N.Y. Mental Hygiene Law § 13.16: Fiscal year report

§ 13.16 Fiscal year report.

(a) Every provider of service furnishing services to persons defined

in paragraph (e) of subdivision three of section two hundred nine of the

social services law, which is required to have operating certificates

pursuant to article sixteen of this chapter, shall within one hundred

twenty days after the end of its fiscal year, file an annual report with

the commissioner. Said report shall be in such form and shall contain

such information as shall be prescribed by the commissioner, including

the following:

1. a balance sheet of the facility as of the end of its fiscal year,

setting forth assets and liabilities at such date, including all

capital, surplus, reserve, depreciation and similar accounts.

2. a statement of operations of the facility for its fiscal year,

setting forth all revenues, expenses, taxes, extraordinary items and

other credits or charges.

3. The name and address of each of the following persons:

(a) the operator of the facility;

(b) any person who, directly or indirectly, beneficially owns any

interest in the land on which the facility is located;

(c) any person who, directly or indirectly, beneficially owns any

interest in the building in which the facility is located;

(d) any person who, directly or indirectly, beneficially owns any

interest in or any mortgage, note, deed of trust or other obligation

secured in whole or in part by the land on which or building in which

the facility is located; and

(e) any person who, directly or indirectly, has any interest as lessor

or lessee in any lease or sub-lease of the land on which or the building

in which the facility is located.

4. If the facility or any person named in response to subparagraph (c)

of paragraph three of this subdivision is a partnership, then the name

and address of each partner.

5. If the facility or any person named in response to subparagraph (c)

of paragraph three of this subdivision is a corporation, other than a

corporation whose shares are traded on a national securities exchange or

are regularly quoted in an over-the-counter market or which is a

commercial bank, savings bank or savings and loan association, then the

name and address of each officer, director, stockholder, and, if known,

each principal stockholder and controlling person of such corporation.

6. If any corporation named in response to subparagraph (c) of

paragraph three of this subdivision is a corporation whose shares are

traded on a national securities exchange or are regularly quoted in an

over-the-counter market or which is a commercial bank, savings bank or

savings and loan association, then the name and address of the principal

executive officers and each director and, if known, each principal

stockholder of such corporation.

7. If the facility paid or received an aggregate of five hundred

dollars or more during the fiscal year in connection with transactions

with any person named in response to subparagraph (c), (d) or (e) of

paragraph three of this subdivision or any affiliate of said person, a

description of the transactions, naming the parties thereto and

describing the relationships which require the transactions to be

described and the goods, services, payment or other consideration

received by each party to the transactions.

8. If known, the nature and amount of any interest in, or relationship

with, any other residential facility for persons with developmental

disabilities, held by any person named in response to subparagraph (c)

of paragraph three of this subdivision or by any affiliate of such

person.

(b) The following definitions shall be applicable to this section and

to any reports filed pursuant hereto:

1. "Affiliate" means:

(a) with respect to a partnership, each partner thereof;

(b) with respect to a corporation, each officer, director, principal

stockholder and controlling person thereof;

(c) with respect to a natural person (i) each member of said person's

immediate family, (ii) each partnership and each partner thereof, and

(iii) each corporation in which said person or any affiliate of said

person is an officer, director, principal stockholder or controlling

person.

2. "Controlling person" of any corporation, partnership or other

entity means any person who by reason of a direct or indirect ownership

interest (whether of record or beneficial) has the ability, acting

either alone or in concert with others with ownership interest, to

direct or cause the direction of the management or policies of said

corporation, partnership or other entity. Neither the commissioner nor

any employee of the department nor any member of a local legislative

body of a county or municipality, nor any county or municipal official

except when acting as the administrator of a residential facility for

persons with developmental disabilities, shall by reason of his or her

official position, be deemed a controlling person of any corporation,

partnership or other entity nor shall any person who serves as an

officer, administrator or other employee of any corporation, partnership

or other entity or as a member of a board of directors or trustees of

any corporation be deemed to be a controlling person of such

corporation, partnership or other entity as a result of such position or

his or her official actions in such position.

3. "Immediate family" means brother, sister, first cousin, aunt and

uncle of such person, whether such relationship arises by reason of

birth, marriage or adoption.

4. "Principal stockholder" of a corporation means any person who

beneficially owns, holds or has the power to vote, ten percent or more

of any class of securities issued by said corporation.

(c) Every report filed by a facility pursuant to this section shall

contain a written statement, sworn to by or on behalf of such facility

and the operator of such facility, to the effect that the report is, to

the best of such person's knowledge, true and complete and prepared in

accordance with the provisions of this section.