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Share Recovery Forms

IEPF-5, Indemnity Bond, ISR & SH-4 — Explained

One page for every form a stuck shareholder runs into — what it is, when it applies, and where claims quietly get rejected. Start with your situation below.

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Reflects the revised Form IEPF-5 in force from 6 October 2025 (IEPF Amendment Rules 2025)

8

Core forms, one clear guide

10 Lakh

Simplified limit under 2025–26 rules

120

Day deadline to complete demat

7 yr

Unclaimed before shares move to IEPF

Which form do you actually need?

The right form depends on your situation — not on which form code you happened to search. Find yours and jump straight to it.

My shares or dividends were transferred to the IEPF (unclaimed 7+ years)IEPF-5
I'm filing an IEPF claim and need the indemnity bond done rightIndemnity Bond
Shares are stuck after a death and I'm the heir (transmission)ISR-5 + SH-4
I've lost the physical certificate and need a duplicateISR-4
I need to update PAN / KYC / bank / address on physical shares firstISR-1
My signature doesn't match the RTA's recordsISR-2
I want to opt out of registering a nominee on my folioISR-3
I want to register, change or cancel a nomineeSH-13 / SH-14

Every form, in plain English

IEPF-5

IEPF-5 Form — Claim Shares & Dividends from IEPF

Form IEPF-5 is the single application you file to claim shares or dividends that were transferred to the government's Investor Education and Protection Fund after staying unclaimed for seven consecutive years. It's a web form filed on the MCA V3 portal, reissued in a revised format effective 6 October 2025.

When it applies

Your holding shows as "transferred to IEPF" on the company/RTA records, or a dividend was never encashed and the underlying shares were later moved to the Fund. Legal heirs of a deceased holder can also file.

Where it goes wrong
  • Folio, distinctive numbers or CIN entered even slightly wrong → the claim is returned
  • The online SRN and the physical document set must reconcile exactly
  • PAN mismatch or an inactive, non-Aadhaar-linked bank account blocks the refund
  • NRIs must map identity via Passport / OCI / PIO rather than Aadhaar
◆ SharesRecover's advice — don't skip this
Entitlement Letter for IEPF-5 — Don't File Without It

The 6 October 2025 amendment made the company's entitlement letter optional. Don't read that as permission to skip it. In practice, filing without it is the single most common reason Nodal Officers reject or return an IEPF claim — and every rejection adds months to your timeline.

The entitlement letter is the company's own written confirmation that these shares belong to you — the strongest proof of entitlement you can put in front of the Authority. It matters most on higher-value holdings, typically shares worth more than ₹3 lakh, where scrutiny is tightest.

Do not file IEPF-5 without the entitlement letter from the company. The Authority is looking for reasons to reject a claim — don't hand them one.

One clean, reconciled document set — entitlement letter included — is the difference between a claim that clears in one pass and one that loops through deficiency letters for years.

Check my IEPF claim
Indemnity Bond

Indemnity Bond for IEPF Form 5

The indemnity bond is a sworn undertaking you submit with your IEPF-5 claim, declaring that the shares are genuinely yours — that you haven't sold or disposed of them and no third party has any claim over them. It is one of the most common reasons IEPF claims are rejected on a technicality.

How it must be executed
  • Share claims & money claims of ₹10,000+: on non-judicial stamp paper of your state's prescribed value
  • Dividend claims under ₹10,000: on plain paper
  • Either way: signed before a Notary Public with two named, dated witnesses
Where it goes wrong

Wrong stamp-paper value for the state, a bond bought in the wrong name, missing witness details, or notarisation that doesn't match the format the IEPF Authority expects. Any one bounces the whole claim back — and stamp duty rules differ state to state.

This is the detail DIY claimants get wrong most often. We prepare the bond in the correct format and denomination for your state and claim value.

Get the bond done right
ISR-4

ISR-4 Form — Duplicate Certificate & Service Requests

ISR-4 is the RTA's service-request form for a duplicate certificate when physical shares are lost or damaged — and for transposition (re-ordering names), consolidation, renewal, endorsement and sub-division. Whatever the request, the shares now come back only in demat form, never as fresh paper.

When it applies

You've lost or damaged a physical certificate, or need names re-ordered or folios consolidated. For a lost certificate, SEBI's simplified route now covers holdings up to ₹10 lakh per company (doubled from ₹5 lakh in December 2025).

Where it goes wrong

Above ₹10 lakh you also need a police FIR and a newspaper advertisement announcing the loss, plus a notarised affidavit and indemnity bond on the right stamp value. Miss a distinctive number or the wrong denomination and it's returned.

