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Instruction Kit for eForm IEPF-5

(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
Table of Contents

About this Document.....................................................................................................................2

Part I – Law(s) Governing the eForm..........................................................................................2
Purpose of the eForm...............................................................................................................................3
eForm Number as per Companies Act, 1956...........................................................................................3
Part II – Instructions to fill the eForm........................................................................................3
Specific Instructions to fill the eForm IEPF-5 at Field Level..................................................................3
Part III - Important Points for Successful Submission..............................................................8
Fee Rules.................................................................................................................................................8
Processing Type......................................................................................................................................9
Email.......................................................................................................................................................9
Annexure A.............................................................................................................................................9

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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))

About this Document

The Instruction Kit has been prepared to help you file eForms with ease. This documents
provides references to law(s) governing the eForms, instructions to fill the eForm at field level
and common instructions to fill all eForms. The document also includes important points to be
noted for successful submission.

User is advised to refer instruction kit specifically prepared for each eForm.

This document is divided into following sections:

Part I – Laws Governing the eForm

Part II – Instructions to fill the eForm
Part III – Important Points for Successful Submission
Click on any section link to refer to the section.

Part I – Law(s) Governing the eForm

Rule Number(s)
Form IEPF-5 is required to be filed pursuant to sub-section (3) of section 125 of the Companies
Act, 2013 and rule 7(1) of the Investor Education and Protection Fund Authority (Accounting,
Audit, Transfer and Refund) Rules, 2016 which are reproduced for your reference

Section 125(3):
The Fund shall be utilized for:
(a) The refund in respect of unclaimed dividends, matured deposits, matured debentures, the
application money due for refund and interest thereon;
(b) Promotion of investors’ education, awareness and protection;
(c) distribution of any disgorged amount among eligible and identifiable applicants for shares or
debentures, shareholders, debenture-holders or depositors who have suffered losses due to wrong
actions by any person, in accordance with the orders made by the Court which had ordered
disgorgement;
(d) reimbursement of legal expenses incurred in pursuing class action suits under sections 37 and
245 by members, debenture-holders or depositors as may be sanctioned by the Tribunal; and
(e) any other purpose incidental thereto, in accordance with such rules as may be prescribed:
Provided that the person whose amounts referred to in clauses (a) to (d) of sub-section (2) of

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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
section 205C transferred to Investor Education and Protection Fund, after the expiry of the
period of seven years as per provisions of the Companies Act, 1956, shall be entitled to get
refund out of the Fund in respect of such claims in accordance with rules made under this
section.
Section 7(1):
Upon submission, Form No. IEPF-5 shall be transmitted online to the Nodal Officer of the
company for verification of claim:
Provided that the claimant after making an application in Form No. IEPF-5 under sub rule 1,
shall send original physical share certificate, original bond, deposit certificate, debenture
certificate, as the case may be, along with Indemnity Bond, Advance Receipts, any other
document as enumerated in Form No. IEPF-5, duly signed by him, to the Nodal Officer of the
concerned company at its registered office for verification of the claim.”;

Purpose of the eForm

The person in respect of whom any amount is transferred to the IEPF, can make an application
by filing Form IEPF-5 with the IEPF authority set up by MCA that shall further process the
application. Application can also be made by any legal representative of the deceased person.
IEPF authority may seek necessary clarifications from the concerned company/bank.

eForm Number as per Companies Act, 1956

This Form IEPF-5 has been introduced in the Companies Act, 2013.

Part II – Instructions to fill the eForm

Specific Instructions to fill the Form IEPF-5 at Field Level

Instructions to fill the eForm are tabulated below at field level. Only important fields that require
detailed instructions to be filled in eForm are explained. Self-explanatory fields are not
discussed.

