Investors – Wendt(India) Ltd.

Investors holding shares in physical form and wishing to have the dividend transferred directly to their bank account may submit the bank mandate form, duly filled in, to the Company’s RTA. The same is available for download in the Formats section of this page. The bank mandate letter should be accompanied by a cancelled cheque leaf with name (if name is not printed, self-attested copy of the pass book first page) of the shareholder and self-attested copy of PAN card of all the holders.

• For Shares held in Physical form, any change in bank account details should be intimated to RTA or to the Company.
• For shares held in electronic/demat form, Bank Mandate should be intimated to the DP and not to the Company/RTA.

Shareholders holding shares in physical form may send a request letter along with Form ISR-1, duly signed by all the holders (as per the specimen signature recorded with the RTA), giving the details of the new address along with Pin Code, to the Company’s RTA. Shareholders are requested to quote their folio number(s) and furnish proof of new address such as attested copies of Ration Card/Passport/Latest Electricity or Telephone Bill / Lease Agreement, Aadhaar card, etc. If shares are held in dematerialised form, information about change of address needs to be sent to the DP concerned.

A shareholder needs to execute a Power of Attorney in favour of the concerned person and submit a notarised copy of the same to the Company’s R&TA. After scrutiny of the documents, the RTA shall register the Power of Attorney and inform the registration details to the shareholder concerned. Whenever the Power of Attorney holder proposes to enter into a transaction, the registration number mentioned above should be quoted in the correspondence.

• All requests for change of name should be accompanied by a copy of notification in Official Gazette.
• Request for change of name consequent upon marriage/divorce should be accompanied with marriage certificate/divorce decree.
• For effecting change of status from minor to major, please send proof of age (such as attested copy of Birth Certificate or School Leaving Certificate).
• In the case of Companies, a certified copy of the Certificate of Incorporation consequent to Change of Name issued by the Registrar of Companies should be submitted along with Memorandum & Articles of Association

• Nomination will enable smooth inheritance of ownership of the shares by the Nominee without any procedural difficulties. In the absence of nomination, transfer of title is a cumbersome process involving multiple documentation. Hence, it is recommended that nominations are registered without fail.
• Nomination can be made only by individuals holding beneficiary accounts on their own behalf either singly or jointly. Other entities including society, trust, body corporate, partnership firm, karta of Hindu Undivided Family, holder of power of attorney cannot nominate. Only an individual can be a nominee.
• A minor can be a nominee but the guardian will sign on behalf of the nominee and in addition to the name and photograph of the nominee, the name, address and the photograph of the guardian must be given in the case of the Minor.
• NRI can nominate directly. But, the power of attorney holder cannot nominate on behalf of NRI. NRI can be a nominee subject to the exchange control regulations in force from time to time.
• Nomination will enable smooth inheritance of ownership of the shares by the Nominee without any procedural difficulties. (Presently, there is no difficulty where shares are registered in joint names. But if the shares are held in individual name, addition of a joint name can only be done as a transfer, involving share transfer form, stamp duty, surrender of original certificates etc. All this inconvenience is eliminated by following the nomination procedure).
• Investors wishing to avail this facility may fill up the Nomination Form (SH-13).

Shares held in the individual name

If the shares are held in the sole name without any joint holder/s – Upon the death of the sole holders, the securities would be transmitted to the nominee.

Shares held jointly

Nomination is permitted for accounts with joint holders. But, in case of death of any of the joint holder, the securities will be transmitted to the surviving holder(s). Only in the event of death of all the joint holders, the securities will be transmitted to the nominee.

Any investor holding shares in physical form should submit the nomination form duly filled and signed to RTA along with the Identity and Address proofs of the Nominee.

