Form Ttb F 5200.3 - Application For A Permit As A Manufacturer Of Tobacco - Department Of The Treasury Page 5

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M. Item 9.

Business Documents.

Your business is a:

Attach to this application:

Partnership or association

Accurate copy of articles OR the certificate required to be filed by any State, county, or municipality.

Corporation

1. Accurate copy of the corporate charter OR certificate of corporate existence or incorporation. This copy

must be executed by the appropriate officer of the State in which incorporated.

2. Accurate copy of stockholders’ meetings, bylaws, or directors meetings that list the officers authorized to

sign documents or otherwise act on behalf of the corporation. The accuracy of the copy must be certified

by an appropriate officer of the corporation. The authority must exclude matters relating to laws and

regulations issued under Chapter 52 of Title 26 of the United States Code (Internal Revenue Code). You

can use TTB F 5100.1, Signing Authority for Corporate Officials, in place of this copy.

Accurate copy of the business document(s) filed with a State, county, or municipality when such filing is

Limited liability company or other

required. The copy must show that it was filed with the appropriate Government agency. For example, a

business organization

limited liability company must provide an accurate copy of its operating agreement.

N. Items 10 and 11 Who must I consider as a “person”? An individual, partnership, association, company, corporation, estate, or trust.

O. Item 10

a. Which persons must I list for item 10?

(1)

Yourself, if you are the sole proprietor.

(2)

Each partner if your business is a partnership.

(3)

Each officer or director if your business is a corporation.

(4)

Each position similar to an officer or director of a corporation if your business is another type of business organization.

(5)

A manager of a limited liability company.

(6)

A stockholder who holds more than ten percent of the stock of a corporation, limited liability company, or similar business organization.

(7)

An investor who has or will contribute more than ten percent of the funds for the business.

b. What information must I provide for each person? If any information is not applicable, state so.

(1)

Full legal name (if a business, read instruction H) ;

(2)

Title and position in my business;

(3)

Percent (%) of voting stock or interest held in my business as a manufacturer of tobacco products or as an export warehouse proprietor

(Do NOT include stock held by a corporation to determine the percent of voting stock) ;

Dollar amount of current and anticipated investment in your business as a manufacturer of tobacco products or as an export warehouse

(4)

proprietor;

(5)

The name and address of the person(s) from whom the investment comes; and

(6)

The reason for, or the source of, the investment. For example: savings, loan, profits from other business or gift.

P. Item 11. Who exercises actual or legal control of my business? In general, a person who has the power or authority to manage, direct,

govern, or administer how your business operates.

Q. Item 15. Who may sign this application?

If your business is a:

The application must be signed by:

You; OR

Sole proprietorship

An individual for whom you have filed TTB F 5000.8, Power of Attorney.

Each partner; OR

The partner who has been given the authority to sign by the articles of partnership or similar agreement of all

Partnership

the partners that you have filed for this permit; OR

An individual for whom you filed TTB F 5000.8, Power of Attorney.

Corporation, association, limited

An individual who has signature authority granted by the business documents that you have filed for this

liability company, or other business

application; OR

organization

An individual for whom you have filed TTB F 5000.8, Power of Attorney.

QUESTIONS

R. If I have questions about this TTB form, who can answer my questions? Contact a specialist in the Tobacco Unit, National Revenue Center

by phone at 1-877-882-3277 or 1-513-684-7151, fax at 1-513-684-2251, or e-mail to ttbtobacco@ttb.gov.

STARTING BUSINESS

S. When I file this application, can I start the business for which I have applied?

Your reason for filing

To start the business

No, you must wait for TTB to grant your permit.

To report the pending transfer in the

No, you must wait for TTB to grant your permit.

ownership of the business

To report a change in control

of a

You may continue to operate if you file this form within 30 days of the change.

corporation

A change in control of a corporation occurs when the issuance, sale, or transfer of its stock results in changing the identity of the stockholders who

exercise actual or legal control of the corporation.

TTB F 5200.3 (10/2006)