Between the stamp duties, notarisation and publication, this is one of the most procedure-heavy requests an ordinary holder faces. We run it end to end for your specific RTA.

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ISR-5

ISR-5 Form — Transmission of Shares (Nominee / Legal Heir)

ISR-5 is the form a nominee or legal heir files to have a deceased shareholder's physical shares transmitted into their own name. It's the dedicated transmission form the RTA expects — separate from ISR-4 — and the process was overhauled again under SEBI's 2026 transmission framework.

When it applies

A holder has died and you're the nominee or legal heir. Under the 2026 rules, simplified documentation now covers holdings up to ₹10 lakh physical (₹30 lakh demat) per company — and probate of a will is no longer mandatory for uncontested claims.

Where it goes wrong

With no nominee, legal-heir cases still need a notarised affidavit-cum-NOC, indemnity, attested death certificate, CML and bank proofs — all aligned. Above ₹10 lakh you're into succession certificates, letters of administration or court decrees.

This is the hardest category of claim — and the one families most often abandon halfway. The rules changed in 2026, so most online guides are out of date. We assemble it once, correctly.

Assess my transmission case
ISR-1

ISR-1 Form — PAN & KYC Update for Physical Shares

ISR-1 is how a physical shareholder registers or updates PAN, bank details, address, mobile, email or signature with the RTA. SEBI made PAN, KYC and nomination mandatory for physical folios, so ISR-1 is usually the first step before any recovery, transmission or demat request is accepted.

When it applies

Your folio is missing current PAN/KYC; your bank or address has changed; or the RTA flagged your folio as non-compliant. Getting ISR-1 through is often the gate that unlocks everything else on the folio.

Where it goes wrong

Supporting proofs that don't match the folio name exactly, self-attestation gaps, or a signature that no longer matches records (which pulls in ISR-2). Incomplete folios lose dividend and service eligibility until corrected.

If you're updating KYC mid-way into a claim, the KYC step and the claim can be sequenced together so you're not waiting twice.

Talk to us about my folio
ISR-2

ISR-2 Form — Banker's Signature Verification

ISR-2 is used when your signature doesn't match what the RTA has on record. Your bank verifies your signature and confirms it on this form, usually alongside an original cancelled cheque, so the RTA can proceed with your request.

When it applies

The RTA reports a signature mismatch on a claim, KYC update or transmission — common for shares bought decades ago. It's typically filed together with ISR-1 and, for service requests, ISR-4.

Where it goes wrong

Bank attestation on the wrong format, a branch unfamiliar with the SEBI form, or a cheque that doesn't carry the holder's printed name. Small stuff — but the RTA won't move without it.

We tell you exactly what your banker needs to sign and stamp, so it clears the RTA the first time.

Get help with a signature mismatch
ISR-3

ISR-3 Form — Opt Out of Nomination

ISR-3 is the form you file if you consciously choose NOT to register a nominee on your physical folio. SEBI requires every physical holder to either nominate someone (via SH-13) or formally opt out with ISR-3.

When it applies

You'd rather not name a nominee and want the folio to stay compliant. It must be signed by all joint holders and usually needs a small court-fee stamp affixed.

Worth knowing

Opting out means that, on death, the shares go through full legal transmission — succession certificate or legal-heir route — instead of a simple nominee transfer. For most families, nominating (SH-13) avoids a far harder process later.

Not sure whether to nominate or opt out? We'll walk you through what each means for your heirs.

Ask about nomination
SH-4

SH-4 Form — Share Transfer Deed (Transmission)

SH-4 is the instrument of transfer for securities. Since April 2019 you can't transfer physical shares to another person by SH-4 alone — physical transfers must go through demat — but SH-4 still does real work in transmission and transposition and in documenting off-market transfers within demat.

When it applies

You're documenting a transmission or transposition of holdings, or an off-market transfer between demat accounts (gift, family settlement), and need the transfer deed executed and stamped correctly.

Where it goes wrong

Incorrect stamp duty, dates or consideration, or trying to use SH-4 for a straight physical-to-third-party transfer that the law no longer allows. The context around SH-4 matters more than the form itself.

Tell us the situation and we'll confirm whether SH-4 is even the right route — and handle it end to end if it is.

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SH-13 / SH-14

SH-13 & SH-14 Forms — Nomination

SH-13 registers a nominee for your securities; SH-14 varies or cancels an existing nomination. Registering a nominee is the simplest way to spare your family the transmission process later — and it keeps a physical folio SEBI-compliant.

