REGISTERS UNDER THE COMPANIES ACT, 2013

# FORM NAME NAME OF REGISTER RELEVANT SECTION & RULE

S.88(1)(a) & R.3(1) OF COS (MANAGEMENT & ADMINISTRATION)
1 MGT-1 Register of Members
RULES, 2014
Register of Debenture Holders/ Other Securities S.88(1)(b) & (c) AND R.4 OF COS (MANAGEMENT & ADMINISTRATION)
2 MGT-2
Holders RULES, 2014
Register of Directors and Key Managerial Personnel S.170 & R.17 OF COS (APPOINTMENT & QUALIFICATION OF
3 REGISTER
and Their Shareholding (Alternative 1) DIRECTOR) RULES, 2014
Register of Directors and Key Managerial Personnel S.170 & R.17 OF COS (APPOINTMENT & QUALIFICATION OF
4 REGISTER
and Their Shareholding DIRECTOR) RULES, 2014
S.46(3) & R.6(3)(a) OF COS (SHARE CAPITAL & DEBENTYRE) RULES,
5 SH-2 Register of Renewed and Duplicate Share Certificate 2014

6 SH-3 Register of Sweat Equity Shares S.54 & R.8(14) OF COS (SHARE CAPITAL & DEBENTURE) RULES, 2014

7 SH-6 Register of Employee Stock Option S.62(1)(b) & R.12(10) OF COS (SHARE CAPITAL & DEBENTURES) RULES,
2014
S.68(9) & R.17(12) OF COS (SHARE CAPITAL & DEBENTURES) RULES,
8 SH-10 Register of Shares/Other Securities Bought Back
2014

9 CHG-7 Register of Charges S.85 & R.10(1) OF COS (REGISTRATION OF CHARGES) RULES, 2014

Register of Loans, Guarantee, Security And Acqisition S.186(9) & R.12(1) OF COS (MEETINGS OF BOARDS & ITS POWERS)
10 MBP-2
Made By Company RULES, 2014
Register of Investment Not Held In Its Own Name By S.187(3) & R.14(1) OF COS (MEETINGS OF BOARDS & ITS POWERS)
11 MBP-3
The Company RULES, 2014
Register of Contracts With Related Party And
12 MBP-4 Contracts And Bodies Etc. In Which Directors Are S.189(1) & R.16(1) OF COS (MEETINGS OF BOARDS & ITS POWERS)
RULES, 2014
Interested
Section 73 and Rule 14 of the Companies (Acceptance of Deposits)
13 Register of Deposits Register of Deposits
Rules, 2014

14 Register Of Fixed Assets Register Of Fixed Assets CARO 2016

 Share & Debenture Applications And Allotment
15 Applications And Allotment Register Section 88 of Companies Act, 2013
Register

16 Register Of Proxies Register Of Proxies Section 105 of Companies Act, 2013

Section 88 (2) and Rule 6 of the Companies (Management and

17 Index of Members
18 Share Transfer
19 FORM PAS-5
Index of Members
Administration) Rules, 2014
Register of Share Transfers u/s 56 Section 56 of Companies Act, 2013
Record of a private placement offer to be kept by the (Section 42(7) and Rule 14(3) of Companies (Prospectus and
company Allotment of Securities) rules, 2014)

Abbreviations:
S = Section COS = Companies
R = Rules
 Form No. MGT - 1
Register of members
[Pursuant to section 88 (1)(a) of the Companies Act, 2013 and rule 3(1) of the Companies (Management and Administration) Rules, 2014]
Name of the company:
Registered office address:
(TO BE MAINTAINED SEPARATELY FOR EACH CLASS OF SHARES)
Class of shares:
Nominal value per share (in Rs.):
Total shares held:

FOLIO NO.

Personal details In case member is a minor,

Name of the member : Name of Guardian :
Name of joint holders, if any : Date of birth of minor :
Address/ Registered address (in case of body corporate) : Date of becoming member :
E-mail Id : Details of membership
CIN/ Registration No. : Date of declaration under section 89, if applicable :
Unique Identification No : Name and address of beneficial owner :
Father’s/ Mother’s/ Spouse’s name : Date of receipt of nomination, if applicable :
Status : Name and address of nominee :
Occupation : No. of shares kept in abeyance, if applicable :
PAN No. : Record of lien on shares, if applicable :
Nationality : Date of cessation of membership :

Instructions
Particulars of dividend mandates, power of attorney and other instructions, if any:
Instruction for sending notices etc., if any:
Details of share holding

