ANNEXURE O TRANSMISSION FORM

Date To, Marwadi Shares & Finance Ltd. Marwadi Financial Plaza, Off. 150 Feet Ring Road, Rajkot. (1) I/We, the undersigned, being the

Executor(s) of the Will Legal heir(s) Administrator(s) of the Estate Joint holder(s) Successor(s) to the Estate Nominee Survivors of HUF

of Mr./Mrs./Ms. _______________________________________________________________, Mr./Mrs./Ms.____________________________________________________and Mr./Mrs./Ms. __________________________________________________________, the deceased, of which *nomination / probate/ letter of administration / succession certificate was duly granted to me / us on the ___________ day of _______of _________________ hereby request you to register me/us as the beneficial owner(s) in respect of the securities standing in the name of the said deceased under Client ID ____________DP ID – IN300974. (2) I/We give hereunder the details of my/our account with a Participant to which the security

balances are requested to be transmitted:

Name Client ID DP ID

FOR OFFICE USE ONLY

Branch

Received By &

Receipt No.

Document Verified by

Authorised Signatory

Closed by

Approval I

Approval II

Approval III

(3) List of Documents enclosed (for Individual accounts) (tick as applicable): A For surviving holder(s) in a joint account Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer. B For nominee of the deceased: Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer. In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the nominee. C For legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the

account - Value of holding not exceeding Rs.5 lakh on the date of application Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the claimant. Indemnity (format given at Annexure OC) Affidavit (format given at Annexure OD) No objection certificate(s) (format given at Annexure OE) Family Settlement Deed [as an alternate to No objection certificate(s)] D For legal heir(s)/Legal representative(s) where deceased was a sole holder and no nomination in

the account - Value of holding was Rs. 5 lakh or more on the date of application Copy of death Certificate duly attested by a Notary Public or by a Gazetted Officer In case the account of the claimant is not with the Participant, copy of Client Master Report of the account of the claimant. Succession certificate Letter of Administration Probate of the Will (4) Declaration:

(Applicable only for legal heir(s)/legal representative(s) where deceased was a sole holder and no nomination in the account - Value of holding not exceeding Rs. 5 Lakh on the date of application) We declare that the below mentioned person(s) are the only legal heir(s) of the deceased and there are not other legal heir(s). Of these, as specified below, some/all of them are claimants and some of them have given a No Objection Certificate in favour of other legal heir(s). Details are given below:

Sr. No.

Name of the legal heir(s) Specify whether a claimant or given a No Objection Certificate

(5) List of Documents enclosed (for HUF accounts) (tick as applicable): A Value of holding not exceeding Rs.10 lakh on the date of application. [Where there is an objection from any member of HUF, documents mentioned at B below must be submitted]

Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer.

Indemnity (format given at Annexure OF) Affidavit (format given at Annexure OG) B Value of holding was Rs. 10 lakh or more on the date of application. Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer Court Decree Deed of Partition C Separation/ partition of HUF: Copy of Death Certificate duly attested by a Notary Public or by a Gazetted Officer Settlement Deed Deed of Partition Court Decree (6) Signatures: Sr. No. Name of claimant Signature of claimant

Notes:1. This request form should be signed by the surviving joint holder(s)/ legal heir(s)/ legal representative(s)/

nominee / all surviving members of the HUF, as the case may be. 2. * Strike off whichever is not applicable.

Know Your Client (KYC)Application Form (For Non-Individuals Only)

Please fill in ENGLISH and in BLOCK LETTERS with black ink

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A. Identity Details (please see guidelines overleaf)

2. Date of Incorporation /d d m m y y y y/ Place of Incorporation

4. Status Please tick ( ) ü

FI FII HUF AOP Bank Government Body Non-Government Organisation Defence Establishment Body of Individuals Society LLP Others

Private Ltd. Co. Public Ltd. Co. Body Corporate Partnership Trust / Charities / NGOs

(Please specify)

5. Permanent Account Number (PAN) (MANDATORY) Please enclose a duly attested copy of your PAN Card

3. Registration No. (e.g. CIN)

Date of commencement of business /d d m m y y y y/

Place: Date:

NAME & SIGNATURE(S)

OF AUTHORISED

PERSON(S)

I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

DECLARATION

B. Address Details (please see guidelines overleaf)

2. Contact DetailsTel. (Off.) (ISD) (STD) Tel. (Res.)Mobile (ISD) (STD) FaxE-Mail Id.

(ISD) (STD)(ISD) (STD)

FOR OFFICE USE ONLY

1. Name of Applicant (Please write complete name a s per Certificate o f I ncorporation / Registration; l eaving one box b lank between 2 words. P lease do not abbreviate the Name).

