General Instructions for filling Delivery Instruction Slip (DIS)

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1 General Instructions for filling Delivery Instruction Slip (DIS) Delivery Instruction slip are being used to transfer securities from one demat account to another demat account.. All relevant portions must be duly filled in the DIS (sample attached). The DIS should preferably be filled in black / blue pen and any portion of the DIS which is not applicable to the account holder must be clearly struck off. Separate DIS is to be filled for transferring shares to different demat accounts. If the DIS is complete in all respect, then acknowledgement of the DP should be given to the BO. Date of receiving the DIS should be written on the acknowledgement given to the BO. All corrections on the DIS must be duly authenticated by the account holder (s) by affixing his/her signature near the place of the correction. All signatures must be done using a ballpoint pen or an ink pen only. Sketch pens and marker pens should not be used for signing. Use of whiteners / correction fluids anywhere on the DIS form must be avoided in entirety. Ensure that the client has sufficient amount of credit balance in his account before accepting the DIS. The charges for per ISIN are as applicable DP tariff assigned to the client. The normal charges are : 0.04% of the value or Rs per ISIN whichever is higher plus applicable Service Tax (Current rate being 12.36% on DP Charges) Abbreviation used in DIS: DP ID : BO : CM : CM ID : CMBP ID : Counter DP ID : Depository Participant ID Beneficiary Owner (Demat Account Holder) Clearing Member (Broker Pool Account) Clearing Member ID no. Clearing Member Broker Pool ID Depository Participant ID of demat account where the shares getting transferred.

2 Sample of Instruction Slip for Delivery / Receipt sbicap securities 1 Serial No: Delivery Receipt Date : / /20 DP ID and DP SEBI Reg. No. IN-DP-CDSL , Maker Tower F, Cuffe Parade, Mumbai INSTRUCTION SLIP FOR DELIVERY / RECEIPT Tel. : Fax : (To be filled in duplicate) I/We request you to debit / credit my / our account as under 3 BOID 4 First / Sole Holder s Name Sr.No. Instructions Reference No. ISIN Security Name Quantity In Figures Quantity In Words (to be filled by DP) 1 IN IN 3 IN 4 IN 5 IN Total Instructions Issued (In Words only) 8 If transfer from BO (Investor) account to another BO (Investor) account and NOT RELATED to Stock Exchange Transactions: Execution Date (Not CMID (Applicable for Early Applicable for Early Pay-In Please mention consideration amount in Rs. OR Pay-In and Normal Pay-In) and Normal Pay-In) Please Specify reason:- Gift Transfer between two accounts of same holder 9 Transfer between family members Others (explain) Instruction Type Settlement Details Exchange Name Settlement / Market Type Settlement Number Counter DP ID / CM BP ID Counter Client ID Counter BO / CM Name Counter Settlement Details Exchange Name Settlement / Market Type Settlement Number -: Fill the relevant columns :- 12 Account Transfer - With in CDSL (Transaction) 13 Account Transfer - Outside CDSL (Inter Depository) 14 Market Trades (Settlements) BO-BO BO-CM, CM-BO, CM-CM BO-BO BO-CM, CM-BO, CM-CM Early Pay-In Normal Pay-In Optional Optional SBICAP Securities Limited. SAMPLE CM-CM CM-CM - : Blank & Signed Delivery Instruction Slips should not be left with your DP/Broker : - 15 For SBICAP Securities Limited Use Only Internal Ref. No. Signature Verified By Transaction Entered By Mobile No :- 16

