Delaware Corporation Manual 2004
Delaware Corporation Manual 2004
Delaware Corporation Manual 2004
TABLE OF CONTENTS
GENERAL INFORMATION HELPFUL HINTS FIELD DESCRIPTIONS PRIORITIES INVOICING NAME RESERVATIONS FILINGS NEW ENTITIES AMENDMENTS MERGERS CORRECTIONS RENEWALS/REINSTATEMENT/REVOCATION RETIREMENTS DESIGNATIONS RESTATED CERTIFICATES CHANGE OF REGISTERED OFFICE RESIGNATION OF AGENT CONVERSIONS DISSOLUTIONS/CANCELLATIONS/WITHDRAWALS TRANSFER/CONTINUANCE CERTIFICATES PLAIN COPIES APOSTILLES PAY FRANCHISE TAX BALANCE UNIFORM COMMERCIAL CODE (UCC) UCC GENERAL INFORMATION UCC1 FILINGS UCC3 FILINGS o CONTINUATION o ASSIGNMENT o AMENDMENT o TERMINATION UCC SEARCHES UCC COPIES o SINGLE FILING o HISTORY o PARTY 1 2 3 4 5 6 7 9 10 12 14 15 15 16 17 18 19 20 21 22 24 25 26
27 28 31 32 33 34 36 37 40 41 43
GENERAL INFORMATION This manual sets forth the processing procedures for filings, certificates and copies by document code. You should reference the type of document then the entity kind to select the appropriate document code. This is not intended to replace hands on training by the Division of Corporations but as a quick desk reference. To initiate a transaction the process is always the same. Filings 1DF Apostilles 1DF Certificates 1CR Plain Copies 1CR Type 1** (see above) in Screen Type in the file number Type in the document code Type New in SRV field and enter Depending on the document code being used the filing screens will have different data entry fields. The tab will go to the fields that are appropriate for updating on that filing code, however, all editable fields are not required to be edited. Helpful hints of what to key are on the following page of the manual.
Helpful Hints: If the document sets forth a future effective date or time, please be sure to enter that date/time in the effective date/time field. If a name has been reserved for a new entity, always use the reservation file number when initiating the filing. If a document is changing the name, always tab to the name field type the new name. If a document is changing stock, always tab to the stock field and type the new stock information. If a conversion is being filed, always tab to the Corp Kind field and enter the newly created entity kind value. If a domestication or conversion is being filed you must key in the number of document pages for each document. The first page # field indicates pages for the domestication/conversion, the second page # field indicates pages for the formation document. If a document is changing the registered agent, always tab to the agent field and enter the new agent #. PF KEY Pf2 DESCRIPTION on line help/definition of that field
the cursor must be placed in that field for an accurate response pf4 pf7 pf8 Exits the online help scrolls the screen you are on to the previous page scrolls the screen you are on the next page
Example: 510 screen Year 2003 Pf7 will take you to year 2002 Pf8 goes to 2004
FIELD DESCRIPTIONS FI LI N G I N FO R M ATI O N PO: ___1______ Eff Date: 08-30-2004 at _____ Doc Pages: _2 __ Filed Date: 08-30-2004 at 10:41 Status: Cert: ________ Authent No: Fees: Priority: ___ Copies: _____ Cert Pages: Agent: _______ Court Order: 3 Comments:___________________________________________________________________ C O R PO R A TI O N I N FO R M ATI O N Corp Name: _4___________________________________________________________ ____________________________________________________________ O/R: __ Reg Agent: _5_____ Status: A Good Standing Kind: _6__ Type: ____ Taxable: No. of Partners: 13___ Residency: 12_ State: 10_ Incorp Date: _______________ Country: 11 Orig Country: _7__ Orig Dt: _8________ Capital: _______________ STO C K I N FO R M ATI O N Amend: 000 Seq Description Cls Ser Authorized Par Value Start: __ 9______________ __ __ _________________ ________________ Time: __ _______________ __ __ _________________ ________________ Thru: __ _______________ __ __ _________________ ________________ __ _______________ __ __ _________________ ________________ Total of Entries: 1. PO 2. Doc Pages 3. Court Order 4. Corp Name 5. Reg Agent 6. Kind 7. Orig Country 8. Orig Dt 9. Stock Information 10. State 11. Country 12. Residency 13. No. of Partners Agents internal client reference # 2 filings1 coversheetthere is a space for the # of pages of second document Key in a Y if this is a court ordered filing Changes the name of the corporation Used to change the Registered Agent information Changes corporate entity kind ( corp, llc, lp, etc)(used in conversions) Used when an entity needs to record what country they are originally from The original date incorporation was formed in another country stock amount must fill in Seq Description Authorized Par Value State of incorporation of non-DE entities Original Country that non-US entity was formed Will be F for foreign or D for domestic Number of partners listed in document
-F -G -H - I
VALID PRIORITIES FOR CORPORATE AND UCC FILINGS PRIORITY 1 ONE HOUR PRIORITY 2 - TWO HOUR PRIORITY 3 SAME DAY PRIORITY 4 24 HOUR PRIORITY 5 MUST APPROVAL 1 2 3 4 5
INVOICING
When all transactions are completed for a Service Request Number, the order must be invoiced, refer below: Screen: Type 410 and depress enter Status: Type I = Invoice and depress enter Please Note: If the Image field is populated with an N certificates will print on the DCIS printer. If the Image field is populated with a Y the print process is initiated for imaging agents. Imaging agents must then generate a package through the print packaging application. No order is complete or will generate a printed certificate, plain copy or invoice unless it is invoiced. It is the invoicing process that completes the printing to a DCIS printer and initializes the printing process for image capable printing.
