Article 9 Forms and Downloads
Find the latest Article 9 UCC forms, accepted by states and Washington D.C., along with valuable resources to support your UCC filings. For better UCC preparation and filing solutions, explore our UCC ProFile system, which offers a comprehensive UCC filing system. Access helpful PDFs, including UCC resources and insightful articles, to ensure your UCC filings are prepared accurately, filed timely, and maintained.
Discover UCC Profile
The most recent version of the Article 9 UCC forms are available below and accepted by almost all states and Washington, D.C. With the exception of New York State, all jurisdictions accept the latest forms version with some states still also accepting the older 2011 UCC forms version below.
If you need guidance selecting forms, complying with state statutes and rules or preparing and maintaining UCC filings, visit our UCC ProFile page to learn about our online UCC preparation, filing and maintenance system. To learn more about the services we offer and how you can benefit by working with us, contact us today!
2023 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 2 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.
2011 Article 9 Forms
These forms continue to be accepted by some jurisdictions but this may not continue indefinitely.
UCC1
Initial financing statement.
UCC1 Addendum
Always use the addendum form for fixture/real estate-related filings when you have up to 2 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.
New York Article 9 Forms
Article 9 forms for use in New York only, dated May 22, 2002.
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 2 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.
UCC Co-Op Addendum Form
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 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.
UCC Article 9 Filing And Searching Info
Explore downloads, links and reference information to assist you in preparing and filing UCC financing statements under Article 9.
UCC Filing Requirements in the 12 States Where You Must File Electronically
The states that require electronic UCC filing have different rules that affect filing acceptance, including whether they accept collateral attachments, how non-US addresses are handled and the number of characters allowed for different fields. The info in this piece will help you to avoid rejection in these states.
Organizational and Tax ID Requirements
List of jurisdictions that require tax ID or organizational ID numbers.
Central Filing Offices That Allow Multiple Functions Per UCC3 Under Article 9
List of central filing offices that allow multiple functions on one UCC3 form.
Effective Life of Financing Statements Under Article 9
This Cogency Global resource indicates the states that have not enacted the model act provisions regarding the effective life of financing statements, including transmitting utility, public finance and manufactured home filings.
The Proposed 2010 Amendments to UCC Article 9
Article by attorney Norman M. Powell of Young Conaway Stargatt & Taylor, LLP.
Filings Against Trusts and Trustees Under The Proposed 2010 Revisions to Current Article 9; Thirteen Variations
Article by attorney Norman M. Powell, a partner in the Delaware law firm Young Conaway Stargatt & Taylor, LLP.
How to Maintain Perfection and Priority When Changes Occur After Closing
What type of filings do you need to make when debtor’s location changes or when a new debtor comes to own collateral as a result of a merger or asset sale? This article, written by attorney Robert W. Ihne, addresses these and other issues that arise when changes occur after the closing. This article was updated in September of 2013. The original version appeared in The Secured Lender in May of 2004.
Article 9 Court Cases of Interest
Knowing how courts have ruled on various Article 9 issues is extremely valuable to secured transaction practitioners. In the links below, Cogency Global provides information on court cases we feel would be of interest to our clients:
Summary of Article 9 Court Cases of Interest
These cases mostly deal with debtor names and search logic, but also include cases about checking the wrong boxes on UCC3s.
Court case summary prepared by Cogency Global
Collateral Description on UCC1 Insufficient to Perfect Security Interest Against All Intellectual Property Assets.
Explore the
Cogency Blog
For more Article 9 resources, blogs and information, visit our blog.
Disclaimer
Links contained in the Cogency Global website to other websites or to information provided by other organizations are provided as a service and neither constitute nor imply endorsement or warranty. Cogency Global does not provide legal advice or render legal services. The resources on this page are provided for informational purposes and should not be considered a substitute for professional legal advice.