2022-08-12T10:03:26-05:00 2021-09-30 135565207 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2020-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORPORATION YALE 2036689991 789 HOWARD AVENUE NEW HAVEN CT 06519 MICHAEL T ANGELINI INT. CFO, SVP, TREASURER 2036889991 2022-08-12 0 MICHAEL ANGELINI XXX-XX-XXXX EVAN W SEEKAMP P01907071 2127589700 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z MICHAEL T ANGELINI 789 HOWARD AVE NEW HAVEN CT 06519 1157297975 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 20 17 3752 19 416666 0 0 0 734999316 785970874 1905750 42536608 5425076 8077759 742330142 836585241 396619 310265 0 0 407797880 419113622 0 0 0 335494256 425769304 743688755 845193191 -1358613 -8607950 2616043894 2533997745 2164002064 2070803743 452041830 463194002 X TO SUPPORT ITS MEMBER HEALTHCARE ORGANIZATIONS FURTHER INNOVATION AND EXCELLENCE IN PATIENT CARE, TEACHING, AND RESEARCH. 0 0 706403232 310265 793631967 SEE SCHEDULE O 706403232 1 0 0 0 0 0 0 0 0 0 1 0 1 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 1 1 0 0 1 327 0 3752 1 1 1 0 0 0 0 0 0 0 0 0 1 0 X 20 17 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X VERNETTE D GRAY 2036889585 789 HOWARD AVE NEW HAVEN CT 06519 PATRICK MCCABE SR. VP (CURRENT YR COMP) 38.00 2.00 X 861056 0 142148 PATRICK MCCABE SR. VP (VESTED DEFERRED) 38.00 2.00 X 4278619 0 0 MARNA BORGSTROM CEO/TRUSTEE 16.00 24.00 X X 1425272 2137906 1255890 RICHARD D'AQUILA PRES. (CURRENT YR COMP) 8.00 32.00 X 602542 2410167 257046 RICHARD D'AQUILA PRES. (VESTED DEFERRED) 8.00 32.00 X 140800 563198 0 CHRISTOPHER O'CONNOR PRESIDENT 37.00 3.00 X 1687615 0 758246 VINCENT TAMMARO SR. VP/CFO/TREASURER 16.00 24.00 X 600908 901362 684039 THOMAS BALCEZAK EXECUTIVE VP/CCO 3.00 37.00 X 109776 1297605 666340 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 239141 1019495 576952 PRATHIBHA VARKEY SR. VP 8.00 32.00 X 225281 901128 477353 LISA STUMP SR. VP/CIO 8.00 32.00 X 213647 854587 485879 NORMAN ROTH EX. VP 1.00 0.00 X 1471149 0 40782 PATRICK GREEN EX. VP 8.00 32.00 X 200776 803102 460264 VINCENT PETRINI SR. VP 1.00 39.00 X 0 861092 391601 KEVIN MYATT SR. VP (CURRENT YR COMP) 16.00 24.00 X 438602 657905 151274 KEVIN MYATT SR. VP (VESTED DEFERRED) 16.00 24.00 X 133875 200812 0 THOMAS NEWMAN SR. VP 16.00 24.00 X 322370 483556 379564 PAMELA SCAGLIARINI SR. VP 1.00 39.00 X 778880 0 388336 MICHAEL IVY DEPUTY CMO 40.00 0.00 X 943341 0 119647 JOHN SKELLY VP 1.00 39.00 X 4247 703556 352610 DIANE KELLY EX. VP 8.00 32.00 X 158034 632137 231997 ANNE DIAMOND EXECUTIVE VP 8.00 32.00 X 140427 561708 314063 IAN SCHWARTZ SR. VP 3.00 37.00 X 54787 647618 237761 STEPHEN ALLEGRETTO VP 4.00 36.00 X 62986 566881 306659 DAVID WURCEL FORMER OFFICER 0.00 0.00 X 635950 0 0 MATTHEW COMERFORD SR. VP 1.00 39.00 X 20728 694026 203738 DENISE FIORE SR. VP (CURRENT YR COMP) 1.00 39.00 X 0 742393 130325 DENISE FIORE SR. VP (VESTED DEFERRED) 1.00 39.00 X 0 93293 0 MELISSA TURNER VP 1.00 39.00 X 0 583618 268814 CAROLYN SALSGIVER-KOBSA VP 1.00 39.00 X 0 567678 281473 VICTOR MORRIS SVP AND CMO 40.00 0.00 X 736892 0 110339 ELIZABETH BECKMAN SR. VP 1.00 39.00 X 3788 627722 196751 STEVEN CHOI VP/CQO 40.00 0.00 X 724403 0 37772 MICHAEL ANGELINI SR. VP 1.00 39.00 X 20124 571775 166576 LORRAINE LEE SR. VP 4.00 36.00 X 44757 529058 176039 RICHARD GOLDSTEIN INTERIM PRES NEMG 1.00 39.00 X 0 731685 38768 EUGENE COLUCCI VP 4.00 36.00 X 68212 613910 45349 JOSEPH BISSON VP BUSINESS DEV 40.00 0.00 X 617077 0 99938 DEREMIUS WILLIAMS VP PAYER STRATEGY 40.00 0.00 X 513602 0 78879 MICHAEL DIMENSTEIN VP (CURRENT YR COMP) 1.00 0.00 X 514657 0 33425 MICHAEL DIMENSTEIN VP (VESTED DEFERRED) 1.00 0.00 X 124300 0 0 JAMES MORRIS VP (CURRENT YR COMP) 1.00 39.00 X 18173 482620 42831 JAMES MORRIS VP (VESTED DEFERRED) 1.00 39.00 X 4756 114153 0 WILLIAM JENNINGS FORMER OFFICER 0.00 0.00 X 217625 0 0 VINCENT CALARCO CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 MARY FARRELL VICE CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO SECRETARY/TRUSTEE 1.00 0.00 X X 0 0 0 JACK CALLAHAN TRUSTEE 1.00 0.00 X 0 0 0 CARLTON HIGHSMITH TRUSTEE 1.00 0.00 X 0 0 0 AARON HOLLANDER TRUSTEE 1.00 1.00 X 0 0 0 THOMAS KETCHUM TRUSTEE 1.00 1.00 X 0 0 0 JOHN LAHEY TRUSTEE 1.00 0.00 X 0 0 0 MARVIN LENDER TRUSTEE 1.00 1.00 X 0 0 0 JOHN FALCONI TRUSTEE 1.00 2.