Unclaimed Property Booklet A

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Kentucky Department of TreasuryU

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2009Report Forms

Instructions

TODD HOLLENBACHKENTUCKY STATE TREASURER

www.kytreasury.com

1050 US Hwy. 127 S., Suite 100 • Frankfort, KY 40601

Dear Unclaimed Property Holder:

In the State Treasurer’s office, one of our major focuses is to unite as muchunclaimed property to as many owners as possible. We strive to achieve thiswith the highest level of service to the public.

In order to meet this challenge, we need your help. My overall goal is topromote voluntary compliance from holders. As an unclaimed property holder,you play a vital role in fulfilling our mission of reuniting owners with theirproperty. We encourage you to report all unclaimed property you may beholding. We also ask you to provide us with as much detailed information aspossible to assist us in locating the owners. Please file your report on disketteto make the process more accurate and efficient.

Kentucky has over $244 million in unclaimed assets that we’re working hard to return to the rightfulowners - the taxpayers of Kentucky. To get the word out to the public, we run ads in newspapersinforming the citizens of the Commonwealth about our program, and we directly address the holdercommunity through speaking engagements to provide guidance with the reporting process.

Now, through our website, you can search the Kentucky Department of Treasury unclaimed propertydatabase, as well as databases throughout the country. Reporting forms and instructions are alsoavailable on our website.

Last fiscal year, we returned approximately $11.3 million, 106,000 shares and 118 safe deposit boxes inunclaimed property to the rightful owners. We are determined to return even more as a way to invest inthe future of Kentucky by giving back to citizens what’s rightfully theirs.

To that end, this booklet contains clearly written instructions and easy to use reporting forms thatwill enable you to accurately report the property you hold. We hope you won’t hesitate to contactour office at 1-800-465-4722 or e-mail us at [email protected] if you have any questions.

Thank you for allowing me to serve as your State Treasurer. I look forward to working with youon programs that invest in Kentucky’s future.

Sincerely,

Todd HollenbachKentucky State Treasurer

Table of Contents

Getting Started ................................................................. 4-5

Diskette Reporting .............................................................. 6

Holder Report Forms

Interest Bearing Accounts ....................................... 7

Reporting MoneyInstructions .................................................................. 8Form ........................................................................... 9

Zero ReportingInstructions ................................................................ 11Form ......................................................................... 12

Reporting Securities/StockInstructions ............................................................... 13Form ......................................................................... 14

Reporting Safe Deposit Box ContentsInstructions ............................................................... 15Form ......................................................................... 16

Owner Notification ............................................................ 17

Extension Request Form .................................................. 18

Holder Request for Reimbursement ............................... 19

Frequently Asked Questions ........................................... 20

Reporting for Other States ............................................... 21

Property Codes with Dormancy Periods ........................ 22

Glossary of Terms ............................................................. 23

Checklist ............................................................................ 24

Unclaimed Property Offices by State ......................... 25-263

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GETTING STARTEDFILING YOUR UNCL

REPORT IS ASIdentify the Unclaimed Property to be filed with theKentucky Department of Treasury. This includes savingsand checking accounts, unclaimed wages, dividends,credit balances, gift certificates, money orders and any typeof outstanding checks or other property with no ownerinitiated contact for 3 years. For a detailed listing, pleaserefer to page 22.

Try to locate the owners of the Unclaimed Property thatyou are holding. KRS 393 requires holders to send a letter tothe owner at the owner’s last known address during the legalnotification period (also called the Owner NotificationPeriod), A sample letter is provided on page 17. Ownersmust be notified not more than 120 days or less than 60 daysbefore the report is filed. See Unclaimed Property Time Linebelow.

Unclaimed Property Time LineALL HOLDERS

July 1, 2008 - June 30, 2009 July 1, 2009 - September 1, 2009 November 1, 2009(no more than 120 days or less than 60 days before filing)

REPORTING PERIOD HOLDERS TRY TO LOCATE OWNER REPORT & REMITTANCE DUE(NOTIFICATION PERIOD)

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Property Types:Important Dates & Deadlines

HOLDER PROPERTY DORMANCY REPORTING DATE OF LAST NOTIFICATION REPORT &TYPE TYPE PERIOD PERIOD ACTIVITY PERIOD REMITTANCE DUE

AIMED PROPERTYEASY AS 1●2●3

Send report and funds to the KentuckyDepartment of Treasury by November 1.Checks should be made payable toKentucky State Treasurer.

Incomplete & incorrectly completedreports will be returned to the holder.Report shall include all ownerinformation such as name, address, SocialSecurity number or FEIN, date of birth,policy or account number, etc.

Any businessassociation of 2 ormore individuals-including financial

institutions

Estates With NoHeirs

State &Federal Courts

All – excepttravelers’ checks1

and wages lessthan $502

ALL

ALL

3 years

1 year

5 years

7/1/08 - 6/30/09

7/1/08 - 6/30/09

7/1/08 - 6/30/09

7/1/05 - 6/30/06

7/1/07 - 6/30/08

7/1/03 - 6/30/04

7/1/09 - 9/1/09

7/1/09 - 9/1/09

7/1/09 - 9/1/09

11/1/09

11/1/09

11/1/09

EXAMPLEIf you are a business and have identified uncashed payroll checks that are greater than $50 in value and which aredated 6/30/06 or earlier, you should report them as unclaimed property for the reporting period 7/1/08 - 6/30/09.You should attempt to notify the check’s payee at his or her last known address after 7/1/09 and before 9/1/09. Ifthese attempts fail, you must remit the face amount of each unclaimed payroll check along with the report that yousubmit on 11/1/09.

Unclaimed property reporting documentation should be retained.

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1 All travelers’ checks must be dormant for a period of 7 years before they are considered abandoned and reportable to thestate.2 Wages under $50 are no longer required to be reported to the state.

Diskette ReportingFile by diskette if reporting more than 10 owner accounts-

this includes Safe Deposit Box contentsReport will be returned if not accompanied with disk

Diskette reporting saves time and money. It’s easier, faster, and more accurate than having to enter data twice.

