Instructions for National UCC Financing Statement (Form UCC1)


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Instructions for National UCC Financing Statement (Form UCC1)
Please type or laser-print this form. Be sure it is completely legible. Read all Instructions, especially Instruction 1; correct Debtor name is crucial. Follow Instructions completely.
Fill in form very carefully; mistakes may have important legal consequences. If you have questions, consult your attorney. Filing office cannot give legal advice. Do not insert anything in the open space in the upper portion of this form; it is reserved for filing office use. When properly completed, send Filing Office Copy, with required fee, to filing office. If you want an acknowledgment, complete item B and, if filing in a filing
office that returns an acknowledgment copy furnished by filer, you may also send Acknowledgment Copy; otherwise detach. If you want to make a search request, complete item 7 (after reading Instruction 7 below) and send Search Report Copy, otherwise detach. Always detach Debtor and Secured Party Copies. If you need to use attachments, use 8-1/2 X 11 inch sheets and put at the top of each sheet the name of the first Debtor, formatted exactly as it appears in item 1 of this form; you are encouraged to use Addendum (Form UCC1Ad). A. To assist filing offices that might wish to communicate with filer, filer may provide information in item A. This item is optional. B. Complete item B if you want an acknowledgment sent to you. If filing in a filing office that returns an acknowledgment copy furnished by filer, present simultaneously with this form a carbon or other copy of this form for use as an acknowledgment copy.

1. Debtor name: Enteronly one Debtor name in item 1, an organization's 2. If an additional Debtor is included, complete item 2, determined and

name (1a) or an individual’s name (1b). Enter Debtor’s exact full legal

formatted per Instruction 1. To include further additional Debtors, or one

name. Don’t abbreviate.

or more additional Secured Parties, attach either Addendum (Form

UCC1Ad) or other additional page(s), using correct name format. Follow

1a. Organization Debtor. “Organization” means an entity having a legal

Instruction 1 for determining and formatting additional names.

identity separate from its owner. A partnership is an organization; a sole

proprietorship is not an organization, even if it does business under a 3. Enter information for Secured Party or Total Assignee, determined and

trade name. If Debtor is a partnership, enter exact full legal name of

formatted per Instruction 1. If there is more than one Secured Party, see

partnership; you need not enter names of partners as additional Debtors.

Instruction 2. If there has been a total assignment of the Secured Party’s

If Debtor is a registered organization (e.g., corporation, limited partnership,

interest prior to filing this form, you may either (1) enter Assignor S/P‘s

limited liability company), it is advisable to examine Debtor’s current filed

name and address in item 3 and file an Amendment (Form UCC3) [see

charter documents to determine Debtor's correct name, organization

item 5 of that form]; or (2) enter Total Assignee’s name and address in

type, and jurisdiction of organization.

item 3 and, if you wish, also attaching Addendum (Form UCC1Ad) giving

Assignor S/P’s name and address in item 12.

1b. Individual Debtor. “Individual” means a natural person; this includes a

sole proprietorship, whether or not operating under a trade name. Don’t 4. Use item 4 to indicate the collateral covered by this Financing Statement.

use prefixes (Mr., Mrs., Ms.). Use suffix box only for titles of lineage (Jr.,

If space in item 4 is insufficient, put the entire collateral description or

Sr., III) and not for other suffixes or titles (e.g., M.D.). Use married

continuation of the collateral description on either Addendum (Form

woman’s personal name (Mary Smith, not Mrs. John Smith). Enter

UCC1Ad) or other attached additional page(s).

individual Debtor’s family name (surname) in Last Name box, first given

name in First Name box, and all additional given names in Middle Name 5. If filer desires (at filer's option) to use titles of lessee and lessor, or

box.

consignee and consignor, or seller and buyer (in the case of accounts or

For both organization and individual Debtors: Don’t use Debtor’s trade

chattel paper), or bailee and bailor instead of Debtor and Secured Party,

name, DBA, AKA, FKA, Division name, etc. in place of or combined with

check the appropriate box in item 5. If this is an agricultural lien (as

Debtor’s legal name; you may add such other names as additional

defined in applicable Commercial Code) filing or is otherwise not a UCC

Debtors if you wish (but this is neither required nor recommended).

security interest filing (e.g., a tax lien, judgment lien, etc.), check the

appropriate box in item 5, complete items 1-7 as applicable and attach any

1c. An address is always required for the Debtor named in 1a or 1b.

other items required under other law.

1d. Debtor’s taxpayer identification number (tax ID #) — social security 6. If this Financing Statement is filed as a fixture filing or if the collateral

number or employer identification number — may be required in some

consists of timber to be cut or as-extracted collateral, complete items 1-

states.

