North Carolina Electronic File Format Requirements

Transcription

1 orth arolina Electronic File Format Requirement General Information During the 2011 Seion of the orth arolina General Aembly, legilation wa enacted (Houe Bill 692) that made change to the orth arolina Echeat and Unclaimed Property Law. ne of thoe change wa concerning the reporting of unclaimed property outlined in GS 116B-60. With the change to GS 116B-60, additional owner information i being required to help reunite owner with their unclaimed property. If known by the holder, holder are to include in their report: full name, lat known addre, ocial ecurity number or tax identification number, date of birth, driver licene or tate identification number, and e- mail addre of each peron who appear to be the apparent owner of the property. While mot of thi information i already include in the AUPA Holder Reporting format approved by AUPA on July 14, 2002 and ued by holder, additional field had to be added for driver licene or tate identification number and addre. In the current AUPA format, date of birth i an optional field and with the change, it will be a required field for orth arolina. To accommodate thee additional field, the Type 2 (PRPERTY) record, which contain the property information and the firt owner information, and the Type 3 (PRPADD) record, which contain owner information for any additional owner, were amended. Added to Type 2 record: PRP-WER-EAIL, in poition (50 character) PRP-WER-LIESE-UBER, in poition (20 character) PRP-WER-LIESE-STATE, in poition (2 character) Added to Type 3 record: PADD-WER-EAIL, in poition PADD-WER-LIESE-UBER, in poition PADD-WER-LIESE-STATE, in poition In July 2014, new AUPA endored wner Relationhip and wner Type ode were adopted. Page 1 of 41

2 lick any of the following topic for information: Reporting edia Standard Record Type Decription ultiple Holder Record Reporting edia Holder may end their holder report uing any of the following media: D-R Portable Flah Drive Standard Holder need to conform to the following tandard: The file mut be in non-delimited ASII format with no imbedded control character or hexadecimal value, etc. Each record will be eparated by a arriage-return and Line-Feed (R/LF). All numeric field (type code ) mut be right-jutified, zero filled, with decimal point aumed. o decimal point are actually entered. All character field (type code ) mut be left-jutified, pace filled. The file will be the only file on the reporting media and will be in the root directory. (See ection on multiple holder report for reporting more than one holder on a ingle reporting media.) Reporting media mut include an external label with the preparer' name and telephone number. PDF file or paper copy of owner detail i requeted to be ent to ait with the loading and balancing of holder report. Page 2 of 41

3 Record Type Decription orth arolina tandard for reporting unclaimed property i baed upon ix (6) active record type: (1) Holder Record (2) Property Record (3) Property Additional wner (4) urrently ot Being Ued (5) Securitie Additional Information (6) Tangible Property Information (7) urrently ot Being Ued (8) urrently ot Being Ued (9) Summary Information The record are baed upon a 625 or 676-byte record layout developed by AUPA and modified by orth arolina. The firt byte of each record contain a TR-DE that denote the type of record, and the ubequent byte are ued to tore the field for that particular record. The TR-DE will be a number between 1 and 9. Thi number will indicate the type of record a indicated below: If the TR-DE equal: 1 - then it i a HLDER record. 2 - then it i a PRPERTY record. 3 - then it i a PRPADD record. 5 - then it i a SEURITY record. 6 - then it i a TAGIBLE record. 9 - then it i a SUIF record. TR-DES 4, 7, and 8 are reerved for future ue. Holder mut ue the file layout a hown. The field are comprehenive in nature, meaning ome field may be mandatory, ome required, and ome optional. In the andatory - Required - ptional column of each record type layout, it will tate if the field i mandatory, required, or optional. If the field i marked: "", information i mandatory and mut be upplied in order to proce the file correctly or the file will be rejected. "R", information i required and mut be upplied, if known, i.e., the information i uually required by law or regulation. "", the information i deired (optional) and will be ued if upplied. Page 3 of 41

4 ultiple Holder Record Since the PRPERTY, PRPADD, SEURITIES, TAGIBLE and SUIF do not contain field to link them with a certain holder record, uing a ingle file for multiple Holder Report require ome pecial handling. If multiple Holder Report are put on a ingle medium, Holder UST follow the intruction below: ultiple Holder Report may be included on a ingle reporting media uing one of the following option: ption 1- Each Holder Report i located in a eparate file in the root directory. The file begin with a HLDER record, and end with a SUIF record. nly one HLDER and one SUIF record exit in the file. ption 2 - All Holder Report are in the ame file in the root directory. The HLDER record mut be the firt record in the file, and the SUIF record mut be the lat record in each Holder Report. All PRPERTY, PRPADD, SEURITY and TAGIBLE record located between the HLDER and SUIF record will be aumed to belong to that HLDER record. The HLDER record for the econd Holder Report hould be the firt record after the SUIF record for the previou Holder Report. The ame criteria will hold true for ubequent Holder Report. Field Definition / Specification The following record are defined and pecified by AUPA and/or orth arolina: HLDER Record PRPERTY Record PRPADD Record SEURITIES Record TAGIBLE Record SUIF Record HLDER Record There will alway be at leat one HLDER record with each report. The information in the HLDER record relate to the intitution reporting the property. All ubequent PRPERTY, PRPADD, SEURITY, TAGIBLE and the SUIF record are attributed to thi holder' report. Page 4 of 41

5 Field # Field ID Decription 1 TR-DE Thi field mut contain "1" to denote that the record i a HLDER record. 2 HLDER-TAXID FEDERAL EPLYER IDETIFIATI UBER (FEI) - Enter the nine-digit tax ID number aigned to you by the Federal Government. If you are not familiar with your tax ID number, contact your payroll, accounting, or tax department. Do not include any hyphen in the FEI number. 3 HLDER-TAXID-EXT If any other department or branche of your organization file unclaimed property report uing the ame tax ID number lited on your report, pleae contact the tate to receive a FEI Suffix umber. The uffix will be ued to direct quetion to the correct reporting department/branch. If your buine file only one report, the default i "0001". 4 HLDER-RPT-YEAR Enter the four-digit year for which the property i being reported. Example: For a report period ending June 30, 2012, the holder report year would be "2012". For a Life Inurance ompany report with a report period ending December 31, 2012, the holder report year would be "2012". 5 HLDER-RPT-TYPE a) Remittance Report: Thi field hould be populated with "R" to denote that thi i a remittance report, i.e., money and/or property are being remitted at thi time. b) Tet Report: Thi field hould be populated with "T" to denote that thi i a tet file. By indicating that thi i a tet file, the data hould not be conidered an actual report. Thi permit the ubmiion of file to be teted by the tate before actual ubmiion by the holder of an actual report. 6 HLDER-RPT-UBER If thi i the firt report filed by the holder for the report year, thi hould be "01." If the holder (under the ame tax identification number and extenion) file multiple report during the year, thi number hould be increaed by 1 for each additional report. 7 HLDER-RPT-FRAT Thi field hould contain either "R" for Revied AUPA format. o other value are acceptable. Page 5 of 41

