# The Companies (Companies Authorised to Register) Regulations 2009, Regulation 5: Statement of capital and initial shareholdings

Extent: E+W+S+N.I.

(1) The statement of capital and initial shareholdings required to be delivered in the case of a joint stock company must comply with this regulation.
(2) It must state—
(a) the total number of shares of the company that on a date specified in the statement (“the reference date”) are held by members of the company,
(b) the aggregate nominal value of those shares,
(ba) the aggregate amount (if any) unpaid on those shares (whether on account of their nominal value or by way of premium),
(c) for each class of shares—
(i) the particulars specified in paragraph (4) below of the rights attached to the shares,
(ii) the total number of shares of that class, and
(iii) the aggregate nominal value of shares of that class. ...
(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The reference date must be not more than 28 days before the date of the application for registration.
(4) The particulars referred to in paragraph (2)(c)(i) are—
(a) particulars of any voting rights attached to the shares, including rights that arise only in certain circumstances;
(b) particulars of any rights attached to the shares, as respects dividends, to participate in a distribution;
(c) particulars of any rights attached to the shares, as respects capital, to participate in a distribution (including on winding up); and
(d) whether the shares are to be redeemed or are liable to be redeemed at the option of the company or the shareholder.
(5) The statement of capital and initial shareholdings must also state—
(a) the names and service addresses of all persons who on the reference date were members of the company, and
(b) with respect to each member of the company—
(i) the number, nominal value (of each share) and class of shares held by that member on that date, and
(ii) the amount to be paid up and the amount (if any) to be unpaid on each share (whether on account of the nominal value of the share or by way of premium).
(6) For the purposes of paragraph (5)(a) a person's “name” means his Christian name (or other forename) and surname, except that in the case of—
(a) a peer, or
(b) an individual usually known by a title,
the title may be stated instead of his Christian name (or other forename) and surname or in addition to either or both of them.
(7) Where a member of the company holds shares of more than one class, the information required under paragraph (5)(b)(i) is required for each class.

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Source: https://www.legislation.gov.uk/uksi/2009/2437/regulation/5 (the official version)
Page: https://openlegislation.uk/companies-companies-authorised-to-register-regulations-2009/regulation-5
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.