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Substitute Ordinance.', dated February 18, 2016
SUBSTITUTE ORDINANCE
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF CHICAGO:
SECTION I, Title 17 of the Municipal Code of Chicago, the Chicago Zoning Ordinance, is hereby amended by changing all ofthe Residential-Business Planned Development Mo. 1169 symbols and indications as shown on Map No. 8-E in the area bounded by
Ihe property is generally bounded as follows: The southern boundary of Hast 31st Street; the western boundary of South Rhodes Avenue; a line 164.87 feet north of and approximately parallel to the north boundary of East 32nd Street; the west line of the Illinois Central Railroad right-of-way; a line 257.26 feel south of and approximately parallel to the south boundary line of East 33rd Street; a line 205.44 feet west of the west line ofthe Illinois Central Railroad right-of-way line (as measured along the south boundary line of East 33rd Street); the north boundary line of East 33rd Street; the west boundary line of South Cottage Grove Avenue; the north boundary line of East 35th Street, the east boundary line of South Dr. Martin Luther King, Jr. Drive; a line 368.79 feel north of and approximately parallel to the north boundary line of East 32nd Street; the north boundary line of East 31st Place; and the east boundary line of South Vernon Avenue, in Chicago, Illinois.
to those of Residential-Business Planned Development No. 1169, as amended.
SECTION 2. This ordinance shall be in force and effect from and after its passage and approval.
Common Address: 3401 to 3453 South Dr. Martin Luther King Drive and 400 to 506
East 35lh Street
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RESIDENTIAL-BUSINESS PLANNED DEVELOPMENT NO. 1169, AS AMENDED PLAN OF DEVELOPMENT STATEMENTS
The area delineated herein as a Residential-Business Planned Development No. 1169, as amended (the "Planned Development") consists of approximately 3,063,969 square feet of Net Site Area (approximately 70.34 acres) of property (the "Property'"), together with certain portions of existing rights of way, as depicted on the Planned Development Boundary and Property Line Map, as defined in Statement No. 4(a). The Property is owned or controlled by Lake Meadows Associates, an Illinois limited partnership (the "Applicant"). The Planned Development is divided into Subareas (each, a "Subarea," and collectively, the "Subareas"), as indicated on the Subarea Map, as defined in Statement No. 4(a). The purpose of this amendment to the Planned Development is to (a) secure Final Subarea Plan approval for Subarea A2 and to secure Site Plan Review approval for Parcel 1.1 of Block 1 of Subarea A2 and (b) make certain revisions to these Statements in recognition of revised development program sequence for the Planned Development. The Applicant owns or controls Subarea A2.
All applicable official reviews, approvals or permits are required to be obtained by the Applicant. These Planned Development Statements do not obligate the City of Chicago ("City") to establish any public rights-of-way, accept or maintain any open space, detention or site buffer areas, construct any public improvements, or finance the construction of any improvements. Any dedication, opening or vacation of streets, alleys or easements or adjustments of rights-of-way or consolidation or re-subdivision of parcels shall require a separate submittal on behalf of the Applicant and approval by the Commissioner of the Department of Transportation ("CDOT") and the City Council of the City of Chicago (the "City Council"). Any required City Council approvals must be obtained prior to issuance of any Part II approval. Applicant shall have the right to seek approval in phases for any or all of the foregoing approvals. In connection with planning for any Subarea, adjustments in the location, width and configuration of the rights-of-way illustrated on the Rights-of-Way Adjustment Map, as defined in Statement No. 4(a), may be approved by the Zoning Administrator of the Department of Planning and Development (the "Department") as a minor change to this Planned Development, provided such adjustments (a) do not result in a change in the character of this Planned Development in accordance with the requirements of Section 17-13-0611 of the Chicago Zoning Ordinance, (b) are set forth in a plat of subdivision, dedication, opening or vacation, or comparable plat or instrument, as applicable, that has been submitted by Applicant for approval by CDOT, the Department and by the City Council at the time of request for such adjustments (and approved by CDOT and the City Council prior to the issuance of any Part II approval), and (c) shall not be deemed to confer any additional bulk, density or other development.
The requirements, obligations and conditions contained within this Planned Development shall be binding upon the Applicant and its successors, assigns and grantees. All rights granted hereunder to the Applicant shall inure to the benefit of the Applicant's successors, assigns and grantees (including any condominium or homeowners' association which may presently exist or hereafter be formed). References in this
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Planned Development to "Applicant" shall mean and include as applicable the Applicant's successors, assigns and grantees. The requirements of Section 17-8-0400 of the Chicago Zoning Ordinance shall apply to the Property. The Subareas (and, if subsequently designated on any Final Subarea Plan, any subparcels designated thereon), shall be deemed specifically delineated subareas and subparcels for purposes of Section 17-8-0400 ofthe Chicago Zoning Ordinance, provided, however, that for so long as Lake Meadows Associates ("LMA") owns or controls any part of the Property, any application to the City for any such changes or modifications (administrative, legislative or otherwise) must in all cases be authorized by the LMA or its express designee. Where portions of the improvements located on the Property have been or are hereafter submitted to the Illinois Condominium Property Act or any similar common interest community statute, or made subject to a private declaration governing a homeowners association, the term "owner" shall be deemed to refer solely to the condominium association, common interest community or homeowners association of such owners of such portions of the improvements and not to the individual unit owners therein. Nothing herein shall prohibit or in any way restrict the alienation, sale or any other transfer (a "Transfer") of all or any portion of the Property or any rights, interests or obligations therein by the Applicant or any owner. Any party making application shall have the burden of establishing to the reasonable satisfaction ofthe Department that the consent of LMA (or its express designee) has been obtained, assigned or irrevocably waived. Upon any Transfer of all or any portion of the Property or the rights therein (other than a mortgage lien or security interest) and solely with respect to the portion of the Property so transferred, the term "Applicant" shall be deemed amended to apply solely to the transferee thereof (and its beneficiaries if such transferee is a land trust); provided, however, that the right of LMA (or its express designee) to authorize future amendments, modifications or other changes (administrative, 'legislative or otherwise) to this Planned Development shall not be deemed to be amended or transferred unless the Applicant assigns such rights to the transferee in writing or otherwise irrevocably waives such rights. Nothing in this Statement 2 shall be construed in derogation of Section 17-1-1003 • of the Zoning Ordinance.
4. This Planned Development consists of twenty (20) statements, and the following exhibits attached hereto (collectively the "Design Exhibits"):
(a) Planned Development Exhibits: Master Bulk Regulations and Data Table, prepared by the Applicant and dated February 18, 2016; Existing Zoning Map; Existing Land-Use Map; Planned Development Boundary and Property Line Map; Generalized Land-Use Plan; Site Plan; Landscape Plan; Subarea Plan; Subarea Maximum Height Plan; Subarea Maximum Floor Area Ratio/Dwelling Units Plan; Public Roadway Plan; Vacations/Dedications Plan; Vehicular Access and Circulation Plan; Traffic Improvements Staging Plan; Typical Roadway Cross-Sections; and Open Space Plan, all prepared by the Applicant and dated May 20, 2010.
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Subarea Exhibits:
Subarea Exhibits (Al. A3. Bl. B2, 133. D and El: Subarea Use, Bulk and Data Table; Surrounding Area Context; Existing Conditions/Site Location; Future Development Context; Existing Development Context; Public and Private Roadways; Pedestrian Circulation; Development Parcels and Blocks; Overall Building, Setback and Curb Cut Dimension; Buildings; Illustrative Massing Diagram; Parking and Loading, Open Space and Landscaping; Traffic Improvements; Vacations and Dedications; Maximum Building Envelope and Height; North and South Illustrative Elevations; East and West Illustrative Elevations; Building Materials; Facade Concepts; and Chicago Builds Green Form (Subarea Al only), all prepared by the Applicant and dated May 20, 2010.
Subarea Exhibits (A2): Subarea Use, Bulk and Data Table; Surrounding Area Context; Existing Conditions/Site Location; Future Development Context; Existing Development Context; Public and Private Roadways; Pedestrian Circulation; Development Parcels and Blocks; Overall Building, Setback and Curb Cut Dimension; Buildings; Illustrative Massing Diagram; Parking and Loading, Open Space and Landscaping; Traffic Improvements; Vacations and Dedications; Maximum Building Envelope and Height; North and South Illustrative Elevations; East and West Illustrative Elevations; Building Materials;
Facade Concept, all prepared by OKW Architects and dated February , 2016
(the "2016 Subarea A2 Design Exhibits"). The Design Exhibits for Subarea A2 set forth in the June 30, 2010 City Council Journal of Proceedings pages 95862 to 95864 (inclusive) and pages 95913 to 95930 (inclusive) are hereby deleted and replaced with the 2016 Subarea A2 Design Exhibits.
Subarea C Exhibits: Subarea Use, Bulk and Data Table; Surrounding Area Context; Existing Conditions/Site Location; Existing Development Context; and Traffic Improvements, all prepared by the Applicant and dated May 20, 2010.
It is acknowledged that certain Subarea Design Exhibits may depict conditions and/or improvements in a separate Subarea and that such depictions of periphery conditions and/or improvements in adjacent Subareas are for illustrative purposes only unless the context clearly provides otherwise. Notwithstanding, where the Applicant makes modifications to one or more Subarea Design Exhibits, Applicant shall not be required to modify Design Exhibits for those Subareas that are not the principal subject of the proposed modifications.
Site Plan Exhibits
(i) (Parcel A1-1.4V. Site Plan; Landscape Plan; Roof Plan/Green Roof; Building Elevations; Building Sections; Vehicular and Service Access; Development Parcels and Blocks; Overall Building, Setback and Curb Cut Dimensions; Public and Private Roadways; Pedestrian Circulation; North and South Illustrative Elevations; East and West Illustrative Elevations; and Facade
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Concepts, all prepared by prepared by Camburas and Theodore, Architects, dated May 20, 2010.
(ii) (Parcel A2-1.H: Site Plan; Landscape Plan; Roof Plan/Green Roof; Building Elevations; Building Sections; Vehicular and Service Access; Development Parcels and Blocks; Overall Building, Setback and Curb Cut Dimensions; Public and Private Roadways; Pedestrian Circulation; North and South Illustrative Elevations; East and West Illustrative Elevations; and Facade Concepts, all prepared by prepared by ORW Architects, dated February 18,2016.
(d) Minor Change Approvals. In addition to the plans and exhibits referenced in Statement 4(a) to 4(c), that certain response to Building Renovation and Signage Plan request, dated September 6, 2013, grant of Signage Approval Request, dated September 18, 2013, grant of Administrative Relief Request, dated September 11, 2013, and grant of Administrative Relief Request, dated December 5, 2014 are all incorporated herein and made a part hereof.
¦(e) The intent of this amendment is to1 revise the Planned Development Statements, the Use, Bulk and Data Subarea A2, and the Design Exhibits applicable to Subarea A2 in order to recognize and provide for approval of a Final Subarea Plan for Subarea A2. It is the further intent'that the Planned Development Statements, use, bulk and regulation provisions^ and the Design Exhibits for all Subareas other than Subarea A2 remain in full force and:effect as approved as of June 30, 2010: Moreover, references herein to one or more Design Exhibits with the pre-cursor 2010 (e.g., 2010 Subarea Map) shall be deemed to refer to that specific Design Exhibit approved as of June 30, 2010, as the context requires.
(f) Full size copies of the Design Exhibits are on file with the Department. References in these Statements to the "Planned Development"shall be deemed to include the aforementioned Design Exhibits. This Planned Development conforms to the intent and purpose of the" Chicago Zoning Ordinance and satisfies the established criteria for approval as a Planned Development. In the case of any express conflict between the terms of this Planned Development, and the Chicago Zoning Ordinance, this Planned Development shall apply. Absent an express conflict, the terms ofthe Chicago Zoning Ordinance shall'apply to reviews, determinations and approvals under these Statements . and to''improvements':to the Property. Irt any instance where a;provision ofthe Planned Development conflicts with the Chicago Building'Code, the Building Code shall control.
5. The maximum floor area ratio ("FAR") and number of dwelling units permitted in each Subarea are set forth in the Master Bulk Regulations and Data Table. The permitted uses, floor area ratio, number of dwelling units, building height, setbacks, parking and bicycle parking requirements for each Subarea are set forth in each Subarea's Use, Bulk and Data Table included in the Design Exhibits, and as further explained in the notes to each of such tables. For the purposes of calculations or measurements pertaining to the foregoing, the applicable definitions in the Chicago Zoning Ordinance shall apply. The Property was zoned B3-5 immediately prior to the City Council's adoption of this Planned Development.
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Changes in the boundaries of Subareas shall require an amendment to these Statements in accordance with the review and approval procedures in Section 17-13-0602 through Section 17-13-0610 ofthe Chicago Zoning Ordinance.
On-premise signs and temporary signs such as construction and marketing signs shall be permitted within the Planned Development subject to the review and approval of the Department. Off-premise signs arc prohibited within the boundaries of the Planned Development.
For purposes of height measurement, the definitions in the Chicago Zoning Ordinance shall apply. The height of any building or improvement shall also be subject to height limitations established by the Federal Aviation Administration.
All ingress and egress shall be subject to the review and approval of the Chicago Department of Transportation ("CDOT") and the Department. Closure of all or any public street or alley during demolition or construction, and the conditions and timing for acceptance of any new public roadways or improvements that are to be constructed and dedicated, shall be subject to the review and approval of CDOT. All work proposed in the public way must be designed and constructed in accordance with the CDOT Construction Standards for Work in the Public Way and in compliance with the Municipal Code of the City of Chicago, and must be designed in accordance with the CDOT Street and Site Plan Design Standards and follow the principles and practices of a Complete Streets design approach where practical and appropriate.
Any dedication or vacation of public streets, alleys or easements, any subdivision or any other adjustments of the public rights-of-way contained within a particular Part 11 submittal (collectively "Public Way Adjustments") shall be approved by City Council prior to the issuance of any final Part II approval. Subject to the foregoing, the City's election to defer the dedication of any land, or the dedication and acceptance of any new public roadways or improvements until the same have been fully constructed and approved, shall not otherwise delay or prevent the Department's issuance of any Part II approval.
In connection with the Applicant's submittal of any plats, Final Subarea Plans and Site Plans in accordance with Statement 10 below, CDOT shall finally determine what means of ingress and egress are required, what public rights-of-way are required, and what public way improvements must be constructed as part of any project in any given Subarea (including any improvements required outside of such Subarea, but impacted or integrally related to such Subarea's project and the public improvements associated therewith). The term "project" as used in this Planned Development shall mean the subject of an application for Site Plan approval, which may consist of one or more buildings, unless the context indicates otherwise.
Applicant, at its own expense, agrees to provide traffic impact studies, pay for the services of professional engineering services, and pay for the cost of third party construction inspection services to assist CDOT in its review and approval of any plats, Final Subarea Plans, and Site Plan submissions (which approvals shall be a condition
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precedent to the Department's issuance of any applicable Part II approval). CDOT must approve the applicable consultant, which shall report to CDOT. Recommended traffic and engineering measures shall be included in the design review process and implemented.
(d) A minimum of two percent (2%) of all parking spaces provided pursuant to this Planned Development shall be designated and designed for parking for the handicapped.
10. This Statement 10 describes the procedures and approvals that shall govern the review and approval by the Department and, when applicable, the review and approval of the Chicago Plan Commission or the City Council, or both the Chicago Plan Commission and the City Council; whenever the Applicant undertakes any development project on the Property.
(a) Final 'Subarea P lan.
At the time the first development project in a given Subarea (or one or more Subareas) is undertaken, the Applicant shall file with the Department a final subarea plan which includes the information set forth below, (the "Final Subarea Plan") for such Subarea(s) along with an application for Site Plan Review pursuant to Statement 10(b) hereof. Such filing requirements shall not apply to Subarea Al, which was approved as part of this Planned Development on June 30, 2010. Such filing requirements also shall not apply to Subarea A2 which is being approved as. part of this amendment to the Planned Development. The Final Subarea Plan shall govern such first development project and, unless amended pursuant to this Statement 10(a), all subsequent development projects thereafter constructed in such Subarea.
The Final Subarea Plan filing shall include the following:
A dimensioned Subarea Plan including the following with respect to such • Subarea (and any subparcels designated therein, if any):
All public rights of way that are proposed to be dedicated or opened, and all.private rights of way;
Dimensioned setback lines;
All off-street parking and service areas, both accessory and non-accessory;
All open space, site buffer, detention and recreational facilities;
Sites for any schools, libraries, police stations or other public facilities, if any; and
Dimensioned green roof plans, as set forth in Statement 14.
A detailed, dimensioned Subarea site plan including:
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All sidewalks (including the width of paved surfaces);
All roads, streets, alleys (all identified as public or private), including the right of way width, the width of paved surfaces, street intersection details, and all curb cuts;
Dimensioned building sites, dimensioned setback lines, the proposed use of each building site, and indication of the maximum building height, F.A.R. and residential unit count for each building site;
All off-street parking and service areas, both accessory and non-accessory; and
Fully dimensioned parking plans, loading areas, and landscape plans (which landscaping may be planned and constructed in ' phases).
Preliminary engineering plans including the following:
Sanitary and storm sewer lines and systems (identified as public or private);
Water lines and water supply systems (identified as public or private); and
Street lighting (identified as public or private) and lighting systems.
Illustrative Subarea building elevations and locations for all of the buildings to be constructed in such Subarea including the following:
Illustrative elevations for all buildings to be located within the applicable Subarea (including axonometric or 3-D exhibits), which buildings shall be consistent with the floor area ratio, building height, dwelling unit, setback and parking space requirements permitted or required in the applicable Subarea.