When it applies

You want to name a nominee (SH-13), or update/cancel one you registered earlier (SH-14). File separately for each company/folio you hold.

Worth knowing

A nominee is a custodian to receive the shares, not automatically the legal owner — which is why nomination and succession sometimes need to be thought through together, especially for larger holdings.

We handle nomination filings across multiple companies in one go.

Sort out my nominations

Frequently asked questions

Claiming shares & dividends from IEPF
If a dividend goes unclaimed for seven consecutive years, the company is legally required to transfer both the unpaid dividend and the underlying shares to the government's Investor Education and Protection Fund. Your original certificate is cancelled and the folio shows nil — which is why holdings people forgot about seem to simply vanish. Getting them back is a formal claim to the IEPF Authority through the MCA, not a request to the company.
You file Form IEPF-5 as a web form on the MCA V3 portal, then send a signed printout with the full document set — indemnity bond, proof of entitlement, KYC, bank proof and more — to the company's Nodal Officer, who verifies it before the IEPF Authority releases the shares to your demat account. The filing is the easy part; assembling a document set the Nodal Officer won't return is where claims live or die.
Yes. Form IEPF-5 is a web form filed online through the MCA portal — there's no offline or paper-filing option. On submission you receive a unique SRN (serial reference number), and you then have to send the signed printout and the physical documents to the company's Nodal Officer. The online form is only the first half; the physical submission and verification are where most of the delay sits.
The core set includes: the SRN acknowledgement from your online IEPF-5 submission; the original indemnity bond signed by the claimant; the original share certificate (physical) or a transaction statement (demat); a self-attested Aadhaar copy; proof of entitlement (share certificate, dividend/interest warrant, statement of transaction, or loss documents where certificates are lost); a cancelled cheque; and, for NRIs and foreign nationals, a passport and OCI / PIO card. Every item has to be exactly right and internally consistent — one missing or mismatched document is enough for the Nodal Officer to return the claim.
Technically no — the 6 October 2025 amendment made it optional. In practice we strongly advise against filing without it. The entitlement letter is the company's own confirmation that the shares are yours, and filing without it is one of the most common reasons Nodal Officers reject or delay claims — especially on higher-value holdings (typically above ₹3 lakh), where scrutiny is tightest. Treat it as mandatory even though the rules no longer require it.
For share claims and money claims of ₹10,000 or more, the bond goes on non-judicial stamp paper of the value prescribed by your state's stamp act, signed before a notary with two witnesses. For dividend claims under ₹10,000 it can be on plain paper. Because stamp duty differs state to state, the wrong denomination is a frequent — and entirely avoidable — reason claims bounce back.
They should match the figures in your IEPF-5 form, ascertained from your documents and, where needed, verified against the company's records. A mismatch isn't by itself an automatic ground for rejection — the Authority processes the claim on the company's verification report — but a discrepancy invites queries and delay, so it's worth reconciling the numbers before you file.
Yes. After generating the SRN, you have to enter the dispatch details — the date and postal receipt for the physical documents sent to the company — before the claim is treated as finally submitted. Only then does the status move to "Pending for E-Verification Report". Skip or fumble this step and the claim simply doesn't progress, even though the online form looks complete.
You're allowed to file it yourself, but the e-form and its supporting documents are genuinely complex, and the IEPF process is unforgiving of errors — a single deficiency can send the claim back and add months. Between the web form, the indemnity bond, the entitlement proof, the document reconciliation and the dispatch step, most claimants underestimate what's involved. This is exactly the work we take off your hands.
A clean, correctly documented claim is usually a matter of months. A claim that draws even one deficiency or resubmission letter can stretch well beyond a year, because each objection resets the queue and the Authority tends to raise objections one round at a time. Almost all of the delay traces back to avoidable documentation errors.
Yes. NRIs and foreign nationals claim the same way, but map identity through Passport / OCI / PIO rather than Aadhaar, often need documents apostilled or attested at an Indian consulate, and face extra scrutiny on bank and tax details. The cross-border paperwork is where NRI claims most often stall, so it pays to get the document set right the first time from abroad.
Inherited shares & transmission
Transmission of a deceased holder's physical shares is filed on Form ISR-5 (not ISR-4), supported by the death certificate, KYC, bank proof and — where there's no nominee — a notarised affidavit-cum-NOC and indemnity. If the shares had already been transferred to the IEPF, the heir instead claims through Form IEPF-5 as the deceased's legal representative. Choosing the wrong route is a common way to lose weeks at the start.
