STATE OF NEW JERSEY Division of Gaming Enforcement BUSINESS ENTITY DISCLOSURE FORM Ancillary Casino Service Industry Enterprise License BUSINESS ENTITY DISCLOSURE FORM Ancillary Casino Service Industry Enterprise Name of Enterprise as it appears on the Certificate of Incorporation, charter, by-laws, partnership agreement, formation documents or other official document. D/B/A or Trade Name(s) PERSON TO BE CONTACTED IN REFERENCE TO THESE FORMS: Name and Title Home Telephone Number with Area Code Daytime OR Work Telephone Number with Extension and Area Code Cell Number with Area Code E-Mail Address Fax Number (if available) PRINCIPAL BUSINESS ADDRESS OF THE ENTERPRISE: STREET LOCATION Number/Street City State Zip Code MAILING ADDRESS, if different (P.O. Box, City, State, Zip Code) COUNTRY TELEPHONE Area Code Number Fax Number (if available) WEBSITE (URL) ADDRESS FROM WHICH THE ENTERPRISE IS OR WILL BE CONDUCTING ANY BUSINESS, AS PART OF AN AGREEMENT WITH A CASINO HOTEL: STREET LOCATION Number/Street City State Zip Code COUNTRY TELEPHONE Area Code Number Fax Number (if available) Check the appropriate box: This is an initial application for an Ancillary Casino Service Industry Enterprise License. This is an application to retain an Ancillary Casino Service Industry Enterprise License. If this is an application for retention of an Ancillary Casino Service Industry Enterprise License, provide the license number and date of the last submission filed: . This form is submitted because the enterprise has been identified as a holding company or principal stockholder of: . Note: If the enterprise noted above is not an applicant for an Ancillary Casino Service Industry Enterprise License, please identify the enterprise which is the applicant and for which this form is being prepared as part of that application. FOR STATE OF NEW JERSEY USE ONLY VRF # LOG # FILED DATE NOB CODE(S) FOR RESUBMISSIONS-TIME PERIOD NJDGE-ACSIEBED 5/18/2017 Page 1 of 28 Pages Initials / Date: _____/_____ BUSINESS ENTITY DISCLOSURE FORM Ancillary Casino Service Industry Enterprise IMPORTANT A complete copy of the entire Casino Service Industry Enterprise License application, including all attachments, must be submitted with the original. The application will be deemed incomplete and not processed if a copy is not included. Note: For purposes of this application, “enterprise” shall be defined to include any corporation, association, operation, firm, partnership, trust, or other form of business association, as well as any sole proprietor or natural person. ITEM 1 OTHER NAMES AND ADDRESSES OF THE ENTERPRISE A. List all other names under which the enterprise has done business and give approximate time periods during which such names were being used: B. State all addresses from which the enterprise is presently conducting business: NUMBER AND STREET CITY STATE ZIP CODE Note: Should you require additional space, attach a separate sheet in the same tabular format and label it ITEM 1B. C. State all addresses, other than those listed above, which the enterprise held or from which it was conducting business, during the last 10-year period, and give the approximate time periods during which such addresses were held: DATES NUMBER AND STREET CITY STATE ZIP CODE FROM TO Note: Should you require additional space, attach a separate sheet in the same tabular format and label it ITEM 1C. NJDGE-ACSIEBED 5/18/2017 Page 2 of 28 Pages Initials / Date: _____/_____ ITEM 2 DESCRIPTION OF ENTERPRISE A. Specify the business form of this enterprise (that is, corporation, partnership, trust, joint venture, sole proprietorship, LLC, or otherwise): B. Please submit a copy of the Certificate of Incorporation and all amendments, charter, by-laws, partnership agreement, trust agreement, or other basic documentation of the enterprise, if any. This document must be labeled as ITEM 2B. C. If the enterprise if a publicly-traded corporation, please indicate below on what exchange its stock is traded and under what symbol. D. Provide below your enterprise’s Federal Employer Identification Number (FID#): FID # __ __ - __ __ __ __ __ __ __ Check box if applied for E. If the enterprise completing this form is applying for the issuance of an Ancillary Casino Service Industry Enterprise License, provide a copy of the business registration certificate or other valid business registration issued to it by the Division of Revenue in the New Jersey Department of Treasury. This document must be labeled as ITEM 2E. If the enterprise completing this form is NOT itself applying for an Ancillary Casino Service Industry Enterprise License and is filing as a holding company or principal stockholder of another enterprise that is filing a license application, please indicate “Does Not Apply” below: _______________________________ ITEM 3 DESCRIPTION OF PRESENT BUSINESS As an attachment labeled ITEM 3, describe the business presently conducted or the business intended to be conducted by the enterprise and its parent, holding, subsidiary and intermediary companies. Describe the general development of the business during the past five years. The description shall include information on matters such as the following: A. The principal products produced and services rendered by the enterprise and its parent, intermediary and subsidiary companies, the principal markets for said products or services, and the methods of distribution. B. List all material patents, trademarks, licenses, franchises, and concessions held by the applicant business. NJDGE-ACSIEBED 5/18/2017 Page 3 of 28 Pages Initials / Date: _____/_____ C. This description must contain a detailed account of the goods or services being provided or to be provided, to the casino industry. ITEM 4 DESCRIPTION OF FORMER BUSINESS As an attachment labeled ITEM 4, describe any former business, not listed in response