Name Reservations Doc. Code Corporation only 0100 Name Reserve; N/C Alternative entities 0100C Name Reserve; Charge Description Use to reserve a corporation name only at no charge. Use to reserve an LP/LLC/GP/TRUST/LLP name Use to renew a name reservation prior to the expiration date Use to transfer any reservation from one client to another. Use to cancel any name reservation for any entity kind. This will allow that name to again be available.
All entities 0100R Name Reserve Renewal 0100T Name Reserve Transfer 0100X Name Reserve Cancel -
Name Reservation
Screen: ___ Corp: NEW Doc: 0100C Req No: NEW Open F I L I N G I N F O R M A T I O N PO: __________ Eff Date: 08-30-2004 Filing Date: 08-30-2004 Time: 12:34 Status: Cert: NONE Authent No: Fees: Agent: _______ Comments: ____________________________________________________________ CORPORATION INFORMATION Corp Name: ____________________________________________________________ ____________________________________________________________ O/R: Kind: _ Expiration: PARTY REQUESTING RESERVATION Name: ________________________________ Agent ID: _______ Address: _______________________________ ________________________________ City: _________________________ _______________ Phone: ____________ FAX: ____________
NEW ENTITIES Doc code Corporations 0102 0102S 0102D 0102F Domestic Non Stock New Corporation Domestic Stock Corporation Domestication & Incorporation (2 filings 1 transaction) Foreign Corporation Description
Limited Liability Company 0102Y 0102Y Domestic Limited Liability Company Foreign Limited Liability Company
Limited Partnership 0102L 0102L 102RP Domestic Limited Partnership Foreign Limited Partnership Domestic LP to Register as a LLLP
Partnership 0102G 0102G 102DG Domestic Partnership Existence Foreign Partnership Existence Domestication & Partnership (2 filings 1 transaction)
Limited Liability Partnership 0102P 102FP 102NP Limited Liability Partnership Foreign Limited Liability Partnership Qualification Limited Liability Partnership
Description
Name Reservation 0100C 0100 Name Reservation Charge Name Reservation No Charge
Credit Service ( Unincorporated Non-Profit Association) 0102C Register Credit Services GP/LLP/LLLP
Codes to be used when filing GP/LLP/LLLP (Kind, Type and Tax Type): GENERAL PARTNERSHIP (GP) (LLP) Kind: Type: G G Kind: Type: P A P LIMITED LIABILITY PARTNERSHIP
Tax Type: G
Tax Type:
Tax Type: G
Tax Type:
Domestic Corporations 0240 0240S Amendment no stock change Use this to amend anything other than stock Amendment stock change Use this to amend stock and anything else
Foreign Corporations 0372 Amendment for foreign corporation Use this to amend anything on a foreign corporation
LPs, LLCs, Trusts, Partnerships (Domestic) 0240 Amendment - Use this to amend anything
LPs, LLCs, Trusts, Partnerships (Foreign) 0240 F Amendment - Use this to amend anything
Appointment of Agent 0240U Amendment to appointment of agent (only changes Registered Agent)
MERGERS Merger MODELING MODE 09-14-04 14:06 Req No: 040663671 Open Screen: ______ Corp: _________ Doc: ________ FILING INFORMATION PO: _________________ Eff Date: _________at _____ Doc Pages: ____ Filed Date: ____________at _________ Status: Cert: NONE Authent No: Fees: Agent: __________ Survivor: ___________ Type: __1_ Comments: __________________________________________________________ Court Order: 2 CORPORATION INFORMATION Corp Name: ___3___________________________________________________________ Agt County Reg Agent: 4 9000000 Name of Registered Agent Kind: C Corporation Status: A Good Standing 00-00-0000 Type: A General Taxable: T A/R Filing Required Residency: D Domestic State: DE Incorp Date: 00-00-0000 Country: US Merged State: STOCK INFORMATION Amend: 000 Seq Description Cls Ser Authorized Par Value __________ ___ ___ __________ _________ Start: 12-20-2000 5 Time: 09:00 Thru: Total of 1 Entries: - Survivors File number 1 - Type of merger being filed (Ownership, Agreement, Certificate, etc) 2 - Key in a Y if this is a court ordered filing 3 - Changes the name of the corporation 4- Changes the Registered Agent information 5 - Changes Stock information
10
Mergers All annual reports must be filed prior to ending the existence of any Delaware Domestic Corporation Doc code Description
Domestic Corporation 0250N 0250S 0251S 0250R Use to file all non-survivor entities Use to file surviving corporation (no stock change) Use to file surviving corporation (stock change) Use to file surviving corporation with a Restated attached; (already has a Restated on file and is not filing the restated separately) Surviving w/Restated attached stock (already has Restated on file and is not filing the restated separately)
0251R
Foreign Corporation 0372S Use this to file evidence of a merger on a foreign corporation qualified in Delaware (there will not be any data entry for nonsurvivors)
LPs, LLCs, Partnerships & Trusts 0250N 0250S 0250R Use to file all non-survivor entities Use to file surviving alternative entity Use to file surviving alternative entity with a Restated attached; (already has a Restated on file and is not filing the restated separately)
