AATR Amendment Rules 2024

REGD. No. D. L.-33004/99 The Gazette of India CG-DL-E-17072024-255509 EXTRAORDINARY PART II-Section 3-Sub-section (i) PUBLISHED BY AUTHORITY No. 377] NEW DELHI, TUESDAY, JULY 16, 2024/ASHADHA 25, 1946 MINISTRY OF CORPORATE AFFAIRS NOTIFICATION New Delhi, the 16th July, 2024 G.S.R. 414(E). In exercise of the powers conferred by sub-sections (1), (2), (3), (4),(8), (9), (10) and (11) of section 125 and sub-section (6) of section 124 read with section 469 of the Companies Act, 2013 (18 of 2013), the Central Government hereby makes the following rules further to amend the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016, namely:- 1. (1) These rules may be called the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Amendment Rules, 2024. (2) These rules shall come into force on the date of their publication in Official Gazette. 2. In the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016 (hereinafter referred to as the said rules), – (a) for the letters and figures, “IEPF-3”, wherever they occur, the letters and figures, "IEPF-4”, shall be substituted; (b) for the letters and figures, “IEPF-7", wherever they occur, the letters and figures, "IEPF- 1", shall be substituted. 3. In rule 6 of the said rules, – (a) in sub- rule (13), – (i) for the words, “into the specified account of the IEPF Authority maintained in the Punjab National Bank", the words "online to the Authority within a period of thirty days from the date such amount becomes due" shall be substituted; (ii) the words, “within thirty days from the date of remittance or within thirty days from the date of enforcement of these Rules, as the case may be" shall be omitted. (b) in sub-rule (13A), – (i) for the words, "into the specified account of the IEPF Authority maintained in the Punjab National Bank”, the words "online to the Authority within a period of thirty days from the date such amount becomes due" shall be substituted; (ii) the words, "within thirty days from the date of remittance or within thirty days from the date of commencement of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund), Third Amendment, Rules, 2021, as the case may be" shall be omitted. 4. In rule 6A, in sub-rule (12) – (a) for the words, “into the specified account of the IEPF Authority maintained in the Punjab National Bank", the words "online to the Authority" shall be substituted; (b) for the words, "from the date of remittance", the words "of such amount becoming due to becredited to the Fund" shall be substituted. 5. For the Forms IEPF-1, IEPF-1A, IEPF-2 of the said rules the following forms shall respectively be substituted, namely:– "Form No. IEPF-1 Statement of amounts credited to IEPF or transfer of amounts on account of shares transferred to the fund Form language English [Pursuant to rule 5(1), 6(13), 6(13A) and 6A(12) of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] Refer instruction kit for filing the form All fields marked in * are mandatory *Purpose of filing Statement of amounts credited to IEPF Statement of transfer of amounts on account of shares transferred to the fund Sub purpose of filing On shares transferred under section 124(6) On shares transferred under section 90(9) Company/Bank Information 1. (a) *Corporate identity number (CIN) of the company / Bank Corporateldentification number (BCIN) of the Bank (b) *Name of the company/bank (c) *Registered office address (d) *Email -ID of the company/bank 2. (a) *Whether the company/bank is amalgamated Yes No (b) Service request number (SRN) of form INC-28 Fund Information 3.(a) Number of shares with IEPFA on record date (b) Dividend declared per share (c) *Amount to be credited to the fund (in Rs.) (d) *TDS deducted on amount to be credited to the Fund (in Rs.) (e) *Net Amount to be credited to the fund after deducting TDS (in Rs.) 4. (a) Date of transfer of amount to unpaid dividend account of the company/bank (DD/MM/YYYY) (b) Date of declaration of dividend (DD/MM/YYYY 5. Details of the amount to be credited to the fund +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | S.No. | Particulars | Amount | Date by which amount should | | | | (inRupees) | have been credited to the fund | | | | | (DD/MM/YYYY) | +=======+================================================================================================================+===============+=====================================+ | a | Amount in the unpaid dividend accounts of companies/banks | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | b | The application money received by companies/banks for allotment of any | | | | | securities and due for refund | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | C | Matured deposits with companies/banks | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | d | Matured debentures with companies/banks | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | e | Interest accrued on the amounts referred to in clause (b) to (d) above | | | | | (i) Application money due for refund | | | | | (ii) Matured deposits with companies/banks | | | | | (iii) Matured debentures with companies/banks | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | f | Sale proceeds of fractional shares arising out of issuance of bonus shares, | | | | | merger and amalgamation | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | g | Redemption amount of preference shares | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | h | Surplus amount after payment of dues for Section 8 company before its | | | | | conversion into any other kind | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | I | Amount received through disposal of securities under section 38(4) of The | | | | | Companies Act 2013 | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | J | Grants and donation | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | k | Dividend on shares transferred to IEPF | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | 1 | Proceeds realized on delisting of companies/banks with respect to shares | | | | | transferred to IEPF | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | m | Proceeds realized on winding up of companies/banks with respect to shares | | | | | transferred to IEPF | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | n | Surrender of shares under Section 236 of Companies, Act 2013 | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | 0 | Others | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ | Total | | | | +-------+----------------------------------------------------------------------------------------------------------------+---------------+-------------------------------------+ 6. *Financial year to which the amount relates (YYYY-YYYY) Attachments (a) Investor wise details (excel file) (For amounts credited to IEPF) (b) Investor wise details (excel file) (For transfer of amounts on account of shares transferred to the fund (c) Copy of Resolution declaring dividend/ winding up order/ delisting order (d) Optional attachment(s) - if any Declaration I have been authorized by the Board of directors' resolution number* dated (DD/MM/YYYY)*to sign and submit this form. To the best of my knowledge and belief, I declare that all the requirements of Companies Act, 2013 and and the rules made thereunder in respect of the subject matter of this form and matters incidental thereto have been complied with. I also declare that all the information given herein above is true, correct and complete including the attachments tothis form and nothing material has been suppressed. * To be digitally signed by * Designation (Director/Manager/Company Secretary/CFO/CEO/Managing Director/Authorized person of the bank) * DIN of the director or Income tax PAN of the manager or CEO or CFO or Managing Director or IRP/RP/Liquidator or Membershipnumber of the company secretary or PAN of Authorized person of the bank Note: Attention is drawn to provisions of Section 448 and 449 which provide for punishmentfor false statement / certificate and punishment for false evidence respectively This eForm has been taken on file maintained by the IEPF Authority through electronic mode and based on statement of correctness given by the company/bank For office use only: eForm Service request number (SRN) eForm Service request number (SRN) Form No. IEPF-1A Statement of amounts credited to Investor Education and Protection Fund [Pursuant to rule 5(4A) of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] Form language English Refer instruction kit for filing the form All fields marked in * are mandatory Company/Bank information 1 (a) * Corporate identity number (CIN) of company / Bank Corporate Identification number (BCIN) of the Bank (b) * Name of the Company /Bank (c) * Registered office address (d) * Email ID of the Company/bank Reference to other form 2 *Form through which payment was made Payment made through form IEPF-1 Payment made through form 1 INV Others (a) SRN of Form IEPF-1/ Form -1 INV Fund Information 3 (a) Challan No/Service Request number (SRN) in respect of payment made to the fund (b) *Date of payment of amount to the fund (DD/MM/YYYY) (c) *Amount credited to the fund (in Rs.) (d) *Mode of payment Challan (Cash, Cheque, Demand draft) Online payment 4 Details of the amount credited to the fund +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | S. No. | Particulars | Amount (in | Date by which amount should | | | | Rupees) | have been credited to the fund | | | | | (DD/MM/YYYY) | +=======+================================================================+===============+=====================================+ | a | Amount in the unpaid dividend accounts of companies/banks | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | b | The application money received by companies/banks for | | | | | allotment of any securities and due for refund | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | C | Matured deposits with companies/banks | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | d | Matured debentures with companies/banks | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | e | Interest accrued on the amounts referred to in clause (b) to | | | | | (d) above | | | | | (i) Application money due for refund | | | | | (ii) Matured deposits with companies/banks | | | | | (iii) Matured debentures with companies/banks | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | f | Sale proceeds of fractional shares arising out of issuance of | | | | | bonus shares, merger and amalgamation | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | g | Redemption amount of