2022-09-09T12:25:40-05:00 2020-09-30 346565596 ERNST & YOUNG US LLP 200 CLARENDON ST BOSTON MA 02116 990 2019-10-01 141736429 VASSAR BROTHERS HOSPITAL FOUNDATION VASS 8454759500 45 READE PLACE POUGHKEEPSIE NY 12601 STEVEN H ROSENBERG CFO 8454759500 2021-12-22 1 MIKE A CINCOTTA P01595811 6172662000 2021-12-22 2019 2023-04-26 12:10:37Z GRACE LINHARDCDO NUVANCE 45 READE PLACE POUGHKEEPSIE NY 12601 18196542 0 X WWW.NUVANCEHEALTH.ORG X 1990 NY FUNDRAISING FOR THE HOSPITAL'S AND AFFILIATE'S BENEFIT 17 16 0 23 0 0 5192316 13960337 0 0 454371 3907774 -79709 -21048 5566978 17847063 804519 513198 0 0 383012 0 0 0 0 147205 1720621 1334736 2233819 4232242 15613244 48657332 64309875 448718 2410519 48208614 61899356 BECOME THE PARTNER-IN-HEALTH FOR THE PEOPLE THROUGHOUT THE CORE REGIONS OF WESTERN CONNECTICUT AND THE HUDSON VALLEY OF NEW YORK THROUGH THE EFFICIENT DELIVERY OF EXCELLENT, INNOVATIVE AND COMPASSIONATE CARE. 0 0 513198 513198 0 THE FOUNDATION FOR VBMC SOLICITS, RECEIVES AND ADMINISTERS FUNDS WHICH ARE PROVIDED BY THE GENERAL PUBLIC FOR THE BENEFIT OF VASSAR BROTHERS MEDICAL CENTER AND ITS CHARITABLE AFFILIATES. 513198 1 1 0 0 0 0 0 0 1 1 0 0 0 1 1 0 1 0 0 0 0 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 X 17 16 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 0 0 0 0 NY X KAREN DARCY 2037394593 100 RESERVE ROAD DANBURY CT 06810 X STEVEN H ROSENBERG TREASURER (FROM 01/01) 1.00 40.00 X 0 1529199 644898 MICHAEL HOLZHUETER ASST. SECRETARY (TO 12/11) 1.00 40.00 X 0 1322215 107232 SIMON GORWARA MD TRUSTEE/HV CARDIO PHYS. (TO 12/31) 0.50 40.00 X 0 1014566 57890 CAROLYN MCKENNA ASST. SECRETARY (FROM 01/01) 1.00 40.00 X 0 963570 53648 MARK HARRISON TRUSTEE/HV CARDIO PHYS. (FROM 01/01) 0.50 40.00 X 0 899735 56935 KATHERINE BACHER TREASURER (TO 12/31) 1.00 40.00 X 0 866306 77904 GRACE LINHARD CHIEF DEVELOPMENT OFFICER 1.00 40.00 X 0 602893 20473 ANN MCMACKIN VBMC PRESIDENT 0.00 0.00 X 0 528846 0 ANN ARMATER SR. VP. DEV./EXECUTIVE DIRECTOR 3.00 40.00 X 0 338714 46647 CHERYL BOOTH ASST. SECRETARY (TO 12/31) 1.00 40.00 X 0 122764 35710 RANDI PETROVITS TRUSTEE (TO 12/31) 0.50 0.00 X 0 0 0 ELIZABETH SHEQUINE TRUSTEE (TO 12/31) 0.50 0.00 X 0 0 0 REBECCA SEAMAN TRUSTEE 0.50 0.00 X 0 0 0 NANCY BROWNELL TRUSTEE 0.50 0.00 X 0 0 0 SARAH LEVINE CHAIR (TO 12/31) 1.00 0.00 X X 0 0 0 SCOTT SWEENEY TRUSTEE 0.50 0.00 X 0 0 0 MARGARET BOVA CHAIR (FROM 01/01) 1.00 0.00 X X 0 0 0 MAUREEN KANGAS TRUSTEE 0.50 0.00 X 0 0 0 STANLEY BEINSTEIN TRUSTEE (TO 09/30) 0.50 0.00 X 0 0 0 JUDITH BLEAKLEY O'NEILL TRUSTEE 0.50 0.00 X 0 0 0 KIMBERLY HUNT LEE VICE CHAIR (FROM 01/01) 1.00 0.00 X X 0 0 0 CHRISTOPHER BROMLEY MD TRUSTEE (TO 12/31) 0.50 