Form No. SH-4 (Securities Transfer Form)

Securities Transfer Form

Pursuant to section 56 of the Companies Act, 2013 and sub-rule (1) of rule 11 of the Companies (Share Capital and Debentures) Rules 2014

This form is for the consideration that the Transferor/s (owner of the securities) wants to transfer the said securities to the Transferee/s (the new owners). Both the involved parties (the Transferor and the Transferee) willingly accept the underlying conditions of transfer. The Transferor has to affirm that he/she presently holds the said securities, and the Transferee has to provide his/her consent to accept the said securities.

How to File Form No. SH-4 for Transfer of Securities?

The form SH-4 has been divided into the following parts:

Company Details:

Provide the CIN (Corporate Identification Number) of the Mutual Funds/ Trading Company along with the Company Name and the Stock Exchange where it is listed.

Securities Transfer Form Step 1

Description of Securities:

The table will contain the complete description of the securities being transferred, including the kind/class of securities, the nominal value of each security unit, the amount called up, the amount paid up, no. of securities being transferred, consideration (payment) received, distinctive numbers, and corresponding certificate numbers.

Securities Transfer Form Step 2

Transferor’s Details:

Details of the Transferor/s (seller of the said securities), including their registered folio number, name, signature, etc., along with the name, address and signature of the witness affirming the provided details.

Transferee’s Details:

Details of the Transferee/s (buyer of the said securities), including the name/s, father’s/mother’s/spouse name, address & email id, occupation, existing folio no, and signature.

Other Details:

Provide the Folio No. of Transferee (after the transfer has been made) and specimen signature (for the record) of each Transferee. Mention the value of stamp affixed with this application.

The application must be enclosed with the following documents:

(1) Certificate of shares or debentures or other securities

(2) If no certificate is issued, letter of allotment.

(3) Copy of PAN Card of all the Transferees (For all listed Cos.)

(4) Other, Specify…………………….

(5) Stamps

For Office Use Only:

Details in this section must be completed only by the Office of the Registrar & Transfer Agent.

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