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  5. PHILLIPS AUCTIONEERS LLC

PHILLIPS AUCTIONEERS LLC

Company Details

Name: PHILLIPS AUCTIONEERS LLC
Jurisdiction: New York
Legal type: FOREIGN LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 20 Jan 2006 (19 years ago)
Entity Number: 3308792
ZIP code: 10022
County: New York
Place of Formation: Delaware
Address: 432 PARK AVENUE, Fl 3, NEW YORK, NY, United States, 10022

Contact Details

Phone +1 212-940-1200

Phone +1 212-940-1309

Commercial and government entity program

CAGE number Status Type Established CAGE Update Date CAGE Expiration SAM Expiration
7FH98 Active Non-Manufacturer 2015-08-24 2024-03-01 2029-01-11 2025-01-08

Contact Information
POC PAMELA YOUNG-LI
Phone +1 212-940-1270
Fax +1 212-924-3306
Address 432 PARK AVE FL 3, NEW YORK, NY, 10022 3534, UNITED STATES

Ownership of Offeror Information
Highest Level Owner Information not Available
Immediate Level Owner
Vendor Certified 2024-01-11
CAGE number SAHA8
Company Name MERCURY INTERNATIONAL LIMITED
CAGE Last Updated 2023-06-04
List of Offerors (0) Information not Available

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
PHILLIPS AUCTIONEERS LLC 2015 300159130 2016-10-17 PHILLIPS AUCTIONEERS LLC 175
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2014-01-01
Business code 453920
Sponsor’s telephone number 2129401317
Plan sponsor’s mailing address 450 PARK AVE, NEW YORK, NY, 100222605
Plan sponsor’s address 450 PARK AVE, NEW YORK, NY, 100222605

Number of participants as of the end of the plan year
Active participants 146
Retired or separated participants receiving benefits 1
Other retired or separated participants entitled to future benefits 36
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 0
Number of participants with account balances as of the end of the plan year 70
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 0

Signature of
Role Plan administrator
Date 2016-10-17
Name of individual signing ANNETTE SCHWAER
Valid signature Filed with authorized/valid electronic signature

DOS Process Agent

Name Role Address
PHILLIPS AUCTIONEERS LLC DOS Process Agent 432 PARK AVENUE, Fl 3, NEW YORK, NY, United States, 10022

Licenses

Number Status Type Date End date
2032318-DCA Active Business 2016-01-11 2024-04-30
2032316-DCA Active Business 2016-01-11 2025-07-31
2013224-DCA Inactive Business 2014-09-11 No data

History

Start date End date Type Value
2023-11-21 2024-01-02 Address 432 PARK AVENUE, Fl 3, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2014-06-18 2023-11-21 Address 450 PARK AVENUE, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2006-01-20 2014-06-18 Address 450 WEST 15TH STREET, NEW YORK, NY, 10011, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
240102006189 2024-01-02 BIENNIAL STATEMENT 2024-01-02
231121000746 2023-11-21 BIENNIAL STATEMENT 2022-01-01
180102006236 2018-01-02 BIENNIAL STATEMENT 2018-01-01
160105006152 2016-01-05 BIENNIAL STATEMENT 2016-01-01
140618006090 2014-06-18 BIENNIAL STATEMENT 2014-01-01
130206001234 2013-02-06 CERTIFICATE OF AMENDMENT 2013-02-06
120215002191 2012-02-15 BIENNIAL STATEMENT 2012-01-01
080128002274 2008-01-28 BIENNIAL STATEMENT 2008-01-01
060120000751 2006-01-20 APPLICATION OF AUTHORITY 2006-01-20

