Sample filled DRF - Motilal Oswal

1 Sample of duly filled Demat Request form for Physical Share Certificate and Mutual Fund Statement Physical Share Certificate view: STAMP FORMAT FOR SHARES CERTIFICATES: SURRENDERED FOR DEMATERIALISATION DP NAME: Motilal Oswal SECURITIES LTD. BO ID : _____ (MOSL 16 DIGIT DP A/C NO.) Stamp with BOID to be affixed HOW TO FILL DRF FOR PHYSICAL SECURITY CERTIFICATES: 1. Account No. 2. Details of Sec. 3. Company name 4. ISIN 5. Type of sec. 6. No. of cert. 7. Face value 8. Qty. in figures & words 9. Folio No. 10. Certificates No. 11. Distinctive No. 12. Qty. 13. Client name 14. Client sign. With DP & RTA 15. Annexure 16. DP stamp 17. Executive name & sign. MUTUAL FUND UNITS - STATEMENT OF ACCOUNTS : Client sign. Compulsory HOW TO FILL MF - DRF FOR MUTUAL FUND UNITS REPRESENTED BY STATEMENT OF ACCOUNT AND PHYSICAL CERTIFICATES: Client Sig.

2 Is compulsory DRF/ MF- DRF Checklist - Mandatory # Particulars to be checked before sending DRF/MF-DRF. DRF MF- DRF 1 Demat Account No 2 Details of Security- Free or Locked-in Securities 3 Name of the Company 4 ISIN of the Scrip 5 Type of Security- Equity, Debentures, Bonds, Units, etc 6 No. of Certificates/ statement pages 7 Face value of Securities (check ISIN with Cross net system to confirm) 8 Quantity in figures and words 9 Folio no 10 Certificate no From - To 11 Distinctive no From-To 12 Incase Locked-in Securities- Lock-in Reason and release date 13 Name of all the Holders Match with shares cert. and DP record 14 All the holders have to sign on the Signature with DP and Signature with RTA columns. 15 Client s Signature on the all Statement of Accounts 16 Deface certificates by affixing a rubber stamp as follows: 17 If change in order sequence of Joint holders, then fill DRF form as per holders in DP records and attach transposition form mentioning name and sequence as per certificate 18 In case of death of one of the joint holders attach transmission form along with notarized copy of death certificate with DRF # Details to be punched in Crossnet system 1 DRF No Demat Request Form Number (printed on the DRF) It is always advisable to punch the serial no.

3 2 Client ID Demat Account number of the Client 3 ISIN ISIN of the Scrip to be Dematerialized 4 Quantity Quantity of the Shares to be Dematerialised 5 Total no of Certificates or Statement pages Total no. of Certificates/ statement to be Dematerialised Special Note: - Overwriting, use of white ink or correction on the form is not valid. The Currently Active SIP Statements cannot be Dematerialised- Monthly installment purchase. Latest Statement of Account (SOA) should be submitted in original. Use separate MF-DRF forms for dematerialization of Mutual fund units Kindly verify all holders signature with Crossnet and DRF form. In case new certificates are received against old certificate, do not send old certificate for demat. Transposition cum Dematerialisation : 1) A Beneficial Owner s (BO) Account can have a maximum of three holders The BO must ensure that the demat account should be in the same sequence of names as shown on the physical Share Certificates to be Dematerialized.

4 Example: If the Share Certificates are registered in the names of A, B, and C, then the DEMAT Account must also be opened in the same sequence of names as: Main Account Holder: A 1st Joint Holder: B 2nd Joint Holder: C But, if the Shares of are held by the same account holders but in different sequence, Main Account Holder: B 1st Joint Holder: A 2nd Joint Holder: C Than , Such shares can be Dematerialized in the same Demat account by submitting a separate Transposition form (TRPF) along with DRF and share certificate. Procedure for filling and submitting Transposition form (TRPF): i) All the holders have to sign on the TRPF as per the instruction given on the same, which is complete in all respect. ii) The TRPF should mention only those names (in any order) who are the holders in the DEMAT account.

