The filing officer requires filers to use the prescribed forms listed to ensure indexing accuracy. Two types of forms have been prescribed: laser and snap out. Effective July 1, 2013, filers are required to use the forms approved by the International Association of Commercial Administrators and adopted by rule by the Secretary of State. All other forms are rejected. The prescribed forms are available in fill-in-the-blank format on this web site at UCC Forms.
This applies to only Article 9 records filed as: Financing Statement, Agricultural Lien, Contract Agricultural Lien, Manufactured-Home Transaction, Public-Finance Transaction, and Transmitting Utility. This does not apply to records filed as: Notice of Federal Lien, Utility Security Instrument, Aircraft Maintenance Lien, Restitution Lien, or Transition Property Notice.
IACA Forms: UCC Financing Statement (Form UCC1) (Rev. 04/20/11), UCC Financing Statement Addendum (Form UCC1Ad) (Rev. 04/20/11) and UCC Financing Statement Additional Party (Form UCC1AP) (Rev. 08/22/11).
*Note: The UCC Financing Statement Addendum (Form UCC1Ad) and/or UCC Financing Statement Additional Party (Form UCC1AP) forms may be supplied as an attachment to the UCC Financing Statement (Form UCC1) (see instructions on form). The UCC1AP form may only be used in conjunction with the UCC1 form to add multiple debtors or secured parties. A filer may attach any number of addendum and additional party forms to the UCC Financing Statement (Form UCC1) and the filing fee will be determined by the total number of pages as described under Fees.
IACA Forms: UCC Financing Statement Amendment (Form UCC3) (Rev. 04/20/11), UCC Financing Statement Amendment Addendum (Form UCC3Ad) (Rev. 04/20/11), and UCC Financing Statement Amendment Additional Party (Form UCC3AP) (Rev. 08/22/11).
*Note: The UCC Financing Statement Amendment Addendum (Form UCC3Ad) and/or UCC Financing Statement Amendment Additional Party (Form UCC3AP) forms may be supplied as an attachment to the UCC Financing Statement Amendment (Form UCC3) (see instructions on form). The UCC3AP form may only be used in conjunction with the UCC3 form to add multiple debtors or secured parties. A filer may attach any number of addendum and additional forms to the UCC Financing Statement Amendment (Form UCC3) and the filing fee will be determined by the total number of pages as described under Fees.
IACA Form: Information Statement (Form UCC5) (Rev. 07/19/12).
Texas Form Only: Information Request (Form UCC11) (Texas) (Rev. 07/19/12).
Instructions for Filing with the Texas Secretary of State
- Read and follow all instructions completely. Please type or laser-print all forms. Be sure that all information is completely legible. Fill in form very carefully; mistakes may have important legal consequences. If you have questions, consult your attorney. Filing officer cannot give legal advice.
- The filing officer receives Filing Office Copy of all forms.
Upon acceptance, the form will be stamped with the name of the filing officer, date and hour of filing and a consecutive file number. An acknowledgment copy will be returned to the filer, along with an acknowledgment letter, detailing what was indexed into the Filing Officer’s indexing system.
A financing statement amendment (UCC3) may not relate to more than one initial financing statement number unless the filing complies with provisions for master amendment or master assignment.
Combination of Documents
Multiple UCC filings and requests for information submitted in a single envelope should be accompanied with a letter of instruction outlining the desired order of processing. In absence of specific processing instructions, same debtor information requests will not be processed when the related UCC1 document cannot be filed.
All documents are filed as of the date of receipt by the Agency. If a document is found deficient and returned, the filing date upon resubmission will be the date the corrected document is received.
For a paper or paper-based UCC document, the Agency will send to said filer or remitter an image of the record of the UCC document showing the file number assigned to it and the date and time of filing.
For UCC documents not filed in paper or paper-based form, the Agency will communicate to the filer or remitter the information in the filed document, the file number assigned to it and the date and time of filing.
Returning Documents Not Filed
When a document is not accepted for filing, the document(s) will be returned to the remitter with a letter stating the reason for refusal. The Agency may return the check(s) to the remitter along with the rejected document(s).
Documents Filed in the Offices of the County Clerks
Pursuant to Chapter 9, Subchapter G, Texas Business & Commerce Code, county clerks are to record terminations on financing statements that were recorded in the county clerk’s office prior to July 1, 2001. All other types of amendment filings would require the filing of a financing statement in the Office of the Secretary of State. Documents pertaining to real estate records are to be filed in the Office of the County Clerk. Please obtain legal advice prior to filing documents in the Office of the County Clerk. County clerks may charge additional statutory fees. Contact the county clerk’s office in the applicable county for current fee schedule.