To file by diskette you can log onto the Wagers & Associates web site (www.wagers.net). Just click on HRS Pro (holderreporting systems) and then download HRS Pro (Free Edition). Contact our office with questions.

NOTE:Each diskette must include an external label with holder name, Federal Identification number, total amount ofmoney and number of stock and safe deposit boxes being reported.

NOTE:We are only accepting NAUPA II format - spreadsheets are no longer accepted.

NOTE:Make sure you secure the latest version of HRS Pro. It encrypts data before it is submitted as unclaimedproperty. If not using NAUPA II electronic files generated by HRS Pro, then encryption would be necessary.Submit E-mail password to [email protected] with Federal Identification Number.

NOTE:Please be sure that all information is in the correct fields before submitting the diskette. Submit the diskettealong with your check or property. If reporting safe deposit box contents by diskette, please send contents underseparate cover.

NOTE:When reporting name suffixes and prefixes, please enter this information in the title field and not in the lastname field.

NOTE:Do not report known names of accounts $100 and under as aggregate. List the owner names and amountsindividually.

NOTE:Our owner type codes are: 1 - aggregate, 4 - other, 7 - unknown.

6

INTEREST BEARING ACCOUNTSPursuant to the provisions of KRS 393.130(5), 20 KAR 1:090 provides that each interest bearing account shouldbe placed in accounts titled in the original owner’s (depositor’s) name, assignable to the Commonwealth ofKentucky, Department of Treasury.

The rate of interest earned by each assignable account must be the same as the contract rate earned by the predecessoraccount. No fees or charges shall be imposed by the holder from and after the date of presumption of abandonment.Assignable accounts can be set up as a new account or as a name change effected by the institution.

Enter these accounts on the holder report form on page 9. Be sure to report each account individually (i.e., noaggregates) and note that interest bearing accounts for out-of-state owners cannot be reported.

Note: Any interest bearing accounts with address not in Kentucky must be reported as regular unclaimed property andmoney must be remitted.

Also, please do not report accounts that have been reported in previous years. Instead, ANNUAL STATEMENTSshould be sent and should include the following information:

Account number

Name of the property owner

Principal amount at the beginning of the reporting year

Contract rate of interest

Interest accruing for the reporting year

Total value of the account at the end of the reporting year (June 30)

Original reporting year on statement

Note: In accordance with KRS393.060, Holders are required to remit Interest Bearing accounts they have previouslyreported as unclaimed property and held for ten years. Accounts reported in 1999 are due to be remitted in 2009. DONOT INCLUDE THESE PROPERTIES ON THE 2009 HOLDER REPORT FORM. Instructions for remittingInterest Bearing accounts will be provided to the respective companies.

Important: Please notify our office in writing when an account previously reported has been claimed by itsowner or has been closed.

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diskette reporting...diskette reporting...diskette reporting...

HOLDER REPORT FORMINSTRUCTIONS

Holder Information:

Line 1: Enter the holder’s name & current mailing address. Please type or legibly print.

Line 2: If there has been a change in the name of the holder or in the address print that information here.

Line 3: Enter the holder’s federal identification number. Enter the name and telephone number of the person weshould call about the report.

Line 4: Enter the holder’s state and date of incorporation as well as the date of the holder’s fiscal year end.

Line 5: Enter the holder’s total assets, annual sales/income and number of employees nationwide.

Line 6: If all branches, divisions & subsidiaries of the holder are not covered by this report, check no.

Line 7: If the company has had a name change, check name change and list the previous and current name. If amerger has taken place, list the primary and secondary holder names.

Property information:

Line 1: If reporting interest bearing accounts assignable to the Commonwealth of Kentucky, Department of Trea-sury, enter the total of these accounts here. Please note that these accounts are not required by law tobe remitted, but shall remain at the reporting institution for a period of ten years or until claimedby the rightful owner. See page 7

Line 2: Enter the total number of stock shares for all accounts listed on the stock form.

Line 3: Enter the number of safe deposit boxes listed on the safe deposit form.

Line 4: Enter the total of all accounts $100.00 & under reported in aggregate. Accounts reported as total aggregateamounts and not on disk must be claimed directly from the Holder and the Holder must seek Reimbursement.

Line 5: Enter the total of all accounts over $100.00 listed on the reverse.

Line 6: Enter the total of the money accounts from lines 4 & 5.Submit that amount with the report.

Sign and date the report before remitting. Make check payable to KENTUCKY STATE TREASURER.Remittance must accompany report.

All owner information including addresses, Social Security numbers, account numbers, birth dates and othersignificant information must be included on the back of this report. Any accounts with more than one owner listed mustinclude the type of relationship (example: and , or, custodian, trustee, etc.) on this form.8

2009

ALL SECTIONS MUST BE COMPLETED1. HOLDER NAME & ADDRESS: 2. Below insert name or address changes

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

3. FEIN ______ ________________ Contact Person: ___________________ Tel. # __________________

4. State of Incorporation ______ Date of Inc. _____________ Fiscal year end ________________________

5. Total Assets ____________________ Annual sales/income ______________ # Employees __________

6. Does this report include all branches, divisions & subsidiaries? ❍ Yes ❍ No

7. If Company has changed its name or completed a merger, complete this section.

❍ Name change From: _____________________________ To: _____________________________

❍ Merge Primary: ___________________________ Secondary: ______________________INFORMATION ABOUT PROPERTY YOU ARE HOLDING1. Total value of property placed in interest bearing accounts in 2009. . . . . . . . $ _________________________

DO NOT INCLUDE 1999 REPORTS (financial institutions only, see page 7)2. Total number of unclaimed stock shares (list accts. on securities form) . . . . . . . __________________________3. Number of unclaimed safe deposit boxes (list accts. on safe deposit form) . . . __________________________4. Total value of accounts under $100.00 being remitted (reported as aggregate) . . . $ _________________________5. Total value of accounts over $100.00 being remitted (list accts. on reverse) . . . $ _________________________6. Total value of money remitted (total of lines 4 and 5) . . . . . . . . . . . . . . . . . . $ _________________________

Attach check & stock certificates to this holder report. Make check payableto: Kentucky State Treasurer. DO NOT ATTACH SAFE DEPOSIT BOXCONTENTS TO THIS REPORT.