Although final elevations for the buildings to be constructed shall not be required at the Final Subarea Plan approval stage except for the building requesting site plan approval, the massing, the entrances, and maximum building heights and window design should be addressed, and depictions and explanations provided describing how the buildings to be constructed incorporate the pedestrian-orientation, urban design, building design and green design standards and guidelines set forth in Sections 17-8-0905, 17-8-0906, 17-8-0907 and 17-8-0908 of the Chicago Zoning Ordinance, respectively.
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(v) For the Final Subarea Plan for Subarea D only, the information required under Statement 17(e).
The Final Subarea Plan shall be submitted and processed as an amendment to the Planned Development pursuant to Section 17-13-0602 through Section 17-13-0610 of the Chicago Zoning Ordinance. As such, the Final Subarea Plan shall be subject to the review and approval of the Department and such other bureaus, departments or agencies as the Commissioner deems appropriate;(which may include, but are not limited to, CDOT, the Department of Water Management ("DWM"), the Fire Department and the Mayor's Office on Persons With Disabilities ("MOPD") (as applicable, the "Affected City Departments"), the Chicago Plan Commission, the Zoning Committee and the City Council, as described in such Section 17-13-0602 through Section 17-13-0610. Each Final Subarea Plan submitted shall propose "sunset" requirements applicable to such Subarea for City Council approval and for the continued effectiveness of this Planned Development as to Subareas where the zoning of this Planned Development remains subject to lapse and voiding. A Final Subarea Plan must be approved prior to, or concurrently with, the approval of any Site Plans submitted and processed pursuant to Statement 10(b) below.
(b) Site Plans. Site Plan Review shall be required for all projects undertaken in furtherance ofthe Planned Development and the Filial Subarea Plan in accordance with the provisions hereof, excluding Site Plan review for the Subarea Al-1.4 project described . in Statement No. 4 (c)(i). which was approved as part of the Planned Development on June 30, 2010 and the Subarea A2-1.1 project described in Statement No. 4(c)(ii), which is being approved as part of this Planned Development. No Site Plan approval shall be required for alterations to existing buildings that do not increase their height or alter their footprint and no Site Plan approval shall be required for demolition or site work. In addition to the data referenced below, the Applicant shall provide an exhibit showing lot sizes and boundaries for such project. The Applicant shall also provide a Site Data Table for such project containing, for each Subarea and subparcel, if any, the following:
i. the Gross Site Area;
"ii. the Net Site Area;
the square feet of floor area of each proposed building;
the amount of F.A.R. utilized out of the maximum F.A.R. permitted in
such Subarea;
the height of each building to be constructed and the maximum allowable height permitted under the Design Exhibits applicable to such Subarea;
the number of dwelling units to be constructed and the maximum number of dwelling units permitted under Design Exhibits applicable to such Subarea;
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the front, rear and side setbacks for each building and the setbacks required under the Design Exhibits applicable to such Subarea;
the site area attributable to all residential open space, if applicable; and
The number of parking spaces to be provided and the minimum and maximum number of parking spaces required under the Subarea Use, Bulk and Data Table, as applicable.
Except to the extent previously depicted in (and unchanged from) the applicable Final Subarea Plan, the Applicant shall also provide site plan documents illustrating: all building location(s); curb cuts; sidewalks; parking and loading areas; landscaping, lighting and signs; fencing and outdoor storage areas; and waste storage and compacting facilities. A map of surrounding land uses and buildings for a distance of one block in all directions also must be provided. Final elevations must be provided for the proposed building(s). Building materials for the proposed building(s) must also be specified.
Under Chapter 2-45-115(b) of the Municipal Code (the "ARO"), the City Council's approval of this Planned Development amendment does not constitute a "Rezoning of Property" as that term is defined in the ARO. Accordingly, the Applicant is subject to the provisions of Section 2-45-110 of the ARO. Pursuant to Section 2-45-110, the Applicant is obligated to either (i) establish at least ten percent (10%) of the residential dwelling units constructed after the date of such approval on the Property as affordable housing within the meaning of, and as governed by, the ARO or; (ii) in lieu of establishing such affordable housing, the Applicant may make payments in accordance with the requirements of Section 2-45-110(d)(1) of the ARO. As part of the Site Plan review and approval process for any application proposing the construction of a building containing residential dwelling units, the Applicant shall also provide, for the review and approval of the Department (or any successor department thereto), such information, documents and agreements as may be required under the ARO to assure that such required affordable housing units are provided and maintained or, in lieu thereof, that such payments are provided.
The Site Data Table shall also incorporate a Chicago Builds Green Form/Sustainable Features table showing the "green" features to be included in the proposed buildings. The Site Plan shall be subject to review and approval of the Department and such Affected City Departments as the Commissioner deems appropriate before issuance of any Part II approval for the subject project. The Site Plan must be in substantial compliance with both the Planned Development and the applicable Final Subarea Plan.
If, after City departmental review, the Commissioner determines that the Site Plan is in substantial compliance with both the Planned Development and the applicable Final Subarea Plan, and if any improvements contemplated by the Site Plan trigger or exceed any of the mandatory Planned Development thresholds set forth in Section 17-8-0500 of the Chicago Zoning Ordinance as applicable to the B3-5 zoning district, then the Site Plan must be reviewed by the Chicago Plan Commission, during a public meeting and
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shall not require review and approval by the City Council. The threshold for Tall Buildings under Section 17-8-0512-A of the Chicago Zoning Ordinance shall be 80 feet, irrespective of ground floor commercial space.
If such mandatory thresholds are not triggered, met or exceeded, then no Chicago Plan Commission review shall be required, and if, after City departmental review and where applicable, Plan Commission review, the Commissioner determines that the Site Plan is otherwise in substantial compliance with both the Planned Development and the applicable Final Subarea Plan, the Site Plan shall then be approved by the Commissioner. If, after City departmental review, the Commissioner determines that the Site Plan is not in substantial compliance with both the Planned Development and the applicable Final Subarea Plan, the Commissioner shall advise the Applicant in writing of how the Site Plan does not substantially comply with the Planned Development and/or the Final Subarea Plan. In such case, the Applicant shall be given an opportunity to submit revised Site Plans. If the Commissioner finally determines that the Site Plans, as the same may be revised, are not in substantial compliance with the Planned Development and/or the Final Subarea Plan, the Applicant then shall be required to amend the Final Subarea Plan in accordance with the review and approval procedures in Section 17-13-0602 through Section 17-13-0610 ofthe Chicago Zoning Ordinance in order to obtain approval of such Site Plans. After approval of a Final Subarea Plan and/or Site Plan, such Final Subarea Plans and Site Plans may be changed or modified pursuant to the requirements of Statement No. 14 hereof, if applicable.
The Applicant acknowledges that the City's approval of a Final Subarea Plan and/or Site Plan shall not be deemed to be an approval of a subdivision ofthe property. It shall be Applicant's responsibility to comply with the Illinois Plat Act, as and when required, and to obtain separate City Council approval of any required subdivision.
11. Approved Site Plans
On June 30, 2010, the Department approved the site plan for Subarea Al-1.4, consisting of the drawings and materials set forth in Statement No. 4(c) hereof, as in substantial compliance with the approved Subarea Al Final Subarea Plan. Additionally, the Subarea Al-Parcel 1.1.4 Site Plan represents the first project to be approved pursuant to the Subarea Al Final Subarea Plan. No further City Council or Department approval of the Subarea Al Final Subarea Plan shall be required for future projects submitted for Site Plan approval in Subarea Al; provided, however, that each such future project shall substantially comply with the approved Al Final Subarea Plan.
The Department hereby approves the site plan for Subarea A2-1.1, consisting of the drawings and materials set forth in Statement No. 4(c)(ii) hereof, as in substantial compliance with the approved Subarea A2 Final Subarea Plan. Additionally, the Subarea A2-1.1 Site Plan represents the first project to be approved pursuant to the Subarea A2 Final Subarea Plan. No further City Council or Department approval of the Subarea A2 Final Subarea Plan shall be required for future projects submitted for Site Plan approval in Subarea A2; provided, however, that each such future project shall substantially comply with the approved A2 Final Subarea Plan.
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The improvements on the Property shall be designed, constructed and maintained in substantial compliance with the Design Exhibits attached hereto.
Parkway and parking lot landscaping shall comply with the landscaping provisions of the Chicago Zoning Ordinance and Chicago Landscape Ordinance, unless specified otherwise in an approved Final Subarea Plan.
The Property shall be designed and constructed in accordance with the City of Chicago Regulations for Sewer Construction and Stormwater Management and Stormwater Management Ordinance Manual, latest editions. Any amendment to the City's storm water management requirements which the City adopts thereafter shall apply to the Property or the development thereof.
The Applicant, at the time of a project shall comply with Rules and Regulations for the Maintenance of Stockpiles promulgated by the Commissioner of the Department of Streets and Sanitation, the Commissioner of the Environment and the Commissioner of Buildings under Section 13-32-125 of the Municipal Code of the City of Chicago or any other provision of that Code.
(a) The Part II review fee for permits and licenses to be issued for projects in the Planned Development shall be the greater of $0.50 per square foot for the total buildable floor area (i.e., the current rate under Section 17-13-0610 of the Chicago Zoning Ordinance) or the then applicable per square foot charge (or other then applicable charge) at the time of such Part II review. Such fee shall be determined and assessed by the Department at the time of each and every Part II review, shall be applicable to all projects, whether undertaken by the Applicant or another developer, shall be final and binding and must be paid to the Department prior to issuance of any Part II approval.
Following Part II review and approval by the Commissioner, the Department shall keep such approved plans and elevations on permanent file and they shall be deemed to be an integral part of this Planned Development.
The Applicant acknowledges that it is in the public interest to design, construct and maintain the project in a manner which promote and enable universal access throughout the Property in accordance with all laws.
Plans for all buildings and improvements on the Property shall be reviewed and approved by the Mayor's Office for People with Disabilities to ensure compliance with all applicable laws and regulations related to access for persons with disabilities and to promote accessibility in accordance with all laws.
Any interim reviews associated with Site Plan approvals or Part II reviews, are conditional until final Part II approval.
Subject to the other terms and conditions of these Statements, including specifically, but without limitation, Statement 10's filing, review and approval requirements, the terms, conditions and exhibits of this Planned Development may be modified administratively by the Commissioner: (i) upon application and a determination by the Commissioner in
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accordance with the minor change provisions and standards of Section 17-13-0611 ofthe Chicago Zoning Ordinance (provided, however, that Section 17-13-0611-A.2 and A.3 shall be separately tested on a Subarea basis, without taking into account the Net Site Area of or dwelling units permitted in other Subareas or the Planned Development as a whole); and (ii) provided such modification, and the improvements contemplated thereby, are consistent with the character ofthe Planned Development and the applicable Final Subarea Plan. Any such modification shall be reviewed and approved through the minor change provisions of Section 17-13-0611 ofthe Chicago Zoning Ordinance.
The Applicant acknowledges that it is in the public interest to design, construct and renovate all buildings in a manner which provides healthier environments, reduces operating costs and conserves energy and resources. All development in any Subarea shall conform to the City of Chicago's "Sustainable Development Policy Matrix" in effect on the date of submittal of Site Plans pursuant to this Planned Development.
Open Space B2-2.1, as set forth in the Subarea Plan for Subarea B2, consists of 153,655 square feet (approximately 3.53 acres), and Open Space E-l.l, as set forth in the Subarea Plan for Subarea E, consists of 86,822 square feet (approximately 2.0 acres). Open Space B2-2.1 and Open Space E-l.l shall be dedicated to the Chicago Park District ("CPD") and the parks" and improvements thereon must be designed and constructed to CPD standards. Any conveyance of such open space to the CPD shall be subject to the approval of the CPD and a resolution or ordinance issued by the CPD Board of Commissioners must be provided to the Department to evidence such dedication, conveyance and acceptance.
(a) The Applicant shall have substantially completed installation; and made publicly available, either Open Space B2-2.1 (located in Subarea B2) or Open Space E-l.l (located in Subarea E), no later than 12 months after the date that Part II approval has been issued for 2,354 or more new dwelling units (30% of total permitted units) since the date of adoption of this Planned Development. The date of completion as aforesaid shall be subject to a six month extension as necessary to accommodate the growing'season.
The Applicant shall have substantially completed installation, and made publicly available, either Open Space B2-2.1 (located in Subarea B2) or Open Space E-l.l (located in Subarea E), whichever was not installed pursuant to Statement 17(a) above, no later than the date that is 12 months after the date that Part II approval has been issued for 4,707 or more new dwelling units (60% of total permitted units) since the date of adoption of this Planned Development. The date of completion as aforesaid shall be subject to a six month extension as necessary to accommodate the growing season.
The location, configuration and boundaries of Open Space A3-1.2 (consisting of 0.8 acres) and Open Space E-2.3 (consisting of 0.7 acres), as depicted in the applicable Design Exhibits, are preliminary. So long as the minimum amount of site area attributable to each such Open Space remains substantially as required above, the location, configuration and boundaries of each may be modified at the election of the Applicant, with the concurrence of the Department; provided, however, that each such Open Space, as its location, configuration or boundary may have been modified, shall be
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located wholly within its applicable Subarea or adjacent Subarea. Any such modifications shall be reflected in the applicable Site Plan approvals, when and as submitted for such approval. The Open Spaces described in this Statement 17(c) shall be clearly lit and signage shall be appropriately placed indicating the site is publicly accessible from sunrise to sunset. The Applicant shall be responsible for all development, management, maintenance repair and replacement costs associated with the such Open Spaces.
The Applicant shall have substantially completed installation, and made publicly available:
Open Space E-2.3 (consisting of 0.7 acres), located in Subarea E, not later than 24 months after issuance of Part II approval for any buildings in Parcel 2.2 having in aggregate not less than 449,962 square feet (i.e., 30% of Parcel 2.2's floor area as specified in Subarea E's Use, Bulk and Data Table).
Open Space A3-1.2 (consisting of 0.8 acres), located in Subarea A3, not later than 24 months after issuance of Part II approval for buildings in Parcels 1.1, 1.3 and 1.4 having in aggregate not less than 421,379 square feet (i.e., 30% of the total combined floor area attributable to Parcels 1.1, 1.3 and 1.4, as specified in the Subarea A3's Use, Bulk and Data Table).
The dates of completion as aforesaid shall be subject to a six month extension as necessary to accommodate the growing season.
Nothing in this Planned Development shall preclude the Applicant from seeking and obtaining Open Space Impact Fee Credits for any Qualifying Open Space pursuant to the Open Space Impact Fee Administrative Regulations and Procedures promulgated by the Commissioner pursuant to Section 16-18-110 of the Municipal Code of Chicago and the "Notice to Residential Developers Regarding New Open Space Impact Fees", last revised by the City on April 6, 1998, as either may be amended from time to time.
As part of the Final Subarea Plan for Subarea D, the Applicant shall provide preliminary engineering drawings and such other information as the Department may reasonably require to evidence the design, elevations and plans for the construction of the public pedestrian bridge and footpath (the "33rd Street Improvements") depicted in the Subarea D exhibits, including, without limitation, the CPD's approval of such designs, elevations and plans. The Applicant shall be obligated to substantially complete construction of the 33rd Street Improvements within 24 months of the issuance of Part II approval for the third high-rise building in Subarea D. No Part IT approval for a fourth high-rise building in Subarea D shall be issued until construction of the 33rd Street Improvements has substantially commenced. If the Applicant, however, after 12 months of diligent and good faith efforts at the Applicant's own expense, certifies in writing to the Department that the Applicant has been unable to secure the real property interests, governmental approvals, and third party approvals and agreements necessary to construct the 33rd Street Improvements, then, in lieu of constructing such improvements, the Applicant may instead substantially commence construction of the open space required under Statement 17(a) (if it has not previously been constructed) or Statement 17(b) (if
13
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the open space required under Statement 17(a) has been previously constructed) within 24 months of the issuance of Part II approval for the third high-rise building in Subarea D. Upon such substantial commencement of construction (and assuming that the Applicant does not thereafter cease or abandon such construction efforts, but thereafter diligently constructs such open space), the Applicant shall be entitled to obtain Part If approval for the fourth high-rise building in Subarea D.
As of the original date of adoption of this Planned Development (i.e., June 30, 2010), the various portions of the Property (now defined as Subareas Al, A2, A3, Bl, B2, B3, C, D and E) are improved with existing improvements and operated with existing uses. Subarea C is improved with, among other things, multiple townhouses, single family homes and a condominium building containing dwelling units; and the owners, ground lessees and operators of Subarea C use said improvements and conduct other uses and operations within Subarea C (collectively, the "Subarea C Uses and Improvements"). The remaining portions of the Property are improved with, among other things, multiple residential buildings containing nearly 2,000 residential dwelling units, multiple commercial and retail buildings and surface parking lots; and the owners and operators of these portions of the Property use said improvements and conduct other uses and operations within said portions of the Property (collectively, the "Lake Meadows Uses and Improvements"). (The Subarea C Uses and Improvements and the Lake Meadows Uses and Improvements may collectively be referred to herein as the "Existing Uses and Improvements"). Changes to the Existing Uses and Improvements shall be subject to the terms of this Planned Development.
