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Level 6
posted Jul 30, 2023 6:18:04 PM

NUA Tax Reporting Question - Sale Of Shares After Step-Up, Community Property State.

When I retired in 2006, I used the NUA option to transfer my stock of my company from my 401k and ESOP to my brokerage account at big green investments.

I received a 1099-R and paid the tax on the original cost basis.

For simplicity:

The 1099-R shows a NUA amount of $200,000.

The shares have increased in value and are now worth $500,000.

We are residents of Arizona, a Community Property State.

The company shares in the brokerage account (and assumedly the NUA) are defined as Community Property in our Trust. As such, the non-IRA assets of each spouse receive a step-up to market value as of the date of death of the first spouse.

My wife died in early July 2023.

I had the cost basis of the non-NUA shares stepped up to market value on her DOD of $60 / share.

I understand that the NUA does not receive a step-up.

The price of the NUA shares is $3.50 / share.

To confuse the issue, I purchased and sold shares after the NUA.

Question:

How do I sell the remaining shares?

1. How do I avoid selling the LT taxable NUA shares until after selling all the shares with the step-up?

2. Do I sell Specific Shares? 

3. Any flaws in my logic above?

Thanks in advance

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1 Replies
Level 6
Jul 30, 2023 10:26:44 PM

PLEASE DISREGARD THE ABOVE POSTING. TOO CONFUSING.

I REPLACED IT WITH A NEW POST TITLED NUA - ESTABLISHING THE COST BASIS.

SORRY FOR THE CONFUSION

ROMPER