Read page 17 before signing affidavitVERIFICATIONI, ________________________________, swear that I have prepared, or have caused to be prepared, andhave examined this report as to property presumed abandoned under KRS 393 and other applicable state laws.I am duly authorized to execute this verification by the holder and by law. To the best of my knowledge andbelief, said report is true, correct, and complete.E-MAIL ADDRESS _________________________________________________

Signature __________________________________ Title __________________________ Date _________

OFFICE USE ONLYReceipt # _______ HID #________ Balanced________

DO YOU NEED MORE TIME? (SEE PAGE 18)KENTUCKY DEPARTMENT OF TREASURY ● UNCLAIMED PROPERTY DIVISION ● 1050 US HWY. 127 S., SUITE 100, FRANKFORT, KY 40601

TOLL-FREE (800) 465-4722 ● FAX (502) 564-4200 ● www.kytreasury.com ● e-mail: [email protected]

TREAS 400

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This form may be duplicated.10

HOLDER REPORT FORM (ZERO REPORTS)INSTRUCTIONS

Line 1: Enter the holder’s name & current mailing address. Please type or legibly print.

Line 2: If there has been a change in the name of the holder or in the address, print that information here.

Line 3: Enter the holder’s federal identification number. Enter the name and telephone number of the personwe should call about the report.

Line 4: Enter the holder’s state and date of incorporation as well as the date of the holder’s fiscal year end.

Line 5: Enter the holder’s total assets, annual sales/income and number of employees nationwide.

Line 6: If all branches, divisions & subsidiaries of the holder are not covered by this report, check no.

Line 7: If the company has had a name change, check name change and list the previous and current name. If amerger has taken place, list the primary and secondary holder names.

NOTE: Diskette reporting is not available for zero reports.

NOTE: Holders with no unclaimed property to report arerequired to file a negative (zero) report.

Only use this form if you DO NOT have any properties to report.

Sign and date the verification section of this report before remitting.

11

By using this report form, I affirm that all records have been researched per KRS Chapter 393 and nounclaimed property is reportable.1. HOLDER NAME & ADDRESS: 2. Below insert name or address changes

Place label from back cover here

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

_____________________________________________ ______________________________________

3. FEIN ______ ________________ Contact Person: ___________________ Tel. # __________________

4. State of Incorporation ______ Date of Inc. _____________ Fiscal year end ________________________

5. Total Assets ____________________ Annual sales/income ______________ # Employees __________

6. Does this report include all branches, divisions & subsidiaries? ❍ Yes ❍ No

7. If Company has changed its name or completed a merger, complete this section.

❍ Name change From: _____________________________ To: _____________________________

❍ Merge Primary: ___________________________ Secondary: ______________________

VERIFICATIONI, ________________________________, swear that I have prepared, or have caused to be prepared, andhave examined this report as to property presumed abandoned under KRS 393 and other applicable state laws.I am duly authorized to execute this verification by the holder and by law. To the best of my knowledge andbelief, said report is true, correct, and complete.

Signature_________________________________

Title _____________________________________

Date ____________________________________

DO YOU NEED MORE TIME? (SEE PAGE 18)

KENTUCKY DEPARTMENT OF TREASURY ● UNCLAIMED PROPERTY DIVISION ● 1050 US HWY. 127 S., SUITE 100, FRANKFORT, KY 40601TOLL-FREE (800) 465-4722 ● FAX (502) 564-4200 ● www.kytreasury.com ● e-mail: [email protected]

DISKETTE REPORTING IS NOT AVAILABLEHOLDER REPORT FORM (ZERO REPORT)

12

2009TREAS 400(A)

INSTRUCTIONS FOR REPORTING SECURITIES/STOCKS

The Report of Unclaimed Securities isused to report and remit:● Common stock ● Mutual Funds● Stock Warrants ● Partnership Units● Preferred Stock ● Restricted Stock● Dividend Reinvestment Plans (DRPs)● Any other applicable security type propertyAny monetary type property, even if it isrelated to a security (for example, dividends),should be reported on this form and not onthe OWNERS OF UNCLAIMED PROPERTYform, page 10.

***ATTENTION***Dividend Reinvestment Plan (DRP’s): AllDRP’s should be terminated prior to delivery tothe state of Kentucky. Deliver a certificate forwhole shares and a check for cash in lieu offractional shares with your report.Worthless/Nontransferable Securities: DONOT report worthless or transferable securitiesto the Kentucky Department of Treasury. If thesecurities become transferable or gain value,report and remit shares at that time.

Please type or legibly print your report.

A HOLDER NAME: Enter the holder’s name asit appears on the Holder Report Form.

B TAX ID NUMBER: Enter the holder’s taxID number. Use this number on all relatedcorrespondence.

C PAGE: Enter the page number of the report(for example, 1 of 2).

D COLUMN ENTRIES: All shaded areas arefor Department use only.

1 Enter the property code. (Refer to thetable on page 22.)

2 Enter the CUSIP number for the securitybeing reported. If mutual fund, enter typeof fund and fund number.

3 Enter the issue name of the securitybeing reported.

4 Enter the owner’s account number if reporting mutualfunds.

5 List the last name, first name, and middle name (ifknown) of the shareholder being reported, and thecomplete last known address, even if that address isknown to be invalid.

6 Enter the shareholder’s Social Security number.

7 Enter the shareholder’s last activity date (for example,the date of the last cashed check or othercommunication).

8 Enter the number of shares being reported for theshareholder.

9 Enter amount of dividends.

E Number DEPOSITORY TRUST COMPANY (DTC)/PHYSICAL SHARES: Enter the total number of sharesreported in DTC or physical form. Please submit one of thefollowing: stock certificate, statement or receipt.

F PAGE TOTAL: Enter the total number of shares reportedon the current page.

G REPORT TOTAL: Enter the total number of sharesreported (last page only).

