District of Columbia Official Code 2001 Edition.

Division V. Local Business Affairs.

Title 28. Commercial Instruments and Transactions.

Subtitle I. Uniform Commercial Code.

Article 9. Secured Transactions.

Part 5. Filing.

Subpart 2. Duties and Operation of Filing Office.

§ 28:9-521. Uniform form of written financing statement and amendment.

Current through October 23, 2012

(a) A filing office that accepts written records for filing may not refuse to accept a written initial financing statement in the following form, except for a reason set forth in § 28:9-516(b):

UCC FINANCING STATEMENT

FOLLOW INSTRUCTIONS (front and back) CAREFULLY

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A. NAME AND PHONE OF CONTACT AT FILER [optional]

-------------------------------------------------------

B. SEND ACKNOWLEDGMENT TO: (Name and Address)

____ ____

____ ____ THE ABOVE SPACE IS FOR

FILING OFFICE USE

ONLY

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1. DEBTOR'S EXACT FULL LEGAL NAME--insert only one debtor name (1a or 1b)-

Do not abbreviate or combine names

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1a. ORGANIZATION'S NAME

OR -------------------------------------------------------------------------

1b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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1c. MAILING ADDRESS CITY STATE POSTAL COUNTRY

CODE

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1d. TAX ID. ADD'L INFO. RE 1e. TYPE OF 1f. JURISD- 1g. ORGANIZATIONAL ID

NO. SSN OR ORGANIZATION ORGANIZATION ICTION OF No., if any

EIN DEBTOR ORGANIZA-

TION

[ ] NONE

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2. ADDITIONAL DEBTOR'S EXACT FULL LEGAL NAME--insert only one debtor name

(2a or 2b)--do not abbreviate or combine names

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2a. ORGANIZATION'S NAME

OR -------------------------------------------------------------------------

2b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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2c. MAILING ADDRESS CITY STATE POSTAL COUNTRY

CODE

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2d. TAX ID. ADD'L INFO. RE 2e. TYPE OF 2f. JURISD- 2g. ORGANIZATIONAL ID

NO. SSN OR ORGANIZATION ORGANIZATION ICTION OF No., if any

EIN DEBTOR ORGANIZA-

TION

[ ] NONE

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3. SECURED PARTY'S NAME (or name of total assignee of assignor S/P)-insert

only one secured party name (3a or 3b)

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3a. ORGANIZATION'S NAME

OR -------------------------------------------------------------------------

3b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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3c. MAILING CITY STATE POSTAL CODE COUNTRY

ADDRESS

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4. This FINANCING STATEMENT covers the following collateral:

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5. ALTERNATIVE DESIGNATION [if applicable]: [ ] LESSEE/LESSOR [ ]

CONSIGNEE/CONSIGNOR [ ] BAILEE/BAILOR [ ] SELLER/BUYER [ ] AG. LIEN [ ]

NON-UCC FILING

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6. [ ] This FINANCING STATEMENT is to be filed 7. Check to REQUEST SEARCH

(for record) (or recorded) in the REAL REPORT(S) on Debtor(s)

ESTATE RECORDS. Attach Addendum [if [ADDITIONAL FEE] [optional]

applicable] [ ] All Debtors [ ] Debtor 1

[ ] Debtor 2

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8. OPTIONAL FILER REFERENCE DATA

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FILING OFFICE COPY--NATIONAL UCC FILING STATEMENT (FORM UCC 1) (REV. 07/29/98)

[Back of form]

UCC FINANCING STATEMENT ADDENDUM

FOLLOW INSTRUCTIONS instructions (front and

back) CAREFULLY.

