlikely event of any other dispute, the concerned Stock Exchange and/or Depository viz. NSDL/CSDL or Securities and Exchange Board of India, may be approached for resolving such issues.

To avail the services of a depository one is required to open an account with any of the Depository Participant (DP) of National Securities Depository Limited (NSDL) or Central Depository Services (India) Limited (CDSL). Once the account is opened, a unique Client ID number would be allotted to the investor.

One may follow the procedure of dematerialisation, available on the Investor section of Company website under the section of “Shareholder Resources”.

Yes. One can open more than one account in the same name with the same DP at their different locations as well as with different DPs.

No. He does not require maintaining any such minimum balance of securities.

In this situation one may open only one account with 'A' & 'B' as the account holders and lodge the security certificates with different order of names for dematerialisation in the same account. One needs to fill-up an additional form called "Transposition cum Demat" form, which is provided by the DP, whenever any such account is being opened. This would help to effect change in the order of names while dematerialising the securities.

To give the delivery instruction to DP you have to fill one form called Delivery Instruction Slip (DIS). DIS may be compared to cheque book of a bank account.

The following precautions are to be taken in respect of DIS:

1. Ensure and insist with DP to issue DIS book;

2. Ensure that DIS numbers are pre-printed and DP takes acknowledgment for the DIS booklet issued to investor;

3. Ensure that your account number [client id] is pre-printed;

4. If the account is a joint account, all the joint holders have to sign the instruction slips. Instruction cannot be executed if all joint holders have not signed;

5. Do not use loose slips;

6. Do not leave signed blank DIS with anyone viz., broker/sub-broker; and

7. Keep the DIS book under lock and key when not in use.

In case of any discrepancy in the transaction statement, you can contact your DP. If the discrepancy cannot be resolved by the DP, you should approach the Depository.

In case of Dematerialisation

1. Demat Requisition Form (as per the format provided by the Depository Participant, where the demat account is opened)

2. Original Share Certificate(s)

In case of Rematerialisation

1. Remat Requisition Form

You may write to the RTA furnishing the documents required for – Duplicate Dividend Warrant, while also quoting your folio number/client ID particulars (in case of demat shares).

In terms of the provisions of the Income-tax Act, 1961, as amended by the Finance Act, 2020, dividend paid or distributed by a Company on or after 1st April, 2020, shall be taxable in the hands of the shareholders. Therefore, the Company is required to deduct tax at source (TDS) at the time of payment of dividend in accordance with the provisions of the Act. For any further details/ queries you may please write to the Company’s RTA.

If the validity period of the lost dividend warrant has not yet expired, one will have to wait till the expiry date since no duplicate can be issued during the validity of the original warrant. However, after the expiry of the validity period, one may inform the RTA and furnish the documents required for – Duplicate Dividend Warrant 

On receipt of the required documents, the RTA would verify the same and request the Company to transfer the dividend amount, directly into the Bank account (details provided by the shareholder/ claimant) by way of NEFT/ RTGS.

As per the present law, the company retains all unpaid/unclaimed dividends for the past seven years. If one has not received any of these dividends, he/ she should write to our RTA with relevant particulars such as folio number/DP ID & Client ID, concerned dividend, year etc., and the Company shall arrange to pay the dividend remaining unpaid in the records.

In case of dividend amount remaining unpaid/unclaimed for a period more than 7 years then the said amount is necessarily transferred to the "Investor Education and Protection Fund" (IEPF), constituted by the Central Government.

For the unpaid/ unclaimed dividend, which has been transferred to IEPF authority, the required documents are required to be submitted to the RTA and accordingly an “Entitlement Letter” would be issued for claiming the same from IEPF.

For claiming the shares from IEPF authority, one would be required to follow the procedure as provided on www.iepf.gov.in.

