Instructions for UCC Financing Statement Amendment (Form UCC3)
For faster processing and reduced filing fees, UCC financing statement amendments can be filed electronically at https://uccconnect.sos.ca.gov . Fees: If submitting online, the filing fee for a financing statem ent is $5. If submitting on paper, the Financing Statement Amendm ent (Form UCC-3) must be
accompanied by a $10 fee if less than 3 pages. If 3 pages or more, the fee is $20. (Government Code section 12194)
If submitting the statement on paper, please use this fillable form. The information mu st be legible for digital imaging. Read and follow all Instructions, especially
Instruction 1a; correct file number of initial financing statement is crucial. Fill the form very carefully; mistakes may have important legal consequences. If you
have questions, consult your legal counsel. The Secretary of State’s office cannot give legal advice. Filing statutes can be found in California Uniform Commercial
Code sections 9501-9528. Completed forms along with the applicable fees can be mailed to Secretary of State, UCC Section, P.O. Box 942835, Sacramento, CA
94235-0001 or delivered in person (drop off) to the Sacramento office, 1500 11
th Street, Sacramento, CA 95814. Do not insert anything in the open space in the upper portion of this form; it is reserved for filing office use only.
Complete the UCC Financing Statement Amendment (Form UCC-3) as follows:
A and B. To assist filing offices that might wish to communicate with filer, filer may provide information in item A and item B. These items are optional.
C. Complete item C if filer desires an acknowledgment sent.
1a. File Number. Enter file number of initial financing statement to which this Amendment relates. Enter only one
file number. In some states, the
file number is not unique; in those states, also enter in item 1a, after the file number, the date that the initial financing s tatement was filed.
1b. If this Amendment is to be filed in the real estate records or in any other filing office where the name of current Debtor is required for indexing purposes,
check the box in item 1b and
enter Debtor name in item 13 of Amendment Addendum (Form UCC3Ad). Complete item 13 in accordance with
instructions on Amendment Addendum (Form UCC3Ad). If Debtor does not have an interest of record, enter the name and address of the record
owner in item 16 of Amendment Addendum (Form UCC3Ad).
Note: Show purpose of this Amendment by checking box 2, 3, 4, 5, or
8 (in items 5 and 8 you must check additional boxes); also complete items 6, 7,
and/or 8 as appropriate. Some, but not all filing offices accept multiple actions on an Amendment. Filing offices that accept multiple actions may charge
an additional fee. Some filing offices that accept multiple acti ons may only index one of the actions requested. Consult the administrative rules of the
designated filing office to determine the extent to which mult iple actions will be accepted, indexed, and the applicable filing fees for multiple actions.
2. Termination. To terminate
the effectiveness of the identified financing statement with respect to the security interest(s) of authorizing Secured
Party, check box in item 2. See Instruction 9 below.
3. Assignment. To assign
(1) some or all of Assignor’s right to amend the identifie d financing statement, or (2) the Assignor’s right to amend the
identified financing statement with respect to some (but not a ll) of the collateral covered by the identified financing statement: Check box in item
3 and enter name of Assignee in item 7a or 7b; always enter the Assignee’s mailing address in item 7c. Also enter name of Assignor in item 9. If
assignment affects the right to amend the financing statement with respect to some (but not all) of the collateral covered by t he identified financing
statement, check the ASSIGN collateral box and indicate the particular collateral covered in item 8.
4. Continuation. To continue
the effectiveness of the identified financing statement with respect to the security interest(s) of authorizing Secured
Party, check box in item 4. See Instruction 9 below.
5-7. Party Information Change. To indicate a party information change
, check this box; also check additional boxes (as applicable) and complete items
5, 6, and/or 7 as appropriate.
To change the name and/or address
of a party (items 5, 6, and 7): Check box in item 5 to indicate whether this Amendment relates to a Debtor or
Secured Party of record; and check the CHANGE name and/or mailing address box in item 5 and enter name of affected party (curre nt record name)
in item 6a or 6b; and repeat or enter the new name in item 7a or 7b; always enter the party’s mailing address in item 7c.
