1. (1) “Non-Alabama Products.” Products not produced in Alabama cannot be registered in the Central Filing System.
2. (2) “Approved Forms.” The U.C.C.-lF form is designated as the official form to be used as an effective financing statement. The U.C.C.-3F form is designed as the official form to be used for amendments to or continuation of effective financing statements. The Alabama Secretary of State will accept effective financing statements if they are not filed on an approved form U.C.C.-lF but meet the requirements of 820-4-2-.03(3). An additional fee of $5.00 per filing is charged if a nonapproved form is used.

3. (3) Required Information For U.C.C.-1F. The following will be required on the U.C.C.-1F form:

   1. (a) Name and address of the debtor or debtors (or other person subjecting the farm product to security interest). In the case of a natural person, the surname must appear first; in the case of a corporation or other entity not a natural person, the name must appear beginning with the first word which is not an article.
   2. (b) Social Security or Internal Revenue Service taxpayer identification number of the debtor(s).
   3. (c) Name and address of the secured party(ies).
   4. (d) Crop year unless every crop of the farm product in question, for the duration of the effective financing statement, is to be subject to the particular security interest.
   5. (e) Farm product name and code as published by the Secretary of State.
   6. (f) Each county code number in the state where the farm product is produced and each other county in the state, where the same product is located or is foreseen to be located in the future.
   7. (g) Signature of all debtors and secured parties.
   8. (h) Further details of the farm product subject to the security interest if needed to distinguish it from other such product owned by the same person but not subject to the particular security interest.
4. (4) “Requirements For An Amendment.” An amendment is required to be filed whenever a "material change" occurs. A material change is whatever change that would render the master list entry no longer informative as to what is subject to the security interest in question. An amendment must be submitted in writing within three months of such material change.
5. (5) “Continuation Of An Effective Financing Statement.” An effective financing statement is effective for a period of five years from the date of filing. Extensions for additional periods of five years each can be accomplished by filing a continuation statement. Filing of a continuation statement is permitted within six months of the expiration of the effective financing statement.
6. (6) “Termination.” An effective financing statement may be terminated at any time during the effective period by the secured party submitting a termination statement.

7. (7) “Required Information For Form U.C.C.-3F.” The U.C.C.-3F is designated the official form for amendments, continuations, and terminations of effective financing statements. In conjunction with the definition of "material change," the release of certain collateral subject to the security interest or the assignment of a security interest are considered amendments. The Alabama Secretary of State will accept amendments, terminations, or continuations on forms other than the U.C.C.-3F if the following required information is presented. Pursuant to Code of Ala. 1975, Section 7-9A-525, an additional $5.00 is charged for filing these nonstandard forms. The following information must be included on form U.C.C.-3F:

   1. (a) The name and address of the debtor(s) as they appear on the original filing to which the U.C.C.-3F pertains.
   2. (b) The file number of the filing to which U.C.C.-3F pertains.
   3. (c) The name and address of the secured party(ies) as they appear on the original filing to which the U.C.C.-3F pertains.
   4. (d) A designation as to whether the form is submitted as an amendment, a termination, a continuation, a release of collateral, an assignment of security interest, or a combination of the above.
   5. (e) In the case of an amendment, details pertaining to material changes which required the filing of amendment.
8. (7) Signatures of the secured party(ies) of record and debtor(s) except that the debtor's signature is not required for continuations, terminations, assignments of the security interest, or release of certain collateral from the agreement.
9. (8) “Lapse Of Effective Financing Statement.” An effective financing statement lapses on the expiration date of the filing.

