• What UCC forms are acceptable for use in California?

• Where can I obtain these forms?

• What are altered forms?

• Can I file online?

• What is the National Financing Statement Additional Party form?

• Does California require the barcode on the UCC form?

• I have created my own version of the National form. How can I get my form approved?

National UCC Financing Statement (Form UCC1)
- California Rev. 01/01/08 (Preferred)
- Rev. 5/22/02
- Rev. 7/29/98

National UCC Financing Statement Amendment (Form UCC1Ad)
- California Rev. 01/01/08 (Preferred)
- Rev. 5/22/02
- Rev. 7/29/98

UCC Financing Statement Additional Party (Form UCC1AP)
- California Rev. 01/01/08 (Preferred)
- Rev. 5/22/02
- Rev. 7/29/98

National UCC Financing Statement Amendment (Form UCC3)
- California Rev. 01/01/08 (Preferred)
- Rev. 5/22/02
- Rev. 7/29/98

National UCC Financing Statement Amendment Addendum (Form UCC3Ad)
- Rev. 5/22/02
- Rev. 7/29/98

UCC Financing Statement Amendement Additional Party (Form UCC3AP)
- California Rev. 01/01/08 (Preferred)
- Rev. 5/22/02
- Rev. 7/29/98

National Correction Statement (Form UCC5) (Rev. 5/01/01)
Notice of Judgment Lien (Form JL1) (Rev. 6/01)
Notice of Judgment Lien Statement of Release or Subordination (Form JL3) (Rev. 6/01)
Attachment Lien Form (Form ATL 1 & 3) (Rev. 6/13/01)
National Information Request (Form UCC 11) (Rev. 6/13/01)

The acceptable filing forms can be found on the UCC Forms & Fees page under "Mail/Counter Submissions." These forms have been designed for you to complete online, print and submit to our office. The forms may also be downloaded for future use.

Forms are considered altered if they differ significantly from the preferred California Forms created by the Secretary of State or the National Forms created by IACA. A form that is two-sided is considered altered and will be rejected. For quicker processing, it is also preferable to keep attachment pages one-sided; if they are two-sided, each side will count as a page and may be subject to additional fees.

Yes, UCC Connect provides online services for customers to submit UCC filings, conduct a variety of inquiries and place orders for copies and debtor search certificates on records filed with the Secretary of State's Office.

This is a corresponding form for use with National Financing Statement and National Financing Statement Amendment. The sole use of the form is to add additional debtor or secured party names and addresses.

No, California no longer requires the barcode patch on any forms. Forms containing barcodes will continue to be accepted.

In order to maintain consistency and ensure the use of the correct version of the UCC 1 and UCC 3, a nationally centralized Forms Approval process has been created. The Secretary of State's office in Texas has taken on the responsibility of working with companies who wish to create or produce the National forms for use in UCC filing offices. The process and contact information can be found on the International Association of Commercial Administrators (IACA) website. A list of approved companies that have completed the approval process can also be found on the IACA website.

Please note: The California Secretary of State prefers the January 1, 2008 California revision of the forms which have the debtor social security number fields redacted.

UCC filings are public records. Please do not put people at risk of identity theft by including social security numbers on any documents for filing with the Secretary of State.

• What is the fee for filing?

• Who do I make my check payable to?

• How can I get my documents processed quickly?

• Where can I file and mail my UCC forms?

• How will I know you have received and filed my document?

For documents submitted on paper the number of pages in the filing submittal determines the fee. For documents containing two pages or less, the fee is $10.00. For documents containing three pages or more, the fee is $20.00. These fees apply to all original and change documents filed with our office (Judgment, Attachment, and Tax Liens).

Search copies accompanying the filing are not considered part of the submittal for determining the appropriate fee.

An additional fee of $6.00 per document applies to documents submitted for processing at the UCC Public Counter in Sacramento.

Filings submitted electronically are $5.00 per record. A complete list of fees related to electronic transactions can be found on the UCC Forms & Fees webpage.

Checks may be made payable to the Secretary of State.