Please furnish the documentation enclosed for “Updating Bank details/Dividend Mandate form” to our RTA, in case the shares are held in physical form. However, if one is holding the shares in electronic/ demat mode then such details needs to be furnished to the respective Depository Participant with whom one holds the demat account and not to the Company/ RTA. 

Kindly note that no dividend warrant will be issued if the dividend payment is made online.

As per the Depository Regulations, the Company is obliged to pay dividend as per the details of demat shareholders furnished by the concerned Depository Participant. However, if in case one needs to record his mandate then such details need to be furnished to the respective Depository Participant with whom one holds the demat account and not to Hero MotoCorp or its RTA Agent, as we are not authorised to make or incorporate any change in records received from the Depository.

1. Application for issuance of duplicate dividend warrant

2. Self-attested copy of PAN Card

3. Indemnity bond executed on non-judicial stamp paper of appropriate value, as prescribed under Stamp Act according to the state. If the value of dividend is below Rs. 1,000/-, then the indemnity bond may be executed on a plain paper.

4. Bank statement for encashment of any dividend received from the Company previously

5. Copy of cancelled cheque for transfer of dividend amount through online banking platform.

6. If the shares are in electronic form, updated client master list is required.

1. Application for issuance of duplicate dividend warrant

2. Self-attested copy of PAN Card

3. Indemnity bond executed on non-judicial stamp paper of appropriate value, as prescribed under Stamp Act according to the state. If the value of dividend is below Rs. 1,000/-, then the indemnity bond may be executed on a plain paper.

4. Bank statement for encashment of any dividend received from the Company previously

5. Copy of cancelled cheque for transfer of dividend amount through online banking platform.

6. If the shares are in electronic form, updated client master list is required.

One should furnish the documents/ information, as per the procedure enclosed.

In case the shares are held in Demat form then the shareholder is required to approach their respective Depository Participants for any change in the particulars of the demat account instead of submitting any documents with the Company/ RTA.

1. Application form

2. Original cancelled cheque

3. Self-attested copy of the PAN Card of the Applicant

4. Bank statement for encashment of last dividend received

5. Self-attested copy of any other identity proof like Aadhaar Card or Election Identity Card or Driving License or Electricity / Telephone (only land line) bill / Bank Account Statement / Passbook etc.

1. Application Form alongwith self-attested documents to be submitted in Form ISR-1. Self-attested copy of PAN Card in the new name

2. If the Applicant(s) is an individual:
   Marriage Certificate OR Divorce Decree OR On attaining majority- Birth Certificate/School Leaving Certificate OR Gazette Notification.

   1. Certificate of Incorporation along with Memorandum and Articles of Association

   2. Certified true copy of the Board Resolution signed by the Company Secretary/ Director on the letterhead of the Company empowering the signatories to sign on behalf of the Company along with the specimen signature of the authorized signatories)

   1. Certificate of Registration along with the Trust deed

   2. The Resolution signed by the Secretary/Trustee on the letter head of the Trust empowering the signatories to sign on behalf of the Trust along with the specimen signature of the Authorized signatories

   1. Certificate of Registration along with their Bye Laws/ Rules & Regulations

   2. The Resolution signed by the Secretary/Trustee on the letter head of the Society empowering the signatories to sign on behalf of the Society along with the specimen signature of the Authorized signatories

   3. Self-attested copy of previous identity proof (old name)

   4. Original Share Certificate(s)

   5. Bank statement for encashment of dividend received from the Company

3. If applicant is a Company –

   If applicant is a Trust –

   If applicant is a Society –

1. Application for registering change in Postal address in Form ISR-1.

2. Proof of the registered address:

   1. Valid passport / Ration Card/ Registered Lease or Sale Agreement of Residence / Flat maintenance bill

   2. Driving licence

   3. Electricity bill*

   4. Telephone bill (Landline)*

   5. Gas bill*

   6. Identity card / document with address issued by either Central /State Government and its departments, Statutory / Regulatory Authorities, PSUs, Scheduled Commercial Banks. Public Financial Institutions.