10. (9) “Farm Product List And Codes.” The farm products which must be identified on an E.F.S. must be specific commodities, species of livestock, and specific products or crops or livestock. Miscellaneous categories are not permissible. The farm products which are to be identified on an E.F.S. are as follows:

    101 Apples               152 Mushrooms
    102 Apricots             153 Muscadine
    103 Artichokes           154 Mustards
    104 Asparagus            155 Nectarines
    105 Avocados             156 Nutmeg
    106 Bananas              157 Oats
    107 Barley               158 Olives
    108 Beans, Butter        159 Onions
    109 Beans, Dry           160 Oranges
    110 Beans, Lima          161 Papayas
    111 Beans, Snap          162 Peaches
    112 Beans, Waxed         163 Peanuts
    113 Beets                164 Pears
    114 Berries, Black       165 Peas, Dry
    115 Berries, Blue        166 Peas, Field
    116 Berries, Straw       167 Peas, Green
    117 Broccoli             168 Pecans
    118 Brussels Sprouts     169 Peppers
    119 Cabbage              170 Persimmons
    120 Carrots              171 Pineapple
    121 Cauliflower          172 Plums and Prunes
    122 Celery               173 Pomegranates
    123 Cherries             174 Popcorn
    124 Coffee               175 Pumpkins
    125 Collards             176 Rape Seed
    126 Corn                 177 Rice
    127 Corn, Sweet          178 Rye
    128 Cotton               179 Sorghum Grain
    129 Cucumbers            180 Soybeans
    130 Dates                181 Spinach
    131 Eggplant             182 Sugar Beets
    132 Escarole             183 Sugar Cane
    133 Figs                 184 Sunflower Seeds
    134 Flaxseed             185 Sweet Potatoes
    135 Garlic               186 Tangelos
    136 Grapes and Raisins   187 Tangerines
    137 Grapefruit           188 Taro
    138 Hay                  189 Tea
    139 Hops                 190 Tobacco
    140 Irish Potatoes       191 Tomatoes
    141 Kiwi                 192 Trees
    142 Legumes, Seeds       193 Turnips
    143 Lemons               194 Walnuts
    144 Lettuce              195 Wheat
    145 Limes
    146 Maple Syrup          201 Cattle and Calves
    147 Melons, Cantaloupe   202 Catfish and Fish
    148 Melons, Honey Dew    203 Chickens
    149 Melons, Water        204 Ducks
    150 Milo                 205 Eggs, Hatching
    151 Mint                 206 Geese
    207 Goats                301 Eggs
    208 Guineas              302 Flowers
    209 Hogs                 303 Foliage Plants
    210 Horses               304 Grass
    211 Lambs and Sheep      305 Honey
    212 Mules                306 Milk
    213 Quail                307 Cotton Seed
    214 Turkeys              308 Mohair
    215 Earthworms           309 Shrubbery
    216 Shellfish            310 Wool

11. (10) “Crop Year.”

    1. (a) The crop year which must be included on E.F.S is as follows:

       1. 1. For a crop grown in soil, the calendar year in which it is harvested or to be harvested.
       2. 2. For animals, the calendar year in which they are born or acquired.
       3. 3. For poultry or eggs, the calendar year in which they are sold or to be sold.
    2. (b) If an E.F.S. does not show a crop year, every crop year for which the E.F.S. is effective is regarded as applicable for that particular crop or product.
12. (11) “Amount.” The amount of farm products need not be shown on an E.F.S. If no amount is indicated, all of such product owned by the person in question is subject to the security interest.
13. (12) “County Where Produced.” The county in which farm products are produced need not be shown on an E.F.S. If no county is indicated, all products owned by the debtor and located in any Alabama county are subject to the security interest.
14. (13) “Additional Information.” Additional information is required when some of the farm products owned by the debtor are subject to the security interest and some are not. The additional information about amount and property must be sufficient to enable a reader of the information to identify what product owned by the debtor is subject to the security interest as distinguished to the same product owned by the same person is not subject.

Author: Valeria Harman, Charles E. Grainger, Jr.

Statutory Authority: Code of Ala. 1975, §§7-9-307, 7-9-407, 7-9A-320, 7-9A-523.

Editor’s Note: Formerly Rule 820-X-2-.03, as per certification filed January 10, 2001; effective February 14, 2001.

History: New Rule: Filed January 10, 2001; effective February 14, 2001. Amended: Filed January 9, 2003; effective February 13, 2003.