Remittance of Securities

Stock Certificates:All stock certificates must be registered with theFEIN 61-0600439 before remitting the securities reportto Kentucky Department of Treasury. All detail pagesshould be included with the holder report files. If you have anyquestions, feel free to contact the Unclaimed PropertySecurities staff at (800) 465-4722.

Depository Trust Company (DTC) Deposits:If you are a broker or holder transferring a position throughDTC, please fax a listing to the Kentucky Department ofTreasury at (502) 564-4200. The list should include KentuckyAccount number 16140246, DTC participant #780, CUSIP,and share amount.

Mutual Fund Accounts:All mutual fund accounts must be registered as KentuckyDepartment of Treasury with FEIN 61-0600439.Submission of quarterly statements is requested.

diskette reporting...diskette reporting...diskette reporting...13

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INSTRUCTIONS FOR REPORTING SAFE DEPOSIT BOX CONTENTS

How to Report:

The REPORT OF UNCLAIMED SAFEDEPOSIT BOX CONTENTS is used toreport safe deposit box contents andsafekeeping items only. Please file this reportby diskette and attach your diskette to theHolder Report Form (page 9). If you do nothave the capability to report by diskette, pleasecomplete the form on page 16 and mail it withthe Holder Report Form. DO NOT ATTACHSAFE DEPOSIT REPORTS TO THECONTENTS.

When to Remit:

Send all safe deposit box contents orsafekeeping items with the November report.Packages should be clearly marked with theowners name. Attach check to holder reportform & keep separate from contents. Allcurrency must be sent intact (DO NOT depositand issue a bank check for currency amount).

Please type or legibly print your report.

A HOLDER NAME: Enter the holder’s name asit appears on the Holder Report Form.(TREAS 400).

B TAX ID NUMBER: Enter the holder’s taxID number. Use this number on all relatedcorrespondence.

C PERIOD COVERED: Enter the periodcovered for this report.

D PAGE: Enter the page number of the report(for example, 1 of 2).

E DETAIL ITEMS: All shaded areas are forDepartment use only.

1 Enter the safe deposit box number orsafekeeping location where thecontents were held.

2 Enter the full name (last name first) ofthe owner(s) of the safe deposit box orsafekeeping item.

a) Be sure to include information thatwould aid in identification, such asJr., Mrs., etc., after the middlename or initial.

b) Corporate titles and the like should be enteredexactly as adopted, except that the word “The”should be placed at the end of the name line.

c) If a safe deposit box has two owners, the namesof both must be shown with the relationship (forexample, “trustee for,” “and,” “or,” etc.).

3 Enter the owner’s Social Security number.

4 Enter the last known address of the owner of the safedeposit box. If the safe deposit box has two or moreowners, addresses that are not the same for each ownermust be shown. Out of state contents NOT acceptable.

5 Enter the date the rental period expired on the safe depositbox, or in the case of safekeeping items, the date of the lastcontact with the owner.

6 Enter the name of the bank branch location where propertywas held. List the complete address including the zip code.

7 Enter the amounts due to the holder. These amounts caninclude unpaid safe deposit box rental charges and drillingfees. DO NOT deduct any of these costs from any cashthat may be in the box at this time. After the items aresold by the department the holder may requestreimbursement.

8 Enter an itemized description of the safe deposit box orsafekeeping contents. The safe deposit box contents willbe accepted or rejected based on the descriptionprovided. Reminder-if over 10 owners, must be submittedon diskette. Use the following examples in completing yourdescriptions:

a) one gold-colored ring with two clear stonesb) one pair screw back earrings, each with one ruby-

like stonec) one coin wrapper containing 50 US pennies dated

1918-1964 (if wrapper is empty, please soindicate)

d) one hand pellet-gun with black metal barrel

All packages containing weapons,sharp objects or hazardousmaterials MUST be clearlymarked and weapons MUST beunloaded.

NOTE: One item per line of description.

15You are not required to register securities found within contents

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diskette reporting...diskette reporting...diskette reporting...SAMPLE LETTER

OWNER NOTIFICATIONPer 20 KAR 1:080 section 1: Notification letters must be sent for any property val-ued at $100 or more. The letters must be sent no more than 120 days or less than60 days before the report is filed.

NOTE: Please do not include Treasury personnel names on these letters.

July 1, YEAROwner NameOwner AddressCity, State Zip

RE: (Property Description)We are holding unclaimed property of at least $100 due to the person listed above. The

owner may claim this property by contacting us at the address and/or phone number

listed below:Holder Information: Company NameAddress

Phone NumberThis property may be turned over to the Kentucky Department of Treasury where it will

be held indefinitely or until the owner claims it.

Sincerely,Unclaimed Property Division

Signed

DateStreet Address (Include Number)

CityState

Zip Code CountyAction to be taken: (PLEASE CHECK ONE)❍ Reissue Check

❍ Update Account❍ Close Account and Send Check

❍ Other (explain)

(original is / is not enclosed) (passbook is / is not enclosed) (passbook is / is not enclosed)_______________________

_______________________

Comments ___________________________________________________________________________________________________________

___________________________________________________________________________________________________________________

___________________________________________________________________________________________________________________

PLEASE SIGN BELOW TO ACKNOWLEDGE OWNERSHIP OF THE ABOVE LISTED FUNDS

---------------------------------------------------------------------------------------------------------------------------------------------

17

UNCLAIMED PROPERTYHOLDER REPORTING EXTENSION REQUEST FORM

Due by November 1, 2009

KENTUCKY DEPARTMENT OF TREASURYDIVISION OF UNCLAIMED PROPERTY1050 US HWY. 127 S., SUITE 100FRANKFORT KY 40601

Fiscal Year 2009 representing property presumed abandoned during the Fiscal Year ended June 30, 2009.

State the reason(s) an extension is requested: _______________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Check the additional time requested to complete the report: 30 days 60 days

We are aware of Kentucky’s requirement to remit by November 1, 2009, the total (or best estimate) ofabandoned property owed in order to avoid possible penalties. This extension only applies to the filing of theHolder Report Form.

I am duly authorized to execute this request for an extension by the holder.

