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UCC1 Initial Financing Statement (Complete Form And Instructions) Form. This is a North Carolina form and can be use in Uniform Commerical Code Secretary Of State.
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Tags: UCC1 Initial Financing Statement (Complete Form And Instructions), UCC1, North Carolina Secretary Of State, Uniform Commerical Code
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
COUNTRY
1f. JURISDICTION OF ORGANIZATION
1g. ORGANIZATIONAL ID #, if any
1d. TAX ID #:
SSN OR EIN
Do Not Provide
ADD'L INFO RE 1e. TYPE OF ORGANIZATION
ORGANIZATION
DEBTOR
POSTAL CODE
NONE
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
FIRST NAME
2c. MAILING ADDRESS
2d. TAX ID #:
SSN OR EIN
Do Not Provide
ADD'L INFO RE
ORGANIZATION
DEBTOR
2e. TYPE OF ORGANIZATION
MIDDLE NAME
CITY
2b. INDIVIDUAL'S LAST NAME
STATE
2f. JURISDICTION OF ORGANIZATION
2g. ORGANIZATIONAL ID #, if any
SUFFIX
POSTAL CODE
COUNTRY
NONE
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
OR
3b. INDIVIDUAL'S LAST NAME
MIDDLE NAME
CITY
3c. MAILING ADDRESS
FIRST NAME
STATE
SUFFIX
POSTAL CODE
COUNTRY
4. This FINANCING STATEMENT covers the following collateral:
5. ALTERNATIVE DESIGNATION [if applicable]:
LESSEE/LESSOR
CONSIGNEE/CONSIGNOR
BAILEE/BAILOR
SELLER/BUYER
This FINANCING STATEMENT is to be filed [for record] (or recorded) in the REAL
6.
7. Check to REQUEST SEARCH REPORT(S) on Debtor(s)
ESTATE RECORDS.
Attach Addendum
[if applicable]
[ADDITIONAL FEE]
[optional]
AG. LIEN
All Debtors
NON-UCC FILING
Debtor 1
Debtor 2
8. OPTIONAL FILER REFERENCE DATA
FILING OFFICE COPY — NATIONAL UCC FINANCING STATEMENT (FORM UCC1) (REV. 07/29/98)
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North Carolina 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 acknowledgement, complete item B.
The filing office requests that you also include a self-addressed stamped envelope if you are requesting an acknowledgement and you
request that your acknowledgement be sent by mail. If you want to make a search request on this form, extreme caution should be used in
requesting a search by completing item 7. The filing office prefers that you use the “Information Request Form” (UCC-11) for search requests.
When filing in the central filing office, detach the Search Report Copy, and the Debtor and Secured Party Copies. If you need to use
attachments, use 8 ½ 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). Do not use a highlighter on any portion of a record you tender for filing.
A.
B.
To assist filing office that might wish to communicate with the filer, filer may provide information in item A. This item is optional.
Complete item B if you want an acknowledgement sent to you. If filing in a filing office that returns an acknowledgement copy furnished by filer,
present simultaneously with this form a carbon or other copy of this form for use as an acknowledgement copy. Include your e-mail address in
Block B.
1. Debtor Name: Enter only one Debtor name in item 1, an
organization’s name (1a) or an individual’s name (1b). Enter
2. If an additional Debtor is included, complete item 2, determined
Debtor’s exact full legal name. Do not abbreviate.
and formatted per Instruction 1. To include further additional
1a. Organization Debtor. “Organization” means an entity having
Debtors, or one or more additional Secured Parties, attach either
a legal identity separate from its owner. A partnership is an
Addendum (Form UCC1Ad) or other additional page(s), using
organization; a sole proprietorship is not an organization, even if it
correct name format. Follow Instruction 1 for determining and
does business under a trade name. If Debtor is a partnership, enter
formatting additional names.
exact full legal name of partnership; you need not enter names of
3. Enter information for Secured Party or Total Assignee,
partners as additional Debtors. If Debtor is a registered organization
determined and formatted per Instruction 1. If there is more than
(e.g., corporation, limited partnership, limited liability company) it is
one Secured Party, see Instruction 2. If there has been a total
advisable to examine Debtor’s current filed charter documents to
assignment of the Secured Party’s interest prior to filing this form,
determine Debtor’s correct name, organization type, and jurisdiction of
you may either (a) enter the Assignor S/P’s name and address in
organization.
item 3 and file an Amendment (Form UCC3) [see item 5 of that
1b. Individual Debtor. “Individual” means a natural person; this
form]; or (b) enter Total Assignee’s name and address in item 3
includes a sole proprietorship, whether or not operating under a trade
and, if you wish, also attach Addendum (Form UCC1Ad) giving
name. Do not use prefixes (Mr., Mrs., Ms.). Use suffix box only for
Assignor S/P’s name and address in item 12.
titles of lineage (Jr., Sr., III) and not for other suffixes or titles (e.g.,
4. Use item 4 to indicate the collateral covered by this Financing
M.D.). Use married woman’s personal name (Mary Smith not Mrs.
