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Probate

Petition for Probate

Acta-CHKLST release 4/7/2010 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Administration c.t.a. (after Probate) Proceeding Checklist (see Surrogate’s Court Form CTA-1, rev. 7/98) NOTE: If, subsequent to the admission of a will to probate, the executor or administrator c.t.a. dies, resigns or for any reason is removed from office, and there is no executor or administrator c.t.a. qualified to act, a proceeding for the appointment of an administrator c.t.a. or administrator c.t.a., d.b.n. may be commenced in order to complete the administration of the estate. (SCPA §1418 and 1419). NOTE: According to the Opinion of the State Comptroller 89-49, dated 11/27/1989, the fee to be charged on an administration c.t.a. proceeding is $45.00. Check that the office of the executor or administrator c.t.a. is vacant [SCPA §1418(1)]: 1. death certificate 2. proof of revocation 3. resignation (NOTE: an accounting may be required before fiduciary is discharged - SCPA §716) NOTE: The Court may refuse to issue Letters of Administration c.t.a. if distribution is possible pursuant to SCPA §2207. Fill In All Areas On All Pages of Petition - Also Mark When Not Applicable Where Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed PET ¶ #DESCRIPTIONYESNO Secure the estate file folder Is the captioned name exactly the same as it appears on the original proceeding? Make sure that the file number is on the petition and all other supporting documents and should be the same file number as the original proceeding 1a.Is the petitioner eligible to act and qualify pursuant to SCPA §1418? (a) sole beneficiary or if he/she is dead, to his/her fiduciary (b) to one or more residuary beneficiaries or, if any are dead, to his/her fiduciary (c) if there is no one eligible under (a) or (b) who will accept, the Court may issue letters to one or more persons interested in the estate or, if any be dead, to his/her fiduciary *NOTE: [see SCPA §1418(2)-(8) for additional classes] Check citizenship Has the interest of the petitioner been checked and specified? PET ¶ #DESCRIPTIONYESNO Acta-CHKLST release 4/7/2010 PAGE 2 1b. Is the proposed administrator an attorney? If so, has a statement been provided pursuant to 22NYCRR 207.16(e)? NOTE: Latter will need an accounting (see 22NYCRR 207.52) 2.Check that the date of admission of Will to probate is correct and that the name of the original fiduciary is listed along with date of death or removal. 3. NOTE: Verify that all persons and parties interested in this proceeding having a right to letters of administration c.t.a. prior or equal to the petitioner under the provisions of SCPA §1418 and 1419 are listed. Check that the names, relationships, domiciles and interest of all parties are listed in the petition. NOTE: If there are any deceased interested parties, provide a copy of the death certificate or provide the date of death. 4.Check that all names, relationships, domiciles and interest of all persons and parties are listed who are beneficiaries named in the will other than those named in paragraph 3. NOTE: Form CTA-3 has to be submitted from all adult competent persons listed under 3 & 4 having a right to letters equal or prior to petitioner or a citation will be issued. ALL INTERESTED PARTIES MUST CONSENT THAT BOND BE DISPENSED WITH OR FILING OF A BOND WILL BE REQUIRED. NOTE: If any interested parties have died subsequent to the death of the decedent, a statement should be included as to whether a legal representative has been appointed, and if so, their name and title, his/her address and the court which issued letters must be listed. If there has been no appointment the distributees of such post-deceased distributee must be listed giving names, relationship, domiciles and citizenship. NOTE: FOR INFANTS (Attach copy of birth certificate if required by court) NOTE: IF THERE IS A COURT-APPOINTED GUARDIAN (FIDUCIARY) SUBMIT PROOF OF APPOINTMENT. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be submitted: affidavit showing that diligent efforts have been made to locate unknown distributees or distributees whose whereabouts are unknown [Court Rules §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage records; telephone books; conversation with other distributees, neighbors, etc.; records of varied Surrogate’s Court; military records; Bureau of Immigration & Naturalization; Social Security Administration; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories; Internet PET ¶ #DESCRIPTIONYESNO Acta-CHKLST release 4/7/2010 PAGE 3 5.Verify that there are no other persons interested in this proceeding other than those already mentioned. 6.Make sure outstanding debts or funeral expenses are listed. If NONE, so state. 7a.& 7b. Check value of unadministered property Check estimated gross rents of real property (if any) for period of eighteen (18) months Check that any pending or contemplated causes of action on behalf of the decedent are listed and complete information is given NOTE: If inconsistent with amount shown in original proceeding, an explanatory affidavit may be required.) Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is Combined Verification, Oath and Designation signed? does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a Bank? use combined corporate verification, consent and designation [use page 4 of the petition] Is attorney’s name, address and phone number listed? Is Part 130 Certification completed by attorney or self-represented party? if NOT, has a separate certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? Official Forms for this type of proceeding are: NCTA-1 (7/98) Petition for Letters of Administration c.t.a. after Probate NCTA-2 (7/98) Citation (make sure that the full relief requested is included in citation) NCTA-3 (7/98) Renunciation of Letters of Administration c.t.a., Waiver of Process and Consent to Dispense with Bond (to be submitted by an adult competent party having a prior or equal right to that of petitioner) NOTE: The Court may fix a bond in an amount which will adequately protect creditors and interested persons who have not consented to dispense with a bond Acta-CHKLST release 4/7/2010 PAGE 4 COMMENTS AND COURT NOTES The Court may fix a bond in an amount which will adequately protect creditors and interested persons who have not consented to dispense with a bond. Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Guardian Ad Litem will be appointed on or before the return day of process for all unknowns and persons under disability (SCPA §403). Review carefully instructions to paragraphs 3 and 4 of the Petition and be sure interested parties are listed in the correct places. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual.

