"Small Estate Application Forms" - North Carolina

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  1. North Carolina Small Estate Affidavit Form: What Is It?
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  4. How to File a Small Estate Affidavit in North Carolina?

North Carolina Small Estate Affidavit Form: What Is It?

A North Carolina Small Estate Affidavit Form permits an heir to collect a small estate.

Alternate Name:

  • Form AOC-E-203B.

This right is granted legally to individuals that can legally claim an estate after the owner of the small estate passes. By creating and filling in a North Carolina Small Estate Affidavit, the person ready to collect the estate will not have to go through the long waiting times when it comes to the probate process in court. This is the main advantage of the document.

It is worth noting that there are concrete laws surrounding small estate affidavit forms in every state. The laws in each state may be different, which is exactly why it is important to know them so that you can follow them closely. We have created a list of all important laws in North Carolina which can be seen below:

  • You can only file the document a minimum of thirty days after the death, no sooner;
  • The general maximal total value that can be counted for the estate will not exceed twenty thousand dollars unless you are the spouse of the deceased and there are no additional claimants. The total can be brought up to thirty thousand dollars;
  • There are additional fees concerning the filing of the document so be sure to check how much and what you need to pay for;
  • The signing requirements stipulate that each signature should be notarized individually.

A fillable North Carolina Small Estate Affidavit can be downloaded by clicking the link below.

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How to File a Small Estate Affidavit in North Carolina?

If you want to file a Small Estate Affidavit in North Carolina, you should know that the process is not complicated and not too time consuming.

We have put together the main points concerning what the filing process could look like:

  • You need to start by being certain that the minimal number of days (from the death) have passed by. In North Carolina this is a minimum of thirty days;
  • You should also seek confirmation with the probate court that no personal representatives are to be appointed;
  • Download the form and fill it in making sure you take into account the signing requirements. Collect all other necessary documents (a will if there is one) and submit all of the documents to the appropriate court when needed.