   7. For FII /sub account, POA given by FII /sub account to the Custodians (which are duly notarized and / or apostilled or consularised) that gives the registered address.

   8. The proof of address in the name of the spouse.

   9. Client Master List (CML) of the Demat Account of the holder / claimant, provided by the Depository Participant.

   *Documents under point 3,4,5 should not be more than 3 months old

   In case the documents submitted as Flat Maintenance Bill or Proof of address in the name of spouse, additional self-attested copy of Identity Proof of the holder/claimant may be obtained.

3. RTAs shall forthwith send intimation about the request for change in address to the holder at both the old and new addresses by Speed post, providing timeline of 15 days for raising objection, if any.

   1. a) In case the signature matches with the record available with the RTA, the request for change in address can be processed without keeping it on hold for 15 days as above. Documentary proof for old address will be required in such cases.

   2. In case where there is a mismatch in signature, old address proof or counterfoil of dividend warrant received from the Company or bank statement showing credit of dividend to be obtained even if there is no objection received from the old address/new address.

   3. In case where the letter is undelivered at the old address, RTA shall obtain address proof for old address as mentioned above; or counterfoil of dividend warrant received from the Company or bank statement showing credit of dividend. In case of any doubt in the documents received, the RTA/Company shall do Personal Verification at the new address of the holder and after positive feedback, address will be changed.

4. If the Applicant is a body corporate:

   1. Duly certified board resolution for change in address;

   2. A copy of form INC-22, filed with the concerned Registrar of Companies, in cases where applicant is a company.

5. Self-attested copy of proof of new address:

   1. Valid passport / Ration Card/ Registered Lease or Sale Agreement of Residence / Flat maintenance bill

   2. Driving licence

   3. Electricity bill*

   4. Telephone bill (Landline)*

   5. Gas bill*

   6. Identity card / document with address issued by either Central /State Government and its departments, Statutory / Regulatory Authorities, PSUs, Scheduled Commercial Banks. Public Financial Institutions.

   7. For FII /sub account, POA given by FII /sub account to the Custodians (which are duly notarized and / or apostilled or consularised) that gives the registered address.

   8. The proof of address in the name of the spouse.

   9. Client Master List (CML) of the Demat Account of the holder / claimant, provided by the Depository Participant.

6. *Documents under point 3,4,5 should not be more than 3 months old.

   In case the documents submitted as Flat Maintenance Bill or Proof of address in the name of spouse, additional self-attested copy of Identity Proof of the holder/claimant may be obtained.

1. Application in Form ISR-1 and Banker Attestation Form ISR-2.

2. Original cancelled cheque with the name of the security holder printed on it.

1. Application

2. Original or copy of Power of Attorney duly attested by Notary Public

3. Self-attested copy of the PAN Card of the applicant and the attorney holder

4. Attested copy of any other identity proof of the applicant and the attorney holder

5. Proof of encashment of dividend

1. Application form in Form ISR-1

2. For minor mismatch in name between any two set of documents presented by holder / claimant for any service request, the RTA shall additionally obtain any one of the following documents, explaining the difference in names;

   • Unique Identification Number (UID) (Aadhaar)

   • Valid Passport

   • Driving license in Smart Card form, Book form or copy of digital form shall be accepted

   • PAN card with photograph

   • Identity card / document with applicant’s Photo, issued by any of the following: Central / State Government and its Departments, Statutory / Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions.

     • Marriage certificate

     • Divorce decree

   In cases where the name is slightly not matching with the registered name and the holder is not able to furnish any document, in such cases, affidavit to be obtained.

