IDBI Dividend Yield Fund ASBA Form

IDBI Dividend Yield Fund An open ended equity scheme predominantly investing in dividend yielding stocks. 4th Floor, IDBI Tower, WTC Complex, Cuffe Parade, Colaba, Mumbai - 400 005. APPLICATION SUPPORTED BY BLOCKED AMOUNT (ASBA) FORM Investors must read the Key Information Memorandum and Instructions before completing this Form. New Fund Offer Opens on: 3rd December, 2018 • New Fund Offer Closes on: 17th December, 2018 Scheme re-opens for continuous sale and repurchase from: Within 5 business days from the date of allotment Offer for Units of Rs. 10 each (at par) during the New Fund Offer period and continuous offer for Units of NAV based prices. This product is suitable for investors who are seeking*: • Long term capital growth Riskometer • Investment in predominantly in dividend yielding equity and equity related instruments

Investors understand that their principal will be at Moderately High risk *Investors should consult their financial advisors if in doubt about whether the product is suitable for them. (The Application Form should be completed in English and in BLOCK LETTERS only.) ASBA Application No. KEY PARTNER / AGENT INFORMATION FOR OFFICE USE ONLY Name and AMFI Reg. No. Date of Receipt Folio No. SCSB Branch Stamp & Code SCSB Branch Sr. No. Sub Agent’s Name and Code / EUIN@ (ARN) Bank Branch Code

Upfront commission shall be paid directly by the investor to the ARN Holder (AMFI registered Distributor) based on the investors’ assessment of various factors including the service rendered by the distributor. @ I/We hereby confirm that the EUIN box has been intentionally left blank by me/us as this transaction is executed without any interaction or advice by the employee/relationship manager/sales person of the above distributor/sub broker or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor/sub broker. 1a. UNIT HOLDER INFORMATION (Names should be in the same sequence as appearing in your demat account. In case of discrepancies, the Application is liable to get rejected) NAME OF FIRST / SOLE APPLICANT Resident Individual NRI [Mandatory Please tick (ü)] Mr. Ms. M/s. PAN# / PEKRN CKYC No.

Gender (Please ) Male Female Other Date of Birth D D / M M / Y Y Y Y Below 1 Lac 1-5 Lacs >5-10 Lacs >10-25 Lacs >25-1 Crore >1 Crore Gross Annual Income Details (Please ü) Net-worth in ` (* Net worth should not be older than 1 year) as on (date) D D / M M / Y Y Y Y (Not older than 1 year) Politically Exposed Person (PEP) Status(Also applicable for authorised signatories/Promoters/Karta/Trustee/Whole time Directors) I am PEP I am Related to PEP Not Applicable NAME OF GUARDIAN (in case of First / Sole Applicant is a Minor. Should be in the same sequence as appearing in your demat account.) / NAME OF CONTACT PERSON – DESIGNATION (in case of non-individual Investors) Mr. M/s. Nationality Designation Contact No. PAN# / PEKRN CKYC No.

Gender (Please ) Male Female Other Date of Birth D D / M M / Y Y Y Y Below 1 Lac 1-5 Lacs >5-10 Lacs >10-25 Lacs >25-1 Crore >1 Crore Gross Annual Income Details (Please ü) Net-worth in ` (* Net worth should not be older than 1 year) as on (date) D D / M M / Y Y Y Y (Not older than 1 year) Politically Exposed Person (PEP) Status(Also applicable for authorised signatories/Promoters/Karta/Trustee/Whole time Directors) I am PEP I am Related to PEP Not Applicable NAME OF THE SECOND APPLICANT Resident Individual NRI [Mandatory Please tick (ü)] Mr. Ms. M/s. PAN# / PEKRN CKYC No.