6 8 HLDER-SI-DE Thi i the four-digit Standard Indutrial laification code that indicate the primary buine activity of the reporting company. 9 HLDER-IRPRATED-STATE Enter the two-character potal abbreviation of the tate in which the company i incorporated. Saving and loan aociation, bank, and credit union hould enter the tate in which they were chartered. HLDER-IRPRATED-DATE Enter the date on which the company wa incorporated or licened to do buine. Saving and loan aociation, bank, and credit union hould enter the date their organization wa chartered. 10(a) HLDER-I-DATE-YY "" equal the 2-digit century and "YY" equal the 2-digit year. 10(b) HLDER-I-DATE- "" equal the 2-digit numerical month. 10(c) HLDER-I-DATE-DD "DD" equal the 2-digit day. 11 HLDER-AE Enter the name of the company or intitution for which you are reporting. Punctuation hould never be ued under any circumtance (period, comma, apotrophe, etc.) If the name of the company tart with the word "the," place "the" at the end. For example: "The Smith ompany" hould read "Smith ompany The". Do not abbreviate the firt word of the company name, e.g., American v. Amer. ational v. atl. Alo, do not ue numeric value in the holder name field unle abolutely neceary. The word "firt" hould never be abbreviated a "1t." Exception can be made when a number i a part of a company logo or regitered trademark uch a A1 Inc or 84 Lumber. ompany name containing initial hould have pace between them, e.g., J J Reynold v. JJ Reynold. 12 HLDER-ITY Enter the name of the city where the corporate headquarter i located or the primary place of buine i located for the tax ID noted above. 13 HLDER-UTY Enter the name of the county where the corporate headquarter i located or the primary place of buine i located for the tax ID noted above. 14 HLDER-STATE Enter the name of the tate where the Page 6 of 41

7 corporate headquarter i located or primary place of buine i located for the tax ID noted above. Enter the valid two-character potal abbreviation of the holder' tate. HLDER-TAT1- Enter the name, addre, phone number, and phone extenion (if applicable), of the peron reponible for the report. Thi peron hould alo be able to anwer quetion concerning the content of the report, i.e., the peron who created the report. Thi peron will be contacted by the tate concerning quetion about the report. 15(a) HLDER-TAT1-AE Enter the report contact peron' name in the order of firt, middle, and lat. 15(b) HLDER-TAT1-ADDR1 Enter addre line 1 15(c) HLDER-TAT1-ADDR2 Enter addre line 2 15(d) HLDER-TAT1-ADDR3 Enter addre line 3 15(e) HLDER-TAT1-ITY Enter the city. Do not ue comma. If the addre i outide the United State, lit the province, etc. here. 15(f) HLDER-TAT1-STATE Enter the two-character tate potal abbreviation. 15(g) HLDER-TAT1-ZIP Enter the 5- or 9-character zip code. If you ue only the firt five poition, pace fill the remaining four poition, i.e., do T ue zero to fill the remaining poition. Do not include any hyphen in the zip code. 15(h) HLDER-TAT1-UTRY Enter the 3-letter country abbreviation, e.g., USA. 15(i)(1 ) 15(i)(2 ) 15(i)(3 ) HLDER-TAT1-TEL-A HLDER-TAT1-TEL-BR HLDER-TAT1-TEL- EXTESI Enter the area code. Enter the 7-digit telephone number. Enter the telephone extenion. Space fill if not applicable. Do T zero fill. 15(j) HLDER-TAT1-EAIL Enter the addre for ontact 1. HLDER-TAT2- Enter the name, addre, phone number and extenion (if applicable), of the peron reponible for claim. Thi peron will be contacted by the tate or potential owner concerning quetion about the claim, and the tate will alo refer owner to thi peron during the advertiing/notification Page 7 of 41

8 proce. 16(a) HLDER-TAT2-AE Enter the claim contact peron' name, in the order of firt, middle, and lat. 16(b) HLDER-TAT2-ADDR1 Enter addre line 1 16(c) HLDER-TAT2-ADDR2 Enter addre line 2 16(d) HLDER-TAT2-ADDR3 Enter addre line 3 16(e) HLDER-TAT2-ITY Enter the city. Do not ue comma. If the addre i outide the United State, lit the province, etc. here. 16(f) HLDER-TAT2-STATE Enter the 2-character tate potal abbreviation. 16(g) HLDER-TAT2-ZIP Enter the 5- or 9-character zip code. If you ue only the firt five poition, pace fill the remaining four poition, i.e., do T ue zero to fill the remaining poition. Do not include any hyphen in the zip code. 16(h) HLDER-TAT2-UTRY Enter the 3-letter country abbreviation, e.g., USA. 16(i)(1 ) 16(i)(2 ) 16(i)(3 ) HLDER-TAT2-TEL-A HLDER-TAT2-TEL-BR HLDER-TAT2-TEL- EXTESI Enter the area code. Enter the 7-digit telephone number. Enter the telephone extenion. Space fill if not applicable. Do T zero fill. 16(j) HLDER-TAT2-EAIL Enter the addre for ontact 2. 17(1) HLDER-FAX-A Enter the area code. 17(2) HLDER-FAX-BR Enter the 7-digit fax number. 18 HLDER-AIS DE Enter the AIS code. A liting of acceptable value can be found at 19 FILLER Space fill. Page 8 of 41

