The UCC-1 financing statement is the Uniform Commercial Code form, published by the Louisiana Secretary of State, that names the debtor, the secured party and the collateral the statement covers. In Louisiana it is not filed with the Secretary of State: the form's instructions send it to any Parish Clerk of Court or to the Recorder of Mortgages in Orleans Parish. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the official PDF is published by the Louisiana Secretary of State at sos.la.gov.
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What is UCC-1?
UCC-1 Financing Statement (Louisiana Version) is the State of Louisiana's Uniform Commercial Code financing statement form, published by the Louisiana Secretary of State, on which a filer identifies the debtor, the secured party and the collateral the financing statement covers.
The form is a single statement built from numbered items. Item 1 holds the debtor's exact full legal name, address and, for an organization, its type, jurisdiction and organizational ID. Item 2 holds an additional debtor, Item 3 the secured party (or a total assignee), and Item 4 the collateral. Item 5 covers fixture filings, as-extracted collateral and standing timber. Items 6a and 6b cover transmitting utilities, public finance transactions, trusts and decedents' estates. Item 7 is an optional alternative designation such as lessee/lessor or an agricultural lien. Items 8, 9 and 11 give the contact, the acknowledgment address and an optional request for search reports. Item 10 is reserved for the filing office.
The printed revision is 11/22/2010. The Secretary of State's UCC forms page says Louisiana accepts the new national UCC-1 forms, beginning July 1, 2023, in addition to the Louisiana forms revised 2010 or after, and that a non-standard form penalty applies to Louisiana forms revised before 2010. The same page lists a separate dual-purpose form, UCC-1F Financing Statement. The instructions also accept the National UCC Financing Statement Addendum (UCC1ad) for additional names.
The filing office cannot give legal advice, and the instructions warn that mistakes may have important legal consequences.
Who needs to file UCC-1?
The main users are secured parties, or filers acting for them, who are placing a UCC financing statement on record in Louisiana. The form names one debtor in Item 1 and allows another in Item 2, and the debtor can be an organization or an individual. The instructions treat a sole proprietorship as an individual, even when it operates under a trade name, and a partnership as an organization.
Other situations are built into the form:
- Filers who use the titles lessee/lessor, consignee/consignor, bailee/bailor or seller/buyer, or who file an agricultural lien or other non-UCC filing, check the matching box in Item 7.
- Filers whose debtor is a transmitting utility, or whose filing relates to a public finance transaction, use Item 6a.
- Filers whose debtor is a trust, a trustee acting for trust property or a decedent's estate use Item 6b.
- Filers covering timber to be cut, as-extracted collateral or a fixture filing use Item 5 and attach a legal description of the real property.
Do not file this form with the Secretary of State. If the acknowledgment copy should go to someone other than the secured party, such as a law firm, enter that person in Item 9. The instructions advise you to consult an attorney with questions.
When to file UCC-1
The form prints no due date. You complete it and file it whenever a financing statement is to be placed on record with a Louisiana filing office.
Item 6a sets the only durations on the form. A filing by a transmitting utility is effective until terminated, and a filing made in connection with a public finance transaction is effective for 30 years. If the secured party's interest has been totally assigned before you file, the instructions let you enter the total assignee's name and address in Item 3.
Check the revision before you file. The Secretary of State's UCC forms page says that a non-standard form penalty applies to Louisiana UCC forms revised before 2010. This form is marked 11/22/2010. Questions about the forms can go to the Secretary of State's UCC Department at 225.925.4701.
Documents you need
- Additional 8-1/2 x 11 inch sheets, with the first debtor's name at the top formatted exactly as in Item 1, if the collateral description in Item 4 or the party names do not fit on the form.
- Additional debtors or secured parties beyond those on the form: an attached 8-1/2 x 11 inch sheet headed with the debtor's name, or the National UCC Financing Statement Addendum (UCC1ad), which the instructions also accept.
- A legal description of the real property, attached, if you check a box in Item 5 (fixture filing, as-extracted collateral or standing timber constituting goods).