Special handling may be requested by delivering forms to the UCC Public Counter at the Secretary of State's Office in Sacramento for an additional fee of $6.00 per document. Filings and requests can also be submitted online using UCC Connect.

Documents may be mailed to:

Secretary of State
UCC Section
PO Box 942835
Sacramento, CA 94235-0001

Documents may also be delivered in person at our UCC Public Counter at:

Secretary of State
UCC Section
1500 11th Street, Room 255
Sacramento, CA 95814

If the document was submitted on paper, you will automatically receive an acknowledgment copy of the accepted filing and an acknowledgment letter showing how the Secretary of State's office indexed the names. The copy will be labeled with a file number, file date and time and returned to the address provided in the "Return To" section of the copy.

If the filing was submitted online, you will receive an e-mail with a link to an electronic briefcase. In your briefcase will be a packing slip, an image of your filed record indicating the file number, file date and time, and an acknowledgment letter.

• Are social security numbers and federal tax identification numbers required in California?

• How do I complete the debtor information fields?

• If the debtor is an organization, which fields are required?

• What is an organizational ID number and how can I find out what the organizational ID number is for my debtor?

• Where does the debtor sign on the National UCC 1 form?

• There is only enough room for two debtor names on the UCC 1 form. Where do I list other debtor names?

• How do I get an acknowledgment copy of my filed document?

• My acknowledgment stated that "All debtors/all secured parties were not indexed." What does this mean?

• How long does a UCC 1 remain active?

Social security numbers and federal tax identification numbers are not required on any filing form in California. Pursuant to California revised Section 9526.5 of the Uniform Commercial Code, any social security number contained in a record will be redacted.

The Secretary of State's office will be using an automated redacting program to find and remove social security numbers, and as a consequence of the programming, federal tax identification numbers may also be redacted.

The revised California forms, available January 1st, 2008, have removed the fields for debtor SSN/EIN information. We ask that filers use these new forms, but we will still be accepting other approved forms.

UCC filings are public records. Please do not put people at risk of identity theft by including social security numbers on any documents for filing with the Secretary of State.

The Debtor information fields on the filing forms are specifically formatted for ease in completing and meeting Article 9 requirements. Be sure to read the instructions on the forms for helpful guidance.

Based on the legal name of the debtor, complete the appropriate name box - either Organization or Individual. Each part of the name should be clearly identified in its particular field. The filing office will index the information in each field exactly as it is presented. The filing office does NOT verify the correctness of the name. Names that are misspelled or additional data placed in the incorrect fields will be keyed as stated.

For each debtor name indicated, a complete mailing address must be provided. The form has been designed to indicate only one address as required by Article 9. Either a street address or a PO Box is acceptable.

If the debtor is an organization, additional information about the organization must also be provided on the form (see next question).

In California, one of the following is required if the Debtor is an organization:

• Type of organization.
• Jurisdiction of organization.
• Organizational ID number, if any, or an indication that there is none.

Many filing offices, including the Secretary of State's Office, issue a registration or file number when the formation document of a business entity is filed, such as the Articles of Incorporation. These numbers may be referred to as organizational IDs. Some filing offices do not issue ID numbers, instead referencing the entity by other means.

For business entities filed with the California Secretary of State's Office, the organizational ID can be obtained in different ways, depending on the business type. For corporations, limited partnerships and limited liability companies, this information can be accessed via the Internet using our California Business Search.

For general partnerships, limited liability partnerships and associations that have registered with the Secretary of State, inquiries can be made through the mail or in person:

Business Programs Division
Business Filings Section
1500 11th Street, Room 345
Sacramento, CA 95814

PO Box 944225
Sacramento, CA 94244-2250

There is no signature requirement on any of the financing statement filing forms. Under Article 9, it is the responsibility of the filer to ensure the proper authority exists to submit and file the documents.

Additional debtors may be listed on the National Financing Statement Addendum and/or the National Financing Statement Additional Party form. All of these forms can be downloaded from the UCC Forms & Fees page.