If shares No. of Balance

Distinctive numbers (both are issued Date of shares Distinctive numbers shares (after
Date of issue Amount (Rs) for transfer/ transferred/
Allotment No. of inclusive) (both inclusive) transfer /
No./ Date of shares Folio of Name of the or Certificate Lock in considerati transmissio transmitted Folio of Name of transmissio Authentication /
allotment/ transferor, if transferor, if endorsement on other n/ Remarks
Transfer allotted/ No. period, if any / transferee transferee n/ forfeiture signature
No. transfer transferred applicable applicable of share than cash, forfeiture / forfeited /
certificate brief redemptio /redeemed redemption
particulars n etc etc etc)
thereof
Paid /
From To Payable Deemed to Due From To
be paid
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18) (19)
 Form No. MGT - 2
Register of debenture holders/ other securities holders
[Pursuant to section 88(1)(b) and ( c) of the Companies Act, 2013 and rule 4 of the Companies (Management and Administration) Rules, 2014]
Name of the company:
Registered office address:
(TO BE MAINTAINED SEPARATELY FOR EACH CLASS OF DEBENTURES / OTHER SECURITIES IN RESPECT OF EACH HOLDER)
Class of debentures / other securities:
Nominal value per unit (in Rs.):
Total no. of debentures / other securities held:

FOLIO NO.

Personal details In case debenture holder/other security holder is a minor:

Name of the the debenture holder/other security holder: Name of Guardian :
Name of joint holders, if any : Date of birth of minor :
Address/ Registered address (in case of body corporate) : Details of membership
E-mail Id : Date of becoming debenture holder/ other security holder :
PAN/CIN/ Registration No. : Date of receipt of nomination :
Unique Identification No : No. of debentures / securities kept in abeyance, if any :
Father’s/ Mother’s/ Spouse’s name : Record of lien on debentures / securities , if any :
Occupation, if any :
Nationality : Date of cessation as debenture holder/ other security holder :

Details of Security
Whether repayment of the debentures / other securities is secured: Yes / No
If secured, date of registration of charge with the ROC :
Charge Identification Number allotted for the charge :
Brief particulars of the assets to secure such debentures / other securities:

Instructions
Particulars of interest mandates, power of attorney and other instructions, if any:
Instruction for sending notices of class meetings, etc., if any:

If
debentures Date of Balance
No. of Distinctive numbers (both / other transfer/ No. of units Distinctive numbers units left
inclusive) Amount (Rs) securities transmissio (both inclusive)
Allotment debentures / transferred/ (after
No./ Date of other Folio of Name of the Date of issue / Certificate issued for n/ transmitted Folio of Name of transfer, Other
allotment/ transferor, if transferor, if endorsement considerati Authentication
Transfer transfer securities applicable applicable of certificate No. on other redemptio / transferee transferee transmissio remarks
No. allotted/ than cash, n forfeiture forfeited n,
transferred brief of /redeemed redemption
particulars securities etc)
Paid / thereof
From To Payable Deemed to Due From To
be paid
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18)
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NAME

Register of Directors and Key Man

[Pursuant to section 88 (1)(a) of the Companies Act, 20

Director Spouse's
Identification Any Former Father's Mother's Name (If
Number (DIN) Present Name Name Or Name And Name And Married) Date Of Present
(optional for key And Surname In Surname In Surname In Surname in Name And Birth Address
Full
managerial Full Full Full Surname In
personnel) Full

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 NAME OF COMPANY PRIVATE LIMITED
CIN
ADDRESS, CITY
CITY - PINCODE, STATE

ister of Directors and Key Managerial Personnel and their Shareholding (Alternative Format)
1)(a) of the Companies Act, 2013 and rule 3(1) of the Companies (Management and Administration) Rules, 2014]

Nationality Date Of The Date Of

Appointment
(Including The Board Resolution And Date Of Cessation
Permanent Address Nationality Of Occupation In Which The Reappointment Of Office And
Origin,If Appointment Reasons Therefor
Different) Was Made In The
Company
les, 2014]

Office Of Membership Permanent

Director Or KMP Number Of The Account Number
Held Or ICSI In Case Of (Mandatory For
Relinquished In Company Key Managerial Remark
Any Other Body Secretary , If Personnel If Not
Corporate Applicable Having DIN)
 Register of Directors and Key Managerial Personnel and their Shareholding
[Pursuant to section 88 (1)(a) of the Companies Act, 2013 and rule 3(1) of the Companies (Management and Administration) Rules, 2014]
Name of the company:
Registered office address:
(TO BE MAINTAINED SEPARATELY FOR EACH DIRECTOR AND KMP)