3. Original share certificate(s)

1. Application form [duly signed by the joint holder(s)] in Form ISR-4

2. Self-attested copy of PAN Card of all joint holders

3. Proof of the registered address of the first holder

4. Original Share Certificate(s)

5. Self-attested copy of other identity proof

6. Bank statement for encashment of dividend received from the Company

1. Application form in ISR-1

2. Self-attested copy of PAN Card. PAN should be linked with Aadhaar

1. Application in duly filled up Form SH-13 (Only one Nominee can be nominated per folio) and form ISR-1

2. Duly filled up Form SH-14 (change in existing nomination)

3. Cancellation of existing nomination. Form ISR-3 (Declaration to Opt out) and Form SH-14

1. Application form in ISR-1 is required for all the change request

2. Change in Bank detail:

   • Copy of bank statement with details of bank name, branch, account number and IFS code or copy of cheque leaf.

   • Alternatively, details available in the client master list of demat account will be updated.

3. Email address:

   • Email address in Form ISR-1 or alternatively, details available in the client master list of demat account will be updated.

4. Mobile Number:

   • As provided in Form ISR-1 or alternatively, details available in the client master list of demat account will be updated.

Yes. Forms filled in physical mode are summarily rejected.

No. The procedure for filling the e-Form is simple. On a plain reading any literate individual can fill e-Form on his own. The prescribed Form is not only very precise but also very friendly in filling up. A general guidance kit is also attached with the form for any help, if required for filling up such Form. For any further help the IEPF helpline can also be contacted.

For any such information, kindly refer to the website of IEPF authority.

Documents which are required to be submitted are:

1. Print out of duly filled claim form with claimant signature and if joint holders are involved then the Form should be signed by all the joint holders along with annexures submitted with form.

2. Copy of acknowledgement, generated online, on submission of form IEPF – 5 bearing a unique serial number (SRN).

3. Copy of Indemnity Bond (original) auto generated after uploading the claim Form IEPF 5 with claimant signature and proof of payment of applicable stamp duty. It should be signed by the claimant and witnesses and shall be duly notarised.

   • For claim of amount of Rs. 10,000 or more - Non-judicial stamp paper of appropriate value according to state is required.
   • For claim of amount of less than Rs 10,000 - Plain paper

4. Original share certificate (in case of securities are held in physical form) or copy of transaction statement, in case of securities held in Demat form.

5. Identity & Address proofs:

   - In case of Indian Citizen

   • Self-attested copy of Aadhaar Card

   • Self-attested copy of PAN Card

     NOTE - In case of non- availability of Aadhaar Card for super senior citizens or some specific states, other ID proofs issued by government clearly mentioning the address of the claimant needs to be submitted.

   - In case of NRI

   • Self-attested copy of Passport; or

   • Self-attested copy of Overseas Indian Card (OIC) issued by MHA along with any of the documents available with him.

   - In case of foreigners

   • Copy of Passport or PIO Card duly apostatized as per Hague Convention

6. Affidavit for change/mismatch of address and/or name

7. Proof of entitlement (share certificate/ dividend warrant/ certificate issued by Company/ RTA).

8. Original cancelled cheque leaf. (In case, cheque leaf doesn’t have Name, Bank and Branch Name, IFSC Code etc. printed on it, copy of passbook, duly attested by the Bank can be submitted)

9. Original self-attested client master list (where claim is for shares) - In case of joint shareholding, it shall be in the name of joint holders and shall be self-attested by joint holders, if not, then NOC shall be given by remaining joint shareholders.

10. In case any Joint holder is deceased, copy of death certificate to be attached.

11. In cases of transmission, loss of original shares, mismatch in name and address etc., the claimant is advised to complete the relevant documents/ process and then approach the IEPF authority for filing the claim.

12. Any other document relevant to prove entitlement of the claimant.

The Indemnity Bond is auto generated on the portal of Ministry of Corporate Affairs after uploading the form IEPF 5.

In case of refund of dividend amount of Rs. 10,000 or more and/or market value of shares, non- judicial stamp paper of appropriate value as prescribed under Stamp Act according to state is required. For claim of only amount of Rs. 10,000 or less, indemnity bond can be executed on a plain paper.

