Utah
Completion and Execution Instructions for CT Corporation System
UCC Forms
With Whom Filed
Filings related to real property/fixtures:
County Recorder
All other filings:
Division of Corporations and Commercial Code
Form Types and Versions
Through 6/28/2011
National UCC Financing Statement (UCC-1) Rev. 7/29/98, 5/22/02
National UCC Financing Statement Addendum (UCC-1Ad), Rev. 7/29/98, 5/22/02
National UCC Financing Statement Additional Party (UCC-1Ap) Rev. 5/22/02
National UCC Financing Statement Amendment (UCC-3) Rev. 7/29/98, 5/22/02
National UCC Financing Statement Amendment Addendum (UCC-3Ad) Rev. 7/29/98
National UCC Financing Statement Amendment Additional Party (UCC-3Ap) Rev. 5/22/02
National Correction Statement (UCC-5), Rev. (5/27/04)
National Information Request (UCC-11), Rev. (5/09/01)
Effective 7/1/2013
National UCC Financing Statement (UCC-1) Rev. 4/20/2011
National UCC Financing Statement Addendum (UCC-1Ad), Rev. 4/20/2011
National UCC Financing Statement Additional Party (UCC-1Ap) Rev. 8/22/2011
National UCC Financing Statement Amendment (UCC-3) Rev. 4/20/2011
National UCC Financing Statement Amendment Addendum (UCC-3Ad) Rev. 4/20/2011
National UCC Financing Statement Amendment Additional Party (UCC-3Ap) Rev. 8/22/2011
National Correction Statement (UCC-5), Rev. (5/27/04)
National Information Request (UCC-11), Rev. (5/09/01
Number of Copies Required
Original and one copy required.
Additional Instructions
None.
2010 IACA Amendments – July 1, 2013 Effective Date
This is an Alternative A – “Only If” State
The Only If alternative requires that the filer provide the name shown on the debtor’s
driver’s license. Any other name would make the financing statement seriously
misleading unless otherwise disclosed on a Section 9-506(c) search.
Utah Statute/Where to File
Sec. 70A-9a-501. Filing office.
(1) Except as otherwise provided in Subsection (2), if the local law of this State governs
perfection of a security interest or agricultural lien, the office in which to file a financing
statement to perfect the security interest or agricultural lien is:
(a) the office designated for the filing or recording of a record of a mortgage on the related
real property, if:
(i) the collateral is as-extracted collateral or timber to be cut; or
(ii) the financing statement is filed as a fixture filing and the collateral is goods that are or
are to become fixtures; or
(b) the Division of Corporations and Commercial Code, in all other cases, including a case in
which the collateral is goods that are or are to become fixtures and the financing statement is
not filed as a fixture filing.
(2) The office in which to file a financing statement to perfect a security interest in collateral,
including fixtures, of a transmitting utility is the Division of Corporations and Commercial Code.
The financing statement also constitutes a fixture filing as to the collateral indicated in the
financing statement which is or is to become fixtures.
Utah UCC Filing Information
Forms:
Sec. 70A-9a-521. Uniform form of written financing statement and amendment.
(1) A filing office that accepts written records may not refuse to accept a written initial financing
statement in the form and format set forth in the final official text of the 1999 revisions to Article
9 of the Uniform Commercial Code promulgated by the American Law Institute and the National
Conference of Commissioners on Uniform State Laws, except for a reason set forth in Subsection
70A-9a-516(2).
[A picture of the National Financing Statement and Addendum form with a revision date of
7/29/98 is placed here.]
(2) A filing office that accepts written records may not refuse to accept a written record in the
form and format set forth in the final official text of the 1999 revisions to Article 9 of the
Uniform Commercial Code promulgated by the American Law Institute and the National
Conference of Commissioners on Uniform State Laws, except for a reason set forth in Subsection
70A-9a-516(2).
[A picture of the National Financing Statement and Addendum form with a revision date of
7/29/98 is placed here.]
Standard Forms: IACA promulgated National forms (Rev. 7/29/98 and 5/22/03)
Effective Period (70A-9a-515): Post-effective-date financing statements -- 5 years; public
finance and manufactured-home transaction --- 30 years; A record of mortgage filed as a
financing statement is effective until the mortgage is released, terminated or satisfied; If the
debtor is transmitting utility, the financing statement remains effective until terminated.
Filing Requirements
All team members are expected to know and fully understand all of the form instructions. These
form instructions are considered to be an official part of the form, and every step must be taken to
ensure our customer's filings comply with the form instructions at all times.
Utah Financing Statement Requirements:
The Basics [70A-9a-502]:

Name and Address of the Debtor

Name and Address of the Secured Party

Collateral Description
Notes:
1. Utah's system has character limits for its fields. Therefore, the information on the
printout may not be a complete listing of the information provided on the form. The
collateral field has a limit of 250 characters for the National Financing Statement and
National Financing Statement Addendum. When typing collateral information on the
form, place the first 250 characters on the Financing Statement and begin with 251st
character on the Addendum form, and so on.
2. Utah will accept nonstandard attachments at no additional cost. Additional information
not submitted on the National Addendum form are considered nonstandard attachments.
The information on the nonstandard attachment pages will not be indexed. Therefore, it
is recommended that additional information be submitted on the National Addendum
form to ensure that the information is indexed. Please note that this may require the filer
to submit a large number of Addendum forms.
Additional Information [70A-9a-516(2)(e)]:

Indicate whether the debtor is an individual or an organization;

If the financing indicates that the debtor is an organization, provide:
1. A type of organization for the debtor
2. A jurisdiction of organization for the debtor
3. An organizational identification number for the debtor or indicate that the debtor has
none
Transition Period Financing Statement (In Lieu of Continuation Statement)
Requirements:
Utah Amendment Statement Requirements:
General Form Requirements
The Basics:

Indicate, by file number, the initial financing statement to be amended. [70A-9a-512]

Name of the authorizing party: secured party or debtor [70A-9a-509]

It is recommended that multiple functions be submitted on separated forms.
Notes:
1. Utah's system has character limits for its fields. Therefore, the information on the
printout may not be a complete listing of the information provided on the form. The
collateral field has a limit of 250 characters for the National Financing Statement
Amendment and National Financing Statement Amendment Addendum. When typing
collateral information on the form, place the first 250 characters on the Financing
Statement Amendment and begin with 251st character on the Addendum form, and so on.
2. Utah will accept nonstandard attachments at no additional cost. Additional information
not submitted on the National Addendum form are considered nonstandard attachments.
The information on the nonstandard attachment pages will not be indexed. Therefore, it
is recommended that additional information be submitted on the National Addendum
form to ensure that the information is indexed. Please note that this may require the filer
to submit a large number of Addendum forms.
Amendment Requirements
Continuation [70A-9a-515(4)]:

Must be filed no sooner than six months before the expiration date of the financing
statement.
Amendment:

An amended debtor name will be treated as a new debtor name in the system. Thus, when
amending a debtor name, include the amended debtor name and address and indicate if
individual or organization. If an organization, provide organization type, jurisdiction of
organization, and organization identification number or indication of none. [70A-9a516(2)(e)]

If adding a debtor name: include new debtor name and address and indicate if individual or
organization. If an organization, provide organization type, jurisdiction of organization, and
organization identification number or indication of none. [70A-9a-516(2)(e)]

If adding/amending a secured party name: provide new secured party name and address.
Assignment [70A-9a-514]:

An assignment must provide the name of the assignor and the name and mailing address of
the assignee. If a partial assignment, check the appropriate box in box 8 and describe the
assigned collateral.
Termination [70A-9a-513]:

No Additional Requirements
Utah Fixture and Real Property Filing Requirements:
Form Requirements
Financing Statement [70A-9a-502]:

Name and Address of the Debtor

Name and Address of the Secured Party

Collateral Description

Be notarized [57-3-101]

Have original signatures

Addendum page must be attached and all fields related to fixture/real property filings must be
completed:
1. Indication of whether the financing statement covers timber to be cut, as extracted
collateral or fixtures.
2. Description of the real estate
3. Name and Address of the Record Owner, if applicable.
Additional FS Information [70A-9a-516(2)(e)]:

Indicate whether the debtor is an individual or an organization;

If the financing indicates that the debtor is an organization, provide:
1. A type of organization for the debtor
2. A jurisdiction of organization for the debtor
3. An organizational identification number for the debtor or indicate that the debtor has
none
Amendment Statement [70A-9a-512]:

Entry Number

Book and page number

Name of the authorizing party: secured party or debtor [70A-9a-509]

It is recommended that the debtor name be included in item 6 on the form.

A cover page must be submitted with the filing stating "This is intended as a fixture filing and
is to be recorded in the real estate records."