preference shares | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | h | Grants and donation | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | i | Others | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ | Total | | | | +-------+----------------------------------------------------------------+---------------+-------------------------------------+ 5 * Financial year to which the amount relates (YYYY-YYYY) Attachments (a) *Investor wise details (Excel file) (b) *Copy of Challan (c) Optional attachment(s) - if any Declaration I have been authorized by the Board of directors' resolution number* dated (DD/MM/YYYY) *to sign and submit this form. To the best of my knowledge and belief, I declare that all the requirements of Companies Act, 2013 and the rules made thereunder in respect of the subject matter of this form and matters incidental thereto have been complied with. I also declare that all the information given herein above is true, correct and complete including the attachments to this form and nothing material has been suppressed. * To be digitally signed by *Designation (Director/Manager/Company Secretary/CEO/CFO/Managing Director/Authorized representative of the bank) *DIN of the director or Income tax PAN of the manager or CEO or CFO or Managing Director or Membership number of the company secretary or PAN of Authorized person of the bank Note: Attention is also drawn to provisions of Section 448 and section 449 of Companies Act, 2013 which provide for punishment for false statement and false evidence This eForm has been taken on file maintained by IEPF Authority through electronic mode and on the basis of statement ofcorrectness given by the company/bank For office use only: eForm Service request number (SRN) eForm filing date (DD/MM/YYYY) Form No. IEPF-2 Statement of unclaimed and unpaid amounts and details of Nodal officer [Pursuant to rule 5(8) and 7(2B) of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] Form language English Refer instruction kit for filing the form Note - All fields marked in * are mandatory Purpose of form 1.(a) *Purpose of filing is related to Statement of unclaimed and unpaid amounts Nodal Officer Deputy Nodal Officer (b) *Sub purpose of filing Appointment Updation Cessation Company/ Bank related information 2.(a) *Corporate identity number (CIN) of company / Bank Corporate Identification number (BCIN) of the Bank (b) *Name of the company/bank (c) * Address of the registered office of the company /bank (d) *Email ID of the company/bank (e) *Whether a person is already an existing nodal officer in any holding/subsidiary company Yes No (f) If Yes, CIN of the holding/Subsidiary company 3. Details of Nodal Officer (a) *Name of the Nodal Officer (b) *First Name (c) Middle Name (d) *Last Name (e) *Father's First Name (f) Father's Middle Name (g) *Father's Last Name (h) *Date of Birth (DD/MM/YYYY) (i) *PAN (j) *Designation (k) *Gender (I) Official Postal address *Address Line 1 Address Line 2 *Country *Pin Code/Zip code *Area/Locality *City District *State (m) *Phone (With STD/ISD code) (n) *Mobile Number (0) *Email id (p) *Date of Board Resolution (DD/MM/YYYY) Deputy nodal officer details 4.*Number of Deputy Nodal Officers to be added a. *Name of the Deputy Nodal Officer to be added (a)(i) *Number of Deputy Nodal Officers for which details need to be updated (a)(ii)*Name of the Deputy Nodal Officer whose details needs to be updated (a)(iii)*Number of Deputy Nodal Officers is to be ceased (a)(iv)* Name of the Deputy Nodal Officer is to be ceased b. *First Name c. Middle Name d. *Last Name e. *Father's First Name f. Father's Middle Name g. *Father's Last Name h. *Date of Birth (DD/MM/YYYY) i. *PAN j. *Designation k. *Gender (Male/Female/Transgender) l. Official Postal address *Address Line 1 Address Line 2 *Country *Pin Code/Zip code *Area/Locality *City District *State m. *Phone (With STD/ISD code) n. *Mobile Number o. *Email id p. *Date of Board Resolution (DD/MM/YYYY) Dividend related details 5.(a) *Financial year ended (FY-7) (DD/MM/YYYY) (b) *Date of annual general meeting (AGM) or due date whichever is earlier (DD/MM/YYYY) 6. * Whether registered with Reserve Bank of India (RBI) Yes No 7. Number of small shareholders/depositors of the company 8. Number of shares in the unclaimed suspense/demat suspense account of the company 9. Details of unclaimed and unpaid amounts for previous seven years including current year +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | S.No. | Particulars | FY-1 | FY-2 | FY-3 | FY-4 | FY-5 | FY-6 | FY-7 | Total | +=======+=================================================================================================+======+======+======+======+======+======+======+=======+ | 1 | Amount in the unclaimed and | | | | | | | | | | | unpaid dividend accounts of the | | | | | | | | | | | company/bank | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (a) | No. of Underlying Shares for | | | | | | | | | | | theAmount in the unpaid | | | | | | | | | | | dividend accounts of the | | | | | | | | | | | company/bank | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (b) | Amount refunded by the | | | | | | | | | | | Company/bank from the unpaid | | | | | | | | | | | dividend account during the year | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 