NY Pub Serv L § 111 (2021)
2021 New York Laws PBS - Public Service Article 6 - Provisions Affecting Two or More Kinds of the Public Service and the Persons and Corporations Furnishing Such Service 111 - Additional Information in Annual Reports; Disclosure of Stockholdings.

§ 111. Additional   information   in  annual  reports;  disclosure  of   stockholdings.   1. Every  annual  report  of  any  utility  corporation   reporting  under  this  chapter  to  the public service commission shall   contain, in addition to any other information required to be included by   or pursuant to law, the following information:a. It shall state the name and address of, and the  number  of  shares   held  by  each holder of one per centum or more of the voting capital of   the reporting corporation, according to its records.b. Where one per centum or more of the voting  capital  stock  of  the   reporting  corporation  is  held  by  a  trustee  or  trustees, or other   intermediate agency, for the beneficial interest of an owner or  owners,   other  than the holder of record, or where one per centum or more of the   voting capital stock of the reporting corporation  is  held  by  another   corporation,  such  annual  report  shall  state,  if the information is   available from the records of the reporting corporation, the  names  and   addresses  and  respective  interests of such beneficial owners, and the   names and addresses of the officers and  directors  of  any  such  other   corporation and the total number of shares of capital stock thereof held   by  each,  showing separately the number of shares of the voting capital   stock, and the names and addresses and respective stockholdings of every   stockholder of such other corporation holding one per centum or more  of   its  voting  capital  stock.  Such  report  shall  be  accompanied  by a   certified copy of each trust agreement or other instrument  under  which   any voting capital stock of the reporting corporation is held.2.  Where  the information specified in paragraph "b" of the foregoing   subdivision  is  not  available  from  the  records  of  the   reporting   corporation,  any  such  holder, of record, of one per centum or more of   the voting capital stock of the reporting corporation, if ordered so  to   do by the commission, shall file with the commission, a sworn statement,   in  such  form  and to be filed within such time as the commission shall   prescribe, setting forth whether or not any of such stock held by him or   it is so held for the  beneficial  ownership  of  any  person,  firm  or   corporation  other  than the record holder thereof, and, if stated to be   so  held,  the  names,  addresses  and  respective  interests  of   such   beneficial owners. If such stockholder is a trustee, he or it also shall   file  with  such  statement  a  certified copy of the trust agreement or   other instrument under which such stock is held. A corporation which  is   the  holder,  of record, of one per centum or more of the voting capital   stock of  the  reporting  corporation,  if  ordered  so  to  do  by  the   commission,  and  regardless  of  whether  the  information is or is not   available or apparently available from  the  records  of  the  reporting   corporation,  also  shall file with the commission a sworn statement, in   such form and to be filed within  such  time  as  the  commission  shall   prescribe,  or shall include in the sworn statement, if any, required to   be filed by it pursuant  to  other  provisions  of  this  subdivision  a   statement  setting  forth  the  names  and addresses of its officers and   directors and the total number of shares of its capital stock,  held  by   each,  showing  separately  the  number  of shares of the voting capital   stock, and the names and addresses and respective stockholdings of every   stockholder thereof holding one per centum or more of its voting capital   stock.3. If the annual report, or  the  sworn  statements  provided  for  in   subdivision  two, do not furnish the information desired, because of any   chain of successive ownership or of stockholdings,  or  because  of  any   intermediate   agency   or  agencies,  or  for  any  other  reason,  the   commission, by order, may require  similar  sworn  statements  from  any   person  or  corporation who or which can give the necessary information,   as the commission may have discovered from its  investigations,  to  the    end  that the commission may obtain a complete disclosure of the natural   persons, firms or corporations, and their respective interests,  who  or   which  own  or  control directly or indirectly one per centum or more of   the voting capital stock of the reporting corporation.