UCC e-Filing SYSTEM INSTRUCTIONS

Introduction to UCC e-Filing

General How To Complete Electronic UCC Documents

How To Enter Party Names

How To Complete Electronic UCC Financing Statement

How To Submit Electronic UCC Financing Statement For Filing

About the Image of Electronic UCC Financing Statement

How To Complete Electronic UCC Financing Statement Amendment

How To Submit Electronic UCC Financing Statement Amendment For Filing

About the Image of Electronic UCC Financing Statement Amendment


Introduction to UCC e-Filing

The New York State Department of State's UCC e-Filing system permits the filing of UCC financing statements and UCC financing statement amendments electronically. Documents are filed by accessing the appropriate form template (the "Electronic UCC Financing Statement" or the "Electronic UCC Financing Statement Amendment") on the Department of State's web page, entering the appropriate information in the form template, clicking the "File" button on the form, and then submitting the form by clicking "OK" in response to the prompt that will appear.

Only initial financing statements (using the "Electronic UCC Financing Statement" form) and amendments (using the "Electronic UCC Financing Statement Amendment" form) can be filed using the UCC e-Filing system.

The processing fee for a UCC document submitted by the UCC e-Filing system is $20.00. The processing fee can be paid by authorized card only.

Certain limitations apply to UCC documents submitted by the UCC e-Filing system; for example:

  • the name of a party that is an organization can contain no more than 200 characters;
  • the name of a party that is an individual can contain no more than 85 characters in the "last name" field, no more than 60 characters in the "first name" field, no more than 30 characters in the "middle name" field, and no more than 9 characters in the "suffix" field;
  • the collateral description can contain no more that 4,000 characters;
  • no more than three (3) debtors and no more than two (2) secured parties can be specified in an Electronic UCC Financing Statement;
  • only one party may be changed, deleted, or added by an Electronic UCC Financing Statement Amendment;
  • only one assignee may be designated in an Electronic UCC Financing Statement Amendment; and
  • only one authorizing party can be designated in an Electronic UCC Financing Statement Amendment.

UCC documents can be submitted by the UCC e-Filing system at any time when the Department of State's UCC e-Filing equipment is operational.

A UCC document submitted to the Department of State by the UCC e-Filing system is accepted for filing only after the Department of State's UCC e-Filing system (1) receives an appropriate card confirmation from the card issuer and (2) analyzes the UCC document and determines that the UCC document (i) is readable by the Department of State's UCC e-Filing equipment and (ii) contains no error that constitutes a reason to reject the document under the applicable provisions of the Uniform Commercial Code.

The Department of State may from time to time announce a schedule of the days and times during which the Department of State's UCC e-Filing system will be operational and will perform the analysis described in the preceding paragraph; however, any such schedule will be subject to outages due to repairs, maintenance, emergencies, etc.

When the Department of State accepts and files a UCC document submitted by the UCC e-Filing system, the Department of State will provide a filing acknowledgment. The filing acknowledgment will consist of a message that will appear on your computer screen (this filing acknowledgment message will usually appear a short period of time after you click the "File" and "OK" buttons - please be patient, and do not hit your web browser's "back" button or otherwise attempt to exit the current web page while you are waiting for the filing acknowledgment message to appear).

The filing acknowledgment message will:

  1. confirm the filing,
  2. specify the date and time of filing,
  3. provide a link that you can use to view the image of your filing (the filing office will generate this image - see the following instructions for more information), and
  4. specify the card confirmation code.

The filing acknowledgment message that appears on your computer screen will be the only filing acknowledgment provided by the filing office - you should print a copy of the filing acknowledgment if you wish to have a hard copy.


General How To Complete Electronic UCC Documents

Please read all instructions, and please follow instructions completely. Fill in these forms very carefully; mistakes may have important legal consequences. If you have questions, consult your attorney. The filing office cannot give legal advice.

