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NYS Comptroller

THOMAS P. DiNAPOLI

Security Delivery Instructions

 

To deliver securities to the New York State Comptroller’s Office of Unclaimed Funds (OUF), follow the steps below and use one of the approved delivery methods. 

Before delivering securities to OUF

  • Prepare a list in an MS Excel format describing the securities that you intend to deliver, including: 
    • Issue name
    • CUSIP number
    • Number of shares
    • Delivering party’s Depository Trust Company (DTC) participant number
    • Preferred delivery method
  • Receive our delivery authorization within four business days of receiving your email.  We will tell you to either deliver as requested or provide alternate instructions. Do not deliver securities without authorization.

After delivering the securities, you must provide evidence of the securities being transferred into OUF’s ownership.  The required evidence depends on the type of security and how it’s delivered.  Your report isn’t complete until you provide this evidence.

 

Approved Delivery Methods

Book Entry Eligible Shares

Deliver through DTC, DRS, or DWAC (if not DTC participant) as follows:

DTC #:                  901                                                   
Reference:            State of New York, OUF  
Agent Bank:           26500                                                         
Acct #:                  114429

Dividend Reinvestments Plans (DRP) & Closed-End Funds

Close the accounts and forward whole shares via DTC (see Book Entry instructions above).  Fractional shares must be sold at the owner level and the proceeds applied to each individual owner.

Open-end Mutual Funds

Open-end mutual fund accounts held for OUF must be opened in advance by Conduent.  Email UPCH.Custody@conduent.com to obtain account numbers prior to attempting delivery. 

Send interested party statements for open-end mutual fund accounts to:

Conduent
Custody Department
100 Hancock Street, 10th Floor
Quincy, MA  02171

A confirmation statement showing the State of New York, OUF as the owner of the shares must accompany your Abandoned Property Report, in order for your report to be complete.  See the Handbook for Reporting Organizations for more guidelines. 

Federal Reserve Securities

Deliver Federal Reserve securities to:

Federal Reserve Bank of New York
ABA#0210-0001-8
Bk of NYC/CUST
Account # 114429
Account Name: State of New York, OUF

Physical Certificates

Advance approval is required to deliver physical certificates.   Certificates will be returned to the sender if they are DTC, DWAC, or DRS eligible. If physical certificates are returned, penalties may be assessed until the securities are properly delivered.

Email your list of securities that need to be delivered in certificate form to OUF’s custodian, Conduent, at UPCH.Custody@conduent.com and copy OUF at NYSRPU@osc.state.ny.us.

We’ll reply to your email with an authorization to deliver as requested or provide alternate instructions.

Account Registration

Advance approval is required to deliver securities to an account.  If securities are not delivered as instructed, penalties may be assessed until the securities are properly delivered.

Email your list of securities that need to be delivered to an account to OUF at NYSSMU@osc.state.ny.us

We’ll reply to your email with an authorization to deliver as requested or provide alternate instructions.

A confirmation statement showing the State of New York, OUF as the owner of the shares must accompany your Abandoned Property Report, in order for your report to be complete.  See the Handbook for Reporting Organizations for more guidelines. 

Foreign Securities

Email your list of foreign securities that need to be delivered to OUF’s custodian, Conduent, at UPCH.Custody@conduent.com and copy OUF at NYSRPU@osc.state.ny.us.

We’ll reply to your email with an authorization to deliver as requested or provide alternate instructions.