5446 Direct Offline Transaction Request

New Treasury Direct

sav5446_new

New Treasury Direct

OMB: 1535-0138

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1535-0138 can be found here:

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For official use only:
Customer Name
PD F 5446 E
Department of the Treasury
Bureau of the Public Debt
(Revised April 2009)

Customer No.

TreasuryDirect®

OMB No. 1535-0138

OFFLINE TRANSACTION REQUEST

www.treasurydirect.gov
304-480-7711

IMPORTANT: Follow instructions in filling out this form. You should be aware that the making of any false, fictitious, or
fraudulent claim or statement to the United States is a crime that is punishable by fine and/or imprisonment.
PRINT IN INK OR TYPE ALL INFORMATION

Use this form to request transactions involving online E, EE, and I savings bonds, and Treasury bills, notes, bonds, and
TIPS, and/or a TreasuryDirect account, which cannot be completed online. If a:
•
•

Decedent’s estate is involved, see the instructions for examples of when this form may or may not be used.
Change to an Entity Account or Entity Account Manager is involved, see the instructions for additional
evidence that may be required.

Carefully read all of the instructions before completing this form and complete only the parts of the form that apply to
the transaction(s) requested. Parts A and F must be completed for ALL transactions.

At a glance…………
If you are the………………..

and are requesting………………..

then complete parts

Change/correct account name

A, E-1, and F

Correct Social Security Number

A, E-1, and F

Correct date of birth

A, E-1, and F

Remove hardlock

A and F

Account owner or parent of a
minor account owner and the
security is a restricted,
converted security

Transfer

A, C, and F

Edit

A, D-1, and F

Surviving secondary owner or
beneficiary, including nonconverting coowner or
beneficiary

Redemption or sale

A, B, and F

Transfer

A, C, and F

Edit registration

A, D-1, and F

Account owner or parent of a
minor account owner

Non-converting coowner or
beneficiary

Redemption or sale
Legal representative or legal
guardian formally appointed by Transfer to a TreasuryDirect
Entity Account, financial
the court and still acting
institution, or broker
Person entitled to securities
due to distribution of an estate
by a legal representative or
restoration to competency or
attainment of majority when a
legal guardian has been
formally appointed

Attorney-in-fact

A, B, and F
A, C, and F

Redemption or sale

A, B, and F

Transfer to person(s) entitled

A, C, and F

Redemption or sale

A, B, and F

Transfer

A, C, and F

Edit registration

A, D-1, and F

Change/correct account name

A, E-1, and F

Correct Social Security Number

A, E-1, and F

Correct date of birth

A, E-1, and F
1

and also provide this evidence:

None required

If the non-converting coowner or
beneficiary is deceased, a
certified copy of his/her death
certificate
A certified copy of the
decedent’s death certificate
None required
A certified copy of your letters of
appointment, dated within one
year of submission
A certified copy of the legal
representative's or legal
guardian's letters of
appointment dated within one
year of submission, certified
copies of death certificates for
all deceased registrants, and a
PD F 1455 showing distribution.
A copy of the power of attorney
document, containing the
grantor's signature and
witnessed or certified in
accordance with applicable
state law

PD F 5446 E

Person(s) entitled through
judicial proceedings

Redemption or sale

A, B, and F

Transfer to person(s) entitled

A, C, and F

Person entitled to securities
belonging to a decedent’s
estate when a legal
representative has not been/
will not be appointed and the
estate is not being settled in
accordance with state statute

Redemption or sale

A, B, and F

Transfer to person(s) entitled

A, C, and F

Change/correct Entity Account
Information
Change/correct Entity Account
Manager Information
Change/correct Entity Account
Manager

A, E-2, & F

Entity Account Manager or
new Entity Account Manager

Currently Acting Entity
Account Manager

Change of Entity Account
Manager

A, E-2, & F
A, E-2, E-3, & F

A, D-2, & F

A certified copy of the court
approved document authorizing
the transaction
A certified copy of the
decedent’s death certificate and
properly completed PD F 5336
showing distribution

Copy of trust, corporate
resolution, letters of
appointment, death certificate,
etc., as applicable. See
instructions.
Copy of trust, corporate
resolution, letters of
appointment, death certificate,
etc., as applicable. See
instructions.

PD F 5446 E

Part A Reset

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Part A
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Account and Transaction Information

1. TreasuryDirect Account Information
TreasuryDirect Account Number:
TreasuryDirect Account Name:
Taxpayer Identification Number (SSN/EIN):
2. Transactions Requested (check all that apply)
Redemption of online E, EE, or I savings bonds.

Sale of an online Treasury bill, note, bond, or TIPS.

Redeem C of I account.

Transfer of an online E, EE, or I savings bond to another online

TreasuryDirect account. Complete Part C-1.

Edit the registration of existing online E, EE, or I savings

bonds.

Transfer of an online Treasury bill, note, bond, or TIPS to
another online TreasuryDirect account. Complete Part C-1.

Change/correct account owner’s name.

Transfer of an online Treasury bill, note, bond, or TIPS to a
Legacy Treasury Direct account. Complete Part C-2.

Change/correct Entity Account information.

Transfer of an online Treasury bill, note, bond, or TIPS to a
financial institution. Complete Part C-3.

Correct account owner's Social Security Number.

Remove hardlock.

Change/correct Entity Account Manager information.

Other (specify).

Correct account owner's date of birth.