9 PRPERTY Record There i one PRPERTY record for each piece of property. The PRPERTY record contain information about the piece of property and about the Primary Property wner (if known). Each piece of property will have a eparate PRPERTY record. If an owner ha multiple piece of property, there will be a eparate PRPERTY record for each piece of property. Field # Field ID Decription 1 TR-DE Thi field mut contain "2" to denote that the record i a PRPERTY record. 2 PRP-SEQUEE-UBER The equence number for each record hould be unique. The firt property record for a holder hould be "000001" for the PRP-SEQUEE-UBER, and the equence number hould be incremented by 1 a other property record are added. If the Holder Report include an AGGREGATE record, then the AGGREGATE record hould be the firt property record within a property type. The data in thi field hould be right aligned and zero filled. 3 PRP-WER-TYPE Enter "P" to denote primary owner information. 4 PRP-AE-ID Enter "" to identify the name on thi record a being a buine name. therwie, fill in blank if thi i an individual' name on thi record. 5 PRP-WER-AE-LAST Enter the owner' lat name or the company name if it i a buine. If the owner i a buine, enter the buine name exactly a adopted, except where the firt word i "The." In thi cae, "The" hould be placed at the end. For example: "The Smith ompany" hould be entered a "Smith ompany The." Punctuation hould never be ued under any circumtance (period, comma, apotrophe, etc.) Do not abbreviate the firt word of the company name, e.g., American v. Amer, ational v. atl. Alo, do not ue numeric value in the name field unle abolutely neceary. The word "firt" hould never be abbreviated a "1t." Exception can be made when a number i a part of a company logo or regitered trademark uch a A1 Inc or 84 Lumber. ompany name containing initial hould Page 9 of 41

10 have pace between them, e.g., J J Reynold v. JJ Reynold. If the owner record i an aggregate, enter in thi field "AGGREGATE." If the owner/owner are unknown, enter "UKW." ontact the reporting tate for the Aggregate amount limit. 6 PRP-WER-AE-FIRST Enter the owner' firt name. 7 PRP-WER-AE-IDDLE Enter the owner' middle name. 8 PRP-WER-AE-PREFIX Enter the owner' prefix uch a / (for r. and r.). 9 PRP-WER-AE-SUFFIX Enter the owner' uffix uch a Jr, Sr, III. 10 PRP-WER-AE-TITLE Enter the owner' title uch a Dr, Pvt, Rev. PRP-WER-ADDRESS Enter the owner' lat-known addre. You mut lit the lat-known addre even if the mail ha been returned by the pot office. When etablihing whether the claimant i the rightful owner, confirmation of thi addre i very important. If the owner' treet addre i unknown, pace fill. D T fill with "UKW" or "ADDRESS UKW." 11(a) PRP-WER-ADDRESS1 Enter lat known addre line 1 11(b) PRP-WER-ADDRESS2 Enter lat known addre line 2 11(c) PRP-WER-ADDRESS3 Enter lat known addre line 3 12 PRP-WER-ITY Enter the city of the lat-known addre of the owner. If the owner' lat-known city i not in the United State, lit the province, etc. If the owner' city i unknown, pace fill. D T fill with "unknown" or "city unknown." 13 PRP-WER-UTY Enter the county name of the owner' latknown addre, or the holder' branch location, or principal place of buine in the reporting tate. If the county name i unknown, pace fill. 14 PRP-WER-STATE Enter the tandard two-character potal abbreviation of the owner' tate of latknown addre. If the owner' lat-known addre i not in the United State, blank fill. 15 PRP-WER-ZIP Enter the owner' five or nine character zip code. If five digit are ued, blank fill the remaining four digit. Do not include any hyphen in the zip code. Page 10 of 41

11 16 PRP-WER-UTRY Enter the country of the lat-known addre of the owner. 17 PRP-WER-TAXID Enter the owner' ocial ecurity number (SS) or the company' federal employer identification number (FEI). When etablihing ownerhip, the SS/FEI i very important. Thi number will not be releaed a public information but will be ued for identification purpoe. Do not include any hyphen in the FEI or SS. 18 PRP-WER-TAXID-EXT Enter the owner' SS or FEI extenion, if applicable. PRP-WER-DATE-F-BIRTH Enter the owner' date of birth. 19(a) PRP-WER-DB-YY "" equal the 2-digit century and "YY" equal the 2-digit year. 19(b) PRP-WER-DB- "" equal the 2-digit numerical month. 19(c) PRP-WER-DB-DD "DD" equal the 2-digit day. PRP-STARTIG-TRASATI- DATE Thi field i required. The PRP- STARTIG-TRASATI-DATE (alo known a the date of lat tranaction, or lat activity date) i the date on which the lat depoit or withdrawal occurred, the date the mail wa returned or the date on which the property became payable, redeemable, dormant, or returnable (e.g., iue date of a check). If you are reporting property with periodic payment uch a dividend, oil and ga royaltie, or commiion check, enter the beginning date on which the amount were payable. Total all amount due the owner during the applicable time period and lit the payment a one account on the owner record. 20(a) PRP-ST-TRAS-DATE-YY "" equal the 2-digit century and "YY" equal the 2-digit year. If your record reflect a month and/or year only, enter the available information and ue "01" for the unknown data (e.g., or ) 20(b) PRP-ST-TRAS-DATE- "" equal the 2-digit numerical month. If your record reflect a month and/or year only, enter the available information and ue "01" for the unknown data (e.g., or ) 20(c) PRP-ST-TRAS-DATE-DD "DD" equal the 2-digit day. Page 11 of 41

12 PRP-EDIG-TRASATI-DATE If you are reporting property with periodic payment uch a dividend, oil and ga royaltie, or commiion check, enter the ending date of the payment in the PRP- EDIG-TRASATI-DATE field. Total all amount due the owner during the applicable time period and lit the payment a one account on the owner record. Enter in thi field the date of the lat periodic payment. Thi field i only ued if the property reported i from periodic payment. 21(a) PRP-E-TRAS-DATE-YY "" equal the 2-digit century and "YY" equal the 2-digit year. If your record reflect a month and/or year only, enter the available information and ue "01" for the unknown data (e.g., or ) 21(b) PRP-E-TRAS-DATE- "" equal the 2-digit numerical month. If your record reflect a month and/or year only, enter the available information and ue "01" for the unknown data (e.g., or ) 21(c) PRP-E-TRAS-DATE-DD "DD" equal the 2-digit day. 22 PRP-PRPERTY-TYPE The property type code ditinguihe one property type from another. All code are four character. Refer to the Appendix for the appropriate code. 23 PRP-AUT-REPRTED Enter the amount due the owner before any deduction, uch a taxe, were ubtracted. The amount reported i a 10-digit, zero fill field with two decimal place aumed. The decimal point i not actually entered. Example: $253 = , $ = PRP-DEDUTI-TYPE Enter the code which decribe the reaon for the deduction in the gro amount due the owner. Refer to the Appendix for deduction code. 25 PRP-DEDUTI-AUT Enter the amount of the deduction to be ubtracted from the gro amount due the owner. The amount deducted i a 10-digit, zero fill field with two decimal place aumed. The decimal point i not actually entered. D T enter a a negative. Example: $253 = , $ = PRP-AUT-ADVERTISED Enter the total amount due the owner after the deduction, i.e., PRP-AUT- REPRTED minu PRP-DEDUTI- Page 12 of 41

