NOTICE OF FILING OF ASSUMED BUSINESS NAME
(d/b/a “Fictitious Business Name Notice”)
Commonwealth of Kentucky
[// GUIDANCE: This template is intended for use when an individual or entity (“Registrant”) adopts an Assumed Name (also known as a “DBA” or “Fictitious Business Name”) under Ky. Rev. Stat. Ann. § 365.015. Customize all bracketed placeholders, delete guidance boxes before finalization, and confirm county-level clerk practices.]
TABLE OF CONTENTS
- DOCUMENT HEADER
- DEFINITIONS
- OPERATIVE PROVISIONS
- REPRESENTATIONS & WARRANTIES
- COVENANTS & RESTRICTIONS
- DEFAULT & REMEDIES
- RISK ALLOCATION
- DISPUTE RESOLUTION
- GENERAL PROVISIONS
- EXECUTION BLOCK
1. DOCUMENT HEADER
1.1 Title. Notice of Filing of Assumed Business Name pursuant to Ky. Rev. Stat. Ann. § 365.015 (the “Notice”).
1.2 Effective Date. This Notice is effective as of [EFFECTIVE DATE] (the “Effective Date”).
1.3 Registrant. [LEGAL NAME OF REGISTRANT], a [ENTITY TYPE; e.g., Kentucky limited liability company / individual], with its principal place of business at [PRINCIPAL BUSINESS ADDRESS] (the “Registrant”).
1.4 Assumed Name. The Registrant has adopted the assumed business name “[ASSUMED NAME]” (the “Assumed Name”).
1.5 Jurisdiction. This Notice is prepared for filing and, if desired, publication within the Commonwealth of Kentucky.
2. DEFINITIONS
For purposes of this Notice, capitalized terms have the meanings set forth below. Undefined capitalized terms have the meanings assigned by applicable Kentucky law.
“Assumed Name” – The fictitious business name “[ASSUMED NAME]” adopted by the Registrant.
“Certificate” – The Certificate of Assumed Name filed with the Kentucky Secretary of State and with the clerk of the [COUNTY] County Clerk’s office.
“Effective Date” – The date stated in Section 1.2.
“Registrant” – The person or entity identified in Section 1.3.
“Renewal Period” – Five (5) years from the Effective Date, or such other period as may be prescribed under Ky. Rev. Stat. Ann. § 365.015 as amended from time to time.
3. OPERATIVE PROVISIONS
3.1 Filing of Certificate.
(a) The Registrant confirms that it has filed, or will contemporaneously file, the Certificate with:
(i) The Kentucky Secretary of State, Business Filings Division; and
(ii) The [COUNTY] County Clerk.
(b) The filing fee shall be paid as prescribed by KRS filing fee schedules.
3.2 Publication of Notice.
(a) Current Kentucky law does not mandate newspaper publication of an Assumed Name; however, certain lenders, vendors, or counties may request proof of publication as a best practice.
(b) If publication is elected, the Registrant shall cause this Notice (or a summary complying with local newspaper formatting rules) to be published once per week for two (2) consecutive weeks in a newspaper of general circulation in [COUNTY] County, Kentucky, and shall secure an affidavit of publication for its records.
[// GUIDANCE: Delete Section 3.2 if publication will not be pursued.]
3.3 Renewal. The Registrant shall file a Renewal of Assumed Name with the Kentucky Secretary of State on or before expiration of the Renewal Period to maintain the Assumed Name in good standing.
3.4 Withdrawal. If the Registrant ceases to use the Assumed Name, it shall file a Certificate of Withdrawal of Assumed Name within sixty (60) days thereafter.
3.5 Consideration. No monetary consideration is exchanged; the parties’ consideration consists of their respective undertakings herein.
4. REPRESENTATIONS & WARRANTIES
4.1 Authority. The Registrant has full right, power, and authority to adopt and use the Assumed Name and to execute, file, and, if elected, publish this Notice.
4.2 Accuracy. All information contained in this Notice and in the Certificate is true, correct, and complete in all material respects as of the Effective Date.