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 X 0 0 0 B MICHAEL RAUH TRUSTEE 1.00 1.00 X 0 0 0 MEREDITH REUBEN TRUSTEE 1.00 1.00 X 0 0 0 PETER SALOVEY TRUSTEE 1.00 1.00 X 0 0 0 ELLIOT SUSSMAN TRUSTEE 1.00 1.00 X 0 0 0 JAMES TORGERSON TRUSTEE 1.00 1.00 X 0 0 0 W ROBERT BERKLEY JR TRUSTEE 1.00 3.00 X 0 0 0 LINDA LORIMER TRUSTEE 1.00 1.00 X 0 0 0 JAMES MITCHELL TRUSTEE 1.00 4.00 X 0 0 0 19359175 22555746 10589468 1147 1 1 0 TRIMEDX INC 5451 LAKEVIEW PKWY S DRIVE INDIANAPOLIS IN 46268 CONSULTING SERVICES 11409464 MCCARTHY MAMBRO BERTINO LLC 580 HARRISON AVE SUITE 102 BOSTON MA 02118 MARKETING SERVICES 8402859 EPIC SYSTEMS CORPORATION 1979 MILKY WAY VERONA WI 53593 CONSULTING SERVICES 8095983 CONNECTICUT HOSPITAL ASSOCIATES 110 BARNES ROAD WALLINGFORD CT 06492 CONSULTING SERVICES 4420606 MASON INC 23 AMITY ROAD BETHANY CT 06524 ADVERTISING SERVICES 4337639 178 MANAGEMENT SERVICES 900099 606831789 606831789 INSURANCE PREMIUMS 900099 84725529 84725529 SYSTEM SUPPORT SERVICE 900099 74383089 74383089 EMERGENCY PREPAREDNESS 900099 20030467 20030467 785970874 40044701 40044701 323204641 320712734 2491907 2491907 2491907 OTHER ANCILLARY INCOME 900099 4098391 4105238 -6847 VENDOR REBATES 900099 3555855 3555855 MANAGEMENT SERVICES RE 900099 423513 423513 8077759 836585241 793631967 416666 42536608 X 310265 310265 14342934 1434293 12908641 304835791 270665570 34170221 21801092 18585431 3215661 54619071 46562758 8056313 23514734 20046311 3468423 4670498 4670498 2955801 2955801 26305440 26305440 121243309 102976828 18266481 1268095 1081051 187044 104007324 88666244 15341080 609533 519627 89906 22668927 22668927 41095833 35034198 6061635 79976308 79976308 UTILITIES 14446128 12315324 2130804 SUPPLIES 5050507 4305557 744950 PROPERTY TAX 910238 775978 134260 DUES, FEES & MEMBERSHIP 252142 214951 37191 309221 263611 45610 845193191 706403232 138789959 0 564574513 810588918 1058086730 994245208 11581678 15053155 26408953 20705560 545420456 377307275 177940702 168113181 309322985 72594954 375180405 365002981 52050105 52050105 40897823 35643683 2616043894 2533997745 229460978 221401698 366545993 133158135 1428864285 1627957477 139130808 88286433 2164002064 2070803743 X 415840741 426992913 36201089 36201089 452041830 463194002 2616043894 2533997745 -8607950 19760122 0 X 0 1 X 1 1 1 X X 6 YALE NEW HAVEN HOSPITALINC 060646652 3 1 0 0 BRIDGEPORT HOSPITAL 060646554 3 1 0 0 GREENWICH HOSPITAL 060646659 3 1 0 0 NORTHEAST MEDICAL GROUP INC 061330992 10 1 93724275 0 LAWRENCE MEMORIAL HOSPITAL INC 060646704 3 1 0 0 LMW HEALTHCARE INC 460543230 3 1 0 0 6 93724275 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 PART IV, SECTION A, LINE 1: IN ADDITION TO THE ORGANIZATIONS EXPRESSLY NAMED IN ITS CERTIFICATE OF INCORPORATION, THE ORGANIZATION'S CERTIFICATE OF INCORPORATION PROVIDES THAT IT SHALL SUPPORT SUCH OTHER ORGANIZATIONS AS MAY, FROM TIME TO TIME, BECOME AFFILIATED WITH THE ORGANIZATION. PART IV, SECTION B, LINE 1 AS THE PARENT ORGANIZATION OF AN INTEGRATED HEALTH CARE DELIVERY SYSTEM, THE ORGANIZATION IS RESPONSIVE TO THE NEEDS AND DEMANDS OF ITS MEMBER HOSPITALS AND OTHER HEALTH CARE PROVIDERS (REFERRED TO AS DELIVERY NETWORKS). THE ORGANIZATION CREATES VALUE FOR THE DELIVERY NETWORKS AND SUPPORTS THEIR OPERATIONS BY CENTRALIZING CERTAIN ADMINISTRATIVE SERVICES WITHIN THE ORGANIZATION AND SPREADING THE COSTS OF THESE SERVICES ACROSS ALL OF THE DELIVERY NETWORKS. IN THIS WAY, THE DELIVERY NETWORKS OBTAIN THE SERVICES, EXPERTISE, INFRASTRUCTURE AND ECONOMIES OF SCALE OF A MUCH LARGER HEALTH SYSTEM. SYSTEM-WIDE SERVICES INCLUDE, IN PART, POPULATION HEALTH TECHNOLOGY, BILLING, INFORMATION TECHNOLOGY INFRASTRUCTURE, COMPLIANCE AND LEGAL AND RISK MANAGEMENT. SUPPORTING THESE "BACK OFFICE" SERVICES AND OTHER VALUE-CREATING ATTRIBUTES ALLOW THE DELIVERY NETWORKS TO FREE UP MEASURABLE RESOURCES, GENERATE NEW REVENUE FOR INVESTMENT IN THEIR RESPECTIVE LOCAL AND REGIONAL MISSIONS AND FOCUS ON PATIENT OUTCOMES AND THE HEALTH OF THE COMMUNITIES THEY SERVE. THE CHAIRS OF YALE NEW HAVEN HOSPITAL, BRIDGEPORT HOSPITAL, GREENWICH HOSPITAL AND LAWRENCE + MEMORIAL HOSPITAL SERVE AS VOTING MEMBERS OF THE ORGANIZATION'S BOARD OF TRUSTEES. FURTHER, A NUMBER OF THE ORGANIZATION'S SENIOR EXECUTIVES HAVE DELIVERY NETWORK SPECIFIC ROLES AND RESPONSIBILITIES AND REPRESENT THE INTERESTS OF THOSE DELIVERY