Any investor holding shares in demat/electronic form should contact his DP directly for nomination (the company/RTA does not register nomination for shares held in electronic/demat form). Normally nomination can be done at the time of opening the demat account itself

Shares held in physical form

Members are informed that pursuant to SEBI (Listing Obligations and Disclosure Requirements) (Fourth Amendment) Regulations, 2018 effective 1st April, 2019, requests for effecting transfer of securities in physical form cannot be processed by the Company unless the securities are held in the dematerialized form with a depository. Hence, investors are requested to consider dematerializing their physical holdings into demat form.

Shares held in demat form

If an investor wishes to transfer his electronic shares, he has to instruct his DP by way of a Delivery Instruction (which is similar to a cheque) to debit his account with the number of shares sold by him and credit these shares to the demat account of the person to whom the shares are proposed to be transferred.

Likewise when he buys electronic shares, he must inform his broker about his depository account number so that the electronic shares bought by him can be credited into his account, also, he has to instruct his DP by way of Receipt Instruction to receive credit in his account. Instead of giving a receipt instruction for each purchase, a standing instruction can be given to the DP.

Sub Tab -7 Transmission  of Shares ( on death of a shareholder)

1. If Nomination has been registered with the Company

• Please forward copy of the following documents:
• Duly signed transmission request form by the nominee in form ISR-5
• Original death certificate or Copy of death certificate attested by a notary public/gazette officer.
• Self-attested copy of PAN and Proof of address of the claimant(s)/legal heir(s).

1. Where no nomination has been registered

• Request letter duly signed by the claimant(s)/legal heir(s) containing the folio number, distinctive number range and certificate numbers request type etc.
• Original share certificate of Re.1/-
• Transmission request form duly filled in Form ISR-5.
• Original death certificate or Copy of death certificate attested by a notary public/gazette officer.
• Self-attested copy of PAN and aadhaar of the claimant(s)/legal heir(s).
• Notarized affidavit from all legal heir(s) made on non-judicial stamp paper of appropriate value on as per the respective state Stamp act in the format provided -Annexure D. In case the legal heir(s) are mentioned in the will, then an affidavit from such legal heir(s)/ claimant(s) is sufficient.
• Copy of any of the following documents*:
• Succession certificate; or
• Probate of Will; or
• Will, along with a notarized indemnity bond on non-judicial stamp paper of appropriate value on as per the respective state Stamp act from the legal heir(s)/claimant(s) to whom the securities are transmitted, as per the format specified provided in Annexure E; or
• Letter of Administration; or
• Court Decree; or
• Legal Heirship Certificate or its equivalent, along with (i) a notarized indemnity bond on non-judicial stamp paper of appropriate value on as per the respective state Stamp act from the legal heir(s)/claimant(s) to whom the securities are transmitted, as per the format specified provided in Annexure E; and (ii) No Objection on non-judicial stamp paper of appropriate value on as per the respective state Stamp act from all the non-claimants, duly attested by a notary public or by a gazetted officer as per the format provided in Annexure F.
• Form ISR- 1 and Form ISR-2 for updation of KYC details and signature;
• Form ISR-4 – Investor service request form;
• Cancelled cheque leaf and Client Master List;
• Form SH-13 for updation of nomination details or Form ISR-3 to opt of nomination.
• Proof of Identity and address of the witnesses to the Indemnity Bond
• For cases where the value of securities is up to rupees five lakhs per listed entity as on the date of submission of complete documentation in case of securities held in physical mode and up to rupees fifteen lakhs per beneficial owner in case of securities held in dematerialized mode, instead of and where the documents mentioned in point above are not available, the following documents may be submitted;
• no objection certificate from all legal heirs(s) on non-judicial stamp paper of appropriate value on as per the respective state Stamp act, as per the format provided in Annexure F, or copy of family settlement deed executed by all the legal heirs, duly attested by a notary public or by a gazetted officer; and
• notarized indemnity bond made on non-judicial stamp paper of appropriate value on as per the respective state Stamp act, indemnifying the Share Transfer Agent/listed entity, in as per the format provided in Annexure E