Administration c.t.a. (after Probate) Proceeding Checklist

ANCP-CHK release 4/21/2010 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Ancillary Probate Proceeding Checklist (see Surrogate’s Court Form AP-1, 12/97, rev. 4/98) NOTE: An ancillary probate may be used when a non-domiciliary leaves real and/or personal property which needs to be administered under New York State law and there has been probate in the foreign (domiciliary) jurisdiction. Fill In All Areas On All Pages of Petition - Also Mark When Not Applicable Where Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed CHECK: IS THE ATTORNEY OF RECORD LICENSED TO PRACTICE IN THE STATE OF NEW YORK? PET ¶ #DESCRIPTIONYESNO Is the captioned name the same as the signature on the Will and ¶2 of the petition? If A/K/A’s are they listed in the caption and also under ¶2 of the petition? Has the type of Letters been checked? 1.Is the petitioner the person expressly appointed in the Will as executor with respect to property located in this State or his/her designee? (see SCPA §1604) If Not:Is petitioner the fiduciary appointed to act in the domiciliary jurisdiction or his/her designee? If Not:Is petitioner the person acting in the domiciliary jurisdiction to administer and distribute the testator’s estate? If Not:Is petitioner a person entitled to letters of administration c.t.a. or his/her designee? (see SCPA §1418) If Not:Is petitioner a creditor, public administrator (County Treasurer) or person interested or to whom letters may issue? (see SCPA §1609.1) NOTE: Non-domiciliary alien executor, though ineligible to act in this jurisdiction (unless said executor has a co-executor who is a citizen), has a right to designate an ancillary fiduciary. (see SCPA §707 and §1608) 2.Verify information set forth in Authenticated documents from foreign state. NOTE: Exemplified/Authenticated Record should include copies of Will, Decree or Order Admitting Will to probate in the foreign (domiciliary) jurisdiction, and Letters issued thereon in the foreign jurisdiction (if the issuance of Ancillary Letters are being requested). (see SCPA §1614 and CPLR §4540) If no letters were issued in foreign jurisdiction then explanatory affidavit may be required. NOTE: Exemplifications and/or authenticated documents must be unaltered - i.e. should not be unstapled to photocopy and should not be attached to petition. PET ¶ #DESCRIPTIONYESNO ANCP-CHK release 4/21/2010 PAGE 2 2 cont. NOTE: Documents filed in a foreign language shall be accompanied by an English translation and an affidavit by the translator stating his/her qualifications and that the translation is accurate. [see CPLR §2101(b)]. 3.Verify again that all information set forth is as indicated in the Exemplified and/or Authenticated documents from foreign state. NOTE: If petition indicates that time has not yet passed for Will to be subject to contest under the laws of the foreign state, do not admit to ancillary probate, hold in abeyance until such time as verification from foreign Court is filed indicating that time has passed and it is not being contested. NOTE: Bond of Ancillary Fiduciary may be required. [see SCPA §801(c)(ii)] 4a.Is all the New York State property listed with complete address, description and value? Verify jurisdiction at this time with property situate in your County, real or personal. (see SCPA §206) All items must be completed. If non-applicable, please indicate. NOTE: Filing fee on Ancillary Probate is based on the value of New York Property only. (see SCPA §2402) 4b.If cause of action is listed complete details must be included; if none, so state. 5.Issue citation for service on Interested parties listed here as set forth in form (unless waivers and consents to ancillary probate have been submitted). Always cite the New York State Department of Taxation and Finance (see SCPA §1609.3) UNLESS a Notice of Appearance and Consent by Tax Commissioner has been filed with Stipulation Reserving Domicile. If Letters Are Requested Cite: 1) Domiciliary (New York State) Creditors or those claiming to be creditors; 2) Those entitled to letters or entitled to designate an appointee. (see instructions on item 1 of this checklist for those entitled to letters - SCPA §1604) 6.Only beneficiaries who reside in New York State (domiciliary beneficiaries) and who are named in the Will/Codicil being offered for Ancillary Probate need be listed here. If Letters are Requested: Notice of Ancillary Probate with proof of mailing to all listed if they have not been served with process, waiver, or otherwise appeared in the proceeding. Both (a) and (b) must be completed. If none applicable, so indicate. PET ¶ #DESCRIPTIONYESNO ANCP-CHK release 4/21/2010 PAGE 3 7.This must be completed. Either “except” crossed out or “none” indicated. Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is Combined Verification, Oath and Designation signed? Does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a bank? (If yes, submit a combined Corporate Verification, Consent and Designation) NOTE: Certification must be provided from a financial institution that they are qualified to act as a fiduciary in the State of New York. Is attorney’s name, address and phone number listed? Is Part 130 Certification completed by attorney or self-represented party? If NOT, has a separate certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? PARTIAL FEE SCHEDULE SCPA/EPTL§ or Rule # Filing Fee Have the proper fees been included with petition? Fees per schedule; $6.00 for each Certificate of Appointment. Filing fee is based upon the values of the New York State Property only owned individually by the decedent or payable to the Estate - see SCPA §2402(8) 0 but under 10,000$ 45.00 10,000 but under 20,00075.00 20,000 but under 50,000215.00 50,000 but under 100,000280.00 100,000 but under 250,000420.00 250,000 but under 500,000625.00 500,000 and over1,250.00 2402 ANCP-CHK release 4/21/2010 PAGE 4 COMMENTS AND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted Whenever a non-domiciliary decedent leaves real and/or personal property which needs to be administered under NYS law and there has been probate in the foreign jurisdiction. 1602 Forms Always Required •Petition for Ancillary Probate •Exemplified/Authenticated Record of Foreign Proceeding (Will, Order Appointing, Letters of Appointment) •Citation (or waiver and consent from tax department) AP-1 AP-2 1609 1614 CPLR 4540 1609 Forms or Documents Sometimes Required •Certified Death Certificate •Notice of Ancillary Probate with Affidavit of Mailing •Renunciation of Nominated Executor •Self-addressed stamped envelope •Bond AP-3 P-10 1608(5) 801(c)(ii) Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Letters will not be delivered until Notice of Ancillary Probate and Affidavit of Mailing are filed if applicable. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual.