Holder Name ______________________________ Date of Request ___________________________________

Contact Name _____________________________ FEIN___________________________________________

Telephone No. _____________________________ Fax No._________________________________________

Signature___________________________________ E-Mail: ________________________________________

DEPARTMENT USE ONLY

The following criteria will be considered in evaluating the request.

Adequate Inadequate

Previous Filing History (if filed) _______ ______Timeliness of Filing _______ ______Previous Extension Requests (consecutive) _______ ______

____________________________________________________ Date __________________Department Staff Member

Extension Approved ____ Extension Denied ____ Report will be due on________________

MAIL THIS FORM TO THE ABOVE ADDRESS OR FAX TO (502) 564-4200

18

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diskette reporting...diskette reporting...diskette reporting...

FREQUENTLY ASKED QUESTIONSQ. What is unclaimed property?A. All intangible property unclaimed by its owner

for a specific period of time, called a dormancyperiod. Unclaimed property may include:dormant savings and checking accounts,unclaimed wages, dividends, credit balances andany type of outstanding checks. (For a moredetailed list, see page 22.)Tangible property may include contents ofsafe deposit boxes or items left in safekeeping.

Q. Who is a holder?A. All business entities of two or more

individuals doing business in Kentucky.

Q. If a holder pays an account to an ownerafter the account has been paid to thestate, how does the holder getreimbursed?

A. Before refunding an account to an owner,the holder should contact the KentuckyDepartment of Treasury UnclaimedProperty Division and make sure theaccount is available to claim. Then theUnclaimed Property Division will send areimbursement form.

Q. Why does Kentucky have an UnclaimedProperty Law?

A. ● To protect the property rights of the ownerand to reunite the owner with the property.

● To relieve the holders of the expense andliability of carrying the property.

● To provide a centralized search locationfor citizens.

Q. Is there a minimum amount?A. No. Businesses must report all unclaimed

property, no matter how small, except forwages under $50. The State Treasurersafeguards the property forever.

Q. How can Kentucky citizens find theirlost property?

A. Call the business that may be holding it orthe Kentucky Department of Treasury, andask if we are holding property for you, orsearch online at www.kytreasury.com.

Q. How should I report any unclaimed property that Imay have?

A. Report by submitting your information on a “3 1/2” disketteset up in the NAUPA Standard Electronic Format.

Q. What does the state require for notification to theowner?

A. The holder must send written notice to the owner at theowner’s last known address if the property is valued at$100 or more. (See page 17.)

Q. What happens if a holder does NOT report unclaimedproperty?

A. A holder who fails to report, pay or deliver propertywithin the time prescribed by law will be subject to allpenalties under KRS 393.Nonfilers may be subject to audit.

Q. What attempts are made by the holder and the stateto find the rightful owner?

A. The first attempt to locate the owner is made by the holder.A notice is mailed to the owner’s last known address.Once the property has been reported to the state, theState Treasurer searches for the owner by publishing anannual advertisement.The State Treasurer uses other outreach opportunitiesincluding the internet, fairs, media, state conventions andmalls to locate owners. City, county and state publicofficials are also an important part of owner outreach.The State Treasurer serves as the custodian until theproperty is claimed.

Q. What do financial institutions (banks, credit unions,savings & loans, etc.) do with interest bearingaccounts?

A. Interest bearing accounts should be placed in accounts titledin the owner’s (depositor’s) name, assignable to theCommonwealth of Kentucky, Department of the Treasury,and must earn the same rate of interest as the contract ratefor the predecessor account with no fees assessed againstthe accounts. Page 7 contains detailed instructions forinterest bearing account reporting.

Q. What is the aggregate reporting amount in the state ofKentucky?

A. Kentucky’s aggregate reporting amount is property under$100.

For more definitions of terms, refer to the Glossary on page 23.20

REPORTING FOR OTHER STATES

Filing One ReportIf you are a business located in theCommonwealth of Kentucky, you can file oneUnclaimed Property Reportwith the KentuckyDepartment of Treasuryeven if you are holding theproperty of owners wholive in other states.Submit one filecontaining Kentuckyowners as well as out-of-state owners. Do notinclude a separate filefor each state. TheCommonwealth ofKentucky is an exchangestate without a reciprocalAgreement.

Please Note: Some statesmay require you to report to them directly.

Here’s HowIf you wish to file out-of-state accounts withthe Kentucky Department of Treasury, pleasefollow the guidelines below. We will forwardthe reported properties to the respective states.1 You must report by diskette. Set up in the

NAUPA format.2 Use Kentucky’s HOLDER REPORT FORM

(TREAS 400).3 Use the abandonment period required by the

state of the owner’s last known address.

4 Notify the other states of your intent to report toKentucky. Contact the Kentucky Department ofTreasury for a list of other states unclaimed propertyoffices.

5 Unfortunately, we cannot accept out-of-state safedeposit box contents.

6

21

Property Codes with Dormancy Periods

Code Description Years

Account BalancesAC01 Checking Accounts 3AC02 Savings Accounts 3AC03 Matured CD or Savings Certificates 3AC04 Christmas Club Funds 3AC05 Money on Deposit to Secure Funds 3AC06 Security Deposits 3AC07 Unidentified Deposits 3AC08 Suspense Accounts 3AC99 Aggregate Account Balance Due 3Uncashed ChecksCK01 Cashier’s Checks 3CK02 Certified Checks 3CK03 Registered Checks 3CK04 Treasurer’s Checks 3CK05 Drafts 3CK06 Warrants 3CK07 Money Orders 3CK08 Traveler’s Checks 15CK09 Foreign Exchange Checks 3CK10 Expense Checks 3CK11 Pension Checks 3CK12 Credit Checks or Memos 3CK13 Vendor Checks 3CK14 Checks Written Off to Income 3CK15 Other Outstanding Official Checks 3CK16 CD Interest Checks 3CK99 Aggregate Uncashed Checks 3Court FundsCT01 Escrow Funds 5CT02 Condemnation Awards 5CT03 Missing Heirs’ Funds 3CT04 Suspense Accounts 5CT05 Other Court or Public Auth Funds 5CT06 Bail Bonds 5CT99 Aggregate Court Deposits 5InsuranceIN01 Individual Policy Benefits/ Claims 3IN02 Group Policy Benefits or Claims 3IN03 Proceeds Due Beneficiaries 3IN04 Proceeds from Matured Policies 3IN05 Premium Refunds 3IN06 Unidentified Remittances 3IN07 Other Amounts Due Under Policy 3IN08 Agent Credit Balances 3IN99 Aggregate Insurance Property 3MiscellaneousMS01 Wages, Payroll, Salary 3

