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Article 9 Forms


National Corporate Research, Ltd. (NCR) has provided links to the national Article 9 forms below in fillable PDF (Adobe Acrobat) format.

The 2010 Article 9 Amendments are effective in most states on July 1, 2013. Since all states did not enact the amendments at the same time, there are now two sets of national forms that filers need to work with. Below, the new Article 9 Amendments forms are referred to as “Amended Article 9 Forms,” while the older forms are referred to as “Revised Article 9 Forms.” Not sure which forms to use? Review our helpful memo outlining UCC Form Acceptance Under Amended Article 9.

If you prefer more guidance in selecting forms and complying with different state statutes and rules, or if you need to track your UCC filings, visit our
UCC ProFile page to learn about our web-based UCC preparation, filing and monitoring system.



Making your job easier:

(New) Amended Article 9 Forms:
  • UCC1 - initial financing statement
     
  • UCC1 Addendum - Always use the addendum form for fixture/real-estate related filings, when you have up to two additional debtors or one additional secured party or when you want to designate an assignor secured party.
     
  • UCC1AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on a UCC1.
     
  • UCC3 - Amendment form
     
  • UCC3 Addendum – Always use this addendum when amending fixture/real estate-related filings.
     
  • UCC3AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on an amendment filing.
     
  • UCC5 Information Statement (formerly called "Statement of Claim" and, in some states, “Correction Statement”) - DO NOT USE THIS FORM TO AMEND. The filing of this statement does not affect the effectiveness of an initial financing statement or other filed record. See Section 9-518 for clarification on the limited circumstances in which this form should be used.

 


Revised Article 9 Forms:
  • UCC1 - initial financing statement
     
  • UCC1 Addendum - Always use the addendum form for fixture/real estate-related filings and when you want to indicate special debtor types (such as Trusts and Transmitting Utilities) or special transactions (Public Finance, Manufactured Home). You can also use the UCC1 Addendum when you have up to two additional debtors or one additional secured party, or when you want to designate an assignor secured party.
     
  • UCC1AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on a UCC1.
     
  • Co-op Addendum Form (NY) - Use this addendum when filing a co-op UCC so that your filing will be in effect for 50 years.
     
  • UCC3 Amendment form
     
  • UCC3 Addendum
     
  • UCC3AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on an amendment filing.
     
  • UCC5 Statement of Claim (formerly called "Correction Statement") - DO NOT USE THIS FORM TO AMEND. The filing of this statement does not affect the effectiveness of an initial financing statement or other filed record. See Section 9-518 for clarification on the limited circumstances in which this form should be used.