Ancillary Probate Proceeding Checklist

For Office Use Only Filing Fee Paid $ Certs $ $Bond, Fee: Receipt No:No: DO NOT LEAVE ANY ITEMS BLANK SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF____________________________ ----------------------------------------------------------------------------------X ANCILLARY PROBATE PROCEEDING, WILL OFPETITION FOR ANCILLARY PROBATE __________________________________________ SCPA ARTICLE 16 Ancillary Letters Testamentary a/k/a_______________________________________ Ancillary Letters of Administration c. t. a. W ithout Ancillary Letters a domiciliary of the State of _____________________ Deceased.File No.________________________ ----------------------------------------------------------------------------------X TO THE SURROGATE’S COURT, COUNTY OF__________________ It is respectfully alleged: 1. The nam e, citizenship, dom icile (or, in the case of a bank or trust com pany, its principle office) and interest in this proceeding of the petitioner(s) are as follows: Name: Domicile or Principal Office: (Street and Number) __________________________________________________________________________________________________ (City, Village or Town)(State)(Zip Code) Mailing address:__________________________________________________________________________ (If different from domicile) Citizen of:_____________________________ Name:____________________________________________________________________________________________ Domicile or Principal Office: (Street and Number) __________________________________________________________________________________________________ (City, Village or Town)(State)(Zip Code) Mailing address:________________________________________________________________________ (If different from domicile) Citizen of: Interest (s) of Petitioner (s): [Check one] Executor(s) named in decedent’s will Creditor Other (Specify)______________________________________________________________________ 2. The name, domicile, date and place of death, and national citizenship of the above-named decedent are as follows: (a)Name:_________________________________________________________________________ (b)Date of Death:___________________________________________________________________ (c)Place of Death:__________________________________________________________________ (d)Domicile: Street__________________________________________________________________ City, Town, Village________________________________________________________________ County__________________________State __________________________________________ (e)Citizen of:______________________________________________________________________ AP-1 (4/99) -1- 3. Decedent left a will in writing dated _____________________________________________________ (and codicil dated), which was duly admitted to probate on by the ________________ Court, County of ________________________, State of _______________________________ being a competent court of the state of the domicile of decedent having jurisdiction thereof, and the will/codicil is not subject to contest under the laws of that state. On ________________________________, letters were issued by the court to _________________________________, and the amount of the security given on the original appointment was $_________________. Under the will/codicil a bond is is not dispensed with. [If additional space is needed in Paragraphs 4, 5 and 6, attach addendum.] 4. (a) The will/codicil upon ancillary probate may operate upon property in the State of New York consisting of real property and personal property described and valued as follows: [list item s and describe briefly, giving location. If space is insufficient, attached addendum]. Personal Property$__________________________ Improved real property in New York State$__________________________ Unimproved real property in New York State$__________________________ Estimated gross rents for a period of 18 months$__________________________ Total$__________________________ 4. (b) No other testamentary assets exist in New York State, nor does any cause of action exist on behalf of the estate, except as follows: [Enter “NONE” or specify] _________________________________________________________________________________________________ __________________________________________________________________________________________________ Exemplified copies of the will/codicil, the decree admitting the will/codicil to probate, and the letters issued, if any are submitted as part of this petition. 5. The names, addresses and interests of all persons entitled to process [(a) New York State Department of Taxation and Finance, (b) all domiciliary creditors or domiciliaries claiming to be creditors, and (c) such other persons entitled to letters pursuant to SCPA §1604] are as follows: NameAddressNature of Interest New York State Departm ent ofOr Am ount of Claim Taxation and FinanceAlbany, New York ________________________ ____________________ ______________________ ________________________ ____________________ ________________________ ________________________ AP-1 (4/98)-2- 6. The nam e and address of each dom iciliary beneficiary under the will/codicil having an interest in the property in this state is as follows: (a) Each beneficiary who is of full age and sound mind or which is a corporation or association: NameAddressInterest [Refer to Paragraph of W ill] __________________________________________________________________________ ______________________ _________________________ ___________________________ (b) Each beneficiary who is an infant or otherwise under a disability: [State disability and see SCPA §304(3)] NameAddressInterest [Refer to Paragraph of W ill] ______________________ Disability:__________________________________________________________________________________________ __________________________________________________________________________________________________ Disability: __________________________________________________________________________________________ 7. There are no persons interested in this proceeding other than those herein before mentioned. No previous application for ancillary probate with or without ancillary letters has been made, except ____________________________ _________________________________________________________________________________________________ __________________________________________________________________________________________________ W HEREFORE, petitioner(s) pray(s) (a) that process issue to all necessary parties (b) that the W ill/Codicil be admitted to ancillary probate and (c) that ancillary letters issue thereon as follows: Ancillary Letters Testamentary to:_ __________________________________________________________________ _________________________________________________________________________________________________ Ancillary Letters of administration c.t.a. to:____________________________________________________________ __________________________________________________________________________________________________ No Ancillary Letters to be issued (d) [State any other relief requested] ____________________________________________________________________ Dated:______________________________ 1. _________________________________2. _____________________________________ (Signature of Petitioner)(Signature of Petitioner) ________________________________________________________________________ (Print Name)(Print Name) 3. _________________________________ (Name of Corporate Petitioner) _________________________________ (Signature of Officer) _________________________________ (Print Name and Title of Officer) AP-1 (4/98)-3- SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF _____________________________ ----------------------------------------------------------------------------------X ANCILLARY PROBATE PROCEEDING, WILL OFCOMBINED VERIFICATION __________________________________________________OATH AND DESIGNATION a/k/a ______________________________________________ File No. _________________________ a domiciliary of the State of ____________________________ Deceased ----------------------------------------------------------------------------------X STATE OF _______________________) COUNTY OF______________________)ss: The undersigned, the petitioner named in the foregoing petition, being duly sworn, says: 1. VERIFICATION: I have read the forgoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe it to be true. 2. OATH OF ANCILLARY Executor Administrator c.t.a.: I am over eighteen (18) years of age and a citizen of the United States; I will well, faithfully and honestly discharge the duties of ancillary executor/administrator c.t.a. under the will. I am not ineligible to receive letters. 