11
CORRECTIONS
Correction Corp: Doc: Req No: NULL Open F I L I N G I N F O R M A T I O N PO: __________ EFF DATE: 00/00/0000 at _____ DOC PAGES: ____ FILED DATE: 00/00/0000 at 00:00 Status: Cert: 8100 Authent No: Fees: Priority: ___ Copies: _____ Cert Pages: Agent: _______ Screen: ___
Court Order: _1_ Comments: _______________________________________________Old Doc: __2__ Merg Type: __3__
CORPORATION INFORMATION Corp Name: _4_________________________________________________________________ ________________________________________________________________________________ O/R: ____ Reg Agent: __5_____ NAME OF REG. AGENT New Castle Kind: ____ Status: A Good Standing 00-00-0000 Type: A General Taxable: T A/R Filing Required
Always comment as to what the correction is to correct (i.e. type and date of filing, what is beimg corrected in that S T O C K I N F O R M A T I O N filing, etc) 1 Key in a Y if this is a court ordered filing 2 used for a corrected certificate of- the doc code of document being corrected 3 - Type of merger being filed (Ownership, Agreement, Certificate, etc) 4 - Changes the name of the corporation 5 Changes the Registered Agent information 6 Number of partners listed in document 7 Will be F for foreign or D for domestic
12
Domestic Corporation 0103B 0103C 0103D 0103F 0103G 0103H 0103R 0103S Correction to Designation, Renewal Correction to Amendment, Restated Correction to Incorporation Correction to Domestication Correction to Transfer and Continuance (SOS must file) Correction to Conversion Correction to Agent Resignation Correction to Short Form Dissolution (SOS must file)
Foreign Corporation 0103Q 0103R 0103W 0103X Correction to Foreign Qualification Correction to Agent Resignation Correction to Foreign Withdraw Correction to Foreign Amendment
L.P.s & L.L.C.s (Domestic and Foreign) 17213 0103V 0103T 0103R 103GP 0103V Correction to LP and LLC filings with the exception of a Cancellation, Transfer and Continuance or Resignation which the SOS must file. Correction to Cancellation (Domestic only) Correction to Statutory Trust Correction to Agent Resignation (SOS must file) Correction to partnership filings with the exception of a Cancellation, Transfer and Continuance or Resignation which the SOS must file. Correction to Cancellation
Statutory Trust
Partnerships (Domestic)
13
DOCUMENTS THAT RENEW/REACTIVATE AN ENTITY Doc. Code Corporations only 0311 Revocation 0312V Renewal for Void Revoke a dissolution for corporations only Renew a corporation that was declared void for non payment of taxes Renew a corporation that was forfeited for lack of representation by a Registered Agent Description
LLC/LP/GP only 0312J Renewal for Cancel/Void - Renew an LLC, LP, GP that was declared void for non payment of taxes 0312R Renewal for Resign/Forfei Renew an LLC, LP, GP that was forfeited for lack of representation by a Registered Agent LLP/LLLP only 1510R Reinstatement of LLP Renew an LLP/LLLP for failure to file a timely Annual Report or when a Resignation of Agent has been filed. Renew a name reservation for any entity prior to the expiration date.
14
Corporations only 0243 0243s Use this for corporation kind only when they are retiring series of stock and NOT changing the # of authorized shares Use this for corporation kind only when they are retiring stock and ARE changing the # of authorized shares
The filing screen will be different only that the 0243s will require stock information input. Designations 0151 Use for corporation only when they are designating a series of stock, increasing, decreasing or eliminating a series whose resolutions have been approved by the Board. You can never change the # of authorized shares or par value in a Designation.
15
Domestic Corporations 0245 0245S 0245N Restated; Domestic Use this when the document is amending anything except stock. Restated; Stock Use this when the document is amending anything including stock. Restated;No Amend;Domestic- Use this when the document is not amending anything.
Domestic LLC/LP/Trust 0245 Restated; Domestic Use this whether or not the document amends. Domestic GP 0245G Restated Partnership Existence- Use this whether or not the document amends.
Domestic LLLP/LLP 0245L Restated Statement of Qualification Use this whether or not the document amends. Foreign GP/LLC/LP 0245X Restated;No Amend;Foreign- Use this when the document does not amend. 0245F Restated; Foreign Use this when the document amends anything. Delaware Workers Cooperative Act 1407R Restated; Cert of Accept Use this whether or not the document amends.
16
Doc Code
Description
Corporations Domestic 0133 Use this to file a routine Change of Registered Agent LP/LLC/GP/LLP/Trust Domestic 0240 Use this to file a Change of Registered Agent on alternative entities Corporations/LP/LLC/GP/LLP/Trust- Foreign 0240F Use this to file a Change of Registered Agent on foreign entities (The certified will print with text that refers to this document as an Amendment. Please title the document Amendment if using doc code 0240 or 0240f.)
