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Microlesson · 5-min read

Further Issue of Share Capital – Rights Issue, ESOP & Preferential Allotment [Section 62]

## Further Issue of Share Capital – Section 62

Where a company wishes to increase its subscribed capital by issuing further shares, the shares must be offered in one of three permitted modes.

### Mode 1: Rights Issue (to Existing Equity Shareholders)

Shares are offered to existing equity shareholders in proportion to paid-up capital by sending an offer letter (notice) specifying:

  • Number of shares offered;
  • Time period for acceptance — not less than 7 days but not exceeding 30 days from the date of offer;
  • Shorter period allowed for a private company if 90% of members (in number) give consent.
  • If offer is not accepted within time, it is deemed declined; and
  • The right to renounce the shares (unless AOA provides otherwise).

Dispatch: The offer letter must be dispatched at least 3 days before opening of issue through registered post, speed post, courier, electronic mode or any other mode with proof of delivery. (Shorter dispatch period available to a private company with 90% members' consent.)

Disposal of declined shares: Upon intimation of decline or expiry of the time, the Board shall dispose of the shares in a manner that is not disadvantageous to the shareholders or to the company.

### Mode 2: Employees Stock Option Scheme (ESOP)

Shares offered to directors, officers or employees of the company (or its holding/subsidiary) to purchase shares at a pre-determined price on a future date, subject to:

  • Special Resolution (Ordinary Resolution suffices for a private company that has not defaulted u/s 92 or 137); and
  • Other prescribed conditions.

### Mode 3: Preferential Allotment (to Any Person)

Shares may be offered to any person, if authorised by Special Resolution, for cash or consideration other than cash.

> Where consideration is non-cash, price must be determined by the valuation report of a registered valuer and other prescribed conditions met.

### Important Points

1. Section 62 is not applicable to a Nidhi Company.

2. While offering rights shares, a company cannot ignore any existing equity holder — shares must be offered to all existing equity holders proportionate to their holding.

Worked example

### Example 1

Example: P Ltd. wants to issue rights shares to existing equity shareholders. The Board sends offer letters giving members only 5 days to accept the offer. Is this valid?

Solution: No. The minimum acceptance period under Section 62 is 7 days. A 5-day window is invalid (unless P Ltd. is a private company and 90% of members in number have consented to a shorter period).

### Example 2

Example: Q Ltd. issues rights shares to 90 out of its 100 existing equity holders. Is this acceptable?

Solution: No. Rights shares must be offered to all existing equity holders in proportion to their holdings. The company cannot selectively exclude some shareholders.

⚠️ Common exam mistakes

  • Confusing the acceptance window (7–30 days) with the dispatch lead time (≥ 3 days before opening of issue) — they are separate timelines.
  • Believing the offer can be made selectively — rights shares must be offered to all existing equity holders proportionately.
  • Assuming SR is always required for ESOP — a private company (compliant with s.92 & s.137) needs only an Ordinary Resolution.
  • Forgetting the registered-valuer requirement for non-cash preferential allotments.
  • Applying Section 62 to a Nidhi Company — it is exempt.
Bare-Act text Section 62 · Companies Act, 2013 · click to expand
Section 62(1)(a): Where at any time, a company having a share capital proposes to increase its subscribed capital by the issue of further shares, such shares shall be offered to persons who, at the date of the offer, are holders of equity shares of the company in proportion, as nearly as circumstances admit, to the paid-up share capital on those shares.
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