Please note that the format of the Electronic UCC Financing Statement is similar - but not identical - to the officially promulgated written UCC-1 form, and the Electronic UCC Financing Statement Amendment is similar - but not identical - to the officially promulgated written UCC-3 form. In particular, some of the item numbers in the Electronic UCC forms differ from the corresponding item numbers in the written UCC forms (e.g., information pertaining to the first Secured Party is to be provided in Item 4 of the Electronic UCC Financing Statement form, while the corresponding information is provided in Item 3 of the written UCC-1 form).

FILERS USING THE ELECTRONIC UCC FINANCING STATEMENT FORM OR ELECTRONIC UCC FINANCING STATEMENT AMENDMENT FORM ARE URGED TO TAKE PARTICULAR CARE TO SEE THAT INFORMATION IS ENTERED IN THE APPROPRIATE SPACES IN THE FORM.

The Department of State's UCC e-Filing system is designed to prompt the filer when the filer has failed to make an entry in certain required fields.

For example, if you fail to make any entry in the Debtor's address field (Item 1c) of an Electronic UCC Financing Statement form, and then attempt to file the form by clicking the "File" button, you will be prompted to provide the missing information. Note, however, that the Department of State's UCC e-Filing system can not and does not check for all possible mistakes. For example:

  • if you misspell the name of a Debtor or a Secured Party,
  • or incorrectly designate an organization Debtor as a individual Debtor,
  • or provide an incorrect address for any party,
  • or fail to include in an Electronic UCC Financing Statement form information regarding a second (or third) Debtor or a second Secured Party involved in the transaction,
  • or fail to provide a description of the collateral,
  • or fail to check any radio button(s) in Items 6, 7 or 8 of the Electronic UCC Financing Statement form that may be applicable to the transaction,
  • or fail to check the correct radio button(s) on the Electronic UCC Financing Statement Amendment form,
  • or make any other error that does not constitute a ground to reject a filing under the applicable provisions of the Uniform Commercial Code,

the errors will not be detected by the Department of State's UCC e-Filing system, the form will be accepted and filed with the errors, and the applicable processing fee will be charged to the designated card; this will be true even if the errors result in the filing being ineffective, in whole or in part. THE FILER IS SOLELY RESPONSIBLE FOR COMPLETING THE FORM CORRECTLY.

Note that the Uniform Commercial Code specifies rules for determining who is authorized to file documents under the Uniform Commercial Code. The availability of this electronic filing method does not change those rules in any way. Only a person with the requisite authority may file a UCC document; this is true without regard to whether the UCC document is submitted on paper or electronically. You should not file an Electronic UCC Financing Statement or an Electronic UCC Financing Statement Amendment unless you have the requisite authority. If you file an Electronic UCC Financing Statement or Electronic UCC Financing Statement Amendment without the requisite authority, such Electronic UCC Financing Statement or Electronic UCC Financing Statement Amendment may be ineffective, in whole or in part, and you may be subject to civil or criminal sanctions. Please consult with you own attorney for further information.


How To Enter Party Names

When providing the name of a party (Debtor, Secured Party, Assignee, or Assignor), you must indicate whether the party is an "organization" or an "individual." This indication is made by entering the party's name in the space provided for the name of an organization, or in the space provided in for the name of an individual, as the case may be. See the instructions below for further details. (NOTE: As a general rule, an "organization" is a corporation, limited liability company, partnership, limited partnership, or other legal or commercial entity, and an "individual" is a natural person, including a natural person who in conducting business as a sole proprietorship, whether or not such person is using an assumed name or trade name. The filing office cannot provide filers with advice regarding the proper classification of any given party as an organization or an individual; you should consult with your attorney.)

When entering a party's name, enter the party's exact full legal name. Do not abbreviate. Do not use the party's assumed name, trade name, DBA, AKA, FKA, division name, etc. in place of or in combination with the party's legal name.

When entering the name of an individual, enter the individual's family name (surname) in the Last Name box, enter the individual's first given name in the First Name box, and enter all additional given names in the Middle Name box. Use the Suffix box only for titles of lineage (e.g., Jr., Sr., III) and not for other suffixes or titles (e.g., M.D. or Esq.). Do not enter prefixes (e.g., Mr., Mrs., Ms., or Dr.). Use a married women's personal name (e.g., Mary Smith, not Mrs. John Smith).