The number of shares and amount should be the same as that mentioned in the Entitlement Letter issued by the Company. Further, the details entered in the Form IEPF-5 should also be the same as that in Entitlement Letter.

In case of non-availability of Aadhar Card for super senior citizens or some specific states, other ID Proofs issued by government clearly mentioning the address of the claimant needs to be submitted.

Yes, original certificate is required to be submitted. In case of loss of original share certificate, documents enclosed for – Issue of Duplicate share certificate needs to be furnished to the RTA.

In such case as per SEBI Guidelines, an affidavit explaining the above deviation needs to be submitted. In case of mismatch in name, proof of name as on share certificate or change of name viz. marriage certificate, gazette notification etc. needs to be submitted. In case of mismatch in address, new address needs to be updated with the company.

The claimant shall fill the information as mentioned in the Entitlement Letter issued by the Company. . However, it may be endeavoured that all folios against which refund of share need to be claimed are filled in the same form. Similarly, dividend and other amount may be mentioned for all the years. The company ensures to recommend refund of all the shares and amount for which the claimant is entitled together at once.

CML and cancelled Original Cheque leaf are required to verify the DEMAT and Bank Account in which transfer is to be made. In case, Cheque leaf doesn’t have Name, Bank and Branch Name, IFSC Code etc. printed on it, copy of passbook, duly attested by the Bank can be submitted.

In such case, one needs to first follow the procedure prescribed for transmission of shares. On successful completion of the transmission request, the Company shall issue an ‘entitlement letter’ to the claimant. Thereafter, the claimant may raise a claim with IEPF authority by following the instructions provided on the website of IEPF.

For rectification of errors in e-form IEPF 5/Verification Report, IEPF Authority provides one more chance to the claimant/company to correct the details and to re-submit the form/verification report again, such act of the Authority is called Resubmission. It may be noted that only one resubmission is allowed. A 15 days’ time period is allowed for making resubmission of claim application. In case resubmission is not done in the prescribed time, the form becomes invalid.

The documents are required to be sent to the Nodal Officer of the Company at Registered office of the Company.

It is advised that at the time of submission of information in IEPF 5 form, claimant should ensure correctness of information such as Aadhaar No., Demat No., Bank Account No., IFSC Code, etc.

Claimant should approach the company for issue of entitlement letter before submitting e-form IEPF-5. After verification of all the documents filed by Claimant, Company will issue Entitlement letter containing all the details relating to unclaimed dividend and shares transferred to IEPF alongwith information required to file the form IEPF-5.

The SEBI vide its circular SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37 dated March 16, 2023 has made it mandatory for all holders of physical securities in listed company to furnish the following documents / details to the RTA:

a) PAN
b) Nomination (for all eligible folios)
c) Contact details - address with PIN, Mobile number
d) Bank account details (bank name and branch, bank account number, IFS code)
e) Specimen signature

Please note, while processing any service requests or complaint from the shareholder(s) / claimant(s), the RTA will obtain documents / details of PAN, KYC details and Nomination, wherever the same is not available in the folio.

With regard to nomination, the cancellation or variation in nomination shall take effect from the date on which the duly completed and signed intimation is received by the RTA/Company.

The folios wherein any one of the PAN, KYC details and Nomination are not available shall be:

a) eligible to lodge grievance or avail service request from the RTA only after furnishing the complete documents / details/ KYC as aforesaid.
b) eligible for any payment including dividend, interest or redemption payment in respect of such folios, only through electronic mode with effect from April 1, 2024. An intimation shall be sent to the holder that such payment is due and shall be made electronically only after updation of aforesaid details.

Yes, Central Board of Direct Taxes (CBDT) has made it mandatory to link PAN & Aadhaar number by the date specified by CBDT.

The folios in which PANs is / are not valid and where PANs is/are not linked to Aadhaar, as on the notified date as may be specified by the CBDT, shall also be frozen.