5, check the box in item 6, and complete the required information (items

13, 14 and/or 15) on Addendum (Form UCC1Ad).

1e,f,g. “Additional information re organization Debtor” is always required. Type

of organization and jurisdiction of organization as well as Debtor’s exact 7. This item is optional. Check appropriate box in item 7 to request Search

legal name can be determined from Debtor’s current filed charter document.

Report(s) on all or some of the Debtors named in this Financing Statement.

Organizational ID #, if any, is assigned by the agency where the charter

The Report will list all Financing Statements on file against the designated

document was filed; this is different from tax ID #; this should be entered

Debtor on the date of the Report, including this Financing Statement.

preceded by the 2-character U.S. Postal identification of state of

There is an additional fee for each Report. If you have checked a box in

organization if one of the United States (e.g., CA12345, for a California

item 7, file Search Report Copy together with Filing Officer Copy (and

corporation whose organizational ID # is 12345); if agency does not

Acknowledgment Copy). Note: Not all states do searches and not all

assign organizational ID #, check box in item 1g indicating “none.”

states will honor a search request made via this form; some states require

a separate request form.

Note: If Debtor is a trust or a trustee acting with respect to property held in trust,

enter Debtor's name in item 1 and attach Addendum (Form UCC1Ad) and 8. This item is optional and is for filer's use only. For filer's convenience of

check appropriate box in item 17. If Debtor is a decedent's estate, enter name

reference, filer may enter in item 8 any identifying information (e.g.,

of deceased individual in item 1b and attach Addendum (Form UCC1Ad) and

Secured Party's loan number, law firm file number, Debtor's name or

check appropriate box in item 17. If Debtor is a transmitting utility or this

other identification, state in which form is being filed, etc.) that filer may

Financing Statement is filed in connection with a Manufactured-Home

find useful.

Transaction or a Public-Finance Transaction as defined in applicable

Commercial Code, attach Addendum (Form UCC1Ad) and check appropriate

box in item 18.

Instructions for National UCC Financing Statement Addendum (Form UCC1Ad)

9.

Insert name of first Debtor shown on Financing Statement to which this Addendum is related, exactly as shown in item 1 of Financing Statement.

10. Miscellaneous: Under certain circumstances, additional information not provided on Financing Statement may be required. Also, some states have non-uniform requirements. Use this space to provide such additional information or to comply with such requirements; otherwise, leave blank.

11. If this Addendum adds an additional Debtor, complete item 11 in accordance with Instruction 1 on Financing Statement. To add more than one additional Debtor, either use an additional Addendum form for each additional Debtor or replicate for each additional Debtor the formatting of Financing Statement item 1 on an 8-1/2 X 11 inch sheet (showing at the top of the sheet the name of the first Debtor shown on the Financing Statement), and in either case give complete information for each additional Debtor in accordance with Instruction 1 on Financing Statement. All additional Debtor information, especially the name, must be presented in proper format exactly identical to the format of item 1 of Financing Statement.

12. If this Addendum adds an additional Secured Party, complete item 12 in accordance with Instruction 3 on Financing Statement. In the case of a total assignment of the Secured Party’s interest before the filing of this Financing Statement, if filer has given the name and address of the Total Assignee in item 3 of the Financing Statement, filer may give the Assignor S/P’s name and address in item 12.

13-15. If collateral is timber to be cut or as-extracted collateral, or if this Financing Statement is filed as a fixture filing, check appropriate box in item 13; provide description of real estate in item 14; and, if Debtor is not a record owner of the described real estate, also provide, in item 15, the name and address of a record owner. Also provide collateral description in item 4 of Financing Statement. Also check box 6 on Financing Statement. Description of real estate must be sufficient under the applicable law of the jurisdiction where the real estate is located.

16. Use this space to provide continued description of collateral, if you cannot complete description in item 4 of Financing Statement.

17. If Debtor is a trust or a trustee acting with respect to property held in trust or is a decedent’s estate, check the appropriate box.

18. If Debtor is a transmitting utility or if the Financing Statement relates to a Manufactured-Home Transaction or a Public-Finance Transaction as defined in the applicable Commercial Code, check the appropriate box.