S. No/ Field Name Instructions

Section Name
1 Particulars of the
applicant
(a) Category of Applicant Select the radio button:
Individual
Others

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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
S. No/ Field Name Instructions
Section Name
(b) First Name Enter the First Name of the applicant
© Middle Name Enter Middle Name of the applicant
(d) Last Name Enter the Last Name of the applicant
(e) First Name Enter the First Name of the applicant
(f) Middle Name Enter Middle Name of the applicant
(g) Last Name Enter the Last Name of the applicant
(h) Date of Birth
(i) Name of entity In case ‘Other’ is selected in Category of applicant ,
then enter the Name of the Entity
(j) Date of incorporation In case ‘Other’ is selected in Category of applicant ,
then enter the Date of incorporation of the entity
(k) Address of the applicant Enter the address of the applicant
Phone number Enter the valid phone number of the applicant
(m) Aadhaar Number or Enter the valid Aadhaar Number/Passport/OCI/PIO
Passport/OCI/PIO Card Card.
No. (in case of
NRI/foreigners)
(n) PAN of applicant Enter valid PAN number of Applicant. PAN must be
verified by clicking ‘Verify PAN Detail’. Applicant’s
Name . Father’s Name and DOB should match with the
information available in PAN database.
2 Particulars of the
Company from which
the amount is due
(a) Corporate Identification This will be auto-Prefilled based on the CIN selected
Number (CIN) of through Lookup service.
company

(b) Name of the company This field would be pre-filled on the basis of CIN
/bank selected in lookup service. There would be a SEARCH
button enabled to search the CIN.
(c) Address of the This will be auto-Prefilled based on the CIN selected
registered office of the through Lookup service
company
(d) email ID of the This will be auto-Prefilled based on the CIN selected
company through Lookup service.

3 Is it a case covered Select the radio Button ‘Yes’ if the case is related to
under rule 7 (8) & 7(9) transmission. Or else select ‘No’.
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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
S. No/ Field Name Instructions
Section Name
of IEPF Rules, 2016
(a) Name of original If Yes is selected in above, then enter the Name of
security holder original security holder.

(b) Relation of claimant If Yes is selected above, then enter the relation of
with security holder claimant with security holder

(c ) Number of If Yes is selected above, then enter the Number of

Nominee/Legal Nominee/Legal heirs/Successors/ Administrator/
heirs/Successors/ Others holders. Maximum 10 can be entered.
Administrator/ Others
holders.

Name of Beneficiary Enter the Name of Beneficiary depending on the

number entered above.
4 Type of Claim Select the Radio Button:
Amount
Amount and Shares
5 Details of shares This field would be enabled only when ‘Amount an
claimed shares’ is selected in field 4
Number of Folio Enter the Number of folios. Maximum 15 can be
entered. The number of blocks generated below would
be equal to this number entered.
Type of Holding Select from Drop down:
Physical
Demat
Folio No./ Complete Enter the of the Folio No./ DP Id - Client ID - Account
Demat account number number
from which transfer has Maximum number of characters allowed for Folio No
been made to IEPF
is 20 and for DP Id - Client ID - Account number is 60.
‘Folio No’ shall be entered if Physical is selected in
‘type of Holding’. ‘Account No’ shall be entered if
Demat is selected in ‘type of Holding’
Type of share Select from drop down:
Equity
Preference
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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
S. No/ Field Name Instructions
Section Name
Number of shares Give the number of shares claimed
The number should be greater than zero
6 Details of amount
claimed
Number of claims Enter the number of claims to be filed
The limit for this is 15.The number of blocks generated
below would be equal to this number entered.
Type of claim Select the type of claim from drop down values.
Type of Holding Select from Drop down:
Physical
Demat
Folio No./ Complete Enter the of the Folio No./ DP Id - Client ID - Account
Demat account number number
from which transfer has Maximum number of characters allowed for Folio No
been made to IEPF
is 20 and for DP Id - Client ID - Account number is 60.
‘Folio No’ shall be entered if Physical is selected in
‘type of Holding’. ‘Account No’ shall be entered if
Demat is selected in ‘type of Holding’
Amount of the claim Enter the amount of the claim
Both Principle and Interest field will be displayed when
option 2,3 and 4 are selected in ‘Type of claim’ else
only Principle field will be displayed.
Amount should be greater than Zero.
Financial year to which Select the Financial year range to which the claim
it relates relates
The year should be equal to or greater than year of
incorporation of company and equal to or less than the
system date
Reason for non-receipt/ Select the Reason for non-receipt/ non-encashment of
non-encashment of the the instrument of payment from below drop down
instrument of payment
values:
-Change in Address
-Death of original investor
-Loss of original Documents
-Others
7 Refund Account Details
Details of Bank account in
which refund shall be

