Accessing the Report

From the Trustee Suite Main Menu toolbar, select ‘Reports’, click on the ‘UST Forms’ tab and select ‘Form 4’ from the Print Reports screen to invoke the Parameters for Form 4 screen (shown below).

Generating the Report

From the Parameters for Form 4 screen, populate the following fields:

• Date Submitted:  Enter the date the form was submitted.
• Trustee:  Select the Trustee number or ‘-All-‘.
• Case:  Select the Case number via the drop-down box.
• Date From:  By default, the current date range displays as 01/01/1900 to current date.  This date range can be changed to generate a Form 4 specific to a date range.  This option was added to assist offices with producing Form 4 reports for converted and successor trustee cases.Note:  While the Form 4 will show all claims in the claims column, it only records payments made during the designated date range selected.
• Uniform Case Number:  The ‘Case No.’ field contains the year and five-digit number of your case without the hyphen.  The Case No. will automatically be displayed in this field and is editable if you need to make any updates to the number.  The ‘Division’ combo-box includes all the division codes defined in the Trustee List.  A division code must be specified to generate an electronic report; you will receive a warning if the code is not defined.
• Show Uniform Case Number on the Report:  This checkbox gives you the option to show the uniform case number on the printed report.
• Generate Electronic File:  If you wish to generate an electronic Form 4, select this checkbox, which has two radio button options:  ‘Save to UstForms\Form4 Folder’ or ‘Save to Document Management’.  Select the appropriate option.

1. Verify your Form 4 by selecting ‘Preview’ or ‘Print’ from the Parameters for Form 4 screen.

2. Close the Print or Preview screen and a message will appear displaying the location of your electronic file.

3. Right click on the Windows ‘Start’ button (located at the bottom left corner of your screen).

4. Select ‘Explore’.

5. Select the drive where Trustee Suite is located on your computer (usually the c: drive unless the computer is on a network).

6. Find and open (double click on) the Trustee Suite folder.

7. Open the ‘UST Forms’ folder.

8. Open the ‘Form 4’ folder.

9. Select the Form 4 file you want to send (the filename is the same as the case number), then right click on ‘File’ and select ‘Send To (U.S. Trustee), Mail Recipient’.

10. Each time an electronic Form 4 is created for a single case, the individual case file is over-ridden with the latest information.

• Print Zero for Claim Categories Where No Amount Was Paid:  Select this checkbox if you wish to print zero for claim categories where there was no amount paid in your report.
• Add Disbursements Without Claims to Claim Amount Column:  When you enter claims (claimants) against the estate, they automatically contain a “Form 4 Category”.  These category codes are also used for the calculations on Form 4.  If you have made disbursements from the Banking screen, as well as the Claims program, select this checkbox to report them on Form 4 as well.
• Include Claims Proposed Dividend Amount:  Select this checkbox if you wish to include claims proposed dividend amount in your report.

Printing the Report

From the Parameters for Form 4 screen, select from the following options:

• Preview:  Selecting this button enables you to view the form (shown above) before printing.
• Print:  Selecting this button sends the report to the default printer.
• To PDF:  This button prints the report to PDF and saves a copy to Document Management.
• Cancel:  This button undoes any changes and cancels the print job.
• Save Defaults:  This button sets the current field selections as the default each time this report is accessed.

Steps to Ensure an Accurate Form 4

• Run the Filtered Timeline in Trustee Suite for cases filed or converted after July 1, 1999.  This report will tell you which cases will require submission of the Form 4.
• Run the Receipts and Disbursements report (select Troubleshooting options, group by Ledger Category and include all categories).  Use the report to verify that ledger category codes are used correctly.
• Once the Form 4 is printed, confirm that your NET RECEIPTS and TOTAL DISBURSEMENTS are the same and the GROSS RECEIPTS amounts are correct since Form 4 totals may not always total to 100% (if, for example, it is a surplus case, or if there are exemptions paid out).

Electronic Form 4

To send the Form 4 electronically, first complete the Form 4 Electronic Filing Information area of the Trustee List screen shown below.  To access the screen, from the top Main Menu toolbar (File Menu), select ‘Tables’ > ‘Setup Tables’ > ‘Trustees’.  Your Field Office information can be obtained from your local UST office.