Missouri Code of State Regulations › Title 11 - DEPARTMENT OF PUBLIC SAFETY › Division 45 - Missouri Gaming Commission › Chapter 4 - Licenses › Section 11 CSR 45-4.200 - Supplier's License

Current through Register Vol. 49, No. 14, July 15, 2024
PURPOSE: This amendment updates the terminology for
				  "key business entity."
(1) A
				supplier's license is required of persons who or entities which manufacture,
				sell, or lease gaming equipment, gaming supplies, or both; or provide gaming
				equipment maintenance or repair; or provide testing services on gaming related
				equipment, components, peripherals, or systems; or provide services on the
				gaming floor that relate to gaming equipment of a Class A or Class B licensee,
				or other items directed by the commission; unless exempted by the executive
				director. Additionally the executive director may waive or modify licensing
				fees and requirements. Such waiver, modification, or exemption shall not be
				applicable for testing laboratories.
(2) An application for a supplier's license
				shall be made on a form obtained from the commission. Each supplier license
				applicant must submit the Supplier's License Application Form for itself, a key
				person/key business entity and Level I application for each individual key
				person associated with the application and a Supplier's License Application
				Form for each key business entity associated with the applicant. The applicant
				must also submit Personal Disclosure Form II for any other person or entity
				(other than occupational licensees) associated with the applicant in any way,
				who is required by the commission or the director to execute such forms, which
				forms shall become part of the supplier application along with the key
				person/key business entity forms. A copy of all necessary forms is available
				for public inspection at the offices of the commission and online at the
				commission's web site.
(3)
				Applications shall include:
(A) The name,
				address and telephone number of the applicant;
(B) Federal Employer Identification Number or
				Social Security Number;
(C) The
				name, position, address, telephone number, and authorized signature of the
				chief administrative officer;
(D)
				Name, position, address, telephone number, and authorized signature of the
				registered agent, legal service representative and accounting, banking and
				financial service representative;
(E) A key person/key business entity and
				Level I application for each key person;
(F) A complete description of applicant's
				business and products, including forms to be used by applicant in Missouri for
				lease, purchase, or service;
(G)
				Any agreements or understanding which the applicant has entered into for the
				payment of fees, rents, salaries, or other compensation by the applicant or to
				the applicant. If the agreements or understandings are written, copies of the
				written documents must accompany the application. If the agreement or
				understanding is oral, the terms shall be reduced to writing and must accompany
				the application. Should the agreement or understanding be contingent in nature,
				the applicant shall disclose the nature of the contingency;
(H) The applicant's full name and the type of
				organizational structure under which the organization operates, including the
				identity of any key persons;
(I) If
				the applicant is an individual, the license application must disclose-
1. The applicant's legal name;
2. Whether the applicant is a United States
				citizen;
3. Any alias(es) or
				business name(s) which have ever been or are being used by the applicant;
				and
4. Copies of the state and
				federal tax returns for the past five (5) years;
(J) If the applicant is a corporation, the
				application must disclose-
1. The applicant's
				full corporate name and any trade names or fictitious names used by the
				applicant in this or any other jurisdiction;
2. The jurisdiction and date of
				incorporation;
3. The date the
				applicant commenced doing business in Missouri, if any, and if the applicant is
				incorporated in any jurisdiction other than Missouri, a copy of the applicant's
				certificate or authority to do business in Missouri;
4. Copies of each of the following:
A. Articles of Incorporation;
B. Bylaws;
C. Federal corporate tax returns for the past
				five (5) years; and
D. State
				corporate tax returns for the past five (5) years;
5. Whether the applicant is publicly held as
				defined by the rules of the Securities and Exchange Commission;
6. All the classes of stock authorized by the
				Articles of Incorporation. As to each class, the applicant shall disclose-
A. The number of shares authorized;
B. The number of shares issued;
C. The number of shares
				outstanding;
D. The par value of
				each share;
E. The issue price of
				each share;
F. The current market
				price of each share;
G. The number
				of shareholders currently listed on the corporate books; and
H. The terms, rights, privileges and other
				information each class of stock possesses;
7. If the applicant has any other obligations
				or securities, authorized or outstanding, which bear voting rights, either
				absolutely or upon any contingency, together with the nature of the
				obligations. In addition, the following shall be disclosed for each obligation:
A. The face or par value;
B. The number of units authorized;
C. The number of units outstanding;
				and
D. Any conditions upon which
				the units may be voted;
8. The names and addresses of the directors.
				As to each director, the following information shall be included: the number of
				shares held of record as of the application date-
A. If the officer owns no shares, the
				application shall so state; and
B.
				Ownership of shares shall include beneficial owner(s). Beneficial ownership
				includes, but is not limited to, record ownership and:
1) Stock or other ownership in one (1) or
				more entities in a chain of parent and subsidiary or affiliated entities, any
				one (1) of which participates in the capital or profits of a licensee,
				regardless of the percentage of ownership involved; or
2) Any interest which entitles a person to
				benefits substantially equivalent to ownership by reason of any contract,
				understanding, relationship, agreement, or other arrangement even though the
				person is not the record owner. Unless there are special circumstances,
				securities held by an individual's spouse or relatives, including children,
				living in the home, who are beneficially owned by the individual;
9. The names and
				addresses of the officers of the applicant. As to each officer, the following
				information shall be included: the number of shares held on record as of the
				application date.