ACKNOWLEDGEMENT SLIP FOR SCSB (Self Certified Syndicate Bank) IDBI Dividend Yield Fund Date______to be retained by the scsb ASBA 4th Floor, IDBI Tower, WTC Complex, Cuffe Parade, Application No. Colaba, Mumbai - 400 005. (To be filled by the Sole/First Applicant) Received from Mr./Ms. ______SCSB Account Details Total Amount to be blocked Address ______Bank Account No. ______(Rs. in figures) ______Tele./Fax Mobile No. Bank Name & Address ______(Rs. in words) ______E-mail: ______

______First / Sole Applicant / Guardian / PoA Second Applicant Third Applicant

ACKNOWLEDGEMENT SLIP FOR APPLICANT Date______IDBI Dividend Yield Fund ASBA 4th Floor, IDBI Tower, WTC Complex, Cuffe Parade, (To be filled by the Sole/First Applicant) Application No. Colaba, Mumbai - 400 005. Received from Mr./Ms. ______SCSB Account Details Total Amount to be blocked SCSB Stamp, Signature, Date & Time of Form Submission Address ______Bank Account No. ______(Rs. in figures) ______Tele./Fax Mobile No. Bank Name & Address ______(Rs. in words) ______E-mail: ______NAME OF THE THIRD APPLICANT Resident Individual NRI [Mandatory Please tick (ü)] Mr. Ms. M/s.

PAN# / PEKRN CKYC No.

Gender (Please ) Male Female Other Date of Birth D D / M M / Y Y Y Y

Below 1 Lac 1-5 Lacs >5-10 Lacs >10-25 Lacs >25-1 Crore >1 Crore Gross Annual Income Details (Please ü) Net-worth in ` (* Net worth should not be older than 1 year) as on (date) D D / M M / Y Y Y Y (Not older than 1 year)

Politically Exposed Person (PEP) Status(Also applicable for authorised signatories/Promoters/Karta/Trustee/Whole time Directors) I am PEP I am Related to PEP Not Applicable

MAILING ADDRESS OF FIRST / SOLE APPLICANT

CONTACT DETAILS OF FIRST / SOLE APPLICANT STD Code

Telephone : Off. Res. Mobile

Fax Email # Please attach PAN Proof. 1b. POWER OF ATTORNEY (PoA) HOLDER DETAILS NAME OF PoA Mr. Ms. M/s.

PAN# [Please tick ü( )]

2. FATCA and CRS DETAILS For Individuals (Mandatory) (Non-Individuals are required to submit separate FATCA & CRS information (for non-individuals / Legal entity) and UBO Declaration Form available at www.idbimutual.co.in)

First Applicant (including Minor) Second Applicant/Guardian/POA Third Applicant Place of Birth Country of Birth

Nationality Indian U.S. Others, please specify ______Indian U.S. Others, please specify ______Indian U.S. Others, please specify ______Tax Residence Address Type (as per KYC records) Residential Registered Office Business Residential Registered Office Business Residential Registered Office Business Are you a tax resident (i.e., are Yes No Yes No Yes No you assessed for Tax) in any other If ‘YES’, please fill below for ALL countries (other than India) in which you are a Resident for tax purposes i.e., where you are a Citizen / Resident / country outside India? Green Card Holder / Tax Resident in the Respective countries. (1) (1) (1) Country of Tax Residency (2) (2) (2) (3) (3) (3) (1) (1) (1) Tax Identification Number OR (2) (2) (2) Functional Equivalent (3) (3) (3) (1) (1) (1) Identification Type (2) (2) (2) (TIN of other, Please specify) (3) (3) (3) If TIN is not available, please tick the 1 2 3 1 2 3 1 2 3 reason A, B, or C (as defined below) A B C A B C A B C A B C A B C A B C A B C A B C A B C Reason A  The country where the Account Holder is liable to pay tax does not issue Tax Identification Numbers to its residents. Reason B  No TIN required. (Select this reason Only if the authorities of the respective country of tax residence do not require the TIN to be collected). Reason C  Others; please state the reason thereof______3. INVESTMENT DETAILS Name of Scheme: IDBI Dividend Yield Fund - Plan Regular Direct - Option Growth Dividend - Mode of Dividend Payout Re-investment Sweep Dividend Sweep: To Scheme Plan Option Subscription Amount Rs. in figures Rs. in words 4. SCSB / ASBA ACCOUNT DETAILS OF THE APPLICANT (Application Money to be blocked from this Account) Account No. Name of the Bank Branch Bank City Account Type [Please tick ( )] SAVINGS CURRENT NRE NRO FCNR OTHERS______(please specify) Total Amount to be blocked Amount in figures ( ` ) ______in words (Rupees) ______IFSC Code The 9 digit MICR Code number of my/our Bank & Branch is 5. BANK ACCOUNT DETAILS OF FIRST / SOLE APPLICANT Fill in these details only if the ASBA Account details provided in Section 3 are different from the Bank Account details linked with the Demat Account as mentioned under Section 5 below. Account No. Name of the Bank Branch Bank City Account Type [Please tick ( )] SAVINGS CURRENT NRE NRO FCNR OTHERS______(please specify) Total Amount to be blocked Amount in figures ( ` ) ______in words (Rupees) ______IFSC Code The 9 digit MICR Code number of my/our Bank & Branch is (Please note that as per SEBI Regulations it is mandatory for investors to provide their bank account details) 6. DEMAT ACCOUNT DETAILS

