New York Laws
Article 13 - Office for People With Developmental Disabilities
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.