Schedule - 3 - Documents to be submitted to the Authority in case of loss of securities held in physical mode - Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Rules, 2016

1 [ Schedule III Documents to be submitted to the Authority in case of loss of securities held in physical mode. 1. 2 [ Self attested ] copy of FIR/ Police Compliant containing information of security holder, holding details, folio number and distinctive numbers of share certificate 6 [ if the market value of the shares is greater than five lakh rupees ] . 7 [****] 3. Indemnity bond by security holder on a non-judicial stamp paper of requisite value duly attested by Notary Public by the person, in whose name the original share certificate are being issued that he has not sold / disposed off the involved 5 [ securities ] or acted in any manner by which any interest of third party would have been created. 4. Copy of advertisement 8 [] , if the market value of the 5 [ securities ] is greater than 4 [ ₹ 5,00,000 ] . ] 9 [Explanation I: A foreign national or non-resident Indian, in lieu of documents mentioned in item 1, shall be permitted to provide self-declaration of securities lost or misplaced or stolen which shall be duly notarised or apostilled or consularised in their country of residence, along with self-attested copies of valid passport and overseas address proof. Explanation II: The value of the securities as on the date of application shall be quantified by the applicant based on the closing price of such securities at any one of the recognised stock exchange a day prior to the date of such submission in the application, for listed securities and for unlisted securities, the value shall be quantified basis on the face value of the maturity value of the securities, whichever is more. ] ******* Notes 1. Inserted vide NOTIFICATION No. [F. No. 05/02/2019-IEPF] dated 14-08-2019 w.e.f. 20-08-2019 2. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as Notarised 3. Omitted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as value equal to market value that of shares as on date of execution 4. Substituted vide Notification No. G.S.R. 785 (E) dated 09-11-2021 before it was read as ₹ 10,000 5. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, shares 6. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024 7. Omitted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, 2. Surety Affidavit of 3 [ **** ] along with his Proof of identity like Pan Card of sureties duly attested by Notary. 8. Substituted vide Notification No. G.S.R. 552(E) dated 09-09-2024 before it was read as, issued in at least one English language national daily newspaper having nationwide circulation and in one regional language daily newspaper published in the place of registered office of company 9. Inserted vide Notification No. G.S.R. 552(E) dated 09-09-2024