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Guidelines for Starting
Small Estate Application
[N.C.G.S. 29A-25-1; 28A-25-1.1]
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This Packet Contains the following forms: Affidavit for Collection of Personal Property of Decedent,
Instruction Sheet, Resident Process Agent, Affidavit of Collection Disbursement and Distribution, and the
Estate Tax Certification.
Fillable forms are available online at www.nccourts.org. Click “forms” and enter the form numbers below (forms begin with AOC-E-__).
NOTE: Additional forms may be required to begin the qualification process and will be determined based upon the circumstances.
READ FORMS CAREFULLY AS THEY CONTAIN INSTRUCTIONS AND INFORMATION NECESSARY IN THIS PROCESS.
Affidavit for Collection of Personal Property of the Decedent is available for the following situations…
To appoint a person to handle the estate when the total asset value in the deceased party’s name is $20,000 or less in gross value. [This
amount may differ depending on who is applying, as well as other factors]
NOTE: This application cannot be used when:
The net combined assets in the deceased person’s name exceeds $20,000 in value (see above)
When less than 30 days have passed since the time of the decedent’s death
NOTE: If the decedent’s real property is to be sold within 2 years from the date of death, small estate administration might
not be appropriate.
STEPS FOR Qualification…
1.
Fill out the Affidavit for Collection of Personal Property of Decedent (AOC-E-203B)
2.
All beneficiaries/heirs must be listed on the form with full names and addresses
3.
If you are not a North Carolina resident, please fill out the Resident Process Agent form (AOC-E-500) appointing a
resident process agent to provide a North Carolina point of contact for Court service. The appointed agent must sign
the form in front of a notary.
4.
The Court Fee to start the process is $120 (Acceptable Forms: cash, certified check, or money order)
5.
Completion of the Estate Tax Certification form (AOC-E-212)
6.
Original Will (if one exists-the Will must be probated)
7.
Death Certificate
8.
Affidavit of Collection Disbursement and Distribution is the final affidavit you must file when you close the estate.
EXPLANATION OF TERMS:
Decedent: The individual who passed away.
•
Applicant or Affiant: Someone who is applying for the position of collector by affidavit.
•
Intestate: The decedent died without leaving a will.
•
Testate: The decedent died leaving a Last Will & Testament.
•
Estate Tax Certification: Documentation as to whether or not estate or inheritance taxes are due.
•
Beneficiary/Heir: A person who inherits or is entitled by law or by the terms of the Will to inherit the estate of another.
•
Resident Process Agent: The North Carolina resident selected by the out-of-state applicant to accept mail and other service of process
•
regarding estate matters.
Completed filings should be submitted to the Clerk of Court of Mecklenburg County
th
Estates Division – Suite 3720, Mecklenburg County Courthouse – 832 E. 4
Street, Charlotte NC 28202
To file via mail: Mecklenburg County Clerk of Superior Court, Attn Estates, PO Box 37971, Charlotte NC 28237
Estates Phone Number: 704-686-0460
Guidelines for Starting
Small Estate Application
[N.C.G.S. 29A-25-1; 28A-25-1.1]
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This Packet Contains the following forms: Affidavit for Collection of Personal Property of Decedent,
Instruction Sheet, Resident Process Agent, Affidavit of Collection Disbursement and Distribution, and the
Estate Tax Certification.
Fillable forms are available online at www.nccourts.org. Click “forms” and enter the form numbers below (forms begin with AOC-E-__).
NOTE: Additional forms may be required to begin the qualification process and will be determined based upon the circumstances.
READ FORMS CAREFULLY AS THEY CONTAIN INSTRUCTIONS AND INFORMATION NECESSARY IN THIS PROCESS.
Affidavit for Collection of Personal Property of the Decedent is available for the following situations…
To appoint a person to handle the estate when the total asset value in the deceased party’s name is $20,000 or less in gross value. [This
amount may differ depending on who is applying, as well as other factors]
NOTE: This application cannot be used when:
The net combined assets in the deceased person’s name exceeds $20,000 in value (see above)
When less than 30 days have passed since the time of the decedent’s death
NOTE: If the decedent’s real property is to be sold within 2 years from the date of death, small estate administration might
not be appropriate.
STEPS FOR Qualification…
1.
Fill out the Affidavit for Collection of Personal Property of Decedent (AOC-E-203B)
2.
All beneficiaries/heirs must be listed on the form with full names and addresses
3.
If you are not a North Carolina resident, please fill out the Resident Process Agent form (AOC-E-500) appointing a
resident process agent to provide a North Carolina point of contact for Court service. The appointed agent must sign
the form in front of a notary.
4.
The Court Fee to start the process is $120 (Acceptable Forms: cash, certified check, or money order)
5.
Completion of the Estate Tax Certification form (AOC-E-212)
6.
Original Will (if one exists-the Will must be probated)
7.
Death Certificate
8.
Affidavit of Collection Disbursement and Distribution is the final affidavit you must file when you close the estate.
EXPLANATION OF TERMS:
Decedent: The individual who passed away.
•
Applicant or Affiant: Someone who is applying for the position of collector by affidavit.
•
Intestate: The decedent died without leaving a will.
•
Testate: The decedent died leaving a Last Will & Testament.
•
Estate Tax Certification: Documentation as to whether or not estate or inheritance taxes are due.
•