13 AUT. The amount advertied i a 10- digit, zero fill field with two decimal place aumed. The decimal point i not actually entered. Example: $253 = , $ = PRP-ADDITI-TYPE Enter the two-character code which decribe the reaon for the additional amount/hare reported due the owner, i.e., to be added to the original reported due the owner. Refer to the Appendix for the addition code. ote: Thi field i being ued for both money and ecuritie being reported. If there i an increae in the original amount, whether in ecuritie or money, thi field hould be populated. 28 PRP-ADDITI-AUT Enter the amount of any addition, e.g., interet or dividend, to be added to the original reported due the owner. Thi line may alo be ued to correct the reported amount if there wa any error on the initial reported amount. The added amount i a 10-digit, zero fill field with two decimal place aumed. The decimal point i not actually entered. Example: $253 = , $ = PRP-DELETI-TYPE Enter the 2-character code which decribe the reaon a to the amount hare, or afekeeping item that are being deleted. Refer to the Appendix for deletion code. ote: Thi field i being ued for money, ecuritie, and afekeeping item being reported. If there i a complete removal of the original amount, hare, or item, thi field hould be populated. 30 PRP-DELETI-AUT If the property ha been claimed by the owner, or the account ha been reactivated, or the owner' property wa reported in error, enter the amount that wa originally advertied, i.e., PRP-AUT- ADVERTISED. The amount reported i a 10-digit, zero fill field with two decimal place aumed. The decimal point i not actually entered. D T enter a a negative. Example: $253 = , $ = PRP-AUT-REITTED Enter the net amount due each owner after addition or deletion have been calculated. The remitted amount hould equal PRP- AUT-ADVERTISED plu PRP- ADDITI-AUT le PRP- Page 13 of 41

14 DELETI-AUT. The amount entered i the amount to be paid to the tate. (D T lit a negative amount. wner with negative amount hould be lited a zero.) Example: $253 = , $ = PRP-ITEREST-FLAG If the property i interet-bearing, the PRP-ITEREST-FLAG hould be "Y." therwie, the FLAG will indicate "." 33 PRP-ITEREST-RATE If the PRP-ITEREST-FLAG indicator i et to "Y," thi field hould be populated with the current interet rate being earned on thi account. The interet rate i a even digit, zero filled field, with four decimal place aumed. The decimal i not actually entered. Example: 5.00% would be entered a , 10.25% would be entered a , 2.375% would be entered a ote: Quetion concerning the interet field hould be directed to the reporting tate. 34 PRP-STK-ISSUE-AE Enter the name of the ecurity iue which i due the owner. D T enter more than one iue per owner record. (For example, broker mut provide one property record for each iue held in an owner' account.) If thi i a redemption, thi field hould contain the name of ucceor. ake ure to indicate the type of tock if it i other than common. If the iue name i longer than the allowed field, pleae ue the SEURITIES record type to include the entire ecurity name. When reporting tock where the owner ha different iue and thee iue will be due the owner, there hould be a property record for each iue that will be due that owner. For example: Paul Smith had an account with XYZ broker. In the account, r. Smith owned 12 hare of AB ffice Supply ommon, 4 hare of AB ffice Supply $2.75 Preferred, and 20 hare of Afterchool Snack ompany ommon. There hould be three property record for r. Smith. 35 PRP-STK-USIP Enter the USIP number of the ecurity iue named in number 34 above which i due the owner, i.e., thi i what you will be remitting to the tate. Page 14 of 41

15 36 PRP-UBER-F-SHARES Enter the number of hare which i due the owner, i.e., thi i the total number of hare due the owner for thi iue. The number of hare i a 12-digit field with four decimal place aumed. The decimal point i not actually entered. Example: 543 = , = , 1, = PRP-ADD-SHARES Enter the number of hare which have been added ince the original (advertiing) report, i.e., thi i the amount that will be added to the total number of hare originally reported for the owner of thi iue. The number of hare i a 12-digit field with four decimal place aumed. The decimal point i not actually entered. Example: 543 = , = , 1, = ote: If thi field i greater than zero, you mut ue the correponding field number 27 PRP-ADDITI-TYPE. An example of when to ue thi field i when a tock plit or tock dividend occur before the property i remitted. 38 PRP-DEL-SHARES Enter the number of hare which have been deleted ince the original (advertiing) report, i.e., thi i the amount that will be ubtracted from the total number of hare due the owner of thi iue. The number of hare i a 12-digit field with four decimal place aumed. The decimal point i not actually entered. Example: 543 = , = , 1, = ote: If thi field i greater than zero, you mut populate the correponding field number 29 PRP-DELETI-TYPE. An example of when to ue thi field i when a revere tock plit or cah merger occur before the property i remitted. 39 PRP-RE-SHARES Enter the number of hare which i being remitted for the owner, i.e., the total number of hare remitted for the owner for thi iue. The number of hare i a 12-digit field with four decimal place aumed. The decimal point i not actually entered. Example: 543 = , = , 1, = PRP-UEXHAGED-ISSUE-AE Enter the name of the ecurity iue which Page 15 of 41

