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UCC-1 Financing Statement

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STATE OF NORTH CAROLINA

County

File No.

In The General Court Of Justice

JUDICIAL FINDINGS

AS TO REQUIRED

DNA SAMPLE

STATE VERSUS

Name Of Defendant

Race

Sex

Date Of Birth

File No.

G.S. No.

Offense Description

G.S. 15A-266.4, 15A-266.6

NOTE: Use this form only to make "Judicial Findings As To Required DNA Sample" after conviction of any felony, assault on a handicapped person (G.S. 14-32.1), stalking under the former G.S. 14-277.3, or any offense described in G.S. 15A-266.3A, and only if the defendant is not sentenced to a term of confinement. Complete this form after completing the appropriate AOC judgment form.

FINDINGS OF SPECIAL INFORMATION

The Court, having entered judgment, which is incorporated by reference, makes the following "Findings Of Special Information" and includes these findings in the judgment. The judgment is modified to the extent necessary to include these findings, but the inclusion of these findings does not otherwise alter, amend, or modify the judgment in any respect.

  1. The defendant has been convicted in the above case of an offense described in G.S. 15A-266.4 requiring that a DNA sample be taken.
  2. The defendant has not been sentenced to a term of confinement.
  3. A DNA sample has not previously been obtained by lawful process from the defendant and a record has not been stored in the State DNA Database, or if previously obtained and stored, the sample and record have been expunged.

ORDER

Based upon the foregoing findings, the Court ORDERS:

  1. The defendant shall report to the Sheriff of the above-captioned county at the location shown below for the purpose of having a DNA sample taken
  2. The Sheriff shall inform the court in the section provided below of any failure by the defendant to appear as ordered herein.

Date For Taking Sample

Time For Taking Sample

Location For Taking Sample

Name Of Presiding Judge (Type Or Print)

Signature Of Presiding Judge

Date

SHERIFF'S REPORT OF DEFENDANT'S FAILURE TO APPEAR

NOTE TO SHERIFF: G.S. 15A-266.6(a) provides that, if the defendant fails to appear for DNA sampling as ordered by the Court, "the sheriff shall inform the court of the failure to appear."

The undersigned hereby informs the Court that the above-named defendant failed to provide a DNA sample, in that:

Name (Type Or Print)

Signature

Date

ORDER UPON SHERIFF'S REPORT

Pursuant to the Sheriff's report above that the defendant failed to provide a DNA sample as ordered, the Court hereby Orders pursuant to G.S. 5A-15 that the clerk of superior court shall issue an order to the defendant to appear at the next criminal session of this court and show cause why he/she should not be held in criminal contempt of court.

the Court finds that there is probable cause to believe that the defendant will not appear in response to the order to show cause and therefore Orders that the clerk issue an order for the defendant's arrest with the show cause order.

NOTE TO CLERK: Pursuant to Rule of Recordkeeping 9.1, Comment E., establish a new criminal case for the contempt proceeding separate from the original criminal case captioned above.

Name Of Judge (Type Or Print)

Signature of Judge

Date

AOC-CR-319, Rev. 5/13

Original - File Copy - Sheriff Copy - Defendant

2013 Administrative Office of the Courts

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What a UCC-1 Financing Statement Is and why it matters

A UCC-1 Financing Statement is a public filing that notifies third parties that a secured party claims a security interest in collateral owned by a debtor under Article 9 of the Uniform Commercial Code. It does not create the security interest itself but perfects priority against later creditors once properly filed with the designated state filing office. Typical filings identify the debtor, the secured party, and a description of collateral so prospective lenders, buyers, and lien searchers can discover encumbrances. UCC-1 filings are state-level records; timing, fees, and continuation rules vary by jurisdiction.

Why filing a UCC-1 Financing Statement is important

A correctly prepared UCC-1 protects a secured party’s priority against competing creditors, creates public notice of the security interest, and facilitates commercial lending and asset-based transactions with clear risk allocation.

Why filing a UCC-1 Financing Statement is important

Who typically prepares and relies on UCC-1 filings

The UCC-1 is used by lenders, secured creditors, and businesses that take collateral for loans or credit. It is a routine part of commercial finance and asset-based lending workflows.

  • Banks and commercial lenders — document security interests for loans and lines of credit.
  • Equipment lessors and vendors — protect ownership interests in leased or financed equipment.
  • Business borrowers and advisors — monitor filings to manage encumbrances and title issues.