Statement. If space in item 4 is insufficient, put the entire
John Smith). Enter individual Debtor’s family name (surname) in Last
collateral description or continuation of the collateral description
Name box, first given name in First Name box, and all additional given
on either Addendum (Form UCC1Ad) or other attached additional
names in Middle Name box. For both organization and individual
page(s).
Debtors: Do not use Debtor’s trade name, DBA, AKA, FKA, Division
5. If filer desires (at filer’s option) to use titles of lessee and lessor,
name, etc., in place of or combined with Debtor’s legal name; you may
or consignee and consignor, or seller or buyer (in the case of
add such other names as additional Debtors if you wish (but this is
accounts or chattel paper), or bailee and bailor instead of Debtor
neither required nor recommended.)
and Secured Party, check the appropriate box in item 5. If this is
1c. An address is always required for the Debtor named in 1a or
an agricultural lien filing, check the appropriate box in item 5,
1b.
complete items 1-7 as applicable and attach any other items
1d. Debtor’s taxpayer identification number (tax ID #) ,social
required under other law.
security number or employer identification number – is not required in
6. If this Financing Statement is filed as a fixture filing or if the
North Carolina.
collateral consists of timber to be cut or as-extracted collateral,
1e, f, g. “Additional information re organization Debtor” is always
complete items 1-5, check the box in item 6, and complete the
required. Type of organization and jurisdiction of organization as well
required information (items 13, 14 and/or 15) on Addendum (Form
as Debtor’s exact legal name can be determined from the Debtor’s
UCC1Ad).
current filed charter document. In North Carolina this information
7. The central filing office prefers searches to be requested on
may be obtained by going to the Department of the Secretary
the “Information Request Form”.
State web site: www.sosnc.com and using the Corporation
8. This item is optional and is for filer’s use only. For filer’s
Division’s corporate on-line search. Organizational ID# (SOS ID #
convenience of reference, filer may enter in item 8 any identifying
found in the N. C. corporate on-line search) , if any, is assigned by
information (e.g. Secured Party’s loan number, law firm file
the agency where the charter document was filed; this is different from
number, Debtor’s name or other identification, state in which form
tax ID#; this should be entered preceded by the 2-character U.S.
is being filed, etc.) that filer may find useful.
Postal identification of state of organization if one of the United States
(e.g., NC12345, for a North Carolina corporation whose SOS ID#
North Carolina UCC Record Processing Fees
is 12345); if agency does not assign organizational ID #, check box in
•
$30.00 + $2.00 transaction fee if filed electronically
item 1g indicating “none”.
(www.sosnc.com) If filed by paper:
Note: If Debtor is a trust or a trustee acting with respect to property
•
$38.00 for the first 2 pages of UCC filing
held in trust, enter Debtor’s name in item 1 and attach Addendum
•
$45.00 for filing 3 to 10 pages
(Form UCC1Ad) and check appropriate box in item 17. If Debtor is a
•
$45.00 plus $2.00 per page for over 10 pages
decedent’s estate, enter name of deceased individual in item 1b and
North Carolina UCC Search Fees
attach Addendum (Form UCC1Ad) and check appropriate box in item
•
Online research is free at www.sosnc.com If research is
17. If Debtor is a transmitting utility or this Financing Statement filed in
conducted by our staff (by filing a UCC-11):
connection with a Manufactured-Home Transaction or a Public•
$38.00 per debtor name researched plus $2.00 per page for
Finance Transaction as defined in application Commercial Code,
copies, (in the central filing office), and if desired, $6.25 for a
attach Addendum (Form UCC1Ad) and check appropriate box in item
search certificate. Please use the “Information Request
18.
Form”.
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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
MIDDLE NAME,SUFFIX
FIRST NAME
9b. INDIVIDUAL'S LAST NAME
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
11d. TAX ID #:
SSN OR EIN
Do Not Provide
12.
ADD'L INFO RE
ORGANIZATION
DEBTOR
11e. TYPE OF ORGANIZATION
ADDITIONAL SECURED PARTY'S or
SUFFIX
CITY
11c. MAILING ADDRESS
MIDDLE NAME
STATE
COUNTRY
11f. JURISDICTION OF ORGANIZATION
11g. ORGANIZATIONAL ID #, if any
POSTAL CODE
NONE
ASSIGNOR S/P'S NAME - insert only one name (12a or 12b)
12a. ORGANIZATION'S NAME
OR
12b. INDIVIDUAL'S LAST NAME
FIRST NAME
CITY
12c. MAILING ADDRESS
13. This FINANCING STATEMENT covers
collateral, or is filed as a
timber to be cut or
as-extracted
MIDDLE NAME
STATE
SUFFIX
POSTAL CODE
COUNTRY
16. Additional collateral description:
fixture filing.
14. Description of real estate:
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
Decedent's Estate
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)
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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.
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