16 i till in the poeion of the owner. 41 PRP-UEXHAGED-USIP Enter the USIP number of the ecurity iue which i till in the poeion of the owner. 42 PRP-UEXHAGED-SHARES Enter the number of hare which are till in the poeion of the owner. The number of hare i a 12-digit field with four decimal place aumed. The decimal point i not actually entered. Example: 543 = , = , 1, = PRP-AT-UBER Alway enter the inurance policy or account number in thi field. Subtitute the owner number if reporting mineral proceed. Subtitute the box number if reporting afe depoit box content. Subtitute the GF number if an ecrow account. 44 PRP-HEK-UBER Provide the check number if reporting cahier' check or any other outtanding check. 45 PRP-DESRIPTI Any additional information that will ait in identifying the owner of the property hould be lited in the property decription field. Information (uch a the purchaer of a cahier' check, leae name of a mineral interet, or beneficiary to an inurance policy) hould be lited in the property decription. If you are reporting inurancerelated property, pleae pecify "L" for life inurance, "P" for property and caualty inurance, or "AH" for accident and health inurance. If you are reporting an aggregate amount, lit the number of propertie which were combined for the aggregate entry, e.g., 15- A01, 10-A02, 45-K PRP-RELATISHIP-DE Thi field mut be populated. The PRP- RELATISHIP-DE indicate who mut claim the property. Refer to the Appendix for relationhip code. 47 PRP-WER-TYPE-DE Thi field mut be populated. The PRP- WER-TYPE-DE indicate the type of owner. Refer to the Appendix for wner code. 48 PRP-WER-EAIL Enter the lat known addre of the owner, if known. 49 PRP-WER-LIESE-UBER Enter the driver licene number of the owner, if known. Page 16 of 41

17 50 PRP-WER-LIESE-STATE Enter the 2 digit tate abbreviation of the iuer of the driver licene Page 17 of 41

18 PRPADD Record The PRPADD record contain information about additional owner of property recorded in the PRPERTY record. If there i more than one owner of a piece of property, each additional owner for the property will have a PRPADD record. PRPADD record mut be contained within the ame HLDER / SUIF record et. Field # Field ID Decription 1 TR-DE Thi field mut contain "3" to denote that the record i a PRPADD record. 2 PADD-SEQUEE-UBER Thi field will contain the ame PRP- SEQUEE-UBER from the primary PRPERTY record. 3 PADD-WER-TYPE Thi field hould contain "A" to denote additional owner information. 4 PADD-WER-AE-LAST Enter the additional owner' lat name or the company name if it i a buine. If the additional owner i a buine, enter the buine name exactly a adopted, except where the firt word i "The." In thi cae, "The" hould be placed at the end. For example: "The Smith ompany," hould be entered a "Smith ompany The." Punctuation hould never be ued under any circumtance (period, comma, apotrophe, etc.). Do not abbreviate the firt word of the company name, e.g., American v. Amer, ational v. atl. Alo, do not ue numeric value in the name field unle abolutely neceary. The word "firt" hould never be abbreviated a "1t." Exception can be made when a number i a part of a company logo or regitered trademark uch a A1 Inc or 84 Lumber. ompany name containing initial hould have pace between them, e.g., J J Reynold v. JJ Reynold. 5 PADD-WER-AE-FIRST Enter the owner' firt name. 6 PADD-WER-AE-IDDLE Enter the owner' middle name. 7 PADD-WER-AE-PREFIX Enter the owner' prefix uch a / (for r. and r.). 8 PADD-WER-AE-SUFFIX Enter the owner' uffix uch a Jr, Sr, III. 9 PADD-WER-AE-TITLE Enter the owner' title uch a Dr, Pvt, Rev. Page 18 of 41

19 PADD-WER- Enter the owner' lat-known addre. You mut lit the lat-known addre even if the mail ha been returned by the pot office. When etablihing whether the claimant i the rightful owner, confirmation of thi addre i very important. 10(a) PADD-WER-ADDRESS1 Enter lat known addre line 1 10(b) PADD-WER-ADDRESS2 Enter lat known addre line 2 10(c) PADD-WER-ADDRESS3 Enter lat known addre line 3 11 PADD-WER-ITY Enter the city of the lat-known addre of the owner. If the owner' lat-known city i not in the United State, lit the province, etc. 12 PADD-WER-UTY Enter the county name of the owner' latknown addre, or the holder' branch location, or principal place of buine in the reporting tate. If the county name i unknown, pace fill. 13 PADD-WER-STATE Enter the tandard 2-character potal abbreviation of the owner' tate of latknown addre. If the owner' lat-known addre i not in the United State, fill with blank. 14 PADD-WER-ZIP Enter the owner' 5- or 9-digit zip code. Do not include any hyphen. 15 PADD-WER-UTRY Enter the country of the lat-known addre of the owner. 16 PADD-WER-TAXID Enter the owner' ocial ecurity number (SS) or the company' federal employer identification number (FEI). When etablihing ownerhip, the SS/FEI i very important. Thi number will not be releaed a public information but will be ued for identification purpoe. Do not include any hyphen. 17 PADD-WER-TAXID-EXT Enter the owner' SS or FEI extenion, if applicable. Do not include any hyphen. PADD-WER-DATE-F-BIRTH Enter the owner' date of birth. 18(a) PADD-WER-DB-YY "" equal the 2-digit century and "YY" equal the 2-digit year. 18(b) PADD-WER-DB- "" equal the 2-digit numerical month. 18(c) PADD-WER-DB-DD "DD" equal the 2-digit day. 19 PADD-RELATISHIP-DE Thi field mut be populated. The PADD- Page 19 of 41

20 RELATISHIP-DE indicate who mut claim the property. Refer to the Appendix for relationhip code. 20 PADD-SEQ-UBER Incremented by 1 for each additional owner of the property denoted by the PADD- SEQUEE-UBER. Example, a piece of property ha two owner in addition to the primary owner. The record for the firt additional owner ha a PADD-SEQ- UBER of "001." The record for the econd additional owner ha a PADD-SEQ- UBER of "002." 21 PADD-WER-TYPE-DE Thi field mut be populated. The PADD- WER-TYPE-DE indicate the type of owner. Refer to the Appendix for wner code. 22 PADD-AE-ID Enter "" to identify the name on thi record a being a buine name. therwie, fill in blank if thi i an individual' name on thi record. 23 PADD-WER-EAIL Enter the lat known addre of the owner, if known. 24 PADD-WER-LIESE-UBER Enter the driver licene number of the owner, if known. 25 PADD-WER-LIESE-UBER Enter the 2 digit tate abbreviation of the iuer of the driver licene SEURITIES Record If other ecuritie related information exit, there will be one SEURITIES record included after each PRPERTY record. Field # Field ID Decription 1 TR-DE Thi field mut contain "5" to denote that the record i a SEURITIES record. 2 PRP-SEQUEE-UBER Thi field will contain the ame PRP- SEQUEE-UBER from the primary PRPERTY record. 3 SER-SUBISSUE-AE Enter the Security Sub-Iue ame. Page 20 of 41

