Fill and Sign the Information Requests

State of Rhode Island and Providence Plantations Department of State - Business Services Division 148 W. River Street, Providence, Rhode Island 02904-2615 Phone: (401) 222-3040 | Email: corporations@sos.ri.gov | Website: www.sos.ri.gov Hours for filing: Public Counter: Monday – Friday 8:30 AM to 4:30 PM Online filing – 24/7 Information Requests: Information on specific filings of record with this office will not be given over the Telephone; only general information will be available. UCC11 Information Requests cannot be ordered over the telephone. All filings must be communicated in writing. Filing Fees: Filings must be communicated in writing and will not be accepted unless \ accompanied by the minimum filing fee. Checks are to be made payable to the Rhode Island Department of State. We accept VISA, MasterCard, Discover, and American Express for all over-the-counter and online transactions. A small enhanced access fee is charged for all credit card transactions. S\ ee our website for more information on enhanced access fees. Refunds: Refunds will be issued for duplicate payments and rejected documents not\ corrected within 30-days from the date the filing was submitted to this office. Refunds will not be issued for valid transactions and overpayments in th\ e amount of $10 or less. Enhanced access fees are not refundable. To request a refund or view our refund policy click here. Paper Filing Forms:The IACA National Filing Forms will be accepted for filing. Rhode Island does provide a state form for UCC11 Information Requests. Please carefully read all instructions prior to filing. Acknowledgments: Acknowledgements are no longer being mailed. If you would like to receive an Acknowledgement of your fling, you MUST provide a valid email address. Complete ITEM C of the filing form to include a valid email address. E-acknowledgements for all approved filings are emailed at 3pm and 8pm daily. Filing Evidence : If you do not receive an Acknowledgement or if you would like to obtain a copy of any recorded UCC, follow these steps: • Go to our UCC Database • To search for a UCC1 – you must search by debtor name • To search for a UCC3 – you can search by file number or debtor name • Click on the filing number to view the filing summary page • Click on the PDF link to view and print the filing Rejected Filings : Paper filers will receive their filing and payment via US mail addressed to the individual/entity that submitted the paperwork. Correspondence will accompany the paperwork indicating what steps need to be taken to correct the filling. You may also use our Rejected Filing Viewer to view the rejected document. • To search for a UCC1 – you must search by debtor name • To search for a UCC3 – you must search by file number Uniform Commercial Code (UCC) Filing Information UCC Filing Information - Revised: 11/2017 INFORMATION REQUEST FOLLOW INSTRUCTIONS (front and back) CAREFULLY Record Number Date Record Filed  (if required) Type of Record and Additional Identifying Information (if required) 1. DEBTOR NAME to be searched - insert only one debtor name (1a or 1b) - do no abbrev\ iate or combine names 2. INFORMATION OPTIONS RELATING TO UCC FILINGS & OTHER NOTICES ON FILE IN FILING OFFICE THAT INCLUDE AS A DEBTOR NAME THE NAME IDENTIFIED IN ITEM 1: A. NAME & PHONE OF CONTACT [Optional]FILING OFFICE ACCT# B. RETURN TO: [Name and Address] THE  ABOVE SPACE IS FOR FILING OFFICE USE ONLY 1a. ORGANIZATION’S NAME 1b. INDIVIDUAL’S SURNAME INDIVIDUAL ’S S FIRST PERSONAL NAME INDIVIDUAL ’S ADDITIONAL NAME(S)/INITIAL(S) SUFFIX OR 2a. SEARCH RESPONSE: 3. ADDITIONAL SERVICES 4. DELIVERY INSTRUCTIONS (request will be filled by mail sent to address shown in item B unless \ otherwise instructed here): 4a. Pick Up 4b. Other________________________________________________________________________\ ____________________________________________________________________ Specify desired method here (if available from this office); provide delivery information (e.g., delivery service’s name, addressee's account# with delivery service, addressee's phone#, \ etc.) FILING OFFICE COPY— RHODE ISLAND INFORMATION REQUEST (FORM UCC11) (REV. 02/20/17) Select onebox only: INFORMATION  REQUEST RESPONSE WITHOUT COPIES OF ALL REPORTED  RECORDS. ALL ( includes all active and lapsed filings that are  mor e than one year past lapse date ) ACTIVE (includes all active and lapsed filings wi thin one year of  lapse date)  2c. SPECIFIED COPIES ONL Y — $5 for each record number requested. 2b. COPY REQUEST: Select one box only: INFORMATION  REQUEST RESPONSE WITH COPIES OF  ALL REPORTED  RECORDS. ALL (includes all active and lapsed  filings  that are more than  one year past  lapse  date) ACTIVE (includes all active and lapsed filings within one year  of lapse date) Instructions for RHODE ISLAND Information request (Form UCC11) Please type or laser-print this form. Be sure it is completely legible. \ Read and follow all Instructions, especially Instruction 1; use of the c\ orrect name for the Debtor is crucial. Fill in form very carefully; mistakes may have important legal consequen\ ces.  