Beneficiary/Heir: A person who inherits or is entitled by law or by the terms of the Will to inherit the estate of another.
•
Resident Process Agent: The North Carolina resident selected by the out-of-state applicant to accept mail and other service of process
•
regarding estate matters.
Completed filings should be submitted to the Clerk of Court of Mecklenburg County
th
Estates Division – Suite 3720, Mecklenburg County Courthouse – 832 E. 4
Street, Charlotte NC 28202
To file via mail: Mecklenburg County Clerk of Superior Court, Attn Estates, PO Box 37971, Charlotte NC 28237
Estates Phone Number: 704-686-0460
File No.
(TYPE OR PRINT IN BLACK INK)
STATE OF NORTH CAROLINA
In The General Court Of Justice
Superior Court Division
County
Before The Clerk
IN THE MATTER OF THE ESTATE OF:
AFFIDAVIT FOR COLLECTION OF
Name, Street Address, City, State And Zip Code Of Decedent
PERSONAL PROPERTY OF DECEDENT
(For Decedents Dying On Or After Jan. 1, 2012)
INTESTATE
TESTATE
Social Security No. (Last Four Digits)
County Of Domicile At Time Of Death
G.S. 28A-25-1; 28A-25-1.1
Date Of Death
Date Of Will
Place Of Death (If Different From County Of Domicile)
Name, Street Address, PO Box, City, State And Zip Code Of Affiant 1
Name, Street Address, PO Box, City, State And Zip Code Of Affiant 2
Telephone No.
Telephone No.
Legal Residence (County, State)
Legal Residence (County, State)
Attorney Bar No.
Name, Street Address, PO Box, City, State And Zip Code Of Attorney
Telephone No.
I, the undersigned affiant, being first duly sworn, say that:
1.
I am
an heir.
an executor named in the will.
a devisee named in the will.
the public administrator
a creditor of the decedent. I am not disqualified under G.S. 28A-4-2.
2.
At least thirty (30) days have passed since the date of the decedent's death.
3.
The decedent died
intestate.
testate.
(a)
The decedent died on or after 10/1/09 and the value of all personal property owned by the decedent less liens and
4.
emcumbrances thereon, and less the spousal allowance under G.S. 30-15,
does not exceed $20,000.
(b)
I am the surviving spouse and sole heir devisee of the decedent, the decedent died on or after 10/1/09, and the value of
all personal property, less liens and encumbrances thereon, and less the spousal allowance under G.S. 30-15, does
not exceed $30,000.
5.
Decedent's will dated as shown above has been probated in each county in which is located any
(Check if decedent died testate.)
real property owned by the decedent as of the date of death; and a certified copy of the decedent's will is attached to this
Affidavit.
6.
No application or petition for appointment of a personal representative is pending or has been granted in any jurisdiction.
7.
After diligent inquiry, I have determined that the persons listed below are all the persons entitled to share in the decedent's
estate. (
If there is a court-appointed guardian for any such person(s), list the guardian's name and address on an attachment.)
NAME
AGE
RELATIONSHIP
MAILING ADDRESS
Original - File
Copy - Fiduciary
Copy - Clerk Mails Copy To Each Person Listed In Item No. 7
(Over)
AOC-E-203B, Rev. 5/12
© 2012 Administrative Office of the Courts
PRELIMINARY INVENTORY
(Give values as of date of decedent's death. Continue on separate attachment if necessary.)
PART I. PROPERTY OF THE ESTATE
Est. Market Value
1.
Accounts in sole name of decedent
(List bank, etc., each account no. and balance.)
$
2.
Joint accounts without right of survivorship
(List bank, etc., each account no., balance and joint owners.)
% Owned By Dec.
% Owned By Dec.
% Owned By Dec.
% Owned By Dec.
3.
Stocks/bonds/securities in sole name of decedent or jointly owned without
% Owned By Dec.
right of survivorship.............................................................................................
4.
Cash and undeposited checks on hand.........................................................................................................
5.
Household furnishings....................................................................................................................................
6.
Farm products, livestock, equipment and tools..............................................................................................
7.
Vehicles (include or attach descriptions)
8.
Interest in partnership or sole proprietor businesses......................................................................................
9.
Insurance, Retirement Plan, I.R.A., etc., payable to Estate...........................................................................
10.
Notes, judgments, and other debts due decedent..........................................................................................
11.
Miscellaneous personal property....................................................................................................................
12.
Real estate willed to the Estate....................................................................
$
13.
Estimated annual income of Estate................................................................................................................
TOTAL PART I.
$
(Base bond on this amount, if applicable.)
PART II. PROPERTY WHICH CAN BE ADDED TO ESTATE IF NEEDED TO PAY CLAIMS
1.
Joint accounts with right of survivorship
(List bank, etc., each account no., balance and joint owners.)
$
2.
Stocks/bonds/securities registered in beneficiary form and immediately transferred on death or jointly
owned with right of survivorship .....................................................................................................................
3.
Other personal property recoverable G.S. 28A-15-10 ...................................................................................
4.
Real estate owned by decedent and not listed elsewhere
.................................................
(attach description)
TOTAL PART II.
$
PART III. OTHER PROPERTY
There
is
