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UCC-1AP Financing Statement Additional Party Form

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UCC FINANCING STATEMENT ADDITIONAL PARTY

FOLLOW INSTRUCTIONS

18. NAME OF FIRST DEBTOR: Same as line 1a or 1b on Financing Statement; if line 1b was left blank because Individual Debtor name did not fit, check here

18a. ORGANIZATION'S NAME

OR

18b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

THE ABOVE SPACE IS FOR FILING OFFICE USE ONLY

19. ADDITIONAL DEBTOR'S NAME: Provide only one Debtor name (19a or 19b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor's name)

19a. ORGANIZATION'S NAME

OR

19b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

19c. MAILING ADDRESS

CITY

STATE

POSTAL CODE

COUNTRY

20. ADDITIONAL DEBTOR'S NAME: Provide only one Debtor name (20a or 20b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor's name)

20a. ORGANIZATION'S NAME

OR

20b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

20c. MAILING ADDRESS

CITY

STATE

POSTAL CODE

COUNTRY

21. ADDITIONAL DEBTOR'S NAME: Provide only one Debtor name (21a or 21b) (use exact, full name; do not omit, modify, or abbreviate any part of the Debtor's name)

21a. ORGANIZATION'S NAME

OR

21b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

21c. MAILING ADDRESS

CITY

STATE

POSTAL CODE

COUNTRY

22. ADDITIONAL SECURED PARTY'S NAME

or

ASSIGNOR SECURED PARTY'S NAME: Provide only one name (22a or 22b)

22a. ORGANIZATION'S NAME

OR

22b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

22c. MAILING ADDRESS

CITY

STATE

POSTAL CODE

COUNTRY

23. ADDITIONAL SECURED PARTY'S NAME

or

ASSIGNOR SECURED PARTY'S NAME: Provide only one name (23a or 23b)

23a. ORGANIZATION'S NAME

OR

23b. INDIVIDUAL'S SURNAME

FIRST PERSONAL NAME

ADDITIONAL NAME(S)/INITIAL(S)

SUFFIX

23c. MAILING ADDRESS

CITY

STATE

POSTAL CODE

COUNTRY

24. MISCELLANEOUS:

FILING OFFICE COPY — UCC FINANCING STATEMENT ADDITIONAL PARTY (Form UCC1AP) (Rev. 08/22/11)

International Association of Commercial Administrators (IACA)

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What the UCC-1AP Financing Statement Additional Party Form Is

The UCC-1AP Financing Statement Additional Party Form is a standardized addendum used to name one or more additional secured parties, assignees, or lessees on an existing UCC-1 financing statement filing. It supplements the primary UCC-1 by identifying extra lienholders or parties with a security interest in collateral without refiling the entire financing statement. The form is typically prepared when parties change, interests are assigned, or lenders require explicit notice of additional secured parties; it is filed with the state filing office that governs UCC records for the debtor's jurisdiction.

Why the UCC-1AP Matters for Secured Transactions

Adding parties via UCC-1AP preserves the original filing's effective date while ensuring public notice of additional secured parties or assignees, reducing ambiguity about lien priority and protecting creditor rights in repossession or bankruptcy proceedings.

Why the UCC-1AP Matters for Secured Transactions

Who Typically Prepares and Signs the UCC-1AP

The UCC-1AP is used by secured lenders, assignees, trustees, and corporate counsel when one or more additional parties need to be recorded against an existing financing statement.

  • Banks and finance companies that add participating lenders or syndicate members to an existing security interest.
  • Commercial lessors and equipment financiers updating secured party information after assignment or securitization.
  • Corporate legal teams and outside counsel managing loan portfolio transfers and ensuring public notice.

The form should be completed by someone with authority to name secured parties and with knowledge of the debtor's original filing jurisdiction and collateral description.

Step-by-Step: Completing a UCC-1AP

Follow these core steps to prepare a compliant UCC-1AP that links to an existing financing statement.

  • 01
    Locate Original Filing: Retrieve the original UCC-1 filing number and jurisdiction to ensure correct linkage.
  • 02
    Confirm Party Details: Verify legal names and addresses for debtor and additional parties against corporate records.
  • 03
    Describe Collateral: Reference the base financing statement's collateral clause or repeat the precise description.
  • 04
    Sign and Date: Ensure authorized signatory signs and dates the form; include printed name and title.

Where to File and How the Filing Is Processed

UCC-1AP filings are submitted to the same filing office that holds the original financing statement; processing rules mirror initial UCC filings.

  • Filing Office: File with the Secretary of State or designated state UCC filing office where the debtor is located.
  • Submission Methods: Most states accept paper, in-person drop-off, or electronic submission through state portals.
  • Effective Date: Once accepted, the UCC-1AP provides public notice while the original financing statement retains its original effective date for priority.
  • Confirmation: The filing office issues a filing number or acceptance notice; retain this for records.

Customizing an Online UCC-1AP Workflow

Set up fields, authentication, and routing to match legal and operational requirements when preparing the form digitally.