The FAR and number of dwelling units attributable to buildings existing on the Property
on the original date of this Planned Development (i.e., June 30, 2010) shall, until the
demolition of any such buildings, continue to be included in the calculations of maximum
FAR and dwelling units. If the FAR or number of dwelling units of an existing building
located in a given. Subarea is less than allowed Subarea, then new FAR and/or
dwelling units, as the case may be, shall be allowed in such Subarea up to the applicable
maximums. If the FAR or number of dwelling units of any existing building(s) in
Subarea Bl is equal to or more than such Subarea's applicable maximums under this
Planned Development, then no new FAR or dwelling units, as the case may be, may be
constructed in such Subarea until sufficient FAR and dwelling units are removed so as to ¦
permit the construction of new dwelling within the limitations set forth' in this Planned
Development applicable to Subarea Bl. Notwithstanding the foregoing, a maximum of
50 new. dwelling units shall be permitted within that portion of Subarea B l bounded by
the northern boundary of Subarea B1 (Olivet Baptist Church); the north-south alley east
of Martin Luther King Drive; East 33rd Street; and Martin Luther King Drive. A
sufficient amount of FAR to accommodate such new dwelling units shall also be
permitted.
(a) This Planned Development shall lapse and be null and void unless Substantial Construction (as defined below) has occurred in Subarea Al and Subarea A2 within six (6) years of the date of the City Council's approval of this Planned Development amendment (as such date may be extended pursuant to Statement 20(d) below, the "Initial Expiration Date"). "Substantial Construction" shall mean and be evidenced by the (i)
14
issuance of Part II approvals; (ii) commencement of substantial construction; and (iii) the continued proceeding of such construction with reasonable diligence for not less than 50,000 gross square feet of improvements in Subarea Al and 70,000 gross square feet of improvements in Subarea A2 (it being acknowledged that the Applicant has already completed 60,000 square feet of improvements in Subarea A2 as ofthe date hereof which improvements are labeled as "existing" on the Subarea A2 Buildings exhibit). The Applicant shall supply the Department with such documents requested as may be reasonably necessary to evidence compliance with such Substantial Construction requirements (such requirement, the "Substantial Construction Requirements").
If the Substantial Construction Requirements set forth in Statement No. 20(a) are not satisfied by the Initial Expiration Date, then this Planned Development shall thereafter lapse and become void and the zoning classification of the entire Property shall automatically revert to the B3-5 zoning classification in place immediately prior to the passage of this Planned Development.
If the Substantial Construction Requirements set forth in Statement No. 20(a) are satisfied by the Initial Expiration Date, then (1) the zoning established pursuant to this Planned Development for Subarea Al and Subarea A2 shall not thereafter be subject to expiration, but (2) the zoning established pursuant to this Planned Development as to the remaining Subareas shall thereafter lapse and become void and shall automatically revert to the B3-5 zoning classification in place immediately prior to the passage of this Planned Development unless the Applicant thereafter obtains City Council approval for a Final Subarea Plan for a third Subarea in accordance with Section 10(a) prior to the Initial Expiration Date.
The Initial Expiration Date may be extended for up to one additional year if, before expiration, the Applicant makes written request for such an extension explaining the good cause for such an extension, the Commissioner determines that good cause for an extension has been shown, and the Commissioner issues a written extension letter.
4837-0339-2811.3
ID\SCOTT, ANDREW - 110143\000001
15
FINAL FOR PUBLICATION
Residential Planned Development Number 1169, as amended
Master Bulk Regulations And Data Table
Subarea Est. Net Site Area Max. F.A.R. (see note 1) Max. Dwelling Units (see note 1, 2 and 4)
Sq.Ft. Acres
A1 314,527 7.22 3.96 741
A2 731,375 16.79 2.38 809
A3 372,932 8.56 3.76 646
B1 311,804 7.16 2.90 479
B2 226,213 5.19 3.53 536-
B3 337,069 7.74 12.12 2,291
C 207,921 4.77 1.90 201
D 257,433 5.91' 12.12 1,990
E 305,742 7.02 4.91 917
Total Subarea Max. (incl. 10%) (See Note 1) 4.96 8,609
OVERALL MAXIMUM 3,065,016 70.36 4.52 7,845
Note 1. The Subarea aggregate maximum FAR of 4.52 and maximum number of dwelling units of 7,845 is referred to herein as the "Base Amount". To provide flexibility among the Subareas, the maximum amount of FAR and the maximum number of dwelling units allowed in each Subarea set forth in the chart above is 10% higher than the Base Amount. Any individual Subarea may be developed to the maximum FAR or maximum 'dwelling units allowed in the chart above; provided, however, that in no event and at no time shall the Base Amount FAR or dwelling units be exceeded. Accordingly, where the construction of' any amount of FAR or any number of dwelling units would otherwise cause the applicable Base Amount within the total Property to be exceeded, the availability of FAR or number of dwelling units within the total Property must be reduced by the amount necessary to avoid exceeding the Base Amount.
Note 2. Two hotel units shall be equal to one dwelling unit; the maximum number of hotels units shall not exceed 2,000 units.
Note 3. As of the date of adoption of this Planned Development, the actual built floor area in Subarea C is approximately 292,428 square feet (the approximate equivalent of 1.42 FAR) and the actual built number of dwelling units is approximately 185.
Note 4. 1.25 Elderly Housing units shall be equal to one dwelling unit.
Gross Site Area:
Approximate Area to Remain In Public Right-of-Way
Net Site Area
3,628,902 sf (83.31 acres)
564,933 sf (12.97 acres) 3,065,016 sf (70.36 acres)
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.03.2015 PLAN COMMISSION DATE: 2016
FINAL FOR PUBLfCATiO
Lake Meadows Subarea Plan
SUBAREA A2 USE, BULK AND DATA TABLE
o 100 ft (above 450 feet height) 4 ft (walls with all other windows)
Rear Oft
Minimum Parking Spaces Multi-Family Townhouse/Single Family Elderly Housing Office, Retail, Commercial, Hotel, Public and Civic .60 spaces per dwelling unit for first 100 dwelling units, then .50 spaces per dwelling unit 1 space per dwelling unit .33 spaces per dwelling unit None for first 35,000 sf or 2x Development Parcel area, whichever is greater; then 1.33 spaces per 1,000 sf
Minimum Bicycle Parking Spaces No use is required to provide more than 50 bicycle parking spaces
Multi-Family Townhouse/Single Family Elderly Housing Office, Retail, Commercial, Hotel, Public and Civic 1 per 2 auto spaces in buildings containing 8 or more units None 1 per 4 auto spaces in buildings containing 8 or more units 1 per 50 auto spaces
Allowable Uses Exception: In addition to the uses in the chart below, Lodging Uses; Bed and Breakfast; and Hotel/Motel shall also be permitted within Subarea A2-Parcels 1.2, 1.3, 1.5, and 1.6.
RESIDENTIAL USE GROUP Household Living, Group Living
PUBLIC AND CIVIC USE GROUP Colleges, Universities and Campus-Style Institutional Uses, Cultural Exhibits and Libraries, Day Care, Hospital, Lodge and Private Club, Parks and Recreation, Postal Service, Public Safety Services, Religious Assembly, Schools, Utilities and Services-Minor
COMMERCIAL USE GROUP Animal Services, Artist Work and Sales Space, Building Maintenance Services, Business Equipment Sales and Service, Business Support Services, Communication Service . Establishments, Construction Sales and Service, Greenhouses, Drive-Through Facility, Eating and Drinking Establishments, Entertainment and Spectator Sports, Financial Services, Food and Beverage Retail Sales, Funeral and Interment Service, Gas Stations, Medical Services, Office. Parking, Personal Services, Repair or Laundry Service, Retail Sales-General, Signs, Indoor and Outdoor Sports and Recreation-Participant, Vehicle Sales and Service
INDUSTRIAL USE GROUP Catering
OTHER USE GROUP Wireless Communication Facilities, Accessory Uses
Note 1: Reference should be made to Chapters 17-9 (Use Regulations) and 17-17 (Terminology and Measurements) of the Chicago Zoning Ordinance for conditions and requirements that may be applicable to particular uses and for Use Category definitions. Reference should also be made to. without limitation, Section 17-17-0101 for the range of uses allowed. Note 2: Other uses and Use Categories, whether listed as special or permitted uses in Section 17-3-0207, as it may be amended from time to time, shall be permitted in this Subarea. Note 3: "Use Categories" are defined in Section 17-17-0101-B of the Chicago Zoning Ordinance.
General Notes See Notes 1 through 4 on the Master Bulk Regulations and Date Table
APPLICANT. LAKE MEADOWS ASSOCIATES
ADDRESS: 33 W. MONROE ST.
APPLICATION DATE: 12 09.2015
PLAN COMMISSION DATE: .__.2016
FINAL FOR PUBLICATION
Lake Meadows Subarea Plan
SUBAREA A2 USE, BULK AND DATA TABLE
SUBAREA A2
Net Site Area Max Building Floor Area Max Dwelling Units Maximum FAR Maximum Building Height
Minimum Open Space
731,375 sf (16.79 acres)
1,741,827 sf
809
2.38
150 ft
65 ft (Townhouse/Single Family) None
KEY PLAN SUBAREA A2
Preliminary Project Data
Parcel Site Area
Block 1 Parcel 1.1
Remaining Parcels
Retail/Parking Retail 12,900
Retail / Parking Retail / Midrise / Highrise 257,200
150 25^00 0.39 0 150 994,299 1.77 400
Subtotal - Block 1
102,231 Retail/Resi/Parking Retail / Midrise / Highrise
Subarea A2 Total
Minimum Setbacks
Front 33rd Place, King Dr., 35lh Street Rhodes Ave. Oft 3ft
Side 0 ft, except: Facing Townhpuse/Single-Family: 35 ft (walls with Living Room windows) 4 ft (walls with all other windows) All other Facing Multi-Family: walls with Living Room windows o 35 ft (from 0 to 50 feet height) o 50 ft (from 51 to 150 feet height) o 60 ft (from 151 to 450 feet height)
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 FLAN' COMMISSION DATE: .2016
Lake Meadows Subarea Plan fjj^L FOR PUBUOATiOi
SUBAREA A2 SURROUNDING AREA CONTEXT
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS 33 W. MONROE ST. APPLICATION DATE' 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan
SUBAREA A2 EXISTING CONDITIONS / SITE LOCATION
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SITE LOCATION
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS. 33 W. MONROE ST. APPLICATION DATE: 12.09 2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan FfMAL FOR PUBUCATI
SUBAREA A2 FUTURE DEVELOPMENT CONTEXT
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KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan pQS pUBUCAT!OM
SUBAREA A2 EXISTING DEVELOPMENT CONTEXT
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Lake Meadows Subarea Plan
SUBAREA A2 PUBLIC AND PRIVATE ROADWAYS
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KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan pQR PUBLICATION
SUBAREA A2 PEDESTRIAN CIRCULATION
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POTENTIAL PEDESTRIAN CONNECTION
APPLICANT. LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09 2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
RKAL FOR PUBUCATtu^
Lake Meadows Subarea Plan
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SUBAREA A2 DEVELOPMENT PARCELS AND BLOCKS
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09 2015 PLAN COMMISSION DATE: 02.18 2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan FINAL FOR PUBLICATION
SUBAREA A2
OVERALL BUILDING, SETBACK AND CURB CUT DIMENSIONS
OBD OVERALL BUILDING DIMENSION
PARCEL LINE
NOTE ALL DIMENSIONS ARE APPROXIMATE
APPLICANT. LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan FiN& FOR PUBLICATION
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KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan
SUBAREA A2 ILLUSTRATIVE MASSING DIAGRAM
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KEY PLAN SUBAREA A2
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FUTURE RETAIL 120,000 SF
FUTURE RESIDENTIAL/ HOTEL/ COMML. . 120,000 SF
EXISTING L.A. FITNESS +/- 40,000 SF
FUTURE RETAIL 17,000 SF
EXISTING™ RETAIL A +/-21,170 SF
FUTURE RETAIL 12,000 SF
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02 18.2016
KEY PLAN SUBAREA A2
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FftM hOR HUBLiGAi ON
SUBAREA A2 OPEN SPACE AND LANDSCAPING
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
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SUBAREA A2 TRAFFIC IMPROVEMENTS
I NEW ROADWAY
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan
wh\ fob p\m |CM ON
SUBAREA A2 Y\iir\L. 1 U , <
VACATIONS AND DEDICATIONS
mid EXISTING RIGHT OF WA
Subarea A2 Site Roadways and R.O.W.'s to remain
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan
SUBAREA A2 nfijAl C.'fvQ VI> in; \ f>(\TU"-&.
MAXIMUM BUILDING ENVELOPE AND HEIGHT
500'
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS- 33 W. MONROE ST. APPLICATION DATE- 12 09 2015 PLAN COMMISSION DATE. 02 18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan FfP4AL FOR PUBliUhitUi
SUBAREA A2
NORTH, SOUTH, EAST AND WEST ILLUSTRATIVE ELEVATIONS
TOP OF HIGHEST OCCUPIED FLOOP J30'
FINAL SETBACK MAY VARY
50' UNE OF EXPRESSION 23TU30RS
NORTH ELEVATION
TOP 0? HIGHEST OCCUPIED t-LOOR 130L
FINAL SETBACK MAY VARY ^
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TOP OF HIGHEST OCCUPIEpFLOOR 13LT_
FINAL SETBACK MAY VARY „
UNE OF EXPRESSI ON 2-3 FLOORS
EAST ELEVATION 150"
TOP OF HIGHEST OCCUPIED FLOOR._1.3ff .
FINAL SETBACK MAY VARY
LINE OF EXPRESSION 2-3 FLOORS
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NORTH ELEVATION
.. > \ : APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09 2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
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SOUTH ELEVATION
Lake Meadows Subarea Plan FOR PUBLICATION
SUBAREA A2 BUILDING MATERIALS
-J50' TOP OF HIGHEST
OCCUPILD TLOOH 130
" ' 100' 50 LINE OF EXPRESSION 2-TFCOORS f—' FINAL SETBACK MAY VARY
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TOP OF HIGHEST OCCUPIED FLOOR. l.?P'
FINAL SETBACK MAY VARY ^,
LINE OF EXPRESSION 2-3 FLOORS
EAST ELEVATION
Building Materials
The selection of appropriate building materials should be made with a concern for the existing context.
Highly refl ective glass is discouraged. If all glass walls are used, high quality, low-e or clear/lightly tinted glass should be'used.
Two categories of building material quality, Cate-
gory 1 and Category 2, have been identifi ed in the
Master Plan/- --- - - - — — -
NOTE:Southand west elevations will be subject to the same material guidelines.
Category 1
Natural Stone
Cast Stone
Brick
Architectural Precast
Glass and Metal Walls
Architectural Metal Panels
Category 2
Exposed Structural Concrete with high quality construction formwork
Exterior Plaster or DEFS System
Metal Panelized Exterior-Cladding System
Exposed Steel
Synthetic Wood Siding
Generally, Category 1 materials should be used for signature buildings at the perimeter of the site and Category 2 materials may be used for buildings on the interior and service areas of the site. Unique materials and colors are encouraged along the ground level, at building entrances and on the rooftops, whether Category 1 or Category 2 materials are used, a high quality level of finishes and details is important.
Building Base
Category 1 materials should be used on the building bases and low-rise structures. Clear or lightly tinted glass is preferred. Retail storefronts may include ornamental metals.
Building Tower
The portion of the building above the base may use Category 2 materials that are compatible with the material used for the base and also be complementary with neighboring buildings. Ornamen-tal-metals may. be used for building accents.
Building Top
The materials used for the building tops should be of high quality and present a distinctive image for the building.
Material Color
A variety of color and materials are encouraged as a means to enhance the appearance of separate multiple adjacent buildings as opposed to a single mass. Stone, brick and concrete' may range in color. Glass colors may include clear panes or slightly tinted gray, silver, green or blue.
NORTH ELEVATION
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APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS. 33 W. MONROE ST. APPLICATION DATE- 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
Lake Meadows Subarea Plan
SUBAREA A2 FINAL FOR PUBUCAUUfM
FACADE CONCEPTS
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WEST ELEVATION
NORTH ELEVATION
APPLICANT: LAKE MEADOWS ASSOCIATES ADDRESS: 33 W. MONROE ST. APPLICATION DATE: 12.09.2015 PLAN COMMISSION DATE: 02.18.2016
KEY PLAN SUBAREA A2
RNAL FOR PUBUCATiGM
RMAL FOR PUBLiCAi (ON
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PARCEL A2-1.1 VEHICULAR AND SERVICE ACCESS PLAN
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--------- PARCEL BOUNDARY
— - - BLOCK BOUNDARY
—< SERVICE ACCESS
VEKCULAR ACCESS
APPLICANT; LAKE UEAOOWS ASSOCIATES ADDRESS. U W UONROC St APPLICATDN DATE. ll.09.Mli PLANXOMhlsSION OATE. 0J.1* JOli
SUB AREA K
SUE AREA
SITE BUILDING AREA
SITE PARKING PARKING RATIO 5.35 SPACES PCR 1000 SQ. FT
LOADING BERTHS
FAR IS 13.000 Sq. Fl. {BUILDING} ?MDCO Qv 66 663 Sq Fl (SITE)
FfMAL FOR PUBLICATION
RETAIL A7
4,000 sf
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PARCEL A2-1.1 SITE PLAN
SCALE. 1--50"
^ pnuunv BULDhc entrance
P> EMERGENCY EKTttEHTnANCE ......... PARCGL BOUNDARY
- - — OLOCK BOUNDARY
APPLICANT LAKE MEADOWS ASSOCIATES ADDRESS- U W MONROE ST APPUCATKM DATE. llJJtJOIS PLAN COMMISSION DATE 02 18.201 ¦
NOTE.
12.900 SF GS SPACES
NO ADDRESSES HAVE KEN ESTABLISHED FOR RETAIL Al RETAIL AT. OR RETAIL A* (3) BULDMG5 VHLL ALL HAVE SOUTH UARTtN LUTHER KMSOR1UE AI3DKC3SCS.