3. Capacity of Applicant(s) (check all that apply) (Supporting evidence is often required; see the instructions.)
Individual Account Owner

Entity Account Manager

Surviving secondary owner or beneficiary

Non-converting coowner or beneficiary

Legal representative of the estate of

Legal guardian of the estate of
Person(s) entitled as shown on PD F 1455
Parent of a minor account owner
Attorney-in-fact
Person(s) entitled through judicial proceedings
Person(s) entitled to decedent’s estate as shown on PD F 5336
Other (specify)
3

PD F 5446 E

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Part B
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Redeem Online E, EE, OR I Savings Bonds or Sell Online Treasury Bills, Notes, Bonds, OR TIPS
Complete a separate Part B for each separate redemption/sale request and/or if the number of securities to be
redeemed/sold is more than can be described in the space provided.
I request redemption of the online E, EE, or I savings bonds, or the sale of Treasury bills, notes, bonds, or TIPS
indicated below:
1. Description of Securities
Redeem/sell ALL my securities in the requested TreasuryDirect account.
Confirmation Number

Portion to be Redeemed/Sold
(if neither block is checked, redemption/sale in FULL will be assumed)
Redemption/sale of security or C of I in FULL
OR

Redemption/sale of security or C of I to the extent of $
Redemption/sale of security or C of I in FULL
OR

Redemption/sale of security or C of I to the extent of $
2. Payee Information
(Name)

OR
(Social Security Number)

(Employer Identification Number)

3. Direct Deposit Instructions
I request that the proceeds from the redemption/sale be deposited to:
(Name[s] on the Account)
Type of Account:

Checking

Savings

(Depositor's Account No.)
Bank Routing No.

(Financial Institution's Name)

(Phone Number)

TRANSFER AND SALE AUTHORIZATION
I/We request the securities described above be transferred from my identified TreasuryDirect account to the Federal Reserve Bank of Chicago (FRB Chicago). I/We also authorize FRB Chicago, as fiscal
agent of the United States, to sell the above-identified securities and to charge a transaction fee for each security which will be deducted prior to depositing the settlement amount due me/us. I/We
understand FRB Chicago will make a reasonable effort to obtain a price quote from at least three (3) government securities dealers and will sell the securities to the dealer with the highest price quote for
next day settlement. I/We agree to accept the price received by FRB Chicago from the dealer selected as having the highest price quote. I/We understand the Treasury Department and FRB Chicago
will not be liable for changes in market conditions affecting the price received for the securities, or for any loss, which I/we may incur as a result of the transaction or the inability of FRB Chicago to
complete the transaction.

PD F 5446 E

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Part C-1 Reset

Part C-1
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Transfer Online E, EE, OR I Savings Bonds, or Online Treasury Bills, Notes, Bonds, or TIPS,
to Another TreasuryDirect Account
Complete a separate Part C-1 for each separate transfer request and/or if the number of securities to be transferred is
more than can be described in the space provided.
I request/consent to transfer of the following-described online Treasury securities as indicated in Item 2.
By submitting this form, I certify that I understand the securities described will be removed from my account and transferred to the
recipient’s TreasuryDirect account. I also understand the registration of the transferred securities will be changed to show the owner of
the account receiving the securities as the single owner.
If this is a savings bond transaction, I certify that this transfer is either for the purpose of making a gift or is in response to a final
judgment, court order, divorce decree, or property settlement agreement.
NOTE: If you are requesting transfer of savings bonds to a trust, carefully read and complete Page 6.
TAX LIABILITY: I certify that I understand this transaction may be reported to the Internal Revenue Service and that this transfer may
result in a tax liability.

1. Description of Securities
Transfer ALL my securities in the requested TreasuryDirect account.
Confirmation Number

Portion to be Transferred
(if neither block is checked, transfer in FULL will be assumed)
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $

2. Transfer Instructions
Transfer security(ies) to:
TreasuryDirect Account Number:
TreasuryDirect Account Name:
Taxpayer Identification Number (SSN/EIN):
5

PD F 5446 E

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Part C-1 (continued)
3. TAX LIABILITY NOTICE (Carefully read before completing Item 4.)
Upon the transfer of savings bonds to a trust, you must include in your gross income any accumulated interest on the bonds, if you
have not already reported it, unless, under the grantor trust provisions of the Internal Revenue Code, you are treated as the owner of
the portion of the trust represented by any tax-deferred accumulated interest on the transferred bonds. If you are treated as the
owner of that portion, the accumulated interest continues to be your income rather than that of the trust, and therefore, you may
continue to defer reporting the interest earned each year. You must include the total accumulated interest in your gross income when
the bonds are disposed of or finally mature, whichever is earlier. These rules apply when bonds being transferred are Series I bonds,
Series EE bonds, or Series E bonds, if you are the owner of the portion of the trust represented by the tax-deferred accumulated
interest.
Generally, you will be treated as the owner of a trust that you have created to the extent that you retain certain powers over or
interests in the trust. For example, you will be treated as the owner of the portion of the trust represented by any tax-deferred
accumulated interest on the transferred bonds under the following circumstances:
(1) You will be treated as the owner of a trust to the extent that you have an unconditional power to revest in yourself title to the
trust assets. Thus, if you can, at your discretion, revoke all or part of the trust so that the bonds will be returned to you, you
will be treated as the owner of the portion of the trust represented by any accumulated interest on the bonds.
(2) If the trust instrument provides that the transferred bonds or the proceeds from the redemption or disposition of those bonds
must be distributed to you or your spouse, or held or accumulated for future distribution to you or your spouse, you will be
treated as the owner of the portion of the trust represented by any accumulated interest on the bonds. You will be treated
as the owner in this circumstance irrespective of the terms of the trust.
(3) You will be treated as the owner of a trust to the extent that you retain a power to control the beneficial enjoyment of
property transferred to a trust. Thus, if you retain, under the terms of the trust instrument, an immediately exercisable
power to determine, in your sole discretion, who will receive the bonds or the proceeds from the redemption or disposition of
the bonds, then you will be treated as the owner of the portion of the trust represented by any accumulated interest.
The examples outlined above are illustrative only and they are not intended to cover all possible situations in which you could be
treated as the owner of a trust or a portion of a trust. Furthermore, events can occur, such as the renunciation of a retained power or
interest, which would cause you to cease being treated as the owner of a trust. If you are not sure whether you will be treated as the
owner of a trust, you may request a letter ruling from the Internal Revenue Service. A request for a letter ruling should be sent to:
Internal Revenue Service, ATTN: CC: DOM: CORP: T, PO Box 7604, Ben Franklin Station, Washington, DC 20044.
If you have any questions concerning the information to be submitted in connection with a letter ruling request, you may call
(202) 622-7560.

