[To be published in the Gazette of India, Extraordinary, part II, section 3.

sub-section
(i)1

Government of India
Ministry of Corporate Affairs
Notification

ew Delhi, $e .,_.22_May,2Al9

.G.S.R. .__. (E). ln exercise of the powers conferred by section 26; sub-section (1) of
sectton 27 , section 28, section 29, sub-section (2) of section 31, subjsections (s) and af
@'1

section 39, sub-section (6) of section 40 and section 42 read with section .169 cf th,:
companies Ac! 2clt:) (t-8 of 2013), the central Government hereby makes the lc.'I1:wi,rg
tuit+s further to a inencl th.e (lomPanies (Prospecfus and All-.tmcnt. oi Secrrr,ties) RuLes,

2{}14, namelv:-

1. short. title and commen(ement - (1) These rules may be called the r--brnparrres
(l'rospet-'tus and Ail<itrnent of Securities) Third Amendment Rules, 2019.

.(2) They shall come ir:rto force with effect from 30th September,2019.

2. In the Companies (I'rospectus and Allotment of securities) Rules, 2014 (hereinafter

referred to as the principal rules), in rrrle 9A,-

(i) in sub-rule (7), Ior the word and figures "Regulattons, 1996,,, the word and figures
"Regulations, 2018" shall be substituted;

(ii) for sub-rule (8), the following sub-rules shall be substituted, namely:-
"(8) Every unlisted public company governed by this rule shall submit Form PA96 to
the Registrar with such fee as provided in Companies (Registration Offices and Fees)
Rules,2014 within sixty days from the conclusion.of each half year duly certified by a
company secretary in practice or chartered accountant in practice.

(8A) The company shall immediately bring to the notice of the depositories any
difference obsen'ed in its issued capital and the capital held in dematerialised form.".

3. In the principal rules, in the ANNEXUIIE, after Form PA95, the following Form shall
be inserted, nanrely:-

"Form PAS - 6
Reconciliation of Share Capital Audit Report (tlalf-yearly)

[Pursuant to sub-rule (8) of rule 9.t Companies (Frospectus and Allotment of

Securities) .Rul es, 2UL4l

(All information
mation shall ire furnished for the half year ended 30th September
Septr and
31st March in every financial year for each ISIN separately)

1, Corporate identify nurnber (CIN) of comparry:

2. (a) Name of the Company :

(b) Address of the registered office:

(c) E-mail id, if any:

(d) Phone Number:

3. ISIN:

4. Period of filing: From:

5. Details of the capital of the company:

Held in dematerialised form rn

CDSL
 (") Held in dematerialised form in
NSDL
(d) Held in physical form
(e) Total No. of shares [(b) + (c) + (d)l

6. Reasons for difference in 5(a) and 5(e):

7. Details of changes in share capital during the half-year urrder consideration as per
Table below:

I Nr.A rhar*- - Whether Wtt"-tt-"t- - -- I

I
I
intimated to intimated ,o I

-p-ti"olu."----
Rights
___i NSDL 9-Drlt --- -l I
I

Bonus I

Private placement i

ESOPs
---:-----.-:!-_.---:--
I

Amalgamation I

r/-..--,^-^:^- i

,i
_C4p ital tled uctic\r,+ 'r-'
I

'.-+--.-
i
I
I

8. Details of shares heltl b;,:-

Promoters

Directors

9. (a) Whether the Register of Members is updated (Yes / No ):

(b) If not, the date upto which it has been updated:

10. Whether there were dematerialised shares in excess in the previous half-yearly
period (Yes / No ):

11. Has the resolved the matter mentioned in no. 10 above in the
current half-year? If not, reason why?:

12. Mention the total no. of demat requests, if any, confirmed after 21 days and the
total no. of demat requests pending beyond 21 days with the reasons for delay:

Total No. of demat No. of

Pending for mor<:

than 21 days

13. Name, Address, E-m.ail and 'Ielephone No. of the Company Secretary nf the
Company, if any :

14. Name, Address, E-mail, Telephone No, and Registration. no. of the CA,iCS
certifying this forrr:
15 l4lhether there is appointment of common agency for share reglstry work :

If yes (Nanre & .Adelress):

16. Any other detail that the proiessional signing tliis form may like to provide:

V erification

I am authorized by the Board of Directors of the Company vide resolution

no... ........., dated. .... :. .,..... to sign this form and declare that all the requirements
of Companies Act,2013 (18 of 2013), the Depositories Act,1996 (22 of 1996) and thc
rules/regulations made thereunder in respect of the subject matter of this form and
matters incidental thereto have been complied with. I also declare that all the
information given herein above is true, correct and complete including the
attachments to this form and nothing material has been suppressed. It is hereby
further certified that the professional (Name and Type i.e. C.A/CS) certifying this
form has been duly engaged for this purpose.

To be digitally signed by

Designation (to be given)

DIN of the person signing the form
 Certificate by practicing professional

I declare that I have been duly engaged for the purpose of certification of this form. It
is hereby certified that I have gone through the provisions of the Companies Act, 2013
(18 of 2013), the Depositories Ac! 1.996 (22 of 1996) and rules/regulations made
thereunder for the subject matter of this form and matters incrdental thereto and I
have verified the above particulars (including attachment(s)) from the original
records maintained by the Company (name of the company) which is srrbject matter
of this form and f,rund ihem to be true, correct and complete and no information
material to this form has been suppressed. I further certify that

a. Ihe said records have been properly prepared/ signed by the required officers of
the Company and maintained as per the relevant provisions of the Companies Act,
2013 and the Depositories 4ct,1996 and were found to be in order;

b. All the required attachments have been completely and legibly attached to this
form;

c. it is understood that I shall be liable for action under Section 448 of the Companies
Act, 2013 for wrong certrfication, rf any found at any stage.

Signature

Chartered Accountant/Llompany Secretary in practice (whether Associate or Fellow)

Membership No. and aiso CP No.

Note: This eform has been taken on file maintained by the Registrar of Companies
th.rough electroni< mode and on the basis of statement of cotrectness given by the
filing company. Attention rs also drawn to provisions of Section 448 which provide
for ptrnishment for false statement and certification."

___l

2013-CL-Vl

Toint Secretarv to the Government of India

. Nots- The Principal rules were published in the Gazette of India, Extraordinary, Part
II, Section 3, Sub-section (i) vide notification number G.S,R. 251(E), dabd the 31* March,
201.4 and were subsequmtly amendedi

'(1) Vide notification number G.S.R. 424(E), dated the 30u'June, 2014;

(2) Vide notification number G.S.R. 430 (E) dated the 76 May, 2018;
(3) Vide notification number G.S.R. 752 (E) daied dre Zt august 20fS;
(4) Vide notification number G.S.R. &f3 (E) daed the l0u,September, 2018;

(5) Vide notification number G;S.R. a3 @) dated the 22d Jan uary,ZOt}; nd
'(6) Vide notification number G.S.R. 130 (E) dated the 19n Febnuary, 2019.
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