N.Y. Mental Hyg. Law § 13.16

§ 13.16 Fiscal year report.\n (a) Every provider of service furnishing services to persons defined\nin paragraph (e) of subdivision three of section two hundred nine of the\nsocial services law, which is required to have operating certificates\npursuant to article sixteen of this chapter, shall within one hundred\ntwenty days after the end of its fiscal year, file an annual report with\nthe commissioner. Said report shall be in such form and shall contain\nsuch information as shall be prescribed by the commissioner, including\nthe following:\n 1. a balance sheet of the facility as of the end of its fiscal year,\nsetting forth assets and liabilities at such date, including all\ncapital, surplus, reserve, depreciation and similar accounts.\n 2. a statement of operations of the facility for its fiscal year,\nsetting forth all revenues, expenses, taxes, extraordinary items and\nother credits or charges.\n 3. The name and address of each of the following persons:\n (a) the operator of the facility;\n (b) any person who, directly or indirectly, beneficially owns any\ninterest in the land on which the facility is located;\n (c) any person who, directly or indirectly, beneficially owns any\ninterest in the building in which the facility is located;\n (d) any person who, directly or indirectly, beneficially owns any\ninterest in or any mortgage, note, deed of trust or other obligation\nsecured in whole or in part by the land on which or building in which\nthe facility is located; and\n (e) any person who, directly or indirectly, has any interest as lessor\nor lessee in any lease or sub-lease of the land on which or the building\nin which the facility is located.\n 4. If the facility or any person named in response to subparagraph (c)\nof paragraph three of this subdivision is a partnership, then the name\nand address of each partner.\n 5. If the facility or any person named in response to subparagraph (c)\nof paragraph three of this subdivision is a corporation, other than a\ncorporation whose shares are traded on a national securities exchange or\nare regularly quoted in an over-the-counter market or which is a\ncommercial bank, savings bank or savings and loan association, then the\nname and address of each officer, director, stockholder, and, if known,\neach principal stockholder and controlling person of such corporation.\n 6. If any corporation named in response to subparagraph (c) of\nparagraph three of this subdivision is a corporation whose shares are\ntraded on a national securities exchange or are regularly quoted in an\nover-the-counter market or which is a commercial bank, savings bank or\nsavings and loan association, then the name and address of the principal\nexecutive officers and each director and, if known, each principal\nstockholder of such corporation.\n 7. If the facility paid or received an aggregate of five hundred\ndollars or more during the fiscal year in connection with transactions\nwith any person named in response to subparagraph (c), (d) or (e) of\nparagraph three of this subdivision or any affiliate of said person, a\ndescription of the transactions, naming the parties thereto and\ndescribing the relationships which require the transactions to be\ndescribed and the goods, services, payment or other consideration\nreceived by each party to the transactions.\n 8. If known, the nature and amount of any interest in, or relationship\nwith, any other residential facility for persons with developmental\ndisabilities, held by any person named in response to subparagraph (c)\nof paragraph three of this subdivision or by any affiliate of such\nperson.\n (b) The following definitions shall be applicable to this section and\nto any reports filed pursuant hereto:\n 1. "Affiliate" means:\n (a) with respect to a partnership, each partner thereof;\n (b) with respect to a corporation, each officer, director, principal\nstockholder and controlling person thereof;\n (c) with respect to a natural person (i) each member of said person's\nimmediate family, (ii) each partnership and each partner thereof, and\n(iii) each corporation in which said person or any affiliate of said\nperson is an officer, director, principal stockholder or controlling\nperson.\n 2. "Controlling person" of any corporation, partnership or other\nentity means any person who by reason of a direct or indirect ownership\ninterest (whether of record or beneficial) has the ability, acting\neither alone or in concert with others with ownership interest, to\ndirect or cause the direction of the management or policies of said\ncorporation, partnership or other entity. Neither the commissioner nor\nany employee of the department nor any member of a local legislative\nbody of a county or municipality, nor any county or municipal official\nexcept when acting as the administrator of a residential facility for\npersons with developmental disabilities, shall by reason of his or her\nofficial position, be deemed a controlling person of any corporation,\npartnership or other entity nor shall any person who serves as an\nofficer, administrator or other employee of any corporation, partnership\nor other entity or as a member of a board of directors or trustees of\nany corporation be deemed to be a controlling person of such\ncorporation, partnership or other entity as a result of such position or\nhis or her official actions in such position.\n 3. "Immediate family" means brother, sister, first cousin, aunt and\nuncle of such person, whether such relationship arises by reason of\nbirth, marriage or adoption.\n 4. "Principal stockholder" of a corporation means any person who\nbeneficially owns, holds or has the power to vote, ten percent or more\nof any class of securities issued by said corporation.\n (c) Every report filed by a facility pursuant to this section shall\ncontain a written statement, sworn to by or on behalf of such facility\nand the operator of such facility, to the effect that the report is, to\nthe best of such person's knowledge, true and complete and prepared in\naccordance with the provisions of this section.\n