A guide to forms in insolvency proceedings

Resource type: Practice note: overview

Status: Maintained

Jurisdictions: England, Wales

A list of standard forms for use in restructuring and insolvency proceedings in accordance with the Insolvency Act 1986 and the Insolvency Rules 1986 (SI 1986/1925). The forms relate to company voluntary arrangements, administration, administrative receivership, liquidation, individual voluntary arrangements, bankruptcy, insolvency court procedure and practice, and the insolvency of overseas companies with UK establishments.

PLC Restructuring and Insolvency
Contents

Introduction

This note brings together standard forms for use in restructuring and insolvency proceedings in accordance with the Insolvency Act 1986 and the Insolvency Rules 1986 (SI 1986/1925) (1986 Rules). Where applicable, the forms reflect amendments brought into force by the Insolvency (Amendment) Rules 2010 (SI 2010/686) (2010 Amendment Rules) on 6 April 2010, the Insolvency (Amendment) Rules 2011 (SI 2011/785) on 6 April 2011 , and minor amendments made by Companies House on 14 March 2011.

The note comprises of links to:

  • PDF versions of forms published on the Companies House website, to be used when submitting forms to Companies House.

  • Word versions of forms published by the Insolvency Service.

  • Word versions of forms produced by PLC where such forms are not publicly available in a usable format. These are accessible by PLC subscribers only.

After each section, we have set out related PLC resources which offer further assistance.

At present, the sections relating to company voluntary arrangements, administration, and administrative receivership, represent a comprehensive list of all forms relating to these procedures. The other sections list only those forms which are publicly available in a usable format. We will be updating them to include all other forms as well.

Omitted forms under the 2010 Amendment Rules

Paragraph 502 of Schedule 1 to the 2010 Amendment Rules omitted a number of forms from the 1986 Rules. However, with a few exceptions, these forms were added under schedule 9 of the Registrar's Rules 2009 by virtue of the Registrar's (Amendment) Rules 2010. These forms are published by Companies House on their website in PDF format and are linked to within this guide. The forms that were omitted from the 1986 Rules and were not added to the Registrar's Rules 2009 are no longer in use and are not included within this guide.

 
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Company voluntary arrangements

1.1 - Notice to registrar of companies of voluntary arrangement taking effect

1.2 - Notice to registrar of companies of order or revocation or suspension of voluntary arrangement

1.3 - Notice to registrar of companies of supervisor's progress report

1.4 - Notice to registrar of companies of completion or termination of voluntary arrangement

1.5 - Nominee's statement of opinion pursuant to paragraph 6(2) of Schedule A1 to the Insolvency Act 1986 (www.practicallaw.com/2-504-8741)

1.6 - Statement of Affairs (www.practicallaw.com/3-504-9882)

1.7 - Statement of eligibility for a moratorium pursuant to paragraph 7(1)(c) of Schedule A1 to the Insolvency Act 1986 (www.practicallaw.com/5-504-9918)

1.8 - Statement of consent to act by nominee (www.practicallaw.com/7-504-9922)

1.9 - Documents to be submitted to court to obtain moratorium (www.practicallaw.com/4-504-9933)

1.10 - Advertisement of coming into force or ending of moratorium (for Gazette and other advertising) (www.practicallaw.com/6-504-9946)

1.11 - Notice to registrar of companies of commencement of moratorium

1.12 - Notice to registrar of companies of extension or further extension or renewal or continuation of moratorium

1.13 - Notice to court of extension or further extension of moratorium (www.practicallaw.com/2-504-9948)

1.14 - Notice to registrar of companies of ending of moratorium

1.15 - Nominee's notice to court of end of moratorium (www.practicallaw.com/6-504-9951)

1.16 - Notice to registrar of companies of withdrawal of nominee's consent to act

1.17 - Notice to court by nominee of withdrawal of consent to act (www.practicallaw.com/5-505-0030)

1.18 - Notice to registrar of companies of appointment of a replacement nominee

1.19 - Notice to court of appointment of replacement nominee (www.practicallaw.com/4-504-9952)

Key PLC resources on company voluntary arrangements

Practice notes:

 
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Administration

2.1B - Administration application

2.2B - Statement of Proposed Administrator

Form 2.3B (Affidavit of service of administration application) was omitted under the Insolvency (Amendment) Rules 2010 (SI 2010/686).

