Free 96-656: Unclaimed Property Magnetic Tape Reporting Specifications - Texas

Unclaimed Property Magnetic Tape Reporting Specifications
May 2007

Susan Combs Texas Comptroller

ii ­ Unclaimed Property Magnetic Tape Reporting Specifications

Table of Contents
General Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . HOLDER Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PROPERTY Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PROPADD Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SECURITY Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TANGIBLE Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUMINFO Record Field Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Record Layouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendicies A . Property Type Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B . Owner Title Abbreviation Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C . Relationship Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D . Country Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E . Securities Delivery Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 5 9 15 17 19 21 23 27 29 31 33 35

Unclaimed Property Magnetic Tape Reporting Specifications ­ iii

iv ­ Unclaimed Property Magnetic Tape Reporting Specifications

General Information
The following specifications are general requirements for tape reporting and do not describe how to comply with Texas abandoned property laws . For information regarding statutory requirements, refer to the Unclaimed Property Reporting Instructions (Publication 96-478) . For telephone assistance, contact the Holder Reporting Section at (512) 936-6246 or 1-800-531-5441, extension 6-6246 . The National Association of Unclaimed Property Administrators (NAUPA) developed this record layout . This version was approved by NAUPA on July 14, 2002 . It will be effective in Texas for the November 2004 reporting cycle . The NAUPA fields are comprehensive in nature, with some being read by all states and some being read by only one state . All NAUPA fields are included in this document, with the notation "field not read by Texas" where applicable .

Code Structure, Density, Blocking and Labeling
· · · · · · · · · Cartridge: 3480 type cartridges, no compression Data Format: EBCDIC 625 bytes per record Reels: Nine-track magnetic tape, density of 1600 or 6250 BPI

14 records/8750 bytes per block IBM standard label All numeric fields must be right-justified, zero filled No packed numeric fields

All alphanumeric fields must be left-justified, space filled

External Labeling and Delivery
Each tape must be accompanied by a Holder Report and Payment Form (53-119) . Each tape should have an external label that includes the holder name, return address, record length and block size . Holder Name: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ Record Length: ________________ Block Size: ______________ Tape Label: SL or NL?

Return Address: _____________________________________________________________

Unclaimed Property Magnetic Tape Reporting Specifications ­

Record Types and Descriptions
The format is based on six record types: · · · · · · HOLDER: Contains information about the holder responsible for the report PROPERTY: Contains information about each property and the primary owner of each property PROPADD: Contains information about additional owners, if any, of same properties SECURITIES: Contains information about securities, if any, of same properties SUMINFO: Contains summary information about each holder report

TANGIBLE: Contains information about tangible property, if any, of same properties

All six record types are 625-bytes each . The first byte of each record must contain a TR-CODE that denotes the type of record, and the subsequent 624 bytes are used to store the fields for that particular record . The TRCODE, always a number between 1 and 9, indicates the type of record as follows: If TR-CODE = 1, then it is a HOLDER record = 2, then it is a PROPERTY record = 3, then it is a PROPADD record = 6 . then it is a TANGILE record = 5, then it is a SECURITY record = 9, then it is a SUMINFO record Record types 4, 7, and 8 are reserved for future use . REMEMBER: All six record types must be 625 bytes in length . The first byte of each record will contain a TRCODE as explained above . The remaining 624 bytes contain the various fields in the data set . All fields are a fixed length . Since all records MUST be 625 bytes, excess space in a field or record must contain filler (space fill if alpha field, zero fill if numeric field) . This is the template upon which all records must be based . Refer to the description & comments column in the record layout for each record type, where the specifications will state if a field is mandatory, required, optional or not required . If the field is marked "M" for "mandatory", data must be supplied or the report could be rejected . If the field is marked "R" for "required", information must be provided if known . Required information is usually required by statute or rule . If the field is marked "O" for "optional", the information is desired and will be used if supplied . If the field is marked "N" for "not required", the information will not be used by the Comptroller's office .

Filing Multiple Reports on One Tape
Since the PROPERTY, PROPADD, SECURITIES, and SUMINFO records contain no fields linking them with a specific holder record, using a single magnetic tape for multiple holder reports requires careful handling . If multiple holder reports are put on a single tape, holders must adhere to the following instructions: The HOLDER record for the first holder report must be the first record on the tape or cartridge and the SUMINFO record must be the last record in that holder report . All types of records located between the HOLDER and SUMINFO records will be assumed to belong to that HOLDER record .

2 ­ Unclaimed Property Magnetic Tape Reporting Specifications

The HOLDER record for the second holder report should be the first record after the SUMINFO record for the previous holder report . The Holder Report Number should be 02 if the second report is for the same holder . If the second report is for a different holder, the Holder Report Number should be 01 . The same criteria will hold true for the next holder report, and so on .

Unclaimed Property Magnetic Tape Reporting Specifications ­

­ Unclaimed Property Magnetic Tape Reporting Specifications

HOLDER Record
FIELD DEFInITIOnS There must be one HOLDER record for each report . The information in the HOLDER record relates to the institution reporting the property . NOTE: Fields 2-14 in the HOLDER record refer to the entity that is statutorily responsible for the property report . Reporting services should not enter their own name, tax ID number, etc . . TR-CODE The field should contain "1" to indicate it is a HOLDER record . 2. HOLDER-TAXID FEDERAL EMPLOYER IDENTIFICATION NUMBER (FEIN) -Enter the nine-digit tax ID number assigned to your organization by the Federal Government . . HOLDER-TAXID-EXT If your business files only one report, default to "0001 ." If any other departments or branches of your organization file unclaimed property reports using the same tax ID number listed on your report, contact the state to receive a FEIN Suffix Number . . HOLDER-RPT-YEAR Enter the four-digit year in which the property is being reported (CCYY) . . HOLDER-RPT-TYPE The field should be populated with "R" to indicate this is a report for which cash, stock and/or tangible property is being remitted . All Texas reports should be submitted with an R in this field . 6. HOLDER-RPT-nUMBER If this is the first report filed for the report year, enter "01 ." Increase by one for each additional report filed under the same tax identification number and extension . 7. HOLDER-RPT-FORMAT This field is not read by Texas . 8. HOLDER-SIC-CODE Enter your four-digit Standard Industrial Classification (SIC) code . The SIC code indicates the primary business activity of your organization . 9. HOLDER-InCORPORATED-STATE Enter the two-character postal abbreviation of the state in which your organization is incorporated, chartered or licensed to do business .

Unclaimed Property Magnetic Tape Reporting Specifications ­

0. HOLDER-InCORPORATED-DATE HOLDER-INC-DATE-CCYY (four-digit year) HOLDER-INC-DATE-MM (two-digit month) HOLDER-INC-DATE-DD (two-digit day)

Enter the date on which your organization was incorporated, chartered or licensed to do business (MMDDCCYY) . . HOLDER-nAME Enter the name of the company or institution for which you are reporting . 2. HOLDER-CITY Enter the name of the city in which the corporate headquarters is located, or the primary place of business for the holder in field 11 . . HOLDER-COUnTY This field is not read by Texas . . HOLDER-STATE Enter the state in which the corporate headquarters is located, or the state of the primary place of business for the holder in field 11 . Use the valid two-character postal abbreviation of the state . . HOLDER-COnTACT Enter the name, address, phone number and extension, if applicable, of the person responsible for the report . The person should also be able to answer questions concerning the contents of the report . (a) NAME Enter the contact's name in the order of first, middle, last .

(b) ADDR1 (c) ADDR2 (d) ADDR3 (e) CITY Enter the contact's mailing address . Enter the contact's city . Do not use commas . If the address is outside the United States, list the province, etc . Enter the contact's state . Use the two-character state abbreviation . Enter the contact's five or nine-character zip . If you use only the first five positions, space fill the remaining 4 positions (i .e ., DO NOT use zeros to fill the remaining positions) .

(f) STATE (g) ZIP

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(h) COUNTRY

Enter the contact's country . Use the three-letter abbreviations provided in Appendix D .

(i) TELEPHONE (1) TEL-AC

Enter the contact's area code . Enter the contact's seven-digit telephone number . Enter the contact's extension . Space fill if not applicable . DO NOT zero fill .