NETWORKS. THE DELIVERY NETWORKS HAVE APPROVAL RIGHTS WITH RESPECT TO, IN PART, ARTICULATING THE LOCAL DIMENSIONS OF THE SYSTEM MISSION, VISION AND VALUES AND STRATEGY, OVERSEEING AND ASSURING PERFORMANCE IN CLINICAL QUALITY AND PATIENT SAFETY, DEVELOPING THE OPERATING AND CAPITAL BUDGETS AND OVERSEEING THEM IN THE CONTEXT OF THE OVERALL SYSTEM BUDGET, OVERSEEING PUBLIC RELATIONS, COMMUNITY ENGAGEMENT, AND LOCAL GOVERNMENT RELATIONS AND APPROVING THE LOCAL COMMUNITY HEALTH NEEDS ASSESSMENT AND IMPLEMENTATION PLAN. 8790162 8790162 32475373 811885 31663488 15951139 1387356 14563783 474191094 375108034 99083060 14012688 14012688 168113181 INVEST. IN L+M CORP 277307150 C INVEST. IN NEPC/VHA 262192 C INVEST. IN PATIENT WISDOM 162067 C INVEST. IN MCIC VERMONT 1000000 C INVEST. IN N. SHORE LIJ 673395 C MCIC EQUITY 79059253 C INVEST. IN PHYSICIAN ONE URGENT CARE 4070859 C INVEST. IN SILVER HILL HOSPITAL 1121703 C INVEST. IN PROTON THERAPY 346362 C INVEST. IN PANDA HEALTH 1000000 C 365002981 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 6952024 RETRO INSURANCE CREDIT 8146162 INTEREST RATE SWAP 37748198 CURRENT PORTION OF LONG TERM DEBT 23664874 88286433 X PART X, LINE 2: YALE NEW HAVEN HOSPITAL IS INCLUDED IN THE CONSOLIDATED YALE NEW HAVEN HEALTH SYSTEM AND SUBSIDIARIES AUDITED FINANCIAL STATEMENTS. FOLLOWING IS THE FOOTNOTE FROM THE CONSOLIDATED FINANCIAL STATEMENTS: MOST ENTITIES WITHIN THE SYSTEM ARE NOT FOR PROFIT CORPORATIONS AS DESCRIBED IN SECTION 501(C)(3) OF THE CODE, AND ARE GENERALLY EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. PROVISIONS FOR INCOME TAXES AND DEFERRED TAXES, WHERE APPLICABLE, HAVE BEEN MADE FOR THE TAXABLE ENTITIES LISTED ABOVE UNDER THE DESCRIPTION OF THE SYSTEM. U.S. GAAP REQUIRES THE SYSTEM TO EVALUATE TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN THE COURSE OF PREPARING THE SYSTEM'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE "MORE LIKELY THAN NOT" OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY BASED UPON THE TECHNICAL MERITS OF THE POSITION. THE SYSTEM RECOGNIZES THE EFFECT OF TAX POSITIONS ONLY IF THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. THIS EVALUATION HAD NO IMPACT ON THE OPERATIONS OF THE SYSTEM AS OF AND FOR THE YEAR ENDED SEPTEMBER 30, 2021 AND 2020. 1 BEULAH HEIGHTS CHURCH 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 5500 SUPPORT MISSION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 20000 SUPPORT MISSION ST MARTIN DE PORRES ACADEMY 208 COLUMBUS AVENUE NEW HAVEN CT 06519 810666655 501(C)(3) 5500 SUPPORT MISSION UNITED WAY OF GREATER NEW HAVEN INC 370 JAMES STREET NO 403 NEW HAVEN CT 06513 060646761 501(C)(3) 6000 SUPPORT MISSION THE BRIDGEPORT REGIONAL 10 MIDDLE STREET 14TH FLOOR BRIDGEPORT CT 06601 060271980 501(C)(6) 7250 SUPPORT MISSION 4 0 PART I, LINE 2: NONE OF THE AMOUNTS REPORTED ON SCHEDULE I, PART II ARE GRANTS. THESE AMOUNTS ARE DONATIONS AND SPONSORSHIPS GIVEN TO ORGANIZATIONS TO ASSIST IN THE FURTHERANCE OF THEIR CHARITABLE MISSION. YALE NEW HAVEN HEALTHCARE SERVICES CORPORATION ("HSC") CARRIES OUT DUE DILIGENCE IN PROVIDING MONETARY ASSISTANCE ONLY TO QUALIFYING 501(C)(3) OR ORGANIZATIONS THAT COMPLEMENT ITS MISSION OR SUPPORT THE GREATER GOOD IN THE COMMUNITIES SERVED. HSC VERIFIES EACH ORGANIZATION'S EIN AS LISTED ON IRS FORM W-9 THAT HAS BEEN SUBMITTED TO HSC. ASSISTANCE DONATED BY HSC TO THESE QUALIFYING ORGANIZATIONS IS NOT OUTCOMES-BASED AND IS GIVEN IN SUPPORT OF AN INDIVIDUAL ORGANIZATION'S FUNDRAISING EVENTS OR IN SUPPORT OF DIRECT SERVICES. HSC MAINTAINS FULL AND COMPLETE RECORDS OF ALL MONETARY ASSISTANCE PROVIDED, HOWEVER DOES NOT MONITOR SPECIFIC FUNDS. 1 X X X X 0 1 0 0 0 0 0 1 0 PATRICK MCCABE SR. VP (CURRENT YR COMP) 631602 0 191818 0 37636 0 127350 0 14798 0 1003204 0 0 0 PATRICK MCCABE SR. VP (VESTED DEFERRED) 0 0 0 0 4278619 0 0 0 0 0 4278619 0 1655999 0 MARNA BORGSTROM CEO/TRUSTEE 883794 1325690 535729 803593 5749 8623 496479 744718 5877 8816 1927628 2891440 0 0 RICHARD D'AQUILA PRES. (CURRENT YR COMP) 285801 1143203 261855 1047420 54886 219544 48665 194662 2744 10975 653951 2615804 0 0 RICHARD D'AQUILA PRES. (VESTED DEFERRED) 0 0 0 0 140800 563198 0 0 0 0 140800 563198 0 0 CHRISTOPHER O'CONNOR PRESIDENT 1172437 0 384720 0 130458 0 737057 0 21189 0 2445861 0 0 0 VINCENT TAMMARO SR. VP/CFO/TREASURER 394762 