2 | The amount received under | | | | | | | | | | | sub-section (4) of section 38 | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 3 | Amount of application moneys | | | | | | | | | | | received and due for refund | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 4 | Amount of matured deposits | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (a) | Amount refunded by the | | | | | | | | | | | Company/bank from the matured | | | | | | | | | | | deposits during the year | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 5 | Amount of matured debentures | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (a) | Amount refunded by the | | | | | | | | | | | Company/bank from the | | | | | | | | | | | matureddebentures during the | | | | | | | | | | | year | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 6 | Interest accrued on the amounts | | | | | | | | | | | referred to in clause (3) to | | | | | | | | | | | (5)above | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (i) | Application money due for | | | | | | | | | | | refund | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (ii) | Matured deposits | | | | | | | | | | | with | | | | | | | | | | | companies/banks | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | (iii) | Matured debentures with | | | | | | | | | | | companies/banks | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 7 | Sale proceeds of fractional shares | | | | | | | | | | | arising out of issuance of bonus | | | | | | | | | | | shares, merger and | | | | | | | | | | | amalgamation | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 8 | Redemption amount of | | | | | | | | | | | preference shares | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | 9 | Others | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ | Total | | | | | | | | | | +-------+-------------------------------------------------------------------------------------------------+------+------+------+------+------+------+------+-------+ Note: (1) FY-7 is the current financial year as mentioned in 5(a) above (2) Amount mentioned in FY-1 indicates amount due to be credited to IEPF in next financial year (3) Amounts are to be given separately for each financial year indicating the amount unclaimed/unpaid as on end of that particular financial year 10. *Amount of Dividend declared on shares of the company/bank lying with IEPFduring the Financial year as mentioned in 5(a) above 11. *Any other benefits declared (as per rule 6(8)) on shares of the company/bank lying with IEPF during the Financial year as mentioned in 5(a) above Attachments 1 *Investor wise details (excel file) 2 *Board Resolution for appointment of Nodal Officer/ Deputy Nodal Officer 3 Optional attachment(s) - if any Declaration I have been authorized by the Board of directors' resolution number* dated (DD/MM/YYYY)*to sign and submit this form. To the best of my knowledge and belief, I declare that all the requirements of Companies Act, 2013 and the rules made thereunderin respect of the subject matter of this form and matters incidental thereto have been complied with. I also declare that all the information given herein above is true, correct and complete including the attachments to this form and nothing material has been suppressed. * To be digitally signed by * Designation (Director/Manager/Company Secretary/CFO/CEO/Managing Director/Authorized person of the bank) * DIN of the Director; or PAN of the Manager or CEO or Managing Director or CFO; or Membership number of the secretary; or PAN of Authorized person of the bank Note: Attention is drawn to provisions of Section 448 and 449 which provide for punishment for false statement / certificate and punishment for false evidence respectively This eForm has been taken on file maintained by the IEPF Authority through electronic mode and based on statement of correctness given by the company/bank For office use only: eForm Service request number (SRN) eForm filing date (DD/MM/YYYY) 6. Form IEPF-3 shall be omitted. 7. For the Forms IEPF-4 and IEPF-5, the following Forms shall respectively be substituted, namely: – "Form No.IEPF-4 Statement of shares transferred and information of shares & unclaimed or unpaid dividend not transferred to the IEPF Form language English [Pursuant to rule 6(5), 6(8), 6A(5), 6A(8) and 6(3) of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] and Section 124 of the Companies Act 2013] Refer instruction kit for filing the form All fields marked in * are mandatory Entity's details 1. (a) *Corporate Identity number (CIN)/Bank Corporate Identification Number (BCIN) (b) *Name of the company / bank (c) *Address of the registered office of the company / bank (d) *Email ID of the company / bank 2. (a)* Purpose of filing Transfer of shares u/s 124(6) Transfer of shares u/s 90(9) Benefits accruing on shares already transferred to IEPF u/s 124(6) Benefits accruing on shares already transferred to IEPF u/s 90(9) Information of shares and unclaimed or unpaid dividend not transferred to the IEPF (b) Whether the company/bank is amalgamated Yes No (c) CIN/BCIN of the amalgamated company/bank (d) SRN of IEPF-1/1-INV/IEPF-1A or SRN of IEPF-4 3. Date of Corporate Action to Demat account of IEPF Authority (DD/MM/YYYY) Fund details 4. (a) Total nominal amount