2023 District of Columbia Code › Title 28 - Commercial Instruments and Transactions. [Enacted title] › Subtitle I - Uniform Commercial Code › Article 9 - Secured Transactions › Part V - Filing › Subpart 2 - Duties and Operation of Filing Office › § 28:9–521. Uniform form of written financing statement and amendment

§ 28:9–521. Uniform form of written financing statement and amendment.
(a) A filing office that accepts written records may not refuse to accept a written initial financing statement in the following form and format except for a reason set forth in § 28:9-516(b):
“UCC FINANCING STATEMENT
“FOLLOW INSTRUCTIONS
“A.   NAME & PHONE OF CONTACT AT FILER (optional)
“............................................................
“B.   E-MAIL CONTACT AT FILER (optional)
“............................................................
“C.   SEND ACKNOWLEDGMENT TO: (Name and Address)
“............................................................
“THE ABOVE SPACE IS FOR
“FILING OFFICE USE ONLY
“1.  DEBTOR’S NAME: Provide only one Debtor name (1a or 1b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor’s name); if any part of the Individual Debtor’s name will not fit in line 2b, leave all of itme 2 blank, check here [ ] and provide the Individual Debtor information in item 19 of the Finance Statement Addendum Form (Form UCC1Ad)
“1a.   ORGANIZATION’S NAME
“............................................................
“OR
“1b.   INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
“.............................................
“ADDITIONAL NAME(S)/INITIAL(S) THAT ARE PART OF THE NAME OF THIS DEBTOR SUFFIX
“
“1c.   MAILING ADDRESS
“............................................................
“CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“2.   DEBTOR’S NAME: Provide only one Debtor name (1a or 1b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor’s name; if any part of the Individual Debtor’s name will not fit in line 1b, leave all of item 1blank, check here [ ] and provide the Individual Debtor information in item 10 of the Finance Statement Addendum Form (Form UCC1Ad)
“2a.   ORGANIZATION’S NAME
“
“OR
“2b.   INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
“.............................................
“ADDITIONAL NAME(S)/INITIAL(S) THAT ARE PART OF THE NAME OF THIS DEBTOR SUFFIX
“...........................................................................
“2c.   MAILING ADDRESS
“
“CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“3. SECURED PARTY’S NAME (or NAME of ASSIGNEE of ASSIGNOR SECURED PARTY): Provide only one Secured Party name (3a or 3b)
“3a.   ORGANIZATION’S NAME
“
“3b.   INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
“
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
“...........................................................................
“3c.   MAILING ADDRESS
“
“CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“4.   COLLATERAL: This financing statement covers the following collateral:
“............................................................
“5.   Check only if applicable and check only one box:
“Collateral is   □ held in a Trust (see Instructions)
“□ being administered by a Decedent’s Personal Representative.
“6a.   Check only if applicable and check only one box:
“□ Public-Finance Transaction  □ Manufactured-Home Transaction
“□ A Debtor is a Transmitting Utility
“6b.   Check only if applicable and check only one box:
“□ Agricultural Lien  □ Non-UCC Filing
“7.   ALTERNATIVE DESIGNATION (if applicable):  □ Lessee/Lessor □ Consignee/Consignor □ Seller/Buyer □ Bailer/Bailor □ Licensee/Licensor
“8.   OPTIONAL FILER REFERENCE DATA
“
[UCC FINANCING STATEMENT (Form UCC1)]
“
UCC FINANCING STATEMENT ADDENDUM
“FOLLOW INSTRUCTIONS
“9.  NAME OF FIRST DEBTOR: Same as item 1a or 1b on Financing Statement; if line 1b was left blank because Individual Debtor name did not fit, check here [ ].
“9a. ORGANIZATION’S NAME
“..................................................
“OR
“9b. INDIVIDUAL’S SURNAME
“..................................................
“FIRST PERSONAL NAME
“..................................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
“.................................................................
“THE ABOVE SPACE IS FOR
“FILING OFFICE USE ONLY
“10.DEBTOR’S NAME: Provide (10a or 10b) only one additional Debtor name or Debtor name that did not fit in line 1b or 2b of the Financing Statement (Form UCC1) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor’s name and enter the mailing address in line 10c)
“10a. ORGANIZATION’S NAME
“..................................................
“OR
INDIVIDUAL’S SURNAME
“..................................................
FIRST PERSONAL NAME
“..................................................
“ADDITIONAL NAME(S)/INITIAL(S) THAT ARE PART OF THE
NAME OF THIS DEBTOR SUFFIX
“.................................................................
“10c. MAILING ADDRESS
“
CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“11. □ ADDITIONAL SECURED PARTY’S NAME or  □ ASSIGNOR SECURED PARTY’S NAME: Provide only one name (11a or 11b)
“11a. ORGANIZATION’S NAME
“
“OR
“INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
“...................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
“..........................................................................
“11c. MAILING ADDRESS
“............................................................
“CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“12. ADDITIONAL SPACE FOR ITEM 4 (Collateral)
“................................................................................
“13. □ This FINANCING STATEMENT is to be filed [for record] (or recorded) in the REAL ESTATE RECORDS (if applicable)
“14. This FINANCING STATEMENT:
“□ covers timber to be cut  □ covers as-extracted collateral  □ is filed as a fixture filing
“15. Name and address of a RECORD OWNER of real estate described in item 16 (if Debtor does not have a record interest):
“................................................................................
“16. Description of real estate:
“................................................................................
“17. MISCELLANEOUS:
“................................................................................
[UCC FINANCING STATEMENT ADDENDUM (Form UCC1Ad)].”