------------------------------------------------

9. NAME OF FIRST DEBTOR (1a or 1b) ON RELATED

FINANCING STATEMENT

------------------------------------------------

9a. ORGANIZATION'S NAME

------------------------------------------------

9b. INDIVIDUAL'S FIRST NAME MIDDLE NAME,

LAST NAME SUFFIX

------------------------------------------------

10. MISCELLANEOUS:

THE ABOVE SPACE IS FOR

FILING OFFICE USE ONLY

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ADDITIONAL DEBTOR'S EXACT FULL LEGAL NAME--insert only one name (11a or

11b)--do not abbreviate or combine names

----------------------------------------------------------------------------

11a. ORGANIZATION'S NAME

OR ----------------------------------------------------------------------------

11b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

-------------------------------------------------------------------------------

11c. MAILING ADDRESS CITY STATE POSTAL COUNTRY

CODE

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11d. TAX ADD'L INFO. RE 11e. TYPE OF 11f. JURIS- 11g. ORGANIZATIONAL ID

ID. NO. ORGANIZATION ORGANIZATION DICTION No., if any

SSN OR DEBTOR OF ORGAN-

EIN IZATION

[ ] NONE

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[ ] ADDITIONAL SECURED PARTY'S or [ ] ASSIGNOR S/P'S NAME-insert only one

name (12a or 12b).

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12a. ORGANIZATION'S NAME

OR ----------------------------------------------------------------------------

12b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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12c. MAILING ADDRESS CITY STATE POSTAL COUNTRY

CODE

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13. This FINANCING STATEMENT covers [ ] 16. Additional collateral

timber to be cut or [ ] as-extracted description:

collateral, or is filed as a [ ] fixture

filing.

14. Description of real estate:

15. Name and address of a RECORD OWNER of

the above-described real estate (if

Debtor does not have record interest):

-----------------------------------

17. Check only if applicable and

check only one box:

Debtor is a [ ] Trust or [ ]

Trustee acting with respect to

property held in trust or [ ]

Decedent's Estate

-----------------------------------

18. Check only if applicable and

check only one box:

[ ] Debtor is a TRANSMITTING

UTILITY

[ ] Filed in connection with a

Manufactured-Home

Transaction--effective 30 years

[ ] Filed in connection with a

Public-Finance

Transaction--effective 30 years

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FILING OFFICE COPY--NATIONAL UCC FILING STATEMENT (FORM UCC 1Ad) (REV.

07/29/98)

(b) A filing office that accepts written records for filing may not refuse to accept a written financing statement amendment in the following form, except for a reason set forth in § 28:9-516(b):

UCC FINANCING STATEMENT

FOLLOW INSTRUCTIONS (front and back) CAREFULLY

------------------------------------------------------

A. NAME AND PHONE OF CONTACT AT FILER [optional]

------------------------------------------------------

B. SEND ACKNOWLEDGMENT TO: (Name and Address)

____ ____

THE ABOVE SPACE IS FOR

FILING OFFICE USE

ONLY

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1a. INITIAL FINANCING STATEMENT FILE NO. 1b. [ ] This FINANCING STATEMENT

AMENDMENT is to be filed (for

record) (or recorded) in the

REAL ESTATE RECORDS.

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2. [ ] TERMINATION: Effectiveness of the Financing Statement identified above

is terminated with respect to security interest(s) of the Secured Party

authorizing this Termination Statement.

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3. [ ] CONTINUATION: Effectiveness of the Financing Statement identified above

with respect to security interest(s) of the Secured Party authorizing this

Continuation Statement is continued for the additional period provided by

applicable law.

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4. [ ] ASSIGNMENT (full or partial): Give name of assignee in item 7a or 7b and

address of assignee in item 7c; and also give name of assignor in item 9.

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5. AMENDMENT (PARTY INFORMATION): This Amendment affects [ ] Debtor or [ ]

Secured Party of record. Check only one of these two boxes. Also check one of

the following three boxes and provide appropriate information in items 6

and/or 7.

[ ] CHANGE name and/or address: Give current [ ] DELETE [ ] ADD name:

record name in item 6a or 6b; also give name: Give Complete item 7a

new name (if name change) in item 7a or 7b record name or 7b, and also

and/or new address (if address change) in to be item 7c; also

item 7c. deleted in complete items

item 6a or 7d-7g (if

6b. applicable).