3. DESIGNATION OF CLERK FOR SERVICE OF PROCESS: I do hereby designate the clerk of the Surrogate’s Court of _________________________________ County, and his or her successor in office as a person on whom service of any process issuing from such Surrogate’s Court m ay be m ade, in like m anner and with like effect as if it were served personally upon me, whenever I cannot be found within the State of New York after due diligence used. My domicile is_____________________________________________________________________________________ (Street Address)(City/Town/Village)(State) (Zip Code) _______________________________________ (Signature Of Petitioner) _______________________________________ (Print Name) On ___________________________________________________________________, before me personally came ______________________________________________________________________________________________ to me known to be the person described in and who executed the foregoing instrument. Such person duly swore to such instrument before me and duly acknowledged that he/she executed the same. _____________________________________ Notary Public Commission Expires: (Affix Notary Stam p or Seal) Signature of New York Attorney:________________________________________________________________________ Print Name of New York Attorney:_______________________________________________________________________ Firm Name: _________________________________________________Tel. No.:________________________________ Address of New York Attorney:_________________________________________________________________________ __________________________________________________________________________________________________ AP-1 (4/98)-4- SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF _____________________________ ----------------------------------------------------------------------------------X ANCILLARY PROBATE PROCEEDING, WILL OFCOMBINED CORPORATE VERIFICATION CONSENT AND DESIGNATION a/k/a ______________________________________________ File No. _____________________________ a domiciliary of the State of_____________________________ Deceased. ----------------------------------------------------------------------------------X STATE OF________________________) COUNTY OF______________________)ss: The undersigned, a _____________________________________________________________________of (Title)___________________________________________________________________________________________ ___________________________________________________________________________________________ (Nam e of Bank or Trust Com pany) a corporation duly qualified to act in a fiduciary capacity without further security, being duly sworn, says: 1. VERIFICATION: I have read the forgoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe it to be true. 2. CONSENT: I consent to accept the appointment as [ ] Ancillary Executor [ ] Ancillary Administrator c.t.a. under the will of the decedent described in the foregoing petition and consent to act as fiduciary. 3. DESIGNATION OF CLERK FOR SERVICE OF PROCESS: I do hereby designate the clerk of the Surrogate’s Court of _______________________________ County, and his or her successor in office as a person on whom service of any process issuing from such Surrogate’s Court m ay be m ade, in like m anner and with like effect as if it were served personally upon me, whenever I cannot be found within the State of New York after due diligence used. _______________________________________ (Name of Corporate Petitioner) _______________________________________ (Signature of Officer) _______________________________________ (Print Name and Title of Officer) On____________________________ , before me personally came____________________________________ to me known, who duly swore to the foregoing instrument and who did say that he/she resides at____________________ _________________________________and that he/she is a ______________ of_________________________________ the corporation/national banking association described in and which executed such instrument, and that he/she singed his/her name thereto by order of the Board of Directors. ____________________________ Notary Public Commission Expires: (Affix Notary Stam p or Seal) Signature of New York Attorney:________________________________________________________________________ Print Name of New York Attorney:_______________________________________________________________________ Firm Name:___________________________________ Tel. No.:_____________________________________________ Address of New York Attorney: _________________________________________________________________________ AP-1 (4/98)-5- ANCILLARY PROBATE CITATION File No._____________________ SURROGATE’S COURT- COUNTY CITATION THE PEOPLE OF THE STATE OF NEW YORK, By the Grace of God Free and Independent TO A petition having been duly filed by , who is domiciled at _______________________________________________________________________________________ YOU ARE HEREBY CITED TO SHOW CAUSE before the Surrogate’s Court,_______________________County, at , New York, on , at_____o’clock in the______noon of that day, why a decree should not be made in the estate of ____________________ _________________________________________________________________________________________________ lately domiciled at admitting to ancillary probate an exemplified copy of the W ill dated ___________________________________________, (A Codicil dated), as the W ill of ____________________________________________________ deceased, relating to real and personal property, and directing that Ancillary Letters Testamentary issue to:_________________________________________________ Ancillary Letters of Administration c.t.a. issue to:__________________________________________ No Ancillary Letters to be issued (State any further relief requested) HON. ______________________________________________ Dated, Attested and Sealed,Surrogate _______________________________________________________________________ (Seal) Chief Clerk __________________________________________________________________________________________________ Attorney for PetitionerTelephone Number __________________________________________________________________________________________________ Address of Attorney [Note: This is served upon you as required by law. You are not required to appear. If you fail to appear it will be assumed you do not object to the relief requested. You have a right to have an attorney appear for you.] AP-2 (12/97) SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF ____________________________ ----------------------------------------------------------------------------------X ANCILLARY PROBATE PROCEEDING, WILL OFNOTICE OF ANCILLARY PROBATE ___________________________________________________ a/k/a_______________________________________________ File No._______________________ a domiciliary of the State of_____________________________ Deceased ----------------------------------------------------------------------------------X Notice is hereby given that: 1. An exemplified copy of the W ill dated(and Codicil dated ) of the above named decedent, domiciled at ______________________________________________________________ State of______________________________has been offered for ancillary probate in the Surrogate’s Court for the County of_____________________________________. 2. The name(s) of proponent(s) of said W ill/Codicil is/are ___________________________________________________ _________________________________________________________________________________________ whose address(es) is/are _________________________________________________________________________________________________ 3. The nam e and post office address of each and every dom iciliary beneficiary of the above nam ed decedent as set forth in Paragraph 6 of the petition is/are as follows: NAMEMAILING ADDRESSNATURE OF INTEREST OR STATUS (USE ADDITIONAL SHEETS IF NECESSARY) Date ___________________________________ [Note: Complete Affidavit of Mailing. If serving infant 14 years of age or older, list and mail to infant as well as parent or guardian.] Name of New York Attorney: Tel. No.: Address of New York Attorney: AP-3(12/97)-1- NAMEMAILING ADDRESSNATURE OF INTEREST OR STATUS _________________________ ___________________________ ______________________________ AFFIDAVIT OF MAILING NOTICE OF ANCILLARY PROBATE STATE OF NEW YORK) )ss.: COUNTY OF______________________) , residing at being duly sworn, says that he/she is over the age of 18 years, that on the ___________day of , he/she deposited in the post office or in a post office box regularly maintained by the government of the United States in the ________________________________of_____________________, State of New York, a copy of the foregoing Notice of Ancillary Probate contained in a securely closed postpaid wrapper directed to each of the persons named in said notice at the place set opposite their respective names. Sworn to before me this ________________ _____________________________________ Signature day of ____________________________________________________________________ Print Name ___________________________________ Notary Public Commission Expires:______________ (Affix Notary Stam p or Seal) Name of New York Attorney:___________________________________Tel. No.____________________________ Address of New York Attorney:____________________________________________________________________ AP-3(12/97)-2-