4. TAX LIABILITY STATEMENT (This section must be completed.)
You must check box a or b. (See “TAX LIABILITY NOTICE” above.)
“Interest” includes interest earned on EE/E or I bonds from the issue date until the date of transfer.
This statement will also apply to all future transactions requested by the same owner(s) or person(s) entitled to the same
trust.
You must mark box a or b to indicate if you are the owner of the portion of the trust represented.

For Federal income tax purposes:
I certify that I will be treated as owner of the portion of the trust represented by the tax-deferred accumulated
a.
interest on the bonds being transferred. If this box is marked, the interest will be tax-deferred (interest will not
be reported to the Internal Revenue Service as a result of the transfer).
b.

I certify that I will not be treated as owner of the portion of the trust represented by the tax-deferred
accumulated interest on the bonds being transferred. If this box is marked, interest will be reported to the
Internal Revenue Service for the taxable year in which the bonds were transferred to the trust. A 1099-INT will
be generated for the Social Security Number specified.

PD F 5446 E

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Part C-2
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Transfer Online Treasury Bills, Notes, Bonds, or TIPS, to a Legacy Treasury Direct Account

Complete a separate Part C-2 for each separate transfer request and/or if the number of securities to be transferred is
more than can be described in the space provided.

I request/consent to transfer of the following-described online Treasury bills, notes, bonds, or TIPS, as indicated
in Item 2.
1. Description of Securities
Transfer ALL my securities in the requested TreasuryDirect account.
Confirmation Number

Portion to be Transferred

(if neither block is checked, transfer in FULL will be assumed)

2. Transfer Instructions
TRANSFER TO A LEGACY TREASURY DIRECT ACCOUNT NUMBER
(May be left blank if New Account
Request [PD F 5182] is attached.)

Legacy Treasury Direct Account Number

(Identify the Legacy
Treasury Direct account
to which you want your
securities transferred.)

Legacy Treasury Direct Account Name
Taxpayer Identification Number (if available)
st

1 Named

Owner

OR
Social Security Number

Employer Identification Number

PD F 5446 E

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Part C-3
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Transfer Online Treasury Bills, Notes, Bonds, or TIPS, to a Financial Institution
Complete a separate Part C-3 for each separate transfer request and/or if the number of securities to be transferred is
more than can be described in the space provided.

Confirmation Number

Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
Transfer of security in FULL
OR
Transfer of security to the extent of $
2. Transfer Instructions
TRANSFER TO A FINANCIAL INSTITUTION (Before completing, see instructions.)
Routing Number
Financial Institution Wire Name
Special Handling Instructions

PD F 5446 E

Part D-1 Reset

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Part D-1
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Edit the Registration of Existing Online E, EE, or I Savings Bonds, or Treasury Bills, Notes, Bonds, or TIPS
Complete a separate Part D for each new registration requested and/or if the total number of securities being edited is
more than can be described in the space provided.
I request/consent to edit the registration of the following-described online E, EE, or I savings bonds, or Treasury
bills, notes, bonds, or TIPS, as indicated in Item 2.
1. Description of Securities
Edit the registration of ALL my securities in the requested TreasuryDirect account.

Issue Date of
E, EE, and I

CUSIP Number of Treasury
Bills, Notes, Bonds, and TIPS

Confirmation Number

Registration

2. New Registration Requested
Owner/Primary Owner:
(First Name)

(Middle Name/Initial)

(Last Name)

(required)

Social Security Number:

The following person is to be named as:

Secondary owner
Beneficiary

Name:
(First Name)

(Middle Name/Initial)

(Last Name)

(required)

Social Security Number:
9

PD F 5446 E

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Part D-2
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Consent to Change the Entity Account Manager of a TreasuryDirect Account
Complete Part D-2 to consent to a change of Entity Account Manager for a TreasuryDirect account.

