INSTRUCTIONS FOR COMPLETING DBPR ABT – 6004 DIVISION OF ALCOHOLIC BEVERAGES AND TOBACCO CHANGE OF OFFICER/STOCKHOLDER APPLICATION Application begins on page 3 If you have any questions or need assistance in completing this application, please contact the Department of Business and Professional Regulation or your local district office. Please submit your completed application to your local district office. This application may be submitted by mail, through appointment, or it can be dropped off. A District Office Address and Contact Information Sheet can be found on AB&T’s page of the DBPR web site at the link provided below. http://www.myflorida.com/dbpr/abt/district_offices/licensing.html GENERAL INSTRUCTIONS Applications for changes of officers, directors, members, and stockholders of corporations and other legal entities are filed with the Department of Business and Professional Regulation. Please complete all information. Incomplete applications will not be accepted. All questions are applicable and must be answered fully and truthfully. You must provide an original application and a copy of all supporting documentation. All signatures must be original. Note: When applicable, you must submit a legible and executed copy of the following: Lease, Purchase Agreements, Franchise Agreements, Management Contracts, Service Agreements and any agreements which require a percentage payment from the business operation, Certified Copy of Death Certificate, Letters of Administration, Certificate of Title, Certified Copy of All Court Orders pertaining to the alcoholic beverage license. APPLICATION REQUIREMENTS Affidavit of Applicant Read and sign in the presence of a notary. The affidavit must be signed by a corporate officer; a general partner of a limited partnership; or a managing member of a limited liability company. Fingerprints Fingerprints must be submitted by each individual applicant, all corporate officers, all managing members, all general partners of a limited partnership, all partners of a general partnership, each individual stockholder owning more than .5 percent of stock, and all directors. Each applicant shall submit electronic fingerprints through the department’s vendor PearsonVue. Costs associated with the fingerprint process will be collected by PearsonVue. You may contact PearsonVue at www.pearsonvue.com or by calling 1.877.238.8232.. At the time application is made to the Division of Alcoholic Beverages and Tobacco, you will need to submit your PearsonVue receipt. The receipt serves as proof of the fingerprint requirement and includes information necessary to process your application. Failure to provide this receipt will delay the processing and/or denial of your application. All applications must be submitted within 150 days of fulfilling the fingerprint requirement. Note: If you are a current licensee or have been fingerprinted by this division in the past three (3) years, you are not required to submit this fingerprint information. Department of Revenue Clearance Only required if you have amended your corporate/entity name through the Florida Division of Corporations. Applications must be submitted within 90 days of receiving this approval. 1 American LegalNet, Inc. www.FormsWorkFlow.com Social Security Number Under the Federal Privacy Act, disclosure of Social Security numbers is voluntary unless a Federal statute specifically requires it or allows states to collect the number. In this instance, disclosure of social security numbers is mandatory pursuant to Title 42 United States Code, Sections 653 and 654; and sections 409.2577, 409.2598, and 559.79, Florida Statutes. Social Security numbers are used to allow efficient screening of applicants and licensees by a Title IV-D child support agency to assure compliance with child support obligations. Social Security numbers must also be recorded on all professional and occupational license applications and are used for licensee identification pursuant to the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Welfare Reform Act), 104 Pub.L.193, Sec. 317. The State of Florida is authorized to collect the social security number of licensees pursuant to the Social Security Act, 42 U.S.C. 405(c)(2)(C)(I). This information is used to identify licensees for tax administration purposes. Corporate And Limited Partnership Registration All corporations, domestic or foreign; general partnerships; limited liability corporations; and limited partnerships are required to be registered with the Florida Secretary of State, Division of Corporations. You may wish to contact the Department of State at (850) 488-9000 to make certain your corporation is current and in good standing. Your application cannot be accepted without this registration. Federal Employer's Identification Number (FEIN) All licensees who pay wages to one or more employees must have a Federal Employer's Identification Number. Contact