Check box (Item 1b) indicating that the amendment is to be filed in the Real Estate Records.
Utah Transition Provisions
Utah Search Procedures

Open Drawer System [70A-9a-519(3)]. The filing office maintains all records associated with
a debtor name or document number. This includes all lapsed, terminated and active filings.

Filings will continue to be listed for one year after lapse [70A-9a-522(1)]. Lapsed statements
may not be automatically provided in the search results. The searcher may need to request
these items.

The filing office will provide the date and information for any financing statement listed in
the search results. This information may be provided in any medium approved by the filing
office. The searcher will not always receive an exact copy of the statement submitted.

The Utah Division of Corporations and Commercial Code website provides free access to the
UCC database. The on-line search will provide the debtor and secured party names and
addresses, file and lapse date, the file number, the filing history and the collateral description
of any record listed in the search results. Images of the records are not available on-line. In
order to view the statement yielded, a search must be ordered from the filing office. Requests
for copies must be submitted on a UCC 11 Information Request specifically stating, in box 3
"Additional Services", that actual documents are needed.

The Utah Division of Corporations and Commercial Code will not certify actual documents
submitted to the division. Only the data from the national form which has conformed to the
Division’s standards and has been entered into the system will be certified.

The Utah Division of Corporations and Commercial Code will no longer accept requests for
certified copies or uncertified copies of UCC filings over the phone. Instead the Division has
established a system to request documents by mail, fax, and in person. The Division will
accept requests for uncertified UCC copies by mail at: PO Box 146705, Salt Lake City, Utah
84114-6705; via fax at: (801) 530-6438; or in person at the Division offices at 160 East 300
South, 2nd floor, Salt Lake City. Generally, request for information from the Division will
take ten working days to process and deliver. Certified UCC Searches depend upon data
entry, searches are performed when the data entry has been completed for the day the
Certified Search was received.

Utah scans (images) exhibits attached to filings and indexes them in their records. However,
an online search will not reveal the exhibit. An Information Request (UCC 11) must be
submitted and must state that a hard copy of the exhibit is sought.
Utah Search Logic:
While the requirements for filing a UCC filing are quite precise, the rules for searching UCC
records are not as strict. When searching UCC records, the most important factor is the particular
"search logic" of the UCC database used in the particular state in question. It is the responsibility
of the correspondent/fulfillment office to understand the search logic of a particular jurisdiction
and search accordingly.
Searcher Safe Harbor [70A-9a-506(3)]. In order to enact the searcher safe harbor, it is
recommended that the searcher obtain the correct legal name and search according to the office's
particular search logic. It is the responsibility of the correspondent/fulfillment office to
understand the search logic of a particular jurisdiction and search accordingly.
The Utah Administrative Rules are available on the Utah Secretary of State website.
General Search Logic

General Search Requirements:
1. The filing officer maintains a searchable index for all UCC records. The system will
provide for the retrieval of records by the name of the debtor and file number of the
initial financing statement to which the record relates and any other statement related to
the initial financing statement. [70A-9a-519(6), R154-002-146]
2. A search request should set forth the full correct name of the debtor or the name variant
to be searched. The searcher should also indicate if the debtor is an individual or
organization. A search request will be processed using the exact form of the name
submitted. [R154-002-147]

Rules applied to each search request [R154-002-149]:
1. There is no limit to the number of matches that may be returned
2. There is no distinction between upper and lower case letters
3. All spaces, the word 'the', punctuation marks and accents will be disregarded
4. Business names are searchedexactly as they are printed on the search request.
Notes:

The "exact legal name" standard only applies to UCC liens that were filed after the effective
date. All pre-effective-date filings and other lien types should search DBA, FKA,
tradenames, etc.