(2) TEL-NBR

(3) TEL-EXTENSION (j) EMAIL

Enter the contact's email address .

6. HOLDER-COnTACT2 Enter the name, address, phone number and extension, if applicable, of the person responsible for claims . This person may be contacted by the Comptroller's office or potential owners with questions about reported owner data (e .g ., requests for additional information during the claims process) . (a) NAME Enter the contact's name in the order of first, middle, last .

(b) ADDR1 (c) ADDR2 (d) ADDR3 (e) CITY Enter the contact's mailing address . Enter the contact's city . Do not use commas . If the address is outside the United States, list the province, etc . Enter the contact's state . Use the two-character state abbreviation . Enter the contact's five or nine-character zip . If you use only the first five positions, space fill the remaining 4 positions (i .e ., DO NOT use zeros to fill the remaining positions) .

(f) STATE (g) ZIP

(h) COUNTRY

Enter the contact's country . Use the three-letter abbreviations provided in Appendix D .

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(i) TELEPHONE (1) TEL-AC

Enter the contact's area code . Enter the contact's seven-digit telephone number . Enter the contact's extension if applicable .

(2) TEL-NBR

(3) TEL-EXTENSION (j) EMAIL

Enter the email address for Contact 2 .

7. HOLDER-FAX (1) TEL-AC Enter the area code of contact's FAX number . Enter the contact's seven-digit FAX number .

(2) TEL-NBR

8. nAICS CODE This field is not read by Texas . 9. FILLER Space fill .

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PROPERTY Record
FIELD DEFInITIOnS The PROPERTY record contains information about the property and about the owner of the Property . . TR-CODE The field should contain "2" to indicate it is a PROPERTY record . 2. PROP-SEQUEnCE-nUMBER The sequence number for each record should be unique . The first property record on a report should be "000001" for the PROP-SEQUENCE-NUMBER . Increment the number by one as other property records are added . . PROP-OWnER-TYPE This field is not read by Texas . . PROP-nAME-ID This field is not read by Texas . . PROP-OWnER-nAME-LAST Enter the owner's last name or the company/business name . If the owner/owners are unknown, enter "UNKNOWN." If the owner record is an aggregate, space fill the field. See Field 45 for more information on aggregate records. If the owner is a business, enter the business name exactly as adopted, except where the first word is "The" . "The" should be placed at the end or omitted (e .g ., Smith Company or Smith Company The) . Punctuation should never be used under any circumstances (periods, commas, apostrophes, etc .) . Company names containing initials should be entered with spaces between the initials (e .g ., J J Reynolds vs . JJ Reynolds) . Do not abbreviate the first word of the company name (e .g ., American vs . Amer, National vs . Natl) . Do not use numeric characters in the name field unless absolutely necessary . The word "first" should never be abbreviated as "1st ." Exceptions can be made when a number is part of the company logo or registered trademark such as A1 Inc . 6. PROP-OWnER-nAME-FIRST Enter the owner's first name . 7. PROP-OWnER-nAME-MIDDLE Enter the owner's middle name . 8. PROP-OWnER-nAME-PREFIX Enter a name prefix if applicable, such as M/M (for Mr . or Mrs .) . 9. PROP-OWnER-nAME-SUFFIX Enter the owner's name suffix if applicable (Jr, Sr, III) .

Unclaimed Property Magnetic Tape Reporting Specifications ­ 9

0. PROP-OWnER-nAME-TITLE Enter the owner's title (MD, Capt, Rev) . The field may also be used to provide an Owner Title Abbreviation Code that designates ownership, such as guardian or trustee . Refer to Appendix B . . PROP-OWnER (a) ADDRESS1 (b) ADDRESS2 (c) ADDRESS3 Enter the owner's last-known address . The last-known address must be provided even if the mail has been returned by the post office . If the owner's street address is unknown, space fill the field . DO NOT fill with "unknown" or "address unknown ." 2. PROP-OWnER-CITY Enter the city of the owner's last-known address . If the address is not in the United States, list the province, etc . If the owner's city is unknown, space fill . DO NOT fill with "unknown" or "city unknown ." . PROP-OWnER-COUnTY This field is not read by Texas . . PROP-OWnER-STATE Enter the standard two-character state postal abbreviation of the owner's last-known address . If the lastknown address is not in the United States, space fill . . PROP-OWnER-ZIP Enter the owner's five- or nine-character zip code . If 5 digits are used, space fill the remaining 4 digits . Do not include dashes in the data . 6. PROP-OWnER-COUnTRY Enter the country of the owner's last-known address . Refer to Appendix D for a listing of country abbreviations . 7. PROP-OWnER-TAXID Enter the owner's social security number (SSN) or the company's federal employer identification number (FEIN) . When establishing ownership, the SSN/FEIN is very important . 8. PROP-OWnER-TAXID-EXT This field is not read by Texas . 9. PROP-OWnER-DATE-OF-BIRTH (a) PROP-OWNER-DOB-CCYY (four digit year) (b) PROP-OWNER-DOB-MM (two digit month) (c) PROP-OWNER-DOB-DD (two digit day)

Enter the owner's date of birth . "MM" equals the numerical month, "DD" equals the day, "CC" equals the century, and "YY" equals the year .

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20. PROP-STARTInG-TRAnSACTIOn-DATE (a) PROP-ST-TRANS-DATE-CCYY (four-digit year) (b) PROP-ST-TRANS-DATE-MM (two-digit month) (c) PROP-ST-TRANS-DATE-DD (two-digit day)

The "date of last transaction" is the date of last contact with the owner, on which the last deposit/withdrawal occurred, the date mail was returned or the date on which the property became payable, redeemable or returnable (e .g ., issue date of a check) . Most holders will complete the "Date of Last Transaction" field . "CCYY" is the year, "MM" is the month, and "DD" represents the day . If your records reflect only a month and/or year, enter the available information and use 01 (e .g ., 06/01/88 or 01/01/88) . If you are reporting like property types with periodic payments such as dividends, oil and gas royalties or commission checks, total all amounts due the owner during the applicable time period and combine the payments on one property record . Enter the beginning and ending dates on which the amounts were payable . 2. PROP-EnDInG-TRAnSACTIOn-DATE (a) PROP-EN-TRANS-DATE-CCYY (four digits) (b) PROP-EN-TRANS-DATE-MM (two digits) (c) PROP-EN-TRANS-DATE-DD (two digits)

Refer to number 20 . Enter the date of the last periodic payment . 22. PROP-PROPERTY-TYPE The property type code distinguishes one property type from another . All codes are four characters . Refer to Appendix A for the appropriate code . The property type code on an aggregate record should always end in 99 . 2. PROP-AMOUnT-REPORTED This field is not read by Texas . 2. PROP-DEDUCTIOn-TYPE This field is not read by Texas . 2. PROP-DEDUCTIOn-AMOUnT This field is not read by Texas . 26. PROP-AMOUnT-ADVERTISED This field is not read by Texas . 27. PROP-ADDITIOn-TYPE This field is not read by Texas . 28. PROP-ADDITIOn-AMOUnT This field is not read by Texas . 29. PROP-DELETIOn-TYPE This field is not read by Texas . 0. PROP-DELETIOn-AMOUnT This field is not read by Texas .
Unclaimed Property Magnetic Tape Reporting Specifications ­

. PROP-AMOUnT-REMITTED Enter the net amount due each owner . The amount entered is the amount to be paid to the state . DO NOT list a negative amount . Owners with negative amounts should not be included on the tape . Example: $253 .00 = 0000025300 $253 .73 = 0000025373

2. PROP-InTEREST-FLAG This field is not read by Texas . . PROP-InTEREST-RATE This field is not read by Texas . . PROP-STOCK-ISSUE-nAME Enter the name of the security issue that is due the owner . DO NOT enter more than one issue per owner record . (For example, brokers must provide one property record for each issue held in an owner's account .) If the issue name is longer than the allowed field, please use field 3 of the SECURITIES record type to include the entire security name . . PROP-STOCK-CUSIP Enter the CUSIP number of the security issue named in number 34 (i .e ., the security you will be remitting to the state) . 6. PROP-nUMBER-OF-SHARES This field is not read by Texas . 7. PROP-ADD-SHARES This field is not read by Texas . 8. PROP-DEL-SHARES This field is not read by Texas . 9. PROP-REM-SHARES Enter the number of shares remitted for the owner (i .e ., total number of shares of the same issue being remitted for the owner) . The number of shares is a 12-digit field with four decimal places assumed . The decimal point must not be entered . Example: 543 = 000005430000 543 .73 = 000005437300 1,543 .7334 = 000015437334

0. PROP-UnEXCHAnGED-ISSUE-nAME Enter the name of the security issue still in the possession of the owner . . PROP-UnEXCHAnGED-CUSIP Enter the CUSIP number of the security issue still in the possession of the owner . 2. PROP-UnEXCHAnGED-SHARES Enter the number of shares still in the possession of the owner . The number of shares is a 12-digit field with four decimal places assumed . The decimal point must not be entered .