I _____________________________________________________________________ hereby authorize
(Name of the Entity Account Manager consenting to the change)

the Bureau of the Public Debt, Parkersburg, WV, to remove my personal information as the Entity
Account Manager for __________________________________________________________________
(TreasuryDirect Entity Account Name)

and change the Entity Account Manager to ________________________________________________
(Name of new Entity Account Manager)

PD F 5446 E

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Part E-1
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Change or Correct Account Information
For an Individual TreasuryDirect Account
1. Change an Individual Account Owner's Name
I certify that the account owner's name has been legally changed by:
Marriage

Divorce

Adoption

Naturalization

Court order

Other (explain)
to

.
(Furnish the New Legal Name)

2. Correct an Individual Account Owner's Name
I certify that the account owner's name is incorrectly shown on the account.
The account owner's correct legal name is:

3. Correct an Individual Account Owner's Social Security Number
I certify that the account owner's Social Security Number is incorrectly shown on the account.
The account owner's correct Social Security Number is:

4. Correct an Individual Account Owner's Date of Birth
I certify that the date of birth shown for the account owner on the TreasuryDirect account is incorrect and that the
account owner's correct date of birth is:

.
(Month/Day/Year)

PD F 5446 E

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Part E-2 Reset

Part E-2
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Change or Correct the Entity Account Information
1. Change Entity Account Name
I certify that the Entity Account name has changed to:

Provide an explanation for the change:

2. Correct Entity Account Name
I certify that the Entity Account name is incorrectly shown on the account.
The correct account name is:

3. Correct Entity Account Taxpayer Identification Number
I certify that the Entity Account Taxpayer Identification Number (EIN/SSN) is incorrectly shown on the account.

The correct account Taxpayer Identification Number is:

PD F 5446 E

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Part E-2 (continued)
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Change or Correct the Current Entity Account Manager Information
1. Change Entity Account Manager’s Name
I certify that the Entity Account Manager’s name has been legally changed by:
Divorce

Marriage

Naturalization

Court order

Other (explain):

to:
(Furnish the New Legal Name)

2. Correct Entity Account Manager's Name

I certify that the Entity Account Manager's name is incorrectly shown on the account.

The correct Entity Account Manager's legal name is:

(First)

(Middle)

(Last)

3. Correct Entity Account Manager's Social Security Number
I certify that the Entity Account Manager's Social Security Number is incorrectly shown on the account.
The correct Entity Account Manager's Social Security Number is:

fdsafdasf

4. Correct Entity Account Manager's Date of Birth
I certify that the Entity Account Manager's date of birth is incorrectly shown on the account.
The Entity Account Manager's correct date of birth is:

.
(Month/Day/Year)

PD F 5446 E

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Part E-3
TreasuryDirect Account Name:
TreasuryDirect Account Number:

Change Entity Account Manager – New Manager Information
1. Account Manager Name:
(First Name)

(Middle Name or Initial)

(Last Name)

(Suffix)

2. Taxpayer Identification
Number:
(Social Security Number of new Entity Account Manager)

3. Date of Birth:
(Month / Day / Year)

4. Street Address:

5. City:

State:

Zip Code:

6. Home Phone:
Work Phone:
Cell Phone:
7. Driver’s License/State ID Number:
Issuing State:
Expiration Date:
8. E-mail Address:
9. Mailing Address (check one):
Use the Entity Address
Use the Account Manager Address

In support of the Entity Account Manager change requested above, evidentiary documentation must also be provided to explain why the
change is being requested. For example, the evidence necessary may include a certified copy of:
•
•
•
•
•
•

the trust document, if a successor trustee will be the new account manager
a letter of resignation, if the current administrator, legal representative, or trustee resigned
the new partnership agreement, if a member left the partnership or is stepping down as the account manager
the corporate resolution or articles of organization, if the company reorganized or officers have changed
the letters of appointment, if a new guardian or legal representative has been appointed
a death certificate, if the current Entity Account Manager is deceased

NOTE: The current Entity Account Manager must complete Parts A and D-2 and sign in Part F. If he or she is unable to sign, please
provide evidence as to why—evidence such as a certified copy of a death certificate.
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PD F 5446 E

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Part F
TreasuryDirect Account Name: fafasdfd
TreasuryDirect Account Number: fafdadfs

Signatures and Certifications
The undersigned certify under penalty of perjury that the information provided herein is true and correct to the best of our knowledge and belief
and agree to distribution of the securities as indicated. We bind ourselves, our heirs, legatees, successors and assigns, jointly and severally, to hold
the United States harmless on account of the transaction requested, to indemnify unconditionally and promptly repay the United States in the event of any
loss which results from this request, including interest, administrative costs, and penalties. We consent to the release of any information regarding this
transaction, including information contained in this application, to any party having an ownership or entitlement interest in the securities or checks.

•

You must wait until you are in the presence of a certifying officer to sign this form.
Certifying officers are available at banks, trust companies, and credit unions.
Certification by a notary public is NOT acceptable.

•
•

fdsafds

Sign Here:

(Daytime Telephone No.)

(Signature)

fsafds
(Number and Street or Rural Route, City, State, and ZIP Code)

fdafdas

Sign Here:

(Daytime Telephone No.)

(Signature)
fdafdasf

(Number and Street or Rural Route, City, State, and ZIP Code)

•

Certifying Officer:

•

The Individual must sign in your presence and you must complete the certification and affix your
stamp or seal.
Acceptable certifications include the financial institution’s official seal or stamp (such as corporate
seal, signature guaranteed stamp, or medallion stamp).
Certification by a notary public is NOT acceptable.

I CERTIFY that

, whose identity is known or was
(Name of Person Who Appeared)

proven to me, personally appeared before me this

day of
(Month)

,
(Year)

, and signed this form.

at
(City)

(State)
(Signature of Certifying Officer)

(OFFICIAL STAMP
OR SEAL)

(Printed Name and Title of Certifying Officer)

(Name of Financial Institution)

(Address)

ACCEPTABLE CERTIFICATIONS: Financial institution's official
seal or stamp (such as corporate seal, signature guaranteed
stamp,or medallion stamp).