How To Complete Electronic UCC Financing Statement

Item A: (Name and Phone Number of Contact at Filer)

You may provide filer contact information (name and telephone number) in Item A. Providing this filer contact information is optional.

Item B: (Filer Information)

Item B has two (2) sections: one section for the filer's name and address and one section for card information.

You may provide the filer's name and address in the first section of Item B. Providing the filer's name and address is optional.

You MUST provide the card number, the card expiration date, and the card holder's zip code in the second section of Item B. The processing fee for this Electronic UCC Financing Statement will be charged to the card identified here, so this card must be one issued to you or one you are authorized to use.

Item 1: (DEBTOR 1)

There must be at least one debtor, so you MUST complete the "DEBTOR 1" section. However, enter only one Debtor name in the "DEBTOR 1" section. Complete the "DEBTOR 1" section as follows:

  • If the Debtor is an organization, enter the Debtor's name in Item 1a.
  • If the Debtor is an individual, enter the Debtor's name in item 1b.
  • Enter the Debtor's address in Item 1c.
  • If the Debtor is an organization, you MUST enter the Debtor's type of organization (e.g., corporation, limited liability company, etc.) in Item 1d, and you MUST enter the Debtor's jurisdiction of organization (e.g., New York) in Item 1e. In addition, you MAY enter the Debtor's organization ID#, if any, in Item 1f (please note that for filings in New York, providing the organization ID# is optional).

Item 2: (DEBTOR 2)

If a second Debtor is included, complete the "DEBTOR 2" section. Enter only one Debtor name in the "DEBTOR 2" section. When completing the "DEBTOR 2" section, follow the foregoing instructions for the "DEBTOR 1" section (note, however, that when applying the foregoing instructions, references to "Item 1a" should be read as references to Item "2a", references to "Item 1b" should be read as references to "Item 2b", etc.)

Item 3: (DEBTOR 3)

If a third Debtor is included, complete the "DEBTOR 3" section. Enter only one Debtor name in the "DEBTOR 3" section. When completing the "DEBTOR 3" section, follow the foregoing instructions for the "DEBTOR 1" section (note, however, that when applying the foregoing instructions, references to "Item 1a" should be read as references to Item "3a", references to "Item 1b" should be read as references to "Item 3b", etc.)

NOTE: If there are two or more Debtors, each debtor should be entered separately; this is true even if the Debtors have the same last name. For example, if the Debtors are John and Mary Smith, one of the Debtors should be entered as Debtor 1 and the other Debtor should be entered as Debtor 2.

NOTE: No more than three (3) Debtors can be provided in an Electronic UCC Financing Statement. If more than three (3) Debtors are involved in your transaction, you should file by a method (e.g., a written UCC-1 with appropriate UCC-1Ad and/or UCC-1AP addenda) that permits filing against more than three (3) Debtors.

Item 4: (SECURED PARTY or TOTAL ASSIGNEE)

There must be at least one Secured Party (or Total Assignee of an assignor Secured Party), so you MUST complete Item 4. Enter only one Secured Party (or Total Assignee) name in Item 4. Complete item 4 as follows:

  • If Secured Party (or Total Assignee) is an organization, enter the name of the Secured Party (or Total Assignee) in Item 4a.
  • If the Secured Party (or Total Assignee) is an individual, enter the name of the Secured Party (or Total Assignee) in Item 4b.
  • Enter the address of the Secured Party (or the address of the Total Assignee) in Item 4c.

Item 5: (ADDITIONAL SECURED PARTY or ASSIGNOR SECURED PARTY)

If an additional Secured Party in included, check the "Additional Secured Parties" radio button in Item 5, and complete Item 5 in the manner described below.

If there has been a total assignment of the Secured Party's interest prior to filing this form, you may:

  1. enter the Total Assignee's name and address in Item 4,
  2. check the "Assignor S/P's Name" radio button in Item 5, and
  3. complete Item 5 in the manner described below

Enter only one Secured Party (or Assignor Secured Party) name in Item 5.