the Internal Revenue Service (IRS) at 1-800-829-3676 and request Form #SS4. APPLICATION CHECKLIST TRANSACTION Change of Officer/Stockholder or Amendment to Corporate / Entity Name Change of Business Name APPLICATION REQUIREMENTS Complete DBPR ABT-6004 Division of Alcoholic Beverages and Tobacco Change of Officer/Stockholder Application Certified Copy of the Disposition, if applicable If required Contact the department’s vendor for electronic fingerprinting, PearsonVue at www.pearsonvue.com or call 1.877.238.8232. to arrange for fingerprinting. Submit the receipt issued by PearsonVue with your application. All applications must be submitted within 150 days of fulfilling the fingerprint requirement.. Pay $10 (make check payable to the Department of Business and Professional Regulation) 2 American LegalNet, Inc. www.FormsWorkFlow.com DBPR ABT-6004 – Division of Alcoholic Beverages and Tobacco Change of Officer/Stockholder Application STATE OF FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION 1940 North Monroe Street Tallahassee, FL 32399-0783 NOTE – This form must be submitted as part of an application packet If you have any questions or need assistance in completing this application, please contact the Department of Business and Professional Regulation or your local district office. Please submit your completed application to your local district office. This application may be submitted by mail, through appointment, or it can be dropped off. A District Office Address and Contact Information Sheet can be found on AB&T’s page of the DBPR web site at the link provided below. http://www.myflorida.com/dbpr/abt/district_offices/licensing.html SECTION 1 - CHECK TRANSACTION REQUESTED Transaction Type: Change of Officer/Stockholder Amendment to Corporate/Entity Name Change of Business Name SECTION 2 – LICENSE INFORMATION Corporate Document Number Full Name of Applicant Contact Person Phone Number List all current license numbers for the entity listed above (Attach additional sheet if necessary) License Number License Number Current Trade Name (D/B/A) FEIN # or Social Security Number* Do you wish to change the current Trade Name (D/B/A)? Yes No If yes, please list the new Trade Name (D/B/A) below: Mailing Address Section / Name (Attention: – Optional) City County State Zip Code Is the change of officer application due to revocation proceedings? Yes No If yes, is there any personal relationship to any of the former officers? Yes No If yes, explain the relationship: ______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ 3 American LegalNet, Inc. www.FormsWorkFlow.com SECTION 3 – PARTNER, OFFICER, STOCKHOLDER PERSONAL INFORMATION This section must be completed for each applicant or person(s) directly connected with the business, unless they are current licensees. 1. Trade Name (D/B/A) 2. Full Name of Applicant Social Security Number* Race Sex Home Phone Number Height Weight 3. Hair Color Are you a U.S. citizen? Yes No If no, immigration card number or passport number: 4. Eye Color Date of Birth Home Address (Street and Number) City 5. State Zip Code Do you currently own or have an interest in any business selling alcoholic beverages, wholesale cigarette or tobacco products, or a bottle club? Yes No If yes, provide the information requested below. The location address should include city and state. Trade Name (D/B/A) License Number Location Address 6. Have you ever had any type of alcoholic beverage, or bottle club license, or cigarette, or tobacco permit refused, revoked or suspended anywhere in the past 15 years? Yes No If yes, provide the information requested below. The location address should include the city and state. D/B/A Name Date Location Address 7. Have you been convicted of a felony within the past 15 years or an offense involving alcoholic beverages anywhere within the past 5 years? Yes No If yes, provide the information requested below and provide a Copy of the Arrest Disposition, as requested in the Application Requirements checklist. Date Location Type of Offense 8. Have you ever been arrested or issued a notice to appear in any state of the United States or its territories within the past 15 years? Yes No If yes, provide the information requested below and a COPY OF THE DISPOSITION. Attach additional sheet if necessary. Date Location Type of Offense 4 American LegalNet, Inc. www.FormsWorkFlow.com 9. Are you an official with State police powers granted by the Florida Legislature? Yes No If yes, provide details: __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ _______________________________________________________________________________ NOTARIZATION STATEMENT “I swear under oath or affirmation under penalty of perjury as provided for in Sections 559.791, 562.45 and 837.06, Florida Statutes, that I have fully disclosed any and all parties financially and or contractually interested in this business and that the parties