Director Identification Number Nationality (including the nationality of origin, if different) :

(optional for key managerial personnel)
Present name and surname in full
Any former name or surname in full
Father's Name
Mother's Name
Spouse's Name (If married)
Date of birth
: Occupation :
: Date of the board resolution in which the appointment was made :
: Date of appointment and reappointment in the company :
: Date of cessation of office and reasons therefor :
: Office of director or KMP held or relinquished in any other body corporate :
: Membership number of the ICSI in case of Company Secretary, if applicable:
: Permanent Account Number (mandatory for KMP if not having DIN) :

Residential address:
Present: Permenent:

Details of securities held in the Company, its holding company, subsidiaries, subsidiaries of the company’s holding company and associate companies:

Cumulative
Other Other balance and Mode of holding Securities have been
Number of Description Nominal Price paid for consideration Date of Price received consideration Mode of
number of acquisition – physical or pledged or any
S. No. Name of the Company Value of Date of Acquisition acquisition of of
Securities of Securities Securities securities paid for disposal on disposal received on securities held securities dematerialized encumbrance has been
acquisition disposal after each form created
transaction

(1) (2) (4) (5) (6) (7) (8) (9) (9) (11) (12) (13) (14) (15) (16)
 Form No. SH - 2
Register of Renewed and Duplicate Share Certificates
[Pursuant to sub-section (3) of section 46 of the Companies Act, 2013 and rule 6(3)(a) the Companies (Share Capital and Debentures) Rules 2014]

Date of Date of Total

approval of Date of issue Total number of issue of Number of the Number of Reference to
Name of the person(s) to whom issue of of original Original share shares in the Distinctive No. of shares Reasons for issue of
Renewed/ Renewed/ Renewed share Shares in the entry in
S.No Folio No. Renewed / Duplicate share Renewed/ Class of shares certificate Duplicate Share Renewed/ Remarks
certificate is issued Duplicate share number Original Share Duplicate Certificate certificate, if Duplicate Register of
certificate Certificate Share applicable Members
share Certificate Share
certificate Certificate
From To
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15)
 Form No. SH - 3
Register of Sweat Equity Shares
[Pursuant to section 54 of the Companies Act, 2013 and rule 8(14) of the Companies (Share Capital and Debentures) Rules 2014]

Total consideration paid, if

Date of the any, by the employee /
Status of the special director Date of
Reference Date of Date of issue Price at
allottee – resolution Number of sweat Certificate Face Amount to expiry Fair value
S.No to entry in Name of the allottee whether passing of authorizing of sweat equity shares No. / Folio value of which the be treated Lock in of lock- Remarks, if Date of obtained Basis of Name of Valuer
register of director or Board the issue of equity issued No. the share shares are as paid up period in- any Joining by Valuer Valuation
members resolution shares issued Particulars of
employee sweat equity Consideratio period
n received in consideration
shares other than
cash
cash

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18) (19) (20) (21)
 Form No. SH - 6
Register of Employee Stock Options
[Pursuant to clause (b) of sub-section (1) of section 62 of the Companies Act, 2013 and rule 12(10) the Companies (Share Capital and Debentures) Rules 2014]
Name of Company:
Registered office address:
Date of special resolution:

Date on Date on Number of Folio No. of

shares arising Lock in Option Total number Amount forfeited/ Any variation of
S.No Name of the grantee Number of which Exercised which Options Exercise price as result of Register of Signature Remarks
options granted options period options exercised members having period, if lapsed, if of options in refunded if option terms of the scheme
vested exercised exercise of respective entry any any force is not exercised and its effects
option

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17)
 Form No. SH - 10
Register of shares or other securities bought-back
[Pursuant to sub-section (9) of section 68 of the Companies Act, 2013 and rule 17 (12) of the Companies (Share Capital and Debentures) Rules 2014]
Name of Company:
Registered office address:

1. Date of passing of special resolution at the meeting of the members authorizing buy-back of securities :
2. Date of approval by the Board :
3. Number, price and amount of shares or other specified securities authorized to be bought back :
4. Date of opening and closing of buy-back offer :
5. Date by which buy-back was completed :
6. Description of shares or other specified securities bought back by the company :

Date of/
Folio number / DP Id/ cancellation /
client ID number or Number of Price at which Amount paid Cumulative extinguishment Reference to
S.No certificate number of Name of last holder of *Category to Date of buy- securities **Mode of buy- Nominal value securities are Date of for bought total of and physical entry in Remarks
securities which they belong back back of securities payment back securities Register of
securities bought- bought- back bought back destruction of
back securities bought-back securities bought- members
back