2.4B - Administration Order

2.5B - Notice of intention to appoint an administrator by holder of qualifying floating charge

2.6B - Notice of appointment of an administrator by holder of qualifying floating charge

2.7B - Notice of appointment of an administrator by holder of qualifying floating charge (for use in pursuance of Rule 2.19)

2.8B - Notice of intention to appoint an administrator by company or director(s)

For an amended version of form 2.8B, for use in situations where there is no qualifying floating charge holder in respect of a company's assets, see Amended version of form 2.8B (for situations where there is no qualifying floating charge holder) (www.practicallaw.com/2-519-2743).

2.9B - Notice of appointment of an administrator by company or director(s) (where a notice of intention to appoint has been issued)

For an amended version of form 2.9B, for use in situations where there is no qualifying floating charge holder in respect of a company's assets, see Amended version of form 2.9B (for situations where there is no qualifying floating charge holder) (www.practicallaw.com/2-519-3016).

2.10B - Notice of appointment of an administrator by company or director(s) (where a notice of intention to appoint has not been issued)

Form 2.11B (Notification of appointment of administrator (for Gazette and other advertising)) was omitted under the Insolvency (Amendment) Rules 2010 (SI 2010/686).

2.12B - Notice of administrator’s appointment

2.12B (CH) - Notice of administrator's appointment

2.13B - Notice requiring submission of a statement of affairs

2.14B - Statement of Affairs (Administration)

2.15B - Statement of concurrence

2.16B - Notice of statement of affairs

2.17B - Statement of administrator's proposals

2.18B - Notice of extension of time period

2.18B(CH) - Notice of extension of time period

F2.18 - Notice of deemed approval of proposals

2.19B - Notice to attend meeting of creditors (Administration)

2.20B - Notice of a meeting of creditors (Administration)

2.21B - Creditor's request for a meeting (Administration)

2.22B - Statement of administrator's revised proposals

2.22B(CH) - Statement of administrator's revised proposals

2.23B - Notice of result of meeting of creditors (Administration)

2.23B(CH) - Notice of result of meeting of creditors

2.24B - Administrator's progress report

2.24B(CH) - Administrator's progress report

2.25B - Notice of conduct of business by correspondence

2.26B - [Amended] Certificate of constitution of creditors' committee

2.26B(CH) - [Amended] Certificate of constitution of creditors committee

Form 2.27B (Notice by administrator of a change in committee membership) was omitted under the Insolvency (Amendment) Rules 2010 (SI 2010/686).

2.28B - Notice of order to deal with charged property

Form 2.29B (Affidavit of debt) was omitted under the Insolvency (Amendment) Rules 2010 (SI 2010/686).

2.30B - Notice of automatic end of administration

2.30B(CH) - Notice of automatic end of administration

2.31B - Notice of extension of period of administration

2.32B - Notice of end of administration

2.32B(CH) - Notice of end of administration

2.33B - Notice of court order ending administration

2.34B - Notice of move from administration to creditors’ voluntary liquidation

2.35B - Notice of move from administration to dissolution

2.36B - Notice to registrar of companies in respect of date of dissolution

2.37B - Notice of intention to resign as administrator

2.38B - Notice of resignation by administrator

2.38B(CH) - Notice of resignation by administrator

2.39B - Notice of vacation of office by administrator

2.40B - Notice of appointment of replacement/additional administrator

Key PLC resources on administration

Practice notes:

Standard documents and drafting notes:

 
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Administrative receivership

3.1 - Written acceptance of appointment by receiver (www.practicallaw.com/7-504-9960)

3.1A - Notice of appointment of administrative receiver (for Gazette and other advertising) (www.practicallaw.com/3-504-9962)

3.1B - Notice requiring preparation and submission of administrative receivership statement of affairs (www.practicallaw.com/6-504-9965)

3.2 - Statement of affairs (Administrative Receivership)

3.3 - Statement of affairs in administrative receivership following report to creditors

3.4 - Certificate of constitution (amended certificate) of creditors' committee

3.5 - Administrative receiver's report as to change in membership of creditors committee

3.6 (CH) - Receiver or manager or administrative receiver's abstract of receipts and payments

3.7 - Notice of administrative receiver's death

3.8 - Notice of order to dispose of charged property.

3.10 - Administrative receiver's report

Companies House Forms

RM01 Notice of appointment of an administrative receiver, receiver or manager (www.practicallaw.com/0-521-1417)

For drafting guidance, see Drafting note, Completing form RM01: Notice of appointment of an administrative receiver, receiver or manager (www.practicallaw.com/0-525-8990).

RM02 Notice of ceasing to act as an administrative receiver, receiver or manager (www.practicallaw.com/0-525-6547)

Key PLC resources on administrative receivership

Practice notes:

Standard documents and drafting notes:

 
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Liquidation

4.1 - Statutory Demand under section 123(1)(a) or 222(1)(a) of the Insolvency Act 1986

4.2 - Winding-Up Petition

4.6 - Advertisement of Winding-Up Petition (www.practicallaw.com/8-508-5655)

4.7 - Certificate that Relevant Provisions of Rules have been Complied with

4.9 - Notice of Intention to Appear on Petition

4.10 - List of Persons Intending to Appear on the Hearing of the Petition

4.12 - Order for winding up by the court following upon the cessation of appointment of an administrator

4.14 - Petition by contributory (www.practicallaw.com/4-509-3921)

4.15A - Notice of appointment of provisional liquidator in winding up by the court

4.17 - Statement of Affairs (section 131 -winding up by court)

4.18 - Statement of affairs (section 95 - voluntary liquidator)

4.19 - Statement of affairs (section 99 creditors' voluntary winding up)

4.20 - Statement of company's affairs

F4.20 - Notice of revised account

4.21 - Request by creditor(s) for a meeting of the company’s creditors [and contributories] (www.practicallaw.com/4-507-5168)

4.25 - Proof of Debt – General Form

4.31 - Notice of appointment of liquidator in winding-up by the court

4.33 - Notice of resignation as voluntary liquidator under section 171(5) of Insolvency Act 1986

4.35 - Order of court granting voluntary liquidator leave to resign

4.38 - Certificate of removal of voluntary liquidator

F4.39 - Notice of termination of appointment of provisional liquidator

4.40 - Notice of ceasing to act as voluntary liquidator

F4.41 - Notice of statement of affairs

4.43 - Notice of final meeting of creditors

4.44 - Notice of death of voluntary liquidator

4.46 - Notice of vacation of office by voluntary liquidator

F4.47 - Notice of removal of liquidator

4.48 - Notice of constitution of liquidation committee

4.49 - Report by liquidator of any change in membership of Liquidation Committee (www.practicallaw.com/2-519-3988)

4.50 - Liquidator’s certificate that creditors paid in full

4.51 - Certificate that creditors have been paid in full

4.52 - Liquidator's certificate of continuance of liquidation committee

4.53A - Notice of Disclaimer under section 178 of the Insolvency Act 1986

4.68 - Liquidator's progress report

4.69 - Order of court on appeal against secretary of states decision under section 203(4) & 203(5) Insolvency Act 1986

4.70 - Statutory Declaration of Solvency Embodying a Statement of Assets and Liabilities (www.practicallaw.com/7-525-5926)

