Illinois Unclaimed Property Reporting Form – Fill Out and Use This PDF

Office of the Illinois State Treasurer

Unclaimed Property Division

DELIVERY OF REPORT & REMITTANCE

¾A holder must file the unclaimed property report on either the paper forms (UPD601 and UPD602) provided by the Agency or on a computer diskette formatted according to the instructions located on our Web site at icash.illinois.gov.

¾The Annual Report of Unclaimed Property form (UPD601) must be completed and filed regardless of whether you have abandoned property to report.

¾The Annual Remittance Detail form (UPD602) is required only if you have property to report.

¾If a professional service is filing your report, you must provide them with forms UPD601 and UPD602 to file your report. Copies of completed forms should be kept for your files.

¾Inaccurate or incomplete reports are not considered to be in compliance with reporting requirements, and may result in fees and charges as provided for in Section 1025/25.5 of the Act.

REMITTING CASH: Include a check for the total, payable to: Treasurer of the State of Illinois, Unclaimed Property Division

ACH PAYMENTS: Automated Clearing House Transfer payments are now available. Instructions for electronic payments can be found at www.treasurer.il.gov. A hard copy of the UPD601 reporting form is still required for reports submitted using ACH.

REMITTING STOCKS OR BONDS: Include all certificates. Certificates should be reissued in the name of “Springfield &

Co.”, FEIN # 90-0169148.

DO NOT enroll the State in dividend reinvestment plans. Dividend reinvestment plans currently in effect are to be closed and remitted to the State, whole shares are to be certificated and issued to the Treasurer and all fractional shares are to be remitted in cash. Future dividends that accrue are to be remitted in cash.

You may DTC the shares to our account. Detailed instructions can be found within the Instructions for filing the Annual Report of Unclaimed Property. NOTE: All reports along with a listing of securities MUST be in the possession of the Unclaimed Property Division before you will be allowed to DTC the securities.

REMITTING MUTUAL FUNDS

All remittable mutual funds shall be registered and delivered to:

Treasurer of the State of Illinois, Unclaimed Property Division 1 West Old State Capitol Plaza, Suite 400

Springfield, IL 62701-1390 FEIN 36-3716228

Remittable mutual funds shall be transferred to an account for each fund within the family of funds.

DO NOT enroll the State in dividend reinvestment plans. All dividends and other income accruing on mutual fund shares are to be paid in cash.

No debits may be made to an account without written authorization from the office of the Treasurer. Monthly account statements sent to the above-listed address are mandatory.

For any owner account reported that is less than one share, or does not meet a minimum balance requirement, liquidate the shares and remit the cash value of the account.

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Office of the Illinois State Treasurer

Unclaimed Property Division

INSTRUCTIONS FOR FILING THE ANNUAL REPORT AND ANNUAL REMITTANCE DETAIL

OF UNCLAIMED PROPERTY USING FORMS UPD601 & UPD602

REPORT OF UNCLAIMED PROPERTY—UPD601:

IMPORTANT: This cover page must be remitted with all unclaimed property reports. You may use your own form, however it must contain the same information as the UPD601 and it must be signed by an authorized employee of your company.

1.Enter your organization’s basic information, including name and mailing address. Section A identifies the name and address of the business that is responsible for filing the annual report. Section B shows the name and address of the company for which the report is being filed if different from Section A (branch and subsidiaries).

2.Indicate which type of report you are filing. First time Filing: Never filed with the State previously.

Supplemental: An additional report filed to supplement a regular report you have already submitted. Annual: Your standard report due each year.

3.Enter in all other required information requested on the UPD601, including name, telephone number, fax number, and email address of the contact person who would be able to answer questions concerning the report, FEIN number, state and date of incorporation, and type of business (see page 5). Enter the holder’s total assets, annual sales/income and number of employees nationwide.

4.Answer the due diligence question. Law requires you to perform due diligence 60 to 120 days before filing your report. Section 1025/11(e) requires that due diligence is performed for those accounts over $10.00.