During the transition period, former Article 9 filing offices will continue to hold effective
financing statements. In order to catch any hidden liens, it is recommended that searches be
conducted in accordance with the old law through 2006.
Search Summary Charts
Utah Liens
UCC Liens
Division of Corporations and Commercial Code
County Recorder (RE-related only)
(Utah Code Ann. § 70A-9-501)
Federal Tax Liens
Period of Lien: 5 years
County Recorder
(Utah Code Ann. § 38-6-1)
State Tax Liens
Period of Lien: 10 years
County Recorder
(Utah Code Ann. § 59-2-1301 )
Judgment Liens
Period of Lien: Until paid*
Registry of Judgments of the Clerk of the District Court.
County Recorder (Real Property)
(Utah Code Ann. § 78-22-1.5)
Court of General Jurisdiction
Period of Lien: 8 years
District Court
*Unless otherwise requested, it is standard practice to search for a 10 year period.
UCC Liens
Collateral Type
General Business Collateral
including:
Equipment
Inventory
Accounts Receivable
Contract Rights
Consumer Goods
Farm Products, Crops, Farm
Equipment, Accounts and
General intangibles relating
to the sale of farm products
by a farmer
Fixtures
Revised Article 9
(Effective 07/01/01)
Division of Corporations and
Commercial Code.
Division of Corporations and
Commercial Code.
Division of Corporations and
Commercial Code.
Minerals (including oil and
gas)
County Recorder in the county where
the land is located.
County Recorder in the county where
the land is located.
Including: accounts
receivable from oil and gas
operations
Timber to be cut
County Recorder in the county where
Transmitting Utility (debtor)
All other types of Collateral
the land is located.
Division of Corporations and
Commercial Code.
Division of Corporations and
Commercial Code.
Utah
Division of Corporations and Commercial Code
ADDRESS:
Division of Corporations and Commercial Code
State of Utah
160 East 300 South, 2nd Floor
Salt Lake City, UT 84114
Mailing Address:
Division of Corporations and Commercial Code
State of Utah
P.O. Box 146705
Salt Lake City, UT 84114-6705
PHONE:
801-530-4849
FAX:
801-530-6438
NOTES:
Methods of Delivery: Personal, Courier, Postal, Electronic. [R154-2-103]
Methods of Payment: Cash, Checks, Credit Cards. [R154-2-107]
Make check payable to: State of Utah or the filing office
Office hours: M –F 8:00 a.m. - 5:00 p.m. Office is closed on Fridays.
Statutory Response Times: Indexing --- 2 business days; Searches --- 10 business days
Fax search service is available when payment is made by Visa/Master Card. Results will be
returned via fax upon request.
* Utah will accept nonstandard attachments at no additional cost. Additional information not
submitted on the National Addendum form are considered nonstandard attachments.
The
information on the nonstandard attachment pages will not be indexed. Therefore, it is
recommended that additional information be submitted on the National Addendum form to ensure
that the information is indexed. Please note that this may require the filer to submit a large
number of Addendum forms. All nonstandard attachments will be charged a fee of $12.00 per
page. All other information above remains unchanged.
1. Currently, the UT computer system does not allow assignees to be entered with the UCC-1. In
order to index this information properly, the state has enacted a work around in which they enter
the assignee as a UCC-3. The UCC-3 has the same date and file number of the UCC-1. There is
no additional charge for this extra step.
2. Requests for copies must be submitted on a UCC 11 Information Request specifically stating,
in box 3 "Additional Services", that actual documents are needed. The Division will no longer
accept requests for certified copies or uncertified copies of UCC filings over the phone. Instead
the Division has established a system to request documents by mail, fax, and in person.
Certified Search Request: Only one name or number is allowed per form. There is no charge for
10 or fewer specified copies included with request. 10 or more specified copies will be charged
$0.30 per page. The Utah Division of Corporations and Commercial Code will not certify actual
documents submitted to the division. Only the data from the national form which has conformed
to the divisions standards and has been entered into the system will be certified.
3. The Division will accept requests for uncertified UCC copies by mail at: PO Box 146705, Salt
Lake City, Utah 84114-6705; via fax at: (801) 530-6438; or in person at the Division offices at
160 East 300 South, 2nd floor, Salt Lake City. There is no charge if total is less than $3.00.
4. Utah scans (images) exhibits attached to filings and indexes them in their records. However,
an online search will not reveal the exhibit. An Information Request (UCC 11) must be submitted
and must state that a hard copy of the exhibit is sought.
Copyright © C T Corporation System
Directory of Filing Offices
Division of Corporations and Commercial Code
Division of Corporations and Commercial Code
State of Utah
160 East 300 South
2nd Floor
Salt Lake City, UT 84111
Mailing Address:
Division of Corporations and Commercial Code
State of Utah
P.O. Box 146705
Salt Lake City, UT 84114-6705
PHONE: 801-530-4849
FAX: 801-530-6438
Direct Line: 801-530-6151
Website: http://www.commerce.state.ut.us/corporat/uccpage.htm