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf).

ü*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *

*Not more than 3 Months old.

(Please specify)

Validity/Expiry date of proof of address submitted

/d d m m y y y y/

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick ( ) against the document attached. Latest Bank Account Statement Registered Lease / Sale Agreement of Office Premises Any other proof of address document (as listed overleaf).

ü*Latest Telephone Bill (only Land Line) *Latest Electricity Bill *

*Not more than 3 Months old.

(Please specify)

Validity/Expiry date of proof of address submitted

/d d m m y y y y/

C. New Other Details (please see guidelines overleaf)

3. (Please use the Annexure to fill in the details)

Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors

5. Any other information:

1. Gross Annual Income Details Please tick ( ): Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac 25 Lacs-1 Crore > 1 Croreü

4. Is the entity involved/providing any of the following services YES NO - For Foreign Exchange / Money Changer Services YES NO – Gaming / Gambling / Lottery Services (e.g. casinos, betting syndicates) YES NO - Money Lending / Pawning YES NO

2. Net-worth in . as on (date)` (*Net worth should not be older than 1 year) /d d m m y y y y/

Please affixthe recent passportsize photograph of

Authorised Signatoryand sign across it

PHOTOGRAPH

Seal/Stamp of the intermediary should contain

Staff Name

Designation

Name of the Organization

Signature

Date

4. Registered Address (If different from above)

City / Town / Village Postal CodeState Country

1. Address for Correspondence

City / Town / Village Postal CodeState Country

(Attested) True copies of documents received

(Originals Verified) Self Certified Document copies received

AMC/Intermediary name OR code

A. IMPORTANT POINTS: Residence/Driving License/Flat Maintenance bill/Insurance Copy.1. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than

3 months old.2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not 3. Bank Account Statement/Passbook - Not more than 3 months old.produced for verification, then the copies should be properly attested by entities 4. Self-declaration by High Court and Supreme Court judges, giving the new address in authorized for attesting the documents, as per the below mentioned list. respect of their own accounts.

3. If any proof of identity or address is in a foreign language, then translation into English 5. Proof of address issued by any of the following: Bank Managers of Scheduled is required. Commercial Banks/Scheduled Co-Operative Bank/Multinationa Foreign

4. Name & address of the applicant mentioned on the KYC form, should match with the Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative documentary proof submitted. Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

5. If correspondence & permanent address are different, then proofs for both have to be 6. Identity card/document with address, issued by any of the following: Central/State submitted. Government and its Departments, Statutory/Regulatory Authorities, Public Sector

Undertakings, Scheduled Commercial Banks, Public Financial Institutions,Colleges 6. Sole proprietor must make the application in his individual name & capacity.affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council 7. For non-residents and foreign nationals,(allowed to trade subject to RBI and FEMA etc.,to their Members.guidelines), copy of passport/PIOCard/OCICard and overseas address proof is

7. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians mandatory.(which are duly notarized and/or apostiled or consularised) that gives the registered 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, address should be taken.their passport copy should be given.

8. The proof of address in the name of the spouse may be accepted.9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. D. Exemptions/clarifications to PAN

10. For opening an account with Depository participant or Mutual Fund, for amin or, (*Sufficient documentary evidence in support of such claims to be collected.)photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary 1. In case of transactions undertaken on behalf of Central Government and/or State Board/Passport of Minor/Birth Certificate must be provided. Governmentand by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been 2. Investors residing in the state of Sikkim.entrusted with prominent public functions in a foreign country, e.g., Heads of 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.States or of Governments, senior politicians, senior Government/judicial/military officers,

4. SIP of Mutual Funds upto Rs 50,000/- p.a.senior executives of state owned corporations, important political party 5. In case of institutional clients, namely, FIIs, Mfs, VCFs, FVCIs, Scheduled Commercial officials, etc.

Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial B. Proof of Identity( POI): List of documents admissible as Proof of Identity: Development Corporations, Insurance Companies registered with IRDA and Public

1. PAN card with photograph. This is a mandatory requirement for all Financial Institution as defined under section 4A of the Companies Act, 1956, applicants except those who are specifically exempt from obtaining PAN (listed in Section D). Custodians shall verify the PAN card details with the original PAN card and provide

2. Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license. duly certified copies of such verified PAN details to the intermediary.3. Identity card/ document with applicant’s Photo, issued by any of the following: E. List of people authorized to attest the documents:

Central/State Government and its Departments, Statutory/Regulatory Authorities, 1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, the copy).ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks.Banks registered in India, Notary Public, Court Magistrate, Judge, Indian

C. Proof of Address (POA): List of documents admissible as Proof of Address: Embassy/Consulate General in the country where the client resides are permitted to (*Documents having an expiry date should be valid on the date of submission.) attest the documents.1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of

Self attested copy of PAN card is mandatory for all clients.

INSTRUCTIONS / CHECK LIST FOR FILLING KYC FORM

F. Incase of Non-Individuals, additional documents tobe obtained from non-individuals, over & above the POI & POA, as mentioned below:

Types of entity

Corporate

Partnership firm

Trust

HUF

UnincorporatedAssociation or a body of individuals

Banks/Institutional Investors

Foreign InstitutionalInvestors (FII)

Army/Government Bodies

Registered Society

Documentary requirements

Copy of the balance sheets for the last 2 financial years (to be submitted every year)Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole time director/MD(to be submitted every year)Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operationsPhotograph, POI, POA, PAN of individual promoters holding control – either directly or indirectlyCopies of the Memorandum and Articles of Association and certificate of incorporationCopy of the Board Resolution for investment in securities marketAuthorised signatories list with specimen signatures

Copy of the balance sheets for the last 2 financial years (to be submitted every year)Certificate of registration (for registered partnership firms only)Copy of partnership deedAuthorised signatories list with specimen signaturesPhotograph, POI, POA, PAN of Partners

Copy of the balance sheets for the last 2 financial years (to be submitted every year)Certificate of registration (for registered trust only).Copy of Trust deedList of trustees certified by managing trustees/CAPhotograph, POI, POA, PAN of Trustees

PAN of HUFDeed of declaration of HUF/List of coparcenersBank pass-book/bank statement in the name of HUFPhotograph, POI, POA, PAN of Karta

Proof of Existence/Constitution documentResolution of the managing body & Power of Attorney granted to transact business on its behalfAuthorized signatories list with specimen signatures

Copy of the constitution/registration or annual report/balance sheet for the last 2 financial yearsAuthorized signatories list with specimen signatures

Copy of SEBI registration certificateAuthorized signatories list with specimen signatures

Self-certification on letterheadAuthorized signatories list with specimen signatures

Copy of Registration Certificate under Societies Registration ActList of Managing Committee membersCommittee resolution for persons authorised to act as authorised signatories with specimen signaturesTrue copy of Society Rules and Bye Laws certified by the Chairman/Secretary

••

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Please Submit the KYC Documents on A4 Size Paper Only.

Name & Signature of the Authorised Signatory(ies) Date

Details of Promoters/ Partners/ Karta / Trustees and whole time directors forming a part of Know Your Client (KYC) Application Form for Non-Individuals

/d d m m y y y y/ PEP: Politically Exposed Person RPEP: Related to Politically Exposed Person

Photograph Sr.No. Name

Relationship with Applicant (i.e. promoters,

whole time directors etc.)