If applicable, complete Item 5 as follows:

  • If the additional Secured Party (or the Assignor Secured Party) is an organization, enter the name of the additional Secured Party (or the name of the Assignor Secured Party) in Item 5a.
  • If the additional Secured Party (or the Assignor Secured Party) is an individual, enter the name of the additional Secured Party (or the name of the Assignor Secured Party) in Item 5b.
  • Enter the address of the additional Secured Party (or the address of the Assignor Secured Party) in Item 5c.

NOTE: No more than two (2) Secured Parties can be provided in an Electronic UCC Financing Statement. If more than two (2) Secured Parties are involved in your transaction, you should file by a method (e.g., a written UCC-1 with appropriate UCC-1Ad and/or UCC-1AP addenda) that permits filing in favor of more than two (2) Secured Parties.

Space entitled "THIS FINANCING STATEMENT COVERS THE FOLLOWING COLLATERAL (Up to 4000 characters may be entered)"

  • Indicate the collateral covered by the Electronic UCC Financing Statement in the space entitled "This Financing Statement covers the following collateral."

NOTE: No more than 4000 characters may be entered in this space. If this space is insufficient, you should file by a method (e.g., a written UCC-1 with appropriate addenda) that permits filing with a longer collateral description.

NOTE: If you attempt to "cut and paste" a collateral description from a document created in a word processing program, then depending on the word processing program you are using, certain apparently blank spaces may count as characters, and may be applied against the 4000 character limit. FILERS USING THE ELECTRONIC UCC FINANCING STATEMENT FORM ARE URGED TO TAKE PARTICULAR CARE TO SEE THAT ALL INFORMATION INTENDED TO BE ENTERED IN THE COLLATERAL DESCRIPTION SPACE IS ACTUALLY RECOGNIZED AND ENTERED IN THAT SPACE.

NOTE: Failure to make an entry in this space will not prompt an error message from the Department of State's UCC e-Filing system, and will not be a ground to reject the Electronic UCC Financing Statement. However, failure to complete this space may render the filing ineffective, in whole or in part. FILERS ARE STRONGLY URGED TO TAKE CARE THAT THIS SPACE IS PROPERLY COMPLETED.

Item 6: (ALTERNATIVE DESIGNATION)

If you wish to indicate the use alternative designations (i.e., lessee and lessor, consignee and consignor, bailee and bailor, or seller and buyer) instead of Debtor and Secured Party, check the appropriate radio button in Item 6.

Item 7: (TRUST / TRUSTEE / DECEDENT'S ESTATE)

If Debtor is a trust, or a trustee acting with respect to property held in trust, or a decedent's estate, check the appropriate radio button in Item 7.

NOTE: Uniform Commercial Code § 9-503(a)(2) and (3) provide as follows:

"A financing statement sufficiently provides the name of the debtor: * * * * (2) if the debtor is a decedent's estate, only if the financing statement provides the name of the decedent and indicates that the debtor is an estate; (3) if the debtor is a trust or a trustee acting with respect to property held in trust, only if the financing statement: (A) provides the name specified for the trust in its organic documents or, if no name is specified, provides the name of the settlor and additional information sufficient to distinguish the debtor from other trusts having one or more of the same settlors; and (B) indicates, in the debtor's name or otherwise, that the debtor is a trust or is a trustee acting with respect to property held in trust . . . "

Item 8: (TRANSMITTING UTILITY / MANUFACTURED-HOME TRANSACTION / PUBLIC-FINANCE TRANSACTION)

If Debtor is a transmitting utility, or if this financing statement relates to a manufactured-home transaction or a public-finance transaction, check the appropriate radio button in Item 8.

Item 9: (OPTIONAL FILER REFERENCE DATA)

This Item 9 is optional and is for the filer's use only. For your convenience of reference, you may enter in Item 9 any identifying information (e.g., Secured Party's loan number, law firm file number, etc.) that you may find useful.