are disclosed in Section 6 of this application. I further swear or affirm that the foregoing information is true and correct.” STATE OF___________________ COUNTY OF_________________ _________________________________________________ APPLICANT SIGNATURE The foregoing was ( ) Sworn to and Subscribed OR ( ) Acknowledged Before me this _______Day of______________, 20_____, By_____________________________________ who is ( ) personally known to me OR ( ) who produced ______________________________________________as identification. ________________________________________________ Commission Expires: ___________________ Notary Public (ATTACH ADDITIONAL COPIES AS NECESSARY) *Social Security Number Under the Federal Privacy Act, disclosure of Social Security numbers is voluntary unless a Federal statute specifically requires it or allows states to collect the number. In this instance, disclosure of social security numbers is mandatory pursuant to Title 42 United States Code, Sections 653 and 654; and sections 409.2577, 409.2598, and 559.79, Florida Statutes. Social Security numbers are used to allow efficient screening of applicants and licensees by a Title IV-D child support agency to assure compliance with child support obligations. Social Security numbers must also be recorded on all professional and occupational license applications and are used for licensee identification pursuant to the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Welfare Reform Act), 104 Pub.L.193, Sec. 317. The State of Florida is authorized to collect the social security number of licensees pursuant to the Social Security Act, 42 U.S.C. 405(c)(2)(C)(I). This information is used to identify licensees for tax administration purposes. 5 American LegalNet, Inc. www.FormsWorkFlow.com SECTION 4 – SALES TAX TO BE COMPLETED BY THE DEPARTMENT OF REVENUE Trade Name (D/B/A) The named applicant for a license/permit has complied with the Florida Statutes concerning registration for Sales and Use Tax. 1. This is to verify that the current owner as named in this application has filed all returns and that all outstanding billings and returns appear to have been paid through the period ending ___________________ or the liability has been acknowledged and agreed to be paid by the applicant. This verification does not constitute a certificate as contained in Section 212.10 (1), F.S. (Not applicable if no transfer involved). 2. Furthermore, the named applicant for an Alcoholic Beverage License has complied with Florida Statutes concerning registration for Sales and Use Tax, and has paid any applicable taxes due. Signed____________________________________________________Date_____________________ Title______________________________________________________ Department of Revenue Stamp: SECTION 5 – CONTRACTS OR AGREEMENTS These questions must be answered about this business for every person or entity listed. A copy of agreements must be submitted with this application. Trade Name (D/B/A) 1. Yes No 2. Yes No 3. Yes No Is there a management contract, franchise agreement, or service agreement in connection with this business? Are there any agreements which require a payment of a percentage of gross or net receipts from the business operation? Have you or anyone listed on this application, accepted money, equipment or anything of value in connection with this business from a manufacturer or wholesaler of alcoholic beverages? 6 American LegalNet, Inc. www.FormsWorkFlow.com SECTION 6 – DISCLOSURE OF INTERESTED PARTIES Note: Failure to disclose an interest, direct or indirect, could result in denial, suspension and/or revocation of your license. Trade Name (D/B/A) 1. List below the names, titles and percentage of stock held for all officers, directors, stockholders, managing members and general partners of the corporation or other legal entity for which this license or permit is being sought. Attach extra sheets if necessary. If the applicant is a limited partnership or limited liability company, attach a list of all limited partners and members. Title/Position Name Stock % President Vice President Secretary Treasurer Director(s) Stockholder(s) Managing Member(s) General Partner(s) Bar Manager (Fraternal Organizations of National Scope only) 2. Are there any persons not listed above who have guaranteed or co-signed a lease or loan, or any person or entity who has loaned money to the business that is not a traditional lending institution? Yes No If yes, you must list the person(s) or entity and indicate which of the below applies. Name Guarantor 7 Co-signer Lender Interest Rate (List) American LegalNet, Inc. www.FormsWorkFlow.com SECTION 7 – CORPORATE FELONY CONVICTION Trade Name (D/B/A) Has the applicant corporation been convicted of a felony in this state, any other state, or by the United States in the last 15 years? Yes No If the answer is “Yes,” please list all details including the date of