0.00 X 0 0 0 MICHAEL MAZZUCA JR TRUSTEE 0.50 0.00 X 0 0 0 JANELLE ANNE STYLES TRUSTEE 0.50 0.00 X 0 0 0 JOSEPH TOCKARSHEWSKY TRUSTEE (TO 12/31) 0.50 0.00 X 0 0 0 LOUIS CASCIARO TRUSTEE (TO 4/22) 0.50 0.00 X 0 0 0 NILOUFER RODRIGUES MD TRUSTEE 0.50 0.00 X 0 0 0 ROBERT RANIERI TRUSTEE 0.50 0.00 X 0 0 0 MICHAEL HORODYSKI TRUSTEE 0.50 0.00 X 0 0 0 SHARON FAULKNER TRUSTEE 0.50 0.00 X 0 0 0 CRAIG IRWIN TRUSTEE 0.50 0.00 X 0 0 0 KRISTI BRIEN TRUSTEE (FROM 01/01) 0.50 0.00 X 0 0 0 0 8188808 1101337 0 1 1 0 0 45162 13915175 502013 13960337 3907774 3907774 309247 309247 0 0 19184 45162 40232 -21048 -21048 17847063 0 0 3886726 513198 513198 1671535 1671535 43830 43830 5256 5256 2233819 513198 1720621 0 6569734 11294586 8573464 16791163 1609 265 147763 115236 37783 32527 33468472 36174102 6270 17232 48657332 64309875 68154 4878 380564 2405641 448718 2410519 X 30729638 31791652 17478976 30107704 48208614 61899356 48657332 64309875 X 15613244 -1416884 -505618 X 0 1 X 1 0 X 946851 3293450 6413794 5192316 13960337 29806748 946851 3293450 6413794 5192316 13960337 29806748 12489476 17317272 2064571 1348269 2259928 454371 3907774 10034913 122785 90386 92426 65430 0 371027 40212688 0.43060 0.46010 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: AFILLIATE REVENUE - 2015 AMOUNT: $ 122,785. 2016 AMOUNT: $ 90,386. 2017 AMOUNT: $ 92,426. 2018 AMOUNT: $ 65,430. SCHEDULE A, PART II: THE ORGANIZATION FILED A SHORT PERIOD RETURN FOR FISCAL YEAR 2019 (1/1/19-9/30/19). AS A RESULT OF THE MERGER WITH WESTERN CONNECTICUT HEALTH NETWORK (WCHN), VASSAR BROTHERS HOSPITAL FOUNDATION CHANGED ITS TAX YEAR FROM 12/31 TO 9/30 TO ALIGN WITH WCHN AND AFFILIATES. THE AMOUNTS REPORTED IN COLUMN (D) FOR 2018 REPRESENT THE 9 MONTH PERIOD FOR FISCAL YEAR ENDED 9/30/19 AND THE AMOUNTS REPORTED IN COLUMN (E) FOR 2019 REPRESENT THE 12-MONTH PERIOD ENDED 9/30/20. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 448429 448429 448429 448429 448379 50 448429 447589 790 448379 447589 447589 1.00000 0 0 12230 3932 8298 135533 111304 24229 32527 DUE TO AFFILIATES 2405641 2405641 X PART X, LINE 2: AS OF SEPTEMBER 30, 2020, THERE ARE NO UNRECOGNIZED TAX BENEFITS RESULTING FROM UNCERTAIN TAX POSITIONS. SCHEDULE D, PART V, LINE 4 -ENDOWMENT FUNDS: ENDOWMENT FUNDS INTENDED USE IS FOR NICU AND HONORIA RELATED TO FUNDING FOR NURSES TO ATTEND ANNUAL MATERNAL/CHILD HEALTH NURSING CONFERENCE. GOLF 64346 45162 19184 31412 8820 64346 45162 19184 31412 8820 40232 -21048 1 VASSAR BROTHERS MEDICAL CENTER 45 READE PLACE POUGHKEEPSIE NY 12601 141338586 501(C)(3) 331260 90969 FMV COVID-19 SUPPLIES/MEALS GENERAL SUPPORT 1 0 PART I, LINE 2: PROCEDURES FOR MONITORING USE OF GRANTS FUNDS IN U.S.: ALL GRANTS WERE MADE TO VASSAR BROTHERS HOSPITAL FOUNDATION, RELATED IRC SEC. 501(C)(3) ORGANIZATIONS, THEREFORE IT WAS NOT NECESSARY TO REVIEW THE PUBLIC CHARITY STATUS OF THE DONEE. THE PURPOSE OF THE GRANT FUNDS ARE REVIEWED AND APPROVED BY FOUNDATION OFFICERS TO ASSURE COMPLIANCE WITH DONOR INTENTIONS AND/OR BOARD APPROVALS. 