Companies (Prospectus and Allotment of Securities) Third Amendment Rules, 2019

APPLICABILITY

Applicable to all Public Companies except

• – Nidhi Company
• – Government company and
• – Wholly Owned Subsidiary

NATURE OF RETURN

The return needs to be filed on half yearly basis i.e. 30^th September and 31^st March.

NUMBER OF RETURN

Above return to be filed twice in a Financial Year further separate Return to be filed for each ISIN.

DUE DATE FOR FILING OF RETURN

The Return is to be filed within 60 days of the closure of the half year of the financial year i.e.

• – For 30^th September: 28^th November
• – For 31^st March: 29^th May

1. Basic Details of the Company

• – CIN
• – ISIN
• – Period of Filing

2. Details about Issued Capital

• – of share Issued
• – of shares and percentage with

• a) CDSL
• b) NSDL
• c) Physical
• – Reason for difference in Issued Capital and total no. of shares, if any

3. Details of changes in share capital during the year

• – By way of issue : Right Issue/ Bonus/ Private Placement/ ESOP
• – By way of Amalgamation
• – By way of Buyback/ Conversion / Capital Reduction / Forfeiture
• – Any other reason
• Intimation shared to CDSL/NSDL about such change and if no, then reason for such change

4. Details of share holding held by Directors/ promoters and KMP both in Demat and Physical
5. Register of Member is updated or not,

• – If no, then date of last update

6. Any excess Demat shares in previous half year

• – If yes, then whether the same has been resolved
• – If not, then reason for not resolving the same

7. Details of Demat request confirmed and pending after 21 days:

• – of request
• – of Shares
• – Reason for delay, if any

8. Name, Address, Email ID and Telephone No. of the Company Secretary
9. Name, Address, Email ID, Telephone No. and Membership Number of the Professional (CA/CS in whole time practice) certifying the Forms
10. Any other information to be provided by the Professional

• – Proper documentation to be done for Engagement of the concerned professional
• – Entrusted additional liability to provide additional information by the Professional engaged for certification.