Guidance Note Note STEPS FOR APPLYING FOR DUPLICATE SHARES: CASE 1: No. of Shares are below 100 & the present market value of the shares (on the date of execution of the documents) is less than Rs. 1,00,000/1. Execute the Indemnity Bond & Affidavit on stamp paper as per proforma enclosed. 2. In case of Joint Holder all the Joint Holders should sign. 3. The Affidavit should be verified in the presence of First Class magistrate or a Notary Public. In the event of verification in the presence of a Notary Public, the Affidavit should contain the requisite Special adhesive Stamps. 4. Fill up the Questionnaire contained in Annexure ‘Q’. 5. Send the executed documents to the RTA at the following address: Karvy Computershare Private Limited Limited Unit: JSW Steel Limited Plot No.17 to 24, Vittalrao Nagar, Madhapur Hyderabad - 500 081 Tel No: 040 – 23420815 - 824 Email:
[email protected] CASE 2: No. of Shares Shares are 100 or more or the present market value of the shares (on the date of execution of the documents) is equal to or more than Rs. 1,00,000/- 1,00,000/1. 2. 3. 4.
Execute the Indemnity Bond, Affidavit on stamp paper along with surety form. In case of Joint Holder all the Joint Holders should sign. The Surety should not be related to the shareholder. The Affidavit should be verified in the presence of First Class magistrate or a Notary Public. In the event of verification in the presence of a Notary Public, the Affidavit should contain the requisite Special adhesive Stamps.
5. attested copy of Identity & in Address Pr oof. Proof. 6. Enclose Fill up the Questionnaire contained Annexure ‘Q’. 7. Make a Demand Draft of Rs. 2500/- favouring JSW Steel Ltd. Ltd. payable at Mumbai towards news paper advertisement cost. 8. Send the executed documents along with the necessary documentary evidence to the RTA at the following Address: Karvy Computershare Private Limited Limited Unit: JSW Steel Limited Plot No.17 to 24, Vittalrao Nagar, Madhapur Hyderabad - 500 081 Tel No: 040 – 23420815 - 824 Email:
[email protected]
(To be executed on a non-judicial stamp paper of Rs. 200/-) INDEMNITY BOND FOR DUPLICATE SHARE CERTIFICATES* CERTIFICATES* This bond of indemnity made this ____________day of ___________________________by: 1. Mr./Ms. _____________________Son/Daughter/Wife of ______________________ residing at _____________________________________________________ ___________________________ __________________________________________________ __________________________ __ 2. Mr./Ms. _____________________Son/Daughter/Wife of ______________________ residing at _____________________________________________________ ___________________________ __________________________________________________ __________________________ __ 3. Mr./Ms. _____________________Son/Daughter/Wife of ______________________ residing at _____________________________________________________ ___________________________ __________________________________________________ __________________________ __ in favour of : JSW STEEL Limited having its Registered Office at “Jindal Mansion”, 5A, Dr. G Deshmukh Marg, Mumbai 400026 (hereinafter called called “the Company”). Company”). WHEREAS I/We I/We am / are the registered shareholder(s) shareholder(s) of shares of the Company Company of face face value of Rs .10/- each as detailed below:
Folio. No.
No. of Shares
Certificate No.(s)
Distinctive No.(s) From
To
AND WHEREAS the aforesaid share certificate(s) have been lost / misplaced / stolen / destroyed/ not received and is not forthcoming. AND WHEREAS and I / we have not executed any instrument of o f transfer for the said shares in favour of any person(s) since the date of my / our acquisition and I/we have not, nor has any person by our order in any manner disposed of, parted with or pledged the shares comprised in the aforesaid certificate(s), or assigned our interest therein or any part thereof to any person. AND WHEREAS I/We the above named registered shareholder(s) shareholder(s) have applied to the Company to issue duplicate share certificate(s) in lieu of the original share certificate(s) lost/misplaced/stolen/destroyed upon executing an indemnity as hereinafter provided.