17
All entities, domestic and foreign 135 Agent Resignation w/ Appt - Use this for all entities domestic and foreign (Resignation with appointment) 136 Agent Resignation w/o Apt - Use this for all entities domestic and foreign (Resignation without appointment)
Unincorporated Non Profit Association 0136U Resign Appointment - Use this for an Unincorporated Non Profit Association
18
Doc. Code
Conversions All annual reports must be filed prior to ending the existence of any Delaware Domestic Corporation Description
Conversion to a corporation 0265 0265N 0265S Conv & Form (Non-Corp) - Use this to convert a corporation to any alternative entity Conv & Incorp (Non-Stock) - Use this to convert any alternative entity to a non stock corporation. Conv & Incorp (Stock) - Use this to convert any alternative entity to a stock corporation.
LLP to another entity 15903 Conversion of LLP to O.E. - Use this to convert an LLP to any alternative entity
Conversion of alternative entity to another alternative entity 17217 Conversion & Formation - Use this to convert LLC/LP/GP/TRUST to an LLC/LP/GP/TRUST (including a non Delaware entity) Conversion;End Existence - Use this to convert a LLC/LP/GP/TRUST out of Delaware. This will terminate its existence as a Delaware entity.
1721C
19
Doc. Code
Dissolutions/Cancellations/Withdrawals All annual reports must be filed prior to ending the existence of any Delaware Domestic Corporation Description
Domestic Corporations only 0274 Dissolution BBB (all dissolutions change the 0275 Dissolution status of a corporation) 0391 Short Form Dissolution 0391B Short Form Dissolution BB Foreign Corporation only 0381 Withdrawal, Foreign Corp Partnerships only 0275G 15105 15704 LLP/LLLP only 1510P 1544W 1510L Dissolution;Partnership (changes status of entity) Cancellation; GP (changes status of entity) Statement of Dissociation (does not change status of entity) Cancellation; LLP Withdrawal L.L.P. Cancel LLLP only (changes status of entity) (changes status of entity) (does not change status of entity) (changes status of entity)
LP/LLC/Trust Foreign and Domestic 17203 Cancellation Delaware Workers Cooperative Act 1407C Cancellation; Acceptance All Entities 0100X -
20
Transfer/Continuance
Description Transfer (Use if the entity is transferring out of De) Continuance (Use if entity will continue to exist in Delaware) Transfer of property Name Reserve Transfer (Use to transfer ownership of a name reservation)
21
N/A N/A
Name Reservation Certificate Registered Agent Certificate Re-long Re-long/Bankruptcy Re-long Only Paper of Record Re-long/Only Paper of Record, Bankruptcy Re-long w/out Good Standing O Status-filed AR, tax is due Q Status-not filed AR, tax paid U Status-not filed AR, tax due Re-Change of Name Re-Change of Name/All Names Re-Merger Re-Foreign Re-Foreign Withdraw Re-Foreign Void Re-Dissolution (D Status) Re-Short Form Dissolution (D Status) Re-Short Dissolution BBB (Surrender) Re-Cancellation of L.P./LLC/GP Re-Dissolution BBB (Surrender) Re-No Record (Corp) Re-No Record L.P. Re-No Record L.L.C. Re-No Record Statutory Trust Re-No Record G.P. Re-No Record L.L.P. Re-No Transfer Re-Continuance Re-Void (Corp) Re-Void/No Proclamation (Corp) Re-Expiration Re-Forfeiture Re-Void/Cancelled (J Status) Re-Forfeit/Resigned (R Status) Re-Cease Good Standing Re-Conversion Re-Conversion/Cease to Exist
8300 8300 8310 8310 8310 8310 8340 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320 8320
8300G 8430 8310 8310B 8315 8315B 8340 8300O 8300Q 8300U 8320 8321 8330 8360 8365 8365A 8370 8371 8372 8375 8380 8390 8391 8392 8393 8394 8396 8395 8395C 8400 8401 8405 8415 8420 8425 8300X 8317 8317T
Certificates Screen: ___ Corp: 0000000 Doc: ____ Req No: NEW Open F I L I N G I N F O R M A T I O N PO: __________ Eff Date: 08-27-2004 Filing Date: 08-27-2004 Time: 13:52 Status: Authent No: Fees: Priority: _ Copies: ___ Cert Pages: Agent: _______ Comments: ____________________________________________________________ CORPORATION INFORMATION Corp Name: Your Companys Name Here Inc. Reg Agent: 9999999 INACTIVE AGENT ACCOUNT New Castle Kind: C Corporation Status: A Good Standing 01-01-01 Type: A General Taxable: T A/R Filing Required Residency: D Domestic State: DE Incorp Date: 01-01-01 Country: US Tax Due: Last A/R Filed: 2003 Pay Tax: _ CERTIFICATE REQUEST Cert: _____ Doc Pages: 1 Year: 2004 Seq: 963 Filed:01-01-2001 Doc: 0102 Incorporation Images: Y Print Image Req No: 000000000 Options: _ _ _ _ In the Doc field type: Refer to page 22. In the Req No field type: New to obtain a new Service Request Number. In the priority field type: Refer to page 4 for correct code In the copies field type: The total number of certified copies you wish to obtain. In the pay tax field type: y ONLY if you wish to pay the outstanding tax balance at the time of certification. In the Cert field type: Refer to page 22. In the Images field type: y if you would like a copy of the image. n if you do not need a copy of the image. In the options field type: A-A/R Filed E-Eff Date Phrase G-Good Standing I-Incorporation Date O-Only Paper T-Fran Tax Paid X-Termination Phrase If you are requesting a certified copy order you will be prompted to select the document you need from the filing history screen.