Please () NSDL CDSL DP ID Beneficiary Account No./Client ID DP Name

The details of the Bank Account linked with the Demat account as mentioned above be provided under Section 4. 7. Nomination Details [Minor / Huf / Poa Holder / Non Individuals Cannot Nominate] Please register my/our Nominee as per below details OR I/We do not wish to nominatION No. Nominee(s) Name Date of Birth Name of the Guardian % of Share Signature of Nominee/Guardian (in case of Minor) (in case of Minor) 1 D D M M Y Y Y Y 2 D D M M Y Y Y Y 3 D D M M Y Y Y Y

8. DECLARATIONS & SIGNATURE/S General Declaration: I/We have read and understood the contents of the Scheme Information Document (SID), Key Information Memorandum (KIM) of IDBI Dividend Yield Fund and Statement of Additional Information (SAI) and information requirements of this Form and hereby confirm that the information provided by me/us on this Form is true, correct and complete. /We hereby apply to IDBI Mutual Fund for allotment of units of the Scheme, as indicated above and agree to abide by the terms, conditions, rules and regulations of the Scheme. I /We hereby confirm and certify that the source of these funds is not directly / indirectly a result of proceeds of crime” as defined in “The Prevention of Money Laundering Act, 2002” and I/we undertake to provide all necessary proof / documentation, if any, required to substantiate the facts of this undertaking. I/We have not received nor been induced by any rebate or gifts, directly or indirectly in making this investment. I / We authorize the Fund to disclose details of my/ our account and all my/our transactions to Registrar and Transfer Agent whose stamp appears on the application form. I/We also authorize the Fund to disclose details as necessary, to the Fund’s and investor’s bankers for the purpose of effecting payments to me / us. ASBA Authorisation : 1) I/We hereby undertake that I/We am/are an ASBA Investor as per the applicable provisions of the SEBI (Issue of Capital and Disclosure Requirements), Regulations 2009 (‘SEBI Regulations’) as amended from time to time. 2) In accordance with ASBA process provided in the SEBI Regulations and as disclosed in this application, I/We authorize (a) the SCSB to do all necessary acts including blocking of application money towards the Subscription of Units of the Scheme, to the extent mentioned above in the “SCSB / ASBA Account details” or unblocking of funds in the bank account maintained with the SCSB specified in this application form, transfer of funds to the Bank account of the Scheme/IDBI Mutual Fund on receipt of instructions from the Registrar and Transfer Agent after the allotment of the Units entitling me/us to receive Units on such transfer of funds, etc. (b) Registrar and Transfer Agent to issue instructions to the SCSB to remove the block on the funds in the bank account specified in the application, upon allotment of Units and to transfer the requisite money to the Scheme’s account / Bank account of IDBI Mutual Fund. 3) In case the amount available in the bank account specified in the application is insufficient for blocking the amount equivalent to the application money towards the Subscription of Units, the SCSB shall reject the application 4) If the DP ID, Beneficiary Account No. or PAN furnished by me/us in the application is incorrect or incomplete or not matching with the depository records, the application shall be rejected and the IDBI Mutual Fund or IDBI Asset Management Limited or IDBI MF Trustee Company Limited or SCSBs shall not be liable for losses, if any. Applicable to NRIs only : II/We confirm that I am/we are Non-Resident of Indian Nationality/Origin and I/we hereby confirm that the funds for subscription have been remitted from abroad through approved banking channels or from funds in my/our Non-Resident External / Ordinary Account / FCNR /NRSR Account. Investment in the Scheme is made by me / us on: Repatriation basis Non Repatriation basis. Applicable to Non Direct Investors only (investments routed through ARN Holders): The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. /S

