IEPF Claim Name Mismatch in Uttarakhand: Unclaimed Shares and Dividends
For holders of old shares, and their heirs, whose shares or dividends have gone to the investor education and protection fund, where the name on the folio differs from the claimant's papers today: which names are compared, what proof is asked for, and how the claim is filed.
An IEPF claim name mismatch is answered with proof. Bring PAN, Aadhaar, the bank account and the demat account to one name. Then give the company proof that the name on the share certificate is yours: a marriage certificate for a married surname, or a Gazette notification for a change by choice. A spelling needs no Gazette.
Shares bought in a public issue thirty years ago were often put in a drawer. The company went on declaring dividends, the warrants went to an old address, and after seven years the shares themselves were moved to a Government fund. An IEPF claim name mismatch is what a holder meets on trying to bring them back. This page explains IEPF claim name mismatch for holders and heirs in Uttarakhand.
We do not file these claims. We prepare the Gazette notification, where a name has in fact been changed. How a claim is made and paid is from several companies' own published procedures and from the Authority's answers to common questions as a company reproduces them. For the share certificate itself, read share certificate name change and correction.
What Is the Fund, and What Goes to It?
As guides to the company law describe it.
- What it is. The investor education and protection fund, kept by an Authority under the company affairs ministry.
- Dividends. A dividend that stays unpaid or unclaimed for seven years is transferred to it by the company.
- Shares. Shares on which no dividend has been claimed for seven years in a row are transferred to it as well.
- Whose they remain. The holder's, or the heirs'. They can be claimed back from the Authority.
- Who is involved. The claimant, the company and its registrar, the depository through a demat account, and the Authority.
Nothing is lost by the transfer. But a holder who could once have written to the company now has to prove a claim to four bodies, each reading a name.
What Do the Published Procedures Say?
From several listed companies' own pages on claiming from the fund, and from the Authority's answers to common questions as one company reproduces them. We did not read the rules or the answers on the Authority's own site.
| Point | What the procedures say |
|---|---|
| The form | An online claim form, filed on the company affairs portal |
| Then | The signed papers are sent to the company's nodal officer, in an envelope marked as a claim for refund from the Authority |
| The papers | An indemnity bond, an advance receipt, a copy of Aadhaar, a cancelled cheque showing the claimant's name, the demat account's client master list, and proof of entitlement such as the share certificate |
| A name mismatch | Proof of the name as on the share certificate, or of the change of name |
| The company's part | It verifies the claim and sends a verification report to the Authority |
| The refund | The dividend is credited to the claimant's Aadhaar-linked bank account, and the shares to the claimant's demat account |
| A late holder | A succession certificate, probate of a will or letters of administration, with the claim by the heir |
The two marked rows frame the whole problem. The refund can only go to accounts that are tied to Aadhaar. The entitlement is in whatever name a company wrote decades ago. The claimant has to show the two are one person.
Which Five Names Meet in One Claim?
| Name | Kept by | Where it is corrected |
|---|---|---|
| The holder on the folio and certificate | The company and its registrar | Not corrected now. Explained by proof |
| PAN | The tax department | A PAN correction request |
| Aadhaar | The identity authority | An Aadhaar centre |
| The bank account | The bank | The branch |
| The demat account | The depository participant | The participant, on PAN |
Four of the five are the claimant's own and can be made alike in a few weeks. The fifth is history. Once shares have gone to the fund, the folio is not rewritten to suit the claim. The claim is built around it.
What Kinds of Mismatch Are There?
The same person, written differently
- Surname first, initials, a title or an old spelling on the certificate
- The holder is alive and claiming
- Shown by proof of the name, and an affidavit where asked
A name that changed
- A woman's shares in her maiden name
- Or a holder who changed a name by choice
- Shown by the marriage certificate, or a Gazette notification
The claimant's own papers disagree
- PAN, Aadhaar, the bank and the demat account carry different forms
- Nothing to do with the old folio
- Cured at each office, before the claim is filed
Start with the third. It is the only one fully in the claimant's hands, and a claim filed with it unsettled is sent back before the old name is even looked at.
Which Case Is Yours?
| The situation | Route | Gazette? |
|---|---|---|
| The certificate has the surname first | Proof of the name, and an affidavit where the company asks | No |
| The certificate is in initials or a short form | The same | No |
| The certificate has a spelling slip | The same | No |
| The shares are in a woman's maiden name | The marriage certificate, with present identity papers | No |
| PAN and the demat account differ | Correct PAN, then the demat account | No |
| The bank account is in another form of the name | The bank corrects it on Aadhaar | No |
| The holder has died | The heir claims, with a succession paper | No |
| The holder changed a name by choice | A Gazette notification, given as proof of the change | Yes |
A Gazette appears once in eight rows. It is asked for more readily here than at a bank, since companies' registrars follow the market regulator's lists of papers.
