Pre-lien Notice / Notice to Owner

NOTICE OF INTENTION TO CLAIM MECHANIC’S LIEN

(Connecticut – Conn. Gen. Stat. § 49-35)

TABLE OF CONTENTS

1. Document Header
2. Definitions
3. Operative Provisions (Notice Statement)
4. Representations & Warranties
5. Covenants & Restrictions
6. Default & Remedies
7. Risk Allocation
8. Dispute Resolution
9. General Provisions
10. Execution Block
11. Certificate of Service

1. DOCUMENT HEADER

1.1 Effective Date: [DATE]
1.2 Claimant: [CLAIMANT LEGAL NAME], a [STATE] [ENTITY TYPE] with a principal place of business at [ADDRESS] (“Claimant”).
1.3 Owner: [OWNER LEGAL NAME], a [STATE] [ENTITY TYPE / INDIVIDUAL] with a principal address at [ADDRESS] (“Owner”).
1.4 Prime Contractor: [PRIME CONTRACTOR LEGAL NAME] (if applicable, the “Prime Contractor”).
1.5 Project: [PROJECT NAME / DESCRIPTION].
1.6 Property: [LEGAL DESCRIPTION AND MUNICIPAL ADDRESS] (the “Property”).
1.7 Governing Law: State of Connecticut.
1.8 Forum Selection: Exclusive jurisdiction in the Connecticut state courts located in [COUNTY].

Recitals

A. Claimant has furnished labor, materials, and/or equipment (collectively, the “Work”) to the Project pursuant to that certain agreement dated [CONTRACT DATE] (the “Subcontract”).
B. As of the Effective Date, Owner and/or Prime Contractor has failed to pay Claimant an amount of $[AMOUNT DUE] (the “Unpaid Balance”).
C. Pursuant to Conn. Gen. Stat. § 49-35, Claimant is required to give written notice of its intention to claim a mechanic’s lien against the Property in order to preserve lien rights.

NOW, THEREFORE, Claimant issues this Notice of Intention to Claim Mechanic’s Lien (this “Notice”) as follows:

2. DEFINITIONS

“Claimant” – See Section 1.2.
“Effective Date” – See Section 1.1.
“Notice” – This Notice of Intention to Claim Mechanic’s Lien, together with all schedules and attachments.
“Owner” – See Section 1.3.
“Prime Contractor” – See Section 1.4.
“Project” – See Section 1.5.
“Property” – See Section 1.6.
“Subcontract” – See Recital A.
“Unpaid Balance” – See Recital B.
“Work” – See Recital A.

3. OPERATIVE PROVISIONS (NOTICE STATEMENT)

3.1 Statutory Notice. Pursuant to Conn. Gen. Stat. § 49-35, Claimant hereby gives written NOTICE to Owner (and to Prime Contractor, if any) of Claimant’s intention to claim a mechanic’s lien upon the Property for the value of the Work furnished to the Project.

3.2 Amount Claimed. As of the Effective Date, the Unpaid Balance is $[AMOUNT DUE], exclusive of interest, finance charges, attorney fees, lien-recording costs, and other recoverable amounts.

3.3 Description of Work. Claimant furnished the following Work to the Project:
 • Labor: [BRIEF DESCRIPTION]
 • Materials: [BRIEF DESCRIPTION]
 • Equipment: [BRIEF DESCRIPTION]

3.4 Date Work Last Furnished. The last date on which Claimant furnished Work to the Project was [LAST DATE OF WORK], which is not more than ninety (90) days before the date of this Notice.

3.5 Property Description. See Section 1.6. Claimant believes the interest of Owner in the Property to be [FEE SIMPLE / LEASEHOLD].

3.6 Reservation of Rights. Claimant reserves all rights and remedies available at law or in equity, including but not limited to: (a) filing a Certificate of Mechanic’s Lien with the appropriate land records within the statutory period; (b) commencing an action to foreclose such lien; and (c) recovering all amounts due, together with interest, costs, and reasonable attorney fees.

4. REPRESENTATIONS & WARRANTIES

4.1 Authority. Claimant represents that it is duly organized, validly existing, and in good standing under the laws of its formation jurisdiction, and that the undersigned is authorized to execute and deliver this Notice.

4.2 Accuracy. Claimant warrants that, to the best of its knowledge after reasonable inquiry, the statements contained in this Notice are true and correct in all material respects as of the Effective Date.

4.3 Survival. The representations and warranties in this Section 4 survive delivery of the Notice and any subsequent lien filing or proceeding.

