New York State Commission to Study, Examine and Investigate State Agencies in Relation to Pari-Mutuel Harness Racing…

Alphabetical by last name of respondent.

The Commission collected these completed questionnaires in order to compile information on financial interests in and business dealings with harness racing associations. The questionnaires require detailed information about individuals' stock and bond holdings and other financial interests or business connections with harness racing licensees, lessors, concessionaires, and contractors.

Information required on these questionnaires includes: name; home and business address; Social Security number; if an officer, director, or employee of a New York State harness racing licensee or out-of-state track owning corporation: name and address of corporation, office or position held, salary, wages, or other payments received, and nature of financial interest in corporation (aside from stock holdings); if an officer, director, proprietor, partner, owner, employee, or holder of any financial interest in a corporation holding a concession (e.g. food, parking, programs, souvenirs) at any track in the United States, or a corporation involved in construction, reconversion, repairing, reconstruction, remodeling, supplying of equipment, or other work at any New York State track: name and address of corporation, office or position held, salary, wages, or other payments received, nature of financial interest, terms of, dates, and parties to any oral contract or agreement held by respondent or a family member, including percentage of interest, and copy of any such written contract; if an incorporator, subscriber, or promoter of any licensee, lessor, concessionaire, or contractor: dates, persons involved, consideration promised or paid to or by respondent or anyone else, copies of any subscription-agreements or agreements with promoters, and dates, parties, and terms of any oral agreements;

if a stockholder or bondholder in any licensee, lessor, former owner, concessionaire, or contractor: amount of stock held, classes and preferences of stock held, amount of bonds held, interest rates and maturity dates of bonds held, whether bonds are registered or bearer bonds, date(s) of acquisition of stock or bonds, names and addresses of those from whom stock or bonds were acquired, consideration furnished for such stock or bonds, date(s) of resale, transfer, or other alienation, names and addresses of person(s) to whom stock or bonds were resold, transferred, or otherwise alienated, amount, classes, and preferences of stock resold, transferred, or otherwise alienated, amount, interest rate, and maturity dates of bonds resold, transferred, or otherwise alienated, and whether registered or bearer bonds, consideration received for stock or bonds on resale, transfer, or other alienation, or if a gift, the reason therefor, names and addresses of persons who furnished such consideration, whether respondent or the person to whom stock or bonds were sold, transferred, or otherwise alienated was the beneficial owner, and if not the name and address of the beneficial owner, whether respondent or the person to whom stock or bonds were sold, transferred, or otherwise alienated was the beneficial owner of stock or bonds listed in any other person's name, and if so the listed owner's name and address, and

the dividends or interest received by respondent, by listed owner in respondent's behalf, or by respondent on behalf of a beneficial owner, from each such corporation whose stock or bonds were held by respondent for each class of such stock; if held any other office or position of private employment since 1930: name and address of corporation, firm, or entity, nature of business, office or position held and dates, if such firm did business with any licensee, lessor, contractor, or concessionaire: name and address of licensee, lessor, contractor, or concessionaire, date and nature of such business and consideration furnished or promised, and commission, fee, payment, or other consideration asked or received by respondent or any family member and name and address of person furnishing such consideration; public offices or positions of public employment held in any branch of government of the United States or any state or political subdivision thereof, including dates and salary or wages received annually; political party positions and political club or organization memberships held, including names, addresses, and dates; amount(s), date(s), and recipients of political contributions made since 1940; if ever arrested: date and place, charge(s), name and address of court of final disposition, and disposition of the case;

if a family member was an officer, director, proprietor, partner, owner, bondholder, stockholder, employee, the holder of any other financial interest in, or the recipient of an expense account from any licensee, lessor, former owner, concessionaire, contractor, supplier, or any other entity doing business with a licensee or lessor: name and address of licensee, lessor, etc., office or position held and dates, salary, wages, commissions, fees, or other things of value received and the date, place, and persons involved, amount of stock or bonds held, dates thereof, dividends or interest received, and the dates received, nature of any other financial interest and the dates and disposition thereof, in what capacity an expense account was received, amounts received and dates, purpose of expense account, copies of each accounting made in connection with the expense account, and copy of agreement under which expense account was granted; if respondent made loans or advances to a licensee, lessor, former owner, concessionaire, or contractor, or to an officer, director, partner, proprietor, owner, employee, or agent of any such corporation since 1932: date and amount, interest rate charged and dates of payment of interest, date(s) of repayment of principal, any other consideration furnished by recipient of the loan or advance, names and addresses of parties to any written agreement, and copies of all written records documenting the loan or advance;

if respondent or a family member was an officer, business agent, or governing board member of any labor union or local thereof whose members were employed by a licensee, lessor, former owner, or concessionaire: name and address of union and local, office or position held and dates, compensation received and dates, efforts made by respondent or family member to secure employment for any union member by a licensee, lessor, former owner, concessionaire, or contractor, and name and address of any union member or other employee of a licensee, lessor, former owner, concessionaire, or contractor who made any payment, with or without consideration therefor, to any store, club, restaurant, bar and grill or club owned by respondent or a family member in connection with any charity, dance, dinner, organization, society, or other affair, or in connection with any dues, fees, or assessments therefor; and if respondent or a family member paid or promised, or have been paid or promised, any fees, commission, rebates, or other consideration (other than regular salary or wages) to or for any public official, union official, political party official, or any other person, firm, or corporation to influence or affect the granting of any license, permit, or other authorization, labor relations or the employment of any person, legislation, or the granting of any concession privilege, accommodation or contract:

name and address of the person who made such payment or promise, name and address of recipient thereof, date and amount thereof, and consideration or other thing of value exchanged and the reason therefor.

The series also contains a small number of handwritten stock ownership charts.

B1327Series B1327, Card Indexes to Harness Racing Associations and Stockholders, Witnesses, and Commission Records and Staff, indexes this series.

All investigative materials in Moreland Act commission records are indefinitely restricted pursuant to Executive Law sect. 6 and 63.8 and Civil Rights Law sect. 73.8. Requests for access to such materials are referred to the Governor's Office.