Launch offer — 25% off with code LAUNCH-25 See plans →
Microlesson · 5-min read

Declaration of Dividend during Inadequacy/Absence of Profits (Rule 3, Companies (Declaration and Payment of Dividend) Rules)

# Declaration of Dividend when Profits are Inadequate or Absent

Where a company has insufficient or no profits in a financial year but still wishes to declare a dividend, it may do so out of accumulated profits of previous years transferred to free reserves, subject to four conditions (all must be satisfied).

## The Four Conditions

### Condition 1 — Rate Cap

The rate of dividend declared shall not exceed the average of rates at which dividend was declared in the immediately preceding 3 years.

$$ \text{Rate of Dividend} \leq \frac{RD_1 + RD_2 + RD_3}{3} $$

Exception: This condition does NOT apply if the company has not declared any dividend in each of the three preceding financial years.

### Condition 2 — Amount Cap

Total amount drawn from accumulated profits shall not exceed 10% of (Paid-up Share Capital + Free Reserves) as per the latest audited financial statement.

$$ \text{Maximum Drawal} \leq 10\% \times (\text{Paid-up Capital} + \text{Free Reserves}) $$

### Condition 3 — Set-off Current Loss First

The amount drawn shall first be utilised to set off losses incurred in the financial year in which dividend is declared. Only the balance is available for dividend on equity shares.

### Condition 4 — Reserve Floor

The balance of reserves after withdrawal shall not fall below 15% of paid-up share capital (as per latest audited financial statement).

## Application Steps (Memory Aid)

1. Compute average rate of last 3 years' dividends → cap.

2. Compute 10% drawal limit → cap.

3. Deduct current year loss from drawal.

4. Check reserve floor ≥ 15% of paid-up capital after withdrawal.

5. Lowest of the limits = maximum permissible dividend.

Worked example

### Example 1

Worked Example — Capricorn Industries Ltd.

Given:

  • Paid-up Capital = ₹200 lakhs
  • Accumulated Reserves (all free) = ₹240 lakhs
  • Loss for FY ending 31 March 2020 = ₹30 lakhs
  • Dividend rates in last 3 years: Year 1 = 9%, Year 2 = 10%, Year 3 = 12%

Question: Maximum rate at which dividend can be declared for the current year?

---

Condition I — Rate Cap (Average rate):

$$ \frac{9 + 10 + 12}{3} = 10.33\% $$

Maximum dividend amount = 10.33% × ₹200 lakhs = ₹20.6 lakhs

Condition II — 10% Drawal Cap:

  • Paid-up Capital + Free Reserves = ₹200 + ₹240 = ₹440 lakhs
  • 10% thereof = ₹44 lakhs
  • Less: Loss for the year = ₹30 lakhs
  • Amount available for dividend = ₹14 lakhs

Condition III — Reserve Floor Check:

  • Accumulated Reserves = ₹240 lakhs
  • Less: Proposed withdrawal = ₹14 lakhs
  • Balance Reserves = ₹226 lakhs
  • 15% of Paid-up Capital = 15% × 200 = ₹30 lakhs
  • Balance ₹226 lakhs >> ₹30 lakhs ✓ (Condition satisfied)

Conclusion:

Lower of the two caps (₹20.6 lakhs vs ₹14 lakhs) = ₹14 lakhs

Rate = 14/200 = 7% on paid-up capital

⚠️ Common exam mistakes

  • Forgetting to deduct the current year's loss from the 10% drawal cap (Condition III).
  • Applying the average-rate cap even when the company did not declare dividend in any of the 3 preceding years — the exception waives this condition entirely.
  • Comparing the 15% reserve floor with reserves BEFORE withdrawal instead of AFTER withdrawal.
  • Drawing from any reserves — only accumulated profits transferred to free reserves can be used.
  • Using the gross 10% amount as the dividend without first setting off the current year's loss.
Bare-Act text Third proviso to Section 123(1) read with Rule 3 of Companies (Declaration and Payment of Dividend) Rules, 2014 · The Companies Act, 2013 and Rules thereunder · click to expand
In the event of inadequacy or absence of profits in any financial year, a company may declare dividend out of the accumulated profits of previous years which have been transferred to the free reserves, subject to the conditions prescribed in Rule 3 (rate cap of average of preceding 3 years; drawal cap of 10% of paid-up capital + free reserves; set off current year loss first; reserve floor of 15% of paid-up capital after withdrawal).
Now that you've read this — what's next?
Move from understanding → mastery in 3 clicks. Each option below picks up from this lesson's topic.
Start 15-min diagnostic