($50 or less are exempt)MS02 Commissions 3MS03 Workers’ Compensation Benefit 3MS04 Payment for Goods and Services 3MS05 Customer Overpayments 3MS06 Unidentified Remittances 3MS07 Unrefunded Overcharges 3MS08 Accounts Payable 3MS09 Credit Balances/Accts Receivable 3

Code Description Years

MS10 Discounts Due 3MS11 Refunds Due 3MS12 Unredeemed Gift Certificates 3MS13 Unclaimed Loan Collateral 3MS14 Pension and Profit Sharing Plans 3MS15 Dissolution or Liquidation 3MS16 Miscellaneous Outstanding Checks 3MS17 Miscellaneous Intangible Property 3MS18 Suspense Liabilities 3MS19 Credit Memos 3MS99 Aggregate Miscellaneous Property 3Safe Deposit/SafekeepingSD01 Safe Deposit Box Contents 3SD02 Other Safekeeping 3SD03 Other Tangible Property 3SD04 Unclaimed Collateral 3SD05 Securities No Value 3SecuritiesSC01 Dividends 3SC02 Interest (Bond Coupons) 3SC03 Principal Payments 3SC04 Equity Payments 3SC05 Profits 3SC06 Funds Paid to Purchase Shares 3SC07 Funds for Stocks and Bonds 3SC08 Shares of Stock (Returned By PO) 3SC09 Cash for Fractional Shares 3SC10 Unexchanged Stock of Successor 3SC11 Other Certificates of Ownership 3SC12 Underlying/Outstanding Shares 3SC13 From Liquidated/Stock Redemption 3SC14 Debentures 3SC15 US Government Securities 3SC16 Mutual Fund Shares 3SC17 Warrants (Rights) 3SC18 Matured Bond Principal 3SC19 Dividend Reinvestment Plans 3SC20 Credit Balances 3SC21 Distributions–Mutual Fund A 3SC99 Aggregate Securities–Related 3Trust PropertyTR01 Paying Agent Accounts 3TR02 Undelivered or Uncashed Dividends 3TR03 Funds Held in Fiduciary Capacity 3TR04 Escrow Accounts 3TR05 Trust Vouchers 3TR06 Pre-need Funeral Plans 3TR99 Aggregate Trust Property 3UtilitiesUT01 Utility Deposits 3UT02 Membership Fees 3UT03 Refunds Or Rebates 3UT04 Capital Credit Distributions 3UT99 Aggregate Utility Property 3All Other PropertyZZZZ Properties Not Identified Above 3

22

Abandoned or Unclaimed PropertyTangible or intangible property that is unclaimed by itsrightful owner after a significant period of time.

Abandonment PeriodThe period of inactivity (in most cases 3 years) after whichproperty is considered abandoned.

ActivityAction taken on property by the owner; including making adeposit or a withdrawal, or a memorandum ofcorrespondence by the owner to the holder.

Aggregate AmountThe amount below which the holder need not include thename and address of the owner with the report. Theaggregate amount in Kentucky is $100.00.

CustodianAn individual or entity that holds property until it isdelivered to the rightful owner. Most states’ laws makethe state the “custodian” of the abandoned property.

Date of Last ActivityThe date of the owner’s last activity on the property orthe owner’s last contact with the holder.

Due DiligenceThe degree of effort required by statue that a holder ofabandoned property must use to find the rightfulowner of property before the property is remitted tothe state.

HolderThe entity that controls abandoned property until it istransferred to the owner or to the state on behalf of theowner.

IndemnificationAn agreement that protects the holder from loss bytransferring the legal responsibilities to a third party (thestate).

Official CheckA check or written instrument for which abank, financial organization, or businessassociation is directly liable; including but notlimited to drafts, money orders, traveler’schecks, cashier’s checks, and expense andpayroll checks.

OwnerA person having a legal or equitable claim tothe abandoned property.

PersonAny individual, business association,government or public subdivision, publiccorporation or authority, estate, trust, two ormore persons having a joint or commoninterest; or any other legal or commercialentity.

ReportAn annual list of owners and their unclaimedproperty which holders send to the Departmentof Treasury with the remittance.

Tangible Personal PropertyProperty that is physical, such as a diamondring or a silver coin.

Underlying SharesShares of stock that have been issued by abusiness association, or a banking or financialinstitution. The original certificate for theshares is in the possession of the share-holders,who have failed to either cash the dividendchecks or correspond with the issuingcorporation.

Zero ReportA report used by a company that indicatesapplicable records have been searched and nounclaimed property is reportable.

GLOSSARY OF TERMS

23

File an extension

❍ Mail or fax the extension request formon page 18 to the contact address below.

❍ State the reason you need more time.

Feeling Overwhelmed?

Contact:Kentucky Department of TreasuryUnclaimed Property Division1050 US Hwy. 127 S., Suite 100Frankfort, KY 40601

Toll-free: (800) 465-4722

Fax: (502) 564-4200www.kytreasury.come-mail: [email protected]

Reporting forms & instructions areavailable on our website.

Checklist

❍ Have you mailed an OWNERNOTIFICATION? (page 17)

❍ Have you completed the OWNER OFUNCLAIMED PROPERTY FORM? (page 10)

❍ Have you included all identifying information forowners including Social Security numbers and/ordates of birth?

❍ Have you signed the HOLDER REPORTFORM? (page 9)

❍ Have you included all information and contentsfor each item, to include your diskette in NAUPAformat?

❍ Have you enclosed you check made payable tothe Kentucky State Treasurer?

