Instruction Kit for eForm IEPF-5

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

Table of Contents
About this Document ..............................................................................................................................................2
Part I – Law(s) Governing the eForm ...................................................................................................................2
a. Section and Rules ..........................................................................................................................................2
b. Purpose of the form ......................................................................................................................................2
Part II – Instructions to fill the eForm ..................................................................................................................3
a. Specific Instructions to fill the eForm IEPF-1 at Field Level ..........................................................................3
b. Common Instructions to fill eForm ...............................................................................................................4
Part III. Important points for successful submission ..........................................................................................6
Part IV. Process to be followed after filling the form .........................................................................................6
a. Steps to be followed after Form upload: ......................................................................................................6
Annexure I ................................................................................................................................................................8
Annexure II ...............................................................................................................................................................8
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

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.

User is advised to file one form for one financial year against one Aadhar Number and one
Company. User can enter more than one claims in single form (Number of claims to be entered in
field 4), failing which the form is liable to be rejected.

Part I – Law(s) Governing the eForm

Section and Rules

eForm 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

Rule 7(1):
Any person, whose shares, unclaimed dividend, matured deposits, matured debentures, application
money due for refund, or interest thereon, sale proceeds of fractional shares, redemption proceeds of
preference shares, etc. has been transferred to the Fund, may claim the shares under provision to sub-
section (6) of section 124 or apply for refund, under clause (a) of sub-section (3) of section 125 or under
proviso to sub-section (3) of section, the case may be, to the Authority by making an application in Form
IEPF 5 online available on website www.iepf.gov.in along with fee, as decided by the Authority from
time to time in consultation with the Central Government, under his own signature.

Purpose of the form

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.
IEPF authority may seek necessary clarifications from the concerned company/bank.
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

Reference
New form implemented as per Investor Education and Protection Fund Authority (Accounting, Audit,
Transfer and Refund) Rules, 2016]

Part II – Instructions to fill the eForm

Specific Instructions to fill the eForm IEPF-1 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.

Field Field Name Instructions

No.
1 Only one Form to be filed for one financial year
against one Aadhar Number and one Company. User
can enter more than one claims in single form
(Number of claims to be entered in field 4), failing
which the form is liable to be rejected.

1 Particulars of the Applicant Enter Name, Address and contact details of the
Applicant.

2 Particulars of the Company from Enter the Valid CIN of the company. You may find
CIN
which the amount is due
by entering existing registration number or name of
the
Company in the ‘Find CIN’ service under the menu
MCA Services on the MCA website.
(www.mca.gov.in)
Click the Pre-fill button. Upon clicking the button,
system shall automatically display the name,
registered office address and email id of the
company.
In case there is any change in the email ID, you can
enter the new valid email ID which would be updated
in MCA records upon processing of this eForm.
3 Details of shares claimed Enter the details of shares including folio id, etc.
4 Details of Amount Claimed Enter the details of amount claimed.
Enter the number of claims made.
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

The number of rows under ‘Year wise details of securities/

deposits for which the amount is claimed’ shall be
generated based on the number of claims entered by the
applicant.
5 Aadhar Number or Enter Aadhaar Number of applicant in case of Indian
Passport/OCI/PIO Card No. (in National. Aadhar number should be correctly filled, failing
case of NRI/foreigners) which the form is liable to be rejected.

For foreign nationals, enter OCI/PIO Card number, failing

which the form is liable to be rejected.
Number of Claims User can enter more than one claims in single
form.
6 Details of bank account (Aadhar Enter bank account number, Bank name, Bank branch,
Type of account and IFSC code. The Bank details should
linked, in case applicant is not be correctly filled and corresponding with cancelled
NRI/foreigner) in which refund cheque enclosed, failing which the form is liable to be
rejected.
of claim to be made In case of Indian Nationals, Bank Account Number must
be Aadhaar linked.
7 Demat Account Number Enter Demat Account Number
Demat account number is mandatory to fill for the
applicant claiming shares, failing which the form is
liable to be rejected.

Declaration Click on check box given in declaration, after

carefully reading all conditions

Common Instructions to fill eForm

BUTTONS PARTICULARS

Pre-Fill The Pre-fill button can appear more than once

in an eForm. The button
appears next to a field that can be
automatically filled using the MCA
database.
Click this button to populate the field.
Note: You are required to be connected to the
Internet to use the Prefill
Functionality.
Check Form 1. Click the Check Form button after, filling
the eForm. System
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

performs form level validation like checking

if all mandatory fields
are filled. System displays the errors and
provides you an
opportunity to correct errors.
2. Correct the highlighted errors.
3. Click the Check Form button again and.
system will perform form
level validation once again. On successful
validations, a message is
displayed “Form level pre scrutiny is
successful”.
Note: The Check Form functionality does not
require Internet connectivity.