Petition for Ancillary Probate

-1- For Office Use Only Filing Fee Paid $__________________ ___________Certs: ______________ $__________Bond, Fee: ___________ Receipt No:_________No:___________ DO NOT LEAVE ANY ITEMS BLANK SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF ______________________________ _______________________________________________X LETTERS OF ADMINISTRATION c.t.a., WILL OF _____________________________________________ a/k/a_____________________________________________ Deceased. __________________________________________X PETITION FOR LETTERS OF ADMINISTRATION c.t.a AFTER PROBATE SCPA 1418 AND 1419 File No. TO THE SURROGATE’S COURT, COUNTY OF ____________________ : It is respectfully alleged: 1. (a)The name, citizenship, domicile (or, in the case of a bank or trust company, its principal office) and interest in this proceeding of the petitioner(s) is/are as follows:__________________________________________ Name: _________________________________________________________________________________________ Domicile or Principal Office: ________________________________________________________________________ (Street and Number) (City, Village or Town) _______________________________________________________________________________________________ (County)(State) (Zip) (Telephone Number) Mailing Address: _________________________________________________________________________________ (If different from domicile) Citizenship (check one): USA Other (specify) __________________________ Name:__________________________________________________________________________________________ Domicile or Principal Office: ________________________________________________________________________ (Street and Number) (City, Village or Town) _______________________________________________________________________________________________ (County) (State) (Zip) (Telephone Number) Mailing Address: _________________________________________________________________________________ (If different from domicile) Citizenship (check one): U.S.A. Other (specify) __________________________ Interest (s) of Petitioner (s):[Check one] Sole BeneficiaryResiduary Beneficiary Other [Specify] _____________________________________________________________________ 1.(b)The proposed Administrator c.t.a. is is not an attorney. [NOTE: An Administrator c.t.a. - Attorney must comply with Uniform Court Rule 207.16 (e). (See also 207.52)] 2.The will of the above-named decedent was admitted to probate by the Surrogate’s Court of ___________________County on ______________________ and Letters Testamentary were issued to _________________________________ , who on____________________________________________, died resigned was removed. CTA-1 -2- 3.The names and addresses of all persons and parties interested in this proceeding having a right to letters of administration c.t.a. (with the will annexed) prior or equal to the petitioner under the provisions of SCPA §1418 and 1419, are as follows: [Furnish all information specified in NOTE below, if required] Name_________________________ Domicile Address and______________________Description of Legacy, Devisee Relationship______________________Mailing Address____________________________or Other Interest, or Nature of Fiduciary Status: _________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ 4.The names and addresses of all persons and parties who are beneficiaries named in the will other than those named in paragraph 3 above are as follows: [Furnish all information specified in NOTE below, if required] Name_________________________ Domicile Address and______________________Description of Legacy, Devisee Relationship______________________Mailing Address____________________________or Other Interest, or Nature of Fiduciary Status:__________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ 5.There are no persons other than those hereinbefore mentioned interested in this proceeding. 6.There are no outstanding debts or funeral expenses, except: [If “NONE” so state] 7.(a) To the best of the knowledge of the undersigned, property of the estate remains unadministered as follows: Personal Property $ ________________Improved real property in New York State $ ____________________ Unimproved real property in New York State $ ____________________________________________________ Estimated gross rents for a period of 18 months $ _________________________________________________ (b) No other testamentary assets exist in New York State, nor does any cause of action exist on behalf of the estate as follows: [Enter “NONE” or specify] _______________________________________________________ [NOTE: In the case of each infant, state (a) name, birth date, relationship to decedent, domicile and residence address, and the person with whom he/she resides, (b) whether or not he/she has a court-appointed guardian (if not, so state), and whether or not his/her father and/or mother is living, and (c) the name and residence address of any court-appointed guardian and the information regarding such appointment. In the case of each other person under a disability, state (a) name, relationship to decedent, and residence address, (b) facts regarding this disability including whether or not a committee, conservator, guardian, or any other fiduciary has been appointed and whether or not he/she has been committed to any institution, and (c) the names and addresses of any committee, person or institution having care and custody of him/her; conservator; guardian; and any relative or friend having an interest in his/her welfare. In the case of a person confined as a prisoner, state place of incarceration and list any person having an interest in his/her welfare. Wherefore, petitioner (s) pray (s)(a) that process issue to all necessary parties and (b) that letters issue as follows: Letters of Administration c.t.a. to: ______________________________________________________ (c) [State any other relief requested] ___________________________________________________________________ Dated: ______________________________ 1. ________________________________________ 2.____________________________________ (Signature of Petitioner) (Signature of Petitioner) __________________________________________ _____________________________________ (Print Name) (Print Name) 3.________________________________________ (Name of Corporate Petitioner) __________________________________________ (Signature of Officer) __________________________________________ (Print Name and Title of Officer) -3- COMBINED VERIFICATION, OATH & DESIGNATION [For use when petitioner is to be appointed administrator c.t.a.] STATE OF _________________ ) COUNTY OF _______________) SS.: The undersigned, the petitioner named in the foregoing petition, being duly sworn says: 1. VERIFICATION: I have read the foregoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe it to be true. 2. OATH OF ADMINISTRATOR c.t.a.: I am over eighteen (18) years of age and a citizen of the United States; I will well, faithfully and honestly discharge the duties of the administrator c.t.a.. I am not ineligible to receive letters. 3. DESIGNATION OF CLERK FOR SERVICE OF PROCESS: I do hereby designate the Clerk of the Surrogate’s Court of ____________________________County, and his or her successor in office, as a person on whom service of any process issuing from such Surrogate’s Court may be made, in like manner and with like effect as if it were served personally upon me, whenever I cannot be found within the State of New York after due diligence used. My domicile is _______________________________________________________________________________ (Street Address) (City/Town/Village) (State) ___________________________________ (Signature of Petitioner) ______________________________________ (Print Name) On ____________________________________________ , __________________________ , before me personally came _____________________________________________________________________________ to me known to be the person described in and who executed the foregoing instrument. Such person duly sworn to such instrument before me and duly acknowledge that he/she executed the same. _______________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Signature of Attorney: ___________________________________________________________________________ Print Name: ___________________________________________________________________________________ Firm Name: ______________________________________________________Tel. No.: __________________ Address of Attorney: ____________________________________________________________________________ -4- COMBINED CORPORATE VERIFICATION, CONSENT AND DESIGNATION [For use when a petitioner to be appointed is a bank or trust company] STATE OF _______________ ) COUNTY OF ______________) ss: The undersigned, a ____________________________________________________________________ of ________________________________________________ (Title)_______________________________________ ____________________________________________________________________________________________ (Name of Bank or Trust Company) a corporation duly qualified to act in a fiduciary capacity without further security, being duly sworn, say: 1. VERIFICATION: I have read the foregoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe it to be true. 2. CONSENT: I consent to accept the appointment as Administrator c.t.a. of the decedent described in the foregoing petition and consent to act as such fiduciary. 3. DESIGNATION OF CLERK FOR SERVICE OF PROCESS: I do hereby designate the Clerk of the Surrogate’s Court of __________________________________ County, and his or her successor in office, as a person on whom service of any process issuing from such Surrogate’s Court may be made, in like manner and with like effect as if it were served personally upon me, whenever I cannot be found within the State of New York after due diligence used. _______________________________________________ (Name of Corporate Petitioner) _______________________________________________ (Signature of Officer) _______________________________________________ (Print Name and Title of Officer) On the ____________________________________________ , _________________ , before me personally came to me known, who duly swore to the foregoing instrument and who did say that he/she resides at ______________________________________________________________________________ ____________________________________ and that he/she is a __________________________________________ of_____________________the corporation/national banking association described in and which executed such instrument, and the he/she signed his/her name thereto by order of the Board of Directors of the corporation. Notary Public ____________________________________________ Commission Expires: (Affix Notary Stamp or Seal) Signature of Attorney: _______________________________________________ Print Name: _______________________________________________ Firm Name: _______________________________________________Tel. No.: ____________________ Address of Attorney: ______________________________________________________________________________ -5- LETTERS OF ADMINISTRATION c.t.a. CITATIONFile No. SURROGATE’S COURT-_____________________COUNTY CITATION THE PEOPLE OF THE STATE OF NEW YORK, By the Grace of God Free and Independent TO ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ A petition having been duly filed by__________________ , who is domiciled at___________________ ___________________________________________________YOU ARE HEREBY CITED TO SHOW CAUSE before the Surrogate’s Court,________________________ County, at _________________, New York, on___________________________________________________, at ________o’clock in the _____noon of that day, why a decree should not be made in the estate of__________________________ lately domiciled at ________________________________________________________________________ granting administration c.t.a. and directing that Letters of Administration c.t.a. issue to ___________________ _______________________________________________________________________________(State any further relief requested)_____________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ HON. ______________________________ Dated, Attested and Sealed,Surrogate , ______________________________________________ (SealChief Clerk ________________________________________________________________________________________ Attorney for Petitioner Telephone Number ________________________________________________________________________________________ Address of Attorney [Note: This citation is served upon you as required by law. You are not required to appear. If you fail to appear it will be assumed you do not object to the relief requested. You have a right to have an attorney appear for you.] -6- SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF _______________________________ X LETTERS OF ADMINISTRATION c.t.a. WILL OF___________________________________________ a/k/a_______________________________________________ Deceased. X RENUNCIATION OF LETTERS OF ADMINISTRATION c.t.a. WAIVER OF PROCESS AND CONSENT TO DISPENSE WITH BOND File No. _______________________ The undersigned, ___________________________________ , a person interested in this estate as a beneficiary with equal or prior right to receive letters a beneficiary of the estate a creditor other (specify) _______________________________________________________ hereby personally appears in this proceeding in the Surrogate’s Court of __________________________ County and 1.Renounces all rights to Letters of Administration c.t.a. 2.Waives the issuance and service of citation in the above entitled proceeding. 3.Consents that Letters of Administration c.t.a. be granted by the Court to_____________________ or any other person or persons entitled there to without any notice whatsoever to the undersigned. 4.Consents to dispense with bond of the Administrator c.t.a. and if such consent be filed by some but not all of the persons interested in the estate, specifically releases any claim under any bond that may be required of such Administrator c.t.a. ________ Date ________________________________ Signature ____________________________ Street Address ____________________ Relationship __________________________________________ Print Name __________________________________________________ Town/State/Zip STATE OF NEW YORK COUNTY OF ______________________ss.: ____________________________________________ On ____________________________________________, _________, before me personally came to me known to be the person described in and who executed the foregoing instrument. Such person duly swore to such instrument before me and duly acknowledged that he/she executed the same. Notary Public____________________________ Commission Expires:_________________________ (Affix Notary Stamp or Seal) Name of Attorney: _______________________________________Tel. No.:___________________ Address of Attorney: ____________________________________ CTA-3 (7/98) -7- SURROGATE’S COURT OF THE STATE OF NEW YORK COUNTY OF ___________________________ ________________________________________X PROBATE PROCEEDING, WILL OF _______________________________ a/k/a ___________________________________ Deceased. ________________________________________X AFFIDAVIT OF NO DEBT (For use with Letters of Administration c.t.a.) File No. ____________________________ STATE OF NEW YORK ) ) ss.: COUNTY OF ___________________________ ) ___________________________________________________________________, being duly sworn, deposes and says that he/she resides at ___________________________________________________, County of ___________________, State of ___________________________________; that he/she is the person seeking appointment as administrator c.t.a. in the above entitled proceeding; that the value of all personal property receivable by the fiduciary of the estate of the above-named decedent plus estimated gross rents receivable by said fiduciary for 18 months will not exceed the sum of $________________________; that deponent has made a diligent search to ascertain whether or nor there are any debts or claims against the estate of said decedent and that there are no claims, including unpaid funeral and medical bills, except as follows: [If “none”, write “NONE”] _______________ NAMEADDRESSNATURE OF CLAIMAMOUNT ______________________________________________________________________________________________________ ______________________________________________________________________________________________________ ____________________________________________________________________________________________________ ____________________________ Sworn to be fore me this ____________Signature day of _________________, 20_______ ____________________________ Print Name ________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Name of Attorney____________________________________________ Tel. No.:______________________ Address of Attorney________________________________________________________________________ P-12 (10/96)

