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IEPF Assist

Documents required for IEPF claims and shareholder requests

There is no single list that fits every case. Choose the checklist that matches your situation.

Start with your case type

The list of documents depends on who is claiming, how the shares were held (physical or demat), whether the holder is alive, and the value and history of the claim. The checklists below are separated by case type, each showing when it was last reviewed and the official source used.

Document checklist

Checklist: claim shares or dividend from IEPF (Form IEPF-5)

Applies to: Claimant is the original holder, or a legal heir, claiming from IEPF

A starting checklist drawn from the revised Form IEPF-5 (in force from 6 October 2025). The company's Nodal Officer and the IEPF Authority decide what they need in your case.

Details you will need to enter

  • Company name and the folio number or DP ID / client ID of the original holding
  • Number of shares and the financial years of unpaid dividend, as far as known
  • Reason the shares or dividend were not received or encashed
  • A working mobile number and email IDThe revised form verifies these by OTP.

Claimant documents

  • Proof of identity and PAN of the claimant
  • Demat account details (Client Master List) into which shares are to be credited
  • Bank account details, with a copy of a blank cancelled cheque leafAs indicated for the revised form; confirm on the portal.
  • Authority letter, if a representative files on your behalfIf applicable

Company-side papers

  • Original share certificates, where shares are held in physical formIf applicable
  • Indemnity bond, if the current instructions require oneIf applicable
  • Entitlement letter from the company or RTAIf applicableReports differ on whether it is now optional. Check the portal.

If the original holder has died

  • Attested death certificateIf applicable
  • Proof of relationship and legal heirship; succession certificate or other court document where applicableIf applicable
  • NOC from other legal heirs or nominees, affidavit and indemnity, as the instructions requireIf applicable

Document checklist

Checklist: duplicate share certificate / direct demat credit

Applies to: Certificate lost, stolen, destroyed or mutilated; RTA service request under SEBI's 30 Jan 2026 circular

Based on the documents listed in SEBI's circular of 30 January 2026. The RTA may ask for more in specific cases and must explain deviations in writing.

Mandatory documents

  • A demat account must already exist
  • Form ISR-4, duly filled
  • Latest Client Master List (CML), attested by the DP and not more than two months old
  • Demat conversion request form

Value-based papers

  • Affidavit-cum-indemnity, where the value of the securities is above ₹10,000
  • Undertaking, where the value is up to ₹10,000

Other

  • Original certificate, in the cases where the circular requires itIf applicableNot required where the certificate is lost.

Document checklist

Checklist: transmission of securities after the holder's death

Applies to: Nominee, surviving joint holder or legal heir; listed securities (SEBI circular of 23 Jul 2026)

Common documents apply in all categories; extra documents depend on nomination and on whether the claim is QTP, simplified or above threshold. Thresholds: QTP ₹10,000 (physical) / ₹30,000 (demat); simplified ₹10 lakh (physical) / ₹30 lakh (demat).

Common documents (all claims)

  • Transmission request form (the SEBI-prescribed format for your category)
  • Latest CML of the claimant's demat account
  • Verifiable death certificateOriginal, nominee-attested copy checked against the original, copy attested by a notary / Gazetted Officer / JMFC, or one with a QR code.
  • Original security certificate(s) or copy of statement of account, as applicable
  • If a claimant is a minor: birth certificate, school-leaving certificate, passport or attested Aadhaar copy, and guardian's KYCIf applicable

Where nomination exists

  • Documents above are generally sufficient for the nominee(s)The nominee receives the assets as trustee for the legal heirs.

No nomination — QTP (low-value)

  • Request form-cum-undertaking on plain paper
  • Document establishing relationship (immediate relatives only: parents, spouse, children, parents-in-law)

No nomination — simplified documentation

  • Notarised indemnity bond
  • Notarised affidavit-cum-NOC from all legal heirs, or a family settlement deed attested as prescribedNot needed if you produce a court-issued succession certificate, probate, letter of administration or decree for these items.

No nomination — above threshold

  • Notarised affidavit-cum-NOC from all legal heirs
  • Copy of will with notarised indemnity bond, OR legal-heirship certificate from a revenue authority not below Tehsildar with indemnity bond, OR succession certificate / letter of administration / court decree

Death outside India

  • Certified true copy of the death certificate (notary/court abroad, consularisation, apostille, or certain overseas bank certification)If applicable
  • English translation, if the original is in another languageIf applicable

Document checklist

Checklist: dematerialising physical share certificates

Applies to: Holder has valid physical certificates and wants electronic holding

Prepared for a straightforward case. Mismatched names or signatures need extra documents.

With the depository participant (DP)

  • An active demat account with names in the same order as on the certificates
  • Demat request form from the DP
  • Original share certificatesMark or deface as the DP instructs.

KYC

  • PAN and identity proof
  • Address proof matching the account
  • Specimen signature confirmation where the RTA asks for itIf applicable

If details differ

  • Name-change evidence such as marriage certificate or gazette notificationIf applicable
  • Bank attestation of signatureIf applicable

Document checklist

Checklist: tracing old or forgotten shares

Applies to: Information-gathering before any application

The more of this you can collect, the faster the holding can be identified. None of it needs to be sent to us through the website.

Anything that names the company

  • Old share certificates, folio numbers or dividend warrants
  • Letters or annual reports from the company or RTA
  • Bank passbook or statement entries showing dividend creditsIf applicable
  • Old broker contract notes or application formsIf applicable

Details about the holder

  • Full name as used at the time, including spelling variants and former names
  • Old addresses
  • Names of joint holders
  • Whether a nomination was madeIf applicable

If the holder has died

  • Death certificateIf applicable
  • Relationship proof of the family member searchingIf applicable

Document FAQs

Is the checklist the same for every IEPF claim?
No. Documents depend on who claims, how the shares were held and whether the holder has died.
Should I send my PAN or Aadhaar to IEPF Assist?
Not through our website form. We will tell you what to share and how, after we speak.

Not sure which checklist applies?

Tell us your situation and we will point you to the right one.

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