Caveat in explained: this guide covers what it means, who it applies to, the step-by-step process, documents required, fees, due dates and penalties in India — so you can stay compliant with confidence and avoid costly mistakes.
A caveat lets a person who expects to be sued ask the Tribunal not to pass orders against them without notice. Rule 25 says who may lodge a caveat, how, in what form and for how long. Rule 26 deals with signing and verifying every petition, appeal or pleading.
Any person may lodge a caveat in triplicate in any appeal, petition or application that may be instituted before the Tribunal, by paying the prescribed fee after forwarding a copy by registered post or serving it on the expected petitioner or appellant. The caveat is in Form NCLT 3C, which G.S.R. 1159(E) of 20 December 2016 inserted into Annexure A and which rule 25 now names. The Tribunal may pass interim orders in case of urgency. A caveat remains valid for ninety days from the date of its filing. Every petition or pleading carries the authorised representative's name and signature and is signed and verified by the party (rule 26). The Rules are read as amended up to the National Company Law Tribunal (Amendment) Rules, 2020 (G.S.R. 80(E), 3 February 2020).
Rule 25: lodging of caveat
Rule 25(1)
Any person may lodge a caveat in triplicate in any appeal, petition or application that may be instituted before the Tribunal, by paying the prescribed fee, after forwarding a copy by registered post or serving the same on the expected petitioner or appellant. The caveat is in the Form No. NCLT 3C (the words "in the form prescribed" were replaced by G.S.R. 1159(E) of 20 December 2016) and contains:
- such details and particulars of orders or directions;
- details of the authority against whose orders or directions the expected appeal, petition or application is to be instituted; and
- a full address for service on the other side,
so that the appeal, petition or application can be served before it, or an interim application, is taken up.
Proviso: the Tribunal may pass interim orders in case of urgency.
Rule 25(2): validity
The caveat remains valid for a period of ninety days from the date of its filing. The Rules do not say what happens on day ninety-one; a person who still expects a petition must consider lodging a fresh caveat. The days are counted under rule 3, which leaves out the first day; see the article on rules 3 to 7.
The fee is as per the Schedule of Fees; see the article on rule 112 and the Schedule. Our dispute resolution team lodges caveats where a company expects to be taken to the Tribunal.
Form NCLT-3C: headings as printed
Form NCLT 3-C, marked "see rule 25", is headed "Before the National Company Law Tribunal (Caveat No. ___ of 20__)", with "Heading as in Form NCLT 4", and titled Memorandum of Caveat.
| Item | Heading |
|---|---|
| 1 | Details of the order against which an appeal, application or petition is expected |
| 2 | (a) address for service on the caveator; (b) address for service on the counsel for the caveator |
| 3 | The authority that passed the order, with reference number and date (copy of order appealed against enclosed) |
| 4 | Details of the expected appellant(s), petitioner(s) or applicant(s), with address |
| 5 | Prayer: that no orders be passed in the appeal expected to be filed, or in any petition, application or interlocutory application by the expected appellant or petitioner, without service of notice on the caveator |
Then follows the undertaking of the caveator to accept service of the appeal, petition or application and to appear before the Tribunal on the date and time it is moved, the date, the signatures of counsel and caveator, and a Verification that the contents of the caveat are true and correct, verified at New Delhi.
Rule 26: endorsement and verification
- Rule 26(1). At the foot of every petition, appeal or pleading, the name and signature of the authorised representative appear.
- Rule 26(2). Every petition or appeal is signed and verified by the party concerned in the manner provided by the Rules.
The affidavit that verifies a petition is in Form NCLT-6 under rule 34(4); see the article on rule 34.
A caveat checklist, from the rule only
| Step | Rule |
|---|---|
| Prepare Form NCLT 3C with items 1-5, undertaking and verification | 25(1) |
| Three copies (triplicate) | 25(1) |
| Pay the prescribed fee | 25(1) |
| Forward a copy by registered post or serve on the expected petitioner or appellant | 25(1) |
| Give a full address for service | 25(1) |
| Note the ninety-day life from the date of filing | 25(2) |
| Remember that interim orders may still be passed in urgency | 25(1) proviso |
An example
Lakeview Hospitals Private Limited learns that a former director may challenge a board resolution. It lodges a caveat in Form NCLT 3C, with three copies, and sends a copy by registered post to the expected petitioner. The caveat names the resolution and the authority, gives the company's and counsel's addresses for service and asks that no order be passed without notice. It remains valid for ninety days from filing. If the former director files within that period and asks for urgent interim relief, the Tribunal may still pass an interim order in urgency under the proviso. For the wider practice, see our post on appearing before the NCLT.
Same as before the NCLAT?
The NCLAT Rules have no caveat rule and no caveat form. NCLAT rule 24 combines the NCLT rule 26 points on signature and verification into one rule. See Rules 23 to 26 of the NCLAT Rules.
What a practitioner checks
- That the caveat is in Form NCLT 3C with items 1 to 5, undertaking and verification.
- That the fee is paid and a copy has been forwarded or served on the expected petitioner or appellant.
- That the address for service is complete.
- That the ninety days are tracked.
- That every pleading ends with the representative's name and signature and is verified by the party.
Need help with a caveat before the NCLT?
A caveat is simple but time-bound. If you expect a petition against your company or your decision and want a caveat prepared and lodged, speak to our dispute resolution team.
Key takeaways
- A caveat is lodged in triplicate in Form NCLT 3C, with the prescribed fee, after forwarding or serving a copy on the expected petitioner or appellant (rule 25(1)).
- It is valid for ninety days from the date of its filing (rule 25(2)).
- The Tribunal may pass interim orders in urgency despite the caveat.
- Form NCLT 3C was inserted by G.S.R. 1159(E) of 20 December 2016.
- Pleadings carry the authorised representative's name and signature, and the party signs and verifies (rule 26).
Read next
- Rules 23, 23A and 24: presenting a petition in triplicate
- Rule 34: general procedure and Forms NCLT-1 to NCLT-6
- Annexure A: forms NCLT-1 to NCLT-18
- Rules 23-26 of the NCLAT Rules
Disclaimer: Based on the National Company Law Tribunal Rules, 2016 (G.S.R. 716(E)) as amended up to the National Company Law Tribunal (Amendment) Rules, 2020 (G.S.R. 80(E)), consulted on 3 October 2026. Later amendments, fees, forms, NCLT practice directions and the Companies Act, 2013 provisions referred to should be checked. This article is general information, not legal advice; check the official text before acting.