SITE AREA
SFE BUILDING AREA
SITE PARKING PARKING RATIO 5.35 SPACES PER 1000 SO IT
LOADING BERTHS
FEWL FOR PUBLICATION
FINAL FOR PUBLICATION
METAL COPING
METAL PANELS •
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STEEL CANOPY/ ROOF
ALUMINUM AND GLASS -STOREFRONT
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SCALE ifl'-l-O"
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ALUMINUM AND GLASS ¦— STOREFRONT
ADJACENT RETAIL FACADE (NO WORK)
RETAIL A6 - SOUTH ELEVATION
SCALE Ifl" ¦ l -
RETAIL A6 PLANS & ELEVATIONS
APPLICANT. LAKE MLAOOWS ASSOCIATES ADDRESS 33 W UONROE SI APPLICATON DATE 12 11J01S PLAN COMMISSION DATE. 03 1SJ016
FINAL FOR PUBLICATION
, -METAL PANEL
-STEEL CANOPY
- ALUMINUM AND GLASS STOREFRONT
RETAIL A7 - WEST ELEVATION
SCALL tfl-.l-O"
RETAL A7 - SOUTH ELEVATION
RETAIL A7 ELEVATIONS
APPLICANT LAKE MEADOWS ASSOCIATES ADDRESS 3) W. MONROE ST APPLCATKMDATE IZ 11.701* PLAN COMMISSION DATE 02 IBJOlfl
PUBLICATION
RETAIL A8 - EAST ELEVATION -
scale. xiF-y-tr
METAL COPING
APPLICANT LAKE MEADOWS ASSOCIATES AOOHESS 31 W MOMtOE ST APPLICATION DATE 11.09101J PLAN COMMISSION DATE 03 IA J01S
FOR PUBUCATK
METAL COPING
Ti — STEEL CANOPY
ALUMINIUM AND GLASS STOREFRONT
a) 4—
RETAIL A8 - WEST ELEVATION
SCALE 1«'-v^T
- METAL COPING
- FACE BRICK
CAST STONE
RETAIL A8 ELEVATIONS
APPLICANT LAKE MEADOWS ASSOCIATES ADDRESS 31 W. MONROE ST APPLCATKM DATE 1IJJ92C1S PLAN COMMISSION OATE.OZ.HJ016
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DlPARTMENT OF PLANNING AND DEVELOPMENT
CITY OF CHICAGO
MEMORANDUM
TO: Alderman Daniel S. Solis
Chairman, City Council Committee on Zoning
David L. Reifman Secretary
Chicago Plan Commission
DATE: February 19, 2016
RE: PropQsed^Smendment to Planned Development No. 988 for property generally
, located at 3401 South Martin Luther King Jr Drive.
On February 18, 2016, the Chicago Plan Commission recommended approval ofthe proposed amendment submitted by Lake Meadows Associates, an Illinois Limited Partnership. A copy ofthe proposed planned development is attached. I would very much appreciate your assistance in having this introduced at the next possible City Council Committee oh Zoning hearing.
Also enclosed is a copy of the staff report to the Plan Commission which includes the Department of Planning and Development, bureau of Planning and Zoning recommendation and a copy of the Resolution. If you have any questions in this regard, please do not hesitate to contact me at 744-5777.
cc: Steve Valenziano
PD Master File (Original PD, copy of memo)
121 NORTH LASALLE STREET, ROOM 1000, CHICAGO
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REPORT to the
CHICAGO PLAN COMMISSION from the
DEPARTMENT OF PLANNING AND DEVELOPMENT FEBRURY 18, 2016
FOR APPROVAL: PROPOSED AMENDMENT TO RESIDENTIAL BUSINESS
PLANNED DEVELOPMENT #1169 (APPLICATION NO. 18604)
APPLICANT: LAKE MEADOWS ASSOCIATES
LOCATION: 3401 S. DR. MARTIN LUTHER KING JR. DRIVE
(GENERALLY BOUNDED BY ML KING DRIVE ON THE WEST, 31st STREET ON THE NORTH AND 35™ STREET ON THE SOUTH)
Pursuant to the provisions of the Chicago Zoning Ordinance, Title 17 of the Municipal Code of Chicago, the Department of Planning and Development hereby submits this report and recommendation regarding a proposed amendment to Residential Business Planned Development #1169 for your review and recommendation to the Chicago City Council. This application was introduced into the City Council on December 9, 2015. Proper legal notice of this public hearing on the application was published in the Chicago Sun-Times on February 3, 2016. The applicant was separately notified of this hearing.
The applicant, Lake Meadows Associates, is seeking approval of this Zoning Map amendment for property generally located at 3401 South Dr. Martin Luther King Jr. Drive. The planned development is comprised of nine Sub-Areas. The applicant only proposes to redefine the construction schedule associated with Sub Area's A1 and A2, obtain Sub-Area Approval for Sub-Area A2, and Site Plan Approval for a small parcel of land located within Block 1 of Sub-Area A2. The remainder of the planned development will remain as is and will not incur any changes.
PROJECT BACKGROUND
The subject planned development was originally reviewed and approved by the Chicago Plan Commission on June 17, 2010 and passed by the City Council. At that time it was proposed as a change from the mid 20th century modern high rise style of the area into that of a much more integrated mixed use development providing access via a more traditional pattern of blocks and rights of way. The applicant had proposed 1,200,000 square feet of commercial and retail space, 7,845 dwelling units, 2000 hotel rooms, and 7 acres of open space - all of this
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remains part of the proposed plan today and is unaffected by the proposed amendment.
SITE AND AREA DESCRIPTION
The proposed construction contemplated in this application is to occur on a subject site referred to as parcel 1.1, located within Block 1 of Sub-Area A2. The general location of this parcel is at the southeast corner of South Dr. Martin Luther King Jr. Drive and East 33rd Place. The applicant proposes to construct three small retail buildings which will be referred to as A6, A7, and A8 within parcel 1.1. The total square footage of new retail construction is to be 12, 900 square feet. Building A6 is proposed to be a total of 3, 200 square feet and would be a combination of an interior building out and an addition to space adjacent to the existing Walgreens pharmacy currently existing on the subject site. Building A7 would be located immediately to the north of building A6 and would be new construction for a total of 4,000 square feet. The last building proposed as part of this application is A8 and this is located just north of building A7 and would be new construction of 5,700 square feet.
The entire planned development has general boundaries of 31st Street to the north, Dr. Martin Luther King Jr. Drive to the west, 35th Street to the south, and the Illinois Central railroad tracks to the east. North of the planned development are parcels of land zoned RM-5 Residential Two-Flat, Townhouse and Multi-Unit District, and Residential Business Planned Development #1133, commonly referred to as the Michael Reese development site:. East of the planned development are parcels of land zoned C3-7 Commercial, Manufacturing, and Employment District and POS-1 Parks and Open Space - Regional or Community Park. South of the planned development are parcels of land zoned RT-4 Residential Two-Flat, Townhouse and Multi-Unit District, RM-5, Residential Two-Flat, Townhouse, and Multi-Unit District, and POS-1 Parks and Open Space - Regional or Community Park. West of the planned development are parcels of land zoned RS-3, Residential Single-Unit (Detached- House) District, RM-5 Residential Two-Flat, Townhouse, and Multi-Unit District, B1-3, Neighborhood Shopping District, B3-1, Community Shopping District, B3-3, Community shopping District, and B3-5, Community Shopping District.
The majority of the site is not situated within the Lake Michigan and Chicago Lakefront Protection District. A small portion of the planned development specifically an area bounded by 33rd Street, Ellis Avenue and the railroad tracks to the east is located within the Lakefront Protection District, however, no . construction is proposed for this area and nothing pertaining to this area is been changed as part ofthe amendment and thus lakefront review and approval is not necessary in conjunction with the amendment. The planned development site is located within the Bronzeville Tax Increment Financing (TIF) District. The planned development site is not located within the boundaries of a Chicago Landmark District and it does not contain any designated local or national landmark structures or sites.
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The CTA has various bus routes running within one mile of the subject site, most notably the #3 (Cottage Grove) and #35 (35th Street) bus routes. The CTA Red Line stations at Sox-35th Street; the CTA Green Line station at 35th Street-Bronzeville-IIT and the Metra Rock Island Route Station 35th Street - Lou Jones area all situated less than one mile from the subject site.
PROJECT DESCRIPTION
As previously approved, this Planned Development would create a traditional grid of streets more in sync with what was existing on the site prior to the creation of the original planned development in the 1970's. The south west portions ofthe site would be more retail oriented and lower scale. The buildings fronting Dr. Martin Luther King Jr. Drive would be residential and all under 100 feet in height and are intended to recapture some ofthe stately residential elegance of King Drive at the turn ofthe last century. The tallest buildings are along the eastern edge or placed at the ends of new public open spaces. Above ground parking structures would be screened from the public streets by retail or residential units on the ground floor and residential units on the upper floor. Surface parking lots serving the retail on the southwest quadrant would be largely invisible from major streets by buildings. The lowest 2 or 3 floors of all the proposed buildings will be clad in higher quality materials (such as natural or cast stone, metal panels or brick) than the upper floors (which might be painted concrete, synthetic wood siding). When the applicant seeks Plan Commission and City Council approval for a final Sub Area Plan, they will need to provide more detailed elevations specifying the materials.
The Planned Development was approved with a division into nine Sub areas (A1, A2, A3, B1, B2, B3, C, D and E), as follows:
Sub Area A1:
Sub Area A1 will be south of 33rd Street and east of ML King Drive. The Sub Area will be anchored by a 50,700 square foot grocery store with surface parking to the west and contain 4 mid-rise (>100 feet) and two high rise (>250 feet) residential buildings as well as townhouses or multi-family units along King Drive. The maximum number of dwelling units for the Sub Area is 741. The net site area is 314,527 square feet (7.22 acres). The Sub Area has a maximum F.A.R of 3.96 and a maximum building height of two hundred and fifty feet.
The proposed grocery store building's will be clad in brick with pre cast elements along the east, south and west elevations. The north elevation will be entirely pre-cast, but painted to resemble the brick on the other elevations (a future residential building will be built against this wall).
Sub Area A1 underwent a full Planned Development review pursuant to Section 17-8-0510 and received approvals from the Fire Department, MOPD, Department of Water Management and Chicago Department of Transportation. All other Sub
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Areas have received preliminary approval from City departments and will require a full Planned Development review and approval process once a specific Sub Area is ready to be developed. Part of the review process will require a public hearing before the Chicago Plan Commission for a binding recommendation.
Sub Area A2:
Sub Area A2 will be north of 35th Street and east of ML King Drive. It is envisioned to be a large retail district with up to 367,000 square feet of ground floor retail/commercial space spread out over 6 blocks. Many of these buildings will also have upper story residential components reaching up to a maximum height of 150 feet from grade and containing up to 809 dwelling units. The net site area is 731,375 square feet (16.77 acres) and the maximum FAR is 2.38.
Sub Area A3:
Sub Area A3 will be north of 35th Street and west of Sub Area A2. It will contain up to 252,500 square feet of ground floor retail/commercial space, an open space of 48,000 square feet and up to 646 dwelling units reaching up to 450 feet in height and spread out over three city blocks. The net site area is 372,932 square feet (8.56 acres) and the maximum FAR is 3.76. The open space would be publicly accessible but managed and maintained 'by the development.
Sub Area B1 :
Sub Area B1 will be north of 33rd Street and east of ML King Drive. The majority of this Sub Area is envisioned to contain townhouses or multi-unit flats under 100 feet tall but will also contain 3 mid-rise structures under 250 feet in height. The Sub Area would contain no more than 479 dwelling units. The net site area is 311,804 square feet (7.16 acres) and the maximum FAR is 2.90 spread out over 2 blocks.
Sub Area B2:
Sub Area B2 is north of 33rd Street arid directly east of Sub Area B1. The majority of his sub area would be a public open space more than 3 acres in size with a development parcel on a smaller block to the north of the park proposed to contain a high rise residential building of up to 500 feet from grade rising out of a 65' podium encircled by residential units. The maximum number of dwelling units for the Sub Area would be 536 units. The net site area is 226,213 square feet (5.19 acres) with a maximum FAR of 3.53.
Sub Area B3:
The Sub Area B3 consists of two blocks south of 31st Street and largely east of Sub Area B2. It is envisioned to contain up to 2,291 dwelling units in buildings ranging in height from a maximum of 600 feet along the eastern parcels to 450 for the northern parcels down to 250 feet for the western development parcels (which would face the park within Sub Area B2.
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Sub Area C:
This Sub Area is east of Sub Area B3 and contains townhomes, single family homes and a condominium building. These buildings are proposed to remain and the development rights are consistent with what the original PD allows. The site currently contains approximately 292,428 square feet of built floor area (about a 1.42 FAR) and 185 dwelling units. The Sub Area would allow up to 201 dwelling units and a maximum FAR of 1.90. The net site area of this Sub Area is 207,921 square feet (4.77 acres) and the maximum height for any building is 200 feet.
Sub Area D:
Sub Area D consists of three blocks directly east of Sub Area C and west of the Illinois Central Railroad tracks. It is envisioned as a high rise residential district with buildings reaching up to 700 feet. This is consistent with the general character of Chicago's lakefront development along the north side, Hyde Park and South Shore where the tallest buildings in lakefront neighborhoods are along the eastern edge. The maximum number of dwelling units for the Sub Area would be 1,990 units. The net site area is 257,433 square feet (5.91 acres) with a maximum FAR of 12.12.
Sub Area E:
The Sub Area E consists of two blocks on either side of 33rd Street on the eastern edge of the Planned Development. The block north of 33rd will be a public open space of approximately 2 acres. The southern block will contain a smaller open space (about 0.8 acres) within a traffic roundabout. This roundabout will be flanked by townhouses on the north and south and retail to the west. A series of residential buildings up to 500 feet tall on the northern and eastern portions will define the northern and eastern portions of the block. The Sub Area would allow up to 917 dwelling units. The net site area of this Sub Area is 305,742 square feet (7.02 acres) and the maximum FAR is 4.9T.
DESIGN
The proposed construction consists of just over 12,000 square feet of retail development. The applicant anticipates that the finished product would be similar to the recently completed retail renovations for L.A. Fitness, Subway and Dunkin Donuts. The proposed A6 building addition primarily faces the Dr. Martin Luther King Jr. Drive frontage and thus will be primarily comprised of new typical storefront window system, with metal panel accents and metal coping finishes at the top of the building elevation. The new construction buildings A7 and A8 will be primarily finished in face brick on three sides and typical storefront window and door systems on the 4th elevation
LANDSCAPING AND SUSTAINABILITY
The entire planned development will be compliant with the requirements of the Chicago Landscape Ordinance specifically in terms of parkway trees. Additionally, the proposed development will include storm water compliance.
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The subject site will be designed to be in compliance with the current City of Chicago Sustainable Development policy and will provide a vegetated roof totaling a minimum of 50% of the net roof area for buildings A7 and A8. Additionally the applicant will obtain building certification for A7 and A8.
ACCESS/CIRCULATION
The site is generally located between 31st Street, ML King Drive, 35th Street and the Illinois Central Railroad Tracks and Lake Shore Drive. The amended Planned Development significantly increases the amount of land devoted to rights of way and recreates a traditional Chicago grid network of north-south and east-west streets and curb cuts and loading areas have been carefully considered to reduce conflicts and facilitate circulation by all modes of transport. Cars can access Lake Shore Drive from 35th Street or use surface streets. There is significant CTA bus service along King Drive and 35th Street.
RECOMMENDATION
The Department of Planning and Development has reviewed the project materials submitted by the Applicant and compared this proposal to the requirements of the Chicago Zoning Ordinance and existing development in the community. The area around this project is composed of a mixture of various uses including commercial^ retail, and residential uses and is accessible from public transit. Based on that analysis, DPD has .concluded that this proposal is appropriate for this site and supports this development for the following reasons:
Promotes unified planning and development (per 17-8-0102), as evidenced through the project design which provides a strong framework for all future development within the subject planned development site and by establishing a traditional pattern of streets and blocks and an appropriate amount of usabie open space for future residents of the development and the larger community;
Promotes economically beneficial development patterns that are compatible with the character of existing neighborhood (per 17-8-0103), as evidenced by the design of the project, and the fact that the proposed uses are in context with the character of the adjacent properties and also meet the needs of the immediate community;
Promotes transit and pedestrian use, ensures accessibility for persons with disabilities and minimizes conflicts with existing traffic patterns in the vicinity (per 17-8-0904-1-2, 3 & 4), as evidenced by the site's close proximity to public transit in the form of various CTA bus lines, various CTA train stations, and the 35th Street-Lou Jones Metra station; the accessibility accommodations made on-site for the building users; pedestrian ingress and egress provided throughout the planned development both currently existing as well as proposed for future development, and lastly, ensuring that the design of the site
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works within the confines of the current existing traffic patterns at the site and creates little or no adverse impact to those patterns. 4. All sides and areas of the buildings that are visible to the public should be treated with materials, finishes, and architectural details that are of high-quality and appropriate for use on primary public-right-of-way-facing facade (per 17-8-0907-A-4), as evidenced through the information contained within this report, the primary proposed finish material is to be face brick and will be accented with large typical metal storefront systems accented with a metal panel system and metal copings as shown on the elevations in the exhibits for this planned development, and the corresponding proposal renderings;
The project meets the purpose and criteria set forth in the Chicago Zoning Ordinance and its adoption would not have any adverse impact on the public's health, safety or welfare:
Per 17-13-0308-C, given the fact that the project is a proposed amendment to a previously reviewed and approved planned development the proposed development is compatible with the originally adopted planned development as well as surrounding developments in terms of land use, and is also compatible the density and scale of the physical structure.