How Do You Make the Claim?
This is the general method, as companies' pages describe it. Follow the company's own current page.
Step 1: Find the share certificate, or anything that names the folio
An old certificate, a dividend warrant or a letter from the company. Note the holder's name and the folio number exactly.
Step 2: Ask the company's registrar what was transferred
It gives an entitlement letter listing the shares and the dividend of each year that went to the fund, and the name it holds.
Step 3: Put PAN, Aadhaar, the bank account and the demat account beside that name
All four are read in a claim. Each should carry one name.
Step 4: Bring your own four papers to one name first
Correct PAN, Aadhaar, the bank or the demat account, whichever is the odd one.
Step 5: Collect the proof that links the folio's name to yours
A marriage certificate, a Gazette notification, or other proof of the name as on the certificate.
Step 6: File the claim form online
On the Government's company affairs portal, with the demat account and the Aadhaar-linked bank account.
Step 7: Send the signed papers to the company's nodal officer
The printed form, the indemnity bond, the advance receipt, the certificate and the proofs, in an envelope marked as a claim for refund.
Step 8: Answer the company's queries, and wait for the Authority
The company verifies and reports. The Authority then releases the shares to the demat account and the dividend to the bank.
How Did Old Certificates Write a Name?
- Share applications of the 1980s and 1990s were filled by hand, in block letters, on forms with a few boxes.
- Many asked for the surname first. "VERMA RAJESH KUMAR" on a certificate is "Rajesh Kumar Verma" on PAN.
- Long names were cut to fit. A middle name became an initial, or vanished.
- Titles were typed in: "Shri", "Smt", "Kumari", "Dr". A daughter's shares bought by her father may read "Kum. Anita".
- Shares were often taken jointly, with a spouse or a parent as second holder. Each joint holder's name is a separate question.
- The address on the folio is usually three homes old. It still helps to show that the holder is the claimant.
None of these is a change of name. Each is the same person seen through an old form. Read adding a surname to a single name and Kumari, Devi and the husband’s surname.
What Counts as Proof of a Name?
- The Authority's answers ask, where the name does not match, for proof of the name as on the share certificate or of the change of name.
- Guides list an affidavit for a name mismatch among the papers sent to the company.
- For a married surname, the marriage certificate is the proof of change.
- For a change by choice, expect to be asked for a Gazette notification.
- For a different form of the same name, an old identity paper in that form helps: an old passport, a ration card, a bank passbook of the time.
- One company's page warns that where there is a change or difference in name, more papers will be called for.
Ask the company's registrar for its list before you send anything. Lists differ from company to company, and a claim returned for one missing paper loses months. Read name change affidavit in Uttarakhand and name correction in marriage registration certificate.
What About the Demat and Bank Accounts?
- Shares come back only into a demat account. The claim form asks for its number, and the client master list is among the papers.
- That account has to be in the claimant's name, as on PAN. A joint holding needs an account in the same names, in the same order.
- The dividend is credited to the claimant's Aadhaar-linked bank account.
- The cancelled cheque sent with the papers should show the claimant's printed name.
- A holder who has never traded opens a demat account for this purpose. Open it after PAN and Aadhaar are right, not before.
- A name that differs between PAN and the demat account is read as a mismatch by the form itself.
Read name change in demat and mutual fund records, name change in bank records and CKYC name mismatch.
What About a Late Holder's Shares?
- Find the folio. An old certificate, a dividend warrant or the company's letter. Guides say the Authority's site lets a holder's name be searched.
- Who claims. A nominee where one was registered, a surviving joint holder, or the legal heirs.
- The succession paper. The Authority's answers list a succession certificate, probate of a will or letters of administration.
- Transmission. Companies' pages point heirs to the procedure for transmitting shares to the heir's name.
- The names. The late holder on the certificate against the death certificate. The heir on the succession paper against PAN and Aadhaar.
- The heir's own accounts. A demat account and a bank account in the heir's name, as for any claimant.
A father's certificate reading "SHARMA R K" and a death certificate reading "Ram Kishan Sharma" have to be tied together before a court or a company will act. Read name correction in a death certificate and legal heir certificate, succession certificate name mismatch and will and probate name mismatch.