21 4 SER-RIGIAL-SHRS-HELD Thi field contain the original hare held by the owner at the time of lat activity on the account. Thi number i ued to help determine the proof required for the claimant. 5 SER-RIGIAL-REG-AE Thi field record the owner name EXATLY a hown on the certificate or regitration. 6 SER-DELIVERY-ETHD Thi field contain the method ued to deliver ecuritie to the State. Valid value are DT, Phyical, Account, and UT. 7 SER-ERTIFIATE Thi field contain the original certificate number of underlying or unexchanged or RP'd hare. 8 SER-SYBL Enter the Symbol if the ecurity i traded on a tock exchange. 9 SER-DEPSIT-AUT Enter the Account umber the Security i depoited to, if applicable. 10 SER-UTL-FAILY If the Security i a utual Fund, enter the Fund Family ame. 11 FILLER Space fill. Page 21 of 41

22 TAGIBLE Record If tangible property information exit, there will be one or more TAGIBLE record included after each PRPERTY record. Field # Field ID Decription 1 TR-DE Thi field mut contain "6" to denote that the record i a TAGIBLE type property record. 2 PRP-SEQUEE-UBER Thi field will contain the ame PRP- SEQUEE-UBER from the primary PRPERTY record. 3 TAG-SEQUEE-UBER Incremented by 1 for each additional piece of tangible property denoted by the TAG- SEQUEE-UBER. For example, an individual property ha two piece of tangible property. The record for the firt piece of tangible property ha a TAG- SEQUEE-UBER of "001." The record for the econd piece of tangible property ha a TAG-SEQUEE- UBER of "002." 4 TAG-BX-UBER The Box umber of the Safe Depoit Box, collateral receipt number if load collateral, or other identifying number for any other type of tangible property. 5 TAG-DESRIPTI The decription of the tangible property identified by each TAG-SEQUEE- UBER. 6 TAG-UPAID-RET The amount of unpaid rent or torage fee due by the owner at the time the box wa opened. 7 TAG-DRILLIG-FEES harge incurred to drill or open a Safe Depoit Box, unpaid loan balance if loan collateral. TAG-PEED-DATE The date the Safe Depoit box wa opened. 8(a) TAG-PEED-DATE-YY "" equal the 2-digit century and "YY" equal the 2-digit year. 8(b) TAG-PEED-DATE- "" equal the 2-digit numerical month. 8(c) TAG-PEED-DATE-DD "DD" equal the 2-digit day. 9 TAG-PEED-BY Enter the peron who opened the afe depoit box. Page 22 of 41

23 TAG-EXPIRED-DATE Enter the date the afe depoit box leae expired. 10(a) TAG-EXPIRED-DATE-YY "" equal the 2-digit century and "YY" equal the 2-digit year. 10(b) TAG-EXPIRED-DATE- "" equal the 2-digit numerical month. 10(c) TAG-EXPIRED-DATE-DD "DD" equal the 2-digit day. 11 TAG-ATEGRY-TYPE-DE ontact each tate for valid code liting. 12 FILLER Space fill. SUIF Record There will be one SUIF record included at the end of each holder report record et. It will contain ummary information that will be ued for balancing purpoe and to verify completene of record reported. Field # Field ID Decription 1 TR-DE Thi field mut contain "9" to denote that the record i a SUIF record. 2 SU-BR-F-RERDS Thi field hould contain the total of number record reported including the HLDER, PRPERTY, PRPADD and SUIF record. The number of record i a 6-digit field. The quantity recorded i alway a whole number, i.e., no decimal poition. The minimum amount of record i two, HLDER and SUIF record. A 2- record file repreent a negative (none) report, i.e., no owner reported. ote: The SU-BR-F-RERDS field hould contain the count of all record contained in the file, including the SEURITIES and TAGIBLE Record Type. 3 SU-BR-F-PRPERTIES Thi field hould contain the total number of PRPERTY record. The number of property record i a 6-digit field. The quantity recorded i alway a whole number, i.e., no decimal poition. 4 SU-AUT-REPRTED Thi field hould be the um of the amount in the PRP-AUT-REPRTED field on each PRPERTY record. The amount reported i a 12-digit field with two decimal place aumed. The decimal point i not Page 23 of 41

24 actually entered. Example: $1,150, = SU-DEDUTI-AUT Thi field hould be the um of the amount in the PRP-DEDUTI-AUT field on each PRPERTY record. The deducted amount i a 12-digit field with two decimal place aumed. The decimal point i not actually entered. D T enter a a negative. Example: $1,150, = SU-AUT-ADVERTISED Thi field hould be the um of the amount in the PRP-AUT-ADVERTISED field on each PRPERTY record. The advertied amount i a 12-digit field with two decimal place aumed. The decimal point i not actually entered. Example: $1,150, = SU-ADDITI-AUT Thi field hould be the um of the amount in the PRP-ADDITI-AUT field on each PRPERTY record. The added amount i a 12-digit field with two decimal place aumed. The decimal point i not actually entered. Example: $1,150, = SU-DELETI-AUT Thi field hould be the um of the amount in the PRP-DELETI-AUT field on each PRPERTY record. The deleted amount i a 12-digit field with two decimal place aumed. The decimal point i not actually entered. D T enter a a negative. Example: $1,150, = SU-AUT-REITTED Thi field hould be the um of the amount in the PRP-AUT-REITTED field on each PRPERTY record. The amount remitted i a 12-digit field with two decimal place aumed. The decimal point i not actually entered. Example: $1,150, = SU-BR-F-SHARES Thi field hould be the um of the amount in the PRP-UBER-F-SHARES field on each PRPERTY record. The number of hare i a 14-digit field with four decimal place aumed. The decimal point i not actually entered. Example: = SU-SHARES-ADD Thi field hould be the um of the amount in the PRP-ADD-SHARES field on each PRPERTY record. The number of hare i a 14-digit field with four decimal place Page 24 of 41