(b) A filing office that accepts written records may not refuse to accept a written record in the following form and format except for a reason set forth in § 28:9-516(b):
“UCC FINANCING STATEMENT AMENDMENT
“FOLLOW INSTRUCTIONS
“A. NAME & PHONE OF CONTACT AT FILER (optional)
“................................................................................
“B. E-MAIL CONTACT AT FILER (optional)
“................................................................................
“C. SEND ACKNOWLEDGMENT TO: (Name and Address)
“................................................................................
“THE ABOVE SPACE IS FOR
“FILING OFFICE USE ONLY
“INITIAL FINANCING STATEMENT FILE NUMBER
“................................................................................
“1b. □ This FINANCING STATEMENT AMENDMENT is to be filed [for record] (or recorded) in the REAL ESTATE RECORDS.
“Filer: attach Amendment Addendum (Form UCC3Ad) and provide Debtor’s name in item 13.
“2. □ TERMINATION: Effectiveness of the Financing Statement identified above is terminated with respect to the security interest(s) of
“Secured Party authorizing this Termination Statement.
“3. □ ASSIGNMENT (full or partial): Provide name of Assignee in item 7a or 7b, and address of Assignee in item 7c and name of Assignor in item 9. For partial assignment, complete items 7 and 9 and also indicate affected collateral in item 8
“4. □ CONTINUATION: Effectiveness of the Financing Statement identified above with respect to the security interest(s) of Secured Party authorizing this Continuation Statement is continued for the additional period provided by applicable law
“5. □ PARTY INFORMATION CHANGE:
“Check one of these two boxes:
“This Change affects □ Debtor or □ Secured Party of record.
“AND
“Check one of these three boxes to:
“□ CHANGE name and/or address: Complete item 6a or 6b, and item 7a or 7b and item 7c.
“□ ADD name: Complete item 7a or 7b, and item 7c.
“□ DELETE name: Give record name to be deleted in item 6a or 6b.
“6.   CURRENT RECORD INFORMATION: Complete for Party Information Change — provide only one name (6a or 6b) (use exact, full name; do not omit, modify, or abbreviate any word in the Debtor’s name)
“ORGANIZATION’S NAME
“
“OR
“INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
“................................................................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
“...........................................................................
“7.   CHANGED OR ADDED INFORMATION: Complete for Assignment or Party Information Change — provide only one name (7a or 7b) (use exact full name; do not omit, modify, or abbreviate any part of the Debtor’s name)
“7a. ORGANIZATION’S NAME
“
“OR
“7b. INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
................................................................................
“ADDITIONAL NAME(S)/INITIAL(S) THAT ARE PART OF THE
NAME OF THIS DEBTOR SUFFIX
“7c. MAILING ADDRESS
“CITY STATE   POSTAL CODE   COUNTRY
“.............  ............  ....................
“8.   □ COLLATERAL CHANGE:
“Also check one of these four boxes:
“□ ADD collateral  □ DELETE collateral  □ RESTATE covered collateral
“□ ASSIGN collateral
“Indicate collateral:
“9.   NAME OF SECURED PARTY OF RECORD AUTHORIZING THIS AMENDMENT — provide only one name (9a or 9b) (name of Assignor, if this is an Assignment)
“If this is an Amendment authorized by a DEBTOR, check here □ and provide name of authorizing Debtor
“9a. ORGANIZATION’S NAME
“OR
“INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
................................................................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
“...........................................................................
“10.   OPTIONAL FILER REFERENCE DATA
“
[UCC FINANCING STATEMENT AMENDMENT (Form UCC3)]
“
UCC FINANCING STATEMENT AMENDMENT ADDENDUM
“FOLLOW INSTRUCTIONS
“11.   INITIAL FINANCING STATEMENT FILE NUMBER (same as item 1a on Amendment form)
..................................................
“12.   NAME OF PARTY AUTHORIZING THIS AMENDMENT (same as item 9 on Amendment form)
“12a. ORGANIZATION’S NAME
..................................................
“OR
“12b. INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
.....................................................................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
...........................................................................
“THE ABOVE SPACE IS FOR
“FILING OFFICE USE ONLY
“13.   Name of DEBTOR on related financing statement (Name of a current Debtor of record required for indexing purposes only in some filing offices — see Instruction for item 13; Provide only one Debtor name (13a or 13b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor’s name; see Instructions if name does not fit)
“13a. ORGANIZATION’S NAME
OR
“13b. INDIVIDUAL’S SURNAME FIRST PERSONAL NAME
................................................................................
“ADDITIONAL NAME(S)/INITIAL(S) SUFFIX
...........................................................................
“14.   ADDITIONAL SPACE FOR ITEM 8 (Collateral)
“15.   This FINANCING STATEMENT AMENDMENT:  □ covers timber to be cut
“□ covers as-extracted collateral   □ is filed as a fixture filing
“16.   Name and address of a RECORD OWNER of real estate described in item 17 (if Debtor does not have a record interest):
“17.   Description of real estate
“18.   MISCELLANEOUS:
[UCC FINANCING STATEMENT AMENDMENT ADDENDUM (Form UCC3Ad)].”
(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.
(Oct. 26, 2000, D.C. Law 13-201, § 101, 47 DCR 7576; May 1, 2013, D.C. Law 19-302, § 2(q), 60 DCR 2688.)
Effect of Amendments
The 2013 amendment by D.C. Law 19-302 rewrote (a) and (b).
Editor's Notes
Applicability of D.C. Law 19-302: Section 4 of D.C. Law 19-302 provided that the act shall apply as of July 1, 2013.
Uniform Commercial Code Comment
1. Source.
New.
2. “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).