Form Au-331 - Controlling Interest Transfer Taxes Informational Return
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1Department of Revenue Services
Form AU-331
State of Connecticut
Received by DRS
PO Box 5031
Controlling Interest Transfer Taxes
Hartford CT 06106-5031
Informational Return
(Rev. 5/05)
Check if this is an amended return.
Read instructions below before completing this return.
Part I - Information concerning the entity in which controlling interest was transferred
1. Name
2. Federal Employer Identification Number
3. Address
4. Date controlling interest transferred
5. Interest transferred
Part II - Information concerning the transferor(s)
6. Name
7. Federal Employer Identification Number or Social Security Number
8. Address
Part III - Information concerning the transferee(s)
9. Name
10. Federal Employer Identification Number or Social Security Number
11. Address
Declaration: I declare under penalty of law that I have examined this return (including any accompanying schedules and statements) and, to the best of my
knowledge and belief, it is true, complete, and correct. I understand the penalty for willfully delivering a false return to DRS is a fine of not more than $5,000,
or imprisonment for not more than five years, or both. The declaration of a paid preparer other than the taxpayer is based on all information of which the
preparer has any knowledge.
Signature of Principal Officer
Title
Date
Sign Here
Print Name of Principal Officer
Telephone Number
Keep a copy
(
)
of this return
Paid Preparer’s Signature
Date
Preparer’s SSN or PTIN
for your
records
Firm Name and Address
FEIN
Instructions
Line 7. If a transferor is an individual, enter his or her Social
Form AU-331 must be filed by any entity in which a controlling interest
is transferred if the transfer is subject to the controlling interest transfer
Security Number. If a transferor is other than an
individual, enter its Federal Employer Identification
tax or taxes. For information on whether a transfer of a controlling
Number.
interest is subject to the controlling interest transfer tax or taxes, see
SN 2003(11), 2003 Legislation Affecting the Controlling Interest
Line 8. If the transferor is an individual, enter his or her home
Transfer Taxes. The transferor of a controlling interest is subject to
address.
the tax or taxes and must file Form AU-330, Controlling Interest Transfer
Taxes Return.
Line 9. Enter name of transferee. If more than one transferee,
attach a schedule providing the name, address, and
A controlling interest is more than 50 percent (50%) of the total
Federal Employer Identification Number of each
combined voting power of all classes of stock (in the case of a
transferee.
corporate entity) and more than 50 percent (50%) of the capital, profits,
or beneficial interest (in the case of a noncorporate entity, such as a
Line 10. If the transferee is an individual, enter his or her Social
partnership, limited liability company, or trust). A controlling interest
Security Number. If a transferee is other than an
may be transferred in one transfer or in a series of transfers.
individual, enter its Federal Employer Identification
Number.
Line 4. Enter the date on which the interest was transferred. This
return is due on or before the last day of the month following
Line 11. If the transferee is an individual, enter his or her home
the month in which the controlling interest was transferred.
address.
When the controlling interest is transferred in a series of
transfers, enter the date in which the interest transferred, in
Mail Form AU-331 to the address in the upper right hand corner.
the aggregate, is more than 50 percent (50%).
Line 6. Enter name of transferor. If more than one transferor, attach
a schedule providing the name, address, and Federal
Employer Identification Number of each transferor.
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