BEN-4

What is BEN-4?

A company shall give notice, to any person (whether or not a member of the company) whom the company knows or has reasonable cause to believe

(a) to be a significant beneficial owner of the company;

(b) to be having knowledge of the identity of a significant beneficial owner or another person likely

to have such knowledge; or

(c) to have been a significant beneficial owner of the company at any time during the three years immediately preceding the date on which the notice is issued,

and who is not registered as a significant beneficial owner with the company as required under this section.

Who has to file the form?

Every reporting company shall in all cases where its member (other than an individual), holds not less than 10 % of its: shares, or. voting rights, or. right to receive or participate in the dividend or any other distribution payable in a financial year, give notice to such member, seeking information in Form No. BEN-4.

When has to be done?

In respect of the above significant beneficial ownership the return prescribed under Section 90 of the Act has not been filed in compliance with the Act. You are accordingly advised to give the following information within 30 days of the date of this notice in accordance with the section 90 of the Companies Act,2013 :

What’re the documents or attachments needed for BEN-4?

• Name and Address of the Beneficial owner (B.o) 1i.e. yourself or the significant no if you are not the significant BO)
• PAN of the B.O
• Name of the person/entity/trust/body etc in whose name the shares/rights are registered/held
• Folio number/DP and Client ID of the shares/securities
• Nominal value of the shares/securities
• Date of acquiring beneficial interest
• Documents, terms and conditions or any other particulars regarding the Bo ownership
• Reason for not filing declaration in Form No. BEN-4.
• Any other information incidental to or relevant or in your possession or knowledge to enable the company to evaluate this matter