To add
a party (items 5 and 7): Check box in item 5 to indicate whether this Am endment relates to a Debtor or Secured Party of record; and check
the ADD name box in item 5 and enter the added party’s name in it em 7a or 7b; always enter the party’s mailing address in item 7c. For additional
Debtors or Secured Parties, attach Amendment Additional Party (Form UCC3AP), using correct name format.
To delete
a party (items 5 and 6): Check box in item 5 to indicate whether this Amen dment relates to a Debtor or Secured Party of record; and check
the DELETE name box in item 5 and enter the deleted party’s name in item 6a or 6b.
8. Collateral Change. To indicate a collateral change
, check this box; also check additional box (as applicable) and describe the change in item 8.
If space in item 8 is insufficient, conti nue collateral description in item 14 of Amendment Addendum (Form UCC3Ad). Do not incl ude social security
numbers or other personally identifiable information.
To add
collateral: Check the ADD collateral box in item 8 and indicate the additional collateral.
To delete collateral: Check the DELETE collateral box in item 8 and indicate the deleted collateral. A partial release is a DELETE collateral change.
To restate covered collateral description: Check t he RESTATE covered collateral box in item 8 and indicate the restated collateral.
To assign the right to amend the financing statement with respect to part (but not all) of the collateral covered by the identified financing statement:
Comply with Instruction 3 above and check the ASSIGN collateral box in item 8.
If, due to a full release of collateral, filer no longer claims a security interest under the identified financing statement, check box in item 2 (Termination)
and not a box in item 8 (Collateral Change).
9. Name of Authorizing Party. Enter name of party of record authorizing this Amendment. In most cases, the authorizing party is the Secured Party
of record. If this is an Amendment (Assignment), enter Assignor's name in item 9a or 9b. If this is an Amendment (Termination) authorized by a
Debtor, check the box in item 9 and enter the name of the Debtor authorizing this Amendment in item 9a or 9b. If this Amendment (Termination)
is to be filed or recorded in the real estate records, also enter, in item 12 of Amendment Addendum (Form UCC3Ad), the name of Secured Party
of record. If there is more than one authorizing Secured Party or Debtor, enter additional name(s) in item 14 of Amendment Adde ndum (Form
UCC3Ad).
10. Optional Filer Reference Data. This item is optional and is for filer's use only. For filer's convenience of reference, filer may enter in item 10 any
identifying information that filer may find useful. Do not include social security numbers or other personally identifiable information.
Instructions for UCC Financing Statement Amendment Addendum (Form UCC3Ad)
Please type or laser-print this form. Be sure it is completely legible. Read and follow all Instructions; use of the correct name for the Debtor is crucial.
Fill in form very carefully; mistakes may have important legal consequences. If you have questions, consult your attorney. The filing office cannot give
legal advice.
ITEM INSTRUCTIONS
11.File Number. Enter file number of initial financing statement as shown in item 1a of Amendment (Form UCC3) to which this Amendment
Addendum relates.
12.Name of Authorizing Party. Enter information exactly as shown in item 9 on Amendment (Form UCC3).
13.Name of Debtor on related Financing Statement. If this Amendment (Form UCC3) is to be filed in the real estate records or in any other filing
office where the name of a current Debtor of record is required for indexing purposes, enter Debtor name in item 13a or 13b. Item 13 is intended
to cross-reference the Amendment (Form UCC3) and Amendment Addendum with the related Financing Statement (Form UCC1). If more than
one current Debtor, enter additional name(s) in item 14 or on additional Amendment Addendum (Form UCC3Ad). Do not use item 13 to change,
add, or delete a Debtor name.
14.Additional Space for Item 8 (Collateral). If space in item 8 of Amendment (Form UCC3) is insufficient or additional information must be provided,
enter additional information in item 14 or attach additional page(s) and incorporate by reference in item 14 (e.g., See Exhibit A). Do not include
social security numbers or other personally identifiable information.
15-17.Real Estate Record Information. If this Amendment (Form UCC3) is to be filed in the real estate records, complete the required information
(items 15, 16, and 17). If this Amendment (Form UCC3) covers timber to be cut, covers as-extracted collateral, and/or is filed as a fixture filing,
check appropriate box in item 15. If the Debtor does not have an interest of record, enter the name and address of the record owner in item 16.