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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
S. No/ Field Name Instructions
Section Name
credited
(a) Bank account number Enter the Bank account number in which refund of
dividend amount is to be made
The maximum number of characters that can be entered
are 20
Bank Name Give the bank name in which refund of dividend
amount is to be made
IFSC Code Give the IFSC code of the branch in which refund of
dividend amount is to be made. Maximum 11
characters can be entered.
Bank Branch Give the description of the bank branch in which
refund of dividend amount is to be made
Demat account number in Enter your Demat Account number
which shares shall be
credited
Attachments 1. Aadhaar Card of the claimant and if joint holders are there, copy of Aadhaar
card of all joint holders
- Mandatory
2. Passport, OCI and PIO card in case of foreigners and NRI - Mandatory
3. Client Master List of De-mat A/c of the claimant - Mandatory
4. Proof of entitlement (Bonds/Debentures/Fixed Deposit receipts/Certificate of
share/Interest warrant/Dividend warrant, Application No./Statement of transaction
etc.) - Mandatory
5. Optional Attachment – Optional
In case yes is selected in field 3 the below attachments are mandatory to attach
6. Notarised copy of death certificate.
7. Notarised succession certificate/Probate/Will
8. No Objection Certificate from other holder
9. Indemnity Bond for Transmission, duly notarized
10. Affidavit in form of surety
OTP Enter Mobile Number and e-Mail ID and click on Send OTP button.
Validation
Click on this button to send OTP to your mobile number and email ID.
Please note that separate OTPs will be sent to mobile number and email ID.
Further, please note that OTP can be successfully sent to the mobile number and
email ID against one form and IP Address, for a maximum of 10 times in one day.
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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
S. No/ Field Name Instructions
Section Name
OTP shall be valid for a span of 30minutes.
For further chances, you may try with new form on next day.
Enter the OTP for Mobile Number and Email Id received on the mobile number
and email id entered in the form.
Verify OTP Button: This button will be enabled after OTP for mobile number and
email address are entered.
Please note that the OTPs must be verified before you Submit the form.
Submit Click on the ‘Submit’ button to proceed for challan generation.

Part III - Important Points for Successful Submission

Fee Rules
IEPF-5:

S. Purpose of the form Normal Fee Additional Logic for Additional Rem
No Fee (Delay Fees arks
Fee)

Event Date Time

limit(days) for
filing
1. Application to the N/A N/A N/A
authority for claiming
unpaid amounts and
shares out of Investor
Education and
Protection Fund
(IEPF)
eVerification Report:
Following table of fees shall be applicable for delays in filing of eVerification Report:

Sl. Event Date Period of Additional fee payable (in Rs.)

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Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and
Protection Fund (IEPF))
No. delay
01 Date of Filing of 30 days Rs. 50 per day. Maximum upto Rs 2500/-
IEPF-5

Fees payable is subject to changes in pursuance of the Act or any rule or regulation made or
notification issued thereunder.

Track IEPF-5 SRN

The system generated Indemnity bond, Advance Receipt, Acknowledgement of IEPF-5 and pdf
version of the IEPF-5 web form submitted can be downloaded from ‘Track IEPF-5 SRN’ Service
available on MCA website.

Processing Type
The eForm will be processed by the IEPF Cell (Non STP). On processing of the eForm the
details will be saved with MCA.
Email
Once the eForm is uploaded (in case of normal filing or re-Submission), an email notification
shall go to Nodal officer of the company to upload eVerification Report for the claimant.
When an eForm is approved/rejected by the authority concerned, an acknowledgement of the
same is sent to the user in the form of an email.

Annexure A
N/A

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