2022-10-25T12:46:57-05:00 2021-12-31 381357951 PLANTE & MORAN PLLC 8181 E TUFTS AVE SUITE 600 DENVER CO 80237 990 2021-01-01 834416613 DELTA DENTAL OF COLORADO DELT 8002330860 6465 GREENWOOD PLAZA BLVD 900 CENTENNIAL CO 80111 GREGORY VOCHIS CPA CFO AND TREASURER 8002330860 2022-10-13 1 GREGORY VOCHIS CPA 999009999 DORI J EGGETT P00645252 3037409400 2022-10-13 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z HELEN WEISS DREXLER 6465 GREENWOOD PLAZA BLVD 900 CENTENNIAL CO 80111 482133624 0 X WWW.DELTADENTALCO.COM X 2019 CO TO IMPROVE THE ORAL HEALTH OF THE COMMUNITIES WE SERVE. 13 11 268 0 0 0 0 0 185033882 479817682 6073654 2308098 283 7293 191107819 482133073 5806312 6854162 165786705 411440299 10059225 23930837 0 0 0 16499098 37756230 198151340 479981528 -7043521 2151545 109235627 119552355 47550813 56563880 61684814 62988475 X DELTA DENTAL OF COLORADO (DDCO) WAS FORMED AS A 501(C)(4) ORGANIZATION IN ORDER TO IMPROVE THE ORAL HEALTH OF THE COMMUNITIES IT SERVES. BECAUSE PEOPLE WITH DENTAL INSURANCE OVER TIME HAVE BETTER ORAL HEALTH OUTCOMES, DELTA DENTAL OF COLORADO DEVOTES ITSELF TO PROVIDING HIGH QUALITY AFFORDABLE DENTAL INSURANCE TO AS MANY COLORADANS AS POSSIBLE. 0 0 467502592 479817682 PROVISION OF RISK AND SELF-FUNDED PLANS TO SUBSCRIBERSDELTA DENTAL OF COLORADO DEVOTES ITSELF TO ITS MISSION OF IMPROVING THE ORAL HEALTH OF COLORADO'S PEOPLE. BECAUSE PEOPLE WITH DENTAL INSURANCE ARE OVER TWICE AS LIKELY TO VISIT A DENTIST REGULARLY, DELTA DENTAL OF COLORADO WORKS HARD TO MAKE DENTAL INSURANCE AS AFFORDABLE AND ACCESSIBLE AS POSSIBLE, AND TO THAT END, INSURES OVER 1,000,000 PEOPLE IN COLORADO AND 300,000 IN OTHER VARIOUS STATES. THE REVENUE GENERATED IS USED TO FUND THE COMMUNITY BENEFIT EFFORTS DESCRIBED IN LINE 4B. 6854162 6854162 COMMUNITY BENEFIT PROGRAMSAS A NONPROFIT, DELTA DENTAL OF COLORADO DEVOTES SIGNIFICANT RESOURCES TO FULFILLING OUR MISSION OF IMPROVING THE ORAL HEALTH OF THE COMMUNITIES WE SERVE. DELTA DENTAL OF COLORADO PROVIDES DENTAL BENEFITS AND ORAL HEALTH INFORMATION AND SERVICES TO AS MANY PEOPLE AS POSSIBLE. OVER THE PAST SIXTEEN YEARS, DELTA DENTAL OF COLORADO HAS DEVOTED A SUBSTANTIAL AMOUNT OF ITS ADJUSTED NET GAIN TO ITS CORPORATE SOCIAL RESPONSIBILITY INITIATIVES. THESE ACTIVITIES INCLUDE DONATIONS, IN-KIND ORAL HEALTH SUPPLY DONATIONS, AND CORPORATE SPONSORSHIPS WITH MANY ORGANIZATIONS INCLUDING HABITAT FOR HUMANITY, METRO CARING, VOLUNTEERS FOR OUTDOOR COLORADO, AND MILE HIGH UNITED WAY. THE COMPANY ALSO SPONSORS LOCAL NONPROFIT ORGANIZATIONS AND COMMUNITY EVENTS AND DONATED OVER 252,000 ORAL HEALTH ITEMS REACHING MORE THAN 150,000 PEOPLE THROUGHOUT COLORADO. A PORTION OF THE FUNDING SUPPORT GOES TO DELTA DENTAL OF COLORADO FOUNDATION, WHICH RECEIVED $6.0 MILLION IN 2021 TO ADVANCE ORAL HEALTH EQUITY THROUGH GRANT MAKING. THE COMPANY SUPPORTS ENGAGEMENT IN THE COMMUNITY THROUGH ITS VOLUNTEER PROGRAM WITH 129 OF ITS 225 EMPLOYEES CONTRIBUTING THEIR TIME IN 2021. 474356754 0 0 0 0 0 0 0 0 0 1 1 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 1 1 1 0 1 35549 0 1 268 0 0 0 0 0 0 0 0 0 1 0 X 13 11 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X GREGORY VOCHIS CPA 7204894718 6465 GREENWOOD PLAZA BLVD 900 CENTENNIAL CO 80111 HELEN W DREXLER PRESIDENT AND CHIEF EXECUTIVE OFFICER 35.00 10.00 X X 801206 225981 50502 ANN BLOCK DIRECTOR 2.00 5.00 X 37877 7500 0 KELLY J BROUGH DIRECTOR 2.00 5.00 X 46748 0 0 RICHARD CALL DMD DIRECTOR 2.00 4.00 X 35488 5000 0 NED CALONGE MD DIRECTOR 2.00 X 36750 0 0 JAMES COUSIN II DIRECTOR 2.00 X 35850 0 0 KIM KRETSCH DDS DIRECTOR 