Provide a sufficient description of real estate in accordance with the applicable law of the jurisdiction where the real estate is located in item 17.
If space in items 16 or 17 is insufficient, attach additional page(s) and incorporate by reference in items 16 or 17 (e.g., See Exhibit A), and continue
the real estate information. Do not include social security numbers or other personally identifiable information.
18.Miscellaneous. Under certain circumstances, additional information not provided on the Financing Statement Amendment (Form UCC3) may
be required. Also, some states have non-uniform requirements. Use this space or attach additional page(s) and incorporate by reference in item
18 (e.g., See Exhibit A) to provide such additional information or to comply with such requirements; otherwise, leave blank. Do not include social
security numbers or other personally identifiable information.
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
THE ABOVE SPACE IS FOR FILING OFFICE USE ONLY
RESTATE covered collateral ASSIGN collateral
Check one of these three boxes to:FIRST PERSONAL NAME SUFFIX
ADDITIONAL NAME(S)/INITIAL(S)
OR
A. NAME & PHONE OF CONTACT AT FILER (optional)
1a.
INITIAL FINANCING STATEMENT FILE NUMBER
PARTY INFORMATION CHANGE: 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
TERMINATION: Effectiveness of the Financing Statement identified above is terminated\
with respect to the security interest(s) of Secured Party authorizing this Termination
Statement
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
2.
3.
4.
6b. INDIVIDUAL'S SURNAME 6a. ORGANIZATION'S NAME 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)
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 abbre\
viate any part of the Debtor’s name)
8.
UCC FINANCING STATEMENT AMENDMENT
FOLLOW INSTRUCTIONS
ADD name: Complete item
7a or 7b, and item 7c
OR FIRST PERSONAL NAME
ADDITIONAL NAME(S)/INITIAL(S)
SUFFIX
9a. ORGANIZATION'S NAME
9b. INDIVIDUAL'S SURNAME
10. OPTIONAL FILER REFERENCE DATA: 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
B. E-MAIL CONTACT AT FILER (optional)
C. SEND ACKNOWLEDGMENT TO: (Name and Address)
CHANGE name and/or address: Complete
item 6a or 6b; and item 7a or 7b and item 7c
Debtor or Secured Party of record
Check
one of these two boxes: AND
This Change affects
5.
ADD collateral
DELETE collateral COLLATERAL CHANGE: Also check one of these four boxes:
OR
7a. ORGANIZATION'S NAME
POSTAL CODE
CITY
7c. MAILING ADDRESS 7b. INDIVIDUAL'S SURNAME
INDIVIDUAL'S FIRST PERSONAL NAME
INDIVIDUAL'S ADDITIONAL NAME(S)/INITIAL(S) STATESUFFIX
COUNTRY
Indicate collateral: UCC FINANCING STATEMENT AMENDMENT (Form UCC3) (Rev. 04/20/11)
UCC FINANCING STATEMENT AMENDMENT ADDENDUM (Form UCC3Ad) (Rev. 04/20/11)
UCC FINANCING STATEMENT AMENDMENT ADDENDUM
FOLLOW INSTRUCTIONS
12. NAME OF PARTY AUTHORIZING THIS AMENDMENT: Same as item 9 on Amendment form
11. INITIAL FINANCING STATEMENT FILE NUMBER: Same as item 1a on Amendment form
THE ABOVE SPACE IS FOR FILING OFFICE USE ONLY
OR
12a. ORGANIZATION'S NAME
12b. INDIVIDUAL'S SURNAME
ADDITIONAL NAME(S)/INITIAL(S)
FIRST PERSONAL NAME
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 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
SUFFIX
OR
13a. ORGANIZATION'S NAME
14. ADDITIONAL SPACE FOR ITEM 8 (Collateral) :
17. Description of real estate:
16. Name and address of a RECORD OWNER of real estate described in item 17
(if Debtor does not have a record interest):
15. This FINANCING STATEMENT AMENDMENT:
covers timber to be cut
covers as-extracted collateral is filed as a fixture filing
13b. INDIVIDUAL'S SURNAME FIRST PERSONAL NAMEADDITIONAL NAME(S)/INITIAL(S)
SUFFIX
18. MISCELLANEOUS:
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