Common AppliCAtion Form For ASBA / non ASBA

iSSue openS on : FeBruAry 19, 2014iSSue CloSeS on : mArCh 12, 2014*

muthoottu mini FinAnCierS limiteD Credit rating: CAre BB+[CAre DouBle B pluS]

Application Form no.

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To, The Board of Directors MUTHOOTTU MINI FINANCIERS LIMITED

puBliC iSSue oF SeCureD reDeemABle non-ConVertiBle DeBentureS (nCD) oF FACe VAlue ` 1,000/- eACh ViDe proSpeCtuS DAteD FeBruAry 12, 2014I/We hereby confirm that I/We have read and understood the terms and conditions of this Application Form and the attached Abridged Prospectus and agree to the Applicants Undertaking as given overleaf. I/We hereby confirm that I/We have read the instructions for filling up the Application Form given overleaf. leAD mAnAGer/SynDiCAte memBerS/

trADinG memBerS StAmp & CoDeSuB-SynDiCAte

memBerS StAmp & CoDeSuB-BroKerS/

AGentS StAmp CoDeeSCroW BAnK/SCSB BrAnCh

StAmp & CoDeBAnK BrAnCh

SeriAl no.reGiStrArS / SCSB

SeriAl no.DAte oF reCeipt

1. AppliCAntS DetAilS - pleASe Fill in BloCK letterS (please refer to point no. 26 of the Abridged prospectus)First Applicant (Mr./ Ms./M/s.)

Date of Birth D D m m y y y y Name of Guardian (if applicant is minor)Address __________________________________________________________________________________________________________________________

Pin Code (Compulsory)__________________ Tel. No. (with STD Code) / Mobile _________________________ Email _________________________________Second Applicant (Mr./ Ms./M/s.)

Third Applicant (Mr./ Ms./M/s.)

DPID / CLID PAN

Acknowledgement Slip for lead managers / Syndicate member / Sub Syndicate members / Sub-Brokers / trading member / SCSB

Application Form no.

Option I II III IV V VI VII VIIIIssue Price (`) 1,000/-No. of NCDs applied forGrand Total Total No. of NCDs Total Amount Payable (`)

Stamp & Signature of Lead Managers / Syndicate Member / Sub-Syndicate Members/Sub Broker / Trading Member / SCSB alongwith the date stamp (mandatory)

Received from (Name of Sole / First Applicant): ___________________________________________________

Application Form no.

AppliCAtion Form (For reSiDent AppliCAntS)

*For early Closure / extension of the issue refer to page 3 of Abridged prospectus

While submitting the Application Form, the Applicant should ensure that the date stamp being put on the Application Form by the Member of the Syndicate/Trading Member/SCSB matches with the date stamp on the Acknowledgement Slip.

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(A) Cheque/Demand Draft (DD) in favour of muthoottu mini Financiers limited - nCD escrow Account

Cheque / DD No. Dated D D m m y y

Drawn on (Bank Name & Branch)

6. pAyment DetAilS (please tick () any one of payment option A or B below) (please write Application no., Sole/First Applicant name & phone no. on reverse side of the Cheque / DD)Amount paid in (` in figures) (` in words)

(B) ASBABank A/c. No.

ASBA A/c. Holder Name (in case Applicant is different from ASBA A/c. Holder)

Bank Name & Branch

Note that the Company would allot Option VI NCDs to all valid applications, wherein the applicants have not indicated their choice of NCDs.

7A. Sole/ FirSt AppliCAnt 7B. SeConD AppliCAnt 7C. thirD AppliCAntpermAnent ACCount

numBer (pAn)

SiGnAture(S)

7D. Signature of ASBA Bank Account holder(s) (As per Bank records) (For ASBA option only)

lead managers/Syndicate members/ trading members / SCSB Branchs Stamp

(Acknowledging upload of Application in Stock exchange System) (mandatory)

I/We authorize the SCSB to do all acts as are necessary to make the Application in the Issue

1

2

3Date _______________, 2014 Furnishing PAN is mandatory. Please refer point no. 27 of the Abridged Prospectus.