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Example:

543 = 000005430000 543 .73 = 000005437300 1,543 .7334 = 000015437334

. PROP-ACCT-nUMBER Enter the account number . Substitute policy number if reporting insurance-related property . Substitute owner number if reporting mineral proceeds . Substitute certificate number if reporting a matured certificate of deposit . Substitute cause number if reporting property relating to a court judgment . Substitute GF number if title company reporting escrow accounts . Substitute original policy number if reporting demutualization cash or stock . Substitute box number if reporting safe deposit box contents . . PROP-CHECK-nUMBER Enter the check number if applicable . . PROP-DESCRIPTIOn Any additional information that will assist in identifying the owner of the property should be listed in the PROP-DESCRIPTION field . Examples are lease name, name of a cashier check purchaser, insurance policy beneficiary, etc . This field should also be used for details on aggregate amounts . List the number of properties that were combined for the aggregate entry and the four position Property Type Code in the PROP-DESCRIPTION field (e .g ., 15-AC01, 10-AC02, 45-CK01, etc .) . The Property Type Code used on an aggregate record should always end in "99" (e .g ., AC99 record with "15 AC01" entered in the property description field indicates 15 Checking Accounts were combined on the aggregate record . Additional aggregate records are required for each additional property type .) You may not combine different property types into one aggregate record . 6. PROP-RELATIOnSHIP-CODE This field may be substituted for Field 10, PROP-OWNER-NAME-TITLE . The PROP-RELATIONSHIPCODE need only be completed if there is a second owner to the property, and is used to indicate the relationship of the first owner to the second . Refer to Appendix C for relationship codes . 7. PROP-OWnER-TYPE-CODE This field is not read by Texas . 8. FILLER Space fill .

Unclaimed Property Magnetic Tape Reporting Specifications ­

­ Unclaimed Property Magnetic Tape Reporting Specifications

PROPADD Record
FIELD DEFInITIOnS The PROPADD record contains information about additional owners of property recorded in the PROPERTY record . If there is more than one owner of a piece of property, each additional owner of the property must be entered on a PROPADD record . . TR-CODE The field should contain "3" to indicate it is a PROPADD record . 2. PADD-SEQUEnCE-nUMBER The field must contain the same PROP-SEQUENCE-NUMBER as the corresponding primary PROPERTY record . . PADD-OWnER-TYPE This field is not read by Texas . . PADD-OWnER-nAME-LAST Enter the additional owner's last name or the company/business name . Follow the same entry standards as required for the property record . . PADD-OWnER-nAME-FIRST Enter the additional owner's first name . 6. PADD-OWnER-nAME-MIDDLE Enter the additional owner's middle name . 7. PADD-OWnER-nAME-PREFIX Enter the additional owner's prefix if applicable (e .g ., M/M for Mr . and Mrs .) . 8. PADD-OWnER-nAME-SUFFIX Enter the additional owner's suffix if applicable (e .g ., Jr, Sr, III) . 9. PADD-OWnER-nAME-TITLE Enter the additional owner's title such as Dr, Pvt, Rev . The field may also be used to provide an Owner Title Abbreviation Code that designates ownership, such as guardian or trustee . Refer to Appendix B . 0. PADD-OWnER (a) ADDRESS1 (b) ADDRESS2 (c) ADDRESS3 Enter the additional owner's last-known address .
Unclaimed Property Magnetic Tape Reporting Specifications ­

. PADD-OWnER-CITY Enter the city of the additional owner's last-known address . 2. PADD-OWnER-COUnTY This field is not read by Texas . . PADD-OWnER-STATE If the additional owner's last-known address is not in the United States, space fill . . PADD-OWnER-ZIP Enter the additional owner's five or nine-digit zip code . Do not include dashes in the field . . PADD-OWnER-COUnTRY Enter the country of the additional owner's last-known address . Refer to Appendix D for a listing of country abbreviations . 6. PADD-OWnER-TAXID Enter the additional owner's social security number (SSN) or the company's federal employer identification number (FEIN) . 7. PADD-OWnER-TAXID-EXT This field is not read by Texas . 8. PADD-OWnER-DATE-OF-BIRTH (a) PADD-OWNER-DOB-CCYY (four digit year) (b) PADD-OWNER-DOB-MM (two digit month) (c) PADD-OWNER-DOB-DD (two digit day)

Enter the additional owner's date of birth . "MM" equals the numerical month, "DD" equals the day, "CC" equals the century, and "YY" equals the year . 9. PADD-RELATIOnSHIP-CODE This field may be substituted for Field 9, PADD-OWNER-NAME-TITLE . The PADD-RELATIONSHIPCODE is used to indicate the relationship of the additional owner to the primary owner . Refer to Appendix C for relationship codes . 20. PADD-SEQ-nUMBER This field is not read by Texas . 2. PADD-OWnER-TYPE-CODE This field is not read by Texas . 22. PADD-nAME-ID This field is not read by Texas . 2. FILLER Space fill

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SECURITIES Record
FIELD DEFInITIOnS This record should only be created if reporting securities-related property (i .e ., property type codes begin with "SC") . One SECURITIES record should be created for each securities-related property and must follow the applicable PROPERTY record . If there is more than one owner to the property, the SECURITIES record must follow the last PROPADD record of the applicable property . . TR-CODE The field should contain "5" to indicate it is a SECURITIES record . 2. PROP-SEQUEnCE-nUMBER The field must contain the same PROP-SEQUENCE-NUMBER as the corresponding PROPERTY record of the primary owner . . SECR-SUBISSUE-nAME Use this field to enter the issue name of the remitted shares . The data should be the same as that in the PROP-STOCK-ISSUE-NAME field of the PROPERTY record . This field can be used for more detailed information on the security, such as bond issue and maturity dates, interest coupon numbers, etc . . SECR-ORIGInAL-SHRS-HELD Enter the number of original shares held by the owner at the time of last activity . The information is used to help determine the proof required of a claimant . NOTE: If you are reporting SC10 shares, the number in this field will usually be the same as the number you provide on the PROPERTY record in the PROPUNEXCHANGED-SHARES field . . SECR-ORIGInAL-REG-nAME This field should be used to enter the owner name(s) exactly as shown on the certificate or registration . 6. SECR-DELIVERY-METHOD Indicate the method used to deliver the reported securities to the State . The only valid values for this field are DTC, PHYSICAL, ACCOUNT, and UNT . 7. SECR-CERTIFICATE Enter the original certificate number (if applicable) of the owner's underlying, unexchanged, or RPO shares . 8. SECR-SYMBOL Enter the symbol of the issue if the security is publicly traded on a stock exchange . 9. SECR-DEPOSIT-ACCOUnT Enter the state account number that the remitted security is deposited to, if applicable . Texas prefers DTC delivery .
Unclaimed Property Magnetic Tape Reporting Specifications ­ 7

0. SECR-MUTL-FAMILY If the security is a mutual fund, enter the fund "Family" name . The specific fund name should be entered in the PROP-STOCK-ISSUE-NAME on the PROPERTY record . . FILLER Space fill .

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TAnGIBLE Record
FIELD DEFInITIOnS This record is not read by Texas .