We do not recommend listing additional debtor names on exhibits or non-formatted pages as these names will not be indexed.

If the filed document was submitted on paper, you will automatically receive an acknowledgment copy of the accepted document, which will be time and date stamped. You will also receive an acknowledgment letter that will reflect how the record was indexed.

If the filed document was submitted online, you will receive an e-mail with a link to an electronic briefcase. Printable documents in your briefcase will include a packing slip, an image of your filed record indicating the file number, file date and time, and an acknowledgment letter.

If the document had sufficient information to be filed and indexed, but included additional information that was either incomplete or not legible enough to index (usually debtor or secured party names and/or addresses), the acknowledgment letter will reflect the items indexed and will state that "all the debtors or secured parties were not indexed." These filings are often referred to as "partial filings." To add the information that was not indexed, submit a Financing Statement Amendment (UCC 3). The UCC 3 form can be downloaded from the UCC Forms & Fees page. Read the instructions carefully when completing the form.

The duration of a UCC 1 is five years from the date of filing (with a few statutory exceptions). The UCC 1 is active in our files for an additional year after it lapses and will reflect on a search response for that additional year, then will be purged from our files.

• How do I request a debtor name search?

• What types of requests are available?

• Can I search online?

• How can I conduct a search?

• How many debtor names can I request on a search?

• How can I get copies of filed documents?

• What is the fee for a search?

A search report can be obtained in the following ways:

• A search can be requested at the time of filing a UCC 1 Financing Statement by checking box 7 of the UCC 1 form. There is an additional fee of $10.00 per debtor name to be searched. This search, referred to as a SEARCH TO REFLECT, will be processed after the UCC 1 is filed under the debtor name(s). If data related to a requested debtor was not indexed, the filing will not be reflected on a search report.
• A debtor search report can also be obtained by submitting a request to our office including the appropriate fee of $10.00 per search request. The National Information Request (Form UCC 11) can be downloaded from the UCC Forms & Fees page. This form has been customized for use in California.
• Debtor name searches can also be conducted online from our UCC Connect website. The fee for online searches is $5.00 per name searched.

• Be sure to indicate clearly the debtor name to be searched by completing one of the formatted name boxes.
• Under the information options, mark the ALL box. At this time, California searches include all filings - unlapsed and lapsed. Do not mark the "unlapsed" box.
• Searches can be conducted with "qualifiers" such as a date range or a specific address. NOTE: By adding qualifiers, the search may not reveal all records under the requested debtor name.

The following types of requests are available:

• Search Only
• Search and Copies (filings which reflect on the search response)
• Search plus Copies
• Copies Only

Please read all UCC 11 form instructions carefully.

Yes. You can conduct debtor name and other types of searches online using the Secretary of State's UCC Connect website.

To request a search for information and/or copies of filings, use the National Information Request (Form UCC 11), which may be downloaded from the UCC Forms & Fees page. This form has been customized for use in California.

Only one debtor name may be requested per search request.

Copies of documents can be obtained by submitting a National Information Request (Form UCC 11) to our office including the appropriate fees. The UCC 11 can be downloaded from the UCC Forms & Fees page. The UCC 11 has been customized for use in California and includes important information on submitting the correct copy fees which are based on the number of pages copied.

• Copies may be obtained in conjunction with a search request.
• The fee for copies is $1.00 for each face page, and $.50 for each attachment page.
• To request copies of records without a search report or to request copies of records not related to a requested search, complete Item 2c, filling in the appropriate columns of information. UCC 1 file numbers must be listed on the request in order to obtain copies of documents.
• If you wish to have your copies certified, mark the CERTIFIED box in Item 2a. There is an additional fee of $5.00 per document for certification.
• You may also order copies online at our UCC Connect website.

The fee is $10.00 per debtor name searched. An additional fee of $6.00 per document applies to documents submitted for processing at the UCC Public Counter in Sacramento. See the UCC Forms & Fees page for a complete listing of fees for searches submitted in paper form or electronically.

If the search is submitted online at UCC Connect, the fee is $5.00 per name searched.