Petition for Letters of Administration c.ta. (after Probate)

P-CHKLST release 4/7/2010 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Probate Proceeding Checklist (see Surrogate’s Court Form P-1, rev. 2/08) Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed Fill In All Areas On All Pages of Petition - Also Mark When Not Applicable Where Necessary PET ¶ #DESCRIPTIONYESNO Is the captioned name the same as the signature on the Will and ¶2 of petition? If A/K/A’s, are they listed in the caption and also under ¶2 of petition? Has the type of Letters been checked? 1.(a)Is the name of each fiduciary the same as in Will? If NO, does petitioner explain why? Is the petitioner ...the nominated executor alternate executor or person eligible under SCPA §1402 or 1418 (admin. c.t.a.) NOTE: A Non-domiciliary alien is ineligible to be sole fiduciary (SCPA §707) 1.(b)If an attorney and sole executor: has a statement been filed pursuant to Court Rules §207.16(e)? 1.(c)Has SCPA §2307-a been complied with? 2.(a)Is the name of the decedent the same as the signature on Will? Are all A/K/A’s listed? 2.(b)Does date of death agree with death certificate? Certified death certificate must be filed with petition 2.(c)Is the place of death the same as that listed on death certificate? 2.(d)Is the address on petition and death certificate the same? this county? If NOT, has an explanatory affidavit with proofs of domicile been filed? (SCPA §206 & 208) If decedent was a non-domiciliary of the State, has information been furnished pursuant to SCPA §1605 showing ... If the will was previously admitted to probate the petitioner should submit Administration c.t.a. form CTA-1. PET ¶ #DESCRIPTIONYESNO P-CHKLST release 4/7/2010 PAGE 2 2.(d) cont. (1) no original probate or administration proceeding has been or will be filed in any other jurisdiction (2) statement that testator left probatable assets in this jurisdiction (3) statement listing the distributees in the domiciliary jurisdiction or that they are the same as under New York State Law 2.(e)Is the citizenship of decedent listed? NOTE: Does all information provided under ¶2 agree with death certificate; if not, has an explanatory affidavit been provided? Check that marital status is correct; submit divorce decree if requested by the court. 3. Make sure that original will and codicil are filed with affidavit(s) of attesting witnesses or necessary documents requesting that the affidavits be dispensed with are filed. (With one surviving witness submit form P-8; if all witnesses are deceased submit forms P-8 and P-9 for one witness and P-9 for decedent.) Are dates listed correctly for Will and Codicils? Are all witnesses listed correctly? If necessary - did witnesses see original will or a court-certified copy? see SCPA §1406(2) Is affidavit of comparison with copy of will (& codicils) submitted? NOTE: Witnesses may not notarize each other’s signatures on witness depositions. 4.Answer “NONE” or specify? 5. NOTE: Distributee: Any person entitled to take/share in property under EPTL §4-1.1 and 4-1.2. Has the number of survivors been listed? Has “NO” been inserted in all prior classes? Has an “X” been inserted in all subsequent classes? NOTE: If alleged that the decedent was survived by no distributee or only one distributee or where the relationship of distributees to the decedent is grandparents, aunts, uncles, first cousins or first cousins once removed, has an Affidavit of Heirship been submitted - see Court Rules §207.16(c). 6.(a)Are all distributees (who are of full age and sound mind) listed with the required information? (Court needs Form P-4 [Acknowledged Waiver of Process/Consent to Probate] see SCPA §401(4), or proposed citation for each person listed under 6(a). Provide copy of death certificate or date of death for any deceased distributee.) NOTE: Administrator c.t.a. see SCPA §1418 - use waiver P-11. PET ¶ #DESCRIPTIONYESNO P-CHKLST release 4/7/2010 PAGE 3 6.(a) cont. Is each person designated as primary executor listed? Are all persons adversely affected by the purported exercise by such Will of any power of appointment listed? Are all persons adversely affected by any codicil listed? Are all persons listed under any other Will of the decedent on file in the Surrogate’s Court listed? If there is an inter vivos trust or other testamentary substitute, are trustees and beneficiaries affected by the will listed? Has a copy of the Trust been submitted? 6.(b)Same as 6.(a) above but are persons under disability NOTE: IF THERE ARE PERSONS UNDER DISABILITY LISTED UNDER 6(b) A GUARDIAN AD LITEM WILL HAVE TO BE APPOINTED AND A CITATION ISSUED. (see SCPA §306 & 307) NOTE: THE FOLLOWING INFORMATION HAS TO BE PROVIDED UNDER 6(b) AND 7(b) IF THERE ARE PERSONS UNDER DISABILITY. INFANTS: Name, birth date, relationship to decedent, domicile/residence address, person with whom he/she resides Is there a court-appointed guardian? If so, submit name and residence address and information regarding appointment (submit proof of appointment). Are parents living? ALL OTHER PERSONS UNDER DISABILITY: Name, relationship to decedent, residence address Facts regarding disability: has a committee, conservator, guardian, or any other fiduciary been appointed (submit proof of appointment) Has the person under disability been committed to any institution? Are the names and addresses of any committee, person or institution having care and custody of him/her, conservator, guardian and any relative or friend having an interest in his/her welfare listed? If a person is confined as a prisoner: place of incarceration listed and name and address of any person(s) having an interest in his/her welfare Unknowns: described in the same language as will be used in the citation PET ¶ #DESCRIPTIONYESNO P-CHKLST release 4/7/2010 PAGE 4 6.(b) cont. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be submitted: affidavit showing that diligent efforts have been made to locate unknown distributees or distributees whose whereabouts are unknown [Court Rules §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage records; telephone books; conversation with other distributees, neighbors, etc.; records of varied Surrogate’s Court; military records; Bureau of Immigration & Naturalization; Social Security Administration; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories; Internet 7.(a)Court needs Form P-6 [Notice of Probate/Affidavit of Mailing] for all persons listed under 7(a) & 7(b) - see SCPA §1409. Are the names and domiciliary addresses of all substitute or successor executors, trustees, guardians listed? If predeceased - provide death certificate or date of death. Are all legatees (any person designated to receive a transfer by will of personal property) who is of full age and sound mind listed? Are all devisees (any person to whom real property is transferred by will) who is of full age and sound mind listed? Are all other beneficiaries, who are of full age and sound mind, named in the will listed? Are charities receiving a residuary share? If so the State Attorney General must receive a notice of probate. Are any trustees and beneficiaries of any inter vivos trust designated in the purported will other than those named in paragraph 6 listed? 7.(b)Same as 7.(a) above but are persons under a disability (see ¶6b). see SCPA §1409(2) and SCPA §307(3) and (4). 8.Has “NONE” been entered or is there an indication of the confidential relationship? (May require a PUTNAM hearing.) 9.(a)Has value of estate been listed? (do not include joint assets, insurance left to a beneficiary, non-probate assets) 9.(b)Has “NONE” been entered or has cause of action been specified? 10.Under WHEREFORE Clause: has type of letters and all relief requested been checked and completed? PET ¶ #DESCRIPTIONYESNO P-CHKLST release 4/7/2010 PAGE 5 10. cont. Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is oath and designation signed? does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a Bank? use combined corporate verification, consent and designation [use page 6 of the petition] Is attorney’s name, address and phone number listed? Is Part 130 Certification completed by attorney or self-represented party? if NOT, has a separate certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? PARTIAL FEE SCHEDULE SCPA/EPTL§ or Rule # Have the proper fees been included with petition? Fees per schedule; $6.00 for each Certificate of Appointment. Filing fee is based upon the values of the estate owned individually by the decedent or payable to the Estate - see SCPA §2402(8) 0 but under 10,000$ 45.00 10,000 but under 20,00075.00 20,000 but under 50,000215.00 50,000 but under 100,000280.00 100,000 but under 250,000420.00 250,000 but under 500,000625.00 500,000 and over1,250.00 If Letters of Trusteeship are requested include an additional $45.00 for this appointment (after checking with individual court of filing as to fee policies). 2402 P-CHKLST release 4/7/2010 PAGE 6 COMMENTS AND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted Whenever decedent dies with a Will.1402 Forms Always Required •Petition for Probate •Original Will of decedent and Codicil(s), if any •Affidavit of Comparison (unless waived by court) •Certified Death Certificate •Affidavit of Attesting Witnesses •Self-addressed stamped envelope (if court requires) P-1 P-13 P-3 1402 207.15(b) 1406 Forms or Documents Sometimes Required •Application to Dispense with Testimony of Attesting Witness •Waiver of Process; Consent to Probate •Notice of Appearance •Authorization to Appear on Behalf of Party •Attorney/Fiduciary Statement •Family Tree Chart (if required by court) •Affidavit Proving Handwriting of Decedent/Witness •Renunciation of Nominated Executor and/or Trustee •Renunciation of Letters of Admin. c.t.a./Waiver of Process •Affidavit of No Debt (Admin. c.t.a.) •Citation on Probate •Affidavit for Supplemental Citation •Order for Mailing and/or Publication •Notice to Consul General •Notice of Probate & Affidavit of Service •Affidavit of Due Diligence •Application for Preliminary Letters Testamentary & Oath & Designation of Preliminary Executor •Sole Heir Affidavit •Affidavit of Service (Personal/Mail/Publication) •Affidavit as to Military Service •Bond •Death Certificate of deceased spouse, distributee, beneficiary or named executor •Notice of Election by Surviving Spouse •Waiver or Release of the Right of Election •Obituary Notice (if court requires) P-8 P-4 FT-1 P-9 P-10 P-11 P-12 P-5 P-6 P-2 1405 207.16(e) & 2307-a 207.16(c) 1403 1412 207.16(c) 314 801-805 207.15(c) 5-1.1 5-1.1 P-CHKLST release 4/7/2010 PAGE 7 COMMENTS AND COURT NOTES (continued) All Waivers and Proofs of Service must show that each interested party actually received a copy of the Will. Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Guardian Ad Litem will be appointed on or before the return day of process for all unknowns and persons under disability (SCPA §403). Petition & Notice of Probate must include names of all persons designated in Will as legatee, devisee, fiduciary or alternate fiduciary not otherwise listed as an interested party. Letters will not be delivered until Notice of Probate and Mailing Affidavit are filed. Review carefully instructions to paragraphs 6 and 7 of the Petition and be sure interested parties are listed in the correct places. NYS Department of Taxation & Finance may be a necessary party for estates of non- domiciliary decedents. Review SCPA §1403(1)(g). Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual.