Modify The Modify button is enabled, after you have

checked the eForm using
the Check Form button.
To make changes to the filled and checked
form:
1. Click the Modify button.
2. Make the changes to the filled eForm.
3. Click the Check Form button to check the
eForm again.
Pre scrutiny After checking the eForm, click the
Prescrutiny button. System
performs some checks and displays errors, if
any.
2. Correct the errors.
3. Click the Prescrutiny button again. If there
are no errors, a message
is displayed “No errors found.”
The Prescrutiny functionality requires
Internet Connectivity.
Submit This button is disabled at present.
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

Part III- Important points for successful submission

After pre scrutiny is done the user is required to upload the form using steps as given below:
1. Go to IEPF Website (www.iepf.gov.in) and use the option form upload. You will be redirected
to MCA21 for form Upload.
2. Login using your ID and Password (if existing or else register yourself by clicking on register
and entering the required details).
3. After login, click on normal upload.
4. Click on Browse and attach the form. Click on Submit.
5. SRN will be generated and you will ask for payment option (Pay Now or Pay later).
6. Though Fee will be zero, but click on Pay now option only to generate the acknowledgement.
7. After clicking on Pay Now, you have to click on Finish when zero fee page will be shown.
Acknowledgement will be generated.

Part IV-Process to be followed after filling the form

Steps to be followed after Form upload:

User has to send the attachments prescribed below to Nodal Officer (IEPF) of the company at its
registered office in an envelope marked “claim for refund from IEPF Authority” for initiating the
verification for claim
a. Print out of duly filled and uploaded claim form IEPF-5; with claimant signature and if joint
holders are involved than the Form should be signed by all the joint holders
b. Copy of acknowledgement generated after uploading the claim Form IEPF-5
c. Indemnity Bond (original) with claimant signature (As per format given in Annexure II) to be
executed :
➢ On a non-judicial Stamp Paper of the value as prescribed under the Stamp Act
(According to state) if the amount of the claim is Rs.10, 000 or more. Please ensure
to enter date, place and Signature of claimant and witness.
➢ On a plain paper if the amount claimed does not exceed Rs.10,000.
➢ In case of refund of shares, on a non-judicial Stamp Paper of the value as prescribed
under the Stamp Act.
d. Advance Stamped receipt (original) with signature of claimant and two witnesses. (Format is
given at Annexure I)
e. In case of refund of matured deposit or debenture, or bonds, or where shares (in physical form)
are claimed original certificate thereto
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

f. Copy of Aadhaar Card of the claimant and if joint holders are there, Copy of Aadhar card of
all the joint holders
g. Proof of entitlement (certificate of share/Interest warrant/dividend warrant, Application No.
etc.)
h. Original Cancelled Cheque leaf
i. Copy of Passport, OCI and PIO card in case of foreigners and NRI
j. Copy of PAN Card (mandatory in case of claim for shares)
k. Client Master List of De-mat A/c of the claimant
l. In case any Joint holder is deceased, Copy of Death certificate to be attached.
m. Other optional documents, (if any)
 Instruction Kit for eForm IEPF-5
(Application to the Authority for claiming unpaid amounts and shares out of Investor Education and Protection Fund)

Annexure I
Advance Receipt

Received from the Investor Education and Protection Fund Authority the sum of
Rs…………… and No. of Shares ……………… being the amount and shares payable to me
from the Investor Education and Protection Fund as …………. (Dividend on Equity /
Preference shares / matured deposits / matured debentures / application money due
for refund / interest accrued on……………………./Dividend credited to IEPF under
Companies Act, 1956 or Companies Act, 2013/ Dividend credited to General Revenue
Account under Companies Act, 1956 / others, specify………….)# which was originally due
from M/s……………………………………………………………………..(Name of the Company)

Signature of claimant with date

Stamp Affix
Revenue
Stamp

Signature of witness:

1. Signature with date

Name
Address

2. Signature with date

Name
Address

*Please ensure to affix Revenue Stamp with crossed Signature to avoid

delay in processing of the claim

# Strike off whichever is not applicable

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

Annexure II
Indemnity bond
To
The Investor Education and Protection Fund Authority
………………………

In consideration of the payment of Rs .……………. and No. of shares……………….. being

the amount and shares due to me as …………………… (Dividend on Equity / Preference
shares / matured deposits / matured debentures / application money due for refund
/interest accrued on……………………./Dividend credited to IEPF under Companies Act,
1956or Companies Act, 2013/ Dividend credited to General Revenue Account under
Companies Act, 1956 / others, specify………….)# for the Financial Year……………….. from
M/s ……………………………………....(Name of the Company) out of the Investor Education
and Protection Fund by the Authority, I …………………………….son /daughter /wife# of
………..…………………. do hereby agree and undertake to indemnify the Investor Education
and Protection Fund Authority to the extent of any claim not exceeding the amount
hereinbefore mentioned which may be preferred against the Investor Education and
Protection Fund Authority, and which it has to lawfully discharge.

Signature

Date:
Place:

Witnesses:

1.Signature with date

Name
Address
2.Signature with date
Name
Address
* For ensuring timely processing of the claim, please ensure to make all the
entries
# Strike off whichever is not applicable