TEAR HERE

M K

APPLICATION FORM
(FOR RESIDENT APPLICANTS)

NTPC LIMITED

COMMON APPLICATION FORM

FOR ASBA / NON ASBA

(A Government of India Enterprise)

Credit Rating : [ICRA] AAA (stable) by ICRA Limited, CRISIL AAA by CRISIL Limited, CARE AAA by CARE Limited

Application
Form No.

To, The Board of Directors,

NTPC LIMITED

ISSUE OPENS ON : SEPTEMBER 23, 2015

ISSUE CLOSES ON* : SEPTEMBER 30, 2015
*For early closure or extension of the issue, refer overleaf

60002432

PUBLIC ISSUE OF TAX FREE, SECURED, REDEEMABLE, NON-CONVERTIBLE BONDS IN THE NATURE OF DEBENTURES VIDE PROSPECTUS DATED SEPTEMBER 17, 2015
I/we hereby confirm that I/we have read and understood the terms and conditions of this Application Form and the attached Abridged Prospectus and agree to the Applicants Undertaking as given overleaf. I/we hereby confirm
that I/we have read the instructions for filling up the Application Form given overleaf.
ESCROW BANK / SCSB BRANCH
BANK BRANCH
REGISTRARS / SCSB
DATE OF
SUB- CONSORTIUM MEMBER /BROKERS
SUB BROKER/AGENT
LEAD MANAGER/ CONSORTIUM MEMBER/TRADING MEMBER STAMP & CODE
SERIAL NO.
RECEIPT
CODE
STAMP & CODE
STAMP & CODE
SERIAL NO.

SBICAPSEC-23/10529

SBICAPSEC-23/10529

1. APPLICANTS DETAILS - PLEASE FILL IN BLOCK LETTERS (Please refer to point no. 28 of the attached Abridged Prospectus)
First Applicant (Mr./ Ms./M/s.)
Date of Birth D D M M Y Y Y Y
Address

Name of Guardian (if applicant is minor) Mr./Ms.

Pin Code (Compulsory)

Tel No. (with STD Code) / Mobile

Email

Second Applicant (Mr./ Ms./M/s.)

Third Applicant (Mr./ Ms./M/s.)
2. Investor Category (Please refer overleaf) Category I

Category II

Category III

Category IV

Sub Category Code (Please refer overleaf)

3. PLEASE PROVIDE APPLICANTS DEPOSITORY DETAILS

(Please Refer To Point No. 29 Of The Attached Abridged Prospectus) For NSDL Enter 8 Digit Dp Id Followed By 8 Digit Client Id / For Cdsl Enter 16 Digit Client ID
NSDL /
CDSL
4. INVESTMENT DETAILS (For details, please refer Issue Structure overleaf)

Series 1A

Series 2A

Series 3A

Coupon rate (%) per annum for Category I, II, III

Options / Series of Bonds

7.11%

7.28%

7.37%

Annualised yield (%) per annum for Category I, II, III

7.11%
Series 1B

7.28%
Series 2B

7.37%
Series 3B

7.36%

7.53%

7.62%

7.36%

7.53%
For Category I, II, III & IV

7.62%

10 years

15 years

20 years

Options/ Series of Bonds

Coupon rate (%) per annum for Category IV
Annualised yield (%) per annum For Category IV
Tenure

PLEASE FILL IN BLOCK LETTERS

Face Value/Issue Price

` 1,000 per Bond

` 1,000 per Bond

` 1,000 per Bond
Annual
5 Bonds (` 5,000) (individually or collectively, across all Series of Bonds) and in the multiple of One Bond (` 1,000) thereafter

Frequency of Coupon / Interest Payment

Minimum Application and in the multiple of thereafter
No. of Bonds applied
Amount Payable (`)
Grand Total (`)

5. PAYMENT DETAILS (Please tick () any one of payment option A or B below)

Please write a Sole/First Applicants Name, Phone No. and Application No. on the reverse of Cheque/DD.

Amount Paid (` in figures)

(` in words)

A. CHEQUE/ DEMAND DRAFT (DD) to be drawn in favour of NTPC Bonds 2015 Escrow Account
Dated D D M M Y Y

Cheque/DD No.
Drawn on (Bank Name & Branch)

(B) ASBA
Bank A/c No.
ASBA A/c. Holder Name ________________________________________________
(in case Applicant is different from ASBA A/c. Holder)
Bank Name & Branch ___________________________________________________
____________________________________________________________________________________________________

6A. PAN & SIGNATURE OF

SOLE/ FIRST APPLICANT

6B. PAN & SIGNATURE OF

SECOND APPLICANT

6C. PAN & SIGNATURE OF

THIRD APPLICANT

PAN

PAN

PAN

6D. Signature of ASBA Bank Account Holder(s)

(as per Bank Records)(for ASBA Option only)
I/We authorize the SCSB to do all acts as are necessary to
make the Application in the Issue

1)
2)

Furnishing PAN of the Applicant is mandatory including minors PAN in case of

Application by minor. Please refer point no. 30 of the attached Abridged Prospectus

Date : ___________________, 2015

3)

TEAR HERE

NTPC LIMITED

(A Government of India Enterprise)

Application
Form No.