UCC FINANCING STATEMENT
FOLLOW INSTRUCTIONS (front and back) CAREFULLY A. NAME & PHONE OF CONTACT AT FILER [optional]
B. SEND ACKNOWLEDGMENT TO: (Name and Address)

THE ABOVE SPACE IS FOR FILING OFFICE USE ONLY 1. DEBTOR'S EXACT FULL LEGAL NAME - insert only one debtor name (1a or 1b) - do not abbreviate or combine names
1a. ORGANIZATION'S NAME

OR 1b. INDIVIDUAL'S LAST NAME

FIRST NAME

MIDDLE NAME

SUFFIX

1c. MAILING ADDRESS

CITY

STATE POSTAL CODE

COUNTRY

1d. TAX ID #: SSN OR EIN

ADD'L INFO RE ORGANIZATION DEBTOR

1e. TYPE OF ORGANIZATION

1f. JURISDICTION OF ORGANIZATION

1g. ORGANIZATIONAL ID #, if any

2. ADDITIONAL DEBTOR'S EXACT FULL LEGAL NAME - insert only one debtor name (2a or 2b) - do not abbreviate or combine names
2a. ORGANIZATION'S NAME

OR 2b. INDIVIDUAL'S LAST NAME

FIRST NAME

MIDDLE NAME

NONE SUFFIX

2c. MAILING ADDRESS

CITY

STATE POSTAL CODE

COUNTRY

2d. TAX ID #: SSN OR EIN

ADD'L INFO RE ORGANIZATION DEBTOR

2e. TYPE OF ORGANIZATION

2f. JURISDICTION OF ORGANIZATION

3. SECURED PARTY'S NAME (or NAME of TOTAL ASSIGNEE of ASSIGNOR S/P) - insert only one secured party name (3a or 3b)
3a. ORGANIZATION'S NAME

2g. ORGANIZATIONAL ID #, if any

OR 3b. INDIVIDUAL'S LAST NAME

FIRST NAME

MIDDLE NAME

NONE SUFFIX

3c. MAILING ADDRESS

CITY

STATE POSTAL CODE

COUNTRY

4. This FINANCING STATEMENT covers the following collateral:

5. ALTERNATIVE DESIGNATION [if applicable]: LESSEE/LESSOR

CONSIGNEE/CONSIGNOR

BAILEE/BAILOR

SELLER/BUYER

6. This FINANCING STATEMENT is to be filed [for record] (or recorded) in the REAL

7. Check to REQUEST SEARCH REPORT(S) on Debtor(s)

ESTATE RECORDS. Attach Addendum

[if applicable] [ADDITIONAL FEE]

[optional]

8. OPTIONAL FILER REFERENCE DATA

AG. LIEN All Debtors

NON-UCC FILING Debtor 1 Debtor 2

FILING OFFICE COPY — NATIONAL UCC FINANCING STATEMENT (FORM UCC1) (REV. 07/29/98)

UCC FINANCING STATEMENT ADDENDUM
FOLLOW INSTRUCTIONS (front and back) CAREFULLY 9. NAME OF FIRST DEBTOR (1a or 1b) ON RELATED FINANCING STATEMENT
9a. ORGANIZATION'S NAME

OR 9b. INDIVIDUAL'S LAST NAME

FIRST NAME

MIDDLE NAME,SUFFIX

10. MISCELLANEOUS:

THE ABOVE SPACE IS FOR FILING OFFICE USE ONLY
11. ADDITIONAL DEBTOR'S EXACT FULL LEGAL NAME - insert only one name (11a or 11b) - do not abbreviate or combine names
11a. ORGANIZATION'S NAME

OR 11b. INDIVIDUAL'S LAST NAME

FIRST NAME

MIDDLE NAME

SUFFIX

11c. MAILING ADDRESS

CITY

11d. TAX ID #: SSN OR EIN

ADD'L INFO RE ORGANIZATION DEBTOR

11e. TYPE OF ORGANIZATION

11f. JURISDICTION OF ORGANIZATION

12. ADDITIONAL SECURED PARTY'S or
12a. ORGANIZATION'S NAME

ASSIGNOR S/P'S NAME - insert only one name (12a or 12b)

OR 12b. INDIVIDUAL'S LAST NAME

FIRST NAME

12c. MAILING ADDRESS

CITY

STATE POSTAL CODE

COUNTRY

11g. ORGANIZATIONAL ID #, if any

NONE

MIDDLE NAME STATE POSTAL CODE

SUFFIX COUNTRY

13. This FINANCING STATEMENT covers timber to be cut or

collateral, or is filed as a 14. Description of real estate:

fixture filing.

as-extracted 16. Additional collateral description:

15. Name and address of a RECORD OWNER of above-described real estate (if Debtor does not have a record interest):

17. Check only if applicable and check only one box. Debtor is a Trust or Trustee acting with respect to property held in trust or 18. Check only if applicable and check only one box.
Debtor is a TRANSMITTING UTILITY Filed in connection with a Manufactured-Home Transaction — effective 30 years Filed in connection with a Public-Finance Transaction — effective 30 years
FILING OFFICE COPY — NATIONAL UCC FINANCING STATEMENT ADDENDUM (FORM UCC1Ad) (REV. 07/29/98)

Decedent's Estate

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Instructions for National UCC Financing Statement (Form UCC1)