Certification of Trust

CERTIFICATION OF TRUST

(Pursuant to Indiana Code § 30-4-4-5)

TABLE OF CONTENTS

1. Purpose and Statutory Authority
2. Trust Identification and Existence
3. Settlor Information
4. Currently Acting Trustee Information
5. Trust Revocability and Power to Revoke
6. Co-Trustee Authority and Signature Requirements
7. Trustee Powers and Authority
8. Trust Property and Title
9. Amendments, Modifications, and Restatements
10. Dispositive Terms Disclosure
11. Mandatory Representations and Certifications
12. Third-Party Reliance Provisions
13. Indiana-Specific Statutory Provisions
14. Execution Block
15. Optional Notarization

1. PURPOSE AND STATUTORY AUTHORITY

// GUIDANCE: Indiana's certification of trust statute is found in IC 30-4-4-5, which is part of Indiana's Trust Code (IC 30-4). Unlike Tennessee and some other states, Indiana does not expressly require notarization by statute. However, notarization is strongly recommended for real property transactions and institutional requirements.

This Certification of Trust (this "Certification") is furnished pursuant to Indiana Code § 30-4-4-5, which authorizes a trustee to furnish a certification of trust to a person other than a beneficiary in lieu of providing a copy of the trust instrument. The purpose of this Certification is to establish the existence of the trust, the identity and authority of the Trustee(s), and such other information as may be required by third parties to engage in transactions with the Trust.

This Certification is executed in accordance with the Indiana Trust Code, Indiana Code § 30-4-1-1 et seq., and is intended to be relied upon by any person or entity with which the Trustee(s) seek to transact business on behalf of the Trust.

2. TRUST IDENTIFICATION AND EXISTENCE

// GUIDANCE: IC 30-4-4-5 requires that the certification state that the trust exists and the date the trust instrument was executed. Provide exact details.

The undersigned Trustee(s) hereby certify that the following trust currently exists and is in full force and effect:

Full Legal Name of Trust: [________________________________]

Date of Trust Instrument Execution: [__/__/____]

Type of Trust Instrument:

☐ Inter Vivos (Living) Trust Agreement
☐ Irrevocable Trust Agreement
☐ Declaration of Trust
☐ Testamentary Trust established under Last Will and Testament dated [__/__/____]
☐ Special Needs Trust
☐ Supplemental Needs Trust
☐ Other: [________________________________]

Federal Tax Identification Number (EIN/TIN): [________________________________]

// GUIDANCE: For revocable trusts where the Settlor is the Trustee, the Settlor's SSN is typically used. For irrevocable trusts, a separate EIN is required. Exercise caution in disclosing SSNs; use the EIN where available.

State of Organization/Situs: Indiana

County of Primary Administration: [________________________________]

Governing Law: This Trust is governed by the laws of the State of Indiana, including the Indiana Trust Code, Ind. Code § 30-4-1-1 et seq.

3. SETTLOR INFORMATION

// GUIDANCE: IC 30-4-4-5 requires identification of the settlor. Include all settlors for jointly created trusts.

Settlor(s) of the Trust:

Primary Settlor:

Full Legal Name: [________________________________]

Address: [________________________________]

City: [________________________________] State: [____] Zip: [__________]

☐ Living ☐ Deceased (Date of Death: [__/__/____])

Co-Settlor (if applicable):

Full Legal Name: [________________________________]

Address: [________________________________]

City: [________________________________] State: [____] Zip: [__________]

☐ Living ☐ Deceased (Date of Death: [__/__/____])

4. CURRENTLY ACTING TRUSTEE INFORMATION

// GUIDANCE: IC 30-4-4-5 requires identification and address of the currently acting trustee. Include all currently serving trustees.

