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Customer Name
PD F 5446 E
Department of the Treasury
Bureau of the Public Debt
(Revised July 2012)
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 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
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
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
A, B, and F
Transfer to person(s) entitled
A, C, and F
Redemption
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
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
Entity Account Manager or
new Entity Account Manager
Currently acting Entity
Account Manager
Redemption
A, B, and F
Transfer to person(s) entitled
A, C, and F
Redemption
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
Change of Entity Account
Manager
A, E-2, and F
A, E-2, and F
A, E-3, and F
A, D-2, and F
2
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
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 EE or I savings bonds.
Transfer of an online EE or I savings bond to another online
TreasuryDirect account. Complete Part C-1.
Redeem C of I account.
Transfer of an online Treasury bill, note, bond, or TIPS to
another online TreasuryDirect account. Complete Part C-1.
Edit the registration of existing online EE or I savings
bonds.
Transfer of an online Treasury bill, note, bond, or TIPS to a
financial institution or brokerage firm for safekeeping or sale.
Complete Part C-2.
Change/correct account owner’s name.
Remove hardlock.
Change/correct Entity Account information.
Other (specify).
Correct account owner's Social Security Number.
Change/correct Entity Account Manager information.
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
Part B
TreasuryDirect Account Name:
TreasuryDirect Account Number:
Redeem Online EE or I Savings Bonds
Complete a separate Part B for each separate redemption request and/or if the number of savings bonds to be redeemed
is more than can be described in the space provided.
I request redemption of the online EE or I savings bonds indicated below.
1. Description of Savings Bonds
Redeem ALL my savings bonds in the requested TreasuryDirect account.
Confirmation Number
Portion to be Redeemed
(If neither block is checked, redemption in FULL will be assumed.)
Redemption of security or C of I in FULL
OR
Redemption of security or C of I to the extent of $
Redemption of security or C of I in FULL
OR
Redemption of security or C of I to the extent of $
Redemption of security or C of I in FULL
OR
Redemption 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 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)
4
PD F 5446 E
Part C-1
TreasuryDirect Account Name:
TreasuryDirect Account Number:
Transfer Online 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 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: When you buy savings bonds in
TreasuryDirect, you must hold them for at least five business days before you can transfer them to other accounts.)
If this is a marketable security transaction, I understand that all scheduled reinvestments related to this security/these
securities will be canceled at the time of the transfer.
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 $
2. Transfer Instructions
Transfer security(ies) to:
TreasuryDirect Account Number:
TreasuryDirect Account Name:
Taxpayer Identification Number (SSN/EIN):
5
PD F 5446 E
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 or Series EE 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 mark box "a" or "b" to indicate if you are the owner of the portion of the trust represented.
(See “TAX LIABILITY NOTICE” above.)
“Interest” includes interest earned on EE 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.
For Federal income tax purposes:
a.
I certify that I will 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, 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.
6
PD F 5446 E
Part C-2
TreasuryDirect Account Name:
TreasuryDirect Account Number:
Transfer Online Treasury Bills, Notes, Bonds, or TIPS
to a Financial Institution or Brokerage Firm for Safekeeping or Sale
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 the following-described online Treasury bills, notes, bonds, or TIPS, as indicated in
Item 2.
I understand that all scheduled reinvestments related to this security/these securities will be canceled at the time of the
transfer.
1. Description of Securities
Transfer ALL my securities in the requested TreasuryDirect account.
Portion to be Transferred
(If neither block is checked, transfer in FULL will be assumed.)
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:
7
PD F 5446 E
Part D-1
TreasuryDirect Account Name:
TreasuryDirect Account Number:
Edit the Registration of Existing Online EE or I Savings Bonds, or Treasury Bills, Notes, Bonds, or TIPS
Complete a separate Part D-1 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 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
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 or Initial / Last Name)
(required)
Social Security Number:
The following person is to be named as:
Secondary owner
Beneficiary
Name:
(First Name / Middle Name or Initial / Last Name)
(required)
Social Security Number:
8
PD F 5446 E
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 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)
9
PD F 5446 E
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)
10
PD F 5446 E
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:
11
PD F 5446 E
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:
Marriage
Divorce
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:
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)
12
PD F 5446 E
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.