592143 151232 226848 54914 82371 265180 397770 8436 12653 874524 1311785 0 0 THOMAS BALCEZAK EXECUTIVE VP/CCO 76752 907243 22310 263722 10714 126640 50306 594645 1668 19721 161750 1911971 0 0 WILLIAM ASELTYNE SR. VP 167162 712640 50387 214807 21592 92048 105652 450411 3969 16920 348762 1486826 0 0 PRATHIBHA VARKEY SR. VP 157613 630453 51406 205626 16262 65049 93775 375101 1695 6782 320751 1283011 0 0 LISA STUMP SR. VP/CIO 145961 583842 45682 182728 22004 88017 92908 371632 4268 17071 310823 1243290 0 0 NORMAN ROTH EX. VP 699482 0 663248 0 108419 0 29284 0 11498 0 1511931 0 0 0 PATRICK GREEN EX. VP 140411 561642 43888 175550 16477 65910 87788 351151 4265 17060 292829 1171313 0 0 VINCENT PETRINI SR. VP 0 567122 0 211355 0 82615 0 375947 0 15654 0 1252693 0 0 KEVIN MYATT SR. VP (CURRENT YR COMP) 288249 432374 99771 149657 50582 75874 54139 81209 6370 9556 499111 748670 0 0 KEVIN MYATT SR. VP (VESTED DEFERRED) 0 0 0 0 133875 200812 0 0 0 0 133875 200812 0 0 THOMAS NEWMAN SR. VP 241690 362535 62104 93157 18576 27864 143192 214787 8634 12951 474196 711294 0 0 PAMELA SCAGLIARINI SR. VP 538156 0 161482 0 79242 0 367067 0 21269 0 1167216 0 0 0 MICHAEL IVY DEPUTY CMO 634862 0 242886 0 65593 0 98592 0 21055 0 1062988 0 0 0 JOHN SKELLY VP 3078 509954 773 127995 396 65607 1991 329760 125 20734 6363 1054050 0 0 DIANE KELLY EX. VP 108373 433492 43055 172222 6606 26423 43031 172125 3368 13473 204433 817735 0 0 ANNE DIAMOND EXECUTIVE VP 137381 549525 0 0 3046 12183 58827 235307 3986 15943 203240 812958 0 0 IAN SCHWARTZ SR. VP 41569 491368 10129 119736 3089 36514 16834 198984 1711 20232 73332 866834 0 0 STEPHEN ALLEGRETTO VP 47733 429601 12218 109963 3035 27317 29221 262990 1445 13003 93652 842874 0 0 DAVID WURCEL FORMER OFFICER 0 0 0 0 635950 0 0 0 0 0 635950 0 298873 0 MATTHEW COMERFORD SR. VP 14802 495612 4572 153078 1354 45336 5319 178079 590 19750 26637 891855 0 0 DENISE FIORE SR. VP (CURRENT YR COMP) 0 509215 0 148550 0 84628 0 121950 0 8375 0 872718 0 0 DENISE FIORE SR. VP (VESTED DEFERRED) 0 0 0 0 0 93293 0 0 0 0 0 93293 0 0 MELISSA TURNER VP 0 418656 0 111492 0 53470 0 247833 0 20981 0 852432 0 0 CAROLYN SALSGIVER-KOBSA VP 0 399070 0 118238 0 50370 0 259381 0 22092 0 849151 0 0 VICTOR MORRIS SVP AND CMO 540425 0 133920 0 62547 0 88950 0 21389 0 847231 0 0 0 ELIZABETH BECKMAN SR. VP 2728 451994 826 136895 234 38833 1088 180270 92 15301 4968 823293 0 0 STEVEN CHOI VP/CQO 561656 0 146410 0 16337 0 16950 0 20822 0 762175 0 0 0 MICHAEL ANGELINI SR. VP 14949 424725 3992 113432 1183 33618 4913 139575 751 21337 25788 732687 0 0 LORRAINE LEE SR. VP 32733 386922 8116 95936 3908 46200 12095 142963 1637 19344 58489 691365 0 0 RICHARD GOLDSTEIN INTERIM PRES NEMG 0 548128 0 150773 0 32784 0 16950 0 21818 0 770453 0 0 EUGENE COLUCCI VP 50937 458435 13742 123679 3533 31796 3056 27500 1479 13314 72747 654724 0 0 JOSEPH BISSON VP BUSINESS DEV 441820 0 134002 0 41255 0 77750 0 22188 0 717015 0 0 0 DEREMIUS WILLIAMS VP PAYER STRATEGY 396673 0 102648 0 14281 0 57643 0 21236 0 592481 0 0 0 MICHAEL DIMENSTEIN VP (CURRENT YR COMP) 331421 0 121761 0 61475 0 20825 0 12600 0 548082 0 0 0 MICHAEL DIMENSTEIN VP (VESTED DEFERRED) 0 0 0 0 124300 0 0 0 0 0 124300 0 0 0 JAMES MORRIS VP (CURRENT YR COMP) 12837 334096 3691 96065 1645 52459 834 21716 750 19531 19757 523867 0 0 JAMES MORRIS VP (VESTED DEFERRED) 0 0 0 0 4756 114153 0 0 0 0 4756 114153 0 0 WILLIAM JENNINGS FORMER OFFICER 0 0 0 0 217625 0 0 0 0 0 217625 0 217625 0 PART I, LINE 4B LINE 4B, SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS: THE INDIVIDUALS LISTED BELOW ARE PARTICIPANTS IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN. THESE ACCRUALS ARE INCLUDED IN THE AMOUNTS REPORTED IN PART II, COLUMN C (DEFERRED COMPENSATION) AND REPRESENT BOTH THE REPORTING ENTITY'S AND RELATED ENTITY'S COMBINED AMOUNTS THAT HAVE NOT YET BEEN VESTED CONSISTENT WITH THE COMPENSATION REPORTING PER IRS. SEVERANCE NONQUALIFIED EQUITY-BASED MARNA P. BORGSTROM - $1,210,312 - CHRISTOPHER O'CONNOR - 534,307 - VINCENT TAMMARO - 468,961 - THOMAS BALCEZAK - 436,001 - WILLIAM J. ASELTYNE - 393,112 - PRATHIBHA VARKEY - 358,006 - LISA STUMP - 329,550 - PATRICK GREEN - 317,989 - VINCENT PETRINI - 267,597 - THOMAS NEWMAN - 257,015 - PAMELA SCAGLIARINI - 242,117 - JOHN SKELLY - 222,477 - STEPHEN ALLEGRETTO - 206,624 - MELISSA TURNER - 184,270 - CAROLYN SALSGIVER-KOBSA - 179,759 - DIANE KELLY - 142,671 - ANNE DIAMOND - 140,000 - MATTHEW COMERFORD - 101,648 - IAN SCHWARTZ - 100,826 - ELIZABETH BECKMAN - 90,408 - MICHAEL ANGELINI - 85,114 - LORRAINE LEE - 80,108 - THE INDIVIDUALS LISTED BELOW BECAME VESTED IN BENEFITS VALUED AT THE AMOUNTS RESPECTIVELY REPORTED BELOW DURING THE REPORTING YEAR. INCLUDED IN SECTION II, COLUMN B (III) ARE AMOUNTS VESTED DURING THE 2020 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2020 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED PATRICK MCCABE - $4,278,619 - RICHARD D'AQUILA - 703,998 - KEVIN MYATT - 334,686 - MICHAEL DIMENSTEIN - 124,300 - JAMES B. MORRIS - 118,909 - DENISE FIORE - 93,293 - NORMAN ROTH - 23,775 - THE FORMER OFFICERS BELOW RECEIVED PAYMENTS THROUGHOUT THE YEAR FROM THE NONQUALIFIED PLAN. THE FOLLOWING PAYMENTS WERE MADE DIRECTLY TO THEM FROM THE RABBI TRUST: FRANK CORVINO $139,574 GAYLE CAPOZZALO 113,613 WILLIAM GEDGE 85,700 PETER HERBERT 78,071 DAVID WURCEL 60,324 NANCY LEVITT-ROSENTAL 41,876 RICHARD D'AQUILA 32,695 NORMAN ROTH 15,835 MICHAEL DIMENSTEIN 7,209 THE SUPPLEMENTAL RETIREMENT INCOME PLAN (SRIP) / EXECUTIVE DEFERRED COMPENSATION ACCOUNT PLAN (EDCAP) ARE DESIGNED TO ENSURE THE PAYMENT OF A COMPETITIVE LEVEL OF RETIREMENT INCOME WHEN ADDED TO OTHER SOURCES OF RETIREMENT INCOME IN ORDER TO ATTRACT AND RETAIN KEY MANAGEMENT EMPLOYEES SERVING AS CORPORATE OFFICERS. THE PLAN PROVIDES SUPPLEMENTAL RETIREMENT INCOME THROUGH AN UNFUNDED, NONQUALIFIED DEFERRED COMPENSATION ARRANGEMENT UNDER SECTION 457(F) AND THROUGH A DEFERRED COMPENSATION PLAN UNDER SECTION 409A OF THE INTERNAL REVENUE CODE AND A MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES' PLAN UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA). PART I, LINE 7 THE SHORT TERM INCENTIVE PLAN (STIP) IS A VARIABLE COMPENSATION PLAN WHICH PROVIDES ONE-TIME PAYMENTS TO ELIGIBLE MEMBERS OF MANAGEMENT IN RECOGNITION OF THE ACCOMPLISHMENT OF KEY ORGANIZATIONAL AND INDIVIDUAL PERFORMANCE OBJECTIVES. PERFORMANCE LEVELS ARE ESTABLISHED AND REVIEWED ANNUALLY AT THRESHOLD, TARGET AND MAXIMUM LEVELS, ACCORDING TO PLANNED "STRETCH" GOALS AND OBJECTIVES. INCENTIVE AWARD OPPORTUNITIES ARE ESTABLISHED ACCORDING TO MARKET PRACTICES BASED ON EACH ELIGIBLE POSITION'S RESPONSIBILITIES, PERFORMANCE AND LEVEL OF AUTHORITY. PERFORMANCE RELATIVE TO STIP AWARD OPPORTUNITIES INCORPORATES A BROAD SPECTRUM OF PRE-DEFINED FINANCIAL AND NON-FINANCIAL METRICS THAT ARE ALIGNED WITH ORGANIZATIONAL MISSION AND VALUES. A CHEFA - SERIES A 060806186 20774YQY6 2014-06-23 102300000 REFUND - J-1 0 0 1 B CHEFA - SERIES B 060806186 20774YQP5 2014-06-23 168275000 REFUND - M 0 0 1 C CHEFA - SERIES C 060806186 20774YQM2 2014-06-23 83625000 REFUND - K-1,K-2 0 0 1 D CHEFA - SERIES D 060806186 20774YQN0 2014-06-23 108275000 REFUND - L-1,L-2 0 0 1 A 122999458 1465826 121533632 2014 0 1 1 1 B 176852421 1474421 175378000 2014 0 1 1 1 C 49595000 90442157 680898 36261 89725000 2014 1 0 1 1 D 109094865 771839 43739 108279287 2014 1 0 1 1 A 0 1 1 1 0 0.00020 0.00020 0 0 1 B 0 1 1 1 0 0.00000 0.00000 0 0 1 C 0 1 1 1 0 0.00300 0.00300 0 0 1 D 0 1 1 1 0 0.00020 0.00020 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 0 0 1 1 0 0 0 1 D 0 0 0 1 1 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CHEFA - SERIES A DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2020 ISSUER NAME: CHEFA - SERIES B DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2020 ISSUER NAME: CHEFA - SERIES C DATE THE REBATE COMPUTATION WAS PERFORMED: 06/23/2019 ISSUER NAME: CHEFA - SERIES D DATE THE REBATE COMPUTATION WAS PERFORMED: 06/23/2019 ISSUER NAME: CHEFA - SERIES E DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2020 PART II LINE 3 THE DIFFERENCE BETWEEN THE ISSUE PRICE REPORTED ON PART I, COLUMN (E) AND TOTAL PROCEEDS REPORTED ON PART II, LINE 3 IS DUE TO EITHER INVESTMENT EARNINGS OR PREMIUM RECEIVED FROM PURCHASER. PART III LINE 3B THE ORGANIZATION IS A MEMBER OF THE YALE NEW HAVEN HEALTH OBLIGATED GROUP ("YNHHS"). YNHHS HAS IN-HOUSE LEGAL COUNSEL STAFF WHO REVIEW MANAGEMENT, OR SERVICE CONTRACTS AND RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY TO ENSURE THAT SUCH AGREEMENTS ARE COMPLIANT WITH APPLICABLE SAFE HARBORS. IN-HOUSE COUNSEL CONSULTS WITH THE ORGANIZATION'S OUTSIDE BOND COUNSEL AS