Why Do Claims Come Back?
From companies' own pages and guides.
| Reason | What to check |
|---|---|
| The signature does not match the company's specimen | Ask the registrar how to update the signature first |
| The folio or demat number is wrong | Copy both from the papers, digit by digit |
| The name on the form differs from PAN | Fill the form as PAN reads |
| The papers are incomplete | Use the company's own checklist |
| The number of shares or the dividend is wrong | Take the figures from the entitlement letter |
| A second claim was filed for the same company | One consolidated claim for a company in a year |
The signature is the quiet one. A holder who signed as a young man in 1991 does not sign that way now. Registrars have their own papers for updating a signature, usually with a banker's attestation. Read unclaimed bank deposit name mismatch, for forgotten money of another kind.
How Does the Central Gazette Route Work?
Use this where the holder has changed a name by choice, so that the folio and today's PAN carry two different names. It does nothing for a spelling, a surname written first or a married surname, which other papers explain.
Step 1: Confirm that it is a change of name, and not a spelling or a married surname
A spelling is explained by proof of the name. A married surname by the marriage certificate.
Step 2: Ask the company's registrar what it accepts as proof of a changed name
Many ask for a Gazette notification for a change by choice.
Step 3: Check whether a Gazette already exists
A holder who changed a name years ago may hold one. A second is not needed.
Step 4: Make the affidavit and publish the newspaper notice
Sign before a notary. Publish in a daily local leading newspaper, and keep the original newspaper.
Step 5: Type the form and sign the undertaking
Two typed copies of the specimen, signed in your old name with two witnesses, and the undertaking.
Step 6: Prepare the CD, photographs and certificate
The same text on a CD in MS Word, two self-attested photographs with identity proof, and a certificate that both copies match.
Step 7: Pay the charge on BharatKosh
Commonly Rs 1,100 for an adult. It is not refunded.
Step 8: Send the file yourself, then update in order
Send it to the Controller of Publications, Department of Publication, Civil Lines, Delhi 110054. Then PAN and Aadhaar, the bank and the demat account, and then the claim.
Which Gazette Should You Use?
The company, its registrar and the Authority are all outside the state. The Gazette of India is the one to use.
Step 1: Remember that every reader here is central
The company, its registrar, the depository and the Authority.
Step 2: Prefer the Gazette of India
It is the one a company in another state recognises.
Step 3: Contact the Roorkee press only if a state notice suits you
Take the contact from govtpress.uk.gov.in and ask if a private change of name notice is being accepted.
Step 4: Ask for the papers, the format and the fee, and submit
Keep photocopies of everything.
Step 5: Download the notice
Search gazettes.uk.gov.in and save the PDF.
To weigh the two, read Uttarakhand Gazette vs Gazette of India.
Which Mistakes Do Claimants Make?
| Mistake | What to do |
|---|---|
| Filing before PAN, Aadhaar, bank and demat agree | Bring the four to one name first |
| Opening the demat account in a different form of the name | Open it as PAN reads |
| Sending papers without asking the registrar's list | Ask first |
| Giving no proof for a surname written first | Send proof of the name, and an affidavit if asked |
| Ignoring the second holder on a joint folio | Each holder's name and papers are needed |
| Filing two claims for one company in a year | One consolidated claim |
| Heirs claiming without a succession paper | Get the paper the Authority lists |
| Getting a Gazette for a married surname | The marriage certificate is the proof |
| Signing away a share of the holding to an agent | Try the claim yourself first |
A typical case we handle: a retired engineer in Haridwar found certificates of a company bought in 1992, in the name "JOSHI B D". The shares had gone to the fund. His PAN read "Bhuwan Chandra Joshi", since his father had recorded him as "Bhuwan Dutt" at school and he had changed it formally in 1998. He held the Gazette of that year. The company's registrar accepted it as proof of the change, with an affidavit on the surname written first. He opened a demat account in his PAN name and filed the claim. He did not need a new Gazette. This is an illustrative example of the type of case we handle, not a named client review.
When you do not need us
For a surname written first, initials, a spelling, a married surname and an heir's claim. Proof of the name, a marriage certificate or a succession paper settles those. We are useful where a holder has changed a name by choice and has no Gazette notification to show.
Which Areas of Uttarakhand Do We Cover?
All 13 districts: Dehradun, Haridwar, Pauri Garhwal, Tehri Garhwal, Rudraprayag, Chamoli, Uttarkashi, Nainital, Udham Singh Nagar, Almora, Bageshwar, Champawat and Pithoragarh. The claim is made online and by post, from anywhere. The Gazette file, where one is needed, is prepared on WhatsApp.
