TEXAS SECRETARY of STATE
JANE NELSON

UNIFORM COMMERCIAL CODE ON-LINE FILING OVERVIEW

INITIAL | AMENDMENT| MASTER FILING

The steps below represent a high level overview of the on-line filing transaction process for UCC filings.

Log into the Texas SOSDirect Internet page by inserting your SOSDirect User ID and password and click �Submit�. Then select payment method, verify contact information, and click �Continue�. The Subscriber Login screen that is displayed will provide you with your session code number in bold numbers and letters. Important: Make note of session code for future reference or before logging out, click �Briefcase� and print the displayed screen.

WARNING: System will time out after twenty (20) minutes so please prepare the collateral file described in item 5 below before initiating the filing process through SOSDirect.

DO NOT USE THE BACK BUTTON ON YOUR BROWSER

Select �UCC� from the option bar at the top of the screen under the state seal.

INITIAL FILING

1. The UCC Menu screen is displayed. To conduct an Initial Filing, under WEB FILINGS, select the type of Initial Filing in the drop down box. Then click the �Submit Initial Filing� button.
   
   
2. The Original Filing (Filing Party Details) screen is displayed. On this screen, only one party may be entered at one time. Select �Add Debtor� button and enter all information in the corresponding fields. Then select �Add�.
   

   Select �Secured Party� button and enter all information in the corresponding fields. Then select �Add�. If additional parties are to be entered, then click �Add Debtor� and �Add Secured Party� to add the corresponding data. Continue to add additional parties as necessary.

   All fields that require mandatory data that are not completed will display an ERROR message detailing what information is necessary to complete. Please read instructions carefully and complete as applicable. Then click 'Continue� to go to next screen.
   

3. The Assignors screen appears. Add the Assignor, if applicable. Otherwise, click �Continue.�
   
   
4. In box 4, collateral can be entered three different ways: (1) type the text directly into the box; (2) cut and paste the text from a document you have created; or (3) attach a text file you have created.
   

   When submitting collateral, only a specific range of characters is accepted. For a list of accepted characters, please refer to Table A.

   If entering collateral into a text box, it is possible to cut and paste from documents such as Microsoft Word. When doing so, make sure the text submitted falls within the acceptable range of characters. An error message will be returned to your browser if any invalid characters are entered.

   If submitting collateral as an attachment, it must be submitted as an ascii plain text file (.txt extension). If the collateral exists in another format, it may be possible to save it as a ".txt" file. For example, if using Microsoft Word, the document may be converted to a ".txt" file using the following steps:

   Select menu option "File".
   Select menu option "Save as�".
   A pop up box will be displayed titled "Save As".
   For "Save as type:", select "Text Only with Line Breaks (*.txt)"
   This will change the file name to a ".txt" extension.
   Press "Save".
   Close the Microsoft Word document.
   Open the saved ".txt" document in notepad.
   Review document and remove any "?" or null characters (boxes) that have been substituted for invalid characters.
   

   Once all collateral has either been entered or attached as described above, complete remaining items on form as applicable. Then click �Continue�.

5. The Original Filing (Preview) Screen is displayed. On this screen everything that has been entered is viewable in the format that it will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.
   

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Original Filing (Filing Party Details) screen. If the Debtor and/or the Secured Party name(s) require editing, click �Edit� in the appropriate party. The screen changes to Original Filing (Modify Debtor) or (Modify Secured Party). Edit the specific party that needs editing, click �Update� and then click �Continue� through each screen as applicable. If collateral or any other items need editing, edit the specific item and then click �Continue�.

   Once all information is correct, click the �Submit Filing� button.
   

6. The Original Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

AMENDMENT FILING

1. The UCC MENU screen is displayed. To conduct an Amendment Filing, under WEB FILINGS, enter the initial filing number.

For Initial Financing Statement file numbers for filings filed through July 30, 2001, enter the two digit year and eight digit number. If the number is less than eight digits, add two zeros to the beginning of the number to create an eight digit number. Example for 1999 is 99-00123456 and for 2000 is 00-00123456.

For Initial Financing Statement file numbers for filings filed on or after July 31, 2001, enter the two digit year and ten digit number. Example for 2002 is 02-0012345678.
PLEASE DO NOT USE THE HYPHEN WHEN INPUTTING THE NUMBER INTO THE SYSTEM.

Then click the �Submit Amendment Filing� button.

2. The Amendment Filing VERIFY FILING NUMBER and SELECT AMENDMENT TYPE(S) screen is displayed. On this screen, verify that the filing number is correct. If it is not, then click the �Cancel Filing' button at the bottom of the screen. You will be returned to the UCC MENU screen to either conduct a Debtor Name Search or Filing Number Search to locate the correct filing number. This is explained in UCC ON-LINE INQUIRIES AND ORDERS OVERVIEW.

Termination

1. Check the Termination box and click �Continue�.
   
   
2. The Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen appears. Select the authorizing party(s) for this filing. All authorizing parties must be the same filing party type. An ERROR message will appear if the authorizing parties are not the same filing party type. Make the correction.
   
