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The New York Certificate form is a crucial document for anyone looking to establish a corporation in New York State. This form, officially known as the Certificate of Incorporation, is submitted to the New York State Department of State and must adhere to specific requirements outlined in Section 402 of the Business Corporation Law. Key elements include the corporation's name, its purpose, and the county where its office will be located. Additionally, the form allows for the issuance of a designated number of common shares and specifies that the Secretary of State will act as the corporation's agent for service of process. Importantly, the form emphasizes that the corporation is not permitted to engage in activities requiring state approval without obtaining the necessary consent first. While this standardized form simplifies the incorporation process, it is worth noting that individuals have the option to draft their own version or utilize forms from legal stationery stores. The Department of State recommends seeking legal guidance when preparing such documents to ensure compliance with all applicable laws. A filing fee of $125 is required, and the incorporator must be a natural person, not another corporation or business entity.

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New York State

Department of State

DIVISION OF CORPORATIONS,

STATE RECORDS AND

UNIFORM COMMERCIAL CODE

One Commerce Plaza

99 Washington Ave.

Albany, NY 12231-0001

www.dos.ny.gov

CERTIFICATE OF INCORPORATION

OF

(Insert Corporate Name)

Under Section 402 of the Business Corporation Law

FIRST: The name of the corporation is:

.

SECOND: The purpose of the corporation is to engage in any lawful act or activity for which a corporation may be organized under the Business Corporation Law. The corporation is not formed to engage in any act or activity requiring the consent or approval of any state official, department, board, agency or other body without such consent or approval first being obtained.

THIRD: The county, within this state, in which the office of the corporation is to be located

is:

 

.

FOURTH: The corporation shall have authority to issue one class of shares consisting of 200 common shares without par value.

FIFTH: The Secretary of State is designated as agent of the corporation upon whom process against the corporation may be served. The address to which the Secretary of State shall mail a copy of any process accepted on behalf of the corporation is:

 

X

(Print or Type Name of Incorporator)

 

(Signature of Incorporator)

(Address of Incorporator)

(City, State, Zip Code)

DOS-1239-f (Rev. 03/17)

Page 1 of 2

CERTIFICATE OF INCORPORATION

OF

(Insert Corporate Name)

Under Section 402 of the Business Corporation Law

Filer’s Name and Mailing Address:

Name:

Company, if Applicable:

Mailing Address:

City, State and Zip Code:

Notes:

1.This form was prepared by the New York State Department of State for filing a certificate of incorporation for a business corporation. It does not contain all optional provisions under the law. You are not required to use this form. You may draft your own form or use forms available at legal stationery stores.

2.The Department of State recommends that legal documents be prepared under the guidance of an attorney.

3.The fee for filing a certificate of incorporation is $125. Checks should be made payable to the Department of State.

4.The incorporator must be a natural person, not a corporation or other business entity.

5.The filer may not be the corporation being formed.

For DOS use only

DOS-1239-f (Rev. 03/17)

Page 2 of 2

Form Specifications

Fact Name Details
Governing Law The New York Certificate of Incorporation is governed by Section 402 of the Business Corporation Law.
Purpose of Corporation The corporation may engage in any lawful act or activity as permitted under the Business Corporation Law.
Incorporator Requirements The incorporator must be a natural person, not a corporation or any other business entity.
Filing Fee The fee for filing a certificate of incorporation is $125. Payments should be made to the Department of State.
Agent for Process The Secretary of State is designated as the agent for the corporation, responsible for accepting legal process.
Share Authority The corporation has the authority to issue one class of shares, consisting of 200 common shares without par value.
Document Preparation While the form is provided by the New York State Department of State, it is recommended that legal documents be prepared with the assistance of an attorney.

New York Certificate: Usage Guidelines

Filling out the New York Certificate of Incorporation is an important step in establishing your business. After you complete this form, you will submit it to the New York State Department of State. This submission is necessary for your corporation to be legally recognized. Below are the steps to guide you through the process of filling out the form.

  1. Begin by entering the name of your corporation in the designated space. Make sure it complies with New York naming requirements.
  2. In the second section, state the purpose of your corporation. You can simply write that it will engage in any lawful act or activity.
  3. Next, indicate the county within New York where your corporation's office will be located.
  4. For the fourth section, confirm that your corporation will issue one class of shares, specifying that it will consist of 200 common shares without par value.
  5. Designate the Secretary of State as the agent for your corporation. Include the address where the Secretary should send any process accepted on behalf of the corporation.
  6. Fill in the name of the incorporator, ensuring it is a natural person, not a corporation.
  7. Sign the form where indicated, confirming your role as the incorporator.
  8. Provide your address, including city, state, and zip code.
  9. At the bottom of the form, include the name and mailing address of the filer. This can be the same as the incorporator's address.
  10. Finally, prepare a check for the filing fee of $125, made payable to the Department of State.