A. If the officer owns no
				shares, the application shall so state; and
B. Ownership of shares shall include
				beneficial owners. Beneficial ownership includes, but is not limited to, record
				ownership and:
1) Stock or other ownership in
				one (1) or more entities in a chain of parent and subsidiary or affiliated
				entities, any one (1) of which participates in the capital or profits of a
				licensee, regardless of the percentage of ownership involved; or
2) Any interest which entitles a person to
				benefits substantially equivalent to ownership by reason of any contract,
				understanding, relationship, agreement, or other arrangement even though the
				person is not the record owner. Unless there are special circumstances,
				securities held by an individual's spouse or relatives, including children,
				living in the home, who are beneficially owned by the individual;
10. The names, in
				alphabetical order, and addresses of each record stockholder of the
				corporation. Stockholder shall mean record owners as defined in (3)(J)9.B.
				above. The applicant shall also include a percentage of the voting shares of
				stock owned by each record stockholder;
11. Each jurisdiction, including the United
				States, for which the corporation has met filing and disclosure requirements of
				state securities registration and filing laws, the Securities Act of 1933 or
				the Securities and Exchange Act of 1934. The applicant shall include the most
				recent registration statement and annual report filed with the Securities and
				Exchange Commission and each state in which the corporation has registered or
				filed the report. If the applicant has not registered or filed any statements
				with the Commissioner of Securities of the Secretary of State of Missouri, the
				applicant must state the reason the filing has not been made, including
				specific reference to the exemption or exception upon which the applicant
				relies for not filing with the Commissioner of Securities of the Secretary of
				State of Missouri; and
(K) If the applicant is an organization other
				than a corporation, the following information must be disclosed:
1. The applicant's full name including any
				trade names or fictitious names currently in use by the applicant in Missouri
				or any other jurisdiction;
2. The
				jurisdiction in which the applicant is organized;
3. Copies of any written agreement,
				constitution, or other document creating or governing the applicant's
				organization or powers of organization;
4. The date the applicant commenced doing
				business in Missouri.
A. If the applicant is
				organized under laws other than Missouri laws, a copy of the authorization of
				Missouri to do business in Missouri;
B. If no authorization to do business in
				Missouri has been obtained, the applicant must state the reason the
				authorization has not been obtained;
5. The applicant's federal and state tax
				returns for the past five (5) years;
6. The general nature of the applicant's
				business;
7. The names and
				addresses of each partner, officer, or other person having or sharing
				policy-making authority who is a key person. As to each such person, the
				applicant must disclose-the nature and extent of any ownership interest-
A. Ownership interest shall include any
				beneficial owner. Beneficial ownership includes, but is not limited to, record
				ownership and:
1) Stock or other ownership in
				one (1) or more entities in a chain of parent and subsidiary or affiliated
				entities, any one (1) of which participates in the capital or profits of a
				licensee, regardless of the percentage of ownership involved; or
2) Any interest which entitles a person to
				benefits substantially equivalent to ownership by reason of any contract,
				understanding, relationship, agreement, or other arrangement even though the
				person is not the record owner. Unless there are special circumstances,
				securities held by an individual's spouse or relatives, including children,
				living in the home, who are beneficially owned by the individual; and
B. Any voting interest, whether
				absolute or contingent, and the terms upon which the interest may be voted;
				and
8. The names, in
				alphabetical order, and addresses of any individual or other entity holding a
				record or beneficial ownership in the application. Beneficial ownership
				includes, but is not limited to, record ownership and:
1) Stock or other ownership in one (1) or
				more entities in a chain of parent and subsidiary or affiliated entities, any
				one (1) of which participates in the capital or profits of a licensee,
				regardless of the percentage of ownership involved; or
2) Any interest which entitles a person to
				benefits substantially equivalent to ownership by reason of any contract,
				understanding, relationship, agreement or other arrangement even though the
				person is not the record owner. Unless there are special circumstances,
				securities held by an individual's spouse or relatives, including children,
				living in the home, who are beneficially owned by the individual. The following
				information shall be given concerning each individual:
A. The nature of the ownership
				interest;
B. Whether the ownership
				interest carries a vote and the terms upon which the interest may be voted;
				and
C. The percentage of
				ownership;
(L) Whether the applicant is directly or
				indirectly controlled to any extent or in any manner by another individual or
				entity. If so, the applicant must disclose the identity of the controlling
				entity and a description of the nature and extent of the control. If the
				controlling entity is not an individual, the information required by this rule
				for the corporation or partnership or other organization controlling the
				applicant must be disclosed;
(M)
				Whether applicant or any key person/key business entity currently holds, has
				ever held or applied for, a license or permit issued by a governmental
				authority to own or supply gaming equipment or operate a gaming facility or
				conduct any aspect of gambling. If the applicant has held or holds a license or
				permit, the applicant must disclose-
1. The
				identity of the license or permit holder;
2. The jurisdiction issuing the license or
				permit;
3. The nature of the
				license or permit; and
4. The dates
				of issuance and termination, if any;
(N) Whether any person currently serving, or
				any person who within the past two (2) years has served, as a member of the
				commission, an employee of the commission, a member of the general assembly, or
				as an elected official of the state, or if any city or county in the state in
				which licensing or excursion gambling boats have been approved, has any
				ownership interest in the applicant;
(O) The applicant must disclose names and
				titles of all public officials, or officers of any unit of government, and
				relatives of the public officials or officers who, directly or indirectly, own
				any financial interest in, have any beneficial interest in, or are the
				creditors of, or hold any debt instrument issued by, or hold or have any
				interest in any contractual or service relationship with applicant;
				and
(P) The applicant must disclose
				all political contributions, loans, donations, or other payments of one hundred
				dollars ($100) or more, that the applicant has made directly or indirectly to
				any candidate or office holder, within five (5) years prior to
				application.