Corporate Action - List of Documents

  • Bonus Issue
    1. Certified true copy of the Shareholders’ Resolution approving the issue of shares.
    2. Certified true copy of the Board Resolution for allotment of shares.
    3. Copies of the letters of "in-principle" listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of shares directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15/2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).

      In case the company is unlisted, a copy of PAS-3/Form No. 2 (return of allotment) filed by the company with the Registrar of Companies alongwith copy of ROC counter receipt.
    4. Corporate Action Information Form (for shares) duly filled Download
    5. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    6. Copy of the letter / circular of the stock exchange confirming / notifying the record date.

      In case the company is unlisted, copy of letter / notice sent to the shareholders informing them about the record date
    7. Corporate action and Document processing fees.
    8. Name confirmation letter from RTA

  • Buy back of shares (Tender offer)

    1. Certified true copies of Shareholders’ and Board Resolution approving the buyback of shares.
    2. Copy of offer document\terms of offer
    3. Transaction statement from the Depository Participant for the buy-back account.
    4. Corporate Action Information Form (for extinguishment) as per the format enclosed. Download
    5. Capital of the company, pre and post extinguishment in amount (this should include details of shares extinguished in the physical form as well).
    6. Stamp Duty - In case of Demat buyback of shares Stamp duty should be paid through DPID Client ID of escrow demat account opened by the Issuer
    7. Corporate action and Document processing fees
    8. Name confirmation letter from RTA

  • Buy-back of shares (open market)

    1. Certified true copies of Shareholders’ and Board Resolution approving the buyback of shares
    2. Copy of the Public Announcement. (Can be downloaded from SEBI Site.)
    3. For extinguishing the shares bought back in the demat mode, Issuer/R&T Agent will have to execute a debit corporate action. For each extinguishment, submit the following documents to NSDL:
      1. Transaction statement from the Depository Participant for the buy-back account.
      2. Capital of the company, pre and post extinguishment in amount (this should include details of shares extinguished in the physical form as well)
      3. Corporate Action Information Form (for extinguishment) as per the format enclosed Download
    4. Corporate action and Document processing fees
    5. Name confirmation letter from RTA

  • Conversion of warrants into equity shares / Conversion of Preference shares into equity shares / Conversion of Bond or Debenture into equity shares /
    Preferential Allotment

    1. Certified true copy of the Shareholders’ Resolution approving the issue of shares.
    2. Certified true copy of the Board Resolution for allotment of shares.
    3. Copies of the letters of "in-principle" listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of shares directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15 /2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).

      In case the company is unlisted, copy of PAS-3/Form No. 2 (return of allotment) filed by the company with the Registrar of Companies alongwith copy of ROC counter receipt.

      In case the shares are issued in physical form, copies of letters of listing approval of the stock exchanges
    4. Corporate Action Information Form (for shares) duly filled. (Separate forms for Debit / Credit (as applicable)) Download
    5. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    6. Corporate action and Document processing fees
    7. Name confirmation letter from RTA

  • Conversion from Partly paid to Fully paid
    1. Certified true copy of the Board Resolution for conversion from Partly paid to fully paid.
    2. Copies of the letters of “in-principle” listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of warrants directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15/2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).
    3. Corporate Action Information Form (For conversion from partly paid to fully paid) duly filled in (format enclosed). Download
    4. Capital & Distinctive number details for PP to FP (format enclosed). Download
    5. Corporate action fees
    6. Stamp Duty Payment receipt
    7. RTA confirmation letter for execution of corporate action