23
08-30-04 14:59 Screen: ___ Corp: 3242593 Doc: 4100 Req No: NEW Open F I L I N G I N F O R M A T I O N PO: __________ Eff Date: 08-30-2004 **Doc Pages: ___ Filing Date: 08-30-2004 Time: 14:59 Status: Cert: Authent No: Fees: Priority: _ Copies: ___ Year: 2003 Agent: _______ COMMENTS: ________________________________________________ CORPORATION INFORMATION Corp Name: Plain Copies, Inc. Reg Agent: 9999999 INACTIVE AGENT ACCOUNT Kent Kind: C Corporation Status: A Good Standing 06-12-2000 Type: A General Tax Type: T A/R Filing Required Residency: D Domestic Incorp Date: 06-12-2000 Country: US State: DE STOCK INFORMATION Amend: 000 Seq Description Cls Ser Authorized Par Value Start: 06-12-2000 1 COMMON 1,500 Time: 09:00 Thru: Srv: Total of 1 Entries: 1,500
In the Doc field type: Refer to page 22 In the Req No field type: New to obtain a new Service Request Number. *When you press enter you will be prompted to select the document or annual report that you would like a copy of. If you are requesting a copy of an annual report you must first view the image to determine the correct number of pages to enter in the **Doc Pages field. In the priority field type: Refer to page 4 In the copies field type: The total number of plain copies you wish to obtain.
24
Apostilles
08-30-04 12:41 Screen: ___ Corp: 0000000 Doc: 4800 Req No: NEW Open F I L I N G I N F O R M A T I O N PO: __________ Eff Date: 08-30-2004 Filing Date: 08-30-2004 Time: 12:41 Status: Cert: 4800 Authent No: Fees: Priority: _ Copies: ___ Cert Pages: Agent: _______ CORPORATION INFORMATION Corp Name: APOSTILLE Reg Agent: 0000000 Not in Del Kind: L Limited Partnership Status: A Good Standing 03-20-1995 Type: A General Tax Type: L Annual L.P. Tax Residency: F Foreign Incorp Date: 03-20-1995 Country: US State: MD CERTIFICATE INFORMATION Signed by: _____________________________________________ Capacity: _ Seal/Stamp:_____________________________________________
In the Doc field type: 4800 In the Req No field type: New or the Service Request Number of your order. In the priority field type: Refer to page 4. In the copies field type: The total number of apostilles you wish to obtain. In the Capacity field type: S for Secretary of State
25
Pay Franchise Tax Balance 08-30-04 13:56 Screen: ___ Corp: 0000000 Doc: _____ Req No: NEW Open F I L I N G I N F O R M A T I O N PO: __________ Eff Date: 08-30-2004 Filing Date: 08-30-2004 Time: 13:56 Status: Cert: NONE Authent No: Fees: Priority: _ Cert Pages: Agent: _______ Comments: ________________________________________________ CORPORATION INFORMATION Corp Name: Pay Franchise Tax Balance, Inc. Reg Agent: 9999999 INACTIVE AGENT ACCOUNT Kent Kind: C Corporation Status: A Good Standing 06-12-2000 Type: A General Residency: D Domestic Incorp Date: 06-12-2000 Country: US State: DE FRANCHISE TAX INFORMATION Tax Due: 105.03 Last A/R Filed: 2003
In the screen field type: 1DF In the Corp field type: The file # of the company you are paying taxes on. In the Doc field type: PAYFT or PAYFA In the Req No field type: New or the Service Request Number of your order. PAYFT will only pay delinquent taxes, penalty and interest. PAYFA will pay all taxes assessed including delinquent balances. Please verify the tax due amount on this screen. If you would like to pay the tax, press enter.
26
6DF UCC Filing Initiator 09-03-04 07:01 Screen: 6DF UCC1: ____________ Filing: ____ NEW Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. To initiate a UCC filing, search or copy order, go to the screen field and type in 6DF and depress enter. The priority field for all UCC search and copy transactions will default to a priority 4. The date field for all UCC transactions will default to current date and time. Type New in the Req field. After depressing enter on the filing screen, the filing number will be assigned. UCC1 filing number is required to file a UCC3 document. For each document filing, type in the number of pages of the document only. (Do not include the cover memo.) Doc: _____ Req: _________
27
UCC1 FILINGS UCC1 Filing 09-03-04 07:05 Screen: ___ Filing: 2004 NEW Req No: NEW Open PID: ______ FILING INFORMATION Date: 09-07-2004 Time: 10:54 Pages: _____ Status: Agent: _______ Priority: _ Fees: Type: __ Notify: Exp Ctl: __________ Exp: PARTY INFORMATION Role Type Cap Trust Trust Dates _ PID: __________________________________ _ _ _ __________ __________ Name: _____________________________________________________________ ____________________________________ AID: ___ Addr 1: ________________________________ 2: ________________________________ 3: ________________________________ City: _________________________ __ __________ _ PID: __________________________________ _ _ _ __________ __________ Name: _____________________________________________________________ ____________________________________ AID: ___ Addr 1: ________________________________ 2: ________________________________ 3: ________________________________ City: _________________________ __ __________ At the UCC filing initiator screen type the following: Filing: Tab to the second field and type New. Doc: UCC1 Req: Type new and depress enter Pages: Type in the number of pages of document only. Do not include cover sheet or check. Priority: Refer to page 4for list of valid priorities. Type: Check Box 5 on the document. If a box has not been marked, type in FS. If there is an alternative designation marked, see list below and type the appropriate code for that designation.
