Use of the U-3 and U-3a forms

These forms will be used by the current ILNB software to create necessary docketing and noticing of unclaimed funds.  These forms are created in Adobe Acrobat as Acrobat forms.  As always, we recommend the use of official Adobe Acrobat software to use them.  Extensive testing has been performed with Acrobat Pro and Standard.  The free reader also appears to work.  We do NOT recommend using any browser extensions but, rather, download and open in an Acrobat software.

When the form is completed, it is important to "flatten" the form.  This removes all form fields and converts that data that was entered into text.  Documents that are submitted without flattening will be rejected.  Acrobat forms can be flattened in Windows by Printing to PDF.

ILNB software intelligently reads the flat PDF to extract necessary information.  It does this by knowing the location of key phrases in the flattened PDF document.  This creates the possibility of 3rd party software creating this flattened document without actually using the provided forms.

The document must be formatted exactly as the Acrobat output, including all text in the proper position.  Unfortunately, not all PDF documents created by 3rd party software (such as MS Word) are internally formatted properly.  This results in a document that LOOKS identical but is still unrecognizable by our software.  For this reason, if an organization wants to attempt this, it is important that they submit "test" documents to ILNB systems department for approval before implementing a final solution.

View Forms U-3 and U-3a

Completing Form U-3a Using Excel Spreadsheet 

The Excel spreadsheet import was created as another means of easily completing the U-3a.  To be read by Acrobat, the spreadsheet must be saved as a Text(tab delimited).txt file before being imported to the Acrobat form.  This .txt file is NOT an excel file. It is a simple text file, properly formatted.  As such, if an organization desires, they could create this file from a 3rd party software package.  It is important that the format is maintained and that the first line contains the column titles.  Testing of a user-created file is easily accomplished by the organization by using the Import Tab File option on the U-3a form. 

View Unclaimed Funds Excel Spreadsheet

Macintosh Computer

The Mac version of Acrobat no longer allows users to print to a PDF file.  Mac users can use a 2-step process for these forms:

1. Complete form using an Acrobat file and save the form.
2. Open the saved form in Preview and use the Print function to print as PDF.

Technical Issues & Submit Document for Review

For technical assistance, and to submit a document for review, please use the "Contact Us" section of our website, and select "Trustee UNC Funds Support" under "Attention."  If you have a file to submit, you will be provided a link in your receipt email to upload it.

Trustee's Report of Deposit of Unclaimed Funds Demonstration Training