Your Questions, Answered

What is the New York Certificate of Incorporation?

The New York Certificate of Incorporation is a legal document that establishes a corporation in the state of New York. It outlines essential details about the corporation, such as its name, purpose, and structure. This form is filed with the New York State Department of State and is required for anyone looking to create a business corporation in New York.

What information do I need to provide when filling out the form?

You will need to provide several key pieces of information. This includes the name of the corporation, its purpose, the county where the office will be located, the number of shares the corporation will issue, and the name and address of the incorporator. Each of these elements is crucial for the proper formation of your corporation.

Can I use my own form instead of the state-provided one?

Yes, you are not required to use the state-provided form. You can draft your own Certificate of Incorporation or use forms available at legal stationery stores. However, it’s essential to ensure that your document complies with New York's Business Corporation Law.

Is there a fee for filing the Certificate of Incorporation?

Yes, there is a filing fee of $125. When submitting your form, make sure to include a check made payable to the Department of State. This fee is necessary to process your application and officially establish your corporation.

Who can serve as the incorporator for the corporation?

The incorporator must be a natural person, meaning an individual rather than a corporation or other business entity. This person is responsible for filing the Certificate of Incorporation and must provide their name and address on the form.

Can the filer be the corporation that is being formed?

No, the filer cannot be the corporation that is being formed. The person filing the Certificate of Incorporation must be an individual who acts on behalf of the new corporation. This ensures that there is a clear distinction between the person initiating the incorporation process and the corporation itself.

Should I seek legal advice when preparing this document?

It is highly recommended to seek legal advice when preparing your Certificate of Incorporation. While the form is straightforward, an attorney can help ensure that all necessary provisions are included and that your corporation complies with state laws. This guidance can save you time and potential legal issues in the future.

Where do I send the completed Certificate of Incorporation?

Your completed Certificate of Incorporation should be sent to the New York State Department of State, Division of Corporations, at One Commerce Plaza, 99 Washington Ave., Albany, NY 12231-0001. Make sure to keep a copy for your records after filing.

Common mistakes

  1. Leaving the corporate name blank: Failing to fill in the name of the corporation can lead to delays or rejection of the form. Ensure the name is unique and complies with state regulations.

  2. Not specifying the purpose: The purpose of the corporation must be clearly stated. Vague or unclear purposes can cause issues during processing.

  3. Incorrect county information: Make sure to accurately list the county where the corporation’s office will be located. Errors here can complicate legal matters.

  4. Misunderstanding share authority: The form requires specifying the number of shares. Be careful to state the correct amount and type of shares you intend to issue.

  5. Neglecting the agent for service: The Secretary of State must be designated as the agent. Failing to do so can result in legal complications for the corporation.

  6. Omitting the incorporator's information: The form requires the name, signature, and address of the incorporator. Missing any of this information can lead to rejection.

  7. Incorrect filing fee: The fee for filing is $125. Submitting an incorrect amount may delay processing. Always double-check the fee before sending.

  8. Filing without legal guidance: While not mandatory, it’s advisable to consult with an attorney. Legal documents can be complex, and guidance can prevent mistakes.

  9. Using outdated forms: Ensure you are using the most current version of the form. Outdated forms may not be accepted, leading to unnecessary delays.

Documents used along the form

When incorporating a business in New York, various forms and documents may accompany the New York Certificate of Incorporation. Each of these documents serves a unique purpose in ensuring compliance with state regulations and facilitating the smooth operation of the newly formed entity. Below is a brief overview of four commonly used forms.

  • Bylaws: These internal rules govern the management of the corporation. Bylaws outline the responsibilities of directors and officers, the process for holding meetings, and the procedures for making decisions. While not filed with the state, they are essential for guiding corporate operations.
  • Certificate of Amendment: If changes need to be made to the original Certificate of Incorporation, such as altering the corporate name or the number of authorized shares, a Certificate of Amendment must be filed. This document ensures that any modifications are officially recognized by the state.
  • Initial Report: Some states require an initial report to be filed shortly after incorporation. This report typically includes basic information about the corporation, such as its address and the names of its officers and directors. While New York does not require this, it may be beneficial for internal records.
  • Employer Identification Number (EIN) Application: An EIN is necessary for tax purposes and is required for hiring employees. The application can be submitted online through the IRS website. Obtaining an EIN is a crucial step in establishing the corporation's financial identity.

Each of these documents plays a vital role in the establishment and operation of a corporation in New York. Ensuring that all necessary forms are completed and filed correctly can facilitate a smoother incorporation process and help avoid potential legal issues down the line.

