§ 2805-E — Reports of residential health care facilities

§ 2805-e. Reports of residential health care facilities. 1. Every\nresidential health care facility operating under the provisions of this\narticle shall, within one hundred twenty days after the end of its\nfiscal year, file an annual report with the commissioner of health. Said\nannual report shall be in such form and shall contain such information\nas shall be prescribed by the commissioner of health, including the\nfollowing:\n (a) A balance sheet of the facility as of the end of such fiscal year,\nsetting forth assets and liabilities at such date, including all\ncapital, surplus, reserve, depreciation and similar accounts.\n (b) A statement of operations of the facility for such fiscal year,\nsetting forth all revenues, expenses, taxes, extraordinary items and\nother credits or charges.\n (c) The name and address of each of the following persons:\n (i) the operator of the facility;\n (ii) any person who, directly or indirectly, beneficially owns any\ninterest in the land on which the facility is located;\n (iii) any person who, directly or indirectly, beneficially owns any\ninterest in the building in which the facility is located;\n (iv) any person who, directly or indirectly, beneficially owns any\ninterest in 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 (v) 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 (d) If the facility or any person named in response to paragraph (c)\nis a partnership, then the name and address of each partner.\n (e) If the facility or any person named in response to paragraph (c)\nis a corporation, other than a corporation whose shares are traded on a\nnational 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 each officer,\ndirector, stockholder, and, if known, each principal stockholder and\ncontrolling person of such corporation.\n (f) If any corporation named in response to paragraph (c) is 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 the principal executive officers and each director\nand, if known, each principal stockholder of such corporation.\n (g) 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 paragraphs (c), (d), (e) or (f) or\nany affiliate of said person, a description of the transactions, naming\nthe parties thereto and describing the relationships which require the\ntransactions to be described and the goods, services, payment or other\nconsideration received by each party to the transactions.\n (h) If known, the nature and amount of any interest in, or\nrelationship with, any other residential health care facility, held by\nany person named in response to paragraph (c) above, or by any affiliate\nof such person.\n 2. The following definitions shall be applicable to this section and\nto any reports filed pursuant hereto:\n (a) "Affiliate" means:\n (i) with respect to a partnership, each partner thereof;\n (ii) with respect to a corporation, each officer, director, principal\nstockholder and controlling person thereof;\n (iii) with respect to a natural person (a) each member of said\nperson's immediate family, (b) each partnership and each partner thereof\nof which said person or any affiliate of said person is a partner, and\n(c) each corporation in which said person or any affiliate of said\nperson is an officer, director, principal stockholder or controlling\nperson.\n (b) "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 interests, 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 health care\nfacility, shall by reason of his or her official position, be deemed a\ncontrolling person of any corporation, partnership or other entity nor\nshall any person who serves as an officer, administrator or other\nemployee of any corporation, partnership or other entity or as a member\nof a board of directors or trustees of any corporation be deemed to be a\ncontrolling person of such corporation, partnership or other entity as a\nresult of such position or his or her official actions in such position.\n (c) "Immediate family" of any person includes each parent, child,\nspouse, brother, sister, first cousin, aunt and uncle of such person,\nwhether such relationship arises by reason of birth, marriage or\nadoption.\n (d) "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 3. Every report filed by a residential health care facility pursuant\nto this section shall contain a written statement, sworn to by or on\nbehalf of such facility and the operator of such facility, to the effect\nthat the report is, to the best of such person's knowledge, true and\ncomplete and prepared in accordance with the provisions of this section.\n