1 1 0 0 0 0 0 1 0 STEVEN H ROSENBERG TREASURER (FROM 01/01) 0 653858 0 532200 0 343141 0 605000 0 39898 0 2174097 0 311957 MICHAEL HOLZHUETER ASST. SECRETARY (TO 12/11) 0 644775 0 650552 0 26888 0 67893 0 39339 0 1429447 0 0 SIMON GORWARA MD TRUSTEE/HV CARDIO PHYS. (TO 12/31) 0 572402 0 422922 0 19242 0 16800 0 41090 0 1072456 0 0 CAROLYN MCKENNA ASST. SECRETARY (FROM 01/01) 0 467018 0 489986 0 6566 0 13750 0 39898 0 1017218 0 0 MARK HARRISON TRUSTEE/HV CARDIO PHYS. (FROM 01/01) 0 573362 0 307895 0 18478 0 16800 0 40135 0 956670 0 0 KATHERINE BACHER TREASURER (TO 12/31) 0 559300 0 206882 0 100124 0 73780 0 4124 0 944210 0 0 GRACE LINHARD CHIEF DEVELOPMENT OFFICER 0 348637 0 226500 0 27756 0 16500 0 3973 0 623366 0 0 ANN MCMACKIN VBMC PRESIDENT 0 0 0 0 0 528846 0 0 0 0 0 528846 0 0 ANN ARMATER SR. VP. DEV./EXECUTIVE DIRECTOR 0 277785 0 18911 0 42018 0 16800 0 29847 0 385361 0 0 CHERYL BOOTH ASST. SECRETARY (TO 12/31) 0 122764 0 0 0 0 0 7375 0 28335 0 158474 0 0 PART I, LINE 3 VBHF RELIED ON HEALTH QUEST SYSTEMS, A RELATED TAX EXEMPT ORGANIZATION, WHICH USED AN EXECUTIVE COMPENSATION COMMITTEE, AN INDEPENDENT THIRD PARTY, WRITTEN EMPLOYMENT CONTRACTS, COMPENSATION SURVEYS OR STUDIES AND, APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE TO GATHER COMPARABLE DATA TO APPROVE AND DETERMINE COMPENSATION FOR THE CEO, TOP MANAGEMENT AND OTHER KEY EMPLOYEES. PART I, LINE 4A DURING THE CALENDAR ENDING DECEMBER 31, 2019, ANN MCMACKIN RECEIVED $528,846 IN SEVERANCE PAYMENTS, BIWEEKLY, STARTING JANUARY 3, 2019 AND ENDING SEPTEMBER 26, 2019. THE PAYMENTS STARTED APPROXIMATELY 60 DAYS AFTER HER TERMINATION DATE OF NOVEMBER 7, 2018. PART VII OF THE CURRENT YEAR'S TAX RETURN REFLECTS THIS AMOUNT. PART I, LINE 4B WESTERN CONNECTICUT HEALTH NETWORK (WCHN), A RELATED ORGANIZATION, PREVIOUSLY ESTABLISHED A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) WHICH PROVIDES SUPPLEMENTAL RETIREMENT BENEFITS TO KEY MEMBERS OF THE EXECUTIVE GROUP. UNDER THE AGREEMENTS FOR THE SERP, AMOUNTS PROMISED TO ELIGIBLE EXECUTIVES ARE BASED ON TARGETED RETIREMENT BENEFITS AND THE PAYMENT OF BENEFITS IS SUBJECT TO VESTING. THE BENEFITS AT THE VESTED AGE ARE PROVIDED IN THE FORM OF AN ACTUARIAL EQUIVALENT LUMP SUM PLUS A TAX GROSS-UP AMOUNT TO THE PARTICIPANTS. WCHN MAINTAINS AN ACCRUAL ON ITS BOOKS FOR THE PARTICIPANTS OF THE SERP. THE ACCRUALS ARE MAINTAINED SOLELY FOR ACCOUNTING PURPOSES AND ARE UNFUNDED. STEVEN H. ROSENBERG PARTICIPATED IN THE SERP AND ACCRUED BENEFITS AS OF SEPTEMBER 30, 2020. FOR CALENDAR YEAR 2019, STEVEN H. ROSENBERG RECEIVED A PAYOUT OF $311,957, WHICH IS REFLECTED AS COMPENSATION ON SCHEDULE J, PART II ON THE FORM 990, FOR THE CURRENT YEAR. MICHAEL HOLZHEUTER AND KATHERINE BACHER PARTICIPATE IN A SERP PLAN WITH HEALTH QUEST SYSTEMS, INC. (HEALTH QUEST), A RELATED ORGANIZATION. HEALTH QUEST MADE THE FOLLOWING CONTRIBUTIONS TO THE PARTICIPANTS, WHICH ARE REPORTED ON SCHEDULE J, PART II: MICHAEL HOLZHUETER - $51,093 KATHERINE BACHER - $56,980 PART I, LINE 7 COMPENSATION CONTINGENT ON NET EARNINGS OR RELATED ORGANIZATION NUVANCE HEALTH ANNUAL LEADERSHIP INCENTIVE PLAN (EXCERPTS FROM) THE PURPOSE OF THE NUVANCE HEALTH ANNUAL LEADERSHIP INCENTIVE PLAN ("PLAN") IS TO ENGAGE AND MOTIVATE THE ORGANIZATION'S LEADERS TO FURTHER THE CHARITABLE MISSION OF NUVANCE HEALTH AND ITS AFFILIATES AND SUBSIDIARIES, BY PROMOTING EFFECTIVE MANAGEMENT OF OPERATIONS, DELIVERY OF HIGH QUALITY CARE AND SERVICE, AND RESPONSIBLE USE OF RESOURCES TO MEET COMMUNITY NEEDS. THIS PLAN IS INTENDED TO ASSIST NUVANCE HEALTH, AND ITS AFFILIATES AND SUBSIDIARIES TO ATTRACT AND RETAIN LEADERSHIP WITH THE TALENT AND EXPERIENCE NEEDED TO BE SUCCESSFUL BY PROVIDING MEANINGFUL INCENTIVES AND REWARDS FOR OUTSTANDING PERFORMANCE. INDIVIDUALS MUST BE AN ELIGIBLE EMPLOYEE TO BE CONSIDERED AS A PARTICIPANT IN THIS PLAN. AN ELIGIBLE EMPLOYEE IS AN INDIVIDUAL EMPLOYED BY NUVANCE HEALTH AND HOLDS A POSITION ASSIGNED TO ONE OF THE FOLLOWING TIERS, AS OF APRIL 30TH OF THE PLAN YEAR: -TIER I, PRESIDENT, CEO, SENIOR EXECUTIVE -TIER II, EXECUTIVE -TIER III, SENIOR LEADER (A) -TIER III, SENIOR LEADER (B) -TIER IV, LEADER (A) ORGANIZATIONAL GOALS ARE GENERALLY BASED ON THE FOLLOWING CATEGORIES AND ARE WEIGHTED THROUGH A SPLIT BETWEEN ORGANIZATIONAL AND INDIVIDUAL: QUALITY AND SERVICE PEOPLE AND CULTURE PATIENT EXPERIENCE FINANCIAL STRENGTH EACH PLAN YEAR, THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD ("THE COMMITTEE"), IN ITS SOLE DISCRETION AND UNLESS OTHERWISE APPROPRIATELY DELEGATED, SELECTS PARTICIPANTS FROM A LIST OF ELIGIBLE EMPLOYEES NOMINATED BY THE CEO. THE CEO, EX OFFICIO, IS AN ELIGIBLE EMPLOYEE FOR PURPOSES OF SELECTION TO PARTICIPATE IN THE PLAN. EACH PLAN YEAR, THE COMMITTEE, BASED ON INPUT FROM THE CEO, MAY ESTABLISH A THRESHOLD AWARD, A TARGET AWARD AND/OR A MAXIMUM AWARD FOR EACH PARTICIPANT. AWARD OPPORTUNITIES ARE ESTABLISHED BASED ON COMPETITIVE MARKET PRACTICES AND ON NUVANCE HEALTH'S COMPENSATION PHILOSOPHY. AWARD