People Also Ask About Names in an IEPF Claim
How do I claim shares from IEPF?
By the online claim form, then papers to the company's nodal officer.
What if my name on old shares differs from PAN?
Give proof of the name on the certificate, or of the change.
Is a gazette needed for an IEPF claim?
Only where the name was changed by choice.
Where are IEPF shares credited?
To the claimant's demat account.
Can legal heirs claim shares from IEPF?
Yes, with a succession paper.
How do I claim shares in my maiden name?
With the marriage certificate and present identity papers.
Has the IEPF-5 claim form changed?
Yes. A revised Form IEPF-5 was notified on 1 October 2025 (G.S.R. 733(E)) and applies to claims filed from 6 October 2025. It adds OTP verification and demat validation.
Is the entitlement letter still compulsory for an IEPF claim?
No longer as an attachment to the form. Under the revised form it is optional, but proof of entitlement such as the share certificate still has to be sent to the company afterwards.
Can someone else file the IEPF claim for me?
The revised form lets a claimant file through an authorised representative, on an authority letter. The representative signs a declaration that the details are complete and correct.
Can I claim only the shares and not the dividend?
Yes. The revised form adds a separate option to claim shares only, besides amount only and shares with amount.
How long does the company take to verify an IEPF claim?
A guide to Rule 7(3) gives 30 days for the company's e-verification report, and 60 days for the Authority to process a verified claim. A rejected form has to be corrected and resubmitted within 15 days.
Who is the nodal officer for an IEPF claim?
A director, the chief financial officer or the company secretary, named by the company under rule 7(2A). Up to five deputy nodal officers may assist.
Find Out If Your Case Needs a Gazette
Send photos of the share certificate and your PAN. We will tell you, free, if the difference is one that proof of the name explains, or a change of name that needs a Gazette notification. For the first there is nothing to pay us for, and we will say so.
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IEPF Claim Name Mismatch: Frequently Asked Questions
What is an IEPF claim name mismatch?
What is the fund?
Is the money or the shares lost?
How is a claim made?
What does the Authority say about a name mismatch?
Do I need a Gazette or an affidavit?
My shares are in my maiden name. What do I give?
The certificate has my surname first, or initials. Is that a mismatch?
Where is the refund paid?
Do I need a demat account?
The shareholder has died. Who claims?
Do heirs have to transfer the shares to their names first?
How many claims can I file?
Why are claims rejected?
Is there a fee, and should I use an agent?
Do you file these claims?
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Who Wrote and Reviewed This Page?
This page is written by the Documentation Desk Team of UttarakhandNameChange.com, the team that prepares Gazette files for people across Uttarakhand.
It is reviewed by Advocate Vipin Chauhan.
The online form, the envelope to the nodal officer, the papers sent, the company's verification report, where the dividend and the shares are credited, the one consolidated claim and the reasons for rejection are from several listed companies' own published procedures. What is asked for on a name mismatch, and the succession papers for a late holder, are from the Authority's answers to common questions as one company reproduces them. The seven years, and the affidavit for a name mismatch, are from guides. We did not read the rules or the answers on the Authority's own site, and did not test the form. How old certificates wrote names, and the signature update, are general. The company's registrar and the Authority are the authority.
Official Sources
- Investor Education and Protection Fund AuthorityThe claim form, its instructions and the Authority's answers.
- Ministry of Corporate AffairsThe portal where the claim form is filed.
- Securities and Exchange Board of IndiaThe market regulator, whose lists of papers registrars follow.
- Income Tax DepartmentPAN, which the claim and the demat account are read against.
- Department of Publication: Change of Name and Public NoticesThe change of name guideline, for the Gazette of India.
Names in an IEPF Claim: The Short Version
Old shares and dividends moved to the fund can be claimed back. The claim joins five names: the folio, PAN, Aadhaar, the bank account and the demat account. Make your own four alike first. Then give the company proof that the folio's name is yours: an old paper for a different form, a marriage certificate for a married surname, a Gazette notification for a change by choice. Heirs add a succession paper. The company verifies, and the Authority pays.
A spelling needs no Gazette. To find out if your case needs one, send photos on WhatsApp 9540005064, and we will reply in working hours.
The Folio Keeps the Old Name. Bring Proof That It Is Yours.
Send the share certificate and your PAN on WhatsApp. We tell you, free, what proof the difference calls for.