(City, State, and ZIP Code)

(Notary certification is NOT acceptable.)
(Phone Number)

PD F 5446 E

I CERTIFY that

, whose identity is known or was
(Name of Person Who Appeared)

proven to me, personally appeared before me this

day of
(Month)

,
(Year)

, and signed this form.

at
(City)

(State)
(Signature of Certifying Officer)

(OFFICIAL STAMP
OR SEAL)

(Printed Name and Title of Certifying Officer)

(Name of Financial Institution)

(Address)

ACCEPTABLE CERTIFICATIONS: Financial institution's official
seal or stamp (such as corporate seal, signature guaranteed
stamp, or medallion stamp).

(City, State, and ZIP Code)

(Notary certification is NOT acceptable.)
(Phone Number)

PD F 5446 E

INSTRUCTIONS

Complete only the parts of the form that apply to the transaction(s) requested.
Use of Form – Use this form to request transactions involving online E, EE, and I savings bonds, Treasury bills, notes, bonds, or
TIPS, and/or a TreasuryDirect account which cannot be completed online. Complete a separate PD F 5446 for each
TreasuryDirect account number.
If a decedent’s estate is involved, this form may ONLY be used in the following cases:
• A legal representative has been appointed and is still acting and the legal representative wishes to redeem securities.
The legal representative must use a PD F 1455 to distribute the securities to the persons entitled. The persons
entitled may then use this form to request transfer or payment of securities.
• A legal representative has not been appointed to settle the decedent’s estate but the person entitled to the securities
wishes to request transfer or payment of securities. (Use a PD F 5336 to distribute the securities to the person(s)
entitled if the redemption value of all securities owned by the decedent does not exceed $100,000. Estates with
securities valued over $100,000 must be formally administered through the court and an administrator, executor, or
similar representative appointed.)
If a decedent’s estate is involved, this form may NOT be used in the following cases:
• The decedent’s estate was formally administered through the court and has been closed (use PD F 5394).
• The decedent’s estate is being settled in accordance with State statute such as Summary Administration, Small
Estates Acts, Texas Muniment of Title, Louisiana Judgment of Possession, etc., without the necessity of the court
appointing an administrator, executor, or similar legal representative (use PD F 5394).

Part A
Account and Transaction Information (Complete this part for ALL transactions)
1. TreasuryDirect Account Information – Provide the TreasuryDirect account number, account name, and Taxpayer
Identification Number (Social Security Number or Employer Identification Number).
2. Transactions Requested – Mark the appropriate box to show the type of transaction requested. You can mark more
than one box, if multiple transactions are requested.
3. Capacity of Applicant(s) – Mark the box that best describes the capacity in which you are acting. You can check more
than one box, if applicable. Provide any necessary evidence, as described below:
If you check this box………………..

then you must also provide this evidence………………..

Individual Account Owner or parent of a minor
account owner, and the security is a restricted,
converted security

If the non-converting coowner or beneficiary is deceased, a
certified copy of his/her death certificate.

Entity Account Manager

A copy of the evidence that establishes your authority to
request the transaction. If filed with a court, the evidence
must be under court seal. For example: copy of trust,
corporate resolution, letters of appointment, death
certificate, etc., as applicable. See instructions.

Surviving secondary owner or beneficiary
including non-converting coowner or beneficiary

A certified copy of the decedent's death certificate.

Legal representative
Legal guardian

Person(s) entitled as shown on PD F 1455

Attorney-in-fact

A certified copy of your letters of appointment, dated within
one year of submission.

A certified copy of your letters of appointment, dated within

one year of submission.
A certified copy of the legal representative’s or legal
guardian’s letters of appointment dated within one year of
submission, certified copies of death certificates for all
deceased registrants, and a PD F 1455 showing
distribution.
A copy of the power of attorney document, containing the
grantor's signature and witnessed or certified in accordance
with applicable State law.

Person(s) entitled through judicial proceedings
(The persons shown to be entitled are making this request in

connection with a legal proceeding or court order involving the

owner/primary owner of the online E, EE, or I savings bonds,
Treasury bills, notes, bonds, or TIPS, such as divorce decree,

court approved property settlement agreement, levy, money

judgment, bankruptcy proceeding, etc.)

A certified copy of the court approved document authorizing
the transaction.

PD F 5446 E

Person(s) entitled to decedent's estate as shown on A certified copy of the decedent’s death certificate and
properly completed PD F 5336 showing distribution.
PD F 5336
A copy of the evidence that establishes your authority to
request the transaction. If filed with a court, the evidence
must be under court seal.

Other
Part B

Redeem Online E, EE, or I Savings Bonds or Sale of Online Treasury Bills, Notes, Bonds, or TIPS

1. Description of Securities – Check the box to redeem or sell all securities or list the confirmation number for each
security or C of I account that you are requesting redemption/sale of in whole or in part. For each security or C of I
account listed, indicate whether you are requesting redemption/sale in full or in part by checking the appropriate box in
the column next to the security confirmation number. If you don't check either box, we will assume redemption/sale in full
is desired.
If partial redemption of E, EE, or I savings bonds or C of I account is requested, check the appropriate box and specify
the amount you are requesting be redeemed. You can request partial redemption of a bond as long as the amount that
you are requesting be redeemed is at least $25.00 or more and the redemption value of the remaining portion of the bond
is not less than $25.00. For example, you can request partial redemption of a bond that has a value of $67.12 to the
extent of any amount from $25.00 to $42.12. A bond must have a current redemption value of at least $50.00 or more
before you can request partial payment. All redemptions will be comprised of principal and a proportionate amount of
interest.
Check the appropriate box to transfer and sell a portion of the Treasury bills, notes, bonds, or TIPS in your account.
If partial transfer of Treasury bills, notes, bonds, or TIPS is requested, check the appropriate box and specify the amount
you are requesting be transferred. Enter only the amount being transferred (in $100 increments) and list the confirmation
number. NOTE: The amount to be transferred and sold and the amount remaining in the CUSIP must satisfy both
the minimum and multiple holding requirements for the security.
If you list a confirmation number for a matured CUSIP that has been reinvested, or is within 10 days of reinvestment, FRB
Chicago will transfer and sell the current or the new CUSIP number and indicate the dollar amount.
Important Notices
•