25 aumed. The decimal point i not actually entered. Example: = SU-SHARES-DEL Thi field hould be the um of the amount in the PRP-DEL-SHARES field on each PRPERTY record. The number of hare i a 14-digit field with four decimal place aumed. The decimal point i not actually entered. Example: = SU-SHARES-REITTED Thi field hould be the um of the amount in the PRP-RE-SHARES field on each PRPERTY record. The number of hare i a 14-digit field with four decimal place aumed. The decimal point i not actually entered. Example: = SU-EGATIVE-REPRT If the report i a egative report (o cah or hare to report for the reporting period), thi field hould contain "Y". If thi field contain "Y", only the HLDER (type 1) and the SUIF (type 9) record hould be included. TE orth arolina doe not accept electronic egative Report. If a holder wihe to ubmit a egative Report, they mut complete an ASD-EG which i found on our webite at www. ah.com. 15 SU-SFTWARE-VERSI Enter the verion number of the oftware that created the file. 16 SU-REATR Enter the company that wrote the oftware that created the file. 17 SU-REATR-TAT Enter the name and contact information for the file creator. 18 FILLER Space fill Page 25 of 41

26 Appendixe The following code and record format are defined and pecified by AUPA, and adopted by orth arolina: ode Holder Record Format Property Record Format Additional wner Record Format Securitie Info Record Format Tangible Property Record Format Summary Record Format ode The following table repreent the AUPA tandard information and adopted by orth arolina. Jump to: Deduction and Withholding Addition Paid or Deletion Relationhip Property Type wner Type Security Delivery ountry AIS Deduction and Withholding ode DW IW SW TW ZZ Dividend Withheld or Dicontinued Interet Withheld or Dicontinued ailing ot Service harge Income Tax Withheld Deduction ode ot Identified Above Back to Top Addition ode DR DV I E SP ZZ Reported in Error on Advertiing Report Dividend Earned Interet Earned Additional Royalty or other ineral Interet Payment Stock Split Addition ode ot Identified Above Page 26 of 41

27 Paid or Deletion ode Back to Top ER R RS ZZ Erroneouly Reported Returned to wner Revere Stock Split Deletion ode not Identified Above Back to Top Relationhip ode AD Adminitrator JE Tenant in Entiretie AF Attorney For JS Joint Tenant with Right of Survivorhip AG Agent For JT Joint Tenant A And R (r) Unpecified Joint Relationhip BF Beneficiary T ther Relationhip F utodian PA Payee onervator PD Payable on Death P ommunity Property P Power of Attorney DBA Doing Buine A RE Remitter DF Defendant S Sole wner ES Etate T Tenant in ommon EX Executor or Executrix TE Trutee FB For Benefit f UF Uufruct GR Guardian UG Uniform Gift to inor HE Heir U Unknown I Inured UT Uniform Tranfer to inor Back to Top Property Type ode A01 hecking Account I05 Working Interet A02 Saving Account I06 Bonue A03 ature D or Save ert I07 Delay Rental A04 hritma lub Fund I08 Shut-in Royaltie A05 oney on depoit to ecure fund I09 inimum Royaltie Page 27 of 41

28 A06 Security Depoit I99 Aggregate ineral Proceed A07 Unidentified Depoit S01 Wage, Payroll, Salary A08 Supene Account S02 ommiion A09 Individual Retirement Account S03 Worker ompenation Benefit A99 Aggregate Account Balance S04 Payment For Good & Service K01 ahier' heck S05 utomer verpayment K02 ertified heck S06 Unidentified Remittance K03 Regitered heck S07 Unrefunded vercharge K04 Treaurer' heck S08 Account Payable K05 Draft S09 redit Balance -- Account Receivable K06 Warrant S10 Dicount Due K07 oney rder S11 Refund Due K08 Traveler' heck S12 Unredeemed Gift ertificate K09 Foreign Exchange heck S13 Unclaimed Loan ollateral K10 Expene heck S14 Penion & Profit Sharing K11 Penion heck S15 Diolution or Liquidation K12 redit heck or emo S16 icellaneou uttanding heck K13 Vendor heck S17 icellaneou Intangible Property K14 heck Written off to Income S18 Supene Liabilitie K15 ther uttanding fficial heck S99 Aggregate ic Property K16 D Interet heck S01 Dividend K99 Aggregate Uncahed heck S02 Interet (Bond oupon) Left blank for future ue S03 Principal Payment T01 Ecrow Fund S04 Equity Payment T02 ondemnation Award S05 Profit T03 iing Heir' Fund S06 Fund Paid to Purchae Share Page 28 of 41

29 T04 Supene Account S07 Fund for Stock & Bond T05 ther ourt Depoit S08 Share of Stock (Returned by Pot ffice) T06 Real Property Proceed S09 ah for Fraction Share T07 ah Bond S10 Unexchanged Stock of Succeor orp T08 Partial Payment S11 ther ert of wnerhip T09 Judgment S12 Underlying Share or other uttanding ertificate T10 Trut Fund S13 Fund for Liquidation / Redemption of Unurrendered Stock or Bond T99 Aggregate ourt Depoit S14 Debenture Left blank for future ue S15 U S Govt Securitie I01 Individual Policy Benefit or laim Payment S16 utual Fund Share I02 Group Policy Benefit or laim Payment S17 Warrant (Right) I03 Proceed Due Beneficiarie S18 ature Bond Principal I04 Proceed from atured Policie, Endowment or Annuitie S19 Dividend Reinvetment Plan I05 Premium Refund S20 redit Balance I06 Unidentified Remittance S99 Aggregate Security Related ah I07 ther Amount Due Under Policy Term SD01 SD Box ontent I08 Agent redit Balance SD02 ther Safekeeping I99 Aggregate Inurance Property SD03 ther Tangible Property Left blank for future ue TR01 Paying Agent Account Left blank for future ue Left blank for future ue Left blank for future ue Left blank for future ue Left blank for future ue TR02 TR03 TR04 TR05 TR99 Undelivered or Uncahed Dividend Fund held in Fiduciary apacity Ecrow Account Trut Voucher Aggregate Trut Property Page 29 of 41

30 Left blank for future ue Left blank for future ue Left blank for future ue UT01 UT02 UT03 Utility Depoit emberhip Fee Refund or Rebate I01 et Revenue Interet UT04 apital redit Ditribution I02 Royaltie UT99 Aggregate Utilitie I03 verriding Royaltie ZZZZ Propertie ot Identified Above I04 Production Payment Back to Top wner Type ode AP T U Aggregate Property Thi property repreent a group of propertie that have been aggregated together, uually becaue of mall value. All wner except Aggregate or Unknown Thi property repreent individual property record that are not reported a aggregate or unknown, and i ued when an owner name i known and included in the report. Unknown wner (no name available) Thi property repreent individual property record in which the original owner name i unknown. Back to Top Security Delivery ode AUT DT PHYSIAL UT Regitration of Account nly Direct Tranfer Phyical ertificate Delivery Securitie ot Tranferable Back to Top ountry ode Back to Top AIS ode Back to Top Page 30 of 41