NOW THIS INDENTURE WITNESSETH THAT in consideration of the Company having agreed to issue duplicate share certificate(s) certificate(s) in lieu of the original share certificate(s) lost / misplaced / stolen/ destroyed, I/We the undersigned do hereby jointly and severally agree to keep the Company, its successors and assigns harmless and indemnified against against all actions, proceedings, proceedings, claims, damages, costs and expenses which may be brought or made against or incurred by the Company in consequence of the Company having issued the duplicate duplicate share certificate(s) to me/us. I/We undertake to return to you for cancellation the original Share certificate(s) if and when it/they may be found, free from any claims or charges or demand whatsoever. IN WITNESS THEREOF I/WE HAVE HERE UNTO SET MY/OUR RESPECTIVE HANDS THIS THE _______DAY OF____________________ TWO THOUSAND ___________________. ______ _____________.
NAME & ADDRESS OF SHAREHOLDER(S) SHAREHOLDER(S)
SIGNATURE OF SHARE HOLDER(S)
I hereby stand Surety (which expression shall includes my heirs, executors and a administrators) dministrators) to JSW Steel Limited to keep the Company, its successors and assigns harmless and indemnified against all actions, proceedings, claims, damages, costs and expenses which may be brought or made against or incurred by the Company in consequence of the Company having issued the above duplicate share certificate(s).** NAME & ADDRESS OF THE SURETY**
SIGNATURE OF SURETY**
NAME & ADDRESS OF WITNESS
SIGNATURE OF WITNESS
(1)
(2)
* In case of Joint Holder all the Joint Holders should sign. ** Signature of Surety is required in case the application is in respect of 100 or more shares or the market value of the share is equal to or more than Rs. 1,00,000/1,00, 000/-
(To be executed on a non-judicial stamp paper of Rs. 100/-) 100/-) AFFIDAVIT* In the matter of issuance of duplicate Share Certificate (s) of JSW Steel Limited I/We : 1.___________________son/daughter/wife of Mr.______________________________________ residing at______________________________________________________________________ 2._____________________son/daughter/wife of Mr.____________________________________ residing at ______________________________________________________________________ 3._____________________son/daughter/wife of Mr.____________________________________ residing at ______________________________________________________________________ hereby state upon oath as follows : I/We am / are the registered shareholder(s) of shares of JSW Steel Limited having its Registered Office at “Jindal Mansion”, 5A, Dr. G Deshmukh Marg, Mumbai 400026 (hereinafter referred to as “the Company”) and hold shares as detailed detailed below: Folio. No.
No. of Shares
Certificate No.(s)
Distinctive No.(s) From To
The above mentioned Certificate(s) for the said shares have been lost / misplaced / stolen / destroyed/ not received and are beyond recovery and not in my / our possession. I / We have not sold, mortgaged, hypothecated or pledged or otherwise disposed off the said shares or any of them to any person, bank or other party and I / we have / have not executed any instrument of transfer for the said shares in favour of any person(s) since the date of my / our acquisition and I am / we are still the sole and absolute owner(s) of the said shares.
I/We have filed an application with JSW Steel Limited to issue duplicate share certificates against the said shares. I / We solemnly affirm and state that the facts mentioned above and in answer to the questions in the questionnaire annexed to this affidavit and marked as ‘Annexure Q’ are true and correct and that nothing material has been concealed.
Deponent(s) Solemnly declared and affirmed 1. Signature: at .......... .............. Name: on identification at ......am / pm before me.
2. Signature:
....................
Name: 3. Signature:
(Signature and Seal of the Notary/ First Class Magistrate with date)
Note: (This affidavit should be verified in the presence of First Class magistrate or a notary public. In the event of verification in the presence of a Notary Public, the Affidavit should contain the requisite Special adhesive Stamps) *In case of Joint Holder all the Joint Holders should sign.
Annexure ‘Q’
QUESTIONNAIRE FORM (Form to be filled in by applicant(s) for issue of Duplicate Certificate(s) in respect of security/ies for which original certificate(s) is/are lost ) Q.No. 1.
Question Full name of the holder and joint holder(s),if any
2.
Number and kind of securities held by the holder(s)for which duplicate certificate(s) is/are being sought. Distinctive numbers of the security/ies In respect of which certificate(s) is/are lost
Must tally with answer given against
4.
When did the holder(s) acquire the security/ies in respect of which certificate are lost ?
Question 2 above. No. Quote atleast approx date/period
5.
When were the certificate(s) lost or found to be missing ?
6.