is not entireties real estate owned by decedent and spouse ..........................................
1.
2.
There
are
are not Insurance, Retirement Plan, I.R.A., accounts, etc., payable to named
beneficiaries....................................................................................................................................................
Signature Of Collector By Affidavit 1
Signature Of Collector By Affidavit 2
Name (Type Or Print)
Name (Type Or Print)
SWORN/AFFIRMED AND SUBSCRIBED TO BEFORE ME
SWORN/AFFIRMED AND SUBSCRIBED TO BEFORE ME
Date
Signature Of Person Authorized To Administer Oaths
Date
Signature Of Person Authorized To Administer Oaths
Deputy CSC
Assistant CSC
Clerk Of Superior Court
Deputy CSC
Assistant CSC
Clerk Of Superior Court
Date Commission Expires
Date Commission Expires
Notary
Notary
County Where Notarized
County Where Notarized
SEAL
SEAL
CERTIFICATION
I certify that the foregoing is a true and accurate copy as taken from and compared with the original on record in this office.
Date
Signature
SEAL
Deputy CSC
Assistant CSC
Clerk Of Superior Court
NOTE:
This Affidavit for Collection of Personal Property of Decedent authorizes the named collector by affidavit to receive and administer ALL of the personal property
belonging to the named decedent pursuant to G.S. Chapter 28A, Article 25.
AOC-E-203B, Side Two, Rev. 5/12
© 2012 Administrative Office of the Courts
INSTRUCTIONS FOR PRELIMINARY INVENTORY
ON SIDE TWO OF AFFIDAVIT FOR COLLECTION OF PERSONAL PROPERTY OF DECEDENT,
FORMS AOC-E-203A and AOC-E-203B, Rev. 1/12
THE CLERK IS THE JUDGE OF PROBATE AND CANNOT PRACTICE LAW OR GIVE LEGAL ADVICE.
ACCORDINGLY, THE CLERK'S STAFF CANNOT HELP YOU FILL OUT THIS FORM. PARTS OF THIS FORM ARE
SELF-EXPLANATORY. HOWEVER, FOR ANY NECESSARY ASSISTANCE, YOU SHOULD CONSULT AN ATTORNEY.
Affidavit For Collection Of Personal Property Of Decedent, Forms AOC-E-203A and AOC-E-203B, Rev. 1/12
Whether or not the decedent left a will, and regardless of the value of any real property owned by the decedent, if 1) the value of the decedent's personal
property, less liens and encumbrances (and less the spousal allowance under G.S. 30-15
for a decedent dying on or after 1/1/12), does not exceed
$20,000 ($30,000 if the surviving spouse is the
sole heir or devisee of the decedent), and 2) at least 30 days have passed since the date of death without
anyone qualifying as personal representative, the
estate may be administered by affidavit as a small estate pursuant to G.S. 28A-25-1 and
G.S. 28A-25-1.1. An executor named in the will, an heir,
devisee or creditor of the estate, with the approval of the Clerk of Superior Court, may file
the necessary affidavit using this form, and thereby qualify
as collector by affidavit of the estate. Side Two of the form contains a preliminary listing of
the assets of the estate. This part of the form is intended
as a preliminary report to the clerk, heirs and creditors of the nature and probable value of the
property, real and personal, wherever located, owned by
the decedent as of the date of death.
General Instructions:
black ink.
Type or print neatly in
All values reported should be the fair market value of the item as of the date of death. If there is not sufficient space on this form, continue on a
separate attachment.
Except where instructed to itemize, you should report in a lump sum the estimated total value of all property in each category. A complete itemization
and valuation of decedent's property must be listed on the final Affidavit Of Collection, Disbursement and Distribution form (AOC-E-204) and filed
with the clerk within three months after the filing of the initial affidavit (AOC-E-203A and AOC-E-203B).
"Account" includes accounts in banks, savings and loans and other financial institutions, including money market accounts with brokerage
houses or similar institutions.
"Joint Account With Right Of Survivorship" is an account in the name of two or more persons in which the deposit agreement (1) is signed by
all parties and (2) expressly provides that, upon the death of one of the joint depositors, the interest of the decedent passes to the survivor(s).
Any joint account which is not "with right of survivorship" is a joint account without right of survivorship.
"Stocks Or Bonds With Right Of Survivorship" are securities in which the certificate clearly states that upon the death of one of the joint
owners the interest of the decedent passes to the survivor(s). Any jointly owned security which is not owned "with right of survivorship," is
owned without right of survivorship.
"Securities Registered In Beneficiary Form" means stocks, bonds, or other securities officially registered with the issuer of the security
indicating the current owner of the security and the person who will automatically become the new owner of the security upon the death of the
owner." (See G.S. 41-40 et. seq.)
PART I. PROPERTY OF THE ESTATE
1.
Deposits In Sole Name Of Decedent - For each account, list the name of the institution, the account number and the balance on the date of death.
2.
Joint Accounts Without Right Of Survivorship - For each account, list the name of the institution, the account number, and the name(s) of the
other joint owner(s). If the percentage owned by the decedent can be determined, report that percentage and the value of that percentage. If the
percentage owned by the decedent is unclear, report the percentage as 100%, and list the total amount on deposit on the date of death. A copy of
the signature card or depository contract should be attached either to this form or the final Affidavit Of Collection, Disbursement And
Distribution (AOC-E-204).
3.
Stocks And Bonds In Sole Name Of Decedent Or Jointly Owned Without Right Of Survivorship - If the percentage owned by the decedent can
be determined, report that percentage and the value, in a lump sum, of that percentage. If the percentage owned is unclear, report the percentage
