Documents Required to Recover Shares from IEPF — Complete Checklist (2025)

Filing an IEPF claim is a document-heavy process. This is one of the main reasons claims get rejected or delayed — applicants often submit incomplete, mismatched, or incorrect-format documents.

This guide provides the complete updated checklist for 2025 — broken into sections so you know exactly what to prepare, the format required, and the mistakes to avoid.

Who Needs to File a Claim?

There are two categories of claimants:

Category A — Original Shareholder (Still Alive)

The person in whose name the shares were originally held and who is now claiming back their own shares.

Category B — Legal Heir / Claimant (Original Shareholder Deceased)

A spouse, son, daughter, or other legal heir claiming shares after the original shareholder's death.

This becomes a:

• Transmission case
• IEPF recovery case

and requires additional documents.

The Core Form — IEPF-5

Before preparing documents, understand the base process.

Form IEPF-5 must be:

• Filed online at: iepf.gov.in/IEPF/refund.html
• Signed digitally (DSC) or through Aadhaar OTP verification
• Printed, signed, and physically submitted to the company's Nodal Officer

After submission, you'll receive:

• SRN (Service Request Number)

This SRN must be included in the physical document packet.

Section 1 — Identity Documents (Mandatory for All Claimants)

These documents are required whether you're the original shareholder or a legal heir.

1. PAN Card (Mandatory)

• Self-attested photocopy required
• PAN must match company/RTA records
• If PAN was never updated, KYC correction may be required first

2. Aadhaar Card

• Self-attested photocopy
• Used for identity verification
• Address should ideally match company records

3. Passport-Size Photographs

• Usually 2 copies
• Recent colour photographs

4. Cancelled Cheque (Original)

The cheque should:

• Belong to the claimant
• Clearly show:
  • Account number
  • IFSC code
  • Account holder name

Some RTAs also accept:

• Bank passbook first page

Section 2 — Shareholding / Investment Proof

5. Original Share Certificate(s)

Required if the shares are in physical form.

The certificate should match:

• Folio number
• Company records

If Share Certificate Is Lost

You may need:

• FIR / Police complaint
• Affidavit declaring loss
• Indemnity bond
• Newspaper advertisement (in some cases)

Stamp paper requirement usually ranges between:

• ₹200–₹500

depending on the state.

6. Demat Account Statement / CML (Client Master List)

One of the most important documents.

The CML contains:

• Name
• PAN
• Demat account number
• DP ID + Client ID
• Address
• Bank details

The recovered shares will be credited to this demat account.

Important:

• CML should generally be issued within the last 3 months

7. Folio Number

The folio number identifies the shareholder in the company's records.

You can find it in:

• Old share certificates
• Dividend warrants
• Annual reports
• RTA correspondence

If unavailable, the RTA may help retrieve it using PAN details.

Section 3 — Dividend Claim Documents (If Claiming Dividends Also)

8. Original Dividend Warrants (If Available)

Unused dividend cheques help strengthen the claim but are not always mandatory.

9. Advance Receipt / Indemnity Bond

Usually required by companies.

Requirements:

• Non-judicial stamp paper
• Typically ₹100–₹500
• Notarised signatures

10. Cancelled Dividend Warrants (If Any)

Attach cancelled or returned dividend warrants as supporting evidence.

Section 4 — Additional Documents for Legal Heirs (Transmission Cases)

If the original shareholder is deceased, all documents above are required PLUS the following:

11. Death Certificate of Original Shareholder

Must be:

• Original OR notarised copy
• Issued by municipal authority or registrar office

Hospital slips are generally not accepted.

12. Legal Heir Certificate OR Succession Certificate

You usually need one of the following:

Option A — Legal Heir Certificate

Issued by:

• Tehsildar
• Revenue department
• Competent authority

Advantages:

• Faster
• Easier
• Accepted in smaller-value claims

Option B — Succession Certificate

Issued by a civil court.

Usually required for:

• High-value claims
• Disputed inheritance cases

Time required:

• 3–6 months or more

Option C — Probated Will

If the deceased had a registered and probated Will naming the beneficiary.

13. NOC from Other Legal Heirs

Required when:

• Multiple heirs exist
• Only one person is filing the claim

Requirements:

• Notarised
• Signed by all non-claiming heirs

14. Marriage Certificate (If Name Changed)

Needed if the claimant's surname changed after marriage.

Helps establish continuity between old and current records.

15. Notarised Affidavit of Claimant

Declares:

• Identity
• Relationship to shareholder
• Authenticity of documents

Format may differ company-wise.

Section 5 — Company / IEPF Submission Requirements

16. Printed and Signed Form IEPF-5

After online filing:

• Print the form
• Sign it
• Attach to the physical document packet

Some companies may also require notarisation.

17. Covering Letter to Nodal Officer

The letter should include:

• SRN number
• Folio number
• Company name
• Number of shares
• Dividend years claimed

Address it to:

• Company Secretary
• IEPF Nodal Officer

18. Self-Addressed Envelope (If Required)

Some older companies still request this for communication purposes.

Document Format Requirements — Critical Details

Stamp Paper Requirements

Affidavits and indemnity bonds must be on:

• Non-judicial stamp paper

Typical values:

These documents generally require notarisation.

Notarisation

Many claimants confuse:

• Self-attested
• Notarised

These are different.

Certain documents require attestation by a Notary Public.

Translation Requirements

Regional language documents may require:

• Certified English translation

Examples:

• Hindi
• Marathi
• Tamil certificates

Document Validity

Company-Specific Requirements

Different companies and RTAs may request additional documents such as:

• Transmission Request Form (TRF)
• Company-specific indemnity format
• Witness signatures
• Additional affidavits
• Specific stamp duty values

Always verify with the company's RTA before submission.

Common Reasons for Rejection (and How to Avoid Them)

Frequently Asked Questions (FAQs)

Q: Can I submit IEPF documents digitally?

Form IEPF-5 is submitted online, but physical documents still need to be couriered/post mailed to the company's Nodal Officer.

Q: How long does the process take?

Typical timeline:

Q: What if the original share certificate is lost?

You may need:

• FIR
• Affidavit
• Indemnity bond
• Newspaper notice

depending on the company.

Q: Do I need a lawyer or recovery expert?

Not mandatory, but transmission + IEPF cases can become complex.

Many claimants use:

• Recovery specialists
• CAs
• Lawyers

for smoother processing.

Q: Can I open a new demat account just for this claim?

Yes.

You can open a fresh demat account with any registered DP/broker and submit its CML for the recovery process.

Final Thoughts

IEPF recovery is less about the form and more about document accuracy.

Most delays happen because of:

• Missing papers
• Wrong formats
• Signature mismatches
• Incomplete legal heir documentation

Preparing the right documents before filing significantly improves approval timelines.

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