OPPORTUNITIES MAY BE BASED ON ADDITIONAL FACTORS, INCLUDING NUVANCE HEALTH'S FINANCIAL AND OPERATIONAL PERFORMANCE, REFLECTING MARKET PAY PRACTICES AND BENCHMARKING FOR COMPARABLE POSITIONS, AND ANY OTHER FACTORS DEEMED RELEVANT BY THE COMMITTEE. EACH PLAN YEAR, THE COMMITTEE, AND UNLESS OTHERWISE APPROPRIATELY DELEGATED FOR ANY PLAN YEAR, SHALL ESTABLISH PERFORMANCE GOALS TO EVALUATE THE PERFORMANCE OF EACH PARTICIPANT. AFTER COMPLETION OF EACH PLAN YEAR, THE COMMITTEE MAY EVALUATE WHETHER THE PERFORMANCE OF NUVANCE HEALTH AND PARTICIPANT MEETS OR EXCEEDS THE PERFORMANCE GOALS ESTABLISHED FOR THE PLAN YEAR. IF PERFORMANCE WARRANTS, THE COMMITTEE MAY APPROVE A FINAL AWARD AMOUNT FOR EACH PARTICIPANT AND APPROVE ANY ADDITIONAL CONDITION ON PAYMENT OF THE AWARD. X 11 411044 FAIR MARKET VALUE X COVID CONTRIBUTIONS 56546 90969 FAIR MARKET VALUE 0 0 1 0 PART I, COLUMN (B): LINE 11 SECURITIES: THE NUMBER IN COLUMN (B) OF LINE 11 REPRESENTS THE TOTAL NUMBER OF STOCK CONTRIBUTORS INCLUDING STOCK PLEDGES RECEIVED IN FY20. LINE 25 COVID-19 SUPPLIES: THE NUMBER IN COLUMN (B) OF LINE 25 REPRESENTS THE TOTAL NUMBER OF COVID-19 RELATED SUPPLY CONTRIBUTIONS RECEIVED IN FY20. FORM 990, PART VI, SECTION A, LINE 6 THE SOLE MEMBER OF VBHF IS HEALTH QUEST SYSTEMS INC. NUVANCE HEALTH IS THE SOLE MEMBER OF HEALTH QUEST SYSTEMS, INC. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBER (HEALTH QUEST SYSTEM INC.) SHALL ELECT THE CORPORATION'S OFFICERS. SUBJECT TO THE APPROVAL OF THE MEMBER, ANY VACANCY OR VACANCIES OCCURRING IN ANY OFFICE OF THE CORPORATION MAY BE FILLED UNTIL THE NEXT MEETING AT WHICH OFFICERS ARE ELECTED BY THE AFFIRMATIVE VOTE OF THE REMAINING DIRECTORS IN OFFICE AT ANY MEETING OF THE BOARD, THOUGH SUCH REMAINING DIRECTORS MAY CONSTITUTE LESS THAN A QUORUM. ANY DIRECTOR MAY BE REMOVED AT ANY TIME WITH OR WITHOUT CAUSE BY THE MEMBER. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN FUNDAMENTAL DECISIONS TO BE UNDERTAKEN BY THE CORPORATION REQUIRE THE APPROVAL OF THE MEMBER, INCLUDING BUT NOT LIMITED TO THE FOLLOWING: (I) ELECTION OR REMOVAL OF A DIRECTOR OR AN OFFICER WHO IS NOT AN EMPLOYEE OR CONTRACTOR; (II) AMENDMENT OF THE CORPORATION'S ORGANIZATIONAL DOCUMENTS; (III) ADOPTION OF OR REVISIONS TO POLICIES RELATING TO THE CONTROL AND SUPERVISION OF THE INVESTMENT OF THE CORPORATION'S FUNDS; (IV) ADOPTION OF OR AMENDMENT TO ANY OF THE CORPORATION'S QUALIFIED OR NON-QUALIFIED BENEFIT PLANS; (V) ADOPTION OF OR REVISIONS TO ANY SYSTEM-WIDE QUALITY, PERFORMANCE AND CREDENTIALING STANDARDS AND PROCEDURES; (VI) APPROVAL OF ALL AUDITED FINANCIAL STATEMENTS, WHICH INCLUDES REVIEW OF THE SYSTEMWIDE ACCOUNTING POLICIES