   
3. Optional Filer Reference Data is optional and is for the filer�s use only. Enter any identifying information that filer may find useful (Examples: Debtor�s name or other identification, Secured Party�s loan number, law firm number, state in which form is being filed, etc.).
   
   
4. Then click �Continue�.
   
   
5. The Amendment Filing (Preview) screen is displayed. On this screen everything that has been entered is viewable in the format that is will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.
   

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen. If the Debtor and/or the Secured Party Authorizing Parties require editing, click on the appropriate box to either deselect or select the appropriate party. Edit the specific party that needs editing.

   Once all information is correct, click the �Submit Filing� button.

6. The Amendment Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

Assignment

1. Check the Assignment box and click �Continue�.
   
   
2. The Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen appears. Select the authorizing party(s) for this filing. Only Secured Parties are allowed to file this document. All authorizing parties must be the same filing party type. An ERROR message will appear if the authorizing parties are not the same filing party type. Make the correction.
   
   
3. Optional Filer Reference Data is optional and is for the filer�s use only. Enter any identifying information that filer may find useful (Examples: Debtor�s name or other identification, Secured Party�s loan number, law firm number, state in which form is being filed, etc.).
   
   
4. Then click �Continue� to the Amendment Filing (Assignees) screen and click �Add Assignee� to add a new party. The Amendment Filing ADD NEW ASSIGNEE screen appears. Enter all information in the corresponding fields. Then select �Add�. Verify the Assignee information on the Assignees page and click �Continue� if applicable. If corrections need to be made, click �Edit�, make appropriate changes, and click �Add�. Click �Delete� if applicable.

   If additional parties are to be entered, then click �Add Assignee� and input the corresponding data. Continue to add additional parties as necessary. Once all parties have been added, click �Continue� to the Amendment Filing (Collateral Change) box. If no changes are to be made to the collateral, click �Continue�. If changes are to be made, select the option �assigned� and follow Instruction 4 in Initial Filing for adding collateral information in the Collateral Change area.

   Once all data for assignment has either been entered, then click �Continue�.

5. The Amendment Filing (Preview) screen is displayed. On this screen everything that has been entered is viewable in the format that is will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen. If the Debtor and/or the Secured Party Authorizing Parties require editing, click on the appropriate box to either deselect or select the appropriate party. Edit the specific party that needs editing. If the collateral requires editing, click �Continue� until you reach the desired screen. Edit the collateral, then click �Continue.�

   Once all information is correct, click the �Submit Filing� button.

6. The Amendment Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

Continuation

1. Check the Continue box and click �Continue�.
   
   
2. The Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen appears. Select the authorizing party(s) for this filing and click �Continue�. All authorizing parties must be the same filing party type. An ERROR message will appear if the authorizing parties are not the same filing party type. Make the correction.
   
   
3. Optional Filer Reference Data is optional and is for the filer�s use only. Enter any identifying information that filer may find useful (Examples: Debtor�s name or other identification, Secured Party�s loan number, law firm number, state in which form is being filed, etc.).
   
   
4. Then click �Continue�.
   
   
5. The Amendment Filing (Preview) screen is displayed. On this screen everything that has been entered is viewable in the format that is will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen. If the Debtor and/or the Secured Party Authorizing Parties require editing, click on the appropriate box to either deselect or select the appropriate party. Edit the specific party that needs editing.

   Once all information is correct, click the �Submit Filing� button.

6. The Amendment Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

Continuation and Party Information Change or Collateral Change
Follow the instructions for Continuation and Party Information Change or Collateral Change.

Continuation and Assignment
Follow the instructions for Assignment and Continuation.

Party Information Change

1. Check the Party Information Change box and click �Continue�.
   
   
2. The Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen appears. Select the authorizing party(s) for this filing. All authorizing parties must be the same filing party type. An ERROR message will appear if the authorizing parties are not the same filing party type. Make the correction.
   
   
3. Optional Filer Reference Data is optional and is for the filer�s use only. Enter any identifying information that filer may find useful (Examples: Debtor�s name or other identification, Secured Party�s loan number, law firm number, state in which form is being filed, etc.).
   
   
4. Then click �Continue� to go to the Amendment Filing (Filing Party Details) screen.
   

   Add a Debtor or Secured Party
   On this screen, only one party may be entered at one time. Select �Add Debtor� button and enter all information in the corresponding fields. Then select �Add�.

   Select �Secured Party� button and enter all information in the corresponding fields. Then select �Add�.

   If additional parties are to be entered, then click �Add Debtor� and �Add Secured Party� to add the corresponding data. Continue to add additional parties as necessary.

   Edit a Debtor or Secured Party
   To edit a party previously listed on the filing, click �Edit� next to that party in the grid that lists the parties currently reflected on the filing number. Update the party information and click �Update�.

   Delete a Debtor or Secured Party
   To delete a party previously listed on the filing, click �Delete� next to that party in the grid that lists the parties currently reflected on the filing number.