4.71 - Return of final meeting in a members' voluntary winding up

4.72 - Return of final meeting in a creditors' voluntary winding up

4.73 - Notice to the creditors of an insolvent company of the re-use of a prohibited name (www.practicallaw.com/6-506-1882)

F9.4 - Notice of constitution of creditors or liquidation committee

F10.2 - Notice to registrar of companies of notice of disclaimer under section 178 of the Insolvency Act 1986

12.1 - Notice to registrar of companies in respect of order under section 176a

600 - Notice of appointment of liquidator, voluntary winding up (members or creditors) (www.practicallaw.com/6-508-5680)

600a - Notice of appointment of liquidator, voluntary winding up (members or creditors) for insertion in the Gazette (www.practicallaw.com/5-508-5685)

Key PLC resources on liquidation

Practice notes:

Standard documents and drafting notes:

 
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Individual voluntary arrangements

5.2 - Interim order of court under section 252 of the Insolvency Act 1986

5.4 - Alternative orders to be made at hearing to consider chairman's report

5.6 - Voting form in relation to a proposal for a voluntary arrangement under section 263A of the Insolvency Act 1986

5.7 - Order of annulment under section 261 of the Insolvency Act 1986

5.8 - Order of annulment under section 263D of the Insolvency Act 1986

Key PLC resources on individual voluntary arrangements

Practice notes:

 
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Bankruptcy

6.1 - Statutory demand under section 268(1)(a) of the Insolvency Act 1986 - debt for liquidated sum payable immediately

6.2 - Statutory demand under section 268(1)(a) of the Insolvency Act 1986 - debt for liquidated sum payable immediately following a judgment or order of the court

6.3 - Statutory demand under section 268(2) of the Insolvency Act 1986 - debt payable at future date

6.4 - Application to set aside a statutory demand

6.5 - Witness statement in support of application to set aside statutory demand

6.7 - Creditor's bankruptcy petition on failure to comply with a statutory demand for a liquidated sum payable immediately (www.practicallaw.com/3-502-3405)

Note: a certificate confirming that the petitioner has conducted a search for prior bankruptcy petitions against the debtor, must be included at the end of the form. For more information, see Practice note, Practice direction on insolvency proceedings (February 2012): a guide to the changes: Search for prior bankruptcy petitions (www.practicallaw.com/1-518-4437).

6.8 - Creditor's bankruptcy petition on failure to comply with a statutory demand for a liquidated sum payable at a future date

Note: a certificate confirming that the petitioner has conducted a search for prior bankruptcy petitions against the debtor, must be included at the end of the form. For more information, see Practice note, Practice direction on insolvency proceedings (February 2012): a guide to the changes: Search for prior bankruptcy petitions (www.practicallaw.com/1-518-4437).

6.9 - Creditor's bankruptcy petition where execution or other process on a judgment has been returned in whole or part

Note: a certificate confirming that the petitioner has conducted a search for prior bankruptcy petitions against the debtor, must be included at the end of the form. For more information, see Practice note, Practice direction on insolvency proceedings (February 2012): a guide to the changes: Search for prior bankruptcy petitions (www.practicallaw.com/1-518-4437).

6.10 - Bankruptcy petition for default in connection with voluntary arrangement

Note: a certificate confirming that the petitioner has conducted a search for prior bankruptcy petitions against the debtor, must be included at the end of the form. For more information, see Practice note, Practice direction on insolvency proceedings (February 2012): a guide to the changes: Search for prior bankruptcy petitions (www.practicallaw.com/1-518-4437).