Inspections

Date Inspection Object Address Grade Type Institution Desctiption
2022-03-14 No data 432 PARK AVE, Manhattan, NEW YORK, NY, 10022 No Violation Issued Inspectorate of the Department of Consumer and Workers' Rights Protection Department of Consumer and Worker Protection No data
2019-06-03 No data 450 PARK AVE, Manhattan, NEW YORK, NY, 10022 No Violation Issued Inspectorate of the Department of Consumer and Workers' Rights Protection Department of Consumer and Worker Protection No data
2016-05-07 No data 450 PARK AVE, Manhattan, NEW YORK, NY, 10022 No Violation Issued Inspectorate of the Department of Consumer and Workers' Rights Protection Department of Consumer and Worker Protection No data

Fine And Fees

Fee Sequence Id Fee type Status Date Amount Description
3658244 RENEWAL INVOICED 2023-06-20 340 Secondhand Dealer General License Renewal Fee
3634714 RENEWAL INVOICED 2023-04-28 500 Pawnbroker License Renewal Fee
3524547 RENEWAL INVOICED 2022-09-20 500 Pawnbroker License Renewal Fee
3451979 PROCESSING INVOICED 2022-06-01 50 License Processing Fee
3451980 DCA-SUS CREDITED 2022-06-01 450 Suspense Account
3431161 RENEWAL CREDITED 2022-03-25 500 Pawnbroker License Renewal Fee
3380837 LICENSE REPL INVOICED 2021-10-14 15 License Replacement Fee
3380839 LICENSE REPL INVOICED 2021-10-14 15 License Replacement Fee
3380841 LICENSE REPL INVOICED 2021-10-14 15 License Replacement Fee
3354159 RENEWAL INVOICED 2021-07-28 340 Secondhand Dealer General License Renewal Fee

OSHA's Inspections within Industry

Inspection Nr Report ID Date Opened Site Address
339454811 0215600 2013-10-25 29-09 37TH AVENUE, LONG ISLAND CITY, NY, 11101
Inspection Type Complaint
Scope Partial
Safety/Health Safety
Close Conference 2013-10-25
Emphasis N: DUSTEXPL
Case Closed 2014-03-13