NEEDED, INCLUDING ON NON-ROUTINE ISSUES. PART III, LINE 9 & PART V AS PART OF THE YALE NEW HAVEN HEALTH OBLIGATED GROUP, THE ORGANIZATION HAS POLICIES AND PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH FEDERAL TAX LAW, AND TO TIMELY IDENTIFY NONCOMPLIANCE. A CHEFA - SERIES E 060806186 20774YRV1 2014-06-23 80935000 CONSTRUCTION/EQUIP 0 0 1 A 18140000 92315918 1157121 91158797 2015 0 0 1 1 A 0 1 1 1 0 0.00040 0.00040 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 MARY-JANE CALLAHAN SEE PART V - COLUMN D 177238 SEE PART V 0 SCHEDULE L, PART IV, COLUMN (D) BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS NAME OF INTERESTED PERSON: MARY-JANE CALLAHAN TRUSTEE JACK CALLAHAN'S SISTER, MARY-JANE CALLAHAN, IS EMPLOYED BY YALE NEW HAVEN HEALTH SERVICES CORPORATION AND RECEIVED COMPENSATION OVER $10,000.00 DURING THE TAX YEAR BY THE ORGANIZATION.AMOUNT OF TRANSACTION: $177,237.62 FORM 990, PART III, LINE 4A YALE NEW HAVEN HEALTH SERVICES CORPORATION, THE PARENT OF THE INTEGRATED HEALTHCARE DELIVERY SYSTEM KNOWN AS YALE NEW HAVEN HEALTH SYSTEM (YNHHS, YALE NEW HAVEN HEALTH OR THE SYSTEM), CONSISTS OF FIVE DELIVERY NETWORKS; BRIDGEPORT, GREENWICH, NEW LONDON/WESTERLY, NEW HAVEN AND NORTHEAST MEDICAL GROUP. THE NONPROFIT HEALTH SYSTEM STARTED THE FISCAL YEAR WITH STRATEGIC INITIATIVES TO RECOUP SURGICAL AND AMBULATORY VOLUMES IMPACTED THE PREVIOUS YEAR BY THE CORONAVIRUS PANDEMIC, WHICH DIVERTED RESOURCES TO THE IMMEDIATE CARE OF PATIENTS, STAFF AND COMMUNITIES. SURGEONS AT YALE NEW HAVEN CHILDREN'S HOSPITAL (YNHCH) PERFORMED THE FIRST SUCCESSFUL UNITED NETWORK OF ORGAN SHARING-SANCTIONED PEDIATRIC HEART TRANSPLANT IN CONNECTICUT AND RHODE ISLAND, BECOMING THE ONLY DESTINATION FOR COMPREHENSIVE PEDIATRIC HEART CARE ACROSS THE TWO STATES. SMILOW CANCER HOSPITAL CARE CENTER AT WATERFORD INTRODUCED THE POSITRON EMISSION TOMOGRAPHY NUCLEAR MEDICINE IMAGING AGENT TO DETECT CERTAIN TYPES OF RECURRENT OR METASTATIC BREAST CANCER. LOCATING ESTROGEN RECEPTOR POSITIVE LESIONS HELPS DETERMINE TREATMENT PROTOCOLS, YIELDING MORE PERSONALIZED, OUTCOMES-ORIENTED PLANS FOR PATIENTS. THE NEONATAL INTENSIVE CARE UNIT AT YNHCH TOOK DELIVERY OF A NEONATAL EMBRACE MRI MACHINE. ONE OF ONLY TWO IN THE UNITED STATES, THE MRI PROVIDES FASTER, SAFER IMAGING TO BETTER DETECT BRAIN ISSUES IN PREMATURE INFANTS. WESTERLY HOSPITAL WAS THE FIRST HOSPITAL IN NEW ENGLAND TO USE EXACTVU, A MICRO-ULTRASOUND DEVICE TO VISUALIZE PROSTATE TUMORS MORE PRECISELY FOR PATIENTS UNDERGOING PROSTATE-SPECIFIC ANTIGEN SCREENING AND PROSTATE BIOPSIES. THE HEART AND VASCULAR CENTER AT YALE NEW HAVEN HOSPITAL PERFORMED ITS 500TH HEART TRANSPLANT. THE CENTER'S STRUCTURAL HEART PROGRAM RECEIVED TRANSCATHETER VALVE CERTIFICATION FROM THE AMERICAN COLLEGE OF CARDIOLOGY THE FIRST AND ONLY PROGRAM IN CONNECTICUT RECOGNIZED FOR QUALITY OF CARE AND OUTSTANDING OUTCOMES. THE CENTERS FOR MEDICARE AND MEDICAID SERVICES AWARDED GREENWICH HOSPITAL A FIVE-STAR RATING IN SEVERAL CATEGORIES INCLUDING TREATMENT OF HEART ATTACKS AND PNEUMONIA, READMISSION RATES AND SAFETY OF CARE. BRIDGEPORT HOSPITAL LAUNCHED A POSTPARTUM CARDIAC RISK REDUCTION CLINIC TO REDUCE THE RISK OF CARDIOVASCULAR DISEASE IN WOMEN WHO DEVELOPED CERTAIN COMMON PREGNANCY COMPLICATIONS. THE CLINIC OFFERS LONG-TERM POSTPARTUM CARE, LIFESTYLE MANAGEMENT, CARE COORDINATION, NUTRITION CONSULTATIONS, MEDICATION MANAGEMENT AND COMMUNITY RESOURCES. THE ACQUISITION OF THE DA VINCI XI SURGICAL SYSTEM AT WESTERLY HOSPITAL EXPANDED THE HOSPITAL'S OPERATING ROOM CAPABILITIES BY OFFERING A MINIMALLY INVASIVE ALTERNATIVE TO TRADITIONAL OPEN SURGERIES. THE DEVICE HELPS TREAT CONDITIONS SUCH AS UROLOGIC CANCERS AND RECONSTRUCTION, HYSTERECTOMIES AND MANY GENERAL SURGICAL PROCEDURES. TO DELIVER LIFESAVING STROKE CARE FASTER, BRIDGEPORT HOSPITAL INTRODUCED THROMBECTOMY -- AN EMERGENCY SURGICAL PROCEDURE FOR PATIENTS WITH ISCHEMIC STROKE TO IMPROVE THEIR CHANCES OF RECOVERY. THE HEART AND VASCULAR CENTER AT BRIDGEPORT HOSPITAL COMPLETED ITS 300TH TRANSCATHETER AORTIC VALVE REPLACEMENT (TAVR). THE MINIMALLY-INVASIVE PROCEDURE REPLACES DAMAGED AORTIC VALVES WITHOUT THE NEED FOR OPEN-HEART SURGERY. FOCUSING ON REDUCING HOSPITAL-ACQUIRED INFECTIONS, LAWRENCE + MEMORIAL AND WESTERLY HOSPITALS MARKED MORE THAN ONE YEAR WITHOUT A SINGLE CATHETER ACQUIRED URINARY