Stocks/Bonds - Have you included the originalcertificates or DTC deposit statement? Have youincluded the bond and CUSIP numbers?

❍ Stocks/Bonds - Have you included theoriginal certificates/statements andsummary with report? Have you includedthe bond or CUSIP numbers?

❍ Mutual Funds - Have you registered theshares as Kentucky Department of Treasury?Have you included confirmation of transfer?

24

AlabamaState TreasuryUnclaimed Property DivisionP.O. Box 302520Montgomery, AL 36130-2520Phone No. (334) 242-7592Fax No. (334) 242-9620

AlaskaDepartment of RevenueTax DivisionUnclaimed Property SectionP.O. Box 110420Juneau, AK 99811-0420Phone No. (907) 465-3726Fax No. (907) 465-2394

ArizonaDepartment of RevenueUnclaimed Property UnitP.O. Box 29026Phone No. (877) 492-9957Phoenix, AZ 85038-9026Phone No. (602) 364-0380Fax No. (602) 716-7997

ArkansasUnclaimed Property DivisionAuditor of State1400 W. 3rd St., Suite 100Little Rock, AR 72201-1811Phone No. (800) 252-4648Phone No. (501) 682-6000Fax No. (501) 683-4285

CaliforniaState Controller John ChiangBureau of Unclaimed PropertyDivision of Collections3301 C Street, Suite 712P.O. Box 942850Sacramento, CA 94250-5873Phone No. (916) 323-2827Phone No. 1-800-992-4647Fax No. (916) 323-2851

ColoradoUnclaimed Property Division1580 Logan Street, Suite 500Denver, CO 80203Phone No. (303) 866-6070Phone No. 1-800-825-2111Fax No. (303) 866-6154

ConnecticutUnclaimed Property DivisionOffice of State Treasurer55 Elm StreetHartford, CT 06106Phone No. 1-800-833-7318

DelawareBureau of AbandonedPropertyP.O. Box 8931Wilmington, DE 19899Phone No. (302) 577-8205Fax No. (302) 577-8656

District of ColumbiaOffice of Finance & TreasuryUnclaimed Property Unit1275 K Street NW. Ste. 500BWashington, DC 20005Phone No. (202) 442-8181Fax No. (202) 442-8180

FloridaDept. of Financial ServicesBureau of Unclaimed PropertyP.O. Box 1910Tallahassee, FL 32302-1910Phone No. (850) 413-5555Fax No. (850) 413-3017Phone No. (888) 258-2253

GeorgiaGeorgia Dept. of RevenueProperty Tax DivisionUnclaimed Property Section4245 International Parkway,Suite AHapeville, GA 30354-3918Phone No. (404) 968-0490Fax No. (404) 968-0772

HawaiiDept. of Budget and FinanceUnclaimed Property ProgramP.O. Box 150Honolulu, HI 96810-0150Phone No. (808) 586-1589Fax No. (808) 586-1644

IdahoIdaho State Tax CommissionUnclaimed Property SectionP.O. Box 70012Boise, ID 83707-0112Phone No. (800) 972-7660 ext 7627Fax No. (208) 364-7392

IllinoisOffice of State TreasurerUnclaimed Property DivisionPO Box 19495Springfield, IL 62794-9495Phone No. (217) 785-6998Fax No. (217) 557-5871

IndianaAttorney General’s OfficeUnclaimed Property DivisionP.O. Box 2504Greenwood, IN 46142Phone No. (317) 232-6348Fax No. (317) 232-7979

IowaMichael L. Fitzgerald, State

TreasurerThe Great Iowa Treasure HuntLucas State Office Building321 East 12th Street1st FloorDes Moines, IA 50319Phone No. (515) 281-5367Fax No. (515) 242-6962

KansasUnclaimed Property Division900 Jackson Suite 201Topeka, KS 66612-1235Phone No. (785) 296-3171Fax No. (785) 296-7950

KentuckyUnclaimed Property DivisionKentucky Dept. of Treasury1050 US Hwy. 127 S., Suite. 100Frankfort, KY 40601Phone No. (800) 465-4722Fax No. (502) 564-4200

LouisianaJohn Kennedy, State TreasurerUnclaimed Property DivisionP.O. Box 91010Baton Rouge, LA 70821Phone No. (225) 219-9400Fax No. (225) 342-0046

MaineState Treasurer’s OfficeUnclaimed Property Division39 State House Station111 Sewall Street, 3rd FLBurton M. Cross BuildingAugusta, ME 04333-0039Phone No. (207) 624-7470Fax No. (207) 287-2367

MarylandUnclaimed Property Unit301 W. Preston StreetBaltimore, MD 21201-2385Phone No. (800) 782-7383Fax No. (410) 333-7150

MassachusettsAbandoned Property Division1 Ashburton Place, 12th FloorBoston, MA 02108Phone No. (617) 367-0400Fax No. (617) 248-3944

MichiganDepartment of TreasuryUnclaimed Property DivisionP.O. Box 30756Lansing, MI 48909Phone No. (517) 636-5320Fax No. (517) 332-5986

MinnesotaMinnesota Dept. of CommerceUnclaimed Property Division85 7th Place East, Suite 600St. Paul, MN 55101-3165Phone No. (651) 296-2568Fax No. (651) 282-2568

MississippiTreasury DepartmentUnclaimed Property DivisionP.O. Box 138Jackson, MS 39205-0138Phone No. (573) 751-0123Fax No. (601) 359-2001

MissouriState Treasurer’s OfficeUnclaimed Property SectionP.O. Box 1004Jefferson City, MO 65102Phone No. (573) 751-0840Fax No. (573) 526-6027

MontanaDepartment of RevenueUnclaimed Property DivisionSam W. Mitchell Bldg.P.O. Box 5805Helena, MT 59604-5805Phone No. (866) 859-2254Phone No. (406) 444-6900Fax No. (406) 444-0722

NebraskaUnclaimed Property Division809 P. StreetLincoln, NE 68508Phone No. (402) 471-8497Fax No. (402) 471-1167