Acknowledgement Slip for Lead Managers/

Consortium Member/Sub-Consortium Member/
Brokers/Sub-Brokers/Trading Members / SCSBs

DPID/
CLID

LEAD MANAGERS / CONSORTIUM /

SUBCONSORTIUM MEMBERS /BROKER S/
SUBBROKERS/ TRADING MEMBERS /SCSB
BRANCHS STAMP
(ACKNOWLEDGING UPLOAD OF APPLICATION IN
STOCK EXCHANGE SYSTEM) (MANDATORY)

60002432

PAN

Amount Paid (` in figures)

Date, Stamp & Signature of Escrow

Bank (Mandatory)

Bank & Branch

Cheque / DD/ASBA Bank A/c No.

Dated___________,2015

Received from Mr./Ms. /M/s.

Telephone / Mobile

Email

NTPC LIMITED

(A Government of India Enterprise)

TEAR HERE

TEAR HERE
PUBLIC ISSUE OF TAX FREE, SECURED, REDEEMABLE, NON-CONVERTIBLE BONDS IN THE NATURE OF DEBENTURES VIDE PROSPECTUS DATED SEPTEMBER 17, 2015
Options/Series of Bonds
Issue Price (`/Bond)
No. of Bonds applied for
Amount Payable (`)
Grand Total (`)

Series 1A / 1B
` 1,000

Cheque / DD/ASBA Bank A/c No.

Drawn on (Name of Bank & Branch)

Series 2A / 2B
` 1,000

Series 3A / 3B
` 1,000

Date Stamp & Signature of Lead Manager/ Name of Sole / First Applicant
Consortium Members/Sub-Consortium
___________________________________________
Members/Trading Members/SCSB

___________________________________________

Applications submitted without being uploaded on the terminals of the Stock Exchanges
will be rejected.

Acknowledgement Slip for Applicant

Dated

,2015

All future communication in connection with this application

should be addressed to the Registrar to the Issue. For
details, pleaser refer overleaf. Acknowledgement is subject
to realization of Cheque / Demand Draft.

Application
Form No.

60002432

While submitting the Application Form, the Applicant should ensure that the date stamp being put on the Application Form by the Lead Manager/Consortium /Sub-Consortium Member/Broker/Sub Broker/Trading Member/SCSB matches with the date stamp on the Acknowledgement Slip

M K

APPLICANTS UNDERTAKING
I/We hereby agree and confirm that:
1. I/We have read, understood and agreed to the contents and terms and conditions of NTPC LIMITED Prospectus dated September 17, 2015 (Prospectus)
2. I/We hereby apply for allotment of the Bonds to me/us and the amount payable on application is remitted herewith.
3. I/We hereby agree to accept the Bonds applied for or such lesser number as may be allotted to me/us in accordance with the contents of the Prospectus subject to applicable statutory and/or regulatory requirements.
4. I/We irrevocably give my/our authority and consent to IDBI Trusteeship Services Limited to act as my/our trustees and for doing such acts as are necessary to carry out their duties in such capacity.
5. I am/We are Indian National(s) resident in India and I am/ we are not applying for the said Bonds as nominee(s) of any person resident outside India and/or Foreign National(s).
6. The application made by me/us do not exceed the investment limit on the maximum number of Bonds which may be held by me/us under applicable statutory and/or regulatory requirements.
7. In making my/our investment decision I/We have relied on my/our own examination of the company and the terms of the issue, including the merits and risks involved and my/our decision to make this application is solely
based on disclosures contained in the Prospectus.
8. I/We have obtained the necessary statutory and/or regulatory permissions/approvals for applying for, subscribing to, and seeking allotment of the Bonds applied for.
9. Additional Undertaking, in case of ASBA Applicants:
1) I/We hereby undertake that I/We am/are an ASBA Applicant(s) as per applicable provisions of the SEBI Regulations; 2) In accordance with ASBA process provided in the SEBI Regulations and disclosed in the Prospectus,
I/We authorize (a) the Lead Manager/Consortium Members/Sub-Consortium Members and Trading Members (in Specified cities only) or the SCSBs, as the case may be, to do all acts as are necessary to make the Application
in the Issue, including uploading my/our application, blocking or unblocking of funds in the bank account maintained with the SCSB as specified in the Application Form, transfer of funds to the Public Issue Account on
receipt of instruction from the Lead Manager, Registrar to the Issue, after finalization of Basis of Allotment; and (b) the Registrar to the Issue to issue instruction to the SCSBs to unblock the funds in the specified bank
account upon finalization of the Basis of Allotment. 3) In case the amount available in the specified Bank Account is insufficient as per the Application, the SCSB shall reject the Application.
ISSUE RELATED INFORMATION FOR FILLING THE APPLICATION FORM
INVESTOR CATEGORIES:
Category I (Qualified Institutional Buyers)/(QIBs)#

Sub Category Code Category II (Corporates)# (contnd ........)

Sub Category Code

Public Financial Institutions

Alternative Investment Funds;

11
12

Trusts
Partnership firms in the name of their respective partners

25
26

Scheduled commercial banks;

13

Association of Persons

27

Mutual Funds registered with SEBI;

14

Cooperative banks;

28

State industrial development corporations;

Insurance companies registered with the IRDA;

15
16

29
30

Provident funds with a minimum corpus of ` 25 crore;

Pension funds with a minimum corpus of ` 25 crore;

17
18

The National Investment Fund set up by resolution F. No. 2/3/2005-DD-II dated November
23, 2005 of the GoI, published in the Gazette of India;

19

Regional rural banks;

Other legal entities constituted and/or registered under applicable laws in India that
are authorized to invest in Bonds
Category III (High Networth Individuals)/(HNIs)
The following Investors applying for an amount aggregating to more than `10 lakhs
across all Series of Bonds in this Issue:
Resident individual Investors

31

Insurance funds set up and managed by the army, navy, or air force of the Union of India; and
Insurance funds set up and managed by the Department of Posts, India,
Category II (Corporates)#

20
55

32

Companies within the meaning of section 2 (20) of the Companies Act 2013;

21

HUF applying in the name of Karta;

Category IV (Retail Individual Investors) /(RIIs)
The following Investors applying for an amount aggregating upto and including
` 10 lakhs across all Series of Bonds in this Issue:

Limited liability partnerships;

Societies registered under the applicable laws in India.
Statutory corporations;

22
23
24

Resident individual Investors

HUF applying in the name of Karta

41
42

# See general circular (No. 6/2015), dated April 9, 2015 issued by the MCA clarifying that in cases where the effective yield (effective rate of return) on tax free bonds is greater than the prevailing yield of one year, three year, five year
or ten year government security closest to the tenor of the loan, there is no violation of Section 186(7) of the Companies Act, 2013.
Options / Series of Bonds*
Coupon rate (%) per annum for Category I, II, III#
Annualised yield (%) per annum for Category I, II, III#
Options/ Series of Bonds*
Coupon rate (%) per annum for Category IV#
Annualised yield (%) per annum For Category IV#

Series 1A
7.11%
7.11%
Series 1B
7.36%
7.36%

Series 2A
Series 3A
7.28%
7.37%
7.28%
7.37%
Series 2B
Series 3B
7.53%
7.62%
7.53%
7.62%
For Category I, II, III & IV
Frequency of Coupon / Interest Payment
Annual
Minimum Application and in the multiple of thereafter
5 Bonds (` 5,000) (individually or collectively, across all Series of Bonds) and in the multiple of One Bond (` 1,000) thereafter
Mode of Payment/Settlement
See Terms of the Issue Manner and Modes of Payment on page 27 of the attached Abridged Prospectus
Mode of Issuance
In dematerialized form only
Face value / Issue price
` 1,000 per Bond
Tenure
10 years
15 years
20 years
Coupon / Interest Type
Fixed coupon rate
10 years from Deemed Date of Allotment
15 years from Deemed Date of Allotment
20 years from Deemed Date of Allotment
Maturity / Redemption Date
Amount repayable on the Bonds, comprising the face value of the Bonds, together with coupon/interest accrued at the applicable coupon/interest rate for each Series
Redemption Amount
of Bonds on the respective Redemption Dates or Maturity Dates
None
Put/Call
The claims of the Bondholders shall be superior to the claims of any unsecured creditors of our Company and subject to applicable statutory and/or regulatory
Nature of Indebtedness
requirements, rank pari passu inter se to the claims of other secured creditors of our Company having the same security.
* Our Company shall Allot Series 1A/Series 1B (depending upon the category of Applicants) for all valid Applications, where the Applicants have not indicated their choice of the relevant Series of Bonds.
# Pursuant to the CBDT Notification and for avoidance of doubt, it is clarified as under: a. The coupon rates indicated under Series 1B, Series 2B and Series 3B shall be payable only on the Retail Individual Investor Portion in the Issue. Such coupon is payable only if
on the Record Date for payment of interest, the Bonds are held by investors falling under the Retail Individual Investor Category/Category IV; b. If the Bonds allotted against Series 1B, Series 2B and Series 3B are transferred by Retail Individual Investors to Non- Retail
Individual Investors, being Category I, Category II and Category III investors, the coupon rate on such Bonds shall stand at par with coupon rate applicable on Series 1A, Series 2A and Series 3A respectively; c. If the Bonds allotted against Series 1B, Series 2B and Series
3B are sold/transferred by the Retail Individual Investors to investor(s) who fall under the Retail Individual Investor category as on the Record Date for payment of interest, then the coupon rates on such Bonds shall remain unchanged; d. If on any Record Date, the original
Retail Individual Investor Allotee(s)/transferee(s) hold the Bonds under Series 1A, Series 1B, Series 2A, Series 2B, Series 3A and Series 3B for an aggregate face value amount of over ` 10 lakh, then the coupon rate applicable to such Retail Individual Investor Allottee(s)/
transferee(s) on Bonds under Series 1B, Series 2B, Series 3B shall stand at par with coupon rate applicable on Series 1A, Series 2A, and Series 3A, respectively; e. Bonds Allotted under Series 1A, Series 2A and Series 3A shall carry coupon rates indicated above until the
maturity of the respective Series of Bonds irrespective of category of holder(s) of such Bonds; and f. For the purpose of classification and verification of status of the eligibility of a Bondholder under the Retail Individual Investor category, the aggregate face value of Bonds
held by the Bondholders in all the Series of Bonds Allotted under the Issue shall aggregated on the basis of PAN.
Early closure or Extension of the issue:The Issue shall remain open for subscription from 10 A.M. to 5 P.M (Indian Standard Time) during the period indicated above with an option for early closure/extension as may be decided by the board of directors of our Company
or a duly constituted committee thereof, including the Committee of the Board for Allotment and Post-Allotment Activities of NTPCs Securities and the Committee for Public Issue of Tax Free Bonds (Board) or an authorised representative of the Board. In the event of
such early closure or extension of the subscription list of the Issue, our Company shall ensure that public notice of such early closure/extension is published on or before such early date of closure or the Issue Closing Date, as applicable, through advertisement(s) in at least
one leading national daily newspaper with wide circulation.
Basis of Allotment: For Basis of Allotment details, please refer point no. 65 of the attached Abridged Prospectus. For Grounds for Technical Rejection: Please refer to point no. 42 of the attached Abridged Prospectus.
For further information, please refer to section titled Issue Information on page 139 of the Prospectus.
In case of queries related to Allotment/ credit of Allotted Bonds/Refund, the Applicants should contact Registrar to
the Issue.
In case of ASBA Application submitted to the SCSBs, the Applicants should contact the relevant SCSB.
In case of queries related to upload of Applications submitted to the Lead Managers/ Consortium/Sub-Consortium
Members/Brokers/Sub Brokers/Trading Member should contact the relevant Lead Managers/Consortium /SubConsortium Members/Brokers/Sub Brokers/ Trading Member.
Acknowledgement is subject to realisation of Cheque/DD/Availability of Funds in the ASBA account

NTPC LIMITED

TEAR HERE
COMPANY CONTACT DETAILS

NTPC LIMITED (A Government of India Enterprise)

Registered and Corporate Office: NTPC Bhawan, SCOPE

Complex, 7, Institutional Area, Lodhi Road, New Delhi 110
003 Tel: (+91 11) 2436 0100; Fax: (+91 11) 2436 1018;
CIN: L40101DL1975GOI007966; Website: www.ntpc.co.in;
Executive Director & Company Secretary and Compliance
Officer: Mr. A.K. Rastogi; Tel: (+91 11) 2436 0071;
Fax: (+91 11) 2436 0241; E-mail: akrastogi@ntpc.co.in

REGISTRAR CONTACT DETAILS

KARVY COMPUTERSHARE PRIVATE LIMITED
Karvy Selenium Tower-B, Plot No. 31 and 31; Gachibowli Finanical
District, Nanakramguda, Seriligampally, Hyderabad 500 008
Tel: (+91 40) 6716 2222 Fax: (+91 40) 2343 1551
E-mail: ntpc.bond@karvy.com, Investor Grievance Email:
einward.ris@karvy.com Website: www.karisma.karvy.com,
Contact Person: Mr. M. Murali Krishna, SEBI Registration
No.: INR000000221