Probate Proceeding Checklist

Successor Letters Testamentary

Filing Fee Paid $_______________ ____________ Certs $_______________ Receipt No: __________ No:__________ DO NOT LEAVE ANY ITEMS BLANK STATE OF NEW YORK SURROGATE’S COURT: COUNTY OF __________________ ________________________________________________________X In the Matter of the Petition for Successor Letters Testamentary in the Estate ofPETITION FOR SUCCESSOR LETTERS TESTAMENTARY File No. ____________________________ a/k/a Deceased. ________________________________________________________X To the Surrogate’s Court, County of _____________________ It is respectfully alleged: 1.(a)The name, citizenship, domicile (or, in the case of a bank or trust company, its principal office) and interest in this proceeding of the petitioner(s) are as follows: Name:_____________________________________________________________________________________________________ Domicile or Principal Office:____________________________________________________________________________________ (Street and Number) __________________________________________________________________________________________________________ (City, Village or Town)(State)(Zip Code) Mailing Address:_______________________________________________________________________________ (If different from domicile) Citizen of:_________________ Name:_____________________________________________________________________________________________________ Domicile or Principal Office:____________________________________________________________________________________ (Street and Number) __________________________________________________________________________________________________________ (City, Village or Town)(State)(Zip Code) Mailing Address:______________________________________________________________________________ (If different from domicile) Citizen of:_________________ Interest(s) of Petitioner(s): [Check one][ ] Successor Executor(s) named in decedent’s Will [ ] Other (Specify) __________________________ 1.(b)The proposed Successor Executor [ ] is [ ] is not an attorney. [Note: A sole Successor Executor-Attorney must comply with 22 NYCRR §207.16(e)] 1.(c)The proposed Successor Executor [ ] is [ ] is not the attorney-draftsperson, a then-affiliated attorney or employee thereof. [NOTE: An attorney-draftsperson, a then-affiliated attorney or employee thereof must comply with SCPA §2307-a] 2. The will of the above-named decedent was admitted to probate by the Surrogate’s Court of ___________________ County on ________________________ and Letters Testamentary were issued to ________________________________________ who on ______________________, [ ] died[ ] other (specify) _______________________________________________. [Note: If prior fiduciary is deceased, please provide court with certified copy of death certificate.] SLT-1 (04/2011) -1- 3.The names and addresses of all persons and parties interested in this proceeding having a right to successor letters testamentary prior or equal to the petitioner(s) are as follows: Name andDomicile Address andNature of Fiduciary Status Relationship Mailing Address 4. The names and addresses of all persons and parties who are named in the will as fiduciaries or beneficiaries, other than those named in paragraph 3 above, are as follows: Name andDomicile Address andDescription of Legacy, Devise Relationship Mailing Addressor Other Interest, or Nature of Fiduciary Status [Note: If any such person is under a disability state name and post office address of a person upon whom service of process may be made on behalf of such person.] 5. There are no persons other than those hereinbefore mentioned interested in this proceeding. 6.(a) To the best of the knowledge of the undersigned, the property of the estate that remains unadministered is as follows: Personal Property $_________________ Improved real property in New York State $____________________ Unimproved real property in New York State $___________________________________________________ Estimated gross rents for a period of 18 months $________________________________________________ (b) No other testamentary assets exist in New York State, nor does any cause of action exist on behalf of the estate, except as follows: [Enter “NONE” or specify] _________________________________________________________________________________________________ _________________________________________________________________________________________________ WHEREFORE, petitioner(s) pray(s): That Successor Letters Testamentary issue to ______________________________________________________ in the same manner as original letters, and that he/she/they be authorized to complete the administration of the estate of ____________________________________________________, deceased. Dated:____________________________ 1. ________________________________________2. __________________________________________ (Signature of Petitioner) (Signature of Petitioner) ________________________________________ __________________________________________ (Print Name) (Print Name) 3. ________________________________________ (Name of Corporate Petitioner) _________________________________________ (Signature of Officer) _________________________________________ (Print Name and Title of Officer) -2- COMBINED VERIFICATION, OATH AND DESIGNATION [For use when petitioner is an individual] STATE OF NEW YORK ) COUNTY OF ) ss.: The undersigned, the petitioner named in the foregoing petition, being duly sworn, says: 1.VERIFICATION: I have read the foregoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe them to be true. 2.OATH OF SUCCESSOR EXECUTOR as indicated above: I am over eighteen (18) years of age and a citizen of the United States and I will well, faithfully and honestly discharge the duties of Fiduciary of the goods, chattels and credits of said decedent according to law. I am not ineligible to receive letters and will duly account for all moneys and other property that will come into my hands. 3.DESIGNATION OF CLERK FOR SERVICE OF PROCESS:I hereby des ignate the Clerk of the Surrogate’s Court of __________________ County, and his/her successor in office, as a person on whom service of any process issuing from such Court may be made in like manner and with like effect as if it were served personally upon me, whenever I cannot be found and served within the State of New York after due diligence is used. My domicile is :_____________________________________________________________________________________ (Street Address)(City/Town/Village)(State)(Zip) ______________________________________ (Signature of Petitioner) ______________________________________ (Print Name) On____________________________________________________ , ________, before me personally appeared _________________________________________________________________________________________________, to me known to be the person described in and who executed the foregoing instrument. Such person duly swore to such instrument before me and duly acknowledged that he/she executed the same. ______________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Signature of Attorney:________________________________________________________________________________ Print Name:________________________________________________________________________________________ Firm Name:_____________________________________________________ Tel No. :____________________________ Address of Attorney:_________________________________________________________________________________ -3- COMBINED CORPORATE VERIFICATION, CONSENT AND DESIGNATION [For use when a petitioner to be appointed is a bank or trust company] STATE OF NEW YORK ) COUNTY OF ) ss.: I, the undersigned, a________________________________________________________________________ of (Title) _________________________________________________________________________________________________, (Name of Bank or Trust Company) a corporation duly qualified to act in a fiduciary capacity without further security, being duly sworn say: 1.VERIFICATION: I have read the foregoing petition subscribed by me and know the contents thereof, and the same is true of my own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters I believe them to be true. 2.CONSENT: I consent to accept the appointment as Successor Executor under the Last Will and Testament of the decedent described in the foregoing petition and consent to act as such fiduciary. 3.DESIGNATION OF CLERK FOR SERVICE OF PROCESS:I designate the Chief Clerk of the Surrogate’s Court of ___________________________ County, and his/her successor in office, as a person on whom service of any process issuing from such Surrogate’s Court may be made, in like manner and with like effect as if it were served personally upon me, whenever one of the fiduciary’s proper officers cannot be found and served within the State of New York after due diligence is used. _______________________________________ (Name of Bank or Trust Company) By________________________________________________________________________________________ (Signature)(Principal Office Street Address) __________________________________________________________________________________________ (Print Name and Title)(City/Town/Village)(State)(Zip) On _______________________ ,________ , before me personally appeared _____________________________, to me known, who duly swore to the foregoing instrument and who did say that he/she resides at ____________________ ________________________and that he/she is a _______________________________________________________ of ________________________________________, the corporation/national banking association described in and which executed such instrument; and that he/she signed his/her name thereto by order of the Board of Directors of the corporation. _____________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Signature of Attorney:_______________________________________________________________________________ Print Name:________________________________________________________________________________________ Firm Name:_____________________________________________________ Tel. No.:____________________________ Address of Attorney:_________________________________________________________________________________