Per 17-13-0308-D, the proposed underlying zoning for this planned development is currently planned development #1169 and the uses proposed within the planned development are similar to other residential, business, and commercial zoning districts, both adjacent to this site and in the immediate area.
Per 17-13-0308-E, the public infrastructure facilities and City services will be adequate to serve the proposed development at the time of occupancy and the project will comply with the requirements for access in case of fire and other emergencies. The proposed project has been reviewed by the Mayor's Office for People with Disabilities and the Department of Transportation and all requested changes have been made. Copies of this application have been circulated to other City departments and agencies and no comments have been received which have not been addressed in the application.
Based on the foregoing, it is the recommendation of the Department of Planning and Development that this application for the establishment of a Planned Development be approved and that the recommendation to the City Council Committee on Zoning Landmarks and Building Standards be "Passage Recommended."
Bureau of Zoning and Land Use Department of Planning and Development
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Department of Plannng and Development city of chicago
3401 SOUTH DR. MARTIN LUTHER KING JR. DRIVE PROPOSED AMENDMENT TO PLANNED DEVELOPMENT #1169 (APPLICATION NO. 18604)
RESOLUTION
WHEREAS, the Applicant, Lake Meadows Associates, proposes to amend Residential Business Planned Development No. 1169. the application was introduced to City Council on December 9,-2015; and, . .
WHEREAS, the property is located between.East 31st Street, South Dr. Martin Luther King Jr. Drive, East 35lh Street and the Illinois Central Railroad Tracks; and
WHEREAS, the property, is currently zoned Residential Business Planned Development
#1:169; and, : ¦ ,
WHEREAS, the applicant proposes to rezone the property to Residential Business Planned Development #1169, as amended; and,
WHEREAS, the applicant's request to rezone the property was introduced to the City Council on December 9, 2015; and,
WHEREAS, proper legal notice of the hearing before the Plan Commission was published in the Chicago Sun-Times on February 3, 2016. The applicant was separately notified of this hearing and the proposed zoning application was considered at a public hearing by this Plan Commission on February 18, 2016; and,
WHEREAS, the Department of Planning and Development recommended approval ofthe application, with the recommendation and explanation contained in the written report dated February 18, 2016, a copy of which is attached hereto and made a part hereof; and,
WHEREAS, the Plan Commission reviewed the application and all informational submissions associated with the proposal, the report and recommendation of the Department of Planning and Development and all other testimony
121 NORTH LASALLE STREET, ROOM 1000, CHICAGO, ILLINOIS 60602
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presented at the public hearing held on February 18, 2016, giving consideration to the applicable provisions of the Zoning Ordinance.
NOW, THEREFORE, BE IT RESOLVED BY THE CHICAGO PLAN COMMISSION:
THAT the above-stated recitals to this resolution together with the report of the Department of Planning and Development be adopted as the findings of fact of the Plan Commission regarding this zoning map amendment application; and,
THAT the final application dated February 18, 2016, be approved as being in conformance with the provisions, terms and conditions of the corresponding provisions of the Zoning Ordinance; and,
THAT this Plan Commission recommends approval to the City Council Committee on Zoning, Landmarks and Building Standards of the final zoning map amendment application dated February 18, 2016.
RBPD No. 1169
Approved: February 18, 2016
121 NORTH LASALLE STREET, ROOM 1000, CHICAGO, ILLINOIS 60602
RECEIVED FEB 1 8 2015
CITY OF CHICAGO
APPLICATION FOR AN AMENDMENT TO THE CHICAGO ZONING ORDINANCE
ADDRESS ofthe property Applicant is seeking to rezone:
Common Address: 3401 to 3453 Soiith Dr. Martin Luther King Drive and 400 to 506 East 35"'
Street
Ward Number that property is located in: _4
APPLICANT Lake Meadows Associates, an Illinois limited partnership
ADDRESS 33 West Monroe Street. 19"' Floor
CITY Chicago STATE JL ZIP CODE 60603
PHONE (312) 346-8600 CONTACT PERSON Gordon Zicgenhagen
Is the applicant the owner of the property? YES NO X
If the applicant is not the owner of the property, please provide the following information regarding the owner and attach written authorization from the owner allowing the application to proceed.
OWNER Chicago Title and Trust T/U/T No. 118122
ADDRESS Same as applicant. ¦_
CITY STATE ZIP CODE
PHONE CONTACT PERSON
If the Applicant/Owner of the properly has obtained a lawyer as their representative for the rezoning, please provide the following information:
ATTORNEY Andrew Scott
ADDRESS 10 South Wacker Drive CITY Chicago, IL
PHONE (312) 627-8325 FAX
If the applicant is a corporation please provide the names of all shareholders as disclosed on the Economic Disclosure Statements.
The applicant has no shareholders since it is a limited partnership.
On what date did the owner acquire legal title to the subject property? 1993
Has the present owner previously rezoned this property? If yes, when?
Yes, June 30, 2010
Present Zoning District Residential-Business Planned Development No. 1169
Proposed Zoning District Residential-Business Planned Development No. 1169. as amended
Lot size in square feet (or dimensions) 3.063.969 sf (exclusive of pubic ways)
Current Use of the property The property is improved with residential and commercial uses.
Reason for rezoning the property To obtain final Subarea Plan Approval for Subarea A2 and
Site Plan approval for a newly established parcel in Subarea A2.
Describe the proposed use of the property after the rezoning. Indicate the number of dwelling units; number of parking spaces; approximate square footage of any commercial space; and height ofthe proposed building. (BE SPECIFIC)
The applicant proposes to secure preliminary approvals for two, seven-story residential towers
with a total of 230 units, 400,000 square feet of commercial and/or hotel space .in two towers.
162,000 square feet of retail space, and accessory parking and loading,
The Affordable Requirements Ordinance (ARO) requires on-site affordable housing units and/or a financial contribution for residential housing projects with ten or more units that receive a zoning change, which, among other triggers, increases the allowable floor area, or, for existing Planned Developments, increases the number of units (see attached fact sheet or visit www.cityofchicago.org/ARO for more information). Is this project subject to the ARO?
YES X NO
COUNTY OF COOK. STATE OF ILLINOIS
Forrest D. Bailey, being First duly sworn on oath, states contained in the documents submitted herewith are true
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OFHPIAI CCA I
OFFICIAL SEAL
JENNIFER SCOTT
NOTARY PUBLIC. STATE OF ILLINOIS My Commission Expires 10708/2017
Subscribed and Sworn to before me this v30%y of^WX2015.
that all ofthe above statements and the statements and correct.
Signature of Applicant Forrest D. Bailey, President and CliO of Draper and Kramer Investments Corp., sole owner of D&K Investments Lake Meadows, LLC, general partner of Lake Meadows Associates, an Illinois limited partnership
For Office Use Only
Date of Introduction:
File Number:
Ward:
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name of the Disclosing Party submitting this EDS. Include d/b/a/ if applicable:
Draper and Kramer Investments Corp.
Check ONE of the following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
O the Applicant
OR
H a legal entity holding a direct or indirect interest in the Applicant. State the legal name of the
Applicant in which the Disclosing Party holds an interest: Lake Meadows Associates
OR '
3. Da legal entity with a right of control (sec Section II.B. 1.) State the legal name of the entity in
which the Disclosing Party holds a right of control:
B. Business address of the Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago. IL 60603
Telephone: (312) 346-8600 Fax: (312)346-2177 EmaiI: baileyf@draperandkramer.com
Name of contact person: Forrest P. Bailey
Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification H and Contract #
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SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY
1. Indicate the nature of the Disclosing
Person
Publicly registered business corporation S Privately held business corporation
Sole proprietorship CD General partnership
Limited partnership
Trust
IZ1 Limited liability company
O Limited liability partnership
? Joint venture
D Not-for-profit corporation
(Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
LT1 Other (please specify)
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Delaware
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
[X] Yes ? No ? N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List below the full names and titles of all executive officers and all directors of the entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management of the Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf.
Name Title
See attached "Officers and Directors of Draper and Kramer Investments Corp."
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% ofthe Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,
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interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 of the Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
DKH, Incorporated 33 W. Monroe St, Ste 1900 100%
Chicago, IL 60603
SECTION III ~ BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes E! No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained or expects to retain in connection with the Matter, as well as the nature of the relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
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Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "hourly rate" or "t.b.d." is
not an acceptable response.
(Add sheets if necessary)
El Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V - CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in. arrearage on any child support obligations by any Illinois court of competent jurisdiction?
O Yes L~3 No H No person directly or indirectly owns 10% or more of the
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
? Yes ?No
FURTHER CERTIFICATIONS
1. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee ofthe City or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
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i
i
I
I
2. The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities
identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;'
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
3, The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official of the Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee ofthe Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
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Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee of the City, the State of Illinois, or any agency of the federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above that is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or of the United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any of the following lists maintained by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the Bureau of Industry and Security of the U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the Debarred List.
The Disclosing Party understands and shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) of the Municipal Code.
If the Disclosing Party is unable to certify to any ofthe above statements in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, of the City of Chicago (if none, indicate with "N/A" or "none").
MA
9. To the best ofthe Disclosing Party's knowledge after reasonable inquiry, the following is a
complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the
12-month period preceding the execution date of this EDS, to an employee, or elected or appointed
official, ofthe City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything
made generally available to City employees or to the general public, or (ii) food or drink provided in the
course of official City business and having a retail value of less than $20 per recipient (if none, indicate
with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
MA *
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
O is IEI is not
a "financial institution" as defined in Section 2-32-455(b) of the Municipal Code.-
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 of the Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss of the privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
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If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 of the Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 of the Municipal Code: Does any official or employee ofthe City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?
Yes E No
NOTE: If you checked "Yes" to Item D.l., proceed to Items D.2. and D.3. If you checked "No" to Item D. 1., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal process at the suit of the City (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D. I., provide the names and business addresses of the City officials or employees having such interest and identify the nature of such interest:
Name Business Address Nature of Interest
4. The Disclosing Party further certifies that no prohibited financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If the Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the Cily.
X 1. The Disclosing Party verifies that the Disclosing Party has searched any and all records ofthe
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A.l. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
Page 9 of 13
The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A. 1. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration of the Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations. .
Is the Disclosing Party the Applicant?
Yes ? No
If "Yes," answer the three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal
regulations? (See 41 CFR Part 60-2.) ' "
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?
Yes. ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes ? No
If you checked "No" to question 1. or 2. above, please provide an explanation:
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SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.cityofchicago.org/Ethics , and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 ofthe Municipal Code.
The Disclosing Party represents and warrants that:
Page 11 of 13
F. 1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide:such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute :. this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants-that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date'furnished to the City.
Draper and Kramer Investments Corp. Q
(Print or type name of Disclosing Party)
(Sign here)
Forrest D. Bailey
(Print or type-name of person signing)
President & CEO
(Print or type title of person signing)
JENNIFER SC03gTl2ofU
NOTARY PUBLIC, STATE OF ILLINOIS My Commission Expires 10/08/2017
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers of the Disclosing Party listed in Section II.B. La., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers of the Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes M No
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title of the elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
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CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAWYPROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
? Yes £7} No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
QYes dNp fx! Not Applicable
3. If. yes :to (1).or (2) above, pleaseidentify below the name ofthe person or legal .entity
identified as a building code scofflaw or problem landlord and the address of the building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OF, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
DRAPER AND KRAMER INVESTMENTS CORP. Officers and Directors Business Address for all: 33 W. Monroe St., 19th Fl., Chicago, IL 60603
Directors:
Forrest D. Bailey
Ernest M. (Bud) Miller, Jr.
Stephen P. Miller, Chair
Michael P. Neal
Nick A. Pavelich
David M. Pollak, Vice Chair
Roger L. Pollak
Officers:
Forrest D. Bailey Anthony F. Kramer Todd A. Bancroft James P. Hayes Denise Schneider Carmen T. Estela Shamiran Sarkis
President and CEO
Executive Vice President, Treasurer and Assistant Secretary Senior Vice President, General Counsel and Chief Operating Officer Senior Vice President and Chief Financial Officer Vice President, Controller and Secretary Vice President and Assistant Secretary Assistant Secretary
Prepared by. S. Sarkis
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name of the Disclosing Party submitting this EDS. Include d/b/a/ if applicable:
D & K Investments Lake Meadows, LLC
Check ONE of the following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
CU the Applicant
OR
lEa legal entity holding a direct or indirect interest in the Applicant. State the legal name of the'
Applicant in which the Disclosing Party holds an interest: Lake Meadows Associates
OR
3. Da legal entity with a right of control (see Section II.B.l.) State the legal name ofthe entity in
which the Disclosing Party holds a right of control:
B. Business address ofthe Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago, IL 60603
Telephone: (312) 346-8600 Fax:(312)346-2177 Email: baileyf@draperandkramer.com
Name of contact person: ForrestTJJBai[ey ——
E. Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification # and Contract U
Page 1 of 13
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY
IX| Limited liability company
Limited liability partnership ? Joint venture (ZJ Not-for-profit corporation (Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
CZ! Other (please specify)
1. Indicate the nature of the Disclosing Party:
Person
Publicly registered business corporation Privately held business corporation
Sole proprietorship General partnership
Limited partnership
Trust
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Illinois
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
? Yes ? No IS N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
I. List below the full names and titles of all executive officers and all directors of the entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management of the Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf. '
Name Title
Draper and Kramer Investments Corp. Managing Member (Sole Member)
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% of the Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture.
Page 2 of 13
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 ofthe Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
Draper and Kramer Invest ments Corp.
33 W. Monroe St, Ste 1900 100% Chicago, IL 60603
SECTION III -- BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes S No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained or expects to retain in connection with the Matter, as well as the nature ofthe relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
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Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "hourly rate" or "l.b.d." is
not an acceptable response.
(Add sheets if necessary)
IS] Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V — CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
O Yes D No El No person directly or indirectly owns 10% or more of the
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
? Yes ? No
FURTHER CERTIFICATIONS
1. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the'Disclosing Party submitting this EDS is the Applicant and is doing business with the City,"then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud,, forgery, perjury, dishonesty or deceit against an officer or employee of the City or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
Page 4 of 13
2. The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities
identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any ofthe offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
3. The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official ofthe Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee of the Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
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Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee ofthe City, the State of Illinois, or any agency of the federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above lhat is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or of the United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any of the following lists maintained by the Office of Foreign Assets Control of the U.S. Department ofthe Treasury or the Bureau of Industry and Security of the U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the Debarred List.
The Disclosing Party understands and shall comply with the applicable requirements of Chapters 2-5 S (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) of the Municipal Code.
If the Disclosing Party is unable to certify to any ofthe above statements in this Part B (Further-Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best ofthe Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, ofthe City of Chicago (if none, indicate with "N/A" or "none").
M&
9. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a
complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the
12-month period preceding the execution date of this EDS, to an employee, or elected or appointed
official, ofthe City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything
made generally available to City employees or to the general public, or (ii) food or drink provided in the
course of official City business and having a retail value of less than $20 per recipient (if none, indicate
with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
UZA
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
CD is S is not
a "financial institution" as defined in Section 2-32-455(b) of the Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 of the Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss ofthe privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 of the Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 of the Municipal Code: Does any official or employee ofthe City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?
Yes 13 No
NOTE: If you checked "Yes" to Item D.l., proceed to Items D.2. and D.3. If you checked "No" to Item D. 1., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is soid by virtue of legal process at the suit ofthe City (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D. 1., provide the names and business addresses of the City officials or employees having such interest and identify the nature of such interest:
Name . Business Address Nature of Interest
4. The Disclosing Party further: certifies that no prohibited financial interest in the Matter, will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If the Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
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comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X I. The Disclosing Party verifies that the Disclosing Party has searched any and all records ofthe
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step I above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A.l. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
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i
!
i
The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A. 1. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration ofthe Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations.
Is the Disclosing Party the Applicant?
Yes ? No
If "Yes," answer the three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes DNo
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?
Yes ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes ? No
If you checked "No" to question I. or 2. above, please provide an explanation:
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SECTION VTI - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.cityofchicago.org/Ethics . and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 ofthe Municipal Code.
The Disclosing Party represents and warrants that:
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F.1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants that all certifications arid statements contained in this'EDS and Appendix A (if applicable) are true, accurate and complete as ofthe date furnished to the City.
D & K Investments Lake Meadows LLC Q
(Print or type name of Disclosing Party)
(Sign here) ^ ^
Forrest D. Bailey '
(Print or type name of person signing)
President & CEO, Draper and Kramer Investments Corp. (Print or type title of person signing)
(state). ' Notary Public.
OFFICIAL SEAL
JENNIFER SCOTe i2of
NOTARY PUBLIC, STATE OF ieUN&IS
t Mv Commission Expires 10/08/2017
L
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as ofthe date this EDS is signed, the Disclosing Party or any " Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers ofthe Disclosing Party listed in Section II.B.l.a., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers ofthe Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes 13 No
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title ofthe elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
Page 13 of 13
J
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
OYes 0No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
OYes Q No Not Applicable
If yes to (1) or (2) above, please identify below the:name of the person or legal entity identified as a building code scofflaw or problem landlord and the address of the building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OF, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name ofthe Disclosing Party submitting this EDS. Include d/b/a/ if applicable: DKIA Lake Meadows LLC
Check ONE of the following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
CU the Applicant
OR
Da legal entity holding a direct or indirect interest in the Applicant. State the legal name of the
Applicant in which the Disclosing Party holds an interest:
OR
3. [3 a legal entity with a right of control (see Section II.B.l.) State the legal name of the entity in
which the Disclosing Party holds a right of control: Lake Meadows Associates
B. Business address of the Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago, IL 60603
Telephone: (312) 346-8600 Fax: (312)346-2177 Email: baileyf@draperandkramer.com
Namp. of mntar-.t pp.rsnn- Forrest D. Bailey, President & CEO
E. Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification # and Contract #
Page 1 of 13
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY
|X| Limited liability company
Limited liability partnership Joint venture
Not-for-profit corporation
(Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
Other (please specify)
I. Indicate the nature of the Disclosing Party: O Person I Publicly registered business corporation Privately held business corporation
Sole proprietorship
General partnership LZ1 Limited partnership
Trust
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Illinois
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
? Yes ? No 53 N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List below the full names and titles of all executive officers and all directors of the entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management ofthe Disclosing Party. NOTE: Each legal entity listed below must submit an EDS oh its own behalf.