- The Search Request Copy, filed together with the Filing Officer Copy (and Acknowledgment Copy), only if you check a box in Item 11 to request search reports on the debtors.
How to fill out UCC-1
Enter the debtor's exact legal name
In Item 1, fill in only one name: 1a Organization's Name or 1b Individual's Last Name. Use the exact full legal name, do not abbreviate and do not combine names.
Follow the organization and partnership rules
For 1a, an organization has a legal identity separate from its owner. A partnership is an organization, and its partners need not be listed as additional debtors. A sole proprietorship is not, even under a trade name, and goes in 1b. For a registered organization, check the current filed charter documents for the correct name.
Format an individual debtor's name
In 1b, put the family name in the Last Name box, with a lineage title after a comma (Smith, Jr.), the first given name in First Name and all other given names in Middle Name. Do not use Mr., Mrs. or titles such as M.D., and use a married woman's personal name (Mary Smith, not Mrs. John Smith).
Add the address and tax ID
Item 1c always requires a mailing address, with city, state, postal code and country. In 1d, the instructions say Louisiana does not require the SSN or EIN, although another state may.
Complete organization information
For an organization debtor, 1e (type of organization), 1f (jurisdiction) and 1g (organizational ID) are always required. Enter the ID preceded by the 2-letter state postal code, such as CA 12345, or check the "none" box in 1g if the agency assigns no number.
Add a second debtor if needed
Use Item 2 (2a to 2g) for one additional debtor, formatted as in Item 1. For further debtors, attach an 8-1/2 x 11 inch sheet headed with the debtor's name, or use the National UCC Financing Statement Addendum (UCC1ad).
Name the secured party
In Item 3, enter one secured party in 3a or 3b with its mailing address in 3c. If the secured party's interest was totally assigned before filing, you may enter the total assignee instead; attach a sheet for more than one secured party.
Describe the collateral
In Item 4, describe the collateral the financing statement covers. If the space is not enough, attach an 8-1/2 x 11 inch sheet headed with the first debtor's name as in Item 1.
Complete Item 5 for real property
Check the box for fixture filing, as-extracted collateral or standing timber constituting goods when it applies, and attach the legal description. In 5b, give the record owner's name if the debtor is not the record owner.
Check Item 6 and Item 7 boxes
In 6a, check only if the debtor is a transmitting utility or the filing is for a public finance transaction. In 6b, check only if the debtor is a trust, a trustee or a decedent's estate. Use Item 7 only if you want lessee/lessor-type titles or the filing is an agricultural lien or non-UCC filing.
Enter contact and acknowledgment details
In Item 8, give a name and phone number to contact the filer. In Item 9, give the name and address where the acknowledgment copy should go if it is not the secured party. Leave Item 10, the filing office space, blank.
Request search reports if wanted
Item 11 is optional: check All Debtors, Debtor 1 or Debtor 2 to request search reports. An additional fee applies, and the Search Request Copy must be filed with the Filing Officer Copy.
Review, download and file
Check the debtor name, addresses and attachments, then download or print the completed PDF from FillingPDF. File it with a Parish Clerk of Court or the Recorder of Mortgages in Orleans Parish, as described under How to submit.
How to submit UCC-1
You file the UCC-1 with a Louisiana filing office, not with the Secretary of State. The two channels named in the instructions are:
- Any Louisiana Parish Clerk of Court. The financing statement and its attachments may be filed here without regard to the debtor's address or the location of the collateral or of any related immovable property.
- The Recorder of Mortgages in Orleans Parish. This office accepts filings on the same terms.
DO NOT FILE WITH THE SECRETARY OF STATE. The Secretary of State's fee page repeats this: do not send your filing or your filing fee to that office. Filing fees are payable to the filing office, one of the 64 Clerks of Court, with which you file. For amounts, check the UCC fee schedule at https://www.sos.la.gov/business-services/forms-fee-schedule-ucc or call the UCC Department at 225.925.4701. Additional fees apply to search reports requested in Item 11, and the fee schedule also lists charges for attachments and additional debtor names.
