ARTICLE 9 FORMS

The most recent version of the Article 9 UCC forms are available 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.

2023 Article 9 Forms:

  1. UCC1 - Initial financing statement.
  2. 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.
  3. UCC1AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on a UCC1.
  4. UCC3 - Amendment form.
  5. UCC3 Addendum - Always use this addendum when amending fixture/real-estate-related filings.
  6. UCC3AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on an amendment filing.
  7. 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

  1. UCC1 - Initial financing statement.
  2. 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.
  3. UCC1AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on a UCC1.
  4. UCC3 - Amendment form.
  5. UCC3 Addendum - Always use this addendum when amending fixture/real-estate-related filings.
  6. UCC3AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on an amendment filing.
  7. 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.

ARTICLE 9 FORMS FOR USE IN NEW YORK ONLY, DATED 05/22/2002:

  1.  UCC1 - Initial financing statement.
  2. 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.
  3. UCC1AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on a UCC1.
  4. 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.
  5. UCC3 - Amendment form.
  6. UCC3- Addendum.
  7. UCC3AP - Use this Additional Party form to list up to three additional debtors and up to two additional secured parties on an amendment filing.
  8. 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.

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