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15)

*Indicate the category of securities that have been bought back: Preference shares or Equity shares or Employees’ Stock Option shares or Sweat equity shares, etc

**Indicate whether the securities have been bought back from:  the existing security-holders on a proportionate basis  the open market  odd-lots of listed securities  Employees’ Stock Option  Sweat equity  any other mode, if so indicate the mode

2. Other relevant details, if any.

Signature of the authorized signatory

Place: Name of the Person:
Date: Designation:
 Form No. CHG - 7
Register of charges
[Pursuant to section 85 sub-rule (1) of rule 10 of the Companies (Registration of Charges) Rules, 2014]

Date of
creation of Date of Description of Date of Date of Description Date of Facts and date Reasons for delay in
charge or date registration Short description of the Period and Names and addresses Particulars of the terms the modificati registration of the Particulars of Date of registration of filing for registration of
S.No Charge ID of acquisition of creation of property charged amount secured of the charge holder and conditions of the instrument on of of instrument modification satisfaction of condonation creation, modification
of property by the charge charge creating the modificatio modifying or satisfaction of the
subject to charge charge charge n of charge the charge satisfaction of delay, if any charge, if any
charge

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17)

Place: Signature
Date: MD/Director/Secretary/Whole time Director
 Form MBP - 2
Register of loans, guarantee, security and acquisition made by the company
[Pursuant to section186(9) & rule 12(1)]

% of loan/
Nature of Date of acquisition /exposure Cost of
transaction making Name and address of the on guarantee/ security Date of acquisition
person or body corporate to Amount of For loans Nominal (in case of Selling price
(whether loan/acquisi whom it is made or given or loan/ security/ Time period Purpose of provided to the paid up Date of passing Number Date of
loan/ tion / giving for which it is loan/acquisition capital, free reserves passing Board special and kind of value and securities selling of (how the Signatures and Remarks
guarantee/ guarantee/ whose securities have been acquisition made/ given /guarantee/ security and securities premium resolution resolution, if securities paid up how the investment price was
security/ providing acquired /guarantee account and % of free required value purchased arrived at)
(Listed/Unlisted entities) price was
acquisition) security reserves and securities arrived at)
premium
Rate of Date of
interest maturity
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17)

Place: Signature
Date: MD/Director/Secretary/Whole time Director
 Form MBP - 3
Register of investments not held in its own name by the company
[Pursuant to section 187(3) and rule 14(1)]

Date of the Name of the

board person/ Address and E- Name of the
mail id of person / Client Face value Paid up Number of Sale Balance
S. No resolution Date of depository in depository Purpose of company or body Class of Number of ID / DP of value of Cost of Date of securities consideratio securities Remarks, if any
authorising investment whose name investment corporate in which securities securities acquisition disposal
such investment is in whose name investment is made No. securities securities disposed off n left, if any
investment held investment is held

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18)

Signature
MD/Director/Secretary/Whole time Director
 Form MBP - 4
Register of contracts with related party and contracts and Bodies etc. in which directors are interested
[Pursuant to section 189(1) and rule 16(1)]

A. Contracts or agreements with any related party under section 188 or in which any director is concerned or interested under sub- section (2) of section 184

Details of voting on such resolution Date of the Reference

Relation with next of specific Amount of Date of
Name of the director/ Whether the Date of meeting at
Date of party with Name of the company/ Principal terms and transaction is approval at which items – (a) contract or share Remarks, if
contract / which contract interested Nature of conditions at arm’s the meeting register to (g) under arrangeme holders Signature any
arrangement director sub-section approval if
is entered into concern or length basis of the Board was placed nt
interest for (1) of any
signature section 188
No. of
Directors Directors Directors Directors
voting in voting remaining
present in favour against neutral
the meeting

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17)

B. Name of the bodies corporate, firms or other association of individuals as mentioned under sub-section (1) of section 184, in which any director is having any concern or interest

Names of the Companies /bodies Nature of interest or concern / Change in Shareholding Date on which interest or concern
corporate/ firms/ association of individuals Name of the interested director interest or concern (if any) arose / changed

Place: Signature
Date: MD/Director/Secretary/Whole time Director
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Name, Address and PAN of the Particulars of Guardian, in Case of a Particulars of the Nominee
Depositor/s Minor

(1) (2) (3)