13
PD F 5446 E
Part F
TreasuryDirect Account Name:
TreasuryDirect Account Number:
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.
Sign Here:
(Signature)
(Daytime Telephone No.)
(Number and Street, Rural Route, or P.O. Box; City, State, and ZIP Code)
Sign Here:
(Signature)
(Daytime Telephone No.)
(Number and Street, Rural Route, or P.O. Box; City, State, and ZIP Code)
Instructions to Certifying Officer:
1. Name of person(s) who appeared and date of appearance MUST be completed.
2. Medallion stamps require an original signature.
3. Person(s) must sign in your presence. NOTE: To certify a second signature, use the next page.
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 and Title of Certifying Officer)
(OFFICIAL STAMP
OR SEAL)
(Name of Financial Institution)
(Address)
(City, State, ZIP Code)
ACCEPTABLE CERTIFICATIONS: Financial institution's official
seal or stamp (such as corporate seal, signature guaranteed
stamp,or medallion stamp). Brokers must use a medallion stamp.
(Telephone)
(Notary certification is NOT acceptable.)
14
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 and Title of Certifying Officer)
(OFFICIAL STAMP
OR SEAL)
(Name of Financial Institution)
(Address)
(City, State, ZIP Code)
ACCEPTABLE CERTIFICATIONS: Financial institution's official
seal or stamp (such as corporate seal, signature guaranteed
stamp,or medallion stamp). Brokers must use a medallion stamp.
(Telephone)
(Notary certification is NOT acceptable.)
15
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 EE and I savings bonds, Treasury bills, notes, bonds, or
TIPS, and/or a TreasuryDirect account which cannot be completed online. Complete a separate form PD F 5446 for each
TreasuryDirect account number.
If a decedent’s estate is involved, this form may be used ONLY 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. In order to sell unmatured Treasury bills,
notes, bonds, or TIPS, the security must be transferred to a financial institution or brokerage firm.
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.) In order to sell unmatured Treasury bills, notes, bonds, or TIPS, the security must
be transferred to a financial institution or brokerage firm.
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.
16
PD F 5446 E
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 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.
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 EE or I Savings Bonds
1. Description of Savings Bonds – Check the box to redeem all savings bonds or list the confirmation number for each
savings bond or C of I account that you are requesting redemption of in whole or in part. For each savings bond or C of I
account listed, indicate whether you are requesting redemption 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 in full is
desired.
If partial redemption of 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 or more and the redemption value of the remaining portion of the bond is not
less than $25. 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 to $42.12. A bond must have a current redemption value of at least $50 or more before you can
request partial payment. All redemptions will be comprised of principal and a proportionate amount of interest.
Important Notices
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.
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 and
C-2
Transfer Online EE or I Savings Bonds or Online Treasury Bills, Notes, Bonds, or TIPS
Part C-1 – Transfer Online 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 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 or more and the redemption value of the remaining portion of the bond is not less than $25.
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PD F 5446 E
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
to $42.12. A bond must have a current redemption value of at least $50 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 tax-deferred interest earned
on EE 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 Financial Institution or Brokerage Firm for
Safekeeping or Sale
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 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 – Contact the financial institution for its “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
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
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.
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PD F 5446 E
Parts D-1
and D-2
Edit the Registration of Existing Online 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 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.
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.
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PD F 5446 E
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. 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.
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 officer 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 officers 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
SIGNATURE GUARANTEED
ABC National Bank
MEDALLION GUARANTEED
Hillview Branch
Generic Brokerage
Authorized Signature
Authorized Signature
XXXXXXXX
SECURITIES TRANSFER AGENTS MEDALLION PROGRAM
[Bar Code]
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PD F 5446 E
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
NOTICE UNDER PRIVACY ACT AND PAPERWORK REDUCTION ACT
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 this address; send to the address shown in "Where To Send" in the Instructions.
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PD F 5446 E
| File Type | application/pdf |
| File Title | Microsoft Word - Document1 |
| Author | basharp |
| File Modified | 2012-10-01 |
| File Created | 2012-10-01 |