31 Holder Record Format Field # Field ame # of Poition From- Thru Type la andatory Required ptional Acceptable Value (V) omment / Edit 1 TR-DE (v) = "1" 2 HLDER-TAXID HLDER-TAXID-EXT R See Definition 4 HLDER-RPT-YEAR HLDER-RPT-TYPE A or R 6 HLDER-RPT-UBER (V) = HLDER-RPT-FRAT R 8 HLDER-SI-DE R (V) = HLDER-IRPRATED- STATE R 10(a) HLDER-I-DATE-YY R (V) = (b) HLDER-I-DATE R (V) = (c) HLDER-I-DATE-DD R (V) = HLDER-AE (V) = A-Z/0-9/Space/& 12 HLDER-ITY HLDER-UTY R (V) = A-Z/0-9/Space R (V) = A-Z 14 HLDER-STATE R 15(a) HLDER-TAT1- AE (b) HLDER-TAT1- ADDR (c) HLDER-TAT1- ADDR (d) HLDER-TAT Page 31 of 41

32 Field # Field ame # of Poition From- Thru Type la andatory Required ptional Acceptable Value (V) omment / Edit ADDR (e) HLDER-TAT1-ITY (V) = A-Z/0-9/Space 15(f) HLDER-TAT1- STATE (g) HLDER-TAT1-ZIP Left jutify, Space fill 15(h) HLDER-TAT1- UTRY (i)(1) HLDER-TAT1-TEL- A (i)(2) HLDER-TAT1-TEL- BR (i)(3) HLDER-TAT1-TEL- EXTESI Space Fill 15(j) HLDER-TAT1- EAIL Space Fill 16(a) HLDER-TAT2- AE (b) HLDER-TAT2- ADDR (c) HLDER-TAT2- ADDR (d) HLDER-TAT2- ADDR (e) HLDER-TAT2-ITY (V) = A-Z/0-9/Space 16(f) HLDER-TAT2- STATE (g) HLDER-TAT2-ZIP Left jutify, Space fill 16(h) HLDER-TAT2- UTRY Page 32 of 41

33 Field # Field ame # of Poition From- Thru Type la andatory Required ptional Acceptable Value (V) omment / Edit 16(i)(1) HLDER-TAT2-TEL- A (i)(2) HLDER-TAT2-TEL- BR (i)(3) HLDER-TAT2-TEL- EXTESI Space fill 16(j) HLDER-TAT2- EAIL Space fill 17(1) HLDER-FAX-A (2) HLDER-FAX-BR HLDER-AIS-DE R 19 FILLER Space fill Property Record Format Field # Field ID # of Poition From- Thru Type la andator y Required ptional Acceptable Value (V) omment / Edit 1 TR-DE (V) = 2 2 PRP-SEQUEE- UBER (V) = PRP-WER-TYPE (V) = P 4 PRP-AE-ID (V) = or pace 5 PRP-WER-AE- LAST 6 PRP-WER-AE- FIRST 7 PRP-WER-AE- IDDLE (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& Page 33 of 41

34 Field # Field ID # of Poition From- Thru Type la andator y Required ptional Acceptable Value (V) omment / Edit 8 PRP-WER-AE- PREFIX R (V) = A-Z/0-9/Space/& 9 PRP-WER-AE- SUFFIX 10 PRP-WER-AE- TITLE 11(a) PRP-WER- ADDRESS1 11(b) PRP-WER- ADDRESS2 11(c) PRP-WER- ADDRESS R (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& R (V) = A-Z/0-9/Space/& 12 PRP-WER-ITY R (V) = A-Z/0-9/Space 13 PRP-WER-UTY PRP-WER-STATE PRP-WER-ZIP PRP-WER-UTRY PRP-WER-TAXID R R R R 18 PRP-WER-TAXID- EXT (a) PRP-WER-DB- YY R (V) = (b) PRP-WER-DB (c) PRP-WER-DB-DD R (V) = R (V) = (a) PRP-ST-TRAS-DATE- YY 20(b) PRP-ST-TRAS-DATE R (V) = R (V) = Page 34 of 41

35 Field # Field ID # of Poition From- Thru Type la andator y Required ptional Acceptable Value (V) omment / Edit 20(c) PRP-ST-TRAS-DATE- DD 21(a) PRP-E-TRAS-DATE- YY 21(b) PRP-E-TRAS-DATE- 21(c) PRP-E-TRAS-DATE- DD R (V) = (V) = (V) = (V) = PRP-PRPERTY-TYPE R Appendix 23 PRP-AUT- REPRTED PRP-DEDUTI-TYPE If Deduction Amt > 0 25 PRP-DEDUTI- AUT PRP-AUT- ADVERTISED PRP-ADDITI-TYPE R If Addition Amt > 0 28 PRP-ADDITI- AUT PRP-DELETI-TYPE R If Deletion Amt > 0 30 PRP-DELETI- AUT PRP-AUT- REITTED If ah 32 PRP-ITEREST-FLAG PRP-ITEREST-RATE If Interet Bearing R If Flag = "Y" 34 PRP-STK-ISSUE- AE R If Security 35 PRP-STK-USIP R If Security Page 35 of 41

36 Field # Field ID # of Poition From- Thru Type la andator y Required ptional Acceptable Value (V) omment / Edit 36 PRP-UBER-F- SHARES R If Security 37 PRP-ADD-SHARES PRP-DEL-SHARES PRP-RE-SHARES R If Security R If Security R If Security 40 PRP-UEXHAGED- ISSUE-AE 41 PRP-UEXHAGED- USIP 42 PRP-UEXHAGED- SHARES R If Unexch R If Unexch R If Unexch 43 PRP-AT-UBER PRP-HEK-UBER PRP-DESRIPTI PRP-RELATISHIP- DE 47 PRP-WER-TYPE- DE Appendix Appendix 48 PRP-WER-EAIL R 49 PRP-WER-LIESE- UBER R 50 PRP-WER-LIESE- STATE R Page 36 of 41