Name Title
D & K Insurance Agency, Inc. Managing Member (Sole Member)
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% of the Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,
Page 2 of 13
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 ofthe Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party P&K Insurance Agency, Infi33 W. Monroe St, Ste 1900 100%
SECTION III -- BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes S No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV -- DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained or expects to retain in connection with the Matter, as well as the nature of the relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
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Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "'hourly rate" or "t.b.d." is
not an acceptable response.
(Add sheets if necessary)
[X] Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V - CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
Yes ? No S No person directly or indirectly owns 10% or more ofthe
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
Yes ? No
FURTHER CERTIFICATIONS
1. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms"(e:g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee ofthe City or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
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The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties*');
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official of the Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee ofthe Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
Page 5 of 13
Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee of the City, the State of Illinois, or any agency of the federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above that is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense Of any state or ofthe United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any of the following lists maintained by the Office of Fbrelgti'Asset^Cbhtrbl of the U.S. Department of the Treasury or the Bureau of Industry and Security ofthe U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the ' Debarred List.
6". TheDisclosing Party understands arid shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56XIh'spector General) and 2-156 (Governmental Ethics) of the Municipal Code.
7. If theDisclosing Party is unable to certify to any of the above staternents in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None." or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, of the City of Chicago (if none, indicate with "N/A" or "none").
MA
9. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the 12-month period preceding the execution date of this EDS, to an employee, or elected or appointed official, of the City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything made generally available to City employees or to the general public, or (ii) food or drink provided in the course of official City business and having a retail value of less than $20 per recipient (if none, indicate with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
MA
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
CU is IE! is not
a "financial institution" as defined in Section 2-32-455(b) of the Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 of the Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 ofthe Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss of the privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 ofthe Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 of the Municipal Code: Does any official or employee of the City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?
Yes [X] No
NOTE: If you checked "Yes" to Item D.l., proceed to Items D.2. and D.3. If you checked "No" to Item D. 1., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City-elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal process at the suit of the City (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D.l., provide the names and business addresses of the City officials or employees having such interest and identify the nature of such interest:
Name Business Address • Nature of Interest
4. The Disclosing Party further certifies that no prohibited financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either I. or 2. below. If the Disclosing Party checks 2., die Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X 1. The Disclosing Party verifies that the Disclosing Party has searched any and all records ofthe
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A.l. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
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The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A. 1. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) of the Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration ofthe Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations.
Is the Disclosing Party the Applicant?
Yes ? No
If "Yes," answer the three questions below:
Have you developed arid do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opporturiity Commission all reports due under the applicable filing requirements?
Yes ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes Dno
If you checked "No" to question 1. or 2. above, please provide an explanation:
Page 10 of 13
SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.cityofchicago.org/Ethics , and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the Cily determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 of the Municipal Code.
The Disclosing Party represents and warrants that:
Page 11 of 13
F.1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does riot provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory staterrient must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on Behalf ofthe Disclosing Party, and (2) warrants that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date furnished to the City.
DKIA Lake Meadows LLC H
(Print or type name of Disclosing Party)
(Sign here)
Forrest D. Bailey '
(Print or type namerof person signing)"
President & CEO, D & K Insurance Agency, Inc. (Print or type title of person signing)
^fened and sworn to before me on (date) ail C.
']
JENNIFER SCOTT NOTARY PUBLIC, ST?lgeae IdiOMOIS My Commission Expires 10/08/2017
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city cleric, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers of the Disclosing Party listed in Section II.B.l .a., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers of the Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes SNo «
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title ofthe elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
Page 13 of 13
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX 6
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legalentity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the. Municipal Code?
? Yes 0No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 ofthe Municipal Code?
OYes QNo . [x] Not Applicable
If yes to (1) or (2) above; please identify below the name of the person or legal entity identified.as a building code scofflaw or problem landlord arid the address of the building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OE, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name ofthe Disclosing Party submitting this EDS. Include d/b/a/ if applicable:
D & K Insurance Agency. Inc.
Check ONE of the following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
CD the Applicant
OR
E§1 a legal entity holding a direct or indirect interest in the Applicant. State the legal name ofthe
Applicant in which the Disclosing Party holds an interest: Lake Meadows Associates
OR
3. Da legal entity with a right of control (sec Section II.B.l.) State the legal name ofthe entity in
which the Disclosing Party holds a right of control:
B. Business address ofthe Disclosing Party: 33 W. Monroe St Suite 1900
Chicago, IL 60603
Telephone: (312) 346-8600 Fax: (312)346-2177 F.mail: baileyf@draperandkramer.com
Name of contact person: Forrest D. Bailey
Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification # and Contract #
Page 1 of 13
i
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS A. NATURE OF THE DISCLOSING PARTY
I. Indicate the nature of the Disclosing
Person
Publicly registered business corporation ffl Privately held business corporation
? Sole proprietorship General partnership
Limited partnership
Trust
Limited liability company CD Limited liability partnership ? Joint venture CD Not-for-profit corporation (Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
ED Other (please specify)
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Delaware
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
ffl Yes ? No ? N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List below the full names and titles of all executive officers and all directors of the entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management ofthe Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf.
Name Title
See attached "Officers and Directors of D & K Insurance Agency, Inc."
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% of the Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,
Page 2 of 13
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 of the Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
AFK Holdings LLC 33 W. Monroe St, Ste 1900 Chicago, IL 60603 13.5%
BKB Holdings LLC 33 W. Monroe St, Ste 1900 Chicago, IL 60603 13.5%
Charles Saltzman Marital T rust 33 W. Monroe St, Ste 1900 Chicago, IL 60603 9.9%
Steven J. Pollak 33 W. Monroe St, Ste 1900 Chicago, IL 60603 9.6%
Douglas Kramer Family Trust 33 W. Monroe St., Ste 1900 Chicago, IL 60603 9.0%
SECTION III -- BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes S No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship^):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained or expects to retain in connection with the Matter, as well as the nature of the relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
Page 3 of 13
Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "hourly rate" or "t.b.d." is
not an acceptable response.
(Add sheets if necessary)
IE! Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V - CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
[Zl Yes El No L~H No person directly or indirectly owns 10% or more of the
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with.that agreement?
? Yes ? No
FURTHER CERTIFICATIONS
I. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee of the City or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
Page 4 of 13
The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official of the Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee ofthe Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
Page 5 of 13
Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee of the City, the State of Illinois, or any agency ofthe federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above that is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or of the United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any of the following lists maintained by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the Bureau of Industry and Security of the U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the Debarred List.
The Disclosing Party understands and shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) of the Municipal Code.
If the Disclosing Party is unable to certify to any ofthe above statements in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, of the City of Chicago (if none, indicate with "N/A" or "none").
MA
9. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a
complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the
12-month period preceding the execution date of this EDS, to an employee, or elected or appointed
official, of the City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything
made generally available to City employees or to the general public, or (ii) food or drink provided in the
course of official City business and having a retail value of less than $20 per recipient (if none, indicate
with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
MA . :
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
? is EI is not
a "financial institution" as defined in Section 2-32-455(b) of the Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 ofthe Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss of the privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 ofthe Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 of the Municipal Code: Does any official or employee ofthe City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?.
Yes 1E1 No
NOTE: .If you checked "Yes" to.Item D.L, proceed to Items D.2. and D.3. If you checked "No" to Item D.L, proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity'in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by" virtue of legal process-at the suit of the Gity (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D.L, provide the names and business addresses ofthe City officials or employees having such interest and identify the nature of such interest:
Name Business Address Nature of Interest
4. TheDisclosing Party further certifies that no prohibited.financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If the Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X 1. The Disclosing Parly verifies that the Disclosing Party has searched any and all records of the
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf ofthe Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A.l. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
Page 9 of 13
The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A. I. and A.2. above.
The Disclosing Party certifies that cither: (i) it is not an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration ofthe Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations. .
Is the Disclosing Party the Applicant?
Yes Dno
If "Yes," answer the three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?
Yes ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes Dno
If you checked "No" to question 1. or 2. above, please provide an explanation:
Page 10 of 13
SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 ofthe Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.ciryofchicago.org/Ethics . and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-1 54-020 of the Municipal Code.
The Disclosing Party represents and warrants that:
Page 11 of 13
F. 1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor arc the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. FP.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. Genera! Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date furnished to the City.
P & K Insurance Agency, Inc.
(Print or type name of Disclosing Party)
Bv: yCA^V P < (b/C^^ (Sign here) /
Forrest D. Bailey
(Print or type name of person signing)
President & CEO
(Print or type title of person signing)
Notary Public.
ommiss.on expires: ; ,
OFFICIAL SEAL
JENNIFER »
f NOTARY PUBLIC. STATfottttWOlS Mv Commission Expires 10/08«017
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers of the Disclosing Party listed in Section II.B.La., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members ofthe Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers of the Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes ffl No
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title of the elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
Page 13 of 13
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
1. Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a
building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal
Code?
? Yes 0 No
2. If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of
. the Applicant identified as a building code scofflaw or problem landlord pursuant to Section
2-92-416 ofthe Municipal Code?
Q Yes QNo [k] Not Applicable
3. If yes to (1) or (2) above, please identify below the name of the person or legal entity
identified as a building code scofflaw or problem landlord and the address of the building or
buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OF, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
D & K INSURANCE AGENCY, INC. Officers and Directors Business Address for all: 33 W. Monroe St., 19th Fl., Chicago, IL 60603
Directors:
Forrest D. Bailey
Ernest M. (Bud) Miller, Jr.
Stephen P. Miller, Chair
Michael P. Neal
Nick A. Pavelich
David M. Pollak, Vice Chair
Roger L. Pollak
Officers:
Forrest D. Bailey Anthony F. Kramer Todd A. Bancroft James P. Hayes Denise Schneider Carmen T. Estela Shamiran Sarkis
President and CEO
Executive Vice President and Assistant Secretary
Senior Vice President, General Counsel and Chief Operating Officer
Senior Vice President and CFO
Vice President, Controller and Secretary
Vice President, Treasurer and Assistant Secretary
Assistant Secretary
Prepared by S. Sarkis
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name ofthe Disclosing Party submitting this EDS. Include d/b/a/ if applicable: Lake Meadows Associates
Check ONE of the following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
El the Applicant
OR
Da legal entity holding a direct or indirect interest in the Applicant. State the legal name ofthe
Applicant in which the Disclosing Party holds an interest:
OR
3. D a legal entity with a right of control (see Section II.B. 1.) State the legal name of the entity in
which the Disclosing Party holds a right of control:
B. Business address ofthe Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago, IL 60603
Telephone: (312) 346-8600 Fax: (312)346-2177 EmaiI: baileyf@draperandkramer.com
Name of contact person: Forrest D. Bailey
E. Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification # and Contract #
Page 1 of 13
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY
I. Indicate the nature of the Disclosing
Person
Publicly registered business corporation tZl Privately held business corporation
Sole proprietorship Q General partnership S Limited partnership
Trust
O Limited liability company O Limited liability partnership
Joint venture
CD Not-for-profit corporation
(Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
Other (please specify)
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Illinois
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business iii the State of Illinois as a foreign entity?
? Yes ? No GEO N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List below the full names and titles of all executive officers and all directors ofthe entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management ofthe Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf.
Name Title
D & K Investments Lake Meadows, LLC General Partner
DK.IA Lake Meadows LLC ' General Partner
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% ofthe Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,"
Page2ofl3
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 of the Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
D&K Investments Lake Me adows, LLC 15%
33 W. Monroe St, Ste 1900
Chicago, IL 60603
D&K Insurance Agency, Inc 33 W. Monroe St, Ste 1900 11.72%
SECTION IH -- BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes E No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained Or expects to retain in connection with the Matter, as well as the nature of the relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
Page 3 of 13
Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "hourly rate" or "t.b.d." is
not an acceptable response.
Dykema 10 S. Wacker Dr. Zoning attorney $15,000 (est.)
Johnson & Lee 1 E. 8th St. Architect $20,000 (est.)
OKW 600 W. Jackson Blvd. Architect $15,000 (est.)
Terra Engineering 225 W. Ohio Surveyor $7,500 (est.)
(Add sheets if necessary)
CU Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V - CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
D Yes D No (3 No person directly or indirectly owns 10% or more ofthe
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
? Yes ? No
FURTHER CERTIFICATIONS
1. Pursuant.to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee ofthe City or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
Page 4 of 13
The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the dale of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official ofthe Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee of the Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
Page 5 of 13
Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee ofthe City, the State of Illinois, or any agency ofthe federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above that is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or of the United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any ofthe following lists maintained by the Office of Foreign Assets Control ofthe U.S. Department of the Treasury or the Bureau of Industry and Security of the U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the Debarred List.
The Disclosing Party understands and shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) of the Municipal Code.
If the Disclosing Party is unable to certify to any ofthe above statements in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, ofthe City of Chicago (if none, indicate with "N/A" or "none").
±UA
9. To the best ofthe Disclosing Party's knowledge after reasonable inquiry, the following is a
complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the
12-month period preceding the execution date of this EDS, to an employee, or elected or appointed
official, ofthe City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything
made generally available to City employees or to the general public, or (ii) food or drink provided in the
course of official City business and having a retail value of less than $20 per recipient (if none, indicate
with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
N/A . ,
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
[ZD is 13 is not
a "financial institution" as defincdin Section 2-32-455(b) of the Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 ofthe Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss ofthe privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 of the Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 of the Municipal Code: Docs any official or employee ofthe City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?
Yes 13 No
NOTE: If you checked "Yes" to Item D. 1., proceed to Items D.2. and D.3. If you checked "No" to Item D.l., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal process at the suit of the City (collectively, "City Property Sale"). Compensation for property taken pursuant to .the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D. 1., provide the names and business addresses of the Cily officials or employees having such interest and identify the nature of such interest:
Name Business Address Nature of Interest
4. The Disclosing Party further certifies that no prohibited financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If the Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X 1. The Disclosing Party verifies that the Disclosing Party has searched any and all records of the
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on die lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A. 1. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
Page 9 ofl3
The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A.l. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) of the Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration of the Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations.
Is the Disclosing Party the Applicant?
Yes ? No
If "Yes," answer the three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?
Yes ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes ? No
If you checked "No" to question 1. or 2. above, please provide an explanation:
Page 10 of 13
SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.citvqfchicago.org/Ethics , and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all ofthe information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against die City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 of the Municipal Code.
The Disclosing Party represents and warrants that:
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F.1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in FA. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) Warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date furnished to the City.
Lake Meadows Associates jj
(Print or type name of Disclosing Party)
Forrest D. Bailey
(Print or type name of person signing)
President & CEO, D&K Investments Lake Meadows. LLC (Print or type title of person signing)
Commission expires:
OFFICIAL SEAL
JENNIFER SCOTHage 12 113
NOTARY PUBLIC, STATE OF ILLINOIS My Commission Expires 10/08/2017
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (l).all executive officers of the Disclosing Party listed in Section II.B.l.a., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers of the Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes S No
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title of the elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
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CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
Q Yes 00 No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
OYes Q No . [*]:Not Applicable
If yes to (1) or (2) above, please identify below the name ofthe person or legal entity identified as a building code scofflaw or problem' landlord and the address ofthe building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OF, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I -- GENERAL INFORMATION
A. Legal name of the Disclosing Party submitting this EDS. Include d/b/a/ if applicable:
DKH, Incorporated
Check ONE ofthe following thrce.boxes:
Indicate whether the Disclosing Party submitting this EDS is:
ED the Applicant
OR
12 a legal entity holding a direct or indirect interest in the Applicant. State the legal name ofthe
Applicant in which the Disclosing Party holds an interest: Lake Meadows Associates
OR
3. ? a legal entity with a right of control (see.Section II.B. I.) State the legal name ofthe entity in
which the Disclosing Party holds a right of control:
B. Business address of the Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago, IL 60603
Telephone: (312) 346-8600 Fax: (312)346-2177 Email: baileyf@draperandkramer.com
Name of contact person: FomestD1BajljBy
Federal Employer Identification No. (if you have one):.
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification ft and Contract #
Page 1 of 13
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY 1. Indicate the nature ofthe Disclosing Party:
Person Limited liability company
Publicly registered business corporation Limited liability partnership
S Privately held business corporation D Joint venture
So le proprietorship D Not-for-profit corporation
General partnership (Is the not-for-profit corporation also a 501(c)(3))?
[Z! Limited partnership LJ Yes CU No
Trust Other (please specify)
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Delaware
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
(X) Yes ? No ? N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List belowthe full names, and titles of all executive officers and all directors ofthe entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal-entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a'general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name arid title of each general partner, managing member, manager or any other person or entity that controls the day-to-day management ofthe Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf.
Name Title ,:
See attached "Officers and Directors of DKH, Incorporated."