How to Submit the Electronic UCC Financing Statement for Filing

After you have completed the Electronic UCC Financing Statement in accordance with these instructions, click the "File" button near the bottom left hand corner of the page. You will then receive a prompt asking if you are sure you want to file now. To submit the Electronic UCC Financing Statement for filing, click "OK" in response to that prompt. By clicking the "OK" button, (1) the Electronic UCC Financing Statement will be submitted for filing in the manner in which it then appears, and (2) the applicable processing fee will be charged to the card identified in Item B of the form. Please do not click the "OK" button until you are sure that the Electronic UCC Financing Statement has been properly completed, and that you are ready to file the Electronic UCC Financing Statement.


About the Image of Electronic UCC Financing Statement

When an Electronic UCC Financing Statement is accepted and filed, the Department of State will create an image by placing the data submitted in the Electronic UCC Financing Statement on a form that is substantially similar to the official written UCC-1 form (and, if necessary, on a form substantially similar to the official written UCC-1Ad form). The image so created will be the image that can be viewed on the Department of State web page, and the image that will be used by the Department of State in responding to requests for copies of the filing. Please note that in the process of creating this image, information that is entered in certain "Items" on the electronic template will appear in different "Items" on the image. For example, the Secured Party information is entered in Item 4 on the electronic template, but will appear in Item 3 on the written UCC-1 image created by the Department of State. Similarly, information regarding the third Debtor (if any) is entered in Item 3 on the electronic template, but will appear in Item 11on the written UCC-1Ad image created by the Department of State.


How To Complete Electronic UCC Financing Statement Amendment

Item A: (Name and Phone Number of Contact at Filer)

You may provide filer contact information (name and telephone number) in Item A. Providing this filer contact information is optional.

Item B: (Filer Information)

Item B has two (2) sections: one section for the filer's name and address and one section for card information.

You may provide the filer's name and address in the first section of Item B. Providing the filer's name and address is optional.

You MUST provide the card number, the card expiration date, and the card holder's zip code in the second section of Item B. The processing fee for this Electronic UCC Financing Statement Amendment will be charged to the card identified here, so this card must be one issued to you or one you are authorized to use.

Item 1: Initial Financing Statement File Number

Enter the file number of initial financing statement to which this Amendment relates. You MUST complete Item 1.

NOTE: For an initial financing statement filed in the New York State Department of State's Office prior to November 15, 2002, the file number consists of the six-digit file number (which MUST be entered in the first box in Item 1) and the file date (which MUST be entered, in mm/dd/yyyy format, in the second box in Item 1).

NOTE: For an initial financing statement filed in the New York State Department of State's Office after November 15, 2002, the "file number" is a fifteen-digit number. This number MUST be entered in the first box in Item 1.

Items 2, 3, 4, 5 and 8: (Purpose of the Amendment)

Show the purpose of this Amendment by checking the appropriate radio button(s) in Item 2, 3, 4, 5 or 8.

Permitted actions include:

  • termination (see instructions for Item 2 set forth below),
  • continuation (see instructions for Item 3 set forth below),
  • total assignment (see instructions for Item 4 set forth below),
  • changing a party's name and/or address (see instructions for Item 5 set forth below),
  • deleting a party (see instructions for Item 5 set forth below), adding a new party (see instructions for Item 5 set forth below),
  • deleting collateral (see instructions for Item 8 set forth below),
  • adding collateral (see instructions for Item 8 set forth below),
  • restating collateral (see instructions for Item 8 set forth below).

You may select only one action.

Item 2: Termination

To terminate the effectiveness of the initial financing statement identified in Item 1 with respect to security interest(s) of authorizing Secured Party identified in Item 9:

  • check the radio button in Item 2, and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

Item 3: Continuation

To continue the effectiveness of the initial financing statement identified in Item 1 with respect to security interest(s) of authorizing Secured Party identified in Item 9:

  • check radio button in Item 3, and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

Item 4: Assignment (Full Only)

To assign all of interest of the assignor identified in Item 9 under the initial financing statement identified in Item 1:

  • check the radio button in Item 4, and
  • enter the assignee's name in Item 7a (if the assignee is an organization) or in item 7b (if the assignee is an individual, and
  • enter the assignee's address in Item 7c, and
  • enter the name of the assignor in item 9a (if the assignor is an organization) or Item 9b (if the assignor is an individual).