   These parties are added to the upper grids labeled Debtor Information or Secured Party Information. Once all amendments to the parties have been made, click �Continue� to continue to the next screen.

   Then click �Continue� to add collateral information, if applicable. Select the correct collateral option button and follow Instruction 4 in Initial Filing for adding collateral information in the Collateral Change area.

   Once all collateral has either been entered or attached as described above, click �Continue�
   

5. The Amendment Filing (Preview) screen is displayed. On this screen everything that has been entered is viewable in the format that is will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.
   

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen. If the Debtor and/or the Secured Party Authorizing Parties require editing, click on the appropriate box to either deselect or select the appropriate party. Edit the specific party that needs editing. If the collateral requires editing, click �Continue� until you reach the desired screen. Edit the collateral, then click �Continue.�

   Once all information is correct, click the �Submit Filing� button.

6. The Amendment Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

Collateral Change

1. Check the Collateral Change box and click �Continue�.
   
   
2. The Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen appears. Select the authorizing party(s) for this filing. All authorizing parties must be the same filing party type. An ERROR message will appear if the authorizing parties are not the same filing party type. Make the correction.
   
   
3. Optional Filer Reference Data is optional and is for the filer�s use only. Enter any identifying information that filer may find useful (Examples: Debtor�s name or other identification, Secured Party�s loan number, law firm number, state in which form is being filed, etc.).
   
   
4. Then click �Continue� to go to the Amendment Filing (Filing Party Details) screen and since no party changes are being made, click �Continue� to the Amendment (Collateral Change) box. Select the correct collateral option button and follow Instruction 4 in Initial Filing for adding collateral information in the Collateral Change area.

   Once all collateral has either been entered or attached as described above, click �Continue�.

5. The Amendment Filing (Preview) screen is displayed. On this screen everything that has been entered is viewable in the format that is will be filed in. The filing is NOT filed at this point. Verify that all data entered is correct. If this screen is printed, the image will be oversized. This is to make you aware that the process is not finished. When the filing is submitted, an acknowledgment copy will be sent to you by email within 24 hours. If it has not been received within 24 hours, please contact us at 512-475-2703.

   To edit any items in the filing process, click the �Edit Filing� button. It will take you back to the Amendment Filing AUTHORIZING PARTY and FILER REFERENCE NUMBER screen. If the Debtor and/or the Secured Party Authorizing Parties require editing, click on the appropriate box to either deselect or select the appropriate party. Edit the specific party that needs editing. If the collateral requires editing, click �Continue� until you reach the desired screen. Edit the collateral, then click �Continue.�

   Once all information is correct, click the �Submit Filing� button.

6. The Amendment Filing (Final) Screen is displayed. On this screen a document number and filing number are provided for recording information. Print this screen for your records until the acknowledgment is received by email.
   
   
7. To file another UCC document, select �click here� on the displayed page or click on �UCC� in the menu bar at the top of the page. You may also select any of the other options in the menu bar, if desired. To logout of the session completely, select �Logout� in the menu bar at the top of the page.

MASTER FILING

1. Prior to filing online, create a document that contains all of the filing numbers of the filings you want to assign or amend. The document must contain only one (1) filing number per line without spaces or hyphens. The numbers should be typed in Courier New (font) and 10 (font size) (See attached sample). After entering the last filing number, do not include a return to the next line.

   The format of the Initial Financing Statement (UCC1) filing number for documents filed through July 30, 2001, consists of 10 digits. For example, if the filing was filed in 1998 and the filing number is 98-123456, then enter 9800123456. The number will consist of the 2 digit year, then 2 zeros, then the 6 digit filing number for a total of 10 digits.

   The format of the Initial Financing Statement (UCC1) filing number for documents filed on July 31, 2001, or later consists of 12 digits. For example, if the filing was filed in 2002 and the filing number is 02-0012345678, then enter 020012345678 for a total of 12 digits.

   Save the document as a Text Only file (*.txt) since this is the only format that the system will accept. Otherwise, the system will not allow you to proceed to the next step. You will be attaching this document to the filing in step 8 of these instructions.

   To retrieve a sample text file, click here

2. Select the type of Master filing you wish to file, either Master Assignment or Master Amendment and click �Submit Master Filing�.

3. Enter the existing Secured Party/Assignor�s Name and Address information (the name that is currently reflected on the record of the filing) and click �Continue�.

4. Enter the new Secured Party/Assignee for a Master Assignment or the corrected Secured Party for a Master Amendment and click �Continue�.

5. Attach the file that contains the list of filing numbers. Click �Browse�, locate the file and attach. Click on �Continue�.

6. Review the displayed information to make sure it is correct before submitting. If the filing information is correct, click �Submit Filing�. If there are errors, use the �Back� button to go back and edit the information. Click �Cancel Filing� if you decide not to file the document.

7. The Transaction Receipt page appears that contains a screen with a Session ID number and Document number which you will need to have for archival purposes. Please print this page or write down the numbers. This will make the process easier in checking the status of the filing or if something needs to be corrected.

TABLE A