2.00 3.00 X 39300 0 0 MARY MARGARET NOONAN CHAIR 3.00 X X 57895 0 0 HASSAN SALEM DIRECTOR 2.00 X 29250 0 0 ANN SOMERS DDS DIRECTOR 2.00 X 31500 0 0 TAMANNA TIWARI MPH MDS BDS SECRETARY 2.00 3.00 X X 40500 0 0 LEO TOKAR VICE-CHAIR 2.00 4.00 X X 28051 3250 1750 ANDREA JEAN YOUNG DIRECTOR 2.00 2.00 X 39685 0 0 GREGORY C VOCHIS CHIEF FINANCIAL OFFICER AND TREASURER 37.00 8.00 X 487281 103362 57891 DAVID W GERBUS CHIEF ADMINISTRATIVE OFFICER & GENERAL COUNSEL AND 38.00 7.00 X 480183 84738 47110 BRAD T GUYTON CHIEF DENTAL OFFICER 22.00 2.00 X 298542 0 28348 ROBERT M THOMPSON VICE PRESIDENT SALES AND CLIENT/BROKER EXPERIENCE 40.00 5.00 X 434020 48224 50252 KATHLEEN S JACOBY VICE PRESIDENT MARKETING AND MEMBER EXPERIENCE 40.00 5.00 X 436669 48519 43116 ADEEB A KHAN EXECUTIVE DIRECTOR OF FOUNDATION 20.00 25.00 X 164831 158368 39453 DEVIN W FARRELL DIRECTOR, SALES STRATEGY AND PROVIDER RELATIONS 40.00 X 274084 0 46596 BRIAN L STEELE DIRECTOR OF CLIENT SERVICES 40.00 X 262975 0 38413 BROOKE S BODART DIRECTOR OF BUSINESS PROGRAMS 40.00 X 245763 0 28535 TIMOTHY J CATRON DIRECTOR OF GROUP ADMINISTRATION, EDI & CLAIMS 40.00 X 218821 0 18725 SUNDAY A SOTOMAYOR DIRECTOR OF HUMAN RESOURCES 40.00 X 206998 0 29160 4770267 684942 479851 56 0 1 0 CORVESTA INC 4818 STARKEY RD SW ROANOKE VA 24018 IT SUPPORT & CLAIMS PROCESSING 6183449 WYSSTA SERVICES INC PO BOX 86 STEVENS POINT WI 54481 3RD PARTY INSURANCE PROCESSING 3235619 REVGEN PARTNERS INC 6300 S SYRACUSE WAY STE 760 CENTENNIAL CO 80111 BUSINESS MANAGEMENT CONSULTANT 2537564 ENCARA INC 4818 STARKEY ROAD ROANOKE VA 24018 SALES AND MARKETING SERVICES 1621187 FISERV PO BOX 979 BROOKFIELD WI 53008 PRINTING AND MAILING SERVICES 1120000 27 SELF FUNDED PLAN PREMI 524114 261621736 261621736 RISK PLAN PREMIUMS 524114 199571859 199571859 ADMIN - SELF FUND PLAN 524298 17068427 17068427 RISK SHARING 524298 1555660 1555660 479817682 1236741 1236741 1071908 0 551 1071908 -551 1071357 1071357 VISION PREMIUMS 524298 7293 7293 7293 482133073 479817682 0 2315391 6854162 6854162 411440299 411440299 3966961 3887622 79339 14941081 14642259 298822 1136272 1113547 22725 2683235 2629570 53665 1203288 1179222 24066 3301141 2640913 660228 466290 373032 93258 127585 102068 25517 148002 148002 980544 686381 294163 2223842 2223842 884614 619230 265384 4766236 3812989 953247 1615815 1292652 323163 28751 5750 23001 1639085 901497 737588 276728 221382 55346 COMMISSIONS 9594227 9594227 OUTSOURCING/CONSULTING 4149114 3319291 829823 FEES, LICENSES, & DUES 3738657 3738657 POSTAGE AND MAILING 2199961 1759969 439992 1615638 1318193 297445 479981528 474356754 5624774 0 2298090 7491912 293448 3811336 27291083 29219302 1890268 1939139 17705066 3644218 12785702 14060848 9423989 10819962 54628356 51080080 624691 1129776 109235627 119552355 7316592 19461346 5000000 6000000 6233230 1826194 29000991 29276340 47550813 56563880 X 61684814 62988475 61684814 62988475 109235627 119552355 2151545 -847884 0 X 0 1 X 1 0 5216774 6168 5210606 11137648 3446628 7691020 1350644 191422 1159222 14060848 BONDS 50076984 F OTHER INVESTED ASSETS 1003096 F 51080080 PROVISION FOR UNPAID CLAIMS 13934473 ACCRUED EMPLOYEE BENEFITS 8100428 ACCRUED RISK RESERVES 462041 OTHER ACCRUED LIABILITIES 5806196 DEFERRED RENT 973202 29276340 X PART X, LINE 2: ACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OF AMERICA REQUIRE MANAGEMENT TO EVALUATE TAX POSITIONS TAKEN BY THE COMPANY AND RECOGNIZE A TAX LIABILITY IF THE COMPANY HAS TAKEN AN UNCERTAIN POSITION THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE IRS OR OTHER APPLICABLE TAