FORMS UNDER COMPANIES ACT, 2013

Form Type of
Numbe Description
Forms
r
INC 1 Application for reservation of name e-Form

INC 3 Consent of Nominee as regards One Person Company e-Form

INC 4 Change of nominee as regards One Person Company e-Form

INC 5 Intimation by One Person Company for exceeding prescribed threshold more than Rs 50 lakh of share capital or Rs 2 e-Form
crore of turnover
INC 6 Conversion of private limited company into an OPC or vice versa e-Form

INC 8 Declaration by an Advocate, Chartered Accountant, Cost Accountant or Company Secretary in practice that all Physical
requirements of the companies act and rules pertaining to incorporation have been complied with
Declaration by each of the subscribers to the memorandum and each of the first directors named in the articles that he
INC 9 has not been convicted of any offence for the preceding 5 years and that all the documents filed with the Registrar are Physical
true and accurate.
INC 11 Certificate of Incorporation Physical

INC-
Certificate of Incorporation on conversion from unlimited company to limited company Physical
11A

INC-
Certificate of Incorporation on conversion from a company limited by guarantee to a company limited by shares Physical
11B

INC 13 Memorandum of Association Physical

Declaration by an Advocate, a Chartered Accountant, Cost Accountant or Company Secretary in practice, that the
INC 14 articles of association have been drawn up in conformity with the provisions of Section 8 and rules made thereunder Physical
and that all the requirements concerning the Act and the rules made thereunder in relation to registration of the
company under Section 8 and matters incidental or supplemental thereto have been complied with.
INC 15 Declaration by each of the persons making the application(Section 8 companies) Physical

INC
Licence issued under Section 8 Physical
16/17

INC
Declaration given by the director for the commencement of business for a company e-Form
20A

INC 22 Notice for change of situation of the registered office of the company and its verification e-Form

INC 22
Active Company Tagging Identities and Verification(ACTIVE) e-Form
A

INC 24 Application to the Central Government for approval for change in the name of the company e-Form

INC 25  A new certificate of incorporation subsequent to change in name Physical

INC
Advertisement to be published in a newspaper when a public company is converted into a private company  Physical
25A

INC 26 Advertisement to be published in newspaper for change in the registered office from one State Government or Union Physical
territory to  another
INC 27 Transformation of a public company into a private company and vice versa, including company limited by guarantee e-Form
to a company limited by shares 
INC 28 Notice of the order of the court/any other competent authority e-Form

INC 32 Simplified Proforma for Incorporating Company electronically (SPICe) e-Form

INC 33 e-Memorandum of association e-Form

INC 34 e-Articles of association e-Form

INC 35 Application for Goods and services tax Identification number, employees state Insurance corporation registration plus e-Form
Employees provident fund organisation registration(AGILE-PRO)
RD 1 Application to the regional director for change in a financial year or the conversion of a public company into a private e-Form
 FORMS UNDER COMPANIES ACT, 2013
company
RD Form for rectification of mistakes pertaining to change in a financial year or for the conversion of a public company e-Form
GNL 5 into a private company
SH 10 Register of shares or other securities bought back Physical

DPT 3 Return of deposits e-Form

DPT 4 Statement on existing deposits as on the date of commencement of the companies act Physical

CHG 1 Application to register the creation or modification of charge (other than debentures) e-Form

CHG 2 Certificate of registration of charge Physical

CHG 3 Certificate of modification of charge Physical

MGT 1 Register of members of the company Physical

MGT 2 Register of Debenture Holders or Any Other Security Holders Physical

MGT 3 Notice or the change in the situation or discontinuation of a location where a foreign register is kept Physical

MGT 9 Extract of the annual return  Physical

MGT
Appointment of proxy for a meeting Physical
11

MGT
Polling paper in the meeting Physical
12

MGT
Scrutinizer’s report to the Chairman pertaining to the poll of the meeting Physical
13

MGT
Filing of company resolutions and agreements with the Registrar  e-Form
14

MGT
Form for filing report on the Annual General meeting Physical
15

BEN 1 Declaration by the significant beneficial owner in case of an individual Physical

AOC 1 Statement containing salient features of financial statements of subsidiaries/ associates/joint ventures Physical

AOC 2 Details containing contracts or arrangements entered into with related parties Physical

AOC 3 Statement containing salient features of the audited financial statements  Physical

AOC Detailed statement on the financial statements to be filed by companies complying with the Companies (Indian
3A Accounting Standards)Rules 2015
AOC 4 Form to file a financial statement and other documents of the company with the Registrar e-Form

AOC 4
XBRL document in respect of financial statement and other documents to be filed with the Registrar  e-Form
(XBRL)

AOC 4
Form to file consolidated financial statements and other documents with the Registrar e-Form
CFS

AOC 4
Form for NBFCs to file financial statement and other documents with the Registrar  e-Form
NBFC

AOC 5 Notice to declare the address of the location in which the books of accounts are maintained e-Form

ADT 1 Form to inform the Registrar regarding the appointment of auditor by the company e-Form

ADT 2 Application for removing the auditor before the expiry of their term by the company e-Form

ADT 3 Notice of resignation of auditor e-Form

 FORMS UNDER COMPANIES ACT, 2013

ADT 4 Form to report any suspected fraud by the auditor to the Central Government Physical

CRA 1 Maintenance of cost records by certain companies Physical

CRA 2 Form for intimation of appointment of cost auditor by the company to Central Government e-Form