Unclaimed Property Magnetic Tape Reporting Specifications ­ 9

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SUMInFO Record
FIELD DEFInITIOnS There must be one SUMINFO record for each holder report . It contains summary information that will be used for balancing purposes . . TR-CODE The field should contain "9" to indicate it is a SUMINFO record . 2. SUMM-nBR-OF-RECORDS Enter the total number of records reported including the HOLDER, PROPERTY, PROPADD, SECURITIES, and SUMINFO records . The number of records is a 6-digit field . The quantity recorded is always a whole number (i .e ., no decimal positions) . . SUMM-nBR-OF-PROPERTIES Enter the total number of PROPERTY records . The number of property records is a 6-digit field and may only be recorded as a whole number (i .e ., no decimal positions) . . SUMM-AMOUnT-REPORTED This field is not read by Texas . . SUMM-DEDUCTIOn-AMOUnT This field is not read by Texas . 6. SUMM-AMOUnT-ADVERTISED This field is not read by Texas . 7. SUMM-ADDITIOn-AMOUnT This field is not read by Texas . 8. SUMM-DELETIOn-AMOUnT This field is not read by Texas . 9. SUMM-AMOUnT-REMITTED Enter the sum of the amount in the PROP-AMOUNT-REMITTED field on each PROPERTY record . The amount remitted is a 12-digit field with two decimal places assumed . The decimal point must not be entered . Example: $1,150,125 .26 = 000115012526 0. SUMM-nBR-SHARES This field is not read by Texas . . SUMM-SHARES-ADD This field is not read by Texas . 2. SUMM-SHARES-DEL This field is not read by Texas .

Unclaimed Property Magnetic Tape Reporting Specifications ­ 2

. SUMM-SHARES-REMITTED Enter the sum of the amount in the PROP-REM-SHARES field on each PROPERTY record . The number of shares is a 14-digit field with four decimal places assumed . The decimal point must not be entered . Example: 124256 .5984 = 00001242565984 . SUMM-nEGATIVE-REPORT This field is not read by Texas . . SUMM-SOFTWARE-VERSIOn Enter the version number of the software that created the NAUPA file . 6. SUMM-CREATOR Enter the company that wrote the software that created the file . 7. SUMM-CREATOR-COnTACT Enter the name and contact information for the file creator . 8. FILLER Space fill .

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RECORD nAME: HOLDER
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

1 2 3 4 5 6 7 8 9 10(a) 10(b) 10(c) 11 12 13 14 15(a) 15(b) 15(c) 15(d) 15(e) 15(f) 15(g) 15(h) 15(i)(1) 15(i)(2) 15(i)(3) 15(j) 16(a) 16(b) 16(c) 16(d) 16(e) 16(f) 16(g) 16(h) 16(i)(1) 16(i)(2) 16(i)(3) 16(j) 17(1) 17(2) 18 19

TR-CODE HOLDER-TAXID HOLDER-TAXID-EXT HOLDER-RPT-YEAR HOLDER-RPT-TYPE HOLDER-RPT-NUMBER HOLDER-RPT-FORMAT HOLDER-SIC-CODE HOLDER-INCORPORATED-STATE HOLDER-INC-DATE-CCYY HOLDER-INC-DATE-MM HOLDER-INC-DATE-DD HOLDER-NAME HOLDER-CITY HOLDER-COUNTY HOLDER-STATE HOLDER-CONTACT1-NAME HOLDER-CONTACT1-ADDR1 HOLDER-CONTACT1-ADDR2 HOLDER-CONTACT1-ADDR3 HOLDER-CONTACT1-CITY HOLDER-CONTACT1-STATE HOLDER-CONTACT1-ZIP HOLDER-CONTACT1-COUNTRY HOLDER-CONTACT1-TEL-AC HOLDER-CONTACT1-TEL-NBR HOLDER-CONTACT1-TEL-EXTENSION HOLDER-CONTACT1-EMAIL HOLDER-CONTACT2-NAME HOLDER-CONTACT2-ADDR1 HOLDER-CONTACT2-ADDR2 HOLDER-CONTACT2-ADDR3 HOLDER-CONTACT2-CITY HOLDER-CONTACT2-STATE HOLDER-CONTACT2-ZIP HOLDER-CONTACT2-COUNTRY HOLDER-CONTACT2-TEL-AC HOLDER-CONTACT2-TEL-NBR HOLDER-CONTACT2-TEL-EXTENSION HOLDER-CONTACT2-EMAIL HOLDER-FAX-AC HOLDER-FAX-NBR HOLDER-NAICS-CODE FILLER

1 9 4 4 1 2 1 4 2 4 2 2 40 30 20 2 40 30 30 30 30 2 9 3 3 7 4 50 40 30 30 30 30 2 9 3 3 7 4 50 3 7 6 5

1 2 11 15 19 20 22 23 27 29 33 35 37 77 107 127 129 169 199 229 259 289 291 300 303 306 313 317 367 407 437 467 497 527 529 538 541 544 551 555 605 608 615 621

1 10 14 18 19 21 22 26 28 32 34 36 76 106 126 128 168 198 228 258 288 290 299 302 305 312 316 366 406 436 466 496 526 528 537 540 543 550 554 604 607 614 620 625

N N N C C C C N C N N N C C C C C C C C C C C C N N C C C C C C C C C C N N C C N N C C

M M R M M M N R R R R R M R N R M M M M M M M M M M O O O O O O O O O O O O O O O O R M

(V)=1 See Definitions

(V)=01-99 (V)=0111-9999 (V)=1000-9999 (V)=01-12 (V)=01-31 (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE

(V)=A-Z/0-9/SPACE LEFT JUSTIFY SPACE FILL APPENDIX D

SPACE FILL SPACE FILL

(V)=A-Z/0-9/SPACE LEFT JUSTIFY SPACE FILL APPENDIX D

SPACE FILL SPACE FILL

SPACE FILL

Unclaimed Property Magnetic Tape Reporting Specifications ­ 2

RECORD nAME: PROPERTY
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

1 2 3 4 5 6 7 8 9 10 11(a) 11(b) 11(c) 12 13 14 15 16 17 18 19(a) 19(b) 19(c) 20(a) 20(b) 20(c) 21(a) 21(b) 21(c) 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37

TR-CODE PROP-SEQUENCE-NUMBER PROP-OWNER-TYPE PROP-NAME-ID PROP-OWNER-NAME-LAST PROP-OWNER-NAME-FIRST PROP-OWNER-NAME-MIDDLE PROP-OWNER-NAME-PREFIX PROP-OWNER-NAME-SUFFIX PROP-OWNER-NAME-TITLE PROP-OWNER-ADDRESS1 PROP-OWNER-ADDRESS2 PROP-OWNER-ADDRESS3 PROP-OWNER-CITY PROP-OWNER-COUNTY PROP-OWNER-STATE PROP-OWNER-ZIP PROP-OWNER-COUNTRY PROP-OWNER-TAXID PROP-OWNER-TAXID-EXT PROP-OWNER-DOB-CCYY PROP-OWNER-DOB-MM PROP-OWNER-DOB-DD PROP-ST-TRANS-DATE-CCYY PROP-ST-TRANS-DATE-MM PROP-ST-TRANS-DATE-DD PROP-EN-TRANS-DATE-CCYY PROP-EN-TRANS-DATE-MM PROP-EN-TRANS-DATE-DD PROP-PROPERTY-TYPE PROP-AMOUNT-REPORTED PROP-DEDUCTION-TYPE PROP-DEDUCTION-AMOUNT PROP-AMOUNT-ADVERTISED PROP-ADDITION-TYPE PROP-ADDITION-AMOUNT PROP-DELETION-TYPE PROP-DELETION-AMOUNT PROP-AMOUNT-REMITTED PROP-INTEREST-FLAG PROP-INTEREST-RATE PROP-STOCK-ISSUE-NAME PROP-STOCK-CUSIP PROP-NUMBER-OF-SHARES PROP-ADD-SHARES

1 6 1 1 40 30 10 10 10 6 30 30 30 30 20 2 9 3 9 2 4 2 2 4 2 2 4 2 2 4 10 2 10 10 2 10 2 10 10 1 7 25 9 12 12

1 2 8 9 10 50 80 90 100 110 116 146 176 206 236 256 258 267 270 279 281 285 287 289 293 295 297 301 303 305 309 319 321 331 341 343 353 355 365 375 376 383 408 417 429