Residential / Registered Address

PAN DIN (For Directors) /

UID (For Others)

WhetherPoliticallyExposed

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

PEP

RPEP

NO

Name of Applicant PAN of the Applicant

DECLARATION OF JOINT FAMILY (HUF)

To, Marwadi Shares and Finance Limited Rajkot. Dear Sir / Madam, I/We have opened/applied to open a demat account with you in the name and style of

______________________________________________________________ for our HUF.

In this regard, being a Karta of HUF, I hereby declare the details of the family members of the HUF as below; I hereby also declare that the particulars given by me as under are true to the best of my knowledge. I understand and agree that my false/misleading information given by me or suppression of any material information will render my said account liable for termination and further action. Further, I agree that I will immediately intimate any death/s or birth/s in the family as it changes the constitution of the HUF. We the coparceners / members hereby declare that:

We wish to authorize Marwadi Shares and Finance Limited as our lawful attorney to operate the demat account for the purposes mentioned in the Power of Attorney duly signed by Karta.

We do not wish to authorize Marwadi Shares and Finance Limited to operate the demat account. [Strike out whichever is not applicable.] Sr. No Name Sex (Male/

Female) Date of Birth Relationship with Karta Signature

1

2

3

4

5

6

7

8

9

10

Name and Signature of Karta with Stamp of HUF

Signature Date

Name Place

( Professional Self Employed Retired Housewife Student)

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government)

New Update

Name* (Same as ID proof)

Maiden Name (If any*)

Father / Spouse Name*

Mother Name*

Date of Birth*

Gender*

Marital Status*

Citizenship*

CENTRAL KYC REGISTRY | Know Your Customer (KYC) Application Form | Individual

1. PERSONAL DETAILS

2. TICK IF APPLICABLE

3. PROOF OF IDENTITY (PoI)*

4. PROOF OF ADDRESS (PoA)*

ADDITIONAL DETAILS REQUIRED* ISO 3166 Country Code of Jurisdiction of Residence*

Tax Identification Number or equivalent (If issued by jurisdiction)*

Place / City of Birth*

RESIDENCE FOR TAX PURPOSES IN JURISDICTION(S) OUTSIDE INDIA

(To be filled by financial institution)

(Please refer instruction B at the end)

(Please refer instruction A at the end)

(Please refer instruction C at the end)

(Mandatory for KYC update request)

(Certified copy of any one of the following Proof of Identity[PoI] needs to be submitted)

(Please see instruction D at the end)

(Mandatory only if section 2 is ticked)

4.1 CURRENT / PERMANENT / OVERSEAS ADDRESS DETAILS

Important Instructions:

For office use only

A) Fields marked with ‘*’ are mandatory fields. B) Please fill the form in English and in BLOCK letters.C) Please fill the date in DD-MM-YYYY format.D) Please read section wise detailed guidelines / instructions at the end.

E) List of State / U.T code as per Indian Motor Vehicle Act, 1988 is available at the end.F) List of two character ISO 3166 country codes is available at the end.G) KYC number of applicant is mandatory for update application.H) For particular section update, please tick ( ) in the box available before the section number and strike off the sections not required to be updated.

Married

Resident IndividualForeign National

Non Resident Indian

Unmarried

Account

Type*

M- Male

Application Type*

KYC Number

F- Female T-Transgender

Signature / ThumbImpression

PHOTO

Prefix First Name Middle Name Last Name

S-ServiceO-OthersB-Business

ISO 3166 Country Code of Birth*

Identification Number

Passport Expiry Date

Driving Licence Expiry Date

( Private Sector Public Sector Government Sector )

IN- Indian Others (ISO 3166 Country Code )

Others

Person of Indian Origin

(Certified copy of any one of the following Proof of Address [PoA] needs to be submitted)

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

Occupation Type*

Residential Status*

S- Simplified Measures Account - Document Type code Identification Number

X- Not Categorised

Address Type*Proof of Address*

Line 2

State / U.T Code*

Residential / Business

Passport Driving Licence UID (Aadhaar)

Pin / Post Code*City / Town / Village*

ISO 3166 Country Code*

Voter Identity Card

Residential Registered Office

Address

please specify

Business

NREGA Job Card Others

Unspecified

District*

Line 1*

Line 3

Simplified Measures Account - Document Type code

Normal Simplified (for low risk customers) Small

Addition of Related Person Deletion of Related Person

5. CONTACT DETAILS

7. REMARKS (If any)

(All communications will be sent on provided Mobile no. / Email-ID) (Please refer instruction F at the end)

