NEW YORK STATE LIQUOR AUTHORITY APPLICATION for ALCOHOLIC BEVERAGE CONTROL RETAIL LICENSE - VESSEL CONTENTS • Instructions for completing forms • Application Forms • Personal Questionnaire DIRECTIONS FOR COMPLETING THIS LICENSE APPLICATION • Must be TYPED or PRINTED in ink. • Complete applicable forms FULLY. • Follow instructions carefully. S.L.A. ZONE OFFICES: ZONE 1 State Liquor Authority 317 Lenox Ave. New York, New York 10027 Telephone: 212-961-8385 ZONE 2 State Liquor Authority Alfred E. Smith Building 80 So. Swan Street Suite 900 Albany, New York 12210-8002 Telephone: 518-474-7604 ZONE 3 State Liquor Authority Iskalo Electric Tower Building 535 Washington St. Suite 303 Buffalo, New York 14203 Telephone: 716-847-3035 SYRACUSE DISTRICT OFFICE State Office Building 333 E. Washington St. Room 205 Syracuse, NY 13202 Telephone: 315-428-4198 www.abc.state.ny.us SLA FORM: VL-1 (012011) American LegalNet, Inc. www.FormsWorkFlow.com VESSEL FEE SCHEDULE Code License Class Length Fee Filing Fee 150 Fishing Vessel 3 yrs 120. 100. 140 Vessel Beer 3 yrs 480. 100. 240 Vessel Liquor 2 3,200. 200. 540 Summer Vessel Liquor 4/1 thru 10/31 448. 200. Additional Bar Term & Fee equal to original license $20 REMEMBER: The term of your surety bond must coincide with the expiration date of your liquor license. ALL applications must be submitted to the ZONE II Office: State Liquor Authority 80 S. Swan Street – Suite 900 Albany, NY 12210-8002 1 American LegalNet, Inc. www.FormsWorkFlow.com INSTRUCTIONS INTRODUCTION The following material has been prepared to assist you, the applicant, in developing and filing a completed application which will result in the approval and issuance of the type of license you desire. It is important to understand that it is your responsibility to present a clear picture of what you intend to do and how you will accomplish this. You should note that the application covers four (4) major areas which will be considered. 1. You the applicant - do you qualify to be given a license? 2. The premises (vessel) - does it qualify to be licensed; are there any current problems (if the premises is no licensed) that would affect the application? 3. The money you need to turn the key and start operating; where does it come from? 4. Method of operation - what do you plan to do and how do you plan to do it? SECTION A Line 1 Line 2: FULL NAME OF APPLICANT OFFICE ADDRESS OF APPLICANT • • • • • Enter individual applicants full name. If a partnership, enter full name of each partner, limited partners and the number of limited partners. If a corporation, enter the corporate name. If a limited liability company, enter the company name. Line 3 ATTORNEY/REPRESENTATIVE NAME NAME OF VESSEL • • Enter the office address and county of the applicant seeking to be licensed (911 street address where applicable). • • Enter full name of vessel to be licensed. Enter Coast Guard Registration # of vessel to be licensed and supply a copy of the Coast Guard Registration for the vessel to be licensed. Enter name, address and telephone number of Attorney, representative or agent assisting the applicant in the completion, filing and handling of the application. (Exceptions: Employment of photographers, surveyors or draftsmen need not be set forth.) MOORING PLACE OF VESSEL Line 4 Enter the address where the vessel will be moored. ALCOHOLIC BEVERAGE LICENSE CLASS • Refer to the Vessel Fee Schedule for the license class and code number and enter these in the spaces on line 4. 2 American LegalNet, Inc. www.FormsWorkFlow.com Line 5 Line 8 TOTAL PAYMENT DUE CORPORATE APPLICANTS • • Answer all the questions pertaining to the applicant Corporation. • Enter names of ALL principals (Officers, Directors, and Stockholders), full residence address, country of citizenship, title, number of shares, and date of birth. • Each principal must submit acceptable proof of citizenship. Refer to the Vessel Fee Schedule for the specific license fee and complete the following work sheet. FEE PAYMENT WORK SHEET 1. License fee $_______________ 2. Filing fee +_______________ 3. Additional Bars (if any) no.________ x __________ = +_______________ (Add’l bars, other than service bars x license fee) Line 9 4. TOTAL PAYMENT DUE (sum of lines 1 - 3 above) =_______________ WRITTEN LEASE • • • • Attach a Check or Money Order payable to the New York State Liquor Authority for TOTAL PAYMENT DUE. Submit a signed copy of the lease with all terms. Answer all questions here regarding the lease arrangements. Enter this number on application LINE 4. Line 10 Line 6 VESSEL LICENSE HISTORY INDIVIDUAL AND PARTNERSHIP APPLICANTS • • Enter name of individual applicant ( if a partnership, enter names of each partner), full residence address, country of citizenship and date-of-birth. • Each applicant and partner in a partnership must submit acceptable proof of citizenship. Line 11 INTERESTED PARTIES • Line 7 LIMITED LIABILITY COMPANIES/CORPORATIONS OR LL PARTNERSHIPS • Indicate whether there are any other persons with any interest in the premises or business. Answer all questions pertaining to this section. • Check YES if there this vessel has had previous license history OR has a license currently in effect, and state name of licensee and license number. Enter names of members and managers in the LLC/LLP and list Ownership Interest percentage for each member or manager. SECTION B SECTION H 3 American LegalNet, Inc. www.FormsWorkFlow.com Must be completed in full by the following persons: THE APPLICANT MUST ACCOUNT FOR AND DOCUMENT THE SOURCE OF ALL FUNDS INVESTED IN THE LICENSED BUSINESS OR VESSEL. (Copies are acceptable) → all license applicants → each partner in a partnership → each limited liability manager & members with at lease 10% operating interest or → file LLC/holding corporation stipulation if 10 or more members → each limited partner → corporate officers, directors, and stockholders with at least 10% stock ownership → individual lenders and donors → co-signers of loans → spouses who assist in management of premises → landlords Re: Bank and Stock Account Statements: Each questionnaire must be signed and dated. EXAMPLES OF DOCUMENTS TO SUBMIT: (See below for more detailed instructions) 1. 