1 7 8 9 49 79 89 99 109 115 145 175 205 235 255 257 266 269 278 280 284 286 288 292 294 296 300 302 304 308 318 320 330 340 342 352 354 364 374 375 382 407 416 428 440

N N C C C C C C C C C C C C C C C C N C N N N N N N N N N C N C N N C N C N N C N C C N N

M M N N M R R R R R R R R R N R R R R N N N N O O O O O O R N N N N N N N N M N N R R N N

(V)=2 (V)=000001-999999

(V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& APPENDIX B (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE

APPENDIX D

(V)=1000-9999 (V)=01-12 (V)=01-31 (V)=1000-9999 (V)=01-12 (V)=01-31 (V)=1000-9999 (V)=01-12 (V)=01-31 APPENDIX A

IF CASH

IF SECURITY IF SECURITY

2 ­ Unclaimed Property Magnetic Tape Reporting Specifications

RECORD nAME: PROPERTY (continued)
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

38 39 40 41 42 43 44 45 46 47 48

PROP-DEL-SHARES PROP-REM-SHARES PROP-UNEXCHANGED-ISSUE-NAME PROP-UNEXCHANGED-CUSIP PROP-UNEXCHANGED-SHARES PROP-ACCT-NUMBER PROP-CHECK-NUMBER PROP-DESCRIPTION PROP-RELATIONSHIP-CODE PROP-OWNER-TYPE-CODE FILLER

12 12 25 9 12 20 20 50 2 2 21

441 453 465 490 499 511 531 551 601 603 605

452 464 489 498 510 530 550 600 602 604 625

N N C C N C C C C C C

N R R R R O O O O O M

IF SECURITY IF UNEXCH IF UNEXCH IF UNEXCH

RECORD nAME: PROPADD
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

1 2 3 4 5 6 7 8 9 10(a) 10(b) 10(c) 11 12 13 14 15 16 17 18(a) 18(b) 18(c) 19 20 21 22 23

TR-CODE PROP-SEQUENCE-NUMBER PADD-OWNER-TYPE PADD-OWNER-NAME-LAST PADD-OWNER-NAME-FIRST PADD-OWNER-NAME-MIDDLE PADD-OWNER-NAME-PREFIX PADD-OWNER-NAME-SUFFIX PADD-OWNER-NAME-TITLE PADD-OWNER-ADDRESS1 PADD-OWNER-ADDRESS2 PADD-OWNER-ADDRESS3 PADD-OWNER-CITY PADD-OWNER-COUNTY PADD-OWNER-STATE PADD-OWNER-ZIP PADD-OWNER-COUNTRY PADD-OWNER-TAXID PADD-OWNER-TAXID-EXT PADD-OWNER-DOB-CCYY PADD-OWNER-DOB-MM PADD-OWNER-DOB-DD PADD-RELATIONSHIP-CODE PADD-SEQ-NUMBER PADD-OWNER-TYPE-CODE PADD-NAME-ID FILLER

1 6 1 40 30 10 10 10 6 30 30 30 30 20 2 9 3 9 2 4 2 2 2 3 2 1 330

1 2 8 9 49 79 89 99 109 115 145 175 205 235 255 257 266 269 278 280 284 286 288 290 293 295 296

1 7 8 48 78 88 98 108 114 144 174 204 234 254 256 265 268 277 279 283 285 287 289 292 294 295 625

N N C C C C C C C C C C C C C C C N C N N N C N C C C

M M N M R R R R R R R R R N R R R R N N N N M N M M M

(V)=3 (V)=PROP SEQUENCE NO (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& APPENDIX B (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE/& (V)=A-Z/0-9/SPACE

APPENDIX D SPACE FILL (V)=1000-9999 (V)=01-12 (V)=01-31 APPENDIX C SPACE FILL SPACE FILL SPACE FILL

Unclaimed Property Magnetic Tape Reporting Specifications ­ 2

RECORD nAME: SECURITIES
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

1 2 3 4 5 6 7 8 9 10 11

TR-CODE PROP-SEQUENCE-NUMBER SECR-SUBISSUE-NAME SECR-ORIGINAL-SHRS-HELD SECR-ORIGINAL-REG-NAME SECR-DELIVERY-METHOD SECR-CERTIFICATE SECR-SYMBOL SECR-DEPOSIT-ACCOUNT SECR-MUTL-FAMILY FILLER

1 6 150 12 70 10 20 10 20 50 276

1 2 8 158 170 240 250 270 280 300 350

1 7 157 169 239 249 269 279 299 349 625

N N C N C C C C C C C

M M O O O M O O O O M

(V)=5 (V)=PROP-SEQUENCENUMBER

Owner name exactly as registered See Appendix for codes Original Certificate Number

Space fill

RECORD nAME: TAnGIBLE
This record is not read by Texas.

RECORD nAME: SUMInFO
Field Number Field Name Number of Positions Positions From Thru Type Class Mandatory, Required, Optional, Not Required Acceptable Values (V)/ Comments/Edits

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

TR-CODE SUMM-NBR-OF-RECORDS SUMM-NBR-OF-PROPERTIES SUMM-AMOUNT-REPORTED SUMM-DEDUCTION-AMOUNT SUMM-AMOUNT-ADVERTISED SUMM-ADDITION-AMOUNT SUMM-DELETION-AMOUNT SUMM-AMOUNT-REMITTED SUMM-NBR-OF-SHARES SUMM-ADD-SHARES SUMM-DEL-SHARES SUMM-REM-SHARES SUMM-NEGATIVE-REPORT SUMM-SOFTWARE-VERSION SUMM-CREATOR SUMM-CREATOR-CONTACT FILLER

1 6 6 12 12 12 12 12 12 14 14 14 14 1 20 20 70 373

1 2 8 14 26 38 50 62 74 86 100 114 128 142 143 163 183 253

1 7 13 25 37 49 61 73 85 99 113 127 141 142 162 182 252 625

N N N N N N N N N N N N N C C C C C

M M M N N N N N M N N N M O M M M M

(V)=9

SPACE FILL

SPACE FILL

26 ­ Unclaimed Property Magnetic Tape Reporting Specifications

Appendix A

Property Type Codes
FInAnCIAL InSTITUTIOn ACCOUnTS Property Type (AC) AC01 . AC02 . AC03 . AC04 . AC05 . AC06 . AC07 . AC08 . AC99 . Checking accounts (5) Savings accounts (5) Matured certificates of deposit (5) Code deleted Code deleted Code deleted Unidentified deposits (3) Code deleted Aggregate account balances less than $50 CK01 . CK02 . CK03 . CK04 . CK05 . CK06 . CK07 . CK08 . CK09 . CK10 . CK11 . CK12 . CK13 . CK14 . CK15 . CHECKS Property Type (CK) Cashier's checks (3) Certified checks (3) Registered checks (3) Code deleted Drafts (3) Warrants (3) Money orders (7) Traveler's checks (15) Foreign exchange checks (3) Expense checks (3) Pension checks (3) Credit checks or memos (3) Vendor checks (3) Code deleted Any other outstanding official checks or exchange items (3) CK16 . CD Interest checks (3) CK99 . Aggregate uncashed checks less than $50 UTILITIES Property Type (UT) UT01 . UT02 . UT03 . UT04 . UT99 . Utility deposits (3) Membership fees (3) Refunds or rebates (3) Capital credit distributions (3) Aggregate utility property less than $50 COURTS/LEGAL Property Type (CT) CT01 . CT02 . CT03 . CT04 . CT05 . CT99 . Escrow funds (3) Condemnation awards (3) Missing heirs' funds (3) Suspense accounts (3) Any other types of deposits made with a court or public authority (3) Aggregate court deposits less than $50

TRUST, InVESTMEnTS, AnD ESCROW ACCOUnTS Property Type (TR) TR01 . TR02 . TR03 . TR04 . TR05 . TR06 . TR99 . Paying agent accounts (3) Undelivered dividends or uncashed dividends (3) Funds held in a fiduciary capacity (3) Escrow accounts (3) Trust vouchers (3) Pre-need funeral plans (3) Aggregate trust property less than $50