Related Activity
Type Complaint
Activity Nr 856798
Safety Yes

Violation Items
Citation ID 01001A
Citaton Type Other
Standard Cited 19100037 A03
Issuance Date 2014-01-23
Current Penalty 3000.0
Initial Penalty 3825.0
Final Order 2014-02-18
Nr Instances 2
Nr Exposed 22
Related Event Code (REC) Complaint
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.37(a)(3): Exit route(s) were not kept free and unobstructed: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 An emergency exit route inside of the building was observed blocked by wooden boxes, wooden pallets and additional debris item preventing safe egress from the building from the event of a fire and/or other emergency. WRITTEN ABATEMENT CERTIFICATION IS NOT REQUIRED
Citation ID 01001B
Citaton Type Serious
Standard Cited 19100037 B01
Issuance Date 2014-01-23
Abatement Due Date 2014-02-11
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
Gravity 5
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.37(b)(1): 29 CFR 1910.37(b)(1): Each exit route was not adequately lighted so that employees with normal vision could see along the exit route: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 (Photo Studio) An emergency exit route was not adequately lit preventing safe and prompt egress from the area in the event of a fire and/or other emergency. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 01001C
Citaton Type Serious
Standard Cited 19100037 B04
Issuance Date 2014-01-23
Abatement Due Date 2014-02-11
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
Gravity 5
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.37(b)(4): Signs were not posted along the exit access indicating the direction of travel to the nearest exit and exit discharge when the direction of travel to the exit or exit discharge was not immediately apparent: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 Directional exit signs were not posted throughout the facility preventing safe and prompt egress from the building in the event of a fire and/or other emergency. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 01002
Citaton Type Other
Standard Cited 19100141 A03 I
Issuance Date 2014-01-23
Abatement Due Date 2014-02-19
Current Penalty 3000.0
Initial Penalty 3825.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
Related Event Code (REC) Complaint
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.141(a)(3)(i): Places of employment were not kept clean to the extent that the nature of the work allowed A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 (Wood Shop) Poor housekeeping was observed maintained in the building with the accumulation of dust creating a fire/explosion hazard. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 02001
Citaton Type Other
Standard Cited 19100134 C02 I
Issuance Date 2014-01-23
Abatement Due Date 2014-02-11
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 1
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.134(c)(2)(i): Respirator users were not provided with the information contained in Appendix D to 29 CFR 1910.134 when the employer determined that any voluntary respirator use was permissible: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 The employer failed to provide employees that use respirators on a voluntary basis during the assembly of wooden art pedestals Appendix D of the Respiratory Protection Standard. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 02002A
Citaton Type Other
Standard Cited 19101200 E01
Issuance Date 2014-01-23
Abatement Due Date 2014-03-12
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.1200(e)(1): The employer did not develop, implement, and/or maintain at the workplace a written hazard communication program which describes how the criteria specified in 29 CFR 1910.1200(f), (g), and (h) will be met: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 The employer did not develop and implement a written hazard communication program for employees that are required to use hazardous chemicals such as but not limited too; Lineco Neutral pH adhesive and denatured alcohol to perform their job duties. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 02002B
Citaton Type Other
Standard Cited 19101200 G08
Issuance Date 2014-01-23
Abatement Due Date 2014-02-11
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.1200(g)(8): The employer did not ensure that material safety data sheets were readily accessible to the employees in their work area during each work shift: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 The employer failed to ensure the required material safety data sheets for hazardous chemicals such as but not limited too; Lineco Neutral pH adhesive and denatured alcohol were made accessible to employees during their work shift. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19
Citation ID 02002C
Citaton Type Other
Standard Cited 19101200 H01
Issuance Date 2014-01-23
Abatement Due Date 2014-03-12
Current Penalty 0.0
Initial Penalty 0.0
Final Order 2014-02-18
Nr Instances 1
Nr Exposed 22
FTA Current Penalty 0.0
Citation text line 29 CFR 1910.1200(h)(1): Employees were not provided effective information and training on hazardous chemicals in their work area at the time of their initial assignment and whenever a new hazard that the employees had not been previously trained about was introduced into their work area: A.) On or about Friday, October 25, 2013 at 29-09 37th Avenue, Long Island City, NY 11101 The employer failed to provide effective information and training to employees that are required to use hazardous chemicals such as but not limited too; denatured alcohol and Lineco Neutral pH adhesive to perform their job duties exposing the employees to various hazards. WRITTEN ABATEMENT CERTIFICATION IS REQUIRED PURSUANT TO 29 CFR 1903.19

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
2869637306 2020-04-29 0202 PPP 450 PARK AVE, NEW YORK, NY, 10022
Loan Status Date 2021-07-21
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 3539000
Loan Approval Amount (current) 3539000
Undisbursed Amount 0
Franchise Name -
Lender Location ID 224478
Servicing Lender Name Signature Bank
Servicing Lender Address 565 5th Ave, 12th Fl, NEW YORK CITY, NY, 10017-2496
Rural or Urban Indicator U
Hubzone N
LMI N
Business Age Description Existing or more than 2 years old
Project Address NEW YORK, NEW YORK, NY, 10022-0001
Project Congressional District NY-12
Number of Employees 222
NAICS code 453998
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Limited Liability Company(LLC)
Originating Lender ID 224478
Originating Lender Name Signature Bank
Originating Lender Address NEW YORK CITY, NY
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 3577783.56
Forgiveness Paid Date 2021-06-11

Motor Carrier Census

USDOT Number Carrier Operation MCS-150 Form Date MCS-150 Mileage MCS-150 Year Power Units Drivers Operation Classification
1913548 Interstate 2024-06-11 4956 2021 5 2 Auth. For Hire
Legal Name PHILLIPS AUCTIONEERS LLC
DBA Name PHILLIPS
Physical Address 432 PARK AVE, NEW YORK, NY, 10022, US
Mailing Address 432 PARK AVE, NEW YORK, NY, 10022, US
Phone (212) 940-1379
Fax -
E-mail JRAMOUNTOS@PHILLIPS.COM