5.Complete the Payment Information. Check the appropriate box for the payment method used and fill out the total amount of cash, number of owners, and shares included on the report. If your company does not have unclaimed funds to report, mark NTR.

6.Verification. Report must be signed by an employee who is authorized to certify that the property remitted to the Illinois State Treasurer Office is true and correct.

REPORT OF UNCLAIMED PROPERTY—UPD602:

The Annual Remittance Detail, form UPD602, may be duplicated as needed. Use this form to report all pertinent information concerning owners and their property.

1.Holder Name and Holder Number. Enter your organization’s (holder) name and holder number, if available.

2.Complete Owner Record for each property. If there is only one owner check ‘Single’, if a property has multiple owners check ‘Joint Owner’ and indicate which record it is (e.g. owner 1 of 2 or owner 2 of 2). List owner record 1 first and additional owners immediately afterward.

3.Relationship Codes indicate the type of relationship that exists between properties with more than one owner. See the table on page 5 for a listing of possible relationship codes.

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4.Owner Name. Enter in the last name, first name, and middle name or initial, if available. Be sure to include any information that would aid in the identification of the owner including prefixes (titles) and suffixes (Jr., Sr., MD, etc.).

a.Company names should be entered into the last name field. If a name begins with ‘The’, remove ‘The’.

b.If a single item has two or more owners, the names and addresses of each must be listed.

c.If name is not known, type the word ‘Unknown’ in this field and provide any available property information.

d.If reporting items less than $25.00 in an aggregate, enter ‘Aggregate’ in the last name field.

e.Omit punctuation.

5.Owner address. Each line indicates the kind of address information to be typed on that line. Omit punctuation.

6.Social Security Number, Company FEIN, and Date of Birth should be included if the information is available. This can accelerate the claims process and may be the only information a person can document to prove ownership.

7.Property Type Codes. This code describes the type of property being remitted. All property must have a property type code. Refer to page 6 for most appropriate code types.

8.Owner account or check number. Identify the account, policy, and check, serial or other property identifying number. This number should apply specifically to the owner being reported, not to a general ledger number.

9.Security Name. Describe the security related property being remitted.

10.CUSIP Number. The CUSIP number of the security being reported is required.

11.Certificate/MF#. The certificate or bond number associated with the securities reissued in the name of Springfield & Co., FEIN 90-0169148, or the mutual fund account number associated with the securities registered in the name of the Treasurer of the State of Illinois Unclaimed Property Division, FEIN 36-3716228.

12.Transfer Date for Security. The date of issue of a stock/bond certificate or the date of transfer of a mutual fund account into the Treasurer’s account.

13.Number of Shares. Enter the number of shares for the owner.

a.Do not report fractional shares on certificated stock – remit cash in lieu of the fractional shares (SC09).

b.Mutual fund shares are to be reported up to the 4th decimal.

14.Last Activity Date. Record the date of last activity for this property.

15.Cash Amount is the principal amount available on the date of last activity. If you are reporting security related cash property, please combine items together per each owner.

16.Interest/Dividends. The total interest/dividends earned on the principal amount since the date of last activity. Applies only to deposit accounts.

17.Service Charge. The lawful charges that may be deducted as defined in 760.60 of applicable rules. When backup withholding has been applied to an account, reflect this by reducing the amount of cash or interest/dividends reported whichever appropriate.

18.Mailing Charge. The actual costs of a due diligence mailing as required by Section 11(e) of the Act, and as defined in Section 760.40 of the applicable rules may be deducted.

19.Amount Remitted. The total of Cash Amount and Interest/Dividends less Service and Mailing Charges. The total of the amounts remitted for all owners must equal the amount of the check submitted with this report.

20.Comments. This line may be used for AKA, DBA, FKA, or other descriptive information not included in the relationship code, prefix, suffix, property code, or account information fields.

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TYPE OF BUSINESS

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