Acknowledgement Slip for ApplicantpuBliC iSSue oF SeCureD reDeemABle non-ConVertiBle DeBentureS (nCD) oF FACe VAlue ` 1,000/- eACh ViDe proSpeCtuS DAteD FeBruAry 12, 2014

Cheque / DD/ASBA Bank A/c No. ____________________________________________ Dated _____________

Bank & Branch ______________________________________________________________________________

tenure 400 days 24 months 36 months 66 monthsoptions i ii iii iV V Vi Vii Viii

Frequency of Interest Payment Monthly Cumulative Monthly Cumulative Monthly Yearly Cumulative CumulativeMinimum Application 5 NCDs (`5,000)(across all options of NCDs)In Multiples of 1 NCD after the minimum applicationFace Value / Issue Price (` / NCD) `1,000Coupon (%) per annum in Category I, II and III 12.00% NA 12.25% NA 12.50% 13.00% NA NACoupon (%) for Existing Debenture Holders, Ex-servicemen and Senior Citizen 12.25% NA 12.50% NA 12.75% 13.25% NA NAEffective Yield (per annum) Category I, II and III 12.68% 12.50% 12.96% 12.50% 13.24% 13.00% 13.50% 13.43%Effective Yield (per annum) for Existing Debenture Holders, Ex-servicemen and Senior Citizen

12.96% 12.75% 13.24% 12.75% 13.52% 13.25% 13.75% 13.43%

No. of NCDs applied

Grand total total no. of nCDs total Amount payable (`)

4. in CASe oF AppliCAtion to holD the nCDs in phySiCAl Form, pleASe proViDe FolloWinG DetAilS (please enclose self attested copies of the KyC Documents along with the Application Form. For list of KyC documents, please refer overleaf)nominAtion (Please see point no. 71 of the Abridged Prospectus)Name of the Nominee : ____________________________________________If Nominee is Minor, Guardians Name : _______________________________

Bank Details for payment of refund / interest / maturity Amount (mandatory)Bank Name, Branch: ________________________ MICR Code: ___________________Account No.: ________________________ IFS Code : _________________________

3. in CASe oF AppliCAtion in DemAteriAliSeD Form, pleASe proViDe AppliCAntS DepoSitory DetAilS (please refer to point no. 28 of the Abridged prospectus) For NSDL enter 8 digit DP ID followed by 8 digit Client ID / For CDSL enter 16 digit Client ID

nSDl / CDSl

muthoottu mini FinAnCierS limiteD

muthoottu mini FinAnCierS limiteD

5. inVeStment DetAilS (For details, please refer issue Structure overleaf)

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Amount Paid (` in figures) Bank & Branch Cheque / DD / ASBA Bank A/c No. Dated Received from Mr./Ms./M/s. Telephone/Mobile Email

Stamp & Signature of Banker

2. investor Category (please refer overleaf) # in case of existing Debenture holder, Senior Citizen and ex-servicemen please tick the appropriate category below in order to avail additional coupon & mention the relevant sub-category code under serial number 2.Ex-Servicemen Senior Citizen Existing Debenture Holder^^If the Applicant is an Existing Debenture Holder please mention 1. Folio No. ...................... 2. Debenture Certificate No. ..........................For Additional KyC documents to be submitted in case of existing Debenture holder, Senior Citizen and ex-servicemen please see overleaf.

Category i Category ii Category iii

Sub Category Code#

All future communication in connection with this Application should be addressed to the Registrar to the Issue. For details, please refer overleaf.Acknowledgment is subject to realisation of Cheques / DD/Availability of funds in the ASBA account.Application submitted without being uploaded on the terminals of the Stock Exchange will be rejected.

SBICAPSEC23/10529

SBICAPSEC23/10529

31200752

31200752

31200752

2 MUTHOOTTU MINI FINANCIERS LIMITED

IN THE NATURE OF FORM 2A - MEMORANDUM CONTAINING SALIENT FEATURES OF THE PROSPECTUS

iSSue StruCture

In case of queries related to allotment/ credit of allotted NCDs/ refund, the Applicants should contact Registrar to the Issue.

In case of ASBA Applications submitted to the SCSBs, the Applicant should contact the relevant SCSB. In case of queries related to upload of ASBA Applications submitted to the Member of Syndicate/Trading

Members, the Applicants should contact the relevant Member of Syndicate/Trading Members. While submitting the Application Form, the applicant should ensure that the date stamp being on the

application form by the Lead Managers/Syndicate Members/Trading Members/SCSB matches with the date Stamp on the Acknowledgement Slip.

The grievance arising out of Applications for NCDs made through Trading Members may be addressed directly to the Stock Exchanges.

Acknowledgement is subject to realisation of Cheque/DD/Availability of Funds in the ASBA account. Applications submitted without being uploaded on the terminals of the Stock Exchanges will be rejected.