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6. CURRENT RECORD INFORMATION:

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6a. ORGANIZATION'S NAME

OR --------------------------------------------------------------------------

6b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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7. CHANGED (NEW) OR ADDED INFORMATION:

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7a. ORGANIZATION'S NAME

OR --------------------------------------------------------------------------

7b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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7c. MAILING ADDRESS CITY STATE POSTAL COUNTRY

CODE

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7d. TAX ID. ADD'L INFO. RE 2e. TYPE OF 2f. JURISDI- 2g. ORGANIZATIONAL ID

NO. SSN ORGANIZATION ORGANIZATION CTION OF No., if any

OR EIN DEBTOR ORGANIZAT-

ION

[ ] NONE

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8. AMENDMENT (COLLATERAL CHANGE): check only one box

Describe collateral [ ] deleted or [ ] added, or give entire [ ] restated

collateral description, or describe collateral [ ] assigned.

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9. NAME OF SECURED PARTY OF RECORD AUTHORIZING THIS AMENDMENT (name of

assignor, if this is an Assignment). If this is an Amendment authorized

by a Debtor which adds collateral or adds the authorizing Debtor, or if

this is a Termination authorized by a Debtor, check here [ ] and enter

name of DEBTOR authorizing this Amendment.

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9a. ORGANIZATION'S NAME

OR --------------------------------------------------------------------------

9b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME SUFFIX

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10. OPTIONAL FILE REFERENCE DATA

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FILING OFFICE COPY--NATIONAL UCC FINANCING STATEMENT AMENDMENT (FORM UCC3)

(REV. 07/29/98)

[Back of form]

UCC FINANCING STATEMENT AMENDMENT ADDENDUM

FOLLOW INSTRUCTIONS (front and back) CAREFULLY.

-------------------------------------------------------------

11. INITIAL FINANCING STATEMENT FILE NO. (same as item 1a on

Amendment form)

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12. NAME OF PARTY AUTHORIZING THIS AMENDMENT (same as item 9

on Amendment form)

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12a. ORGANIZATION'S NAME

-------------------------------------------------------------

12b. INDIVIDUAL'S LAST NAME FIRST NAME MIDDLE NAME,

SUFFIX

-------------------------------------------------------------

13. Use this space for additional information

THE ABOVE SPACE

IS FOR

FILING OFFICE

USE ONLY

--------------------------------------------------------

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FILING OFFICE COPY--NATIONAL UCC FINANCING STATEMENT AMENDMENT ADDENDUM (FORM

UCC3Ad) (REV. 07/29/98)

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(c) A form that a filing office may not refuse to accept under subsection (a) or (b) of this section must conform to the format prescribed for the form by the National Conference of Commissioners on Uniform State Laws.

                
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(Oct. 26, 2000, D.C. Law 13-201, § 101, 47 DCR 7576.)

HISTORICAL AND STATUTORY NOTES

UNIFORM COMMERCIAL CODE COMMENT

Source

New.

"Safe Harbor" Written Forms

Although Section 9-520 limits the bases upon which the filing office can refuse to accept records, this section provides sample written forms that must be accepted in every filing office in the country, as long as the filing office's rules permit it to accept written communications. By completing one of the forms in this section, a secured party can be certain that the filing office is obligated to accept it.

The forms in this section are based upon national financing statement forms that were in use under former Article 9. Those forms were developed over an extended period and reflect the comments and suggestions of filing officers, secured parties and their counsel, and service companies. The formatting of those forms and of the ones in this section has been designed to reduce error by both filers and filing offices.

A filing office that accepts written communications may not reject, on grounds of form or format, a filing using these forms. Although filers are not required to use the forms, they are encouraged and can be expected to do so, inasmuch as the forms are well designed and avoid the risk of rejection on the basis of form or format. As their use expands, the forms will rapidly become familiar to both filers and filing-office personnel. Filing offices may and should encourage the use of these forms by declaring them to be the "standard" (but not exclusive) forms for each jurisdiction, albeit without in any way suggesting that alternative forms are unacceptable.

The multi-purpose form in subsection (b) covers changes with respect to the debtor, the secured party, the collateral, and the status of the financing statement (termination and continuation). A single form may be used for several different types of amendments at once (e.g., both to change a debtor's name and continue the effectiveness of the financing statement).

Legislative History of Laws

For Law 13-201, see notes following § 28:9-101.