TRACT INFECTION AMONG PATIENTS. LAWRENCE + MEMORIAL HOSPITAL ALSO DRAMATICALLY REDUCED THE NUMBER OF COLON SURGICAL SITE INFECTIONS. ROLLING UP THEIR SHIRTSLEEVES, STAFF ATTESTED TO THE SAFETY AND NECESSITY OF THE VACCINES LAUNCHING THE HEALTH SYSTEM'S CRUSH COVID-19 COMMUNITY CAMPAIGN. WITHIN WEEKS, YNHHS OPENED 12 VACCINATION SITES ACROSS THE STATE, QUICKLY ADMINISTERING 100,000 VACCINE DOSES TO THOSE WHO MET ELIGIBILITY REQUIREMENTS. HUNDREDS OF VOLUNTEERS, DUBBED THE "CRUSH COVID CREW," HELPED STAFF THE SITES. BY THE END OF THE FISCAL YEAR, YNHHS HAD ADMINISTERED MORE THAN 450,000 DOSES. THE HEALTH SYSTEM'S ROBUST TESTING ENTERPRISE SURPASSED OVER 1 MILLION PCR TESTS. OVER 95 PERCENT OF THESE TESTS WERE COLLECTED BY YNHHS PERSONNEL AND TESTED BY ITS LABS, MAKING YNHHS UNIQUE IN CONNECTICUT FOR OFFERING COMPLETE LARGE-SCALE COVID-19 TESTING SERVICES WITH 97 PERCENT OF PATIENTS RECEIVING RESULTS WITHIN TWO DAYS. MONOCLONAL ANTIBODY THERAPY BECAME THE GO-TO TREATMENT FOR PEOPLE WHO TESTED POSITIVE AND WERE AT RISK OF HOSPITALIZATION. BRIDGEPORT HOSPITAL WAS AN EARLY ADOPTER OF THE ONE-DOSE IV INFUSION WHICH STIMULATES THE BODY'S IMMUNE SYSTEM TO FIGHT VIRUSES LIKE COVID-19, REDUCING THE NEED FOR INPATIENT CARE AMONG THOSE WITH MILD TO MODERATE SYMPTOMS. PATIENT CARE ACROSS YNHHS BENEFITED FROM THE CONSISTENCY OF SHARED TREATMENT ALGORITHMS AND PROTOCOLS, INCLUDING THE USE OF VENTILATORS, HIGH FLOW OXYGEN AND PRONING TO IMPROVE OVERALL OXYGENATION. RESEARCHING NEW WAYS TO COUNTER THE EFFECTS OF COVID-19, GREENWICH HOSPITAL WAS SELECTED AS ONE OF SIX MEDICAL FACILITIES NATIONWIDE AND THE ONLY ONE IN CONNECTICUT TO PARTICIPATE IN A YEARLONG TRIAL TO TREAT COVID-19 PATIENTS WITH HYPERBARIC OXYGEN THERAPY. YALE NEW HAVEN HEALTH OPENED THE UNCASVILLE MEDICAL CENTER AT MOHEGAN SUN. STAFFED BY NORTHEAST MEDICAL GROUP, THE CENTER OFFERS THE COMMUNITY WALK-IN CARE, PRIMARY CARE, ENDOCRINOLOGY, OB-GYN, CARDIOVASCULAR PROGRAMS FOR WOMEN AND PHYSIATRY. A NEW SCREENING 3-D MAMMOGRAPHY AND BREAST ULTRASOUND VAN DELIVERS THE HIGHEST QUALITY BREAST IMAGING EXPERTISE TO WOMEN THROUGHOUT CONNECTICUT, INCLUDING WOMEN IN UNDERSERVED NEIGHBORHOODS WHO MIGHT NOT BE ABLE TO ACCESS OTHER SCREENING LOCATIONS BECAUSE OF WORK SCHEDULES, LACK OF TRANSPORTATION OR LANGUAGE BARRIERS. NORTHEAST MEDICAL GROUP AND WESTERLY HOSPITAL EXPANDED THE UROLOGY PROGRAM BY OPENING A NEW PRACTICE IN WARWICK, RHODE ISLAND, AND OFFERING ADVANCED MINIMALLY INVASIVE PROCEDURES AT WESTERLY HOSPITAL. YALE NEW HAVEN HOSPITAL, FAIR HAVEN COMMUNITY HEALTH CARE AND CORNELL SCOTT HILL HEALTH CENTER, AS PART OF THE NEW HAVEN PRIMARY CARE CONSORTIUM, OPENED A PRIMARY CARE HUB IN NEW HAVEN. THE SITE HOSTS ADULT MEDICINE, WOMEN'S CARE AND PEDIATRICS, RADIOLOGY AND BLOOD DRAW SERVICES TO BRING MUCH-NEEDED CARE TO VULNERABLE PATIENT POPULATIONS AFFECTED BY POVERTY, FOOD INSECURITY AND HOUSING INSTABILITY. CONTINUING TO GROW MEDICAL AND CLINICAL SERVICES TO MEET THE PUBLIC'S HEALTHCARE NEEDS, NORTHEAST MEDICAL GROUP ADDED MORE THAN 860 PHYSICIANS AND 470 ADVANCED PRACTICE PROVIDERS AS WELL AS PRACTICES IN RHODE ISLAND AND CONNECTICUT. PART I, LINE 4 & PART VI, LINE 1B NUMBER OF INDEPENDENT VOTING MEMBERS OF THE GOVERNING BODY THE ORGANIZATION SOUGHT TO CONFIRM THE INDEPENDENCE OF EACH VOTING MEMBER OF ITS GOVERNING BODY BY REQUESTING THAT EACH SUCH VOTING MEMBER RESPOND TO A QUESTIONNAIRE CONTAINING THE PERTINENT INSTRUCTIONS AND DEFINITIONS AND DESIGNED TO ELICIT THE INFORMATION NECESSARY TO DETERMINE INDEPENDENCE. IN THE EVENT THAT THE ORGANIZATION DOES NOT RECEIVE A RESPONSE FROM ANY SUCH VOTING MEMBER, THE ORGANIZATION REVIEWS OTHER INFORMATION KNOWN TO IT REGARDING THE VOTING MEMBER AND MAKES A REASONABLE ASSESSMENT OF INDEPENDENCE BASED ON THAT INFORMATION. FORM 990, PART VI, SECTION A, LINE 2 PART VI, LINE 2 - BUSINESS RELATIONSHIPS BETWEEN OFFICERS, TRUSTEES, OR KEY EMPLOYEES CERTAIN OF THE ORGANIZATION'S CURRENT OFFICERS AND/OR TRUSTEES MAY SERVE AS OFFICERS AND/OR DIRECTORS OF TAX-EXEMPT AND TAXABLE AFFILIATES WITHIN THE ORGANIZATION'S CORPORATE SYSTEM OR JOINT VENTURES IN WHICH THE ORGANIZATION'S CORPORATE SYSTEM HAS AN OWNERSHIP INTEREST. THE INDIVIDUAL OFFICERS AND/OR TRUSTEES DO NOT HAVE PERSONAL FINANCIAL INTERESTS IN SUCH AFFILIATES AND SERVE ONLY AS A FUNCTION OF THEIR ROLES WITH THE ORGANIZATION OR WITHIN THE ORGANIZATION'S CORPORATE SYSTEM. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 TAX RETURN AND ATTACHED SCHEDULES WERE PREPARED BY EMPLOYEES OF THE YNHHS TAX DEPARTMENT. THE RETURN IS INITIALLY REVIEWED BY THE DIRECTOR AND VP OF CORPORATE FINANCE. SUBSEQUENTLY IT IS SENT TO KPMG LLP FOR THEIR INITIAL REVIEW. AFTER ALL COMMENTS FROM THE ABOVE GROUP ARE CLEARED, THE RETURN IS THEN REVIEWED BY THE CHIEF FINANCIAL OFFICER OF THE ORGANIZATION AND A FINAL VERSION OF THE RETURN IS SENT BACK TO KPMG LLP FOR FINAL REVIEW. PRIOR TO FILING, THE ORGANIZATION MAKES AVAILABLE A COMPLETE COPY OF THE RETURN TO ITS BOARD OF TRUSTEES. A SECURE WEB PORTAL IS AVAILABLE TO BOARD MEMBERS TO ACCESS THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C THE YALE NEW HAVEN HEALTH SYSTEM CONFLICT OF INTEREST POLICY AND INDIVIDUAL ANNUAL DISCLOSURE FORM APPLIES TO A POOL OF EMPLOYEES, BOARD MEMBERS AND NON-BOARD MEMBERS SERVING ON BOARD COMMITTEES. THESE "COVERED INDIVIDUALS" ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT, UPON BEGINNING EMPLOYMENT OR OTHERWISE BECOMING A COVERED INDIVIDUAL AND ANNUALLY THEREAFTER. COVERED INDIVIDUALS ARE ALSO REQUIRED TO PROMPTLY REPORT CHANGES TO THEIR MOST RECENTLY COMPLETED DISCLOSURE STATEMENT. THESE DISCLOSURE STATEMENTS AND REPORTS ARE REVIEWED BY THE OFFICE OF PRIVACY AND CORPORATE COMPLIANCE AND/OR THE LEGAL AND RISK SERVICES DEPARTMENT TO ENSURE COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY. IF A POTENTIAL CONFLICT ARISES, THE PRESIDENT AND CEO WOULD CONSULT WITH THE BOARD CHAIRPERSON AND THE LEGAL AND RISK SERVICES DEPARTMENT TO DEVELOP A PLAN TO MITIGATE ANY ACTUAL CONFLICT OF INTEREST. FOR EXAMPLE, A VOTING BOARD OR COMMITTEE MEMBER WOULD BE REQUIRED TO RECUSE HIMSELF OR HERSELF FROM VOTING ON MATTERS RELATED WITH WHICH SHE OR HE HAD AN ACTUAL OR POTENTIAL CONFLICT AND THE ACTUAL OR POTENTIAL CONFLICT WOULD BE DISCLOSED TO OTHER VOTING MEMBERS. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE OF YNHHS STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE IS AUTHORIZED UNDER THE YNHHS BYLAWS AND IS RESPONSIBLE FOR (1) DETERMINING THE OVERALL TOTAL COMPENSATION STRATEGY FOR ALL CORPORATE OFFICERS, (2) APPROVING ALL COMPENSATION AND BENEFITS DECISIONS FOR CORPORATE OFFICERS, AND (3) REPORTING SUCH ACTIONS TO THE FULL YNHHS BOARD ON AN ANNUAL BASIS. IN ADDITION, THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE EXPRESSLY DETERMINES THE REASONABLENESS OF TOTAL COMPENSATION AND BENEFITS FOR ALL CORPORATE OFFICERS, AND ASSURES THAT ALL OFFICER COMPENSATION DECISIONS ARE MADE AFTER THOROUGH CONSIDERATION OF AND COMPARISON TO THE MARKET PRACTICES OF OTHER SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE EXECUTIVES IN COMPARABLE ORGANIZATIONS. THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE CONSISTS OF BOARD MEMBERS WHO DO NOT HAVE MATERIAL FINANCIAL INTERESTS THAT COULD BE AFFECTED BY THE OFFICER COMPENSATION DECISIONS MADE BY THE COMMITTEE. THE COMPARABILITY DATA USED TO ASSIST THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE IN ITS COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE. THE DATA COLLECTED BY THE CONSULTANT CONSISTS OF MARKET INFORMATION FOR EXECUTIVES IN FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE ORGANIZATIONS. THE DELIBERATIONS AND DECISIONS OF THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE COMPENSATION AND LEADERSHIP DEVELOPMENT COMMITTEE, AND PROVIDED TO THE BOARD. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF ALL AVAILABLE DOCUMENTS ARE ACCESSIBLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTING FEES: PROGRAM SERVICE EXPENSES 2,883,906. MANAGEMENT AND GENERAL EXPENSES 948,351. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 3,832,257. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 80,592,784. MANAGEMENT AND GENERAL EXPENSES 13,944,206. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 94,536,990. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 2,345,521. MANAGEMENT AND GENERAL EXPENSES 405,823. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,751,344. SYSTEM SUPPORT: PROGRAM SERVICE EXPENSES 17,154,617. MANAGEMENT AND GENERAL EXPENSES 2,968,101. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 20,122,718. 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