FAQs for Claimants

Process of refund of Securities
Claimant to claim amount / shares by submitting an online application in Form IEPF-5.
Claimant to submit the print out of Form IEPF-5 along with other documents to the Nodal Officer of the company at its registered office for verification of the claim.
Company to send the verification report to IEPF within 15 days of receipt of the claim.
IEPF to examine completeness of documents transferred
IEPF to transfer shares and refund amount through electronic mode.

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.

No. IEPF Authority has not appointed or empanelled any professional for claims. Filling of IEPF 5 Form is simple and friendly for claimants to execute.

Documents which are required to be submitted are enumerated in the form and help kit, such as -

1. Copy of acknowledgement generated on online submission of e-Form IEPF – 5 bearing a unique serial number (SRN), 2. Indemnity Bond (original) with claimant signature, 3. Advance Stamped receipt (original) with revenue stamp and signature of claimant and witnesses, 4. Original matured deposit / debenture / share certificate (in case of securities held in physical form) or copy of transaction statement in case of securities held in Demat Form, 5. Self-attested 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 PIO card in case of foreigners and NRI.


The formats for advance receipt and indemnity bond are available in the help kit of IEPF -5 form. [http://www.iepf.gov.in/IEPF/corporates.html]

The number of shares and amount should be same as that filled in form IEPF -5. These values can be ascertained based on the available documents with the claimant or verified from the company. However mismatch in number of shares or in amount is not a ground for rejection of the claim. The authority shall process the claim based on the verification report received from the company and the same shall be verified from the data available with the authority.

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.

In case of Indian Citizen - to prove the identity of the claimant self-certified copy of Pan Card and Aadhar Card are required to be submitted.

In case of NRI – to prove the identity of the claimant, 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, instead of Aadhar Card, copy of Passport or PIO Card duly apostatized as per Hague Convention.

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, procedure for duplicate needs to be completed with the company including submission of FIR, Newspaper Advertisement in English and Vernacular Language, Indemnity cum Surety bond etc. as per SEBI Guidelines. A copy of such procedural documents shall be provided by the company to IEPF Authority along with its verification report.

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 may fill the information as per the records available with him. However it may be endeavoured that for one company, 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 shall ensure 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.

(i) In case of legal heir - the claimant is required to register transmission with the company by providing requisite documents as per SEBI Guidelines. According to SEBI Guidelines for registering transmission, company may require copy of death certificate, Affidavit from legal heirs, Indemnity Bond, Succession Certificate or probate of will or letter of administration etc. for share with market value greater than 2 lacs, NOC from other legal heirs and relinquishment deed in favour of claimant etc;

(ii) In case of death of any of the holder in joint holding of securities, but not covered in the family hierarchy – the claimant is required to get the name of the deceased holder of security deleted from the register of the members/other records, if any, in the company immediately after the death of a joint security holder before filing claim application. The claimant is also required to obtain NoC from other holders of securities, if any, and submit the same alongwith claim application. SEBI Guidelines may also be seen before filing claim application.

Company is required to issue entitlement letter under rule 7(9) of IEPF Rules 2016 in favour of claimant and send it along with copy of documents submitted by claimant with its verification report.

For rectification of errors in e-form IEPF 5, IEPF Authority provides one more chance to the claimant to correct the details and to re-submit the form 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. List of Nodal Officers may be seen at `contact us’ at the Authority’s web site\ www.iepf.gov.in

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.


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Last Updated: 19/03/2022. Site is best viewed in 1024*768 resolution