Field Configuration
Debtor Name Field Mandatory, exact-match validation
Original Filing Number Required, alphanumeric validation
Additional Party Block Repeatable group for multiple parties
Signer Authentication Email + phone OTP or advanced verification

Digital Signing and eSubmission Requirements

Use a platform that supports documented audit trails and configurable signer authentication when e-signing or e-filing UCC-1AP forms.

  • Audit Trail: Capture timestamp, IP, and signer email
  • Authentication: Support SMS OTP or knowledge-based checks
  • File Formats: Export signed PDF/A for state submission

Ensure the chosen platform and workflow meet ESIGN and UETA requirements, and retain signed records in an immutable format for compliance and later retrieval.

Key Timelines and Filing Expectations

Understand timing for filing, processing, and retention so the UCC-1AP provides clear public notice without disrupting priority or enforcement actions.

Filing Effective Date:

Effective when the filing office accepts the submission, not when sent.

Processing Time:

State processing varies from immediate electronic acceptance to several business days.

Priority Preservation:

The original UCC-1 preserves its original effective date for priority determinations.

Record Retention:

Keep accepted filings as permanent corporate records, per retention policies.

Amendments:

File amendments promptly after assignments, consolidations, or transfers.

Milestones from Preparation to Accepted Filing

A sequential milestone view helps track tasks from preparation through acceptance and recordkeeping.

01

Prepare Draft

Assemble original filing number, party names, and collateral references for review.

02

Internal Approval

Obtain signatures and corporate approvals before submission to the state.

03

Submit to Filing Office

Send via state portal or paper filing and note submission ID.

04

Retain Confirmation

Store acceptance receipt and include it in the secured loan file.

Common Preparation Pitfalls to Avoid

  • Using an imprecise debtor name that prevents a correct filing search and reduces enforceability.
  • Failing to reference the original UCC-1 filing number, which severs the link between records.
  • Entering incomplete addresses or omitting corporate suffixes that cause state clerks to reject the filing.
  • Delaying filing after assignment, which can expose priority disputes or creditor confusion.

Essential Information Required on the UCC-1AP

Debtor Name: Exact legal name
Original Filing: State filing number
Added Party: Full party name
Party Address: Street, city, state, ZIP
Collateral Link: Reference to base collateral
Signature Date: MM/DD/YYYY

Risks and Consequences of Incorrect Filings

Priority Loss: Compromised lien priority
Filing Rejection: State refusal to accept form
Enforcement Delay: Court or repossession delays
Additional Costs: Refiling and attorney fees
Creditor Disputes: Conflicts among secured parties
Public Notice Gap: Incomplete notice to third parties

Real-World Uses of the UCC-1AP

These brief examples show how organizations use the UCC-1AP to document added secured parties or assignments.

Syndicated Loan Update

A lead bank adds multiple participant lenders to a facility to reflect syndicated funding

  • The UCC-1AP lists each participating lender by legal name and address
  • The amendment preserved the original filing date and avoided a full refiling, maintaining priority for the syndicate and clarifying public notice for borrowers and creditors.

Loan Assignment

A commercial lender assigns its security interest to a purchaser as part of a loan sale

  • The assignee is recorded as an additional secured party on UCC-1AP
  • Recording the assignment prevented uncertainty during a later borrower bankruptcy and supported enforcement actions by the assignee.

Key Elements to Include in a Professional UCC-1AP

A well-prepared UCC-1AP is precise, links to the original filing, and documents authority and dates to reduce challenges.

Accurate Linkage

Reference the original UCC-1 filing number and state so the filing office can readily associate the amendment with the base record.

Exact Names

Use the exact legal names and corporate suffixes for all parties to avoid search mismatches or clerical rejection.

Clear Collateral Reference

Either repeat the original collateral clause verbatim or reference its defined section to maintain clarity.

Authorized Signature

Include printed name, title, and signature of an authorized representative and attach any supporting corporate resolution if required.

Filing Jurisdiction

Confirm and use the state filing office that governs the debtor’s location for consistent public notice.

Retention Copy

Keep an accepted copy with the loan file and update servicing systems to reflect the added party.

Supporting Documents Commonly Submitted with UCC-1AP

Include documents that demonstrate authority, assignment, or corporate action when submitting a UCC-1AP to reduce follow-up requests.

Assignment Agreement

A signed assignment or purchase agreement that documents transfer of rights or designation of additional secured parties and supports the UCC amendment.

Corporate Resolution

Board or officer resolution showing the authorized person’s authority to sign and approve the addition of secured parties.

Power of Attorney

If a third party files on behalf of a creditor, include a limited power of attorney authorizing the filing action.

Acceptance Receipt

State-issued confirmation or filing receipt to be retained as proof of public filing and acceptance.

eSignature Vendor Pricing and Feature Comparison

A concise feature-and-price comparison for eSignature solutions commonly used to prepare and sign UCC-1AP forms; signNow appears first for parity in comparison.

signNow DocuSign Adobe Sign PandaDoc HelloSign
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 Yes
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No cap 100 envelopes/user/year Varies Varies Varies

Frequently Asked Questions About UCC-1AP

Answers to common questions about completing, signing, and filing the UCC-1AP to reduce processing delays and legal risk.


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