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% of the Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,
Page 2 of 13
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 of the Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
D&K Insurance Agency 33 W. Monroe St, Ste 1900 Chicago, IL 60603 21.5%
AFK Holdings LLC 33 W. Monroe St, Ste 1900 Chicago, IL 60603 17.6%
BKB Holdings LLC 33 W. Monroe St. Ste 1900 Chicago, IL 60603 17.6%
Douglas Kramer Family Tru st 33 W. Monroe St, Ste 19 00 Chicago, IL 60603 11.8%
Steven J. Pollak 33 W. Monroe St., Ste 1900 Chicago. IL 60603 11.1%
SECTION III - BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes (SI No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney, lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party "has retained or expects to retain in connection with the Matter, as well as the nature of the relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
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Name (indicate whether Business retained or anticipated Address to be retained)
Relationship to Disclosing Part Fees (subcontractor, attorney, lobbyist, etc.)
(indicate whether paid or estimated.) NOTE: "hourly rate" or "t.b.d." is not an acceptable response.
(Add sheets if necessary)
S Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V — CERTIFICATIONS
COURT-ORDERED CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more of the Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
Q Yes 0 No IZJ No person directly or indirectly owns 10% or more of the
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
? Yes ? No
FURTHER CERTIFICATIONS
1. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling persori'is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or piaced under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee of the City'or any sister agency; and (ii) the Applicant understands and acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies lo the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
Page 4 of 13
2. The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities
identified in Section II.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
3. The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official of the Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee of the Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
Page 5 of 13
Neither the Disclosing Party, nor any Contractor, noi- any Affiliatcd'Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the daie this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee of the City, the State of Illinois, or any agency ofthe federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b. above that is a matter of record, but have not been prosecuted for such conduct; or "
violated the provisions of Municipal Code Section 2t92-610 (Living Wage Ordinance).
Neither the Disclosing Party. Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or ofthe United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither the Disclosing Party nor any Affiliated Entity is listed on any of the following lists maintained by the Office of Foreign Assets Cohtrolbf the U.S. Department ofthe Treasury or the Bureau of Industry and Security ofthe U.S. Department of Commerce or their successors: the Specially Designated Nationals List, the Denied Persons List, the Unverified List, the Entity List and the Debarred List.
The Disclosing Party uhderstands-and shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) ofthe Municipal Code.
If the Disclosing Party is unable to certify to any ofthe above statements in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, of the City of Chicago (if none, indicate with "N/A" or "none").
±JJA
9. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the 12-month period preceding the execution date of this EDS, to an employee, or elected or appointed official, of the City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything made generally available to City employees or to the general public, or (ii) food or drink provided in the course of official City business and having a retail value of less than $20 per recipient (if none, indicate with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
±UA
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
? is 0 is not
a "financial institution" as defined in Section 2-32-455(b) ofthe Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 of the Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss of the privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 of the Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that arc defined in Chapter 2-156 ofthe Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 ofthe Municipal Code: Does any official or employee of the City have a financial interest in his or her own name or in the name of any other person or entity in the Matter?
Yes LX| No
NOTE: If you checked "Yes" to Item D. 1., proceed to Items D.2. and D.3. If you checked "No" to Item D. 1., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal'process at the suit ofthe City (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes ? No
If you checked "Yes" to Item D. I., provide the names and business addresses of the City officials or employees having such interest and identify the nature of such interest:
Name Business Address Nature of Interest
4. The Disclosing Party further certifies that no prohibited financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If the Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X 1. The Disclosing Party verifies that the Disclosing Party has searched any and all records of the
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI -- CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations of the City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf ofthe Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A. 1. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
Page 9 of 13
The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy ofthe statements and information set forth in paragraphs A. 1. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) ofthe Internal Revenue Code of 1986; or(ii) it is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration of the Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations.
Is the Disclosing Party the Applicant?
Yes ? No
If "Yes," answer the three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?
Yes ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes ? No
If you checked "No" to question 1. or 2. above, please provide an explanation:
Page 10 of 13
SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at-www.citvofchicago.org/Ethics , and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes' action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 of the Municipal Code.
The Disclosing Party represents and warrants that:
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F.1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department ofhevenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the Cily. This includes, but is not limited to, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F. 1., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date furnished to the City.
DKH, incorporated
(Print or type name of Disclosing Party)
By:.
(Sign here) Forrest D. Bailey
(Print or type name of person signing)
President & CEO
(Print or type title of person signing)
MP 15 (state).
rfA/i/JM s^Hj Nolary Public-
commission expires:
OFFICIAL SEAL
JENNIFER SCO!P$el2o
NOTARY PUBLIC. STATE OF ILLINOIS My Commission Expires 10/08/2017
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent. It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any ofthe following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers of the Disclosing Party listed in Section II.B.La., if the Disclosing Party is a corporation; all partners of the Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers ofthe Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes El No
If yes, please identify below (1) the name and title of such person, (2) the name ofthe legal entity to which such person is connected; (3) the name and title of the elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
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CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-01.0, is the Applicant or any Owner identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 ofthe Municipal Code?
? Yes |Q No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
(?¦Yes Q No [*] Not Applicable
3. If yes to (1) or (2) above, please identify below the name of the person or legal entity
identified as a building code scofflawor problem landlord and the address of the building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART OF, THE ASSOCIATED EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
DKH, INCORPORATED Officers and Directors Business Address for all: 33 W. Monroe St., 19th Fl., Chicago, IL 60603
Directors:
Forrest D. Bailey
Ernest M. (Bud) Miller, Jr.
Stephen P. Miller, Chair
Michael P. Neal
Nick A. Pavelich
David M. Pollak, Vice Chair
Roger L. Pollak
Officers:
Forrest D. Bailey Anthony F. Kramer Todd A. Bancroft James P. Hayes Carmen T. Estela Denise Schneider Shamiran Sarkis
President and CEO Executive Vice President
Senior Vice President, General Counsel and Chief Operating Officer Senior Vice President, Chief Financial Officer and Assistant Secretary Treasurer and Assistant Secretary Vice President, Controller and Secretary Assistant Secretary
Prepared by. S. Sarkis
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
SECTION I - GENERAL INFORMATION
A. Legal name of the Disclosing Party submitting this EDS. Include d/b/a/ if applicable:
Chicago Title Land Trust 118122
Check ONE of (he following three boxes:
Indicate whether the Disclosing Party submitting this EDS is:
Kf the Applicant (Owner)
OR
D a legal entity holding a direct or indirect interest in the Applicant. State the legal name ofthe
Applicant in which the Disclosing Party holds an interest: j
OR
3. Da legal entity with a right of control (see Section II.B.l.) State the legal name of the entity in
which the Disclosing Party holds a right of control:
B. Business address of the Disclosing Party: 33 W. Monroe St., Suite 1900
Chicago. IL 60603
Telephone: (312) 346-B600 Fax: (312) 346-2177 Email: baileyf@draperandkramer.com
Name of contact person: Forrest D. Bailey
Federal Employer Identification No. (if you have one):
Brief description of contract, transaction or other undertaking (referred to below as the "Matter") to which this EDS pertains. (Include project number and location of property, if applicable):
Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr.
Which City agency or department is requesting this EDS? Dept of Planning & Development
If the Matter is a contract being handled by the City's Department of Procurement Services, please complete the following:
Specification # and Contract U
Page 1 of 13
SECTION II -- DISCLOSURE OF OWNERSHIP INTERESTS
A. NATURE OF THE DISCLOSING PARTY
. 1. Indicate the nature of the Disclosing
Person
Publicly registered business corporation CU Privately held business corporation
Sole proprietorship D General partnership
Limited partnership M Trust
O Limited liability company Limited liability partnership
Joint venture
Not-for-profit corporation
(Is the not-for-profit corporation also a 501(c)(3))?
? Yes ? No
O Other (please specify)
2. For legal entities, the state (or foreign country) of incorporation or organization, if applicable: Illinois
3. For legal entities not organized in the State of Illinois: Has the organization registered to do business in the State of Illinois as a foreign entity?
? Yes ? No IS1 N/A
B. IF THE DISCLOSING PARTY IS A LEGAL ENTITY:
1. List below, the full names and titles of all executive officers and all directors of the entity. NOTE: For not-for-profit corporations, also list below all members, if any, which are legal entities. If there are no such members, write "no members." For trusts, estates or other similar entities, list below the legal titleholder(s).
If the entity is a general partnership, limited partnership, limited liability company, limited liability partnership or joint venture, list below the name and title of each genera] partner, managing member, manager or any other person or entity that controls the day-to-day management of the Disclosing Party. NOTE: Each legal entity listed below must submit an EDS on its own behalf.
Name Title Chicago Title Land Trust Company Trustee
2. Please provide the following information concerning each person or entity having a direct or indirect beneficial interest (including ownership) in excess of 7.5% of the Disclosing Party. Examples of such an interest include shares in a corporation, partnership interest in a partnership or joint venture,
Page 2 of 13
interest of a member or manager in a limited liability company, or interest of a beneficiary of a trust, estate or other similar entity. If none, state "None." NOTE: Pursuant to Section 2-154-030 of the Municipal Code of Chicago ("Municipal Code"), the City may require any such additional information from any applicant which is reasonably intended to achieve full disclosure.
Name Business Address Percentage Interest in the
Disclosing Party
Lake Meadows Associates 33 W. Monroe St, Ste 1900 100%
Chicago, IL 60603
SECTION III - BUSINESS RELATIONSHIPS WITH CITY ELECTED OFFICIALS
Has the Disclosing Party had a "business relationship," as defined in Chapter 2-156 of the Municipal Code, with any City elected official in the 12 months before the date this EDS is signed?
? Yes (3 No
If yes, please identify below the name(s) of such City elected official(s) and describe such relationship(s):
SECTION IV - DISCLOSURE OF SUBCONTRACTORS AND OTHER RETAINED PARTIES
The Disclosing Party must disclose the name and business address of each subcontractor, attorney," lobbyist, accountant, consultant and any other person or entity whom the Disclosing Party has retained or expects to retain in connection with the Matter, as well as the nature ofthe relationship, and the total amount of the fees paid or estimated to be paid. The Disclosing Party is not required to disclose employees who are paid solely through the Disclosing Party's regular payroll.
"Lobbyist" means any person or entity who undertakes to influence any legislative or administrative action on behalf of any person or entity other than: (1) a not-for-profit entity, on an unpaid basis, or (2) himself. "Lobbyist" also means any person or entity any part of whose duties as an employee of another includes undertaking to influence any legislative or administrative action.
If the Disclosing Party is uncertain whether a disclosure is required under this Section, the Disclosing Party must either ask the City whether disclosure is required or make the disclosure.
Page 3 of 13
Name (indicate whether Business Relationship to Disclosing Part (indicate whether
retained or anticipated Address Fees (subcontractor, attorney, paid or estimated.) NOTE:
to be retained) lobbyist, etc.) "hourly rate" or "t.b.d." is
not an acceptable response.
(Add sheets if necessary)
(3 Check here if the Disclosing Party has not retained, nor expects to retain, any such persons or entities. SECTION V - CERTIFICATIONS
COURT-ORDERED'CHILD SUPPORT COMPLIANCE
Under Municipal Code Section 2-92-415, substantial owners of business entities that contract with the City must remain in compliance with their child support obligations throughout the contract's term.
Has any person who directly or indirectly owns 10% or more ofthe Disclosing Party been declared in arrearage on any child support obligations by any Illinois court of competent jurisdiction?
CD Yes D No 13 No person directly or indirectly owns 10% or more of the
Disclosing Party.
If "Yes," has the person entered into a court-approved agreement for payment of all support owed and is the person in compliance with that agreement?
? Yes ? No
FURTHER CERTIFICATIONS
1. Pursuant to Municipal Code Chapter 1-23, Article I ("Article I")(which the Applicant should consult for defined terms (e.g., "doing business") and legal requirements), if the Disclosing Party submitting this EDS is the Applicant and is doing business with the City, then the Disclosing Party certifies as follows: (i) neither the Applicant nor any controlling person is currently indicted or charged with, or has admitted guilt of, or has ever been convicted of, or placed under supervision for, any criminal offense involving actual, attempted, or conspiracy to commit bribery, theft, fraud, forgery, perjury, dishonesty or deceit against an officer or employee ofthe City or any sister agency; and (ii) the Applicant understands arid acknowledges that compliance with Article I is a continuing requirement for doing business with the City. NOTE: If Article I applies to the Applicant, the permanent compliance timeframe in Article I supersedes some five-year compliance timeframes in certifications 2 and 3 below.
Page 4 of 13
The Disclosing Party and, if the Disclosing Party is a legal entity, all of those persons or entities identified in Section If.B.l. of this EDS:
are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from arty transactions by any federal, state or local unit of government;
have not, within a five-year period preceding the date of this EDS, been convicted of a criminal offense, adjudged guilty, or had a civil judgment rendered against them in connection with: obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; a violation of federal or state antitrust statutes; fraud; embezzlement; theft; forgery; bribery; falsification or destruction of records; making false statements; or receiving stolen property;
are not presently indicted for, or criminally or civilly charged by, a governmental entity (federal, state or local) with committing any of the offenses set forth in clause B.2.b. of this Section V;
have not, within a five-year period preceding the date of this EDS, had one or more public transactions (federal, state or local) terminated for cause or default; and
have not, within a five-year period preceding the date of this EDS, been convicted, adjudged guilty, or found liable in a civil proceeding, or in any criminal or civil action, including actions concerning environmental violations, instituted by the City or by the federal government, any state, or any other unit of local government.
The certifications in subparts 3, 4 and 5 concern:
the Disclosing Party;
any "Contractor" (meaning any contractor or subcontractor used by the Disclosing Party in connection with the Matter, including but not limited to all persons or legal entities disclosed under Section IV, "Disclosure of Subcontractors and Other Retained Parties");
any "Affiliated Entity" (meaning a person or entity that, directly or indirectly: controls the Disclosing Party, is controlled by the Disclosing Party, or is, with the Disclosing Party, under common control of another person or entity. Indicia of control include, without limitation: interlocking management or ownership; identity of interests among family members, shared facilities and equipment; common use of employees; or organization of a business entity following the ineligibility of a business entity to do business with federal or state or local government, including the City, using substantially the same management, ownership, or principals as the ineligible entity); with respect to Contractors, the term Affiliated Entity means a person or entity that directly or indirectly controls the Contractor, is controlled by it, or, with the Contractor, is under common control of another person or entity;
any responsible official of the Disclosing Party, any Contractor or any Affiliated Entity or any other official, agent or employee of the Disclosing Party, any Contractor or any Affiliated Entity, acting pursuant to the direction or authorization of a responsible official of the Disclosing Party, any Contractor or any Affiliated Entity (collectively "Agents").
Page 5 of 13
Neither the Disclosing Party, nor any Contractor, nor any Affiliated Entity of either the Disclosing Party or any Contractor nor any Agents have, during the five years before the date this EDS is signed, or, with respect to a Contractor, an Affiliated Entity, or an Affiliated Entity of a Contractor during the five years before the date of such Contractor's or Affiliated Entity's contract or engagement in connection with the Matter:
bribed or attempted to bribe, or been convicted or adjudged guilty of bribery or attempting to bribe, a public officer or employee of the City, the State of Illinois, or any agency of the federal government or of any state or local government in the United States of America, in that officer's or employee's official capacity;
agreed or colluded with other bidders or prospective bidders, or been a party to any such agreement, or been convicted or adjudged guilty of agreement or collusion among bidders or prospective bidders, in restraint of freedom of competition by agreement to bid a fixed price or otherwise; or
made an admission of such conduct described in a. or b/above that is a matter of record, but have not been prosecuted for such conduct; or
violated the provisions of Municipal Code Section 2-92-610 (Living Wage Ordinance).
Neither the Disclosing Party, Affiliated Entity or Contractor, or any of their employees, officials, agents or partners, is barred from contracting with any unit of state or local government as a result of engaging in or being convicted of (1) bid-rigging in violation of 720 ILCS 5/33E-3; (2) bid-rotating in violation of 720 ILCS 5/33E-4; or (3) any similar offense of any state or of the United States of America that contains the same elements as the offense of bid-rigging or bid-rotating.
Neither.the Disclosing Party nor any Affiliated Entity is listed on any ofthe following lists maintained by the Office, of Foreign Assets Control of the U.S. Department of the Treasury or the Bureau of Industry and Security of the U.S. Department of Commerce or their successors: the Specially Designated Nationals.List, the. Denied Persons List, the Unverified List, the.Entity List and.the Debarred List.
The Disclosing Party understands and shall comply with the applicable requirements of Chapters 2-55 (Legislative Inspector General), 2-56 (Inspector General) and 2-156 (Governmental Ethics) of the Municipal Code.
If the Disclosing Party is unable to certify to any of the above statements in this Part B (Further Certifications), the Disclosing Party must explain below:
Page 6 of13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
8. To the best of the Disclosing Party's knowledge after reasonable inquiry, the following is a complete list of all current employees of the Disclosing Party who were, at any time during the 12- month period preceding the execution date of this EDS, an employee, or elected or appointed official, of the City of Chicago (if none, indicate with "N/A" or "none").
N/A
9. To the best ofthe Disclosing Party's knowledge after reasonable inquiry, the following is a
complete list of all gifts that the Disclosing Party has given or caused to be given, at any time during the
12-month period preceding the execution date of this EDS, to an employee, or elected or appointed
official, of the City of Chicago. For purposes of this statement, a "gift" does not include: (i) anything
made generally available to City employees or to the general public, or (ii) food or drink provided in the
course of official City business and having a retail value of less than $20 per recipient (if none, indicate
with "N/A" or "none"). As to any gift listed below, please also list the name of the City recipient.