The Treasury Department and FRB Chicago will not be liable for changes in market conditions affecting the price
received for the security, or for any loss, which you may incur as a result of the transaction or the inability of FRB
Chicago to complete the transaction.
• Only original signatures will be accepted (stamped signatures are not acceptable).
• If you are a corporation with a governing body, a resolution or a PD F 1010 must accompany this form.
• If any person signing this form is acting in a fiduciary capacity, failure to provide legal evidence may delay
processing.

This form will not be accepted with alterations or corrections.

Transfer and Sale Authorization
Please carefully read this section before signing the form, as it describes the nature of the transaction authorized.
You are transferring the identified securities to FRB Chicago for the sole purpose of having the securities sold. You are
authorizing the identified securities, once transferred, to be sold by FRB Chicago. A transaction fee will be charged (see
FEES for further information). Because FRB Chicago enters into an agreement to sell the securities on the same day
that it receives the securities, the authorization for the sale and transfer of the securities becomes irrevocable when the
transfer from your TreasuryDirect account to the account of FRB Chicago is made. FRB Chicago will make a reasonable
effort to obtain a price quote from at least (3) government securities dealers and will sell the securities to the dealer with
the highest quote for next day settlement. You agree to accept the price received by FRB Chicago from the dealer
selected as having the highest price quote. On the next full business day after the trade date, the settlement amount will
be released electronically by FRB Chicago to the account at the financial institution currently designated to receive your
TreasuryDirect payments. The Treasury Department and FRB Chicago will not be liable for changes in market conditions
affecting the price received for the securities or for any loss, which you may incur as a result of the transaction or the
inability of FRB Chicago to complete the transaction.
In the event FRB Chicago is unable to obtain at least one quote for the securities, the securities will be returned to your
TreasuryDirect account on the next full business day following the receipt of the securities by FRB Chicago, and FRB
Chicago will notify you. No transaction fee will be charged.
Fees – A transaction fee for the service will be charged for each security sold on your behalf. (A security is considered
as any amount within a TreasuryDirect account, which is identified by a separate confirmation number.) FRB Chicago
18

PD F 5446 E

will deduct the fee prior to depositing the settlement amount (also referred to as “net amount”) to the account at the
financial institution currently designated to receive your TreasuryDirect payments. The amount of the fee is published by
notice in the Federal Register.
Settlement Amount – The settlement amount (also referred to as “net amount”) minus the transaction fee will be
credited by direct deposit (electronic funds transfer) to the account at the financial institution currently designated to
receive your TreasuryDirect payments.
2. Payee Information – Furnish the name and taxpayer identification number of the payee. Furnish the Social Security
Number if the payee is an Individual. If payment is being requested to an estate and the IRS has assigned an Employer
Identification Number, provide that number.
3. Direct Deposit Instructions – Furnish information on the bank account where the payment is to be direct deposited. All
payments must be made by direct deposit to a designated bank account.
All persons requesting redemption must sign in Part F of the form. If payment is to be deposited to a bank account in
the name of a different person, then that person or his/her representative, who can authorize such a deposit, must also
sign in Part F.
Parts C-1, C-2,
and C-3

Transfer Online E, EE, or I SAVINGS BONDS or Online Treasury Bills, Notes, Bonds, or TIPS

Part C-1 – Transfer Online E, EE, or I Savings Bonds, or Online Treasury Bills, Notes, Bonds, or TIPS, to Another
TreasuryDirect Account
1. Description of Securities – Check the box to transfer all securities or list the confirmation number for each security that
you are requesting transfer of in whole or in part. For each security listed, indicate whether you are requesting transfer in
full or in part by checking the appropriate box in the column next to the security confirmation number; if you don't check
either box, we will assume transfer in full.
If partial transfer of E, EE, or I savings bonds is requested, check the appropriate box and specify the amount you are
requesting be transferred. You can request partial transfer of a bond as long as the amount that you are requesting be
transferred is at least $25.00 or more and the redemption value of the remaining portion of the bond is not less than
$25.00. For example, you can request partial transfer of a bond that has a value of $67.12 to the extent of any amount
from $25.00 to $42.12. A bond must have a current redemption value of at least $50.00 or more before you can request
partial transfer. Transfer will be comprised of principal and a proportionate amount of interest.
If partial transfer of Treasury bills, notes, bonds, or TIPS is requested, check the appropriate box and specify the amount
you are requesting be transferred. Enter only the amount being transferred (in $100 increments) and list the confirmation
number. NOTE: The amount to be transferred and the amount remaining in the CUSIP must satisfy both the
minimum and multiple holding requirements for the security.
2. Transfer Instructions:
• TreasuryDirect Account Number – Enter the number of the account to which the securities are being transferred.
If you are the legal representative of a decedent’s estate transferring securities to the person entitled, and he/she
does not have a TreasuryDirect account and does not wish to open one, show “none” in the space for the account
number.
•

TreasuryDirect Account Name – Enter the account name or the name of the person entitled.

•

Taxpayer Identification Number – Enter the Taxpayer Identification Number (Social Security Number or Employer
Identification Number) of the Individual or Entity entitled.