The following individual(s) and/or entity(ies) are the currently acting Trustee(s) of the Trust, duly appointed and serving in accordance with the terms of the trust instrument:

Trustee 1:

Full Legal Name: [________________________________]

☐ Individual ☐ Corporate Trustee ☐ Institutional Trustee

Address: [________________________________]

City: [________________________________] State: [____] Zip: [__________]

Telephone: [________________________________]

Date Trustee Began Serving: [__/__/____]

Capacity: ☐ Original Trustee ☐ Successor Trustee ☐ Appointed Trustee

Trustee 2 (if applicable):

Full Legal Name: [________________________________]

☐ Individual ☐ Corporate Trustee ☐ Institutional Trustee

Address: [________________________________]

City: [________________________________] State: [____] Zip: [__________]

Telephone: [________________________________]

Date Trustee Began Serving: [__/__/____]

Capacity: ☐ Original Trustee ☐ Successor Trustee ☐ Appointed Trustee

5. TRUST REVOCABILITY AND POWER TO REVOKE

// GUIDANCE: IC 30-4-4-5 requires disclosure of the revocability or irrevocability of the trust AND the identity of any person holding a power to revoke.

A. Revocability Status:

☐ The Trust is REVOCABLE and may be amended, modified, or revoked in accordance with its terms.

☐ The Trust is IRREVOCABLE and may not be revoked.

☐ The Trust contains both revocable and irrevocable provisions (explain): [________________________________]

B. Persons Holding Power to Revoke:

☐ Not applicable — the Trust is irrevocable.

☐ The following person(s) hold the power to revoke the Trust, in whole or in part:

// GUIDANCE: Common holders of the revocation power include the Settlor, a surviving Settlor, or a designated trust protector. Specify whether the power is to revoke the entire trust or only certain provisions.

6. CO-TRUSTEE AUTHORITY AND SIGNATURE REQUIREMENTS

// GUIDANCE: IC 30-4-4-5 requires disclosure of whether all or less than all co-trustees are required to exercise the powers of the trustee.

☐ This section is not applicable — the Trust has a sole Trustee.

☐ The Trust has multiple co-Trustees. The following signature and authority requirements apply:

Signature Authority:

☐ ALL co-Trustees must jointly sign or authenticate to exercise the powers of the Trustee.

☐ A MAJORITY of co-Trustees may exercise the powers of the Trustee.

☐ ANY SINGLE co-Trustee may independently exercise the powers of the Trustee.

☐ The following specific co-Trustee(s) have independent authority: [________________________________]

☐ Other provisions regarding co-Trustee authority: [________________________________]

Delegation Among Co-Trustees:

☐ The trust instrument permits delegation of authority among co-Trustees.
☐ The trust instrument does not permit delegation among co-Trustees.
☐ Delegation is permitted only as follows: [________________________________]

7. TRUSTEE POWERS AND AUTHORITY

// GUIDANCE: Indiana law requires disclosure of the trustee's powers relevant to the pending transaction. Under IC 30-4-3-3, a trustee has broad statutory powers. Customize the powers listed below to reflect the trust instrument and the transaction at hand.

The Trustee(s) have been granted the following powers under the terms of the trust instrument and applicable Indiana law, including but not limited to Indiana Code § 30-4-3-3:

A. Real Estate Powers:

☐ To purchase, sell, exchange, lease, and manage real property
☐ To execute deeds, mortgages, deeds of trust, and other instruments affecting title
☐ To subdivide, develop, improve, raze, or otherwise alter real property
☐ To grant or acquire easements, covenants, and restrictions
☐ To borrow against and encumber real property held in trust

B. Financial Powers:

☐ To open, maintain, and close accounts at financial institutions
☐ To invest and reinvest in all forms of property, securities, and investments
☐ To collect income, dividends, interest, and proceeds
☐ To borrow money and pledge trust assets as security
☐ To engage in margin transactions and options trading

C. Business and Entity Powers:

☐ To organize, operate, and dissolve business entities
☐ To hold and exercise rights as a shareholder, member, or partner
☐ To enter into, modify, and terminate contracts
☐ To employ agents, advisors, attorneys, and other professionals