  • Demerger

    1. Certified true copy of the order of the High Court approving the scheme.
    2. Certified true copy of the Shareholders’ Resolution approving the scheme
    3. Copy of the letter / circular of the stock exchange confirming / notifying the record date. In case the company is unlisted, copy of letter / notice sent to the shareholders informing them about the record date
    4. Certified true copy of the Board Resolution for allotment of new shares.
    5. Copies of the letters of “in-principle” listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of shares directly in dematerialized form and / or dispatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15/2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities). In case the company is unlisted, copy of Form No. 2 (return of allotment) filed by the company with the Registrar of Companies alongwith copy of ROC counter receipt.
    6. Corporate Action Information Form (for shares) duly filled in (format enclosed). Download
    7. For debits/credits to accounts in NSDL system, Demand Draft / Cheque payable at Mumbai towards corporate action fee @ Rs.10/- per record subject to minimum of Rs.1000/- plus GST at 18 % (e.g. minimum fee including tax is Rs.1180/-).
    8. Document Processing fee of Rs. 250/- plus GST @18% for unlisted company and Rs. 20,000/- plus GST @18% for listed company.
    9. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    10. Copy of the latest Reconciliation of Share Capital Audit Report submitted to stock exchanges.
    11. List of documents mentioned in the enclosed Annexure for joining NSDL to be given by the new company (if not joined already).
      12. Note:  Documents mentioned in point no. 1, 2, 3, 8 and 9 have to be submitted atleast ten days before the record date and the document mentioned at point no. 10 at the earliest.

  • Forfeiture of shares

     (I) In case shares held by investors in dematerialised form are forfeited
    1. Corporate Action Information form (for forfeiture) as per the enclosed format. Download
    2. Certified true copy of the Board Resolution approving the forfeiture of shares.
    3. Copy of letter intimating the stock exchange about the forfeiture of shares and copies of letters / notice of stock exchanges confirming/notifying about the the forfeiture of shares.
    4. Copy of latest Secretarial Audit Report submitted to the stock exchanges.
    5. For debits to accounts in NSDL system, Demand Draft / Cheque payable at Mumbai towards corporate action fee @ Rs.10/- per record subject to minimum of Rs.1000/- plus GST including education cess at 18 % (e.g. minimum fee including tax is Rs.1180/-).
    6. Document Processing fee of Rs. 250/- plus GST @18% for unlisted company and Rs. 20,000/- plus GST @18% for listed company.
    (II) In case shares held by investors in physical form are forfeited, let us have a letter signed by the Company Secretary/Managing Director giving the following details:
    1. Number of shares forfeited : ______________
    2. Details of share capital as given below:

    (A)

    Particulars

    Issued Capital

    No. of shares

    Amount (Rs.)

    Before forfeiture

     

     

     

    After forfeiture

     

     

     

     

    (B)

    Particulars

    Paid-up Capital

    No. of shares

    Amount (Rs.)

    Before forfeiture

     

     

     

    After forfeiture

     

     

     

  • Incorporation of lock

    1. Corporate Action Information Form (Incorporation of lock-in details) as per the format enclosed. Download
    2. Copy of latest Reconciliation of Share capital Audit Report
    3. Corporate action fees
    4. Name confirmation letter from RTA

  • Initial Public Issue of shares
    1. Certified true copy of the Shareholders’ Resolution approving the issue of shares.
    2. Certified true copy of the Board Resolution for allotment of shares
    3. Copy of the approval of stock exchange for basis of allotment
    4. Corporate Action Information Form (for shares) duly filled. (Separate forms for Debit / Credit (as applicable)) Download
    5. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    6. Offer Document for the issue.
    7. Certificate from the Lead Manager confirming that the relevant SEBI guidelines for the public issue have been complied with.
    8. Bendem Validation letter
    9. Corporate action and Document processing fees
    10. Name confirmation letter from RTA

  • Issue of Warrants
    1. Certified true copy of the Shareholders’ Resolution approving the issue of warrants.
    2. Certified true copy of the Board Resolution for allotment of warrants.
    3. Master Creation Form (for warrants) as per the enclosed format. Download
    4. Copies of the letters of “in-principle” listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of warrants directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15/2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).
    5. If warrants are unlisted, declaration from the issuer stating that the warrants are unlisted.
    6. Corporate Action Information Form (for warrants) duly filled in (format enclosed). Download
    7. Corporate action fees
    8. Stamp Duty Payment receipt
    9. RTA confirmation letter for execution of corporate action

  • Right Issue
    1. Certified true copy of the Shareholders’ Resolution approving the issue of shares.
    2. Certified true copy of the Board Resolution for allotment of shares.
    3. Copies of the letters of "in-principle" listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of shares directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15 /2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).