Fixture filings, as-extracted collateral and standing timber are filed in the UCC records of a Louisiana filing office, not in the real estate records, even though a legal description of the immovable property must be attached. If you check a box in Item 11, file the Search Request Copy together with the Filing Officer Copy (and Acknowledgment Copy). The form names no mailing address; contact the clerk's office you choose. FillingPDF lets you fill out and download the PDF; submission follows the channels above.
Common mistakes to avoid
- Filing the UCC-1 with the Secretary of State. The instructions say not to; file with a Parish Clerk of Court or the Recorder of Mortgages in Orleans Parish.
- Sending the filing fee to the Secretary of State instead of making it payable to the filing office where you file.
- Abbreviating the debtor's name or combining two names in Item 1. The form requires the exact full legal name and only one debtor name, in 1a or 1b.
- Entering a trade name, DBA, AKA or division name in place of the debtor's legal name, or combined with it.
- Using Mr., Mrs. or a title such as M.D. in 1b, or writing a lineage title without the comma after the family name (Smith, Jr.).
- Leaving out the debtor's mailing address in 1c, or leaving 1e, 1f and 1g blank for an organization debtor; the instructions say this information is always required.
- Attaching extra sheets without the first debtor's name at the top, formatted exactly as in Item 1.
- Checking a fixture filing, as-extracted collateral or timber box in Item 5 without attaching the legal description of the real property.
- Checking more than one box in Item 6a or 6b, when the form allows only one.
- Using a Louisiana UCC form revised before 2010, which can bring a non-standard form penalty.
Frequently asked questions
What is a UCC-1 financing statement in Louisiana?
A UCC-1 financing statement is the Uniform Commercial Code form that names the debtor, the secured party and the collateral covered. The Louisiana Secretary of State publishes this Louisiana version, which is filed with a Clerk of Court or the Orleans Parish Recorder of Mortgages.
Where do I file the Louisiana UCC-1?
File it with any Louisiana Parish Clerk of Court or with the Recorder of Mortgages in Orleans Parish, regardless of the debtor's address or where the collateral is. The instructions say in capitals not to file with the Secretary of State.
Is there a fee to file a UCC-1 in Louisiana?
Yes. Filing fees are payable to the filing office, one of the Clerks of Court, not to the Secretary of State. Search reports requested in Item 11 cost extra. For amounts, see the Secretary of State's UCC fee schedule or call the UCC Department at 225.925.4701.
Can I fill out the UCC-1 financing statement online?
You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is independent of the Louisiana Secretary of State and does not file the statement; you take it to a Clerk of Court or the Orleans Parish Recorder of Mortgages.
How do I enter an individual debtor's name on the UCC-1?
Use Item 1b: family name in Last Name, with a lineage title after a comma (Smith, Jr.), then first name and middle names. Omit Mr., Mrs. and titles like M.D. The instructions say to use the exact full legal name and not to abbreviate.
Can I list a trade name or DBA as the debtor?
No. The instructions say not to use a trade name, DBA, AKA, PKA or division name in place of, or combined with, the legal name. A sole proprietorship is entered as an individual in 1b. Such names may be added as additional debtors, though this is neither required nor recommended.
Do I need the debtor's SSN or EIN on the UCC-1?
Not for Louisiana. The instructions for Item 1d say Louisiana law does not require the debtor's Social Security number or employer identification number, though it may be required in some states. Do not confuse it with the organizational ID in 1g.
What if there is more than one debtor or secured party?
Item 2 holds one additional debtor. For more debtors or more secured parties, attach an 8-1/2 x 11 inch sheet headed with the first debtor's name, or use the National UCC Financing Statement Addendum (UCC1ad), which the instructions accept.
Can I use the national UCC-1 form instead of this one?
Yes. Beginning July 1, 2023, Louisiana accepts the new national UCC-1 forms in addition to the Louisiana forms revised 2010 or after. A non-standard form penalty applies to national forms dated before July 2023 and Louisiana forms revised before 2010.
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