Full statement of the circumstances regarding loss of the above certificate(s) Were any signed transfer form(s) accompanying the lost certificate(s)?
3.
7.
8.
Were the securities sold/ mortgaged/ pledged or otherwise disposed of either by the holder /applicant or by any other person? person?
Answer
Remarks Fill in Identical order
Quote atleast approx date/period
If your answer is YES, you must furnish the company with a ‘Prohibitory Order’ form a competent court to stop transfer of securities in the name(s) of any other person(s) If so give full particulars of transaction
Q.No. 9. 10.
Question Was diligent search made for the missing certificate(s)? If the Board of Directors of the Company is/are the applicant(s) prepared to fulfil the conditions preliminary to the issue of duplicate certificate(s) viz. (a) advertisement in the Maharashtra government Gazette (b) In one daily News Paper(c) one daily vernacular newspaper circulating in Bombay (d) Execution of indemnity with approved surety.
Answer
Remarks
I/ we state that the facts mentioned above are true and correct and that nothing material has been concealed.
NAME & ADDRESS OF SHAREHOLDER(S)* SHAREHOLDER(S)*
FOR OFFICE USE ONLY
_________________________ SIGNATURE CHECKRD BY
*In case of Joint Holder all the Joint Holders should sign.
SIGNATURE OF SHARE HOLDER(S)*
Annexure ‘S’
SURETY FORM FORM (To be issued in case the application is in respect of 100 or more shares or the market value of the share is equal to more than Rs. 1,00,000/- ) Name of Surety: ________________________________________________________________ Permanent Residential Address: ___________________________________________________ _____________________________________________________ ___________________________ ____________________________________________ __________________ _____________________________________________________ ___________________________ ____________________________________________ __________________ ____________________________________ _________________________ ___________ Pin ______________________________ _______________________ _______ Age:________ Years
PAN.:_____________________________ PAN.:__________________ ___________
(fill in any one or more of the following boxes, whichever is applicable) (Furnish Documentary Evidence) A
Details of employment
1. Name of employer: _____________________________________________________ 2. Office Address: __________________________________________________ ________________________ _______________________________ _____ _________________________________________________ _________________________ ______________________________________________ ______________________ _________________________________________________ _________________________ ______________________________________________ ______________________ 3. Annual Salary: ________________________________________________________ _______________________________ _________________________ 4. Other emoluments : ____________________________________________________ AND/OR B
Details of business owned (absolutely in own name - not as a partner) 1. Nature of business : ___________________________________________________ 2. Name & Address: _____________________________________________________
___________________________________________________ _________________________ ______________________________________________ ____________________ ___________________________________________________ _________________________ ______________________________________________ ____________________ 3. Annual turnover: ______________________________________________________ ______________________________ ________________________ 4. Annual profits : _______________________________________________________ ____________________________________ ___________________
AND/OR C
Details of immovable property owned (absolutely in own name and not as a member of HUF. Specify whether consisting of houses or more lands)
1. Description of Property: _________________________________________________ 2. Situation :____________________________________________________________ __________________________________________________ ______________________ _______________________________________________ ___________________ _____________________________________________________ ___________________________ __________________________________________ ________________ 3. Value :___________________________________________________ :_________________________ _____________________________________ ___________ 4. Annual rent realised, if any: _____________________________________________ ___________________________________________ __ I state that the facts mentioned above are true and correct and that nothing material has been concealed. Date: _____________________20___ Place: ______________________ _________________________ (Signature of the Surety)
Witnessed by (Full Name and Address of Bank Manager/Employer) __________________________________________ ___________________________ _______________ __________________________________________ ___________________________ _______________ __________________________________________ ___________________________ _______________ __________________________PIN_____________ __________________________PIN___ __________
_____________________ (Bank Manager/Employer)
Note: 1. Surety should not be related to the shareholder. 2. Surety should own property in his own name and not as a member of a HUF, or business absolutely in his own name and not as a partner.
own
3. If the Surety proposed is not a salaried employee, copy of the latest Assessment Order passed by Income Tax Authorities should be be enclosed with this form. 4. If the Surety proposed is a Landlord or property owner, Proposed Valuation Report issued by Revenue Authorities/Municipal Authorities should be enclosed with the form.