      In case the company is unlisted, copy of PAS-3/Form No. 2 (return of allotment) filed by the company with the Registrar of Companies alongwith copy of ROC counter receipt.
    4. Corporate Action Information Form (for shares) duly filled. (Separate forms for Debit / Credit (as applicable)) Download
    5. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    6. Offer Document for the issue.
    7. Corporate action and Document processing fees
    8. Name confirmation letter from RTA

  • Rejected Cases
    1. CA form (in attached format) (being digitally signed by Managing Director/ Company Secretary) Download
    2. Corporate action fees
    3. Name confirmation letter from RTA
    4. Rejection Report

  • Scheme of Amalgamation

    1. Certified true copy of the order of the High Court / BIFR approving the scheme.
    2. Certified true copy of the Shareholders’ Resolution approving the scheme.
    3. Copy of the letter / circular of the stock exchange confirming / notifying the record date.

      In case the company is unlisted, copy of letter / notice sent to the shareholders informing them about the record date
    4. Certified true copy of the Board Resolution for allotment of new shares.
    5. Copies of the letters of "in-principle" listing approvals of the stock exchanges obtained after completion of all listing formalities except credit of shares directly in dematerialised form and / or despatch of physical certificates (Ref. SEBI Circular No. SMDRP/Policy/Cir-15/2001 dated March 8, 2001 and MRD/Policy/Cir – 35/2003/29/09 dated September 29, 2003, in terms of which, the company agrees to obtain ‘in-principle’ approval for listing from the exchanges having nationwide trading terminals where it is listed, before issuing further shares or securities. Where the company is not listed on any exchange having nationwide trading terminals, it agrees to obtain such ‘in-principle’ approval from all the exchanges in which it is listed before issuing further shares or securities).

      In case the company is unlisted, copy of PAS-3/Form No. 2 (return of allotment) filed by the company with the Registrar of Companies alongwith copy of ROC counter receipt
    6. Corporate Action Information Form (for shares) duly filled. (Separate forms for Debit / Credit (as applicable)) Download
    7. Confirmation stating that the new shares are pari-passu in all respects with the existing shares. (As per SEBI circular No. SMDRP/NSDL/3254/00 dated February 18, 2000, shares issued by companies should be pari-passu in all respects and the same ISIN number should be allotted).
    8. Please let us know if in terms of the scheme, the company has to cancel / extinguish cross holdings, if any. If so, and if such shares are held in dematerialised form in NSDL, the same can be extinguished by way of a debit Corporate Action to be executed by you / your R & T Agent before effecting the amalgamation in NSDL system. However, if such shares are held in physical form, please intimate us immediately after the cancellation of the physical certificates.
    9. Corporate action and Document processing fees
    10. Name confirmation letter from RTA

  • Sub-division of shares
    1. Certified true copy of the Shareholders’ Resolution approving the sub-division of shares.
    2. Certified true copy of Board Resolution approving the sub-division of shares.
    3. Copy of the letter / circular of the stock exchange confirming / notifying the record date.
      In case the company is unlisted, copy of letter / notice sent to the shareholders informing them about the record date.
    4. Corporate Action Information Form(for shares) duly filled Download
    5. Copy of the latest Secretarial Audit Report submitted to the stock exchanges.
    6. Corporate action and Document processing fees
    7. Name confirmation letter from RTA