of shares transferred to the IEPF account (b) Total number of shares transferred 5. Date of Declaration of benefits accruing on Shares Transferred to IEPF (DD/MM/YYYY) 6. Financial year to which the amount relates (YYYY-YYYY) 7. Date of Advertisement (DD/MM/YYYY) Details of shares and dividend not transferred to IEPF account 8. (a) Total number of shares (b) Total nominal amount of shares (c) Total amount of unpaid dividend on such shares (d) Financial year ended as on (DD/MM/YYYY) Attachments (a) Investor wise details (excel file) (b) Copy of newspaper advertisement or order of a copy of order of the Tribunal u/s 90 (8) of the Act along with a declaration that no application is pending u/s 90(9) of the Act (c) Order of the court/tribunal/ statutory authority (d) Optional attachment(s) - if any Declaration I have been authorized by the Board of directors' resolution number* (DD/MM/YYYY)* to sign and submit this form. Dated To the best of my knowledge and belief, I declare that all the requirements of Companies Act, 2013 and the rules made thereunderin respect of the subject matter of this form and matters incidental thereto have been complied with. I also declare that all the information given herein above is true, correct and complete including the attachments to this form and nothing material has been suppressed. * To be digitally signed by * Designation (Director/Manager/Company Secretary/CFO/CEO/Managing Director/Authorized person of the bank) * DIN of the director; or Income-tax permanent account number of the manager or CEO or CFO or Managing Director or Authorized person of the bank; or Membership number of the secretary Note: Attention is also drawn to provisions of Section 448 and section 449 of Companies Act, 2013 which provide for punishment for false statement and false evidence This eForm has been taken on file maintained by IEPF Authority through electronic mode and on the basis of statement of correctness given by the company/bank For office use only: eForm Service request number (SRN) eForm filing date (DD/MM/YYYY) Form No. IEPF-5 Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund Form language English [Pursuant to Section 125 (3) of the Companies Act, 2013 and rule 7 of the Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016] Refer instruction kit for filing the form All fields marked in * are mandatory Applicant details Particulars of the applicant 1 (a) *Category of Applicant Individual Entity Individual's details (b) First Name (c) Middle Name (d) Last Name (e) Father's First Name (f) Father's Middle Name (g) Father's Last name (h) *Date of Birth (DD/MM/YYYY) Entity details (i) Type of the Entity (Company/LLP/Foreign Company/Foreign LLP/HUF/Sole Proprietorship/Partnership/Others) (j) *CIN / FCRN / LLPIN / FLLPIN / Registration No. (k) *Name of Entity (I) Date of Incorporation (DD/MM/YYYY) Contact Details of Applicant (m) *Address of the applicant (n) Phone number (o) *Mobile Number (with Country code) (p) *Enter OTP for Mobile Number Send OTP Re-send OTP Verify OTP (q) *E-mail ID Send OTP Re-send OTP Verify OTP (r) *Enter OTP for E-mail ID (s) Aadhaar Number (s)(i)*Aadhaar Card of the claimant and if joint holders are there, copy of Aadhaar card of all joint holders (t) Passport, OCI and PIO card number in case of foreigners and NRI (t)(i) *Copy Passport, OCI and PIO card in case of foreigners and NRI (u) *PAN of the applicant Company/Bank details 2 *Particulars of the company/bank from which the amount is due (a) *Corporate Identity number (CIN) of company / Bank Corporate Identification number (BCIN) (b) *Name of the company/bank (c) *Address of the registered office of the company/bank (d) *Email ID of the company/bank 3 (a) *Is it a case covered under rule 7 (8) & 7(9) of IEPF Rules, 2016 Yes No (b) Name of original security holder (c) Relation of claimant with security holder (d) Number of Nominee/Legal heirs/Successors/ Administrator/ Others holders (e) Name of Beneficiary (f) Self attested copy of death certificate (g) Succession certificate/Probate/Will (h) No Objection Certificate from other holder (i) Indemnity Bond and surety affidavit (j) Any other document required under rules Details of the Claim 4 *Type of Claim Amount Amount and Shares 5 Details of shares claimed (More than one Folio for one company/bank can be added) (a) Number of Folio +-------+-----------------------------+---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------+---------------------------+-----------------+ | S.No. | Type of Holding | Folio No. from which | Type of Share | Number of shares| | | (Physical / Demat) | transfer has been made | (Equity / Preference) | | | | | to IEPF | | | | | | Complete Demat | | | | | | account number from | | | | | | which transfer has been | | | | | | made to IEPF | | | +=======+=============================+=================================================================================================================================================================================================================================================================================+===========================+=================+ | | Total | | | | +-------+-----------------------------+---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------+---------------------------+-----------------+ Details of amount claimed 6 (a) Number of claims (b) Year wise details of securities/deposits for which the amount is claimed +-------+--------------------------------------------------------------------+-----------------------------+---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------+---------------+--------------------------+------------------------------------------------------------------------------------------------------------------+ | S.No. | Type of claim | Type of | Folio No. from | Amount | Financial | Reason for | | | (Unpaid dividend/ | Holding | which transfer | ofthe | yearto | non-receipt/ | | | Applicationmoney due for | (Physical | has been | claim | which claim | non- | | | refund/ Matured | /Demat) | madeto IEPF | | relates | encashment | | | deposits/ Matured | | Complete | | (YYYY- | of the | | | debentures/ Others | | Demat | | YYYY) | instrument of | | | | | account | | | payment | | | | | number from | | | | | | | | which transfer | | | | | | | | has been | | | | | | | | made | | | | | | | | to IEPF | | | | +=======+====================================================================+=============================+=================================================================================================================================================================================================================================================================================+===============+==========================+==================================================================================+ | | Total | | | | | | +-------+--------------------------------------------------------------------+-----------------------------+---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------+---------------+--------------------------+------------------------------------------------------------------------------------------------------------------+ 7 Refund Account Details (Details of Bank account in which refund shall be credited) (a) *Bank account number (b) *Bank Name (c) *IFSC Code (d) *Bank Branch (e) * Demat account number in which shares shall be credited Attachments (a) *Client Master List of De-mat A/c of the claimant / Transaction statement for demat holding (b) *Proof of entitlement (Entitlement letter issued by company/ Bonds/Debentures/Fixed Deposit receipts/Certificate of share/Interest warrant/Dividend warrant, Application No./Statement of transaction, documents for loss of original share certificates as per rules etc.) (c) *Bank cheque copy (d) Others - if any Declaration I declare that all the requirements of Companies Act, 2013 and the rules made thereunder in respect of the subject matter of this form and matters incidental thereto have been complied with. I further declare that all the information given herein above is true, correct and complete including the attachments to this form and nothing material has been suppressed. I declare that I have not claimed/ will not claim, the shares and/or amount claimed under the same folio and/or for same financial year on any earlier occasion for this company/bank. * I understand that I, am the claimant and after filing the refund claim in this form online, shall send the attachments prescribed below to Nodal Officer (IEPF) of the company / bank at its registered office in an envelope marked "claim for refund from IEPF Authority" for initiating the verification for claim 1 Print out of duly filled claim form with claimant signature 2 Copy of acknowledgement 3 Indemnity Bond (original) with claimant signature 4 In case of refund of matured deposit or debenture, original certificate thereto 5 Copy of Aadhaar Card 6 Proof of entitlement (certificate of share/Interest warrant Application No. etc.) 7 Cancelled Cheque leaf 8 Copy of Passport, OCI and PI card in case of foreigners and NRI 9 Other optional document, (if any) Note: Attention is also drawn to provisions of Section 448 of Companies Act, 2013 which states that- "Save as otherwise provided in this Act, if in any return, report, certificate, financial statement, prospectus, statement or other document required by, or for, the purposes of any of the provisions of this Act or the rules made thereunder, any personmakes astatement,- (a) which is false in any material particulars, knowing it to be false; or (b) which omits any material fact, knowing it to be material, he shall be liable under section 447" For office use only: eForm Service request number(SRN) eForm filing date (DD/MM/YYYY) 8. Form IEPF-7 shall be omitted. [F. No. 05/04/2020-IEPF] ANITA SHAH AKELLA, Jt. Secy. Note: The principal rules were published in the Gazette of India vide number G.S.R. 854 (E), dated the 5th September, 2016 and amended vide notification numbers G.S.R. 178(E), dated the 28th February, 2017, G.S.R. 1267 (E), dated the 13th October, 2017, G.S.R. 472 (E), dated the 22nd May, 2018, G.S.R. 343(E), dated the 1st May, 2019, G.S.R. 571(E), dated the 14th August, 2019, G.S.R. 396(E), dated the 09th June, 2021, G.S.R 785(E), dated the 09th November, 2021, G.S.R. 791(E), dated the 12th November, 2021 and G.S.R. 888(E), dated the 28th December, 2021. Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064 and Published by the Controller of Publications, Delhi-110054.