28
continued: Valid Types for UCC1 documents are as follows: AG - Agricultural Lien BT - Bulk Transfer CO - Consignment FS - Financing Statement L - Lease MH - Manufactured Home PF - Public Finance RL - Racketeering Lien TL - Federal Tax Lien TR - Trust TU - Transmitting Utility Exp Ctl: Leave blank for all filings. Role: D = Debtor S = Secured Party R = Record Owner All debtors are to be indexed first, secured parties second and then record owner, if applicable. PID: type name of debtor, secured party or record owner stated on document. (To increase the search argument, you may type up to 35 characters of the name.) If the name is a person, type last name first, followed by a comma, then the first name. FOR EXAMPLE: John B. Smith will be typed as Smith, John, B Type: B = Business P = Person Depress enter to perform the search for the party id number. If the name of debtor, secured party or record owner and address both appear in the directory, type the line # of the address at the Select field and press enter. If the name is in the directory, but the address is not, type in the line # of the name and depress enter. The PID # and the name will appear in their respective fields. AID: Tab to 1: and type the address and depress enter. If name is not in the directory, type X or N in the Select field and depress enter. PID: Delete name typed in this field.
29
continued: Cap: Leave this field blank unless box 17 on UCC Financing Statement Addendum is checked, then type the applicable code. E - Trustee S - Estate T - Trust Trust: Leave blank. If debtor is designated as a Trust, type a Y. Name: Type name of party. AID: Tab to 1: type address of party and depress enter. (A PID# and AID# will be assigned to the party.)
30
UCC3 FILINGS
6DF UCC Filing Initiator Screen: 09-07-04 12:26 UCC1: 20040787806 Filing: ____ new____ Doc: ucc3* Req: new______
Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. To file a UCC3 document, type in the following: Screen: 6DF UCC1: Type the UCC1 filing number. Filing: Tab to the second field and type new. Doc: UCC3* Replace the asterisk with the appropriate code from the following list: UCC3A UCC3B UCC3D UCC3G Continuation Assignment Amendment Termination
31
UCC3A
09-08-04 16:01 Screen: ___ Filing: 2004 NEW Doc: UCC3A Req No: NEW Open FILING INFORMATION Date: 09-08-2004 Time: 16:00 Pages: ____ Status: Agent: 9999999 THE CORPORATION TRUST COMPANY Priority: _ Fees: UCC1: 19990046750 Type: FS Financing Statement Expiration: 09-08-2004 CONTINUATION INFORMATION Notify: New Exp Ctl Dt: 09-08-2004 Pages: Type in the number of pages of the document. (Do not include cover memo.) Priority: Refer to page 4 for valid priorities. Depress enter
32
Assignment
UCC3B
Assignment 09-08-04 16:08 Screen: ___ Filing: 2004 NEW Doc: UCC3B Req No: NEW Open FILING INFORMATION Date: 09-08-2004 Time: 16:08 Pages: _____ Status: Agent: 9000010 THE CORPORATION TRUST COMPANY Priority: _ Fees:1 Type: FS Financing Statement Notify: N Exp Ctl: 09-08-1999 Exp: 09-08-2004 Act PARTY INFORMATION Role Type Cap Trust Trust Dates _ S PID: 017534 B _ Name: BOMBARDIER CAPITAL INC. AID: 008 Addr 1: P O BOX 600610 2: 3: City: JACKSONVILLE FL 32260 _ _ PID: __________________________________ _ _ _ __________ __________ Name: _____________________________________________________________ ____________________________________ AID: ___ Addr 1: ________________________________ 2: ________________________________ 3: ________________________________ City: _________________________ __ __________ Pages: Type in the number of pages of the document. (Do not include cover memo.) Priority: Refer to page 4 for valid priorities. Act: Type D in the Act field to delete the secured party of record. Tab down to the next Act field. Act: Type A to add the new secured party. Role: Type S for secured party. PID: Refer to page 28-29 for instructions on searching the directory for PID and/or AID. Repeat the above steps to add additional secured parties (assignees), if applicable. If document is designated as a partial assignment, do the following: Tab to the Act field below the current secured party of record and follow the steps above to add a secured party (assignee).
33
AMENDMENT
UCC3D
(For filing and indexing of Debtor or Secured Party change, Collateral Change or Releases) UCC Party Maintenance
Amendment 09-08-04 08:46 Screen: ___ Filing: 2004 NEW Doc: UCC3D Req No: NEW Open FILING INFORMATION Date: 09-08-2004 Time: 08:46 Pages: _____ Status: Agent: 9000000 Priority: _ Fees: Type: FS Financing Statement Notify: Exp Ctl: 03-12-2004 Exp: 03-12-2009 Act PARTY INFORMATION Role Type Cap Trust Trust Dates _ D PID: 349347 B _ Name: KAANAPALI LAND, LLC AID: 001 Addr 1: 900 NORTH MICHIGAN AVENUE 2: 3: City: CHICAGO IL 60611 _ S PID: 138458 B _ Name: BANK OF AMERICA, N.A. AID: 032 Addr 1: 231 SOUTH LASALLE STREET 2: 3: City: CHICAGO IL 60604
Pages: Type the number of pages of document only. (Do not include cover memo.) Priority: Refer to page 4 for valid priorities. The filing screen will display the current parties of record. When the Amendment is changing the collateral or a release of collateral only, just depress enter. If the Amendment is affecting the Debtor or Secured Partys name and/or address do the following: Tab to the ACT field for the party the amendment is affecting.