AND CONTROLS AND THE SELECTION OF THE INDEPENDENT AUDITORS; (VII) ADOPTION OF OR ANY MATERIAL REVISIONS TO THE CAPITAL BUDGET AND OPERATING BUDGET; (VIII) ADOPTION OF, REVISIONS TO AND OVERSIGHT OF ANY SYSTEM-WIDE POLICIES AND PRACTICES RELATING TO REGULATORY COMPLIANCE; (IX) ANY ASSIGNMENT FOR THE BENEFIT OF CREDITORS, THE FILING OF ANY PETITION IN VOLUNTARY BANKRUPTCY, THE FILING OF ANY PETITION OR ANSWER SEEKING REORGANIZATION, OR AN ARRANGEMENT WITH CREDITORS UNDER THE FEDERAL BANKRUPTCY LAW; (X) ANY CHANGE IN THE TAX STATUS OF OR REVISION OF, THE CHARITY CARE POLICIES; (XI) ANY MERGER, CONSOLIDATION OR SIMILAR TRANSACTION; (XII) ANY INCURRENCE, ASSUMPTION, OR GUARANTEE OF ANY DEBT. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED BY AN INDEPENDENT ACCOUNTING FIRM USING INFORMATION PROVIDED BY THE ORGANIZATION AND A DRAFT FORM 990 IS REVIEWED BY INTERNAL MANAGEMENT. A COMPLETE DRAFT IS THEN POSTED TO AN INTRANET SITE FOR NUVANCE BOARD MEMBERS, THE ULTIMATE PARENT OF THE ORGANIZATION, TO REVIEW PRIOR TO FILING. THE FORM 990 IS THEN SIGNED AND FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS, TRUSTEES/DIRECTORS, KEY EMPLOYEES AND OTHER DISQUALIFIED PERSONS ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. RESPONSES ARE REVIEWED BY THE CHIEF COMPLIANCE, AUDIT & PRIVACY OFFICER. AFTER A POTENTIAL CONFLICT OF INTEREST IS DISCLOSED ALONG WITH ALL RELATED MATERIAL FACTS, THE BOARD PROCEEDS TO DISCUSS AND DETERMINE THROUGH A MAJORITY VOTE OF THE DISINTERESTED MEMBERS WHETHER AN ACTUAL CONFLICT OR DUALITY OF INTEREST EXISTS. IF THE INTERESTED PERSON IS PRESENT AT THE START OF THE DISCUSSION, HE OR SHE MAY ANSWER QUESTIONS RELATED TO THE MATTER AND PROVIDE ADDITIONAL, RELEVANT FACTS BUT IS REQUIRED TO LEAVE THE MEETING DURING DELIBERATIONS REGARDING WHETHER AN ACTUAL CONFLICT OR DUALITY OF INTEREST EXISTS. FORM 990, PART VI, SECTION B, LINE 14: THE ORGANIZATION FOLLOWS A RECORD RETENTION POLICY THAT HAS BEEN APPROVED ONLY BY THE AUDIT COMMITTEE, NOT THE FULL BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION FOR THE CEO, TOP MANAGEMENT OFFICIAL AND OTHER KEY EMPLOYEES IS ESTABLISHED BY THE HEALTH QUEST EXECUTIVE COMPENSATION COMMITTEE BASED ON INFORMATION AND RECOMMENDATIONS OF AN INDEPENDENT THIRD PARTY. FORM 990, PART VI, SECTION C, LINE 19 POLICIES AND FINANCIAL STATEMENTS FOR THE AFFILIATE ARE AVAILABLE TO THE PUBLIC UPON REQUEST. THE DOCUMENTS ARE PROVIDED EITHER ELECTRONICALLY OR PAPER COPIES. IN ADDITION, CERTAIN FINANCIAL INFORMATION IS AVAILABLE ON VARIOUS WEBSITES DUE TO REGULATORY FILINGS SUCH AS THE 990 AND BOND HOLDER AGREEMENTS. FORM 990, PART VII (ADDT'L INFORMATION) RANDI PETROVITS