Similar forms

The New York Certificate form is similar to several other legal documents that serve specific purposes in the business and corporate landscape. Below is a list of documents that share similarities with the New York Certificate form:

  • Articles of Incorporation: This document is also used to establish a corporation. Like the New York Certificate, it outlines the corporation's name, purpose, and structure.
  • Certificate of Formation: Similar to the New York Certificate, this document is used in some states to officially create a corporation or LLC. It includes key details about the entity.
  • Bylaws: While not a filing document, bylaws govern the internal management of a corporation. They complement the New York Certificate by detailing how the corporation will operate.
  • Operating Agreement: For LLCs, this document outlines the management structure and operational procedures. It serves a similar purpose to bylaws for corporations.
  • Certificate of Good Standing: This document verifies that a corporation is compliant with state regulations. It is often required for business transactions and shares similarities in proving legitimacy.
  • Business License: A business license allows a corporation to operate legally within a jurisdiction. Like the New York Certificate, it is essential for formal business operations.
  • Partnership Agreement: This document outlines the roles and responsibilities of partners in a business. It serves a similar function to bylaws for partnerships.
  • Trademark Registration: While focused on intellectual property, this document protects a corporation's brand. It is similar in that it formalizes an aspect of the business structure.

Dos and Don'ts

When filling out the New York Certificate form, it’s essential to approach the task with care. Here are some important dos and don’ts to keep in mind:

  • Do ensure that the corporate name is unique and complies with state regulations.
  • Do provide a clear purpose for the corporation that aligns with lawful activities.
  • Do specify the county where the corporation's office will be located.
  • Do include the correct number of shares and their value in the form.
  • Do designate the Secretary of State as the agent for service of process.
  • Don’t forget to include your name and address as the incorporator.
  • Don’t use this form if you are a corporation or business entity acting as the incorporator.
  • Don’t neglect to pay the filing fee of $125; checks should be made out to the Department of State.
  • Don’t assume that this form contains all optional provisions; consider consulting an attorney for guidance.

By following these guidelines, you can help ensure that your Certificate of Incorporation is completed accurately and efficiently. Taking the time to review each section carefully will save you from potential setbacks later on.

Misconceptions

Understanding the New York Certificate form is essential for anyone looking to incorporate a business in the state. However, several misconceptions often cloud this process. Here are five common myths and the truths behind them:

  • Myth 1: The Certificate of Incorporation is the only document needed to form a corporation.
  • While the Certificate of Incorporation is a crucial step, it is not the only document required. Additional filings and compliance with state regulations are necessary to fully establish your corporation.

  • Myth 2: You must use the state-provided form to incorporate.
  • This is not true! You can draft your own Certificate of Incorporation or use forms from legal stationery stores. The state form is simply a guideline.

  • Myth 3: Incorporation can be completed without any legal assistance.
  • Although it's possible to file without an attorney, it is highly recommended to seek legal guidance. An attorney can help ensure that your documents meet all legal requirements and that you are aware of your responsibilities as a business owner.

  • Myth 4: The incorporator can be a corporation or business entity.
  • This is a misconception. The incorporator must be a natural person. This means that only an individual can file the Certificate of Incorporation on behalf of the new corporation.

  • Myth 5: The filing fee is negotiable.
  • The fee for filing a Certificate of Incorporation in New York is set at $125. This amount is fixed, and checks must be made payable to the Department of State.

By understanding these misconceptions, you can navigate the incorporation process with greater confidence and clarity. Always consider seeking professional advice to ensure that you meet all legal requirements and make informed decisions for your business.

Key takeaways

When filling out and using the New York Certificate form, keep these key takeaways in mind:

  • Corporate Name: Clearly insert the name of the corporation in the designated area.
  • Purpose Statement: Specify that the corporation will engage in lawful activities as permitted by the Business Corporation Law.
  • Office Location: Indicate the county where the corporation's office will be located.
  • Share Structure: The corporation can issue one class of shares, which consists of 200 common shares without par value.
  • Agent for Service: The Secretary of State will act as the agent for the corporation, where legal documents can be served.
  • Incorporator Requirements: The incorporator must be a natural person, not a corporation or business entity.
  • Filing Fee: Be prepared to pay a filing fee of $125, payable to the Department of State.
  • Preparation Guidance: Consider having an attorney review the document to ensure compliance with legal standards.
  • Optional Provisions: This form does not include all optional provisions under the law; you may draft your own if needed.
  • Filer Restrictions: The filer cannot be the corporation being formed; they must be a separate individual.

Following these guidelines can help streamline the incorporation process in New York.