Safety Measurement System - All Transportation
Total Number of Inspections for the measurement period (24 months) 0
Driver Fitness BASIC Serious Violation Indicator No
Vehicle Maintenance BASIC Acute/Critical Indicator No
Unsafe Driving BASIC Acute/Critical Indicator No
Driver Fitness BASIC Roadside Performance measure value 0
Hours-of-Service (HOS) Compliance BASIC Roadside Performance measure value 0
Total Number of Driver Inspections for the measurment period 0
Vehicle Maintenance BASIC Roadside Performance measure value 0
Total Number of Vehicle Inspections for the measurement period 0
Controlled Substances and Alcohol BASIC Roadside Performance measure value 0
Unsafe Driving BASIC Roadside Performance Measure Value 0
Number of inspections with at least one Driver Fitness BASIC violation 0
Number of inspections with at least one Hours-of-Service BASIC violation 0
Total Number of Driver Inspections containing at least one Driver Out-of-Service Violation 0
Number of inspections with at least one Vehicle Maintenance BASIC violation 0
Total Number of Vehicle Inspections containing at least one Vehicle Out-of-Service violation 0
Number of inspections with at least one Controlled Substances and Alcohol BASIC violation 0
Number of inspections with at least one Unsafe Driving BASIC violation 0

Court Cases

Docket Number Nature of Suit Filing Date Disposition
2001888 Other Contract Actions 2020-03-03 voluntarily
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Both plaintiff and defendant demand jury
Demanded Amount 3000000
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2020-03-03
Termination Date 2020-03-19
Section 0294
Status Terminated

Parties
Name PHILLIPS AUCTIONEERS LLC
Role Plaintiff
Name GROSSO
Role Defendant
2009976 Other Contract Actions 2020-11-25 voluntarily
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress no court action
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2020-11-25
Termination Date 2020-12-29
Section 1332
Sub Section OC
Status Terminated

Parties
Name CHANG
Role Plaintiff
Name PHILLIPS AUCTIONEERS LLC
Role Defendant
1902442 Other Contract Actions 2019-03-19 other
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order entered
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2019-03-19
Termination Date 2020-01-27
Date Issue Joined 2019-12-09
Section 1332
Sub Section BC
Status Terminated

Parties
Name HINSON
Role Plaintiff
Name PHILLIPS AUCTIONEERS LLC
Role Defendant
2004370 Other Contract Actions 2020-06-08 motion before trial
Circuit Second Circuit
Origin original proceeding
Jurisdiction diversity of citizenship
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress order decided
Nature Of Judgment no monetary award
Judgement defendant
Arbitration On Termination Missing
Office 1
Filing Date 2020-06-08
Termination Date 2020-12-17
Section 1332
Sub Section BC
Status Terminated

Parties
Name JN CONTEMPORARY ART LLC
Role Plaintiff
Name PHILLIPS AUCTIONEERS LLC
Role Defendant
1810467 Americans with Disabilities Act - Other 2018-11-10 settled
Circuit Second Circuit
Origin original proceeding
Jurisdiction federal question
Jury Demand Plaintiff demands jury
Demanded Amount 0
Termination Class Action Missing
Procedural Progress other
Nature Of Judgment no monetary award
Judgement missing
Arbitration On Termination Missing
Office 1
Filing Date 2018-11-10
Termination Date 2019-03-11
Date Issue Joined 2019-01-30
Section 1331
Sub Section OT
Status Terminated

Parties
Name DELACRUZ
Role Plaintiff
Name PHILLIPS AUCTIONEERS LLC
Role Defendant

Related by officers

No related officers

Related by address

No related companies by address

Date of last update: 29 Mar 2025

Sources: New York Secretary of State

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