CRA 3 Format of the cost audit report  Physical

CRA 4 Form for filing cost audit report with the Central Government e-Form

THRESHOLD LIMITS UNDER COMPANIES ACT, 2013

Sl. Provision Section Applicable Threshold Limit Prescribed for the Provision
No.
1. Certification of Section 92 of Companies Act,      1. All listed companies, or
Annual Return by 2013 read with Rule 11(2) of      2. Any company having a paid-up share capital of Rs. 10 crore
a Company Chapter VII – Companies or more or a turnover of Rs.50 crore or more.
Secretary (Management and
Administration) Rules, 2014
2. Corporate Social Section 135 of Companies      1. Every company having a net worth of Rs.500 crore or more,
Responsibility Act, 2013 or
Committee       2. Every company with a turnover of Rs.1000 crore or more,
or
     3. Every company with a net profit of Rs.5 crore or
more, during the immediately preceding financial year.
3. Internal Auditor Section 138 of Companies      1. Every listed company,
Act, 2013 read with Rule      2. Every unlisted public company having – 
13(1) of Chapter IX –        i) Paid-up share capital of Rs.50 crore or more during the
Companies (Accounts) Rules, preceding financial year, or
2014      ii) Turnover of Rs.200 crore or more during the preceding
financial year, or 
     iii) Outstanding loans or borrowings from banks or from
public financial institutions exceeding Rs.100 crore or more at
any point of time during the preceding financial year, or 
     iv) Outstanding deposits of Rs.25 crore or more at any point of
time during the prior financial year,
     3. Every Private Company having – 
     i) Turnover of Rs.200 crore or more during the preceding
financial year, or
     ii) Outstanding loans or borrowings from banks or public
financial institutions exceeding Rs.100 crore or more at any point
of time during the preceding financial year.
4. Appointment & Section 139 of Companies Act      1. All listed companies, or
Reappointment of read with Rule 5 of Chapter X      2. Every unlisted public company having paid-up share capital
Auditor – Companies (Audit and of Rs.10 crore or more, or
Auditors) Rules, 2014      3. All private limited companies having paid-up share capital
of Rs.20 crore or more, or
     4. Every company which has borrowed from financial
institutions, banks or public deposits of Rs.50 crore or more.
5. Women Director  Section 149 of Companies      1. All listed companies, or
Act, 2013 read with Rule 3 of      2. All other public companies having a paid-up share capital of
Chapter XI – Companies Rs.100 crore or more, or
(Appointment and      3. All other public companies having a turnover of Rs.300
Qualification of Directors) crore or more.
Rules, 2014
6. Independent Section 149 of Companies Act      1. Every listed company, or
 FORMS UNDER COMPANIES ACT, 2013
Director read with Rule 4 of Chapter
XI – Companies
(Appointment and
Qualification of Directors)
Rules, 2014
7. Auditors Section 177 of Companies
Committee Act, 2013 read with Rule 6 of
Chapter XII – Companies
(Meetings of Board and its
Powers) Rules, 2014
8. Nomination and Section 177 of Companies
Remuneration Act, 2013 read with Rule 6 of
Committee Chapter XII – Companies
(Meetings of Board and its
Powers) Rules, 2014
9. Vigil Mechanism Section 177 of Companies Act
read with Rule 7 of Chapter
XII – Companies (Meetings of
Board and its Powers) Rules,
2014
10. Key Managerial Section 203 of Companies Act
Personnel read with Rule 8 of  Chapter
XIII – Companies
(Appointment and
Remuneration of Managerial
Personnel) Rules, 2014 
11. Whole-time Section 203 of Companies
Company Act, 2013 read with Rule 8A
Secretary of Chapter XIII – Companies
(Appointment and
Remuneration of Managerial
Personnel) Rules, 2014
     2. All public companies having paid-up share capital of Rs.10
crore or more, or 
     3. Public companies having a turnover of Rs.100 crore or
more, or
     4. All public companies which have, in aggregate, outstanding
loans, debentures and deposits, exceeding rupees Rs.50 Crore.
     1. Every listed company, or
     2. Every public company having a paid-up share capital of
Rs.10 crore or more, or
     3. Every public company having a turnover of Rs.100 crore or
more, or
     4. Every public company having in aggregate, outstanding
loans or borrowings or debentures or deposits exceeding Rs.50
crore or more.
     1. Every listed company, or
     2. Every public company having a paid-up share capital of
Rs.10 crore or more, or
     3. Every public company having a turnover of Rs.100 crore or
more, or
     4. Every public company having in aggregate, outstanding
loans or borrowings or debentures or deposits exceeding Rs.50
crore or more.
     1. Every listed company, or
     2. All companies accepting deposits from the general public,
or
     3. All companies which have borrowed money from banks and
public financial institutions above Rs.50 crore or more.
     1. Every listed company, or
     2. All other public companies having a paid-up share capital of
Rs.10 crore or more.
     1. Every listed company, or
     2. All other public companies having a paid-up share capital
Rs.10 crore or more, or
     3. All other private companies having a paid-up share capital
of Rs.10 crore rupees or more.
 FORMS UNDER COMPANIES ACT, 2013
12 Cost Auditor Section 148 of Companies
Act, 2013 and Rule 3 of
Companies (Cost Records and
Audit) Rules, 2014

13 Certificate in 1. Every listed company

Form No. MGT-8 2. All companies
certified by PCS a. With paid up share capital of 10 crore or more OR
b. Turnover of 50 crore or more

14 Voting by 1. Every listed company

electronic means 2. Every company having not less than 1000 members.
to be provided in
the general
meeting
15 Rotation of Section 139(2) of Companies 1. Every listed company
individual/audit Act, 2013 and Rule 5 of 2. Every class of company as may be prescribed:
firm as auditor of Companies (Audit and a. All public companies having paid up share capital of 10
the company Auditors) Rules, 2014 crores or more
b. All private companies having paid up share capital of 50
crores or more
c. All companies having public borrowings form FIs, banks
of 50 crore or more.

16 Cash Flow Section 2(40) of Companies All companies except  One Person Company, small company and
Statement Act, 2013 dormant company

17 CARO 2020 1. All companies listed with any Stock Exchange(s) in India.
2. All Public Limited Companies.
3. Private Limited Company if fulfil any of below mentioned
condition:
Its paid up capital and reserves exceed Rs.50 lacs
Its turnover exceed Rs.5 Crores;
Its outstanding loan from any bank or financial institution
exceeds Rs.25 lacs.
Companies Exempt from CARO requirements:
a. A banking company
b. An insurance company
c. A company registered u/s. 25 of the Act.