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ARTICLE 9 FORMS

The 2010 Article 9 Amendments are effective in all states, the District of Columbia and in Puerto Rico. With the exception of New York and Puerto Rico, all jurisdictions now accept the new ("current") Article 9 forms. Browse links to both the current and older Article 9 forms in fillable PDF (Adobe Acrobat) format  below.

If you need guidance selecting forms, complying with state statutes and rules, or tracking UCC filings, visit our UCC ProFile page to learn about our online UCC preparation, filing and monitoring system.

Current Article 9 Forms (for all jurisdictions except New York and Puerto Rico):

  • 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.

Current Article 9 Forms for Use in Puerto Rico:

  • 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.

Current Article 9 Forms for Use in New York:

  • 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.