2014 New York Laws
MHY - Mental Hygiene
Title C - DEVELOPMENTAL DISABILTIES ACT
Article 13 - (13.01 - 13.41*2) OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES
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.