AC 3237-S (Rev. 1/17)
NEW YORK STATE OFFICE OF THE STATE COMPTROLLER
SUBSTITUTE FORM W-9:
REQUEST FOR TAXPAYER IDENTIFICATION NUMBER & CERTIFICATION
TYPE OR PRINT INFORMATION NEATLY. PLEASE REFER TO INSTRUCTIONS FOR MORE INFORMATION.
Part I: Vendor Information
1. Legal Business Name:
2. Business name/disregarded entity name, if different from Legal
Business Name:
3. Entity Type (Check one only):
Individual Sole Proprietor Partnership Limited Liability Co. Corporation Not For Profit
Trusts/Estates Federal, State or Local Government Public Authority Disregarded Entity
Other _______________________________
Exempt
…….Payee
Part II: Taxpayer Identification Number (TIN) & Taxpayer Identification Type
1. Enter your TIN here: (DO NOT USE DASHES)
See instructions.
2. Taxpayer Identification Type (check appropriate box):
Employer ID No. (EIN) Social Security No. (SSN) Individual Taxpayer ID No. (ITIN) N/A (Non-United States Business Entity)
Part III: Address
1. Remittance Address:
2. Ordering Address:
Number, Street, and Apartment or Suite Number
Number, Street, and Apartment or Suite Number
City, State, and Nine Digit Zip Code or Country
City, State, and Nine Digit Zip Code or Country
Email Address
Part IV: Vendor Primary Contact Information Executive Authorized to Represent the Vendor
Primary Contact Name: ________________________________________________ Title:__________________________________________
Email Address: _______________________________________________________ Phone Number: ________________________
Part V: Certification and Exemption from Backup Withholding
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identification number (TIN), and
2. I am a U.S. citizen or other U.S. person, and
3. (Check one only):
I am not subject to backup withholding. I am (a) exempt from back up withholding, or (b) I have not been notified by the
Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or
(c) the IRS has notified me that I am no longer subject to backup withholding),or
I am subject to backup withholding. I have been notified by the IRS that I am subject to backup withholding as a result of a
failure to report all interest or dividends, and I have not been notified by the IRS that I am no longer subject to back withholding.
Sign Here:
___________________________________________________________ ____________________________ ____________________
Signature Title Date
___________________________________________________________ ______________________ ________________________
Print Preparer's Name Phone Number Email Address
DO NOT SUBMIT FORM TO IRS SUBMIT FORM TO NYS ONLY AS DIRECTED
AC 3237-S (Rev. 1/17)
NYS Office of the State Comptroller
Instructions for Completing Substitute Form W-9
New York State (NYS) must obtain your correct Taxpayer Identification Number (TIN) to report income
paid to you or your organization. NYS Office of the State Comptroller uses the Substitute Form W-9 to
obtain certification of your TIN in order to ensure accuracy of information contained in its payee/vendor
database and to avoid backup withholding.
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We ask for the information on the Substitute Form W-9 to
carry out the Internal Revenue laws of the United States. You are required to give us the information.
Any payee/vendor who wishes to do business with New York State must complete the Substitute Form
W-9. Substitute Form W-9 is the only acceptable documentation. We will not accept IRS Form W-9.
Part I: Vendor Information
1. Legal Business Name: For individuals, enter the name of the person who will do business with
NYS as it appears on the Social Security card or other required Federal tax documents. An
organization should enter the name shown on its charter or other legal documents that created the
organization. Do not abbreviate names.
2. Business name/disregarded entity name, if different from Legal Business Name: Enter your
DBA name or another name your entity is known by.
3. Entity Type: Check the Entity Type doing business with New York State.
Part II: Taxpayer Identification Number (TIN) and Taxpayer Identification Type
The TIN provided must match the name in the “Legal Business Name” box to avoid backup withholding.
For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor,
or disregarded entity, refers to IRS W-9 instructions for additional information. For other entities, it is your
employer identification number (EIN). If you do not have a number or if the account is in more than one
name, refer to IRS W-9 instructions for additional information.
1. Taxpayer Identification Number: Enter your nine-digit Social Security Number, Individual
Taxpayer Identification Number (ITIN) or Employer Identification Number (EIN).
2. Taxpayer Identification Type: Check the type of identification number provided.
Part III: Address
1. Remittance Address: Enter the address where payments, 1099s, if applicable, and official
correspondence should be mailed. This will become the default address.
2. Ordering Address: Enter the address where purchase orders should be sent. Please note that
purchase orders will be sent via email by default.
Part IV: Vendor Primary Contact Information
Please provide the contact information for an executive at your organization. This individual should be
the person who makes legal and financial decisions for your organization. Name, phone number and email
address are required.
Part V: Certification and Exemption from Backup Withholding
Check the appropriate box indicating your exemption status from backup withholding. Individuals and sole
proprietors are not exempt from backup withholding. Corporations are exempt from backup withholding
for certain types of payments. Refer to IRS Form W-9 instructions for additional information. The signature
should be provided by the individual, owner, officer, legal representative, or other authorized person of the
entity listed on the form. Certain exceptions to the signature requirement are listed in the IRS instructions
for form W-9.
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According to IRS Regulations, OSC must withhold 28% of all payments if a payee/vendor fails to provide OSC its certified TIN. The Substitute Form W-9
certifies a payee/vendor’s TIN.