IEPF details

Pursuant to the applicable provisions of the Companies Act, 2013 and the provisions of Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016 (the “Rules”) notified by the Ministry of Corporate affairs effective September 7, 2016, all unpaid or unclaimed dividends are required to be transferred by the Company to the Investor Education and Protection Fund (“IEPF”) established by the Central Government, after completion of seven years.

The Rules, inter alia, also provide that, all shares in respect of which dividend(s) remain unpaid or unclaimed for a period of seven consecutive years shall be transferred to the DEMAT Account of the IEPF Authority (the “IEPF DEMAT Account”) within 30 days from the due date of transfer.

Both the unpaid / unclaimed dividend(s) and the corresponding shares transferred to the IEPF DEMAT Account including all benefits, if any, accruing on such shares after the date of transfer to the IEPF DEMAT Account can be claimed from the IEPF Authority.

Guidelines for investors to file claim:

  1. Submit an online application in Web based Form IEPF-5 available on the IEPF website for refund. Read the instructions provided on the IEPF website / instruction kit along with the web-form carefully before filing the form.
  2. Following attachments are mandatorily required to be attached with the form (Also refer the latest list of documents provided in the help Kit of the form):
    • Self-attested copy of Aadhaar Card of the claimant and if joint holders are there, copy of Aadhaar card of all joint holders.
    • Passport, OCI and PIO card in case of foreigners and NRI.
    • Self-attested copy of Client Master List of De- mat A/c of the claimant.
    • Proof of entitlement (Bonds/ Debentures/ Fixed Deposit receipts/ Certificate of share/ Interest warrant/ Dividend warrant, Application No./ Statement of transaction, etc.

    In case, Claimant is the legal heir or successor or administrator or nominee of the registered share holder, the below attachments are mandatory to attach:

    • Notarised copy of death certificate.
    • Notarised succession certificate/Probate/Will
    • No Objection Certificate from other holder
    • Indemnity Bond for Transmission duly notarized
    • Affidavit in form of surety
  3. Afterwards, the Applicant shall enter his/her mobile number and email address. OPT shall be received for verification purpose. On completion of verification, the application may be submitted.
  4. 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.
  5. The Applicant shall send the following attachments (duly signed) to the Nodal Officer (IEPF) of the Company at the registered office of the Company in an envelope marked “claim for a refund from IEPF Authority” for initiating the verification for the claim:
    1. Print out of duly filled form IPEF-5 with claimant signature and if joint holders are involved than the Form should be signed by all the joint holders.
    2. Copy of acknowledgement generated after uploading the claim in Form IEPF 5.
    3. Indemnity Bond (original) auto-generated after uploading the claim in Form IEPF 5 with claimant signature and proof of payment of applicable stamp duty (Refer Help Kit for Stamp Duty Details).
    4. Advance Stamped receipt (original) auto-generated after uploading the claim in Form IEPF 5 with claimant signature and two witnesses (After Pasting Revenue Stamp).
    5. In case of a refund of matured deposit or debenture or bond or where shares (in physical form) are claimed, original certificate/shares thereto.
    6. Original Cancelled Cheque leaf.
    7. Self-attested copy of Client Master List.
    8. In case any Joint holder is deceased, Copy of Death certificate to be attached.
    9. Copy of Aadhaar Card of the Claimant and if joint holders are there, Copy of Aadhaar card for all the joint holders.
    10. Self-attested copy of Passport, OCI and PIO card in case of foreigners and NRI duly apostilized.
    11. Copy of PAN Card.
    12. In case of joint holder is deceased, Copy of Death Certificate to be attached.
    13. In cases of transmission, loss of original shares, mismatch in name and address etc., relevant documents as mentioned in Schedule II, III and IV of the Rules respectively.
    14. Any other document relevant to prove entitlement of the claimant.
  6. Claim forms completed in all respects will be verified by the Company and on the basis of the Company’s online verification report submitted to IEPF Authority, refund will be generated by the IEPF Authority in favour of claimant’s Aadhar linked bank account through electronic means.

The details of the Nodal officer nominated by the Company for the purpose of coordination with the IEPF Authority are as below:

Name of the Nodal Officer Mr. Manish Anand

Designation Company Secretary & Compliance Officer

Postal Address HCL Technologies Limited,
14th Floor, Tower – 6,
Plot 3A, Special Economic Zone, Sector 126, Noida (U.P.) – 201 304

Tele-fax number +91 11 26436336

Contact No. +91 120 4306000

E-mail IDM

Details of Unclaimed / Unpaid Dividends and Equity Shares transferred / liable to be transferred to the IEPF