3 1. SBICAP DP-ID and SEBI Registration No. : Our DP id and the SEBI registration No. will be preprinted before the booklet is issued to client. 2. Delivery / Receipt: Tick on appropriate column Delivery: When the Demat Account Holders request to DEBIT the shares from his/her account to other Demat Account. Receipt: When the Demat Account Holders approves to get CREDIT of shares to his/her account. If "confirmation is not waived" in the Demat Account, the holder has to furnish DIS for receiving the shares to his account. This option most commonly used by Institutional Clients. 3. Date: Specify the date of submitting the DIS. This should be the same or earlier from the Execution Date. Future date in this column will not be accepted. 4. BO A/c No. and Name: Client Name and A/c No. will be pre-printed before the booklet is issued. 5. ISIN: Specify the ISIN (International Securities Identification Number) of Security to be transferred. Confirm this with transaction statement. Be careful in specifying the correct ISIN as various securities issued by Issuer/Company have different ISINs. 6. Security Name: Specify the name of the security to be transferred. 7. Quantity (in Figures and Words): Specify the quantity in figures as well in words. 8. Total Instructions used (in Words Only): Specify the total no. of ISINs to be delivered in words. This is required to safeguard against unauthorized alteration. Strike out the unused space for ISINs. 9. Cash Transfer : In case of transfers from BO/Client to BO/Client, NOT RELATED TO Stock Exchange transactions, it is mandatory to specify if the consideration is money or otherwise. Amount to be specified in case consideration is money and reason to be specified in case of consideration is otherwise. If the reason is selected as Gift or Transfer between Family members : The relation receiving the stock should be specified in explain column. with the person eg: Transferring to spouse, Transferring to mother etc. If the reason is selected as Others, please specify the reason. eg: Transferring into collateral account, Buyback offer etc. 10. CMID (Applicable for Early Pay-in and Normal Pay-in): Specify the CM ID (Clearing Member ID) of the broker to whose pool account securities are to be transferred. If CMID (Clearing Member ID) is specified then column 14 should be mandatorily filled. Execution date in column 11 should be left blank, as it is not applicable in this case.

4 11. Execution Date: Specify the date on which the securities are to be transferred. Submit the DIS request well in advance to avoid failure in execution. If DIS is received for same day Execution of after 4.00 pm on T+1 day, it will be executed/accepted at client s risk on best effort basis. Execution date should not be greater than 7 days from the current date. Execution date is not applicable for Early Pay-in and Normal pay-in instructions. 12. Account Transfer - Within CDSL (Transaction) a. BO-BO: When securities are being moved from one BO account to another BO account within CDSL, the transaction is called off market transfer. CDSL Counter Bo Id will always consist of 16 digit numeric value. First 8 digits will be DP id which should be filled in Counter DP ID column and following 8 digits will be Client ID and should be filled in Counter Client Id column. Counter BO name should be mandatorily filled in Counter BO/CM name column. b. BO-CM, CM-BO, CM-CM: When securities are delivered to clearing members CDSL account directly for pay-in purpose. Exchange name, Settlement/Market type, Settlement Number should be mandatorily filled in this case. CDSL Counter Bo Id will always consist of 16 digit numeric value. First 8 digits will be DP id which should be filled in Counter DP ID column and following digits will be Client ID which should be filled in Counter Client Id column. CM name should be mandatorily filled in Counter BO/CM name column.

5 13. Account Transfer - Outside CDSL (Inter Depository) - a. BO-BO: When securities move from one BO account in CDSL to another BO account with the other depository, the transaction is called inter depository transfer. Counter DP ID and client Id columns should be filled in this case. NSDL Depository DP ID will be always 8 digits alphanumeric value starting with IN and Counter Client Id will be 8 digit numeric value. Counter BO name should be mandatorily filled in Counter BO/CM name column b. BO-CM, CM-BO, CM-CM: When securities are delivered to clearing member of another depository directly for the purpose of pay-in, this option would be used. Exchange name, Settlement/Market type, Settlement Number, Counter CMBP ID should be mandatorily filled in this case. If CMBP ID column is filled, there is no need to specify Counter Client ID. Please note for BSE CMBP ID starts with IN6 and for NSE CMBP ID starts with In5. Counter CM name should be mandatorily filled in Counter BO/CM name column

6 14. Market Trades (Settlements)- a. Early Pay-in: When securities are transferred to Brokers Early Pay in Pool account held with clearing corporation, the transaction is called Early Pay - in instructions. Exchange Name, Settlement/Market type, Settlement Number should be mandatorily filled. 16 Digit Early Payin Id should be filled in where first 8 digits will be filled in Counter DP Id column and next 8 digits should be filled in Counter Client Id Column. CMID in column 10 should be mandatorily filled in this case. b. Normal Pay-in: When On Market transfer instructions are given to transfer to the broker s Clearing member trading id code, the instructions are referred as is Normal Pay-in. Exchange Name, Settlement/Market type, Settlement Number should be mandatorily filled. And CMID in column 10 also be mandatorily filled in this case. 15. Signature and Name of All Holders: The holders should sign in the order of their respective columns specified in the DIS request form. The signature should match with our specimen signature records as recorded in KYC. Please ensure to obtain authentication through signature from all accounts holders on alterations if any on the form. 16. Client Phone No.: Please specify your current/immediate contact no.

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