CompAny ContACt DetAilS reGiStrAr ContACt DetAilSmuthoottu mini FinAnCierS limiteDRegistered Office: 994, Muthoottu Buildings, Kozhencherry, Pathanamthitta 689 641, Kerala, India; tel.: +91 468 2310148; Fax: +91 468 2314390; Corporate Office: Mini Muthoottu Tech Towers, Kaloor, Cochin 682017, Kerala, India; tel.: +91 484 4101050; Fax: +91 484 4101027 Website: www.minimuthoottu.com Compliance Officer and Contact Person: Ms. Priya Menon tel.:+91 484 410 1078; Fax: +91 484 4101027; e-mail: cs@minimuthoottu.com

linK intime inDiA priVAte limiteDC- 13 Pannalal Silk Mills Compound, LBS Marg, Bhandup (West), Mumbai 400078, Maharashtra, Indiatel: +91 22 2596 7878; Fax: +91 22 2596 0329email: mmfl.ncd@linkintime.co.ininvestor Grievance mail: mmfl.ncd@linkintime.co.in Website: www.linkintime.co.inContact person: Sachin AcharSeBi registration number: INR000004058

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AppliCAntS unDertAKinGI/We hereby agree and confirm that:1. I/We have read, understood and agreed to the contents and terms and conditions of muthoottu mini FinAnCierS limiteD Prospectus dated February 12, 2014 (Prospectus)2 I/We hereby apply for allotment of the NCDs to me/us and the amount payable on application is remitted herewith.3. I/We hereby agree to accept the NCDs applied for or such lesser number as may be allotted to me/us in accordance with the contents of the Prospectus subject to applicable statutory and/or regulatory

requirements.4. I/We irrevocably give my/our authority and consent to IL&FS Trust Company Ltd., to act as my/our trustees and for doing such acts as are necessary to carry out their duties in such capacity.5. I am/We are Indian National(s) resident in India and I am/ we are not applying for the said NCDs as nominee(s) of any person resident outside India and/or Foreign National(s).6. The application made by me/us do not exceed the investment limit on the maximum number of NCDs which may be held by me/us under applicable statutory and/or regulatory requirements.7. In making my/our investment decision I/We have relied on my/our own examination of the company and the terms of the issue, including the merits and risks involved and my/our decision to make this

application is solely based on disclosures contained in the Prospectus.8. I/We have obtained the necessary statutory and/or regulatory permissions/approvals for applying for, subscribing to, and seeking allotment of the NCDs applied for.9. Additional undertaking, in case of ASBA Applicants: 1) I/We hereby undertake that I/We am/are an ASBA Applicant(s) as per applicable provisions of the SEBI Regulations; 2) In accordance with ASBA process provided in the SEBI Regulations and disclosed

in the Prospectus, I/We authorize (a) the Lead Managers / Syndicate Member / Sub-Syndicate Members / Trading Members or the SCSBs, as the case may be, to do all acts as are necessary to make the Application in the Issue, including uploading my/our application, blocking or unblocking of funds in the bank account maintained with the SCSB as specified in the Application Form, transfer of funds to the Public Issue Account on receipt of instruction from the Lead Managers and Registrar to the Issue, after finalization of Basis of Allotment; and (b) the Registrar to the Issue to issue instruction to the SCSBs to unblock the funds in the specified bank account upon finalization of the Basis of Allotment. 3) In case the amount available in the specified Bank Account is insufficient as per the Application, the SCSB shall reject the Application.

10. Additional undertaking in case the Applicant wishes to hold the nCDs in physical form: 1. In terms of Section (8)(1) of the Depositories Act, 1996, I/we wish to hold the NCDs in physical form. 2. I/We confirm that the Information provided in this form is true and correct and I/We enclose herewith

self attested copies of the KYC Documents. 3. I/We confirm that we do not hold any Demat Account.11. Additional undertaking in case the Applicant wishes to apply under the existing Debenture holders, ex-servicemen and Senior Citizen categories: I/We confirm that the information provided in this

form is true and correct and I/We enclose herewith copies of the Mandatory KYC Documents.