6.11 - Certificate of Personal Service of Statutory Demand

6.13A - Statement of Truth of Statements in Bankruptcy Petition

6.17A - Certificate of personal service of bankruptcy petition

6.18A - Certificate of substituted service of bankruptcy petition

6.21 - List of creditors intending to appear on hearing of the bankruptcy petition

6.25 - Bankruptcy order on creditor's petition

6.26 - Application for registration of a bankruptcy order against an individual under the Land Charges Act 1972

6.27 - Debtor’s Bankruptcy Petition

6.28 - Statement of Affairs (Debtor's Petition)

6.30 - Bankruptcy order on debtor's petition

6.34 - Request by creditor(s) for a meeting of the bankrupt's creditors (www.practicallaw.com/4-507-5229)

6.37 - Proof of Debt — General Form

6.61A - Notice of disclaimer under section 315 of the Insolvency Act 1986

6.72 - Order of suspension of discharge under section 279(3) of the Insolvency Act 1986

6.73 - Order of court lifting suspension of discharge

6.79A - Charging order under section 313 of the Insolvency Act 1986

6.80 - Order to post office under section 371 of the Insolvency Act 1986

6.81 - Variation of income payments agreement under scetion 310A of the Insolvency Act 1986

6.83 - Notice to interested parties of a dwelling-house falling within section 283A of the Insolvency Act 1986

6.84 - Certificate issued pursuant to Rule 6.237B(1) of the Insolvency Act 1986

Key PLC resources on bankruptcy

Practice notes:

Standard documents and drafting notes:

 
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Court procedure and practice

7.1A - Application Notice (www.practicallaw.com/7-501-4927)

7.20A - Confirmation by court of creditors' voluntary winding up application and order

Key PLC resources on court procedure and practice

Practice notes:

 
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Overseas companies

Companies House forms

OS LQ01 Notice of appointment of a liquidator of an overseas company (www.practicallaw.com/7-422-1971)

OS LQ02 Notice by an overseas company which becomes subject to proceedings relating to insolvency (www.practicallaw.com/5-422-1571)

OS LQ03 Notice of winding up of an overseas company (www.practicallaw.com/9-422-1970)

OS LQ04 Notice by an overseas company on cessation of proceedings relating to insolvency (www.practicallaw.com/7-422-1570)

OS DS01 Notice of closure of a UK establishment of an overseas company (www.practicallaw.com/5-422-1972)

OS DS02 Notice of termination of winding up of an overseas company (www.practicallaw.com/3-422-1572)

Judicial factor in Scotland

The forms below relate to the appointment, change of service address, and termination of a judicial factor in Scotland for an overseas company. Scottish law and practice are otherwise outside the scope of PLC Restructuring and Insolvency.

OS AP06 Appointment of a judicial factor (Scotland) for an overseas company (www.practicallaw.com/6-422-1580)

OS CH08 Change of service address for a judicial factor (Scotland) of an overseas company (www.practicallaw.com/3-422-1973)

OS TM04 Termination of appointment of judicial factor (Scotland) of an overseas company (www.practicallaw.com/4-422-1977)

Cross-Border Insolvency Regulation 2006 forms

Form ML1 - Recognition application (www.practicallaw.com/8-525-2772)

Form ML2 - Recognition order (www.practicallaw.com/9-525-2776)

Form ML3 - Statement of subsequent information (www.practicallaw.com/7-525-2777)

Form ML4 - Originating application (www.practicallaw.com/5-525-2778)

Form ML5 - Ordinary application (www.practicallaw.com/3-525-2779)

Form ML6 - Affidavit of service of application under the Cross-Border Insolvency Regulations 2006 (www.practicallaw.com/1-525-2780)

Form ML7 - Notice to registrar of companies of order under the Cross-Border Insolvency Regulations 2006 (www.practicallaw.com/7-525-2782)

Form ML8 - Notification of order under the Cross-Border Insolvency Regulations 2006 (for newspaper and London or Edinburgh Gazette) (www.practicallaw.com/5-525-2783)

Key PLC resources on cross-border insolvency

Practice notes:

Related external resources

 
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  • Resource ID: 0-504-7752
  • Products:  PLC UK Dispute Resolution, PLC UK Finance, PLC UK Public Sector, PLC UK Restructuring and Insolvency
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