N/A .
C. CERTIFICATION OF STATUS AS FINANCIAL INSTITUTION
The Disclosing Party certifies that the Disclosing Party (check one)
CU is H is not
a "financial institution" as defined in Section 2-32-455(b) of the Municipal Code.
If the Disclosing Party IS a financial institution, then the Disclosing Party pledges:
"We are not and will not become a predatory lender as defined in Chapter 2-32 ofthe Municipal Code. We further pledge that none of our affiliates is, and none of them will become, a predatory lender as defined in Chapter 2-32 of the Municipal Code. We understand that becoming a predatory lender or becoming an affiliate of a predatory lender may result in the loss of the privilege of doing business with the City."
If the Disclosing Party is unable to make this pledge because it or any of its affiliates (as defined in Section 2-32-455(b) of the Municipal Code) is a predatory lender within the meaning of Chapter 2-32 ofthe Municipal Code, explain here (attach additional pages if necessary):
Page 7 of 13
If the letters "NA," the word "None," or no response appears on the lines above, it will be conclusively presumed that the Disclosing Party certified to the above statements.
D. CERTIFICATION REGARDING INTEREST IN CITY BUSINESS
Any words or terms that are defined in Chapter 2-156 ofthe Municipal Code have the same meanings when used in this Part D.
In accordance with Section 2-156-110 ofthe Municipal Code: Does any official or employee of the City have a financial interest in his or her own name or in the name of any other person or entity in the Matter? '
Yes HI No
NOTE: If you checked "Yes" lo Item D. I., proceed to Items D.2. and D.3. If you checked "No" to Item D.l., proceed to Part E.
Unless sold pursuant to a process of competitive bidding, or otherwise permitted, no City elected official or employee shall have a financial interest in his or her own name or in the name of any other person or entity in the purchase of any property that (i) belongs to the City, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal process at the suit of the City (collectively, "City Property Sale"). Compensation for property taken pursuant to the City's eminent domain power does not constitute a financial interest within the meaning of this Part D.
Does the Matter involve a City Property Sale?
Yes DNo
If you checked "Yes" to Item D.l., provide the names and business addresses of the City officials or employees having such interest and identify the nature of such interest:
Name .-Business Address Nature of Interest
4. The Disclosing Party further certifies that no prohibited financial interest in the Matter will be acquired by any City official or employee.
E. CERTIFICATION REGARDING SLAVERY ERA BUSINESS
Please check either 1. or 2. below. If die Disclosing Party checks 2., the Disclosing Party must disclose below or in an attachment to this EDS all information required by paragraph 2. Failure to
Page 8 of 13
comply with these disclosure requirements may make any contract entered into with the City in connection with the Matter voidable by the City.
X 1. The Disclosing Party verifies that the Disclosing Party has searched any and all records of the
Disclosing Party and any and all predecessor entities regarding records of investments or profits from slavery or slaveholder insurance policies during the slavery era (including insurance policies issued to slaveholders that provided coverage for damage to or injury or death of their slaves), and the Disclosing Party has found no such records.
2. The Disclosing Party verifies that, as a result of conducting the search in step 1 above, the
Disclosing Party has found records of investments or profits from slavery or slaveholder insurance policies. The Disclosing Party verifies that the following constitutes full disclosure of all such records, including the names of any and all slaves or slaveholders described in those records:
SECTION VI - CERTIFICATIONS FOR FEDERALLY FUNDED MATTERS
NOTE: If the Matter is federally funded, complete this Section VI. If the Matter is not federally funded, proceed to Section VII. For purposes of this Section VI, tax credits allocated by the City and proceeds of debt obligations ofthe City are not federal funding.
A. CERTIFICATION REGARDING LOBBYING
1. List below the names of all persons or entities registered under the federal Lobbying Disclosure Act of 1995 who have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter: (Add sheets if necessary):
(If no explanation appears or begins on the lines above, or if the letters "NA" or if the word "None" appear, it will be conclusively presumed that the Disclosing Party means that NO persons or entities registered under the Lobbying Disclosure Act of 1995 have made lobbying contacts on behalf of the Disclosing Party with respect to the Matter.)
2. The Disclosing Party has not spent and will not expend any federally appropriated funds to pay any person or entity listed in Paragraph A.l. above for his or her lobbying activities or to pay any person or entity to influence or attempt to influence an officer or employee of any agency, as defined by applicable federal law, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress, in connection with the award of any federally funded contract, making any federally funded grant or loan, entering into any cooperative agreement, or to extend, continue, renew, amend, or modify any federally funded contract, grant, loan, or cooperative agreement.
Page 9 of 13
- 3. The Disclosing Party will submit an updated certification at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the statements and information set forth in paragraphs A.l. and A.2. above.
The Disclosing Party certifies that either: (i) it is not an organization described in section 501(c)(4) of the Internal Revenue Code of 1986; or (ii) it is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986 but has not engaged and will not engage in "Lobbying Activities".
If the Disclosing Party is the Applicant, the Disclosing Party must obtain certifications equal in form and substance to paragraphs A.l. through A.4. above from all subcontractors before it awards any subcontract and the Disclosing Party must maintain all such subcontractors' certifications for the duration ofthe Matter and must make such certifications promptly available to the City upon request.
B. CERTIFICATION REGARDING EQUAL EMPLOYMENT OPPORTUNITY
If the Matter is federally funded, federal regulations require the Applicant and all proposed subcontractors to submit the following information with their bids or in writing at the outset of negotiations. t
Is the Disclosing Party the Applicant?
Yes DNo
If "Yes," answer the.three questions below:
Have you developed and do you have on file affirmative action programs pursuant to applicable federal regulations? (See 41 CFR Part 60-2.)
Yes ? No
Have you filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance Programs, or the Equal Employment Opportunity Commission all reports due under the applicable filing requirements?'' '
Yes : ? No
Have you participated in any previous contracts or subcontracts subject to the equal opportunity clause?
Yes ? No
If you checked "No" to question 1. or 2. above, please provide an explanation:
Page 10 of 13
SECTION VII - ACKNOWLEDGMENTS, CONTRACT INCORPORATION, COMPLIANCE, PENALTIES, DISCLOSURE
The Disclosing Party understands and agrees that:
The certifications, disclosures, and acknowledgments contained in this EDS will become part of any contract or other agreement between the Applicant and the City in connection with the Matter, whether procurement, City assistance, or other City action, and are material inducements to the City's execution of any contract or taking other action with respect to the Matter. The Disclosing Party understands that it must comply with all statutes, ordinances, and regulations on which this EDS is based.
The City's Governmental Ethics and Campaign Financing Ordinances, Chapters 2-156 and 2-164 of the Municipal Code, impose certain duties and obligations on persons or entities seeking City contracts, work, business, or transactions. The full text of these ordinances and a training program is available on line at www.cityofchicaeo.ore/Ethics . and may also be obtained from the City's Board of Ethics, 740 N.
Sedgwick St., Suite 500, Chicago, IL 60610, (312) 744-9660. The Disclosing Party must comply fully with the applicable ordinances.
If the City determines that any information provided in this EDS is false, incomplete or inaccurate, any contract or other agreement in connection with which it is submitted may be rescinded or be void or voidable, and the City may pursue any remedies under the contract or agreement (if not rescinded or void), at law, or in equity, including terminating the Disclosing Party's participation in the Matter and/or declining to allow the Disclosing Party to participate in other transactions with the City. Remedies at law for a false statement of material fact may include incarceration and an award to the City of treble damages.
It is the City's policy to make this document available to the public on its Internet site and/or upon request. Some or all of the information provided on this EDS and any attachments to this EDS may be made available to the public on the Internet, in response to a Freedom of Information Act request, or otherwise. By completing and signing this EDS, the Disclosing Party waives and releases any possible rights or claims which it may have against the City in connection with the public release of information contained in this EDS and also authorizes the City to verify the accuracy of any information submitted in this EDS.
The information provided in this EDS must be kept current. In the event of changes, the Disclosing Party must supplement this EDS up to the time the City takes action on the Matter. If the Matter is a contract being handled by the City's Department of Procurement Services, the Disclosing Party must update this EDS as the contract requires. NOTE: With respect to Matters subject to Article I of Chapter 1-23 ofthe Municipal Code (imposing PERMANENT INELIGIBILITY for certain specified offenses), the information provided herein regarding eligibility must be kept current for a longer period, as required by Chapter 1-23 and Section 2-154-020 ofthe Municipal Code.
The Disclosing Party represents and warrants lhat:
Page 11 of 13
F.1. The Disclosing Party is not delinquent in the payment of any tax administered by the Illinois Department of Revenue, nor are the Disclosing Party or its Affiliated Entities delinquent in paying any fine, fee, tax or other charge owed to the City. This includes, but is not limited lo, all water charges, sewer charges, license fees, parking tickets, property taxes or sales taxes.
F.2 If the Disclosing Party is the Applicant, the Disclosing Party and its Affiliated Entities will not use, nor permit their subcontractors to use, any facility listed by the U.S. E.P.A. on the federal Excluded Parties List System ("EPLS") maintained by the U. S. General Services Administration.
F.3 If the Disclosing Party is the Applicant, the Disclosing Party will obtain from any contractors/subcontractors hired or to be hired in connection with the Matter certifications equal in form and substance to those in F.1. and F.2. above and will not, without the prior written consent of the City, use any such contractor/subcontractor that does not provide such certifications or that the Disclosing Party has reason to believe has not provided or cannot provide truthful certifications.
NOTE: If the Disclosing Party cannot certify as to any of the items in F.I., F.2. or F.3. above, an explanatory statement must be attached to this EDS.
CERTIFICATION
Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS and Appendix A (if applicable) on behalf of the Disclosing Party, and (2) warrants that all certifications and statements contained in this EDS and Appendix A (if applicable) are true, accurate and complete as of the date furnished to" the City.
Chicago Title Land Trust 118122
(Print or type njime of Disclosing Party) By:
(Print or type title of person signing)
Signed and sworn to before me on (date) f^6\lt*JYlk>(/' at 6oQV<- O-yy,' ICUtOotS (state).
kj(L^iLLu a NotaryPublic
ja
This instrument is executed by the undersigned Land Trustee, not personally but solely as Trustee in the exercise of the power and authority conferred upon and vested in it as such Trustee, ft is expressly understood and agreed that alljthe warranties, indemnities, representations, covenants, undertakings ano agreements herein made on the part of the Trustee are' undertaken by it solely in its. capacity as Trustee and, not personally.rNo personal liability or personal:responsibiuty,j$ assumed oy or shall af any time be asserted or'enforceable against the. Trustee on account of any warranty, irxlenrnfy, representation, covenanl, undertaking or agreement of the Trustee in this instrument.
Tha Information contained In This certification h«s baan furnished to tha Ja^ mtrtaa by th« beneficiaries of trust no.' (tif^- . and tha certification is made solely In reliance thereon and no rssponaibility It assumed by tha truatee in Its Individual capacity, for tha truth or. accuracy ol ihe facts therein stated.
"OFFICIAL SEAL" :
NATALIE FOSTER :
? Notary Public, State of Illinois : « My Commission Expires 07/01/2017 i **?????????«???????????????$
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT APPENDIX A
FAMILIAL RELATIONSHIPS WITH ELECTED CITY OFFICIALS AND DEPARTMENT HEADS
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Under Municipal Code Section 2-154-015, the Disclosing Party must disclose whether such Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently has a "familial relationship" with any elected city official or department head. A "familial relationship" exists if, as of the date this EDS is signed, the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof is related to the mayor, any alderman, the city clerk, the city treasurer or any city department head as spouse or domestic partner or as any of the following, whether by blood or adoption: parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister or half-brother or half-sister.
"Applicable Party" means (1) all executive officers ofthe Disclosing Party listed in Section II.B.l.a., if the Disclosing Party is a corporation; all partners ofthe Disclosing Party, if the Disclosing Party is a general partnership; all general partners and limited partners of the Disclosing Party, if the Disclosing Party is a limited partnership; all managers, managing members and members of the Disclosing Party, if the Disclosing Party is a limited liability company; (2) all principal officers of the Disclosing Party; and (3) any person having more than a 7.5 percent ownership interest in the Disclosing Party. "Principal officers" means the president, chief operating officer, executive director, chief financial officer, treasurer or secretary of a legal entity or any person exercising similar authority.
Does the Disclosing Party or any "Applicable Party" or any Spouse or Domestic Partner thereof currently have a "familial relationship" with an elected city official or department head?
? Yes 03 No
If yes, please identify below (1) the name and title of such person, (2) the name of the legal entity to which such person is connected; (3) the name and title of the elected city official or department head to whom such person has a familial relationship, and (4) the precise nature of such familial relationship.
Page 13 of 13
CITY OF CHICAGO ECONOMIC DISCLOSURE STATEMENT AND AFFIDAVIT
APPENDIX B
BUILDING CODE SCOFFLAW/PROBLEM LANDLORD CERTIFICATION
This Appendix is to be completed only by (a) the Applicant, and (b) any legal entity which has a direct ownership interest in the Applicant exceeding 7.5 percent (an "Owner"). It is not to be completed by any legal entity which has only an indirect ownership interest in the Applicant.
Pursuant to Municipal Code Section 2-154-010, is the Applicant or any Owner identified as a > building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
O Yes 0 No
If the Applicant is a legal entity publicly traded on any exchange, is any officer or director of the Applicant identified as a building code scofflaw or problem landlord pursuant to Section 2-92-416 of the Municipal Code?
OYes Q.No [7] Not Applicable
If yes to (1) or(2) above, please identify below the name ofthe person or legal entity identified as a building code scofflaw or problem landlord and the address ofthe building or buildings to which the pertinent code violations apply.
FILLING OUT THIS APPENDIX B CONSTITUTES ACKNOWLEDGMENT AND AGREEMENT THAT THIS APPENDIX B IS INCORPORATED BY REFERENCE INTO, AND MADE A PART. OF, THE,ASSOCIATED.EDS, AND THAT THE REPRESENTATIONS MADE IN THIS APPENDIX B ARE SUBJECT TO THE CERTIFICATION MADE UNDER PENALTY OF PERJURY ON PAGE 12 OF THE ASSOCIATED EDS.
(DO NOT SUBMIT THIS PAGE WI TH YOUR EDS. The purpose of this page is for you to recertify your EDS prior to submission to City Council or on the date of closing. If unable to recertify truthfully, the Disclosing Party must complete a new EDS with correct or corrected information)
RECERTIFICATION
Generally, for use with City Council matters. Not for City procurements unless requested.
This recertification is being submitted in connection with Application for an amendment to Planned Development Number 1169 (Lake Meadows) NEC of 35th and King Dr. Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS recertification on behalf of the Disclosing Party, (2) warrants that all certifications and statements contained in the Disclosing Party's original EDS are true, accurate and complete as of the date furnished to the City and continue to be true, accurate and complete as of the date of this recertification. and (3) reaffirms its acknowledgments.
D&K Insurance Agency, Inc. Date:
(Print or type legal name of Disclosing Party)
By:
(sign here) Print or type name of signatory: Forrest D. Bailey Title of signatory: President & CEO
Signed and sworn to before me on [date] '' , by
^0\(ej- "p.fotlteU . at (iDCK. County, Jl l/flO/ 5 [state].
L
Notary Public.
OFFICIAL SEAL
NOI
; m
JENNIFER SCOTT
NOTARY PUBLIC, STATE OF ILLINOIS My Commission Expires 10/08/2017
Vcr. 11-01-05
I
(DO NOT SUBMIT THIS PAGE WITH YOUR EDS. The purpose of this page is for you to recertify your EDS prior to submission to City Council or on the date of closing. If unable to recertify truthfully, the Disclosing Party must complete a new EDS with correct or corrected information)
RECERTIFICATION
Generally, for use with City Council matters. Not for City procurements unless requested.
This recertification is being submitted in connection with Application for an amendment to Planned Development Number 1169 (Lake Meadows') NEC of 35th and King Dr. Under penalty of perjury, the person signing below: (1) warrants that he/she is authorized to execute this EDS recertification on behalf of the Disclosing Party, (2) warrants that all certifications and statements contained in the Disclosing Party's original EDS are true, accurate and complete as of the date nirnished to the City and continue to be true, accurate and complete as of the date of this recertification, and (3) reaffirms its acknowledgments.
Company as trustee under Tr No.
Chicago Title Land Trust/118122 Date:
Print or type name of signatory:
Harriet Denisewicz
(Print or type legal name of Disclosing Party)
Title of signatory: Assistant Vice President
February 8, 2016
this instrument is executed by the undersigned LandTrusteV not personally but solely as Trustee in the exercise of the power: arid authority conferred upon and vested in it as such Trustee. It is expressly understood and agreed that all the warranties, indemnities, representations,, covenants, undertakings aJirt; agreements herein made on the part of the Trustee are undertaken by it solely in its capacity as Trustee and not personally. No personal liability or personal responsibility Is assumed by or shad at any time be asserted or enforceable against the Trustee on account of any warranty, indemnity; representation, covenant, undertaking or agreement of me Trustee in this instrument,
The information contains*! in this (sartlfloetkm has baert furnished to tho4apAy«^lo by the beneficiaries of trust no.—Li£i££. and the certification is made solely in rolis^Q^jbefepn and no responsibility is assumed'hy^eitaiS^fey In Its individual capacity,' for the.truth.or rccyracvc' tfc-facts there':'', stated
Signed and sworn to before me on [date] February 8,2016 , by
County, mi™**
i OFFICIAL SEAL" t LIDIA MARINCA t
^OOOOOOOOOOOOOOO
Vcr. 11-01-05
I