NevadaOffice of the State TreasurerUnclaimed Property Division555 E Washington AvenueSuite 4200Las Vegas, NV 89101-1070Phone No. (702) 486-4140Fax No. (702) 486-4177

New HampshireTreasury DepartmentUnclaimed Property Division25 Capitol Street , Room 121Concord , NH 03301Phone No. (603) 271-2619Fax No. (603) 271-2730

New JerseyDepartment of the TreasuryUnclaimed PropertyP.O. Box 281Trenton, NJ 08695-0214Phone No. (609) 292-6400Fax No. (609) 984-0593

New MexicoTaxation & Revenue Dept.Unclaimed Property DivisionP.O. Box 25123Santa Fe, NM 87504-5123Phone No. (505) 476 -1774Fax No. (505) 827-1759

LIST OF UNCLAIMED PROPERTY OFFICES BY STATE

25

New YorkState ComptrollerNew York State Office ofUnclaimed Funds110 State StreetAlbany, NY 12236Phone No. (800) 221-9311Fax No. (518) 473-2177

North CarolinaDepartment of State TreasurerEsheat & Unclaimed Property325 North Salisbury StreetRaleigh, NC 27603-1385Phone No. (919) 508-5176Fax No. (919) 715-0229

North DakotaState Land DepartmentUnclaimed Property DivisionP.O. Box 5523Bismarck, ND 58506-5523Phone No. (701) 328-2800Fax No. (701) 328-3650

OhioDepartment of CommerceDivision of Unclaimed Funds77 South High Street - 20th FLColumbus, OH 43266-0545Phone No. (614) 466-4433Fax No. (614) 752-5078

OklahomaOklahoma St. Treasurer’s OfficeUnclaimed Property Division4545 North Lincoln Boulevard,Suite 106Oklahoma City, OK 73105-3413Phone No. (405) 521-4273Fax No. (405) 521-2146

OregonDepartment of State LandsUnclaimed Property Division775 Summer Street NE Suite 100Salem, OR 97301-1279Phone No. (503) 986-5200Fax No. (503) 378-4844

PennsylvaniaState Treasurer Robert P. Casey, Jr.Unclaimed Property BureauP.O. Box 1837Harrisburg, PA 17105-1837Phone No. (800) 701-9897Phone No. (800) 222-2046Fax No. (717) 787-9079

Puerto RicoOffice of the Commissioner of

Financial InstitutionsPO Box 11855San Juan , PR 00910-3855Phone No. (787) 723-4225Fax No. (787) 723-4042

Rhode IslandDepartment of TreasuryUnclaimed Property DivisionP.O. Box 1435Providence, RI 02901-1435Phone No. (401) 222-6505Fax No. (401) 274-3865

South CarolinaOffice of the State TreasurerUnclaimed Property DivisionPO Box 11778Columbia, SC 29211-1778Phone No. (803) 737-4771Fax No. (803) 734-2668

South DakotaOffice of the State TreasurerVernon L. Larson500 East Capitol Ave.Pierre, SD 57501-5070Phone No. (605) 773-3379Fax No. (605) 773-3115

TennesseeTreasury DepartmentUnclaimed Property DivisionAndrew Jackson Bldg., 10th Floor500 Deaderick StreetNashville, TN 37243-0242Phone No. (615) 741-6499Fax No. (615) 734-6458

TexasTexas Comptroller of Public

AccountsUnclaimed Property DivisionP.O. Box 12019Austin, TX 78711-2019Phone No. (800) 531-5441Phone No. (512) 936-6246Fax No. (512) 936-6224

UtahState Treasurer’s OfficeUnclaimed Property Division341 South Main St., 5th FloorSalt Lake City, UT 84111Phone No. (801) 320-5360Phone No. (888) 217-1203Fax No. (801) 533-4096

VermontOffice of the State TreasurerUnclaimed Property Division109 State Street, 4th FloorMontpelier, VT 05609-6901Phone No. (802) 828-2407Fax No. (802) 828-2772

VirginiaDepartment of TreasuryUnclaimed Property DivisionP.O. Box 2478Richmond, VA 23218-2478Phone No. (800) 468-1088Phone No. (804) 225-2142Fax No. (804) 786-4653

Virgin IslandsUS Virgin IslandsOffice of the LieutenantGovernorDivision of Banking18 Kongens GadeSimon K. Mohammed, ExaminerSt. Thomas, USVI, VI 00802Phone No. (340) 774-7166Fax No. (809) 774-9458

WashingtonDepartment of RevenueUnclaimed Property SectionPO Box 47489Olympia, WA 98504-7489Phone No. (360) 705-6706Phone No. (800) 435-2429Fax No. (360) 586-2163

West VirginiaOffice of State TreasurerPO Box 47477Charleston, WV 25311Phone No. (800) 642-8687Fax No. (304) 558-4835

WisconsinState Treasurer’s OfficeUnclaimed Property DivisionP.O. Box 2114Madison, WI 53701-2114Phone No. (608) 267-7977Fax No. (608) 261-6799

WyomingOffice of the State TreasurerUnclaimed Property Division2515 Warren Avenue, Suite 502Cheyenne, WY 82002Phone No. (307) 777-5590Fax No. (307) 777-5430

26

LIST continued

Changes to Kentucky’s Unclaimed Property LawDuring the 2008 General Assembly there were changes made to Kentucky’s unclaimed property laws.These changes WILL govern your reporting in 2009.

Dormancy periods have been reduced from seven(7) years to three (3) years for all reporters includingbanks and financial organizations.

All holders of unclaimed property are requested to report their unclaimed property report information toour office on diskettes set up in the NAUPA format. You can download this format from the Wagers andAssociates website, www.wagers.net.

VISIT OUR WEBSITEFOR OTHER USEFUL

INFORMATION, INCLUDINGLINKS TO KENTUCKY

REVISED STATUTES ANDKENTUCKY ADMINISTRATIVE

REGULATIONS

WWW.KYTREASURY.COMIf you are a holder and you have any ideas on how this manual may be improved upon and made more

helpful to you, the holder, please do not hesitate to e-mail your suggestions [email protected].

Documents

Unclaimed Property Booklet A