PRELIMINARY NOTICE OF LIEN RIGHTS
(NOTICE TO OWNER – KENTUCKY)
[// GUIDANCE: This template is drafted to comply with Kentucky’s mechanics-lien framework under KRS 376.010 et seq. Customize all bracketed terms, confirm project-specific statutory deadlines, and review county-level recording/service nuances before use.]
TABLE OF CONTENTS
- Document Header
- Definitions
- Operative Provisions
- Representations & Warranties
- Covenants
- Default & Remedies
- Risk Allocation
- Dispute Resolution
- General Provisions
- Execution Block
- Certificate of Service
1. DOCUMENT HEADER
1.1 Title
Preliminary Notice of Lien Rights (Notice to Owner) – Kentucky
1.2 Parties
a. “Claimant”: [CLAIMANT LEGAL NAME], a [STATE] [ENTITY TYPE] having its principal place of business at [ADDRESS].
b. “Owner”: [OWNER LEGAL NAME], whose address for notice is [ADDRESS].
c. “Prime Contractor” (if not Claimant): [PRIME CONTRACTOR NAME], address [ADDRESS].
1.3 Property & Project Identification
a. “Project”: [PROJECT NAME / DESCRIPTION].
b. “Property”: [LEGAL DESCRIPTION or STREET ADDRESS, CITY, COUNTY, KY, ZIP].
c. “County Clerk’s Recording Reference” (if any): [BOOK/PAGE or INSTRUMENT #].
1.4 Effective Date
This Notice is effective as of [EFFECTIVE DATE].
1.5 Governing Law
Commonwealth of Kentucky mechanics-lien law, Ky. Rev. Stat. § 376.010 et seq. (“Lien Law”).
2. DEFINITIONS
(Alphabetical)
“Certified Mail” – USPS certified mail, return-receipt requested, or any equally reliable statutory method of service.
“Claim Amount” – The good-faith amount of $[AMOUNT] presently due and owing to Claimant for Labor and Materials furnished to the Project.
“Last Furnishing Date” – [MM/DD/YYYY], being the last date on which Claimant furnished Labor or Materials to the Project.
“Labor and Materials” – All labor, professional services, equipment, and/or materials provided by Claimant for incorporation into the Project.
“Notice Deadline” – The statutory period measured from the Last Furnishing Date within which this Notice must be served to preserve lien rights (currently [__] days under KRS 376.010(3), subject to project type and amount).
“Service Method” – Personal delivery, Certified Mail, or such other method expressly permitted under the Lien Law.
3. OPERATIVE PROVISIONS
3.1 Statutory Notice.
Pursuant to the Lien Law, Claimant hereby gives written notice to Owner that it has supplied Labor and Materials to the Project and that the Claim Amount remains unpaid.
3.2 Amount of Claim.
As of the Effective Date, the Claim Amount is the sum of $[AMOUNT], exclusive of interest, attorneys’ fees, costs, or other recoverable sums.
3.3 Last Furnishing Date & Compliance with Notice Deadline.
Claimant’s Last Furnishing Date is [MM/DD/YYYY]. This Notice is served within the Notice Deadline and in strict compliance with KRS 376.010(3).
3.4 Reservation of Lien Rights.
Claimant expressly reserves and does not waive its right to (i) file a verified statement of lien against the Property, (ii) foreclose or otherwise enforce such lien, and (iii) pursue any and all contractual or statutory remedies for the unpaid Claim Amount.
3.5 No Admission.
Nothing herein shall be construed as an admission by Claimant regarding the validity of any defenses or offsets asserted by Owner or others.
4. REPRESENTATIONS & WARRANTIES
4.1 Claimant represents and warrants that:
a. It furnished Labor and Materials of the nature, quality, and value stated.
b. The Claim Amount is a true and accurate statement of sums due, after all known credits and offsets.
c. The Labor and Materials were furnished in good faith and in full compliance with all applicable licensing, permitting, and code requirements.
d. The Last Furnishing Date stated herein is accurate to the best of Claimant’s knowledge.
4.2 Survival.
The foregoing representations and warranties shall survive delivery of this Notice and any subsequent lien-filing or enforcement action.
5. COVENANTS
5.1 Owner Covenants.
a. Owner shall promptly forward a copy of this Notice to any lender, title insurer, or prospective purchaser with an interest in the Property.
b. Owner shall provide Claimant with written notice of any dispute concerning the Claim Amount within [10] Business Days of receipt of this Notice.
5.2 Claimant Covenants.
Claimant shall furnish promptly, upon written request, reasonable additional documentation evidencing the Labor and Materials supplied.