34
continued: ACT: Type D and depress enter twice. This will bring up a blank screen. To add the new party information, tab to the first Act field on the blank screen. ACT: Type A = add ROLE: Type D = Debtor S = Secured Party PID: Refer to page 28-29 for instructions on searching the directory for PID and/or AID.
35
UCC3G
09-11-04 08:51 Screen: ___ Filing: 2004 NEW Doc: UCC3G Req No: NEW Open FILING INFORMATION Date: 09-11-2004 Time: 08:51 Pages: _____ Status: Agent: 9000010 THE CORPORATION TRUST COMPANY Priority: _ Fees: UCC1: 20040787806 Type: FS Financing Statement Expiration: 03-12-2009
COMMENTS ____________________________________________________________ ____________________________________________________________ Pages: Type the number of pages of document only. (Do not include cover memo.) Priority: Refer to page 4 for valid priorities. Depress enter
36
UCC SEARCHES
Description Search will include all effective filings only. Search will include all effective filings, as well as, filings that have lapsed plus one year.
UCC1L
6DF UCC Filing Initiator 09-14-04 10:36 Screen: 6DF UCC1: ____________ Filing: ____ NEW_ Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. At the UCC filing Initiator screen type the following: Filing: Tab to the second field and type NEW. Doc: UCC11 UCC1L Req: type New and depress enter Doc: ____ Req: ______
37
UCC Name Search 10-13-06 17:37 Screen: ___ Filing: 2006 NEW Doc: UCC11 Req No: NEW Open FILING INFORMATION PO: Date: 10-13-2006 Time: 17:37 Copies: ___ Std Form: Status: Agent: _______ Priority: _ Fees: Auth: _______ Select From: __________ Thru: 10-13-2006 PARTY INFORMATION Search Name:___________________________________________________________ ________________________________________________________________________ Type: _ Role: _ Option: _ Cap Type Trust Trust Dates _ PID: Name: AID: ADDR 1: 2: 3: CITY:
Copies: Type number of copies. Priority: System will default to priority 4. Select From: Leave blank for a full search. Type in a begin date and change thru date if the request is not for the current date. Search Name: Type the name of the party. If the party is an individual, type last name first, followed by a comma, then the first name, followed by a comma, then the middle initial. For example: Smith, John, B. (Field length is 60 characters) Type: B = Business P = Person Role: D = Debtor Option: Leave field blank or type E if a trustee or L if the search is for a tax lien and depress enter.
38
The system will display the directory with the list of all PIDS that matched the search name. To approve the list displayed, type Y. To abandon the list displayed, type X and depress enter. Depress enter a second time to accept the selection(s).
39
UCC COPY REQUESTS The following are the codes to use when processing UCC copy requests: Doc Code UCCXS UCCXT UCCXH UCCXJ UCCXP UCCXR Description Certified Copy of a Single UCC Document (NEED UCC1 FILING NUMBER) Plain Copy of a Single UCC Document (NEED UCC1 FILING NUMBER) Certified Copy of History for a Specific UCC File Number (NEED UCC1 FILING NUMBER) Plain Copy of History for a Specific UCC File Number (NEED UCC1 FILING NUMBER) Certified Copy of a UCC Party (all Financing Statements on file) Plain Copy of a UCC Party (all Financing Statements on file)
THE SYSTEM WILL DEFAULT TO PRIORITY 4 ON ALL NAME SEARCH AND COPY REQUESTS.
