§3000.1000. Ownership Records

A holder of an Owner's license shall keep on a permanent basis and provide to the Board upon request the following records.

 

a)         If a corporation:

 

1)         A certified copy of the articles of incorporation and any amendments;

 

2)         A certified copy of the bylaws and any amendments;

 

3)         A certificate of good standing from the state of its incorporation;

 

4)         A certificate of authority from the Illinois Secretary of State authorizing it to do business in Illinois, if such corporation is operating as a foreign corporation in Illinois;

 

5)         A list of all current and former officers and directors;

 

6)         A certified copy of minutes of all meetings of the stockholders and directors;

 

7)         A current list of all stockholders including the names of beneficial owners of shares held in street or other names;

 

8)         The name of any business entity and a current list of all stockholders in such entity, including the names of beneficial owners of shares held in street or other names, in which such corporation has a direct, Indirect or Attributed Interest;

 

9)         A copy of the stock certificate ledger;

 

10)       A complete record of all transfers of stock;

 

11)       A schedule of amounts paid to the corporation for issuance of stock and other capital contributions and dates thereof;

 

12)       A schedule of all dividends distributed by the corporation; and

 

13)       A schedule of all salaries, wages, and other remuneration (including perquisites), direct or indirect, paid during the calendar or fiscal year, by the corporation, to all officers, directors, and stockholders with an ownership interest at any time during the calendar or fiscal year, equal to or greater than 5% of the outstanding capital stock of any class of stock.

 

b)         If a partnership:

 

1)         A certified copy of the partnership agreement;

 

2)         A certificate of limited partnership of its domicile;

 

3)         A list of the partners, including names, addresses, the percentage of interest in net assets, profits and losses held by each, the amount and date of each capital contribution of each partner, and the date the interest was acquired;

 

4)         A schedule of all withdrawals of partnership funds or assets; and

 

5)         A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to each partner during the calendar or fiscal year.

 

c)         If a sole proprietorship:

 

1)         A schedule showing the name and address of the proprietor and the amount and date of his original investment;

 

2)         A schedule of dates and amounts of subsequent additions to the original investment and any withdrawals; and

 

3)         A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to the proprietor during the calendar or fiscal year.

 

(Source:  Amended at 25 Ill. Reg. 94, effective January 8, 2001)