conviction, the crime for which the corporation was convicted, and the city, county, state and court where the conviction took place. (Attach additional sheets if necessary) 8 American LegalNet, Inc. www.FormsWorkFlow.com SECTION 8 - AFFIDAVIT OF APPLICANT NOTARIZATION REQUIRED Trade Name (D/B/A) “I, the undersigned individually, or if a corporation for itself, its officers and directors, hereby swear or affirm that I am duly authorized to make the above and foregoing application and, as such, I hereby swear or affirm that the place of business, if licensed, may be inspected and searched during business hours or at any time business is being conducted on the premises without a search warrant by officers of the Division of Alcoholic Beverages and Tobacco, the Sheriff, his Deputies, and Police Officers for the purposes of determining compliance with the beverage and retail tobacco laws.” “I swear under oath or affirmation under penalty of perjury as provided for in Sections 559.791, 562.45 and 837.06, Florida Statutes, that the foregoing information is true and that no other person or entity except as indicated herein has an interest in the alcoholic beverage license and/or tobacco permit, and all of the above listed persons or entities meet the qualifications necessary to hold an interest in the alcoholic beverage license and/or tobacco permit.” STATE OF___________________ _________________________________________________ APPLICANT SIGNATURE COUNTY OF_________________ __________________________________________________ APPLICANT SIGNATURE The foregoing was ( ) Sworn to and Subscribed OR ( ) Acknowledged Before me this __________Day of______________, 20______, By ______________________________who is ( ) personally known to me OR ( ) who produced ______________________________________________as identification. ________________________________________________ Commission Expires: ___________________ Notary Public 9 American LegalNet, Inc. www.FormsWorkFlow.com SECTION 9 - CURRENT LICENSEE UPDATE DATA SHEET This section is to be completed for all current alcoholic beverage and/or tobacco license holders listed on the application . Trade Name (D/B/A) Last Name First Middle Current License Number(s) Date of Birth Social Security Number* _____/_____/_______ Street Address City State Last Name First Zip Code Middle Current License Number(s) Date of Birth Social Security Number* _____/_____/_______ Street Address City State Last Name First Zip Code Middle Current License Number(s) Date of Birth Social Security Number* _____/_____/_______ Street Address City State Last Name First Zip Code Middle Current License Number(s) Date of Birth Social Security Number* _____/_____/_______ Street Address City State 10 Zip Code American LegalNet, Inc. www.FormsWorkFlow.com FOR DIVISION USE ONLY – DO NOT WRITE BELOW THIS LINE Trade Name (D/B/A) CODE: City_____________ County___________________ TYPE Change of Officer(s) Change of Business Name FEIN NUMBER FEE TOTAL _________________________ Approved by______________________________ Date_________Audited:_________ Unaudited:________ District Office Received Date Stamp District Office Accepted Date Stamp 11 American LegalNet, Inc. www.FormsWorkFlow.com DBPR ABT-6021 – Division of Alcoholic Beverages and Tobacco Fingerprint Affidavit STATE OF FLORIDA DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION 1940 North Monroe Street Tallahassee, FL 32399-0783 If you have any questions or need assistance in completing this application, please contact the Department of Business and Professional Regulation or your local district office. Please submit your completed application to your local district office. This application may be submitted by mail, through appointment, or it can be dropped off. A District Office Address and Contact Information Sheet can be found on AB&T’s page of the DBPR web site at the link provided below. http://www.myflorida.com/dbpr/abt/district_offices/licensing.html Please include your official fingerprint card and $53.25 fee with this affidavit. Do not staple anything to your fingerprint card or highlight any portion of the fingerprint card. Fingerprints must have been taken within the last 45 days before the date submitted to the Division. Please use black ink only when filling out this affidavit. AFFIDAVIT In compliance with Florida Beverage Laws and Regulations, I hereby certify: Full Applicant Name Mailing Address City State Zip Code The person stated above was fingerprinted by me for the State of Florida Division of Alcoholic Beverages and Tobacco, and that the attached fingerprints are his/hers. ____________________________________________________________________________________ Fingerprint Technician Name (please print) _______________________________________________________ _____________________________ Signature of Fingerprint Technician Department 12 American LegalNet, Inc. www.FormsWorkFlow.com