6. DETAILS OF RELATED PERSON (In case of additional related persons, please fill ‘Annexure B1’ ) (please refer instruction G at the end)

(If KYC number and name are provided, below details of section 6 are optional)

Tel. (Off)

FAX

Tel. (Res)

Email ID

Mobile

KYC Number of Related Person (if available*)

Guardian of Minor Assignee Authorized RepresentativeRelated Person Type*

Name*

PROOF OF IDENTITY [PoI] OF RELATED PERSON* (Please see instruction (H) at the end)

4.3 ADDRESS IN THE JURISDICTION DETAILS WHERE APPLICANT IS RESIDENT OUTSIDE INDIA FOR TAX PURPOSES* (Applicable if section 2 is ticked)

State* ZIP / Post Code* ISO 3166 Country Code*

Same as Current / Permanent / Overseas Address details Same as Correspondence / Local Address details

A- Passport Number

B- Voter ID Card

C- PAN Card

D- Driving Licence

E- UID (Aadhaar)

F- NREGA Job Card

Z- Others (any document notified by the central government) Identification Number

Passport Expiry Date

Driving Licence Expiry Date

D D M M Y Y Y Y

D D M M Y Y Y Y

Prefix First Name Middle Name Last Name

8. APPLICANT DECLARATION

9. ATTESTATION / FOR OFFICE USE ONLY

KYC VERIFICATION CARRIED OUT BY INSTITUTION DETAILS

Date : Place :

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changestherein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.

I hereby consent to receiving information from Central KYC Registry through SMS/Email on the above registered number/email address.

[Signature / Thumb Impression]

Signature / Thumb Impression of Applicant

Documents Received Certified Copies

Date

Emp. Name

Emp. Code

Emp. Designation

Emp. Branch

Name

Code

[Employee Signature][Institution Stamp]

D D M M Y Y Y Y

D D M M Y Y Y Y

4.2 CORRESPONDENCE / LOCAL ADDRESS DETAILS * (Please see instruction E at the end)

Same as Current / Permanent / Overseas Address details (In case of multiple correspondence / local addresses, please fill ‘Annexure A1’)

State / U.T Code* Pin / Post Code* ISO 3166 Country Code*District*

Line 2 City / Town / Village*

Line 1*

Line 3

Line 2 City / Town / Village*

Line 1*

Line 3

S- Simplified Measures Account - Document Type code Identification Number

Signature Replacement Request Form

Date: ___/___/20___

To, DP ID: IN300974 Marwadi Shares & Finance Limited “Marwadi Financial Plaza”, Off. 150 Feet Ring Road, Nana Mava Main Road, Rajkot – 360 005 I ………………………………………………………………………having Client Id …………………….. with Marwadi shares and Finance Ltd. Would like to replace existing signature with new signature as under.

Existing (OLD) Signature: ……………………………………………………………… New Signature : ( in Black ink only)

(To be Attested by Banker of the account holder) Bank Name : ………………………………………………….Bank seal………………………………… Bank Account No. (Saving/Current/CC-OD): …………………………………………………………… Bank Manager Name:……………………………………………….Signature………………………..... Bank Telephone No.:……………………………Bank Address:……………………………………………. New Signature :

(To be signed in the presence of official of DP)

Reason for change in signature: …………………………………………………………………………………………………..

(To be filled by APPROVED DP Branch )

IDENTITY OF THE PERSON(S) VERIFIED IN PERSON & SIGNED IN MY PRESENCE Name DP : Marwadi Shares and Finance Limited

DP ID : IN300974 Branch / Franchisee ________________________

Emp. Name : ________________________________ Code : __________ Signature : ______________

Date : ______________ Place : ________________

For office used only

Replacement approved by : Name ……………………………………………… Signature………………………....... Signature scanned by : Name………………………………………………..Signature………………………………. Scanned signature verified by : Name…………………………………………………Signature………………………………

Note:

Bring Identity Proof as well as latest transaction statement of the account. New signature is to by done in the Presence of DP Official with DP stamp.

Encl.: 1. Identity Proof Verified copy by MSFL Officials. 2. Last Transaction / Holding Statement of the Demat Account.