D. Tax and Administrative Powers:

☐ To file tax returns and make tax elections on behalf of the Trust
☐ To pay all debts, taxes, charges, and expenses of trust administration
☐ To distribute income and principal to or for the benefit of beneficiaries
☐ To make elections under Indiana or federal tax law
☐ To exercise all powers conferred by Indiana Code § 30-4-3-3

E. Litigation Powers:

☐ To commence, defend, compromise, or settle claims and litigation
☐ To submit matters to alternative dispute resolution
☐ To retain counsel and authorize legal proceedings

8. TRUST PROPERTY AND TITLE

Manner of Holding Title:

Title to trust property should be held and taken as follows:

[________________________________], as Trustee of the [________________________________], dated [__/__/____]

// GUIDANCE: Indiana practice typically uses the format: "John Q. Smith, as Trustee of the Smith Family Trust, dated January 1, 2020" or similar. For co-trustees: "John Q. Smith and Jane A. Smith, as Co-Trustees of the Smith Family Trust, U/A dated January 1, 2020."

Property Subject to Current Transaction (if applicable):

☐ Real property located at: [________________________________]

County: [________________________________] State: Indiana

Legal Description (or attached as Exhibit A): [________________________________]

Parcel Number: [________________________________]

☐ Bank or financial account(s) at: [________________________________]

Account Number(s): [________________________________]

☐ Securities or investment account(s): [________________________________]

☐ Motor vehicle(s): [________________________________]

☐ Other property: [________________________________]

9. AMENDMENTS, MODIFICATIONS, AND RESTATEMENTS

☐ The trust instrument has NOT been amended, modified, or restated since its original execution.

☐ The trust instrument has been amended, modified, or restated as follows:

// GUIDANCE: Ensure all amendments are accounted for and that none of the amendments affect the accuracy of the representations in this Certification.

10. DISPOSITIVE TERMS DISCLOSURE

// GUIDANCE: Indiana is notable in that IC 30-4-4-5 provides that a certification of trust MAY contain the dispositive terms of a trust. This is permissive, not mandatory. Most other UTC states provide only that the certification need not contain dispositive terms. The Trustee should carefully consider whether to include dispositive terms based on the needs of the transaction.

☐ This Certification does NOT contain the dispositive terms of the Trust. Pursuant to IC 30-4-4-5, a certification of trust is not required to contain such terms.

☐ This Certification includes selected dispositive provisions as follows:

[________________________________]

[________________________________]

[________________________________]

11. MANDATORY REPRESENTATIONS AND CERTIFICATIONS

// GUIDANCE: IC 30-4-4-5 requires a mandatory statement that the trust has not been revoked, modified, or amended in a manner that would make the certification incorrect. This is a critical statutory requirement.

The undersigned Trustee(s), pursuant to Indiana Code § 30-4-4-5, do hereby represent, certify, and declare under the penalties of perjury as follows:

A. The Trust identified in Section 2 of this Certification currently exists, has been validly established, and is in full force and effect.

B. The trust instrument was executed on the date set forth in Section 2 of this Certification.

C. The undersigned is/are the duly appointed, qualified, and currently acting Trustee(s) of the Trust, authorized to act on behalf of the Trust and to execute this Certification.

D. The Trust has not been revoked, modified, or amended in any manner that would cause the representations contained in this Certification of Trust to be incorrect.

E. The powers of the Trustee(s) as set forth in Section 7 of this Certification accurately reflect the powers granted under the trust instrument and applicable law.

F. All information provided in this Certification is true, correct, and complete to the best of the Trustee's knowledge, information, and belief.

G. The Trustee(s) have the legal authority and capacity to engage in the transaction for which this Certification is being presented.

12. THIRD-PARTY RELIANCE PROVISIONS

// GUIDANCE: These provisions are derived directly from IC 30-4-4-5 and provide important protections to third parties relying on this Certification.

Pursuant to Indiana Code § 30-4-4-5:

A. A person who acts in reliance upon this Certification of Trust without knowledge that the representations contained herein are incorrect is not liable to any person for so acting and may assume without inquiry the existence of the facts contained in this Certification.