WAS A TRUSTEE TO DECEMBER 31, 2019. ELIZABETH SHEQUINE WAS A TRUSTEE TO DECEMBER 31, 2019. SARAH LEVINE WAS THE CHAIRMAN TO DECEMBER 31, 2019. MARGARET BOVA PREVIOUSLY THE VICE CHAIRMAN BECAME THE CHAIRMAN ON JANUARY 1, 2020. STANLEY BEINSTEIN WAS A TRUSTEE UNTIL SEPTEMBER 2020. KIMBERLY HUNT LEE PREVIOUSLY THE SECRETARY BECAME THE VICE CHAIRMAN ON JANUARY 1, 2020. CHRISTOPHER BROMLEY, MD WAS A TRUSTEE TO DECEMBER 31, 2019. JOSEPH TOCKARSHEWSKY WAS A TRUSTEE TO DECEMBER 31, 2019. LOUIS CASCIARO WAS A TRUSTEE TO APRIL 22, 2020. SIMON GORWARA, MD WAS A TRUSTEE TO DECEMBER 31, 2019. KRISTI BRIEN BECAME A TRUSTEE ON JANUARY 1, 2020. MARK HARRISON BECAME A TRUSTEE ON JANUARY 1, 2020. STEVEN H. ROSENBERG BECAME TREASURER ON JANUARY 1, 2020. CAROLYN MCKENNA BECAME ASSISTANT SECRETARY ON JANUARY 1, 2020. GRACE LINHARD BECAME EX OFFICIO ON JANUARY 1, 2020. KATHERINE BACHER WAS THE TREASURER TO DECEMBER 31, 2019. CHERYL BOOTH WAS THE ASSISTANT SECRETARY TO DECEMBER 31, 2019. FOR THOSE OFFICERS AND TOP 5 EMPLOYEES, FOR WHICH ONLY 40 HOURS IS NOTED TO REFLECT PAID HOURS, ACTUAL HOURS WORKED EXCEEDED THIS AMOUNT. NOTE: ALL AMOUNTS IN COLUMN F, OF PART VII, "ESTIMATED AMOUNT OF OTHER COMPENSATION", REPRESENTS BENEFITS, AND DO NOT REFLECT ANY COMPENSATION FOR WHICH THE AVERAGE AMOUNT OF TIME WORKED CAN BE REFLECTED. FORM 990, PART XI, LINE 9: CHANGES IN RESTRICTED CONTRIBUTIONS TO THE HOSPITAL -505,618. ALAMO AMBULANCE SERVICES INC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 141745417 TRANSPORT NY 501(C)(3) 10 HQ 1 DANBURY & NEW MILFORD HOSP FOUND 24 HOSPITAL AVENUE DANBURY CT 06810 237425557 ADMIN CONTRIB CT 501(C)(3) 7 WCHN 1 DANBURY HOSPITAL 24 HOSPITAL AVENUE DANBURY CT 06810 060646597 ACUTE CARE CT 501(C)(3) 3 WCHN 1 EASTERN NEW YORK MEDICAL SERVICES PC 14 RESEARCH DRIVE SUITE 201A BETHEL CT 06801 455431389 PHYSICIAN SERVICES NY 501(C)(3) 10 WCHN 1 HEALTH QUEST HOME CARE INC (CERT) 2649 SOUTH ROAD SUITE 220 POUGHKEEPSIE NY 12601 141788412 HOME HEALTH NY 501(C)(3) 10 HQ 1 HEALTH QUEST HOME CARE INC (LIC) 2649 SOUTH ROAD SUITE 220 POUGHKEEPSIE NY 12601 141788410 HOME HEALTH NY 501(C)(3) 10 HQ 1 NUVANCE HEALTH MEDICAL PRACTICE PC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 562669185 MEDICAL CARE NY 501(C)(3) 12, TYPE I HQ 1 HEALTH QUEST SYSTEMS INC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 141678068 MANAGEMENT NY 501(C)(3) 10 NUVANCE 1 HEALTH QUEST URGENT MED PRAC PC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 800152047 MEDICAL CARE NY 501(C)(3) 12, TYPE I HQ 1 HUDSON VALLEY CARDIOVASCULAR PRAC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 463756713 MEDICAL CARE NY 501(C)(3) 