§ 86.353. Identification of ownership.
The application shall indicate whether the applicant is a corporation, partnership, sole proprietorship, association or other business entity. For all entities, the application shall contain the following information, as applicable, for each person who owns or controls the applicant under the definition of ‘‘owned or controlled’’ or ‘‘owns or controls’’ in § 86.1 (relating to definitions) except that the submission of a Social Security number is voluntary:
(1) The name, address, Social Security number and employer identification number of every:
(i) Officer.
(ii) Partner.
(iii) Associate.
(iv) Shareholder of at least 10% of the voting stock.
(v) Director.
(vi) Other person performing a function similar to a director of the applicant.
(vii) Person having the ability to commit the financial or real property assets or working resources of an entity.
(viii) Person who has another relationship with the applicant which gives the person authority directly or indirectly to determine the manner in which mining is conducted.
(ix) Person who owns or controls the persons specified in subparagraphs (i)—(viii), either directly or indirectly through intermediary entities.
(2) For each person listed in paragraph (1), the following:
(i) The title of the person’s position.
(ii) The date the position or stock ownership was assumed, and if applicable, the date of departure from the position or the date of sale of stock.
(iii) The percentage of ownership.
(iv) The location in the organizational structure.
(v) The relationship to the applicant.
(3) The following related entity information:
(i) The names of companies who, under the definition of ‘‘owned or controlled’’ or ‘‘owns or controls’’ in § 86.1, own or control the applicant or who are owned or controlled by the applicant and provide the following information for each entity:
(A) Identifying numbers, including Employer Identification numbers, Federal or State permit numbers and Mine Safety and Health Administration (MSHA) numbers with the date of issuance for each permit.
(B) The application number or other identifier of and the regulatory authority for any other pending mining operation permit application filed by the entity in any other state.
(C) The name, address, Social Security number and Employer Identification Number of every officer, partner, associate, principal shareholder, director or other person performing a function similar to director of the applicant, including the title of the person’s position and the date the position was assumed, and if applicable, the date of departure from the position or date of sale of stock.
(ii) For each person listed in paragraph (1), who is, or has been, associated with another company as an owner or controller, under the definition of ‘‘owned or controlled’’ and ‘‘owns or controls’’ in § 86.1, within the 5-year period preceding the date of application, provide the following information:
(A) The name of each entity they are, or were, associated with.
(B) The identifying numbers, including Employer Identification numbers, Federal or State permit numbers and MSHA numbers with the date of issuance for each permit.
(C) The application number or other identifier of and the regulatory authority for other pending mining operation permit applications filed by the entity with which the person is affiliated in other states.
Cross References This section cited in 25 Pa. Code § 86.195 (relating to penalties against corporate officers).
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