3. Tax Liability Notice – Carefully read this section before completing Item 4.
4. Tax Liability Statement – After reading the Tax Liability Notice in Item 3, you must mark box a or b in Item 4. Mark box
a if you will be treated as the owner of the portion of the trust represented by the tax-deferred accumulated
interest on the bonds being transferred. Mark box b if you will NOT be treated as owner of the portion of the trust
represented by the tax-deferred accumulated interest on the bonds being transferred. “Interest” includes taxdeferred interest earned on EE/E or I bonds from the issue date until the date of transfer.
Part C-2 – Transfer Online Treasury Bills, Notes, Bonds, or TIPS to a Legacy Treasury Direct Account
• Legacy Treasury Direct Account Number – Enter the number of the account to which the securities are being
transferred. If a new account has not yet been established, please leave the account number blank and include a
19

PD F 5446 E

completed New Account Request (PD F 5182).
•

Account Name – Enter the account name (registration) as shown on the transferee’s Statement of Account or, in
the case of a new account, on the New Account Request (PD F 5182).

•

Taxpayer Identification Number – If available, enter the Taxpayer Identification Number used on the account to
which the securities are to be transferred.

Part C-3 – Transfer Online Treasury Bills, Notes, Bonds, or TIPS to a Financial Institution
Contact the financial institution for their “book-entry” delivery instructions. Please note: Securities CANNOT be
transferred to a checking or savings account. Provide the following information:
•

Routing Number – ABA (identification) number of the financial institution receiving the securities.

•

Financial Institution Wire Name – Provide the institution’s “book-entry” delivery instructions. Instructions include
the receiving bank’s name and safekeeping account number OR the receiving bank’s name and the brokerage firm’s
name (these must be in the approved telegraphic abbreviation “short” form).
Special Handling Instructions – The customer name and account number at the financial institution for delivery of
securities and any other instructions required by your financial institution, such as the name and telephone number
of the person to be contacted at the financial institution for questions about the securities.

•

Examples: To a financial institution for safekeeping:

To a financial institution for transfer to a brokerage firm:

Routing Number: XXXXXXXXX

Financial Institution Wire Name: ABC BK/TRUST

Financial Institution Wire Name: ABC/CUST/BRKG

Special Handling Instructions: FURTHER CREDIT TO JOHN DOE

TRUST ACCOUNT NUMBER XXXXXX

BROKERAGE ACCOUNT NUMBER
XXXXXX

Note: All scheduled reinvestments will be cancelled at the time of transfer.

Parts D-1
and D-2

Edit the Registration of Existing Online E, EE, or I Savings Bonds, or Treasury Bills, Notes,
Bonds, or TIPS, or Consent to Change the Entity Account Manager of a TreasuryDirect Account

Part D-1 – Edit the Registration of Existing Online E, EE, or I Savings Bonds, or Treasury Bills, Notes, Bonds, or
TIPS
1. Description of Securities – Check the box to edit the registration of all securities or describe the securities on which you
want to edit the registration.
2. New Registration Requested – Provide the complete name and Social Security Number of the owner/primary owner.
The account owner must be named as the owner/primary owner in the registration of online securities held in his/her current
holdings. If a secondary owner or beneficiary is to be shown in the registration, check the appropriate box and provide the
name and Social Security Number of the person to be shown as the secondary owner or beneficiary.
Part D-2 – Consent to Change the Entity Account Manager of a TreasuryDirect Account
•
•
•
•

Name of the Entity Account Manager consenting to the change – Enter the name of the currently acting Entity
Account Manager.
TreasuryDirect Entity Account Name – Enter the name of the Entity (i.e., trust, partnership, corporation, deceased
estate) as it appears on the TreasuryDirect account.
Name of the new Entity Account Manager – Enter the name of the individual who will be acting as the new Entity
Account Manager.
Sign the form in Part F in ink, in the presence of an authorized certifying officer.

The new Entity Account Manager will need to provide his or her personal information on Part E-3 of PD F 5446 and join in
signing the form in Part F in the presence of an authorized certifying officer.
Parts E-1,
E-2, and E-3

Change or Correct Account Information or Entity Account Manager Information

Part E-1 – Change or Correct an Individual Account Information –
The following information must be provided by the Individual Account Owner
1. Change an Individual Account Owner's Name – Complete this item if the account owner's name has changed by
marriage, divorce, adoption, naturalization, court order, or some other valid reason. Indicate the manner by which the name
changed and furnish the account owner's new legal name. Evidence may be required.
20

PD F 5446 E

2. Correct an Individual Account Owner's Name – Complete this item if an error was made in the account owner's name
when the TreasuryDirect account was established. Furnish the account owner's correct legal name.
3. Correct an Individual Account Owner's Social Security Number – Complete this item if an error was made in the
account owner's Social Security Number when the TreasuryDirect account was established. Furnish the account owner's
correct Social Security Number.
4. Correct an Individual Account Owner's Date of Birth – Complete this item if an error was made in the account owner's
date of birth when the TreasuryDirect account was established. Furnish the account owner's correct date of birth.
Part E-2 –