6. DEFAULT & REMEDIES
6.1 Event of Default.
Failure of Owner (or Prime Contractor, where applicable) to pay the Claim Amount within [15] Business Days after receipt of this Notice shall constitute an Event of Default.
6.2 Remedies.
Upon an Event of Default, Claimant may, without further notice:
a. Record a verified Statement of Mechanic’s Lien in the office of the [COUNTY] County Clerk;
b. Commence lien-foreclosure proceedings in a court of competent jurisdiction; and
c. Recover prejudgment and post-judgment interest, costs, and reasonable attorneys’ fees to the fullest extent permitted by law.
6.3 Cumulative Remedies.
All remedies herein are cumulative and may be exercised concurrently or separately.
7. RISK ALLOCATION
7.1 Limitation of Liability.
In any proceeding arising out of or related to the Labor and Materials, Claimant’s liability to Owner (if any) shall in no event exceed the lesser of (i) the direct cost of re-performing the defective portion of the Work, or (ii) the total amount actually paid by Owner to Claimant for such Work (“Liability Cap”).
7.2 Indemnification.
[NOT APPLICABLE per Metadata—Section intentionally omitted.]
7.3 Force Majeure.
Neither party shall be liable for failure to perform caused by events beyond its reasonable control, including acts of God, governmental orders, or labor disruptions, provided the affected party gives prompt written notice and resumes performance as soon as commercially practicable.
8. DISPUTE RESOLUTION
8.1 Governing Law.
This Notice and any subsequent lien-enforcement action shall be governed by the laws of the Commonwealth of Kentucky, without regard to conflict-of-laws principles.
8.2 Forum Selection.
The parties irrevocably submit to the exclusive jurisdiction of the state courts located in [COUNTY] County, Kentucky for any action arising out of or relating to this Notice or the lien it secures.
8.3 Arbitration.
[NOT APPLICABLE per Metadata—no arbitration clause included.]
8.4 Jury Waiver.
[NOT APPLICABLE per Metadata.]
8.5 Injunctive Relief.
Nothing herein shall limit Claimant’s right to provisional or injunctive relief (including but not limited to the filing of a mechanics-lien foreclosure action).
9. GENERAL PROVISIONS
9.1 Amendments & Waivers.
Any amendment or waiver of this Notice must (i) be in writing, (ii) reference this Notice, and (iii) be signed by the party against whom enforcement is sought.
9.2 Assignment.
Neither this Notice nor the rights arising hereunder may be assigned by Owner without Claimant’s prior written consent, except by operation of law incident to transfer of title to the Property.
9.3 Severability.
If any provision of this Notice is held unenforceable, such provision shall be severed and the remaining provisions shall remain in full force.
9.4 Entire Agreement.
This Notice constitutes the entire notice required under the Lien Law and supersedes any prior or contemporaneous communications concerning the Claim Amount.
9.5 Counterparts; Electronic Signatures.
This Notice may be executed in counterparts, each of which shall be deemed an original. Signatures transmitted by PDF or other reliable electronic means shall be deemed original signatures.
10. EXECUTION BLOCK
IN WITNESS WHEREOF, the undersigned Claimant executes this Preliminary Notice of Lien Rights effective as of the Effective Date written above.
text
CLAIMANT:
[AUTHORIZED SIGNATORY NAME]
[Title], [CLAIMANT LEGAL NAME]
Date: _________
STATE OF __ )
) SS:
COUNTY OF ___ )
Subscribed, sworn to, and acknowledged before me on __, 20_ by _____, as ___ of [CLAIMANT LEGAL NAME].
Notary Public
My Commission Expires: ____
[// GUIDANCE: Notarization is recommended to strengthen evidentiary weight, though not expressly mandated for preliminary notice service.]
11. CERTIFICATE OF SERVICE
I, the undersigned, hereby certify under penalty of perjury that on the Effective Date I served the foregoing Preliminary Notice of Lien Rights upon:
- Owner at [OWNER ADDRESS]
- Prime Contractor at [PRIME CONTRACTOR ADDRESS] (if applicable)
- Lender/Other Interested Party at [ADDRESS] (if applicable)
by the following Service Method(s):
☐ Certified Mail, Return Receipt Requested (Tracking No. _)
☐ Personal Delivery (Name of Recipient: ___)
☐ Other Statutorily Permitted Method: _________
text
[NAME OF SERVER]
Date of Service: ____
[// GUIDANCE: Retain proof of mailing/delivery (e.g., USPS receipts, affidavits) for inclusion in any subsequent lien-foreclosure filings.]
END OF DOCUMENT