B. A person who in good faith enters into a transaction in reliance upon this Certification of Trust may enforce the transaction against the trust property as if the representations contained in this Certification were correct.

C. A person is not required to investigate the terms or validity of the Trust beyond the representations contained in this Certification to receive the protections afforded by Indiana Code § 30-4-4-5.

D. Knowledge of the terms of the Trust may not be inferred solely from the fact that a copy of all or part of the trust instrument is held by the person relying upon this Certification.

13. INDIANA-SPECIFIC STATUTORY PROVISIONS

// GUIDANCE: The following provisions highlight Indiana-specific requirements and considerations.

A. Governing Statute: This Certification is governed by Indiana Code § 30-4-4-5, which is part of Indiana's Trust Code (IC 30-4). Indiana has not adopted the Uniform Trust Code but maintains its own comprehensive trust statute.

B. Trustee Liability: Under Indiana law, a trustee who provides a certification of trust that contains materially incorrect statements may be liable for damages sustained by persons who rely on the Certification in good faith. See IC 30-4-4-5.

C. No Mandatory Notarization: Indiana Code § 30-4-4-5 does not expressly require notarization of a certification of trust. However, notarization is recommended for transactions involving real property, as Indiana recording statutes generally require acknowledged instruments.

D. Third-Party Demand Limitations: Under IC 30-4-4-5, a person who demands the complete trust instrument in addition to a certification of trust, when the certification provides the information the person reasonably needs, may be liable for damages, costs, and reasonable attorney's fees if a court determines the demand was not made in good faith.

E. Indiana Trustee Powers: In addition to powers granted in the trust instrument, Indiana trustees have statutory powers under IC 30-4-3-3. This Certification may reference both express trust powers and applicable statutory powers.

F. Recording: If this Certification relates to Indiana real property, it should be recorded in the office of the Recorder of the county where the property is located.

14. EXECUTION BLOCK

IN WITNESS WHEREOF, the undersigned Trustee(s), being the duly appointed and currently acting Trustee(s) of the Trust identified herein, do hereby execute this Certification of Trust as of the date set forth below, pursuant to Indiana Code § 30-4-4-5.

Date of Execution: [__/__/____]

TRUSTEE SIGNATURE(S):

Trustee 1:

Signature: ________________________________________

Printed Name: [________________________________]

Date: [__/__/____]

Trustee 2 (if applicable):

Signature: ________________________________________

Printed Name: [________________________________]

Date: [__/__/____]

15. OPTIONAL NOTARIZATION

// GUIDANCE: While Indiana does not require notarization of a certification of trust by statute, notarization is strongly recommended, especially for real property transactions and interactions with financial institutions.

STATE OF INDIANA

COUNTY OF [________________________________]

Before me, a Notary Public in and for said County and State, on this [______] day of [________________], [________], personally appeared [________________________________], known to me (or proven to me on the basis of satisfactory evidence) to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies) as Trustee(s) of the Trust identified herein, and that by his/her/their signature(s) on the instrument the person(s) executed the instrument.

WITNESS my hand and official seal.

Signature of Notary Public: ________________________________________

Printed Name of Notary: [________________________________]

County of Residence: [________________________________]

My Commission Expires: [__/__/____]

Commission Number: [________________________________]

[NOTARY SEAL]

ATTACHMENTS

☐ No attachments are included with this Certification.

☐ The following attachments are included:

☐ Excerpt(s) from the trust instrument regarding Trustee powers
☐ Copy of the Trust's EIN assignment letter (IRS Form SS-4 or CP 575)
☐ Copy of Trustee identification
☐ Exhibit A — Legal Description of Real Property
☐ Other: [________________________________]

This Certification of Trust is made pursuant to Indiana Code § 30-4-4-5 and is intended to be relied upon by third parties in connection with transactions involving the Trust. Unless otherwise stated, this Certification does not contain the dispositive provisions of the Trust.

PREPARED BY:

Name: [________________________________]

Address: [________________________________]

City: [________________________________] State: [____] Zip: [__________]

Indiana Attorney Number (if applicable): [________________________________]