5 Iii) The BO has to submit separate application, form (TRPF) for transposition, for each ISIN, along with the DRF & shares certificates. Further, the same TRPF can be used if the shares have been allotted under three different folio numbers for the same ISIN and same names of the holders. Documents and Process of Transmission: In case of death of a joint holder, the surviving holders should open a new account with CDSL in the same sequence of surviving holders. However, if the surviving holders already having a demat account with CDSL , but he sequence is different, then same account can be use for dematerialization of shares by following the Transposition process along with Transmission process. a) Duly filled Transmission Request Form b) Original or Notarized copy of the death certificate of the deceased holder(s). TRANSMISSION REQUEST FORM (In case of death of one / more of the joint holders) Application No.

6 Date (Please fill all the details in Block Letters in English) To Motilal Oswal SECURITIES LIMITED Palm Spring Center, 2nd Floor, Link Road, Malad (w), Mumbai: 400 064 Dear Sir / Madam, I/We, the joint holder(s)/Successors request you to transmit the securities balance from: DP ID Client ID To DP ID Client ID Due to the death of ---------------------------------------- ---------------------------------------- -- (Name of the deceased account holder(s). Original Death Certificate/copy of Death Certificate (duly notarized/attested under seal by a gazetted office) is attached herewith. First/ Sole Holder Second Holder Name(s) of the surviving holder(s) Signature(s) of the surviving holder(s 1 2 Name(s) of the surviving holder(s) Signature(s) of the surviving holder(s Application No.)))

7 Date: - We hereby acknowledge the receipt of the following instructions for transmission cum-dematerialization, as per the details given in the Transmission form and DRF, from: DEMAT ACCOUNT NUMBER of surviving Bos: DP ID Client ID DRF No. Date Surviving Holder(s) Name(s)-(strike out what is not applicable): First/Sole Holder Second Holder Third Holder Documents Submitted Documents Subject to verification. Depository Participants Seal and Signature Note: Kindly check the company status on site: Rematerialisation: Incase of demat shares convert into Electronics mode Kindly rematerialisation form filled two copy s in case of physically shares certificate Rematerialisation Request Form Motilal Oswal SECURITIES LTD.

8 Palm Spring Center, 2nd Floor, Next to D-Mart Super Market, Link Road, Malad (w) Mumbai: 400 064 (To be filled up by the Depository Participant) RRN Date Please fill all the details in Block Letters in English. (In case of Lock in Securities, fill up separate RRF for Lock in securities having different Lock in expiry dates.) RRF No. Date I/We request you to arrange to rematerialize the securities mentioned hereunder-registered in my/our name. DP ID 1 2 0 1 0 9 0 0 Client ID 0 4 0 8 7 9 9 2 Name of the Company RELIANCE INDUSTRIES LTD. ISIN I N E 0 0 2 A 0 1 0 1 8 Type of Security q Equity q Debentures q Bonds q Units q Other (Specify) Number of Securities to Be Rematerialized In figures 100 In Words ONE HUNDRED ONLY Type of Lot Requested q Market Lot. q Jumbo Lot. (Specify Denomination.)

9 Type of Securities q Free q Lock-in Lock in Reason Lock in Expiry Date D D M M Y Y Y Y Documents enclosed Account Holder s Details Name of the First Holder Father / Husband Name of First Holder Name of the Second Holder Name of the Third Holder Occupation of the First Holder Details of Existing Folio (if any) In case of remat for repurchase, form provided by the respective company should be attached along with the RRF First/Sole Holder Second Holder Third Holder Name Signature as Per DP Records Signature as per DP Records ---1 --- 2 As per DP As per DP Participant Authorization DP to RTA Received the above mentioned securities for Rematerialisation from DP ID Client ID Name of the Sole / First Holder ISIN I N Date D D M M Y Y Y Y The Rematerialisation Request form has been verified with the details of the Beneficial Owner s account and it is certified that the form is in order.

10 The account has sufficient balances to allow the Rematerialisation as requested. It is also certified that the details of beneficial owners have been verified and found in order. Depository Participant Seal and Signature Acknowledgement Receipt Received Rematerialisation request form as per details given below : RRF No. Date D D M M Y Y Y Y DP ID Client ID Name of the Sole / First Holder Name of Second joint Holder Name of Third joint Holder ISIN I N Quantity Depository Participant Seal and Signature ---- 2 ---- DRF/ MF- DRF Checklist - Mandatory # Particulars to be checked before sending DRF/MF-DRF. DRF MF- DRF 1 Demat Account No 2 Details of Security- Free or Locked-in Securities 3 Name of the Company 4 ISIN of the Scrip 5 Type of Security- Equity, Debentures, Bonds, Units, etc 6 No.