Accuracy is essential: mistakes in debtor identity, collateral description, or filing jurisdiction can impair priority and enforcement rights.

Step-by-step: preparing and filing a UCC-1

Follow these core steps to produce a complete filing and reduce the chance of rejection or dispute.

  • 01
    Gather documents: Collect loan agreement and debtor identity documents.
  • 02
    Draft the UCC-1: Populate debtor, secured party, and collateral fields accurately.
  • 03
    File with office: Submit to the appropriate state filing office and pay fees.
  • 04
    Monitor and continue: Track effective date and file continuation before expiry.

Where and how a UCC-1 is submitted

UCC-1 filings are state filings. Choose the proper jurisdiction and submission method to ensure perfection and public notice.

  • Secretary of State: Primary filing office for most personal property security interests.
  • County recording: Some fixtures require county filing for real estate-affixed collateral.
  • Electronic filing: Many states accept online UCC-1 submissions via SOS portals.
  • Paper filing: Allowed in jurisdictions that maintain paper records or for supplemental documents.

Typical e-filing workflow configuration

Set these options when building a digital UCC-1 workflow to reduce friction and improve accuracy.

Field Configuration
Debtor name validation Require exact-name entry; add validation rules
Authentication Email or SMS code for signer attribution
Document format PDF/A preferred for long-term retention
Audit options Enable timestamps, IP capture, and event history

Technical and platform considerations for e-submission

Ensure the solution preserves a complete audit trail, supports required export formats for SOS portals, and can retain records to meet statutory retention obligations.

  • Integrations: Salesforce, NetSuite, Microsoft 365 supported
  • File formats: PDF, DOCX, and automated PDF output
  • Authentication: Email link, SMS code, or higher assurance

Security, encryption, and compliance references

In-transit encryption: TLS 1.2/1.3
At-rest encryption: AES-256
Certifications: SOC 2 Type II
HIPAA support: BAA available
21 CFR Part 11: Support for FDA-regulated records
Legal compliance: ESIGN and UETA recognized

Consequences of incorrect or incomplete UCC-1 filings

Unperfected lien: Loss of priority against other creditors
Name errors: Filing may be ineffective or rejected
Wrong jurisdiction: Perfection may fail for collateral located elsewhere
Expired statement: Security interest may lapse when not continued
Incomplete collateral: Enforcement scope may be limited
Fraud risk: Unauthorized filings can create disputes

Common preparation errors and filing friction points

  • Using a trade name instead of the debtor’s legal name leading to ineffective perfection and search mismatches.
  • Vague collateral descriptions like 'all assets' without clarifying exceptions, which can complicate enforcement or priority disputes.
  • Filing in the wrong state because collateral is tied to real property or the debtor’s location, creating imperfect priority.
  • Failure to file a continuation within six months before expiration, causing the financing statement to lapse and priority to be lost.

Key timelines and deadlines for UCC-1 filings

Timely filing and continuation are essential to maintain perfected priority; observe statutory and office-specific deadlines.

Effective Date:

Perfection is effective upon filing acceptance by the designated office.

Initial Filing:

File as soon as security agreement is executed to establish priority.

Statement Duration:

Financing statements typically lapse after five years without continuation.

Continuation Window:

File continuation within six months before expiration to extend protection.

Amendments:

Amend promptly for collateral additions, releases, or debtor name changes.

Essential elements to verify on every UCC-1

Confirm these six elements before filing to reduce rejection risk and protect priority.

Debtor Name Accuracy

The debtor’s exact legal name per formation or state records; errors often invalidate perfection or hinder searches.

Secured Party Identity

Full legal name of the secured creditor or assignee; clarity supports enforcement and assignment tracking.

Collateral Description

Specific, non-ambiguous description of collateral categories or particular assets to define the security interest scope.

Filing Jurisdiction

File in the state prescribed by UCC rules for the debtor’s location or where collateral is located.

File Number

Record and communicate the filing number provided by the filing office for monitoring and searches.

Duration & Continuation

Track the lapse date and file continuations timely to avoid unperfected interests.

eSignature solution pricing and capability snapshot

Compare basic pricing and key capability indicators for common eSignature vendors; signNow is listed first per data sources without a datestamp in this summary.

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Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies Varies Varies Varies
Bulk Send Yes Yes Yes Yes Varies
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No

Frequently asked questions about UCC-1 Financing Statements

Answers to common questions about preparation, filing, effects on priority, and digital submission.


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