as 100%, and list the total value, in a lump sum, of all such stocks and bonds. A detailed itemization of these assets must be reported in the final
Affidavit Of Collection, Disbursement And Distribution (AOC-E-204).
4.
through 7. These categories should be self-explanatory.
8.
Interest in Partnership Or Sole Proprietor Businesses - Report all solely owned business interest and all partnerships in which the decedent was a
general or limited partner. List the name of the business or partnership, the names of the surviving partners, the decedent's percentage interest in
that partnership, and the value of that partnership interest or business.
9.
through 11. These categories should be self-explanatory.
AOC-E-203 Instructions, Rev. 1/12
(Over)
© 2012 Administrative Office of the Courts
12.
Real Estate Willed To The Estate - (NOTE: (a) Real property willed to any person or entity other than the estate must be reported in Part II,
Item 5. (b) If any real estate has been willed to the estate, a personal representative must be appointed.) Indicate only real estate which the
decedent devised (willed) to his or her estate or to his or her executor in the capacity as executor (not as an individual). Usually, such a devise is
accompanied by a direction to sell the real estate and distribute the proceeds as specified in the will. A listing of all such properties, together
with an identification or legal description of each parcel or tract should be reported here, using fair market value as of the date of death.
13.
Estimated Annual Income Of The Estate - Income of the estate includes, for example, interest on checking and other accounts opened in the
name of the estate, dividends and interest on stocks and bonds owned in the name of the estate, and other income to the estate. Income of the
estate does not include interest on accounts, or dividends or interest on stocks or bonds, which pass directly to a surviving joint owner.
PART II. PROPERTY WHICH CAN BE ADDED TO ESTATE IF NEEDED TO PAY CLAIMS
This part of the form is used to list certain kinds of property which the decedent owned or in which the decedent had an interest during his or her life
time, which are not ordinarily part of the estate, but which may be recovered by the personal representative if the assets of the estate are not sufficient
to pay all the debts of the decedent and claims against the estate.
1.
Joint Accounts With Right Of Survivorship Under G.S.41-2.1 - List all joint accounts with right of survivorship. For each account, list the name
of the financial institution, the account number, the names of the other joint owners, and the total balance on the date of death. Attach a copy of
the signature card or depository contract of each such account to the form or to your final Affidavit Of Collection, Disbursement And Distribution
(AOC-E-204).
2.
Stocks/Bonds/Securities Registered In Beneficiary Form Or Jointly Owned With Right Of Survivorship. - A lump sum total of the value of all
such stocks or bonds should be reported here. A detailed itemization of these assets must be reported in the final Affidavit Of Collection,
Disbursement And Distribution (AOC-E-204). It also includes securities registered in beneficiary form and immediately transferrable on death.
3.
Other Personal Property Recoverable Under G.S. 28A-15-10 - This category includes accounts which are called "Trustee Accounts" in the
signature card or deposit agreement or in which the decedent otherwise established a "Tentative" or "Totten" trust; securities registered in
beneficiary form and automatically transferred on death; property which the decedent gave to someone in contemplation of his or her own death;
and property transferred by the decedent, without receiving adequate consideration, with the intent to hinder, delay or defraud his or her creditors.
If you believe there may be any property which falls into this category, you may wish to consult an attorney.
4.
Real Estate Owned By The Decedent And Not Listed Elsewhere - (NOTE: Real estate owned by the decedent and spouse as tenants by the
entireties should be reported in Part III. Do not report real estate in which the decedent had an interest only for his or her lifetime.) A detailed
listing of all other interests in real estate owned by the decedent together with an identification or legal description of each parcel or tract should
be reported here using fair market value as of the date of death.
PART III. OTHER PROPERTY
This part of the form is used to list certain property, rights and claims which are not administered by the collector by affidavit as part of the decedent's
estate and which the collector cannot generally recover to pay debts of the decedent or claims against the estate. However, this property may be
included in the value of the "estate" for state or federal estate tax purposes, or which are listed for the information of heirs and others to whom the
property may pass.
1.
Entireties Real Estate - Indicate whether or not there is real estate jointly owned by the decedent and his or her surviving spouse as tenants by the
entireties.
2.
Insurance, Retirement Plan, IRA, Etc., Payable To Persons Other Than the Estate - This category includes all life insurance proceeds, death
benefits under pension and retirement plans, and the balance remaining in IRA, 401(k) and other similar accounts which, at the death of the
decedent, pass to a beneficiary other than the estate.
SIGNATURE - All applicants must sign. The signature of each must be separately notarized before a notary public or acknowledged before
the clerk, assistant, or deputy.
AOC-E-203 Instructions, Side Two, Rev. 1/12
© 2012 Administrative Office of the Courts
North Carolina Court System North Carolina Legal Forms United States Legal Forms

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