NOTE: Partial assignments cannot be effected by an Electronic UCC Financing Statement Amendment

Item 5: Amendment (Party Information)

To change the name of a party:

  • check the appropriate radio button in Item 5 to indicate whether this Amendment amends information relating to a Debtor or a Secured Party, and
  • check the radio button in Item 5 to indicate that this is a change of name and/or address, and
  • enter the current record name of the affected party in Item 6a (if the affected party is an organization) or Item 6b (if the affected party is an individual), and
  • enter the new name of the affected party in Item 7a (if the affected party is an organization) or Item 7b (if the affected party is an individual), and
  • enter the address of the affected party in Item 7c (do this even if this address is not being changed), and
  • if the affected party is an organization and a Debtor, you MUST enter the affected Debtor's type of organization (e.g., corporation, limited liability company, partnership, limited partnership, etc.) in Item 7d, and you MUST enter the affected Debtor's jurisdiction of organization (e.g., New York) in Item 7e (and you MAY enter the affected Debtor's organization ID#, if any, in Item 7f), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To change the address of a party:

  • check the appropriate radio button in Item 5 to indicate whether this Amendment amends information relating to a Debtor or a Secured Party, and
  • check the radio button in Item 5 to indicate that this is a change of name and/or address, and
  • enter the current record name of the affected party in Item 6a (if the affected party is an organization) or Item 6b (if the affected party is an individual), and
  • enter the new address of the affected party in Item 7c, and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To change the name and address of a party:

  • check the appropriate radio button in Item 5 to indicate whether this Amendment amends information relating to a Debtor or a Secured Party, and
  • check the radio button in Item 5 to indicate that this is a change of name and/or address, and
  • enter the current record name of the affected party in Item 6a (if the affected party is an organization) or Item 6b (if the affected party is an individual), and
  • enter the new name of the affected party in Item 7a (if the affected party is an organization) or Item 7b (if the affected party is an individual), and
  • enter the new address of the affected party in Item 7c, and
  • if the affected party is an organization and a Debtor, you MUST enter the affected Debtor's type of organization (e.g., corporation, limited liability company, partnership, limited partnership, etc.) in Item 7d, and you MUST enter the affected Debtor's jurisdiction of organization (e.g., New York) in Item 7e (and you MAY enter the affected Debtor's organization ID#, if any, in Item 7f), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To delete a party:

  • check the appropriate radio button in Item 5 to indicate whether this Amendment deletes a Debtor or a Secured Party, and
  • check the radio button in Item 5 to indicate that this is a deletion of a party, and
  • enter the name of the deleted party in Item 6a (if the deleted party is an organization) or Item 6b (if the deleted party is an individual), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To add a party:

  • check the appropriate radio button in Item 5 to indicate whether this Amendment adds a Debtor or Secured Party, and
  • check the radio button in Item 5 to indicate that this is an additional of a party, and
  • enter the name of the added party in Item 7a (if the added party is an organization) or Item 7b (if the added party is an individual), and
  • enter the address of the new party in Item 7c, and
  • if the added party is an organization and a Debtor, you MUST enter the added Debtor's type of organization (e.g., corporation, limited liability company, partnership, limited partnership, etc.) in Item 7d, and you MUST enter the added Debtor's jurisdiction of organization (e.g., New York) in Item 7e (and you MAY enter the affected Debtor's organization ID#, if any, in Item 7f), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

Item 8: Amendment (Collateral Change)

To delete a portion of the collateral covered by the initial financing statement identified in Item 1:

  • check the appropriate radio button in Item 8 to indicate that this Amendment deletes collateral, and
  • enter a description of the collateral to be deleted in Item 8 (NOTE: no more than 4000 characters may be entered in Item 8; if this space is insufficient, you should file by a method [e.g., a written UCC-3 with appropriate addenda] that permits filing with a longer description of the collateral to be deleted), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To add to the collateral covered by the initial financing statement identified in Item 1:

  • check the appropriate radio button in Item 8 to indicate that this Amendment adds collateral, and
  • enter a description of the collateral to be added in Item 8 (NOTE: no more than 4000 characters may be entered in Item 8; if this space is insufficient, you should file by a method [e.g., a written UCC-3 with appropriate addenda] that permits filing with a longer description of the collateral to be added), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

To restate the description of the collateral covered by the initial financing statement identified in Item 1:

  • check the appropriate radio button in Item 8 to indicate that this Amendment restates the collateral description, and
  • enter the restated collateral description in Item 8 (NOTE: no more than 4000 characters may be entered in Item 8; if this space is insufficient, you should file by a method [e.g., a written UCC-3 with appropriate addenda] that permits filing with a longer restated collateral description), and
  • enter the name of the person authorizing this filing in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual).

Item 9: Name of Secured Party of Record Authorizing this Amendment

Enter the name of the party authorizing this Amendment in Item 9a (if the authorizing party is an organization) or Item 9b (if the authorizing party is an individual). Only one authorizing party can be entered in Item 9. If there is more than one authorizing party, each such authorizing party should file a separate Electronic UCC Financing Statement Amendment (or, in the alternative, multiple authorizing parties can be indicated in a written UCC-3 Amendment, with appropriate written UCC-3Ad Amendment Addendum/Addenda annexed thereto).

  • In most cases, the authorizing party will be a Secured Party of record. (NOTE: If the financing statement identified in Item 1 refers to the parties as lessee and lessor, or consignee and consignor, or seller and buyer, instead of Debtor and Secured Party, references in this Amendment shall be deemed likewise so to refer to the parties.)
  • If this is an assignment, enter the name of the assignor in Item 9a (if the assignor is an organization) or Item 9b (if the assignor is an individual).
  • If this is an Amendment authorized by a Debtor which adds collateral or adds the authorizing Debtor, or a termination authorized by a Debtor:
  • check the radio button in Item 9 that indicates that this is such a filing, and
  • enter the name of the authorizing Debtor in Item 9a (if the authorizing Debtor is an organization) or Item 9b (if the authorizing Debtor is an individual).

NOTE: Failure to make an entry in Item 9 will not prompt an error message from the Department of State's UCC e-Filing system, and will not be a ground to reject the Electronic UCC Financing Statement Amendment. However, failure to make the appropriate entry in Item 9 may render the filing ineffective, in whole or in part. FILERS ARE STRONGLY URGED TO TAKE CARE THAT THIS ITEM 9 IS PROPERLY COMPLETED.

Item 10: Optional Filer Reference Data

This Item 10 is optional and is for the filer's use only. For your convenience of reference, you may enter in Item 10 any identifying information (e.g., Secured Party's loan number, law firm file number, etc.) that you may find useful.


How to Submit the Electronic UCC Financing Statement Amendment for Filing

After you have completed the Electronic UCC Financing Statement Amendment in accordance with these instructions, click the "File" button near the bottom left hand corner of the page. You will then receive a prompt asking if you are sure you want to file now. To submit the Electronic UCC Financing Statement Amendment for filing, click "OK" in response to that prompt. By clicking the "OK" button, (1) the Electronic UCC Financing Statement Amendment will be submitted for filing in the manner in which it then appears, and (2) the applicable processing fee will be charged to the card identified in Item B of the form. Please do not click the "OK" button until you are sure that the Electronic UCC Financing Statement Amendment has been properly completed, and that you are ready to file the Electronic UCC Financing Statement Amendment.


About the Image of Electronic UCC Financing Statement Amendment

When an Electronic UCC Financing Statement Amendment is accepted and filed, the Department of State will create an image by placing the data submitted in the Electronic UCC Financing Statement Amendment on a form that is substantially similar to the official written UCC-3 form. The image so created will be the image that can be viewed on the Department of State web page, and the image that will be used by the Department of State in responding to requests for copies of the filing.