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 NAME OF COMPANY PRIVATE LIMITED
CIN
ADDRESS, CITY
CITY - PINCODE, STATE

Specimen Proforma
Register of Deposits

Deposit Receipt No. Date Anount of Deposit Period Date of Maturity Rate of Interest

(4) (5) (6) (7) (8) (9)

Due Dates for Interest Special Remarks 1 Remarks 2
Payment Instructions

(10) (11) (12) (13)

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Sr. No. Name of Asset Gross Block/ gross Net Block/ Written Useful Life As
value of asset as on down value of asset per Companies
the beginning of the as on Act, 2013
year

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 NAME OF COMPANY PRIVATE LIMITED
CIN
ADDRESS, CITY
CITY - PINCODE, STATE

REGISTER OF FIXED ASSETS

Purchase/Additions Date of Sale/Deletions Date of Date of acquisition Life Expired till

During the year Purchase/Addi during the year Sale/Deletion of Asset the end of the
tions During (actual sale during the year year
the FY Year price)
E LIMITED

TE

SETS

Remaining Life WDV Rate of Depreciation till Depreciation for Accumulated Residual/scrap
of asset as on depreciation as per the end of previous the year depreciation as Value
end of the year Companies Act year on the end of the
2013 year
 Gross Block/ Net Block/ Profit and loss
gross value of Written down on sale of asset
asset as on the value value of (If any)
end of the year asset as on the
end of the year
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NAME OF

SHARE APPLICA

Application No. &

Name and Address Description No. of Shares Applied for
Date

NAME OF

DEBENTURE APPLI

Application No. & No. of Debentures

Date Name and Address Description Applied for

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 NAME OF COMPANY PRIVATE LIMITED
CIN
ADDRESS, CITY
CITY - PINCODE, STATE

SHARE APPLICATIONS AND ALLOTMENT REGISTER

Distinctive Number of Shares Total Amount in

Date of No. of Shares Allotted
Amount paid respect of Shares
Allotment Allotted
Allotted
From To

NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE

DEBENTURE APPLICATIONS AND ALLOTMENT REGISTER

Distinctive Number of
Debentures Allotted
Total Amount in
Date of No. of Debentures
Amount paid Allotment Allotted respect Debentures
Allotted

From To
 Refer ot text book page no69

Further Amount Amount

Remarks
payable Returnable

Further Amount Amount

payable Returnable Remarks
Refer ot text book page no69
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NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE
REGISTER OF PROXIES

Sr. No. Name of Members Folio No. No. of Shares held Name of Proxies

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ANY PRIVATE LIMITED
CIN
RESS, CITY
NCODE, STATE
R OF PROXIES

Date & Time of Receipt of

proxy form Initials Remarks
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NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE

Index of Members

S.No. Name of Members L.F. No.

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

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NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE

REGISTER OF SHARE TRANSFERS U/S 56

Date of Date of Folio of Name of Total Share Distinctive Distinctive Amount Total
S.No. Transfer Board Transferor Transferor Transferre No. From No. To paid per Considera
Resolution d Share tion

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PRIVATE LIMITED

CITY
DE, STATE

RANSFERS U/S 56

Transfer Certificate
Folio Transferee fee Signature No. Remarks

NAME
ADDRESS
CITY – PIN CODE
STATE
NAME
ADDRESS
CITY – PIN CODE
STATE
NAME
ADDRESS
CITY – PIN CODE
STATE
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NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE

FORM PAS-5
(Section 42(7) and Rule 14(3) of Companies (Prospectus and Allotment of Securities) rules, 2014)
RECORD OF A PRIVATE PLACEMENT OFFER TO BE KEPT BY THE COMPANY

i
ii
iii
iv
v
vi

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NAME OF COMPANY PRIVATE LIMITED

CIN
ADDRESS, CITY
CITY - PINCODE, STATE

FORM PAS-5
(Section 42(7) and Rule 14(3) of Companies (Prospectus and Allotment of Securities) rules, 2014)
RECORD OF A PRIVATE PLACEMENT OFFER TO BE KEPT BY THE COMPANY

Name of the Company:

Registered office:
CIN:

DETAILS OF PRIVATE PLACEMENT OFFER:

Date when approval of the relevant authority (board or the shareholders, as the case may be) obtained for the current Private
Placement Offer Letter:

Amount of the offer:

Date of circulation of Private Placement Offer Letter:

Details of the persons to whom Private Placement Offer Letter has been circulated:

Name
Father’s Name
Address
Phone no
Email ID
Initial of the Officer of the company designated to keep the Record

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.