40
UCCXS and UCCXT (SINGLE FILING) 6DF UCC Filing Initiator 09-23-04 08:57 Screen: ___ UCC1: 20021803356_ Filing: ____ NEW__ Doc: _____ Req: NEW___ Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. Before processing a copy request for a single filing, you will need to have the UCC1 original filing number for the document. Screen: 6DF UCC1: Type the UCC1 filing number of the document being requested. Filing: Tab to the second field type NEW. Doc: Type UCCXS for certified copy or UCCXT for plain copy of document. Req: Type new and depress enter. Certified, Single Filing 09-27-04 12:39 Screen: ___ Filing: 2004 NEW Doc: UCCXS Req No: NEW Open FILING INFORMATION PO: Date: 09-27-2004 Time: 12:39 Copies: ___ Std Form: Status: Agent: 9000010 THE CORPORATION TRUST COMPANY Priority: 4 Fees: UCC1: 2002 1803356 Type: FS Financing Statement Expiration: 06-25-2007 Auth: _______ Pages: Thru Dt: 09-27-2004 CERTIFICATE INFORMATION Filing: ____________ Cert: Copies: Type number of copies needed. UCC1: System will default to the UCC1 number typed on the previous screen. Filing: Type the filing number of the document being requested and depress enter. (Ex: 2002 1803356) Repeat the above steps for each single filing until order is completed. UCC Certified Request
41
UCCXH and UCCXP 6DF UCC Filing Initiator 09-27-04 15:01 Screen: ___ UCC1: 20021803356_ Filing: ____ NEW Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. Before processing a copy request for a filing history, you will need to have the UCC1 original filing number for the document. Screen: 6DF UCC1: Type the UCC1 filing number of the document being requested. Filing: Tab to the second field and type NEW. Doc: Type UCCXH for certified copy or UCCXJ for plain copy of document. Req: Type new and depress enter. Certified, UCC1 History 09-27-04 15:08 Screen: ___ Filing: 2004 NEW Doc: UCCXH Req No: NEW Open FILING INFORMATION PO: Date: 09-27-2004 Time: 15:07 Copies: ___ Std Form: Status: Agent: 9000010 THE CORPORATION TRUST COMPANY Priority: 4 Fees: UCC1: 2002 1803356 Type: FS Financing Statement Expiration: 06-25-2007 Auth: _______ Pages: Thru Dt: 09-27-2004 CERTIFICATE INFORMATION Filing: ____________ Cert: Copies: Type number of copies needed. UCC1: System will default to the UCC1 number typed on the previous screen. Filing: Type the UCC1 filing number of the history being requested and depress enter. (Ex: 2002 1803356) UCC Certified Request Doc: _____ Req: NEW
42
UCCXP and UCCXR 6DF UCC Filing Initiator Screen: ___ UCC1: 09-27-04 15:28 Filing: 2004 NEW Doc: _____ Req: NEW
Document to be filed Complete the entry of the required Action Line information and you will be transferred automatically to the appropriate screen for performing this filing. 6DF Filing: Tab to the second field and type NEW. Doc: Type UCCXP for certified copy or UCCXR for plain copy of document. Req: Type new and depress enter. Certified, UCC Party 09-27-04 15:38 Screen: ___ Filing: 2004 NEW Doc: UCCXP Req No: NEW Open FILING INFORMATION PO: Date: 09-27-2004 Time: 15:28 Copies: ___ Std Form: Status: Agent: 9000010 THE CORPORATION TRUST COMPANY Priority: 4 Fees: Auth: _______ Select From: __________ Thru: 09-27-2004 Pages: PARTY INFORMATION Search Name: __________________________________________________________ Role: _ Option: _ Lapsed: _ Cap Type Trust Trust Dates _ PID: ________________________________ _ Name: AID: ___ Addr 1: 2: 3: City: _ PID: ________________________________ _ Name: AID: ___ Addr 1: 2: 3: City: Copies: Type number of copies needed. Select From: Leave blank for all copies. Type in a begin date and change thru date if request is not for current date. 43 UCC Certified Request
continued: Search Name: Type the name of the party. If the party is an individual, type last name first, followed by a comma, then the first name next, followed by a comma, then the middle initial. For example: Smith, John, B. (Field length is 60 characters) Role: D = Debtor S = Secured Party Option: Leave field blank or E = trustee L = tax lien Lapsed: Y = include lapsed filings N = exclude lapsed filings. PID: Type the PID number or search for the PID number by typing name of party being requested. (To increase the search argument, you may type up to 35 characters of the name.) If name is a person, type last name first, followed by a comma, then the first name. FOR EXAMPLE: John B. Smith will be type as Smith, John, B Type: B = Business P = Person Depress enter. The directory will appear with all of the matching party names. Type the line number of the requested party id and depress enter. If more than one party id matches the search name, go to the next PID field and type the next PID number or follow the above steps to search for the PID number. Depress enter twice and a blank screen will appear. All PID numbers that match the party in the search name field should be requested. The total pages will appear in the Pages field and the total charges will appear in the Fees field.
44
MODELING MODE The modeling mode is used to simulate a transaction. It is used to check name availability, filing fees and taxes. The following are the screens and a description of what they do: MFM MDF = 1DF MDM = 1DM MFD = 420 M05 = 505 M10 = 510 M11 = 511 M20 M21 M30 = 530 M31 = 531 M35 = 535 M40 = 540 M50 = 150 Helpful Hints: Once a transaction has been performed on a file number, you must change the file number or sign off before performing another transaction on that file number in the modeling function. View all related modeling screens prior to exiting the modeling function. Once you have exited the modeling function, data pertaining to that transaction is no longer available. When calculating a tax due balance, file the annual report first on the M30 screen, then enter issued shares and assets, if applicable, on the M31 screen. You can view the tax detail on the M35 screen. When calculating taxes to dissolve or merge, go to the M20 screen, change to appropriate status and change status date to the effective date of filing. You can view the tax detail on the M35 screen. Initiates the modeling mode function. You must use this screen to perform any modeling function. Initiates a modeling mode transaction. Use this to calculate filing fees. This displays the document filing maintenance. this shows the fee detail. You must go to this screen from the MDF screen. This displays the current tax due (enter date is applicable). This displays the tax detail. This displays the tax history. This is used to change the status and status date to obtain taxes to merge or dissolve. This displays the Stock Amendment List. This is used to file an Annual Report. This is used to enter the issued shares and assets to calculate taxes on the alternative method. This screen displays the tax calculation detail. Use this screen after any modeling update to view the tax calculation detail. This displays the interest calculation. This displays the legal filing history.
45
46