  • Transfer of shares from Unclaimed Suspense/Escrow Account
    1. CA form (in attached format) (being digitally signed by Managing Director/ Company Secretary) Download
    2. Delivery Instruction Slip duly to be filled-in by the transferor and submitted to the Depository Participant (DP) and a request from the DP to effect the transfer (DP letter format as attached – To be submitted only if debit is at NSDL) Download
      The signatures of the transferor must be verified and attested by the DP on the DIS Slip specifying the name and designation of the employee verifying the signatures.
    3. Name confirmation letter from RTA
    4. Stamp duty non-applicability declaration (being digitally signed by Managing Director/ Company Secretary)
    5. In case the Debit is at other depository, submit copy of the debit confirmation letter
    6. Corporate action and Document processing fees
    7. Name confirmation letter from RTA

  • Transmission of lock-in securities

    1. Corporate Action Information Form (transmission of lock-in securities) duly filled in (format enclosed). Download
    2. DP letter (format emclosed). Download
    3. Copy of latest Reconciliation of Share capital Audit Report of the company (in case of listed Co.)
    4. The form should be signed by the Company Secretary or Managing Director.
    5. RTA confirmation letter for execution of corporate action

  • Transfer of lock-in Securities

    1. Corporate Action Information Form (Transfer of lock-in securities) duly filled in (format enclosed). Download
    2. Enclose a copy of the Delivery Instruction Slip duly filled-in by the transferor and submitted to the Depository Participant (DP) and a request from the DP (format enclosed) to effect the transfer, since these are locked-in. The signatures of the transferor must be verified and attested by the DP specifying the name and designation of the employee verifying the signatures.
    3. Enclose a letter from the transferee confirming the transfer of shares. The signatures of the transferee must be verified and attested by the DP specifying the name and designation of the employee verifying the signatures.
    4. Copy of latest Reconciliation of Share capital Audit Report of the company (in case of listed Co.)
    5. The form should be signed by the Company Secretary or Managing Director.
    6. Corporate action fees
    7. RTA confirmation letter for execution of corporate action

  • Transfer of lock-in securities due to change in Demat Account

    1. Corporate Action Information Form (Transfer of lock-in securities due to change in demat account) duly filled in (format enclosed). Download
    2. Enclose a copy of the Delivery Instruction Slip duly filled-in by the transferor and submitted to the Depository Participant (DP) and a request from the DP (format enclosed) to effect the transfer, since these are locked-in. The signatures of the transferor must be verified and attested by the DP specifying the name and designation of the employee verifying the signatures.
    3. Copies of client master report for the old and new account.
    4. Copy of latest Reconciliation of Share capital Audit Report of the company (in case of listed Co.)
    5. The form should be signed by the Company Secretary or Managing Director.
    6. Corporate action fees
    7. RTA confirmation letter for execution of corporate action

  • Transfer of shares to Demat Account of the IEPF Authority

    1. Certified true copy of the Board Resolution for authorizing transfer/transmission (debit/credit) of shares to Demat account of IEPF Authority.
    2. Corporate Action Information Form (For transfer/transmission of shares (debit/credit) held by investors in physical/demat form to the demat account of the IEPF Authority) duly filled in (format enclosed). Download
    3. RTA confirmation letter for execution of corporate action Download
    4. Confirmation of debit of shares from the other depository viz., CDSL where shares are to be credited to IEPF Authority account in NSDL
    5. Payment of fees
      1. Corporate action fee for NSDL to NSDL and NSDL to CDSL is Rs.10/- per record (subject to minimum of Rs. 1000/-) plus applicable GST
      2. Corporate action fee for Physical to NSDL and CDSL to NSDL is Rs.1000/- per corporate action plus applicable GST
      3. Special processing charges for online corporate actions; minimum of Rs. - 2,500/-and maximum of Rs. 20,000/-per corporate action.
      4. Fees for maintaining demat account of IEPF Authority (as may be notified by NSDL based on MOU finalized with IEPF Authority).

Corporate Action - List of Documents - Debt Securities