Surrogate-P-14 PETITION FOR SUCCESSOR LETTERS TESTAMENTARY

-4- STATE OF NEW YORK SURROGATE’S COURT: COUNTY OF __________________ ___________________________________________________X In the Matter of the Petition for Successor Letters Testamentary in the Estate of RENUNCIATION OF SUCCESSOR LETTERS TESTAMENTARY AND WAIVER OF PROCESS (INDIVIDUAL) a/k/a File No._____________________________ Deceased. ___________________________________________________X The undersigned, _________________________________________________________________, a person interested in this estate as alternate executor, hereby personally appears in this proceeding in the Surrogate’s Court of _______________________ County and 1. Renounces all rights to Successor Letters Testamentary. 2. Waives the issuance and service of citation in the above-entitled proceeding. 3. Consents that Successor Letters Testamentary be granted by the Court to ________________________________ or any other person or persons entitled thereto without any notice whatsoever to the undersigned. _______________________________________________________________________________________________ DateSignatureStreet Address ____________________________________________________________________________________ Print NameCity/State/Zip STATE OF NEW YORK COUNTY OF ss.: On _____________________________________________________, _________, before me personally appeared ____________________________________________________________________________________________________, to me known to be the person described in and who executed the foregoing instrument. Such person duly swore to such instrument before me and duly acknowledged that he/she executed the same. ____________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Name of Attorney____________________________________________ Tel. No.:________________________________ Address of Attorney____________________________________________________________________________________ SLT-2 (04/2011)

Surrogate-P-15 RENUNCIATION OF SUCCESSOR LETTERS TESTAMENTARY AND WAIVER OF PROCESS (INDIVIDUAL)

STATE OF NEW YORK SURROGATE’S COURT: COUNTY OF __________________ ___________________________________________________X In the Matter of the Petition for Successor Letters Testamentary in the Estate of RENUNCIATION OF SUCCESSOR LETTERS TESTAMENTARY AND WAIVER OF PROCESS (CORPORATION) a/k/a File No._____________________________ Deceased. ___________________________________________________X The undersigned, _________________________________________________________________, a person interested in this estate as alternate executor, hereby personally appears in this proceeding in the Surrogate’s Court of _______________________ County and 1. Renounces all rights to Successor Letters Testamentary. 2. Waives the issuance and service of citation in the above-entitled proceeding. 3. Consents that Successor Letters Testamentary be granted by the Court to ________________________________ or any other person or persons entitled thereto without any notice whatsoever to the undersigned. ___________________________________________________________________________________________ (Signature)(Name of Corporation) __________________________________________________________________________________________ (Print Name)(Principal Office Street Address) _____________________________________________ (City/Town/Village)(State)(Zip) Date: _______________________________________ STATE OF NEW YORK COUNTY OF ss.: On _____________________________________________________, _________, before me personally appeared __________________________________________________________________________________, to me known, who duly swore to the foregoing instrument and who did say that he/she resides at ____________________________ and that he/she is a ________________________________ of _____________________________, the corporation/national banking association described in and which executed such instrument; and that he/she signed his/her name thereto by order of the Board of Directors of the corporation. ____________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Name of Attorney_____________________________________________ Tel. No.:_______________________________ Address of Attorney____________________________________________________________________________________ SLT-3 (04/2011)

Surrogate-P-16 RENUNCIATION OF SUCCESSOR LETTERS TESTAMENTARY AND WAIVER OF PROCESS (CORPORATION)

STATE OF NEW YORK SURROGATE’S COURT: COUNTY OF __________________ ___________________________________________________X In the Matter of the Petition for Successor Letters Testamentary in the Estate of NOTICE OF PETITION FOR APPOINTMENT OF SUCCESSOR EXECUTOR a/k/a File No. _____________________________ Deceased. ___________________________________________________X Notice is hereby given that: 1.The Will of the above-named decedent was admitted to probate by the Surrogate’s Court of _____________________ County on ___________________________, and Letters Testamentary were issued to ______________________________, who on _______________________, [ ] died [ ] other (specify)________________________________. 2.The name (s) of the Successor Executor (s) of said Will is/are _____________________________________________ ___________________________________________________________________________________________, whose address(es) is/are _________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ 3.The names and address of all persons and parties who are named in the will as fiduciaries or beneficiaries who have not appeared or have been served or waived service of process. NAMEMAILING ADDRESSNATURE OF INTEREST OR STATUS [Note: If serving infant 14 years of age or older, list and mail to infant as well as parent or guardian.] (USE ADDITIONAL SHEETS IF NECESSARY) Date: ___________________________, 20______ [Note: Notice of Petition for Appointment of Successor Executor may or may not be required in all counties. If Notice is required, complete Affidavit of Mailing.] Name of Attorney:______________________________________________ Tel. No.:_____________________________ Address of Attorney:_________________________________________________________________________________ SLT-4 (04/2011) -1- AFFIDAVIT OF MAILING NOTICE OF PETITION FOR APPOINTMENT OF SUCCESSOR EXECUTOR STATE OF NEW YORK ) ) ss.: COUNTY OF ) ____________________________________, residing at __________________________________________, being duly sworn, says that he/she is over the age of 18 years, that on the ____________________ day of _________________, 20______, he/she deposited in a post office box regularly maintained by the government of the United States in the _____________of ___________________________, State of New York, a copy of the foregoing Notice of Petition for Appointment of Successor Executor contained in a securely closed postpaid wrapper directed to each of the persons named in said Notice at the places set opposite their respective names. __________________________________ Sworn to before me this ____________Signature day of ___________________, 20______________________________________ Print Name ________________________________ Notary Public Commission Expires: (Affix Notary Stamp or Seal) Name of Attorney____________________________________________ Tel. No.:_______________________________ Address of Attorney_________________________________________________________________________________ -2- SUCCESSOR LETTERS TESTAMENTARYFile No. ___________________ SURROGATE’S COURT - _____________________ COUNTY CITATION THE PEOPLE OF THE STATE OF NEW YORK, By the Grace of God Free and Independent TO: A petition having been filed by _____________________________________________________________, who is domiciled at ________________________________________________________________________________________, YOU ARE HEREBY CITED TO SHOW CAUSE before the Surrogate’s Court, _______________________ County, at _______________________________, New York, on _________________________ 20______, at ________ o’clock in the ___________ noon of that day, why a decree should not be made in the estate of _________________________________ lately domiciled at __________________________________________________________________________, directing that [ ] Successor Letters Testamentary issue to _______________________________________________________. HON. ____________________________________________ Dated, Attested and Sealed,Surrogate __________________________, ____________________________________________________ (Seal)Chief Clerk _________________________________________________________________________________________________ Attorney for PetitionerTelephone Number _________________________________________________________________________________________________ Address of Attorney [NOTE: This citation is served upon you as required by law. You are not required to appear. If you fail to appear it will be assumed you do not object to the relief requested. You have a right to have an attorney appear for you.] SLT-5 (04/2011)

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