2. 3. 4. 5. Commitment letters for bank loans Loan agreements Loan letters for personal loans Bank and stock account statements Sales Contract Submit copies of your most recent statements showing the activity in the account for a minimum of the last three months. If you are borrowing money or are receiving a GIFT from an individual, that person must submit: a. Personal Questionnaire; b. Loan or gift letter; and c. Copy of account from which funds will be loaned or gifted going back the last three months. Important You are not limited to the above. Submit any and all records, documents, affidavits that you feel may assist you in explaining your financing, background and operation of the applied for business. ___________________________________________ SECTIONS C THRU G CAREFULLY READ instructions at the top of each form to determine if applicant must complete the form. Questions on these forms should be self-explanatory. PENAL BOND ___________________________________________ • PHOTOGRAPHS Submit a penal bond in the sum of $1,000, issued by any qualified surety company authorized to execute 4 American LegalNet, Inc. www.FormsWorkFlow.com such bonds in the State of New York. MINIMUM OF 5” X 7” IN SIZE • Bonds for code 240 licenses EXPIRE two years from date of issuance. • Bonds for code 540 licenses EXPIRE the same year as the date of issuance. 1. INTERIOR Photographs: Showing interior of vessel. Bars must be clearly shown together with a full view of the room or rooms where alcoholic beverages will be consumed. • THE BOND MUST HAVE THE PREMISES NAME AND ADDRESS TYPED EXACTLY AS IT APPEARS ON THE APPLICATION. THE ADDRESS IS THE MOORING STREET ADDRESS. • 2. EXTERIOR Photographs: Showing the outside parameter of the vessel. The expiration date must indicate ONLY the year of expiration. • If unavailable, provide a statement explaining why and when they will be submitted. APPLICANT MUST SIGN THE BOND. Important • Photographs must be taken not more than one month prior to time the application is filed. • All photographs submitted must be endorsed on the reverse side with the name and address of the applicant and the date when the photographs were taken. • Did you complete every question on each required form? Reduced blueprints are not acceptable. • Did you remember to submit the following? 1. INTERIOR Diagram: 1. __________Application ___________________________________________ ELECTRONIC FINGERPRINTING PERSONS REQUIRED TO BE FINGERPRINTED: • All individual applicants. • All partners in a Partnership and Limited Liability Partnership (LLP). • For Corporations and Limited Liability Companies (LLC). NOTE: Persons CURRENTLY licensed by the State Liquor Authority do not have to be fingerprinted. • • Each applicant required to be fingerprinted will be instructed to contact L-1 Enrollment Services after the successful submission of your applications. The fee for electronic fingerprinting is $105.00 and will be paid directly to L-1 Enrollment Services when you are fingerprinted. DIAGRAMS 8.5” x 11’ paper ONLY 5 American LegalNet, Inc. www.FormsWorkFlow.com 2. __________Application Payment Fee • • • Diagram or sketch of the interior with dimensions of all rooms (including bathrooms and any other part of the vessel), showing measurements and location of the bar or bars, and number of tables and chairs for patrons in each room. 3. __________Penal Bond 4. __________Photographs 5. __________Personal Questionnaire 6. __________Proof of Citizenship If the premises is in a multi-story vessel, diagram must also state and show where in the vessel. 7. __________Lease Agreement 8. __________Landlord Identification Questionnaire Show all gambling devices, gaming tables, etc. 2. FRONTAL ELEVATION Diagram: 9. __________Diagrams • 10. __________Copies of Bank Statements and Loan Agreements A sketch or elevation of the exterior of the vessel. CHECKLIST • You can have the greatest impact on a timely licensing decision by reading the instructions thoroughly and submitting a complete application. After you have completed the application, use this checklist to ensure that you have met all filing requirements. Failure to submit any required documents may result in the rejection of your application or processing delays 1. __________Application Statement (Section M) Did you sign? 2. __________Personal Questionnaire 3. __________Check to the State Liquor Authority 4. __________Penal Bond REMEMBER - Licenses cannot be issued without: 1. __________Federal Tax Identification Number 2. __________Notification of Publication (Section G) 6 American LegalNet, Inc. www.FormsWorkFlow.com