Yes — significantly. Under SEBI's 2026 transmission framework, the simplified-documentation threshold was doubled to ₹10 lakh for physical securities and ₹30 lakh for demat (per company), probate of a will is no longer mandatory for uncontested claims, and a single combined affidavit-cum-NOC replaces the earlier separate affidavit and NOC. Many company and RTA pages still show the old ₹5 lakh limit.
Legal heirs file Form ISR-5 with a notarised affidavit-cum-NOC and indemnity bond, the attested death certificate, KYC and bank proofs. Where the holding exceeds ₹10 lakh per company, the RTA additionally requires a succession certificate, letters of administration or a court decree — documents that take months to obtain on their own. This is the hardest category of claim, and the one families most often abandon halfway.
Yes. Above ₹10 lakh per company, transmission and duplicate-certificate cases fall outside the simplified route and trigger enhanced due diligence — succession or court documents on top of the standard set, higher stamp duties, and closer scrutiny of every signature and attestation. Both the stakes and the paperwork rise sharply, which is exactly when a single mistake becomes expensive.
Transfer is a voluntary sale or gift between living people; transmission is shares passing by operation of law when a holder dies. Since April 2019 you can't transfer physical shares at all without dematerialising first — but transmission to heirs remains, with its own form (ISR-5) and its own evidence requirements. People routinely confuse the two and file the wrong paperwork.
Physical shares & dematerialisation
No. Since 1 April 2019, shares can't be transferred in physical form — they must be dematerialised into a demat account first, and any service request on a physical holding now results in shares issued in demat form, not fresh paper. Getting decades-old certificates demat-ready usually surfaces KYC, signature and name issues that all have to be cleared before you can do anything with the shares.
You open a demat account, submit the original certificates with a Dematerialisation Request Form to your depository participant, and the RTA verifies before the shares are credited — nominally a two-to-three-week process. In practice it stalls the moment the certificate details don't perfectly match the RTA's records, which for old physical holdings is the norm rather than the exception.
When the RTA processes a service request on physical shares it no longer returns a paper certificate — it issues a Letter of Confirmation, which you must use to complete demat within 120 days. Miss that window and the shares are moved to a company Suspense Escrow account, adding a further reclaim process on top. It's a quiet deadline that catches people who assumed the hard part was over.
Lost certificates & folio problems
You file Form ISR-4 with a notarised affidavit and indemnity bond. SEBI's simplified route now covers holdings up to ₹10 lakh per company (doubled from ₹5 lakh in December 2025); above that you also need a police FIR and a newspaper advertisement announcing the loss. The duplicate is issued only in demat form. Between the stamp duties, notarisation and publication, this is one of the most procedure-heavy requests an ordinary holder can face.
SEBI requires every physical folio to have PAN, full KYC and nomination on record; folios missing any of these are held and can't receive dividends or be serviced until corrected via Form ISR-1 (with SH-13 or ISR-3 for nomination). Until the folio is made compliant, no other request — claim, transmission or demat — will even be accepted, so this is usually the first lock that has to be opened.
You update it using Form ISR-2, which requires your bank to formally attest your current signature, along with an original cancelled cheque. Shares bought decades ago frequently trip this, and the attestation has to be in exactly the format the RTA expects — a small step that quietly holds up everything else until it clears.
Yes — even a minor discrepancy (an initial, a maiden name, a spelling variation) between your PAN, Aadhaar and the certificate will hold up a claim or transfer until you supply attested proof linking the names, and sometimes an affidavit. Name mismatches are among the most common reasons paperwork is returned, and resolving them cleanly is rarely as simple as it first looks.
Nomination
You register a nominee with Form SH-13, vary or cancel one with SH-14, or formally opt out of nomination with Form ISR-3 — each filed per company and only on a KYC-compliant folio. Getting nomination right now spares your heirs the far harder transmission process later, which is exactly why it's worth doing carefully rather than leaving to chance.

Not sure which form your case needs?

Tell us the situation and we'll identify the exact forms, flag the pitfalls, and handle the filing end to end — across every major RTA. Company Secretary–led, pay on success.

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This page explains commonly used forms in share and dividend recovery for general guidance. It is not legal advice, and forms, thresholds and procedures set by SEBI, the MCA / IEPF Authority and individual RTAs are updated from time to time. We confirm the current requirements for your specific folio before filing.

One Trillion Advisory Pvt. Ltd. · Laxmi Nagar, New Delhi · Referenced authorities: SEBI · MCA / IEPF Authority · Companies Act, 2013

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