iSSue relAteD inFormAtion For FillinG the AppliCAtion FormKyC Documents to be submitted by Applicants who do not have a Demat account and are applying for nCDs in the physical Form: a. Self-attested copy of the proof of identification (for individuals); Any of the following documents shall be considered as a verifiable proof of identification: Passport; Voters ID; Driving Licence; Government ID Card; Defence ID Card; Photo PAN Card Photo Ration Card. b. Self-attested copy of the PAN card (in case of a minor, the guardian shall also submit the self attested copy of his/ her PAN card); c. Self-attested copy of the proof of residence; Any of the following documents shall be considered as a verifiable proof of residence: ration card issued by the GoI; valid driving license issued by any transport authority of the Republic of India; electricity bill (not older than three months); landline telephone bill (not older than three months); valid passport issued by the GoI; AADHAAR Letter issued by Unique Identification Authority of India (UIDAI); voters Identity Card issued by the GoI; passbook or latest bank statement issued by a bank operating in India; leave and license agreement or agreement for sale or rent agreement or flat maintenance bill; Registered Office address in case of applicants under Category I or Category II; or life insurance policy. d. Copy of a cancelled cheque of the bank account to which the amounts pertaining to payment of refunds, interest and redemption, as applicable, should be credited. mAnDAtory KyC DoCumentAtion reQuirementS For eXiStinG DeBenture holDerS, Senior CitiZenS AnD eX-SerViCemenExisting Debenture Holders, Ex-servicemen and Senior Citizen, shall be eligible for the extra coupon on the NCDs that is allotted to them under Options I, III, V and VI.However, the additional coupon shall be available only to those Applicants who have submitted the following documents:

type of Applicants KyC DocumentsRetired Servicemen Self-attested copy of Ex-Servicemen identity card issued by the ZillaSainik BoardSenior Citizen Self-attested copy of PAN Card Existing Debenture Holder Self-attested copy of the existing debenture certificate issued by our Company

investor Categories:Category i (institutional portion)

Sub Category

Code

Category ii (non-institutional portion)

Sub Category

Code

Category iii* (retail individual portion)

Sub Category

CodeResident Public Financial Institutions, Statutory Corporations 11 Companies, Bodies Corporate, Registered Societies 21 Resident Indian individuals 31Commercial Banks, Co-operative Banks, Regional Rural Banks 12 Public/Private Charitable/Religious trusts 22 Hindu Undivided Families through the Karta 32Provident Funds, Pension Funds, Superannuation Funds, Gratuity Fund 13 Scientific and/or Industrial Research Organizations 23Venture Capital funds / Alternative Investment Funds registered with SEBI 14 Partnership firms in the name of the partners 24Insurance Companies registered with the IRDA 15 Limited Liability Partnerships 25National Investment Fund 16 Educational Institutions and Association of Persons 26Mutual Funds registered with SEBI 17 Resident Indian individuals making an application for value exceeding ` 5 lacs 27

Hindu Undivided Family through the karta making an application for value exceeding ` 5 lacs 28

in case of existing Debenture holder, Senior Citizen and ex-servicemen mention the relevant sub-category code under serial number 2.

Ex-Servicemen 41 Senior Citizen 42 Existing Debenture Holder 43

*Applications aggregating to a value not more than ` 5 Lacs.

tenure 400 days 24 months 36 months 66 monthsoptions i ii iii iV V Vi Vii Viii

Frequency of Interest Payment Monthly Cumulative Monthly Cumulative Monthly Yearly Cumulative CumulativeMinimum Application 5 NCDs (`5,000)(across all options of NCDs)In Multiples of 1 NCD after the minimum applicationFace Value of NCDs (` / NCD) `1,000Issue Price (` / NCD) `1,000Mode of Interest Payment/Redemption Through Various options availableCoupon (%) per annum in Category I, II and III 12.00% NA 12.25% NA 12.50% 13.00% NA NACoupon (%) for Existing Debenture Holders, Ex-servicemen and Senior Citizen

12.25% NA 12.50% NA 12.75% 13.25% NA NA

Coupon Type FixedRedemption Amount (`/NCD) for Category I, II and III 1,000 1,137.78 1,000 1,265.63 1,000 1,000 1,462.14 2,000Redemption Amount (`/NCD) for Existing Debenture Holders, Ex-servicemen and Senior Citizen

1,000 1,140.55 1,000 1,271.26 1,000 1,000 1,471.82 2,000

Effective Yield (per annum) Category I, II and III 12.68% 12.50% 12.96% 12.50% 13.24% 13.00% 13.50% 13.43%Effective Yield (per annum) for Existing Debenture Holders, Ex-servicemen and Senior Citizen

12.96% 12.75% 13.24% 12.75% 13.52% 13.25% 13.75% 13.43%

Put and Call Option Not ApplicableDeemed Date of Allotment The date of issue of the Allotment Advice, or such date as may be determined by the Board or a duly constituted committee thereof, and notified to the Exchange. All benefits relating to the NCDs

including interest on the NCDs shall be available to the investors from the Deemed Date of Allotment. The actual Allotment of NCDs may take place on a date other than the Deemed Date of AllotmentFor Grounds for technical rejection. Please refer to point no. 41 of the Abridged Prospectus.

Basis of Allotment :For details, please refer to point no. 57 of the Abridged Prospectus.

Muthoottu - NCD Application Form.pdfMuthoottu - NCD - 2A Form.pdf