If you have questions, consult your attorney. Filing office cannot give legal advice.  Do not insert anything in the open space in the uppe\ r portion of this form; it is reserved for filing office use. When properly completed, send form with required fee, to filing office. Filing office may offer additional information options.  Contact filing office or use form specially designed by filing office to obtain additional information options. A. To assist filing officers that might wish to communicate with requestor, requestor may provide information in item A.  This item is optional. B. Enter name and address of requestor in item B.  This item is NOT optional. 1.Debtor name:  Enter only one Debtor name in item 1, an organization’s name (1a) or an individual’s name 1(b).  Enter Debtor’s exact full legal name.  Don’t abbreviate. 1a. Organization Debtor Name . “Organization Name” means the name of an entity that is not a na\ tural person. A sole proprietorship is not an organization, even if the individual proprietor does business under a tr\ ade name. If Debtor is a registered organization (e.g., corporation, limited partnership, limited liability company), it is advisable to exa\ mine Debtor’s current filed public organic records to determine Debtor's correct name. Trade name is insufficient. If a corporate ending (e.g., corporation, limited partnership,\  limited liability company) is part of the Debtor’s name, it must be included. Do not use words that are not part of the D\ ebtor’s name. 1b. Individual Debtor Name. “Individual Name” means the name of a natural person; this include\ s the name of an individual doing business as a sole proprietorship, whether or not operating under a trade name. The term includes the name of a decedent where collateral is being administered by a personal representative of the decedent. The term does not include the name of an entity, even if it contains, as part of the entity’s name, the name of an individual. Prefixes (e.g., Mr., Mrs., Ms.) and titles (e.g., M.D.) are generally not part of an in\ dividual name. Indications of lineage (e.g., Jr., Sr., III) generally are not part of the individual’s name, but may be entered in the Suffix box. Enter individual Debtor’s surname (family name) in Individual’s Surname box, first personal name in First Personal Name box, and all a\ dditional names in Additional Name(s)/Initial(s) box. If a Debtor ’s name consists of only a single word, enter that word in Individual’\ s Surname box and leave other boxes blank. For both organization and individual Debtors: Don’t use Debtor’s trade name, DBA, AKA, FKA, Division name, etc. in place of or combined with Debtor’s legal name; you may add such other names as additional Debtors if you \ wish (but this is neither required nor recommended). 2. Information Options.  Information options relating to UCC filings and other notices on file in\  the filing office that include as a Debtor name the name identified in Item 1.  Check the  box in 2a o r 2b to indicate  if the search request is ord ered with or wi thout copies of all r eported  records. 2a.  Check the appropriate box in item 2a; the box “ALL” if you ar\ e requesting a search of all active records, including lapsed filings, o\ r the box “ACTIVE” if you are requesting a search of all active and lapsed f\ ilings within one year of the lapse date. 2b.  Check the appropriate box in item 2a; the box “ALL” if you ar\ e requesting a search of all active records, including lapsed filings, o\ r the box “ACTIVE” if you are requesting a search of all active and lapsed f\ ilings within one year of the lapse date. 2c. Complete item 2c if you are ordering copies of specific records by recor\ d number. 3. Some filing of fices offer service options in addition to those offered in item 2.  These may be shown on the face of this form or may otherwise be publicized by the particular filing office.  Caution: If any of these additional service options introduces a \ search criterion (e.g., limiting search to named Debtor at an address in a specified city and st\ ate) that narrows the scope of the search. This may result in an incomplete search (that fails to list all filings against the named Deb\ tor) and you may fail to learn information that might be of value to yo\ u. 4. Delivery Instructions: Unless otherwise instructed, filing office will mail information to the name and address in item B.  If inform\ ation will be picked up from the filing office, check the “Pick Up” box.  Contact filing office concerning availability of fax service or other delivery options. For other than mail, pick up, or FAX, check the “Other” box and specify the other delivery method th\ at you are requesting.  If requesting delivery service, provide delivery service’s name and requestor’s account number to bill for delivery charge.  Filing office will not deliver by delivery service unless prepaid waybill or account number for billing is\  provided.