III. In case of joint holding

The surviving shareholder(s) will have to submit a request letter signed by the surviving holders (as per the specimen signature registered with RTA) supported by original / a copy of the death certificate of the deceased shareholder, duly attested by Notary Public or Gazetted Officer and accompanied by the relevant share certificate(s) and self-attested copy of PAN of the surviving holder(s) along with the KYC forms. Upon receipt of the necessary documents from the investor, RTA will scrutinise the documents and thereafter the request will be placed for the approval of the Stakeholders Relationship Committee of the Company. After approval is received, a Letter of Confirmation will be sent to the shareholder for enabling credit of shares in electronic mode. The ‘Letter of Confirmation’ shall be valid for a period of 120 days from the date of the letter, within which the securities holder/claimant shall make a request to the Depository Participant for dematerialising the said securities.

If it is proposed to change the order of names appearing in the share certificate (i.e. transposition) this does not require any transfer deed or share transfer stamps. Transposition would only be done of the entire holding in any one folio.

Such request has to be submitted in the transposition form duly signed by all the joint holders and submitted along with all the original share certificates and self-attested copy of PAN of the joint holders. Transposition is possible only in respect of shares held in physical form.

Any communication to RTA regarding loss of share certificates should always be signed by the shareholder as per specimen signature registered with the Company, accompanied by:

If the value of Shares is more than Rs. 5 Lakhs*

• Request letter duly signed by the shareholder(s) having details of the securities like, folio number, distinctive number range and certificate numbers;
• Submission by the security holder of copy of FIR including e-FIR/Police complaint/Court injunction order/copy of plaint (where the suit filed has been accepted by the Court and Suit No. has been given), necessarily having details of the securities, folio number, distinctive number range and certificate numbers; Note: In lieu of requirement under point 2, An overseas securities holder shall be permitted to provide self-declaration of the security certificates lost/misplaced/ stolen which shall be duly notarized/ apostilled/attested by the Indian Consulate/Embassy in their country of residence, along with self-attested copies of valid passport and overseas address proof.
• Issuance of advertisement regarding loss of securities in a widely circulated newspaper;
• Submission of Affidavit and Indemnity bond executed on appropriate non-judicial stamp paper of appropriate value as per the respective stamp act of the State Act as per the format prescribed;
• Form ISR- 1 and Form ISR-2 for updation of KYC details and signature;
• Form ISR-4 – Investor service request form;
• Self- attested copy of PAN and Proof of address and cancelled cheque leaf
• Client Master List duly attested by the Depository Participant
• Form SH-13 for updation of nomination details or Form ISR-3 to opt of nomination.
• Proof of Identity and address of the witnesses to the Indemnity Bond

If the value of Shares is Rs. 5 Lakhs or less *

• Request letter duly signed by the shareholder(s) having details of the securities, folio number, distinctive number range and certificate numbers;
• Submission of Affidavit and Indemnity bond executed on appropriate non-judicial stamp paper of appropriate value as per the respective stamp act of the State Act as per the format prescribed;
• Form ISR- 1 and Form ISR-2 for updation of KYC details and signature;
• Form ISR-4 – Investor service request form;
• Self- attested copy of PAN and Proof of address and cancelled cheque leaf
• Client Master List duly attested by the Depository Participant
• Form SH-13 for updation of nomination details or Form ISR-3 to opt of nomination.

*the value of the securities on the basis of the closing price of such securities at any one of the recognized stock exchanges a day prior to the date of such submission in the application.

Upon receipt of the necessary documents from the investor, the request for issue of duplicate certificate will be placed for the approval of the Stakeholders Relationship Committee of the Company.

The request for issue of duplicate certificate will be placed for the approval of the Stakeholders Relationship Committee of the Company.

After approval is received, a Letter of Confirmation will be sent to the shareholder for enabling credit of shares in electronic mode. The ‘Letter of Confirmation’ shall be valid for a period of 120 days from the date of the letter, within which the securities holder/claimant shall make a request to the Depository Participant for dematerializing the said securities.