4.3 No Infringement. To the Registrant’s knowledge, use of the Assumed Name does not infringe the intellectual property rights of any third party.
4.4 Survival. The representations and warranties herein survive the Effective Date for so long as the Assumed Name remains in use.
5. COVENANTS & RESTRICTIONS
5.1 Compliance. The Registrant shall at all times comply with Ky. Rev. Stat. Ann. § 365.015 and any successor statutes, together with all applicable county clerk regulations.
5.2 Record-Keeping. The Registrant shall maintain copies of the filed Certificate, any Renewal, any Withdrawal, and (if applicable) proof of publication, for not less than six (6) years after the date of filing or withdrawal.
5.3 Notice of Change. The Registrant shall promptly amend the Certificate if any information therein becomes inaccurate.
6. DEFAULT & REMEDIES
6.1 Events of Default. The following constitute defaults:
(a) Failure to renew the Assumed Name within the Renewal Period;
(b) Failure to withdraw the Assumed Name within the time required after discontinuance of use; or
(c) Material misstatement in the Certificate or this Notice.
6.2 Consequences. Upon default, the Assumed Name may become administratively inactive, and the Registrant may lose exclusive use of the name within Kentucky.
6.3 Cure. The Registrant may cure a default by timely filing the appropriate corrective instrument and paying any applicable late fees.
6.4 Costs. The Registrant is responsible for all statutory penalties, third-party claims, and governmental fees arising from its non-compliance.
7. RISK ALLOCATION
[// GUIDANCE: Indemnification and liability caps are “not applicable” per user metadata. The section is included for completeness but expressly states N/A.]
7.1 Indemnification. Not applicable.
7.2 Limitation of Liability. Not applicable.
7.3 Insurance. No insurance requirements are imposed by this Notice.
7.4 Force Majeure. Because no continuing performance obligations exist between parties, a force-majeure clause is unnecessary.
8. DISPUTE RESOLUTION
8.1 Governing Law. This Notice is governed by the laws of the Commonwealth of Kentucky without regard to its conflict-of-laws rules.
8.2 Forum Selection. Any dispute arising out of or relating to this Notice shall be filed exclusively with the clerk of the state courts located in [COUNTY] County, Kentucky.
8.3 Arbitration. Not applicable.
8.4 Jury Waiver. Not applicable.
8.5 Injunctive Relief. Not applicable.
9. GENERAL PROVISIONS
9.1 Amendments. This Notice may be amended only by a writing executed by the Registrant and, where required, filed with the Kentucky Secretary of State and the appropriate county clerk.
9.2 Assignment. Rights to the Assumed Name are not assignable except in conformity with Ky. Rev. Stat. Ann. § 365.015 and applicable trademark law.
9.3 Severability. If any provision of this Notice is held unlawful or unenforceable, the remaining provisions shall remain in full force to the extent permissible.
9.4 Entire Notice. This document, together with the Certificate and any publication affidavit, constitutes the entire notice regarding the Assumed Name.
9.5 Counterparts; Electronic Signatures. This Notice may be executed in one or more counterparts, each deemed an original, and signatures delivered electronically shall be treated as originals under Kentucky’s Uniform Electronic Transactions Act, KRS Chapter 369.
10. EXECUTION BLOCK
IN WITNESS WHEREOF, the undersigned executes this Notice as of the Effective Date.
[LEGAL NAME OF REGISTRANT]
By: ____
Name: [SIGNATORY NAME]
Title/Capacity: [TITLE OR “Individual”]
Date: ________
STATE OF KENTUCKY )
COUNTY OF ____ )
Subscribed, sworn to, and acknowledged before me by ____, this _ day of ___, 20____.
Notary Public
Commission No.: ___
My Commission Expires: ___
[// GUIDANCE: Confirm whether the county clerk in your jurisdiction requires notarization; Kentucky Secretary of State forms generally require acknowledgment.]
© [YEAR] [LAW FIRM/ATTORNEY NAME]. All rights reserved.
[// GUIDANCE: Remove copyright line if inappropriate for filing/publication.]