12, TYPE I HQ 1 NDH FOUNDATION 6531 SPRING BROOK AVENUE RHINEBECK NY 12572 141776208 FUNDRAISING NY 501(C)(3) 7 HQ 1 NORTHERN DUTCHESS HOSPITAL PO BOX 5112 RHINEBECK NY 12572 141338467 HOSPITAL NY 501(C)(3) 3 HQ 1 NORTHERN DUTCHESS RES HLTH FACILITY INC 6526 SPRINGBROOK AVENUE RHINEBECK NY 12572 223129608 NURSING HOME NY 501(C)(3) 10 HQ 1 NORWALK HOSPITAL FOUNDATION 34 MAPLE STREET NORWALK CT 06850 222577707 FUNDRAISING CT 501(C)(3) 7 WCHN 1 NUVANCE HEALTH 1351 ROUTE 55 LAGRANGEVILLE NY 12540 834214573 SUPPORT NY 501(C)(3) 12, TYPE III-FI N/A 0 PUTNAM HOSPITAL CENTER 670 STONELEIGH AVENUE CARMEL NY 10512 146019179 HOSPITAL NY 501(C)(3) 3 HQ 1 PUTNAM HOSPITAL CENTER FOUNDATION 670 STONELEIGH AVENUE CARMEL NY 10512 061399319 FUNDRAISING NY 501(C)(3) 12, TYPE I HQ 1 THE NORWALK HOSPITAL ASSOCIATION 24 STEVENS STREET NORWALK CT 06850 066068853 HEALTH SERVICES CT 501(C)(3) 3 WCHN 1 VASSAR BROTHERS MEDICAL CENTER 45 READE PLACE POUGHKEEPSIE NY 12601 141338586 HOSPITAL NY 501(C)(3) 3 HQ 1 VASSAR HEALTH CONNECTICUT INC 50 HOSPITAL HILL ROAD SHARON CT 06069 815056290 HOSPITAL CT 501(C)(3) 3 HQ 1 WELLS MANOR HOUSING DEVELOP FUND CORP 56 ASTOR DRIVE RHINEBECK NY 12572 112611902 LOW INCOME NY 501(C)(3) 16, PF HQ 1 WESTERN CONNECTICUT HOME CARE INC 100 SAW MILL ROAD DANBURY CT 06810 060655138 HOME HEALTHCARE CT 501(C)(3) 10 WCHN 1 WESTERN CT HEALTH NETWORK AFFILIATES INC 95 LOCUST AVENUE DANBURY CT 06801 222594968 OUTPATIENT HEALTHCARE SERVICES CT 501(C)(3) 10 WCHN 1 WESTERN CT HEALTH NETWORK INC 24 HOSPITAL AVENUE DANBURY CT 06801 222594977 PROGRAM DEVELOPMENT CT 501(C)(3) 12, TYPE II NUVANCE 1 NUVANCE HEALTH MEDICAL PRACTICE CT INC 14 RESEARCH DRIVE SUITE 201A BETHEL CT 06801 061137531 PHYSICIAN SERVICES CT 501(C)(3) 10 WCHN 1 NEW MILFORD MRI LLC 21 ELM STREET NEW MILFORD CT 06776 271877801 INACTIVE CT N/A N/A 0 0 NORWALK SURGERY CENTER LLC 40 CROSS STREET SUITE 120 NORWALK CT 06851 272394942 SURGERY CENTER CT N/A N/A 0 0 WCHN INVESTMENTS LLC 24 HOSPITAL AVE DANBURY CT 06810 475523212 INVESTMENTS CT N/A N/A 0 0 NUVANCE HEALTH INSURANCE COMPANY LTD 23 LIME TREE BAY PO BOX 105 GRAND CAYMAN CJ 980438151 MALPRACTICE CJ N/A C 0 SWC CORPORATION 24 STEVENS STREET NORWALK CT 06850 222577718 PHARMACY CT N/A C 0 VBH INSURANCE CO LTD 62 FORUM LANE 3RD FLOOR GRAND CAYMAN CJ 981083868 MALPRACTICE CJ N/A C 0 TACONIC IPA INC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 223007320 MEDICAL CARE NY N/A C 0 VASSAR HQ MED PRACTICE OF CT INC 1351 ROUTE 55 LAGRANGEVILLE NY 12540 821466583 MEDICAL CARE CT N/A C 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 HEALTH QUEST SYSTEMS INC P 101816 COST VASSAR BROTHERS MEDICAL CENTER B 422229 FMV