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DFS-UP-128 FOR SECURITIES
This form is used to list the ‘Securities” related property (preferred stock, bonds, debentures, or mutual
funds) due for owners. The remittance for these items is due at the same time as you submit your
unclaimed property report.
REMINDER: The Department forms cannot be used if your unclaimed property report includes 25
or more owners.
DFS-UP-128 FORM ETAILD
A. Column “NUMBER OF SHARES REPORTED ” - Enter the sum of the shares, by issue, due the
owner. Multiple issues for the same owner will require separate entries on the form.
B. Column “ NAME AND LAST KNOWN ADDRESS ” – Enter the last name, first name and full
middle name, if available. Corporate or other titles must be entered exactly as adopted, except the
word “the” must be omitted when it is the first word in the name. If the owner name is not known,
insert “Unknown” as the owner name. List the last known address, including zip code of the
owner as it last appeared in the holder’s records. Include the address, even when the address is
incomplete or erroneous. If no address is available, insert “Address Unknown” beneath the name.
If the property has more than one owner, the names and addresses of the alternate owners must be
listed beneath the original owner’s name. If there is no alternate owner for this account, then the
wording “No Alternate Owner” must be entered after each account.
1. The relationship between the owners must also be shown (A list of valid relationship
codes can be found in the RELATIONSHIP CODE TABLE). Enter the date of birth, if
available. Reports that do not meet this requirement will be returned to the holder to
supply the omitted information and are subject to potential fines and interest penalties.
C. Column “ SSN/FEIN OF OWNER ” – Enter the social security number of the individual or FEIN
for the business of the reported owner of the property. Social security numbers must be reported
for securities holdings. If the alternate owner’s SSN is available, it must also be reported. If no
social security number is available, insert “Unknown” in this column. Common abbreviations are
SSN, FEID, EIN, and TIN. The SSN/FEIN number is required information that must be included
on the report.
D. Column “ PROPERTY TYPE CODE ” - Enter the property type code of each item. The property
type codes are listed in the FLORIDA PROPERTY CODE AND DORMANCY TABLE.
Select the 4-character code that best describes the property being reported. The valid codes for
securities are SC08, SC10, SC11, SC14, SC15, SC16, SC17, SC19 and DM02. The property type
code is required information that must be included on the report.
E. Column “ DATE OF LAST TRANSACTION ” - Enter the date the property became payable,
redeemable or returnable. This is the date a dividend became payable, the date of last
communication with the owner, or the date that statements and mailings are being returned as
undeliverable. The date of last transaction is required information that must be included on the
report.
The Date of Last Transaction is not the date of the holder’s due diligence letter.
Make sure that all reported accounts have reached the end of their statutory
dormancy period.
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