to ITEM 3, which the enterprise or any parent, or holding company having a 5% or greater ownership interest, engaged in during the last 10-year period, and the reasons for the cessation of such business. Also indicate the approximate time period during which each such business was conducted. ITEM 5 STOCK DESCRIPTION Describe the nature, type, terms, conditions, rights and privileges of all classes of voting, non-voting and other stock issued, or to be issued, by the enterprise, including the number of shares of each class of stock authorized or to be authorized, and the number of shares of each class of stock outstanding (i.e., not held by or on behalf of the issuer), as of this date. If the right of holders of any class of stock may be modified otherwise than by a vote of a majority or more of the outstanding shares so affected, voting as a class, so state and explain briefly: NJDGE-ACSIEBED 5/18/2017 Page 4 of 28 Pages Initials / Date: _____/_____ ITEM 6 NON-VOTING SHAREHOLDERS Furnish the information called for in the table below, as to each person or entity holder of record or having a beneficial interest in any non-voting stock issued by the enterprise: % OF CLASS OF NON-VOTING NUMBER OF OUTSTANDING NAME AND ADDRESS DATE OF BIRTH STOCK HELD1 SHARES HELD NON-VOTING STOCK Note: Should you require additional space, attach a separate sheet in the same tabular format and label it ITEM 6. 1 This information must be provided as of a date no more than 60 days prior to the date of this application. NJDGE-ACSIEBED 5/18/2017 Page 5 of 28 Pages Initials / Date: _____/_____ ITEM 7 QUALIFIERS Please indicate all persons or entities in your ancillary enterprise that correspond to the sub-items listed below. If any of the sub-items (A) through (I) do not apply, please indicate “Does Not Apply” directly on this form. NOTE: IF YOU ARE APPLYING FOR AN ANCILLARY CASINO SERVICE INDUSTRY ENTERPRISE LICENSE, A PERSONAL HISTORY DISCLOSURE FORM – ANCILLARY CSIE MUST BE COMPLETED BY EVERY NATURAL PERSON NOTED IN ITEM A. THROUGH H. BELOW FOR THE APPLICANT COMPANY. **If filing on behalf of the parent holding company, a Personal History Disclosure Form – Ancillary CSIE must be completed by every natural person noted in Item B. A. All persons who will act as sales representatives or otherwise regularly engage in the solicitation of business from a casino licensee or applicant. B. Each natural person who directly or indirectly holds any beneficial or ownership interest of five percent or more of the applicant or licensee. If the applicant is a junket enterprise, each person who directly or indirectly holds any beneficial or ownership interest of 5% or more of that enterprise, and each junket representative who will deal directly with a casino licensee or applicant or their employees. A junket representative is defined as any person who negotiates the terms of, or engages in the referral, procurement or selection of persons who may participate in any junket to a licensed casino, regardless of whether or not those activities occur within the State of New Jersey. (N.J.S.A. 5:12-29.2.) C. All persons who have signed or will sign any agreement with a casino licensee or applicant. D. The management employee supervising the regional or local office which employs the sales or junket representative(s) described in either sub-section A. or B. E. All officers of the enterprise. F. All inside directors or trustees of the enterprise. G. All partners, whether general, limited or otherwise. H. The sole proprietor, if the enterprise is a sole proprietorship. I. If the enterprise is applying for an Ancillary Casino Service Industry Enterprise License, each business entity that directly holds any beneficial or ownership interest of five percent or more of the applicant company. Each such holding company of the applicant company must complete a Business Entity Disclosure Form - Ancillary CSIE. NJDGE-ACSIEBED 5/18/2017 Page 6 of 28 Pages Initials / Date: _____/_____ For every person or entity noted in ITEM 7 A. through I. on the previous page, please provide the information requested in the following tabular form: TITLE,POSITION OR NAME DATE OF BIRTH HOME ADDRESS ASSOCIATION WITH % OF OWNERSHIP2 THE ENTERPRISE Note: Should you require additional space, attach a separate sheet in the same tabular format and label it ITEM 7A., B., etc. 2 Include number of shares held and class of stock, if applicable. NJDGE-ACSIEBED 5/18/2017 Page 7 of 28 Pages Initials / Date: _____/_____ ITEM 8 OUTLINE OF OWNERSHIP If ITEM 7 notes any enterprise as holding any stock, holding a partnership interest or holding any other ownership interest in the applicant, as an attachment labeled ITEM 8, prepare a flowchart which illustrates the full/complete ownership of the applicant. List all parent, holding or intermediary companies until the flowchart reflects the stock, partnership or ownership interest as being held by a natural person(s) and not another enterprise(s). If the ultimate parent company is publicly traded and no natural person controls 5% or more of the publicly-traded stock, indicate that in a footnote to the flowchart. NJDGE-ACSIEBED 5/18/2017 Page 8 of 28 Pages Initials / Date: _____/_____ ITEM 9 COMPENSATION OF OFFICERS AND DIRECTORS OR PARTNERS List the total annual compensation received during the last calendar year and the amount to be received during the calendar year subsequent thereto by each director, trustee, officer and/or partner of the enterprise, whether such compensation is in the form of salary, wages, commissions, fees, stock options, bonuses or otherwise: AMOUNT OF NAME POSITIONS HELD WITH THE ENTERPRISE COMPENSATION Note: Should you require additional space, attach a separate sheet in the same tabular format and label it ITEM 9. NJDGE-ACSIEBED 5/18/2017 Page 9 of 28 Pages Initials / Date: _____/_____