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
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 NAMESUFFIX 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 NAMEDELETE 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 abbreviate 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 NAMEADDITIONAL 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 orSecured 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 ADDRESS7b. INDIVIDUAL'S SURNAME
INDIVIDUAL'S FIRST PERSONAL NAME
INDIVIDUAL'S ADDITIONAL NAME(S)/INITIAL(S)
STATESUFFIX
COUNTRY
Indicate collateral:
FILING OFFICE COPY — UCC FINANCING STATEMENT AMENDMENT (Form UCC3) (Rev. 04/20/11)
Instructions for UCC Financing Statement Amendment (Form UCC3)
Please type or laser-print this form. Be sure it is completely legible.\
Read and follow all Instructions, especially Instruction 1a; correct file number ofinitial financing statement is crucial.
Fill in form very carefully; mistakes may have important legal consequen\
ces. If you have questions, consult your attorney. The filing office cannot give legal advice.
Send completed form and any attachments to the filing office, with the r\
equired fee.
ITEM INSTRUCTIONS
A and B. To assist filing offices that might wish to communicate with f\
iler, filer may provide information in item A and item B. These items are optional.
C. Complete item C if filer desires an acknowledgment sent to them. If fil\
ing in a filing office that returns an acknowledgment copy furnished by filer,
present simultaneously with this form the Acknowledgment Copy or a carbo\
n or other copy of this form for use as an acknowledgment copy.
Always complete items 1a and 9.
1a. File Number. Enter file number of initial financing statement to which this Amendme\
nt 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 statement was filed.
1b. If this Amendment is to be filed in the real estate records or in any ot\
her filing office where the name of current Debtor i s required for indexing purposes,
check the box in item 1b
and enter Debtor name in item 13 of Amendment Addendum (Form UCC3Ad). Co\
mplete 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 i\
tems 6, 7,
and/or 8 as appropriate. Some, but not all filing offices accept multip\
le actions on an Amendment. Filing offices that accept multiple actions may charge
an additional fee. Some filing offices that accept multiple actions may\
only index one of the actions requested. Consult the administrative rules of the
designated filing office to determine the extent to which multiple actio\
ns 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 Secur ed
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 identified financ\
ing statement, or (2) the Assignor’s right to amend th e
identified financing statement with respect to some (but not all) of t\
he 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 Assign or 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 the identified financing
statement, check the ASSIGN collateral box and indicate the particular c\
ollateral covered in item 8.
4. Continuation. To
continue the effectiveness of the identified financing statement with respect to\
the security interest(s) of authorizing Secure d
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 comp\
lete 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 na\
me of affected party (current record name)
in item 6a or 6b; and repeat or enter the new name in item 7a or 7b; alw\
ays 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 Amendment 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 item 7\
a or 7b; always enter the party’s mailing address in item 7c. For additional
Debtors or Secured Parties, attach Amendment Additional Party (Form UCC\
3AP), using correct name format.
To
delete a party (items 5 and 6): Check box in item 5 to indicate whether this Amendment 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 i\
tem 6a or 6b.
8. Collateral Change. To indicate a
collateral change, check this box; also check additional box (as applicable) and descri\
be the change in item 8.
If space in item 8 is insufficient, continue collateral description in i\
tem 14 of Amendment Addendum (Form UCC3Ad). Do not include social security
numbers or other personally identifiable information.
To
add collateral: Check the ADD collateral box in item 8 and indicate the ad\
ditional 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 the RESTATE covered collateral b\
ox in item 8 and indicate the restated collatera l.
To
assign the right to amend the financing statement with respect to part (but n\
ot all) of the collateral covered by the identified financing statement:
Comply with Instruction 3 above and check the ASSIGN collateral box in i\
tem 8.
If, due to a full release of collateral, filer no longer claims a securi\
ty 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 cas\
es, the authorizing party is the Secured Party
of record. If this is an Amendment (Assignment), enter Assignor's nam\
e 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 authori\
zing 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 it\
em 12 of Amendment Addendum (Form UCC3Ad), the name of Secured Party
of record. If there is more than one authorizing Secured Party or Debto\
r, enter additional name(s) in item 14 of Amendment Addendum (Form
UCC3Ad).
10. Optional Filer Reference Data. This item is optional and is for filer's use only. For filer's conven\
ience of reference, filer may enter in item 10 any
identifying information that filer may find useful. Do not include soci\
al security numbers or other personally identifiable in formation.
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