5. COVENANTS & RESTRICTIONS

5.1 Cooperation. Owner and Prime Contractor shall cooperate with Claimant to reconcile amounts owed and resolve payment disputes in good faith.

5.2 Cure Period. Owner and/or Prime Contractor may cure the default in payment by remitting the Unpaid Balance (plus any agreed upon interest and costs) to Claimant within ten (10) days after receipt of this Notice.

6. DEFAULT & REMEDIES

6.1 Events of Default. Failure to cure as provided in Section 5.2 constitutes a default under this Notice.

6.2 Remedies. Upon default, Claimant may, without further notice:
 a. Record a Certificate of Mechanic’s Lien against the Property pursuant to Conn. Gen. Stat. § 49-34;
 b. Commence an action to foreclose the lien and/or recover the Unpaid Balance;
 c. Seek reimbursement of all costs of collection, including reasonable attorney fees, court costs, and statutory interest; and
 d. Exercise any other rights or remedies available at law or equity.

6.3 Attorney Fees. In any action to enforce this Notice or foreclose the lien, the prevailing party is entitled to recover its reasonable attorney fees and costs, as permitted by Conn. Gen. Stat. § 49-35b.

7. RISK ALLOCATION

7.1 Limitation of Liability. Claimant’s aggregate liability to Owner or Prime Contractor arising out of or relating to the Work is limited to the lesser of:
 (a) the total amount actually paid to Claimant for the Work; or
 (b) the fair market value of the Work performed as of the date a claim accrues.

7.2 Force Majeure. Claimant is not liable for delays or failures to perform caused by forces beyond its reasonable control, including acts of God, governmental actions, labor disputes, or material shortages.

8. DISPUTE RESOLUTION

8.1 Governing Law. This Notice and any dispute arising hereunder are governed by the laws of the State of Connecticut, without regard to its choice-of-law rules.

8.2 Forum Selection. The state courts located in [COUNTY], Connecticut have exclusive jurisdiction over all disputes arising out of or relating to this Notice, the lien, or the Work.

8.3 Arbitration. Not applicable.

8.4 Jury Waiver. Not applicable.

8.5 Injunctive Relief. Nothing in this Section 8 limits Claimant’s right to seek injunctive or other equitable relief to enforce its lien rights.

9. GENERAL PROVISIONS

9.1 Amendments. This Notice may be amended only by a written instrument executed by Claimant.

9.2 Assignment. Claimant may assign its rights under this Notice and any resulting lien; Owner’s consent is not required.

9.3 Severability. If any provision of this Notice is held unenforceable, the remaining provisions remain in full force and effect.

9.4 Entire Agreement. This Notice constitutes the entire agreement and understanding of Claimant with respect to the subject matter hereof.

9.5 Counterparts; Electronic Signatures. This Notice may be executed in counterparts (including by electronic signature and/or PDF), each of which is deemed an original and all of which constitute one instrument.

10. EXECUTION BLOCK

IN WITNESS WHEREOF, the undersigned has executed this Notice as of the Effective Date.

CLAIMANT:
[CLAIMANT LEGAL NAME]

By: _______________________________
Name: _____________________________
Title: _____________________________

STATE OF ____________
COUNTY OF __________

On this ___ day of __________, 20__, before me, the undersigned, personally appeared ____________________________, who proved to me on the basis of satisfactory evidence to be the person whose name is signed above, and acknowledged that he/she executed the same in his/her authorized capacity on behalf of the Claimant.

__________________________________
Notary Public
My Commission Expires: _____________

11. CERTIFICATE OF SERVICE

I, [NAME], certify under penalty of perjury that on the Effective Date I served a true and correct copy of this Notice of Intention to Claim Mechanic’s Lien upon:

1. Owner at [OWNER ADDRESS]
2. Prime Contractor at [PRIME CONTRACTOR ADDRESS] (if applicable)

by:

☐ Certified Mail, return-receipt requested (Tracking No. _____________)
☐ Registered Mail
☐ Hand Delivery / Service of Process by a Proper Officer

__________________________________
Signature of Server
Date: _____________________________

IMPORTANT STATUTORY DEADLINES (CONNECTICUT)

• Notice must be served within ninety (90) days after the last date the Claimant furnished Work to the Project.
• The Certificate of Mechanic’s Lien must be recorded within ninety (90) days after the last date of furnishing AND not later than thirty (30) days after the Notice is served.
• An action to foreclose the lien must be commenced within one (1) year after the lien is recorded.

Failure to meet any deadline may invalidate the lien. Consult counsel immediately if deadlines are imminent.