SAFE DEPOSIT BOXES AnD SAFEKEEPInG Property Type (SD) SD01 . SD02 . SD03 . SD04 . Contents of safe deposit boxes held by depositories (5) Safekeeping property(3) Other tangible property (3) Tangible unclaimed loan collateral (3) InSURAnCE* Property Type (In) IN01 . IN02 . IN03 . IN04 . IN05 . IN06 . IN07 . IN08 . IN99 . Individual policy benefits or claim payments (3) Group policy benefits or claim payments (3) Death benefits due beneficiaries (3) Proceeds from matured policies, endowments, or annuities (3) Premium refunds on individual policies (3) Unidentified remittances (3) Other amounts due under policy terms (3) Agent credit balances (3) Aggregate insurance property less than $50

* See Securities for Demutualization Proceeds

Unclaimed Property Magnetic Tape Reporting Specifications ­ 27

PROCEEDS FROM MInERAL InTERESTS Property Type (MI) MI01 . MI02 . MI03 . MI04 . MI05 . MI06 . MI07 . MI08 . MI09 . Net revenue interests (3) Royalties (3) Overriding royalties (3) Production payments (3) Working interests (3) Bonuses (3) Delay rentals (3) Shut-in royalties (3) Minimum royalties (3) GEnERAL BUSInESS, MISCELLAnEOUS CHECKS, AnD InTAnGIBLE PERSOnAL PROPERTY Property Type (MS) MS01 . MS02 . MS03 . MS04 . MS05 . MS06 . MS07 . MS08 . MS09 . MS10 . MS11 . MS12 . MS13 . MS14 . MS15 . MS16 . MS17 . MS18 . MS99 . Wages, payroll, or salary (1) Commissions (3) Worker's compensation benefits (3) Payment for goods and services (3) Customer overpayments (3) Unidentified remittances (3) Unrefunded overcharges (3) Accounts payable (3) Accounts receivable credit balances (3) Discounts due (3) Refunds/rebates due (3) Unredeemed gift certificates (3) Cash loan collateral (3) Sums payable under pension and profit sharing plans (IRA, KEOGH, e .g .) (3) Property distributable in the course of involuntary dissolution or liquidation (3) Any other miscellaneous outstanding checks (3) Code deleted Code deleted Aggregate miscellaneous property less than $50 SC01 . SC02 . SC03 . SC04 . SC05 . SC06 . SC07 . SC08 . SC09 . SC10 . SC11 . SC12 . SC13 . SC14 . SC15 . SC16 . SC17 . SC18 . SC19 . SC20 . SC85 . SC86 . SC99 .

SECURITIES Property Type (SC) Dividends (3) Interest payable on registered bonds (3) Code deleted Code deleted Code deleted Funds paid toward the purchase of shares or interest in a financial or business organization (3) Bearer bond interest and matured principal (3) Undelivered (RPO) shares (3) Cash for fractional shares (3) Unexchanged stock of successor corporation (3) Any other certificates of ownership (3) Underlying shares (3) Funds for liquidation/redemption of unsurrendered stocks or bonds (3) Debentures (3) U .S . Government securities (3) Book-entry mutual fund shares (3) Warrants or rights (3) Matured principal on registered bonds (3) Dividend reinvestment plans (3) Credit balances (3) Demutualization cash (1) Demutualization shares (1) Aggregate securities-related cash less than $50

28 ­ Unclaimed Property Magnetic Tape Reporting Specifications

Appendix B

Owner Title Abbreviation Codes
Administrator/Administratrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ADM Custodian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .CUST Deceased . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . DECD Estate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . EST Executor/Executrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .EXEC For the Account of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . FAO For the Benefit of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . FBO Guardian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GDN In Trust for . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ITF Joint Tenancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . JT Life Estate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . LIFEST Minor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . MNR Tenants in Common . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .TIC Trust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TR Trustee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TTEE Uniform Gift to Minors Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . UGMA Under the Will of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . UWO

Unclaimed Property Magnetic Tape Reporting Specifications ­ 29

0 ­ Unclaimed Property Magnetic Tape Reporting Specifications

Appendix C

Relationship Codes
CODE / DESCRIPTIOn

AD ­ ADMINISTRATOR AF ­ ATTORNEY FOR* AG ­ AGENT FOR* AN ­ AND* BF ­ BENEFICIARY OR ­ OR* AO ­ AND/OR* CC ­ CO-CONSERVATOR* CF ­ CUSTODIAN FOR CN ­ CONSERVATOR* FB ­ FOR BENEFIT OF IN ­ INSURED* TE ­ AS TRUSTEE FOR EX ­ EXECUTOR or EXECUTRIX JT ­ JOINT TENANTS WITH RIGHTS OF SURVIVORSHIP JC ­ JOINT TENANTS IN COMMON PA ­ PAYEE* PO ­ POWER OF ATTORNEY* RE ­ REMITTER* UG ­ UNIFORM GIFT MINORS ACT "UGMA" GR ­ GUARDIAN FOR * Not read by Texas .

Unclaimed Property Magnetic Tape Reporting Specifications ­

2 ­ Unclaimed Property Magnetic Tape Reporting Specifications

Appendix D

Country Code Table
CODE DESCRIPTIOn CODE DESCRIPTIOn CODE DESCRIPTIOn

Afghanistan . . . . . . . . . . . . . . . . . . . AFG Arland Islands . . . . . . . . . . . . . . . . . ALA Albania . . . . . . . . . . . . . . . . . . . . . . . ALB Algeria . . . . . . . . . . . . . . . . . . . . . . . DZA American Samoa . . . . . . . . . . . . . . .ASM Andorra . . . . . . . . . . . . . . . . . . . . . .AND Anegada (See British Virgin Islands) Angola . . . . . . . . . . . . . . . . . . . . . . .AGO Anguilla . . . . . . . . . . . . . . . . . . . . . . AIA Antigua and Barbuda . . . . . . . . . . . . ATG Argentina . . . . . . . . . . . . . . . . . . . . .ARG Armenia . . . . . . . . . . . . . . . . . . . . . ARM Aruba . . . . . . . . . . . . . . . . . . . . . . . ABW Australia . . . . . . . . . . . . . . . . . . . . . . AUS Austria . . . . . . . . . . . . . . . . . . . . . . . AUT Azerbaijan . . . . . . . . . . . . . . . . . . . . AZE Bahamas . . . . . . . . . . . . . . . . . . . . . . BHS Bahrain . . . . . . . . . . . . . . . . . . . . . . . BHR Bangladesh . . . . . . . . . . . . . . . . . . . .BGD Barbados . . . . . . . . . . . . . . . . . . . . . BRB Barbuda (See Antigua & Barbuda) Belarus . . . . . . . . . . . . . . . . . . . . . . . BLR Belgium . . . . . . . . . . . . . . . . . . . . . . BEL Belize . . . . . . . . . . . . . . . . . . . . . . . . BLZ Benin . . . . . . . . . . . . . . . . . . . . . . . . BEN Bermuda . . . . . . . . . . . . . . . . . . . . . BMU Bhutan . . . . . . . . . . . . . . . . . . . . . . . BTN Bolivia . . . . . . . . . . . . . . . . . . . . . . . BOL Bosnia and Herzegovina . . . . . . . . . BIH Botswana . . . . . . . . . . . . . . . . . . . . .BWA Brazil . . . . . . . . . . . . . . . . . . . . . . . . BRA British Virgin Islands* . . . . . . . . . . .VGB British West Indies** Brunei Darussalam . . . . . . . . . . . . . . BRN Bulgaria . . . . . . . . . . . . . . . . . . . . . . BGR Burkina Faso . . . . . . . . . . . . . . . . . . BFA Burundi . . . . . . . . . . . . . . . . . . . . . . BDI Caicos Islands (See Turks & Caicos Islands) Cambodia . . . . . . . . . . . . . . . . . . . . KHM Cameroon . . . . . . . . . . . . . . . . . . . . CMR Canada . . . . . . . . . . . . . . . . . . . . . . .CAN Canary Islands (See Spain) Cape Verde . . . . . . . . . . . . . . . . . . . . CPV Cayman Islands . . . . . . . . . . . . . . . CYM Central African Republic . . . . . . . . . CAF Chad . . . . . . . . . . . . . . . . . . . . . . . . . TCD Channel Islands (See United Kingdom) Chile . . . . . . . . . . . . . . . . . . . . . . . . . CHL China . . . . . . . . . . . . . . . . . . . . . . . .CHN

Colombia . . . . . . . . . . . . . . . . . . . . . COL Comoros . . . . . . . . . . . . . . . . . . . . . COM Congo . . . . . . . . . . . . . . . . . . . . . . . .COG Cook Islands . . . . . . . . . . . . . . . . . .COK Corsica (See France) Costa Rica . . . . . . . . . . . . . . . . . . . . .CRI Cote D'Ivoire . . . . . . . . . . . . . . . . . . CIV Crete (See Greece) Croatia . . . . . . . . . . . . . . . . . . . . . . . HRV Cuba . . . . . . . . . . . . . . . . . . . . . . . . . CUB Cyprus . . . . . . . . . . . . . . . . . . . . . . . CYP Czech Republic . . . . . . . . . . . . . . . . CZE Democratic Peoples Republic of Korea (North) . . . . . . . . . . . . . PRK Democratic Republic of the Congo . . . . . . . . . . . . . . . . . . . . . .COD Denmark . . . . . . . . . . . . . . . . . . . . . .DNK Djibouti . . . . . . . . . . . . . . . . . . . . . . . DJI Dominica . . . . . . . . . . . . . . . . . . . . DMA Dominican Republic . . . . . . . . . . . DOM East Germany (See Germany) East Timor (See Timor-Leste) Ecuador . . . . . . . . . . . . . . . . . . . . . . ECU Egypt . . . . . . . . . . . . . . . . . . . . . . . . EGY El Salvador . . . . . . . . . . . . . . . . . . . . SLV Equatorial Guinea . . . . . . . . . . . . . .GNQ Eritrea . . . . . . . . . . . . . . . . . . . . . . . . .ERI Estonia . . . . . . . . . . . . . . . . . . . . . . . EST Ethiopia . . . . . . . . . . . . . . . . . . . . . . ETH Faeroe Islands . . . . . . . . . . . . . . . . . FRO Falkland Islands (Malvinas) . . . . . . FLK Fiji . . . . . . . . . . . . . . . . . . . . . . . . . . . FJI Finland . . . . . . . . . . . . . . . . . . . . . . . .FIN France . . . . . . . . . . . . . . . . . . . . . . . . FRA French Guiana . . . . . . . . . . . . . . . . . GUF French Polynesia . . . . . . . . . . . . . . . PYF French West Indies*** Futuna Island (See Wallis & Futuna Islands) Gabon . . . . . . . . . . . . . . . . . . . . . . . .GAB Gambia . . . . . . . . . . . . . . . . . . . . . . GMB Georgia . . . . . . . . . . . . . . . . . . . . . . . GEO Germany . . . . . . . . . . . . . . . . . . . . . . DEU Ghana . . . . . . . . . . . . . . . . . . . . . . . .GHA Gibraltar . . . . . . . . . . . . . . . . . . . . . . GIB Grand Cayman (See Cayman Islands) Great Britain (See United Kingdom) Greece . . . . . . . . . . . . . . . . . . . . . . . GRC Greenland . . . . . . . . . . . . . . . . . . . . . GRL Grenada . . . . . . . . . . . . . . . . . . . . . .GRD

Grenadines (The) (See Saint Vincent & the Grenadines) Guadeloupe . . . . . . . . . . . . . . . . . . . GLP Guam . . . . . . . . . . . . . . . . . . . . . . . GUM Guatemala . . . . . . . . . . . . . . . . . . . GTM Guinea . . . . . . . . . . . . . . . . . . . . . . . GIN Guinea-Bissau . . . . . . . . . . . . . . . . .GNB Guyana . . . . . . . . . . . . . . . . . . . . . . .GUY Haiti . . . . . . . . . . . . . . . . . . . . . . . . . .HTI Herzegovina (See Bosnia & Herzegovina) Holy See . . . . . . . . . . . . . . . . . . . . . . VAT Honduras . . . . . . . . . . . . . . . . . . . . .HND Hong Kong (Special Administrative Region of China) . . . . . . . . . . . . .HKG Hungary . . . . . . . . . . . . . . . . . . . . .HUN Iceland . . . . . . . . . . . . . . . . . . . . . . . . ISL India . . . . . . . . . . . . . . . . . . . . . . . . . IND Indonesia . . . . . . . . . . . . . . . . . . . . . IDN Iran (Islamic Republic of) . . . . . . . . IRN Iraq . . . . . . . . . . . . . . . . . . . . . . . . . . IRQ Ireland . . . . . . . . . . . . . . . . . . . . . . . .IRL Isle of Man (See United Kingdom) Isle of Wright (See United Kingdom) Israel . . . . . . . . . . . . . . . . . . . . . . . . . . ISR Italy . . . . . . . . . . . . . . . . . . . . . . . . . . ITA Jamaica . . . . . . . . . . . . . . . . . . . . . . . JAM Jan Mayen Islands (See Svalbard & Jan Mayen Islands) Japan . . . . . . . . . . . . . . . . . . . . . . . . .JPN Jordan . . . . . . . . . . . . . . . . . . . . . . . . JOR Jost Van Dyke (See British Virgin Islands) Kazakhstan . . . . . . . . . . . . . . . . . . . . KAZ Kenya . . . . . . . . . . . . . . . . . . . . . . . . KEN Kiribati . . . . . . . . . . . . . . . . . . . . . . . KIR Korea (See Democratic Peoples Republic or Republic of Korea) Kuwait . . . . . . . . . . . . . . . . . . . . . . KWT Kyrgyzstan . . . . . . . . . . . . . . . . . . . . KGZ Laos (Lao Peoples Democratic Republic) . . . . . . . . . . . . . . . . . . . LAO Latvia . . . . . . . . . . . . . . . . . . . . . . . . LVA Lebanon . . . . . . . . . . . . . . . . . . . . . . LBN Lesotho . . . . . . . . . . . . . . . . . . . . . . . LSO Liberia . . . . . . . . . . . . . . . . . . . . . . . LBR Libya (Libyan Arab Jamahiriya) . . . LBY Liechtenstein . . . . . . . . . . . . . . . . . . . LIE Lithuania . . . . . . . . . . . . . . . . . . . . . LTU Luxembourg . . . . . . . . . . . . . . . . . . . LUX

Unclaimed Property Magnetic Tape Reporting Specifications ­

CODE

DESCRIPTIOn

CODE

DESCRIPTIOn

CODE

DESCRIPTIOn

Macao (Special Administrative Region of China) . . . . . . . . . . . . MAC Macedonia (The Former Yugoslav Republic of Macedonia) . . . . . . . MKD Madagascar . . . . . . . . . . . . . . . . . . MDG Malawi . . . . . . . . . . . . . . . . . . . . . . .MWI Malaysia . . . . . . . . . . . . . . . . . . . . . .MYS Maldives . . . . . . . . . . . . . . . . . . . . . MDV Mali . . . . . . . . . . . . . . . . . . . . . . . . . MLI Malta . . . . . . . . . . . . . . . . . . . . . . . . MLT Malvinas (See Falkland Islands) Mariana Islands (See Northern Mariana Islands) Marshall Islands . . . . . . . . . . . . . . . MHL Martinique . . . . . . . . . . . . . . . . . . . MTQ Mauritania . . . . . . . . . . . . . . . . . . . .MRT Mauritius . . . . . . . . . . . . . . . . . . . . .MUS Mayotte . . . . . . . . . . . . . . . . . . . . . MYT Mexico . . . . . . . . . . . . . . . . . . . . . . MEX Micronesia (Federated States of) . . FSM Miquelon (See Saint Pierre & Miquelon) Moldova (See Republic of Moldovo) Monaco . . . . . . . . . . . . . . . . . . . . . MCO Mongolia . . . . . . . . . . . . . . . . . . . . MNG Montserrat . . . . . . . . . . . . . . . . . . . .MSR Morocco . . . . . . . . . . . . . . . . . . . . . MAR Mozambique . . . . . . . . . . . . . . . . . MOZ Myanmar . . . . . . . . . . . . . . . . . . . . MMR Namibia . . . . . . . . . . . . . . . . . . . . . NAM Nauru . . . . . . . . . . . . . . . . . . . . . . . .NRU Nepal . . . . . . . . . . . . . . . . . . . . . . . . NPL Netherlands . . . . . . . . . . . . . . . . . . . NLD Netherlands Antilles . . . . . . . . . . . . . ANT Nevis (See Saint Kitts & Nevis) New Caledonia . . . . . . . . . . . . . . . . . NCL New Zealand . . . . . . . . . . . . . . . . . . NZL Nicaragua . . . . . . . . . . . . . . . . . . . . . NIC Niger . . . . . . . . . . . . . . . . . . . . . . . . NER Nigeria . . . . . . . . . . . . . . . . . . . . . . .NGA Niue . . . . . . . . . . . . . . . . . . . . . . . . . NIU Norfolk Island . . . . . . . . . . . . . . . . . NFK North Korea (See Democratic Peoples Republic) Northern Ireland (See United Kingdom) Northern Mariana Islands . . . . . . . .MNP Norway . . . . . . . . . . . . . . . . . . . . . . .NOR Occupied Palestinian Territory . . . . PSE Oman . . . . . . . . . . . . . . . . . . . . . . . OMN Pakistan . . . . . . . . . . . . . . . . . . . . . . PAK Palau . . . . . . . . . . . . . . . . . . . . . . . . . PLW Panama . . . . . . . . . . . . . . . . . . . . . . . PAN Papua New Guinea . . . . . . . . . . . . . PNG

Paraguay . . . . . . . . . . . . . . . . . . . . . . PRY Peru . . . . . . . . . . . . . . . . . . . . . . . . . PER Philippines . . . . . . . . . . . . . . . . . . . . PHL Pitcairn . . . . . . . . . . . . . . . . . . . . . . . PCN Poland . . . . . . . . . . . . . . . . . . . . . . . POL Portugal . . . . . . . . . . . . . . . . . . . . . . PRT Principe (See Sao Tome & Principe) Puerto Rico . . . . . . . . . . . . . . . . . . . . PRI Qatar . . . . . . . . . . . . . . . . . . . . . . . . . QAT Republic of Korea (South) . . . . . . . .KOR Republic of Moldova . . . . . . . . . . . MDA Reunion . . . . . . . . . . . . . . . . . . . . . . REU Romania . . . . . . . . . . . . . . . . . . . . . .ROU Russian Federation . . . . . . . . . . . . . . RUS Rwanda . . . . . . . . . . . . . . . . . . . . . .RWA Saint Croix (See United States Virgin Islands) Saint Helena . . . . . . . . . . . . . . . . . . . SHN Saint John (See United States Virgin Islands) Saint Kitts and Nevis . . . . . . . . . . . .KNA Saint Lucia . . . . . . . . . . . . . . . . . . . . LCA Saint Pierre and Miquelon . . . . . . . . SPM Saint Thomas (See United States Virgin Islands) Saint Vincent and the Grenadines . . VCT Samoa . . . . . . . . . . . . . . . . . . . . . . . WSM San Marino . . . . . . . . . . . . . . . . . . . .SMR Sao Tome and Principe . . . . . . . . . . STP Sardinia (See Italy) Saudi Arabia . . . . . . . . . . . . . . . . . . . SAU Scotland (See United Kingdom) Senegal . . . . . . . . . . . . . . . . . . . . . . . SEN Serbia and Montenegro . . . . . . . . . . SCG Seychelles . . . . . . . . . . . . . . . . . . . . SYC Sierra Leone . . . . . . . . . . . . . . . . . . . SLE Singapore . . . . . . . . . . . . . . . . . . . . SGP Slovakia . . . . . . . . . . . . . . . . . . . . . . SVK Slovenia . . . . . . . . . . . . . . . . . . . . . . SVN Solomon Islands . . . . . . . . . . . . . . . . SLB Somalia . . . . . . . . . . . . . . . . . . . . . .SOM South Africa . . . . . . . . . . . . . . . . . . . ZAF South Korea (See Republic of Korea) Spain . . . . . . . . . . . . . . . . . . . . . . . . ESP Sri Lanka . . . . . . . . . . . . . . . . . . . . . LKA Sudan . . . . . . . . . . . . . . . . . . . . . . . . SDN Suriname . . . . . . . . . . . . . . . . . . . . . SUR Svalbard and Jan Mayen Islands . . . SJM Swaziland . . . . . . . . . . . . . . . . . . . . .SWZ Sweden . . . . . . . . . . . . . . . . . . . . . . .SWE Switzerland . . . . . . . . . . . . . . . . . . . CHE Syrian Arabl Republic . . . . . . . . . . . SYR

Taiwan (See China) Tajikistan . . . . . . . . . . . . . . . . . . . . . TJK Tanzania (See United Republic of Tanzania) Thailand . . . . . . . . . . . . . . . . . . . . . . THA Timor-Leste . . . . . . . . . . . . . . . . . . . TLS Tobago (See Trinidad & Tobago) Togo . . . . . . . . . . . . . . . . . . . . . . . . . TGO Tokelau . . . . . . . . . . . . . . . . . . . . . . . TKL Tonga . . . . . . . . . . . . . . . . . . . . . . . . TON Tortola (See British Virgin Islands) Trinidad and Tobago . . . . . . . . . . . . TTO Tunisia . . . . . . . . . . . . . . . . . . . . . . . TUN Turkey . . . . . . . . . . . . . . . . . . . . . . . TUR Turkmenistan . . . . . . . . . . . . . . . . . TKM Turks and Caicos Islands . . . . . . . . . TCA Tuvalu . . . . . . . . . . . . . . . . . . . . . . . TUV Uganda . . . . . . . . . . . . . . . . . . . . . . .UGA Ukraine . . . . . . . . . . . . . . . . . . . . . . .UKR United Arab Emirates (UAE) . . . . . . ARE United Kingdom . . . . . . . . . . . . . . . GBR United Republic of Tanzania . . . . . . TZA United States . . . . . . . . . . . . . . . . . . USA United States Virgin Islands**** . . VIR Uruguay . . . . . . . . . . . . . . . . . . . . . . URY Uzbekistan . . . . . . . . . . . . . . . . . . . . UZB Vanuatu . . . . . . . . . . . . . . . . . . . . . . VUT Venezuela . . . . . . . . . . . . . . . . . . . . . VEN Viet Nam . . . . . . . . . . . . . . . . . . . . VNM Virgin Gorda (See British Virgin Islands) Wales (See United Kingdom) Wallis and Futuna Islands . . . . . . . .WLF West Germany (See Germany) Western Sahara . . . . . . . . . . . . . . . . . ESH Yemen . . . . . . . . . . . . . . . . . . . . . . YEM Zambia . . . . . . . . . . . . . . . . . . . . . . .ZMB Zimbabwe . . . . . . . . . . . . . . . . . . . .ZWE
* British Virgin Islands (VGB) include Anegada, Virgin Gorda, Jost Van Dyke & Tortola British West Indies include Anguilla, British Virgin Islands, Caymen Islands, Montserrat, Turks/Caicos - Each island has it's own code .

**

*** French West Indies include St Barthelemy, Guadeloupe (GLP), Les Saintes & Martinique (MTQ) . **** US Virgin Islands (VIR) include St . Croix, St John & St Thomas

­ Unclaimed Property Magnetic Tape Reporting Specifications

Appendix E

Securities Delivery Codes
CODE / DESCRIPTIOn

ACCOUNT . . . . . . . . . . . . . . . Book-Entry Registration DTC . . . . . . . . . . . . . . . . . . . . Direct Transfer to Depository Trust Corporation (or Federal Reserve) PHYSICAL . . . . . . . . . . . . . . Physical Delivery of Certificate to State Comptroller UNT . . . . . . . . . . . . . . . . . . . . Security Nontransferable

Unclaimed Property Magnetic Tape Reporting Specifications ­

Texas Comptroller of Public Accounts Publication #96-656 · Revised May 2007 To Request Additional Copies Call Toll Free: 1(800)321-2274, ext. 6-6246 Or Write: Texas Comptroller of Public Accounts Unclaimed Property Division P. O. Box 12019 Austin, Texas 78711-2019 Visit our Web site at: www.window.state.tx.us/up/

Susan Combs · Texas Comptroller of Public Accounts