Change or Correct Entity Account Information

The following information must be provided by the Entity Account Manager

1. Change Entity Account Name – Complete this item if the name of the Entity has changed. Provide an explanation for the
name change.
2. Correct Entity Account Name – Complete this item if the Entity Account name has been entered incorrectly.
3. Correct Taxpayer Identification Number – Complete this item if the taxpayer identification number for the Entity was
entered incorrectly.
Change or Correct Current Entity Account Manager Information
The following information must be provided by the Entity Account Manager
1. Change Entity Account Manager’s Name – Complete this item if the Entity Account Manager’s name has changed by
marriage, divorce, adoption, naturalization, court order, or some other valid reason. Indicate the manner by which the name
changed and furnish the Entity Account Manager's new legal name. Evidence may be required.
2. Correct Entity Account Manager’s Name – Complete this item if an error was made in the Entity Account Manager's
name when the TreasuryDirect account was established. Furnish the Entity Account Manager's correct legal name.
3. Correct Entity Account Manager’s Social Security Number - Complete this item if an error was made in the Entity
Account Manager's Social Security Number when the TreasuryDirect account was established. Furnish the Entity Account
Manager's correct Social Security Number.
4. Correct Entity Account Manager’s Date of Birth - Complete this item if an error was made in the Entity Account
Manager's date of birth when the TreasuryDirect account was established. Furnish the Entity Account Manager's correct date
of birth.
Part E-3 – Change Entity Account Manager – New Manager Information
The following information must be provided by the new Entity Account Manager
1. Account Manager Name – Enter the new Entity Account Manager’s full name including suffix, if appropriate.
2. Taxpayer Identification Number – Enter the new Entity Account Manager’s Social Security Number.
3. Date of Birth – Enter the new Entity Account Manager’s date of birth.
4. Street Address – Enter the new Entity Account Manager’s home street address.
5. City/State/Zip Code – Enter the new Entity Account Manager’s home address city, state and zip code.
6. Home Phone – Enter the home, work and cell telephone number for the new Entity Account Manager.
7. Driver’s License/State ID Number – Enter the driver’s license or state ID number, including the issuing state and
expiration date, for the new Entity Account Manager.
8. E-mail Address – Enter the e-mail address the new Entity Account Manager wishes to use to communicate with
TreasuryDirect. This e-mail address will be used for important messages from the TreasuryDirect system and for
communication from within the TreasuryDirect account.
9. Mailing Address – Indicate the mailing address TreasuryDirect Customer Service should use if it is necessary to mail
correspondence to the new Entity Account Manager by postal mail.
The new Entity Account Manager must sign the form in Part F in the presence of an authorized certifying officer.

PD F 5446 E

Part F
Signatures and Certifications (Complete this part for ALL transactions)
Signatures/Certifications – Each applicant must appear before and establish identification to the satisfaction of an
authorized certifying officer and sign the application in the officer's presence. The officer must then complete the certification
form provided and imprint the seal or stamp required in certifying requests. For certifications within the United States, the
certifying individual must be authorized to bind his/her institution by his/her acts and guarantee signatures to assignments of
securities or certify assignments of securities. For a list of authorized certifying individuals and the required evidence of
authority, see Title 31 CFR Part 363.
If you are a parent of a minor account owner, your signature certifies that you are requesting the transaction on the minor’s
behalf, for the minor’s benefit.
Sample certification for a financial Institution:

Acceptable certification for a brokerage:

SIGNATURE GUARANTEED

ABC National Bank

MEDALLION GUARANTEED

Hillview Branch

Generic Brokerage

Authorized Signature

Authorized Signature
XXXXXXXX
SECURITIES TRANSFER AGENTS MEDALLION PROGRAM
[Bar Code]

Additional Evidence – The Commissioner of the Public Debt, as designee of the Secretary of the Treasury, reserves the
right, in any particular case, to require the submission of additional evidence.
Assembly of Form – Complete and submit only the parts of the form that apply to the transaction(s) requested. Parts A and
F must be completed and submitted for all transactions. Multiple copies of any part may be completed and submitted
together, if necessary. Attach all completed parts together, in alphabetical order.
Where to Send – Send all completed parts of the form, as well as any other forms and evidence, to:
DEPARTMENT OF THE TREASURY
BUREAU OF THE PUBLIC DEBT
PO BOX 7015
PARKERSBURG, WV 26106-7015

PRIVACY ACT AND PAPERWORK REDUCTION ACT NOTICE
The collection of the information you are requested to provide on this form is authorized by 31 U.S.C. CH. 31 relating to the public debt of
the United States. The furnishing of a social security number, if requested, is also required by Section 6109 of the Internal Revenue Code
(26 U.S.C. 6109).
The purpose of requesting the information is to enable the Bureau of the Public Debt and its agents to issue securities, process
transactions, make payments, identify owners and their accounts, and provide reports to the Internal Revenue Service. Furnishing the
information is voluntary; however, without the information Public Debt may be unable to process transactions.
Information concerning securities holdings and transactions is considered confidential under Treasury regulations (31 CFR, Part 323) and
the Privacy Act. This information may be disclosed to a law enforcement agency for investigation purposes; courts and counsel for
litigation purposes; others entitled to distribution or payment; agents and contractors to administer the public debt; agencies or entities for
debt collection or to obtain current addresses for payment; agencies through approved computer matches; Congressional offices in
response to an inquiry by the individual to whom the record pertains; as otherwise authorized by law or regulation.
We estimate it will take you about 30 minutes to complete this form. However, you are not required to provide information requested
unless a valid OMB control number is displayed on the form. Any comments or suggestions regarding this form should be sent to the
Bureau of the Public Debt, Forms Management Officer, Parkersburg, WV 26106-1328. DO NOT SEND the completed form to the
above address; send to the address shown in "Where to Send" in the instructions.

PD F 5446 E

File Type	application/pdf
File Title	Microsoft Word - PDF5446.dot
Author	rlewis
File Modified	2009-05-04
File Created	2009-04-24