______DD MM YYYY First / Sole Second Third

S ignature Applicant / Guardian Applicant Applicant INSTRUCTIONS FOR FILLING ASBA APPLICATION FORM 1. Investors are required to submit ASBA Form along with NFO Application Form to designated SCSBs.

2. An Application Supported by Blocked Amount (ASBA) investor shall submit a duly filled up ASBA Application form, physically or electronically, to the Self Certified Syndicate Bank (SCSB) with whom the bank account to be blocked, is maintained. l In case of ASBA application form in physical mode, the investor shall submit the ASBA Application Form at the Bank branch of SCSB, which is designated for the purpose and the investor must be holding a bank account with such SCSB. l In case of ASBA application form in electronic form, the investor shall submit the ASBA Application Form either through the internet banking facility available with the SCSB, or such other electronically enabled mechanism for subscribing to units of Mutual Fund scheme authorising SCSB to block the subscription money in a bank account. 3. Investors shall correctly mention the Bank Account number in the ASBA Application Form and ensure that funds equal to the subscription amount are available in the bank account maintained with the SCSB before submitting the same to the designated branch. 4. Upon submission of an ASBA Application Form with the SCSB, whether in physical or electronic mode, investor shall be deemed to have agreed to block the entire subscription amount specified and authorized the Designated Branch to block such amount in the Bank Account. 5. On the basis of an authorisation given by the account holder in the ASBA Application Form, the SCSB shall block the subscription money in the Bank Account specified in the ASBA Application Form. The subscription money shall remain blocked in the Bank Account till allotment of units under the scheme or till rejection of the application, as the case may be. 6. If the Bank Account specified in the ASBA Application Form does not have sufficient credit balance to meet the subscription money, the ASBA application shall be rejected by the SCSB. 7. The ASBA Application Form should not be accompanied by cheque, demand draft or any mode of payment other than authorisation to block subscription amount in the Bank Account. 8. All grievances relating to the ASBA facility may be addressed to the BANK/AMC / RTA to the Issue, with a copy to the SCSB, giving full details such as name, address of the applicant, subscription amount blocked on application, bank account number and the Designated Branch or the collection centre of the SCSB where the ASBA Application Form was submitted by the Investor. 9. ASBA facility extended to investors shall operate in accordance with the SEBI guidelines in force from time to time. 10. Name of the First accountholder in bank to be the first unitholder in folio. If the name is not matched the application will be rejected and amount to be refunded if any. 11. In case of investors holding demat accounts, no separate KYC forms are required to be submitted and the KYC performed by Depository Participant (DP) will be considered compliance with applicable requirements specified in this regard in terms of SEBI circular ISD/AML/CIR-1/2008. 12. The acknowledgement for receiving the application by the designated Branches of the SCSBs does not guarantee that the Mutual Fund units shall be allotted either by the SCSB or the Mutual Fund. The Application shall be further processed by the Registrar & Transfer agent appointed by the Mutual Fund and units shall be allotted after deducting the blocked amount, only if the application is complete in all respect. 13. Where investor desires to hold units in dematerialised form, demat statement given by depository participant would be deemed to be adequate compliance with requirements for account statement prescribed by SEBI 14. Transaction Charges In order to enable people with small saving potential and to increase reach of Mutual Fund products in urban areas and smaller towns, SEBI has vide Cir/IMD/ DF/13/ 2011 dated August 22, 2011 stipulated that a transaction charge per subscription of Rs.10,000/- and above be allowed to be paid to the distributors of the Mutual Fund products from the date of this circular. However, there shall be no transaction charges on direct investments. The transaction charge shall be subject to the following: i. For existing investors in a Mutual Fund, the distributor may be paid Rs. 100/- as transaction charge per subscription of Rs. 10,000/- and above. ii. The distributor may be paid Rs.150/- as transaction charge for a first time investor in Mutual Funds. iii. The transaction charge, if any, shall be deducted by the AMC from the subscription amount and paid to the distributor; and the balance shall be invested. iv. The AMCs shall be responsible for any malpractice/mis-selling by the distributor while charging transaction costs. v. There shall be no transaction charge on subscription below Rs.10,000/- vi. In case of SIPs, the transaction charge shall be applicable only if the total commitment through SIPs amounts to Rs. 10,000/- and above. In such cases the transaction charge shall be recovered in 3-4 installments. vii. There shall be no transaction charge on transactions other than purchases/ subscriptions relating to new inflows. viii. The statement of account shall clearly state that the net investment as gross subscription less transaction charge and the number of units allotted against the net investment. ix. Distributors shall be able to choose to opt out of charging the transaction charge. However, the ‘opt-out’ shall be at distributor level and not investor level i.e. a distributor shall not charge one investor and choose not to charge another investor. Further, Distributors shall have also the option to either opt in or opt out of levying transaction charge based on type of the product. It is also clarified that as per SEBI circular no. SEBI/IMD/CIR No. 4/ 168230/09, dated June 30, 2009, upfront commission to distributors shall continue to be paid by the investor directly to the distributor by a separate cheque based on his assessment of various factors including the service rendered by the distributor. LIST OF SELF CERTIFIED SYNDICATE BANKS (SCSBs) TO ACCEPT ASBA APPLICATION FORMS (During NFO period)

Sr. No. Name of the Bank 1 Axis Bank 2 Bank of Baroda 3 Bank of India 4 Bank of Maharashtra 5 Barclays Plc. 6 BNP Paribas 7 Canara Bank 8 Central Bank of India 9 CITI Bank 10 DBS Bank Ltd. 11 Dena Bank 12 Deutsche Bank AG 13 Dhanlaxmi Bank Limited 14 HDFC Bank Ltd. 15 HSBC Ltd. 16 ICICI Bank Ltd. 17 IDBI Bank 18 Indian Overseas Bank Ltd. 19 Indusind Bank Ltd. 20 J. P. Morgan Chase, Bank, N.A. 21 Janata Sahakari Bank Ltd 22 Karnataka Bank 23 Karur Vasya Bank Ltd. 24 Kotak Mahindra Bank Ltd. 25 Mehsana Urban Co-operative Bank Limited 26 Nutan Nagarik Sahakari Bank Ltd 27 Oriental Bank of Commerce 28 Punjab National Bank 29 Rajkot Nagarik Sahakari Bank Ltd 30 South Indian Bank 31 Standard Chartered Bank 32 State Bank of Bikaner & Jaipur 33 State Bank of Hyderabad 34 State Bank of India 35 State Bank of Mysore 36 State Bank of Patiala 37 State Bank of Travancore 38 Syndicate Bank 39 Tamilnad Mercantile Bank Ltd. 40 The Ahmedabad Mercantile Co-Op. Bank Ltd 41 The Kalupur Commercial Co-operative Bank Ltd. 42 The Lakshmi Vilas Bank Ltd. 43 The Saraswat Co-operative Bank Ltd. 44 The Surat Peoples Co-op Bank 45 Union Bank of India 46 United Bank of India 47 Vijaya Bank 48 Yes Bank Ltd. 49 TJSB Sahakari Bank Ltd 50 RBL Bank Ltd 51 The Allahabad Bank 52 UCO Bank Investor may approach any of the above banks for submitting their ASBA Application forms during this NFO. The above list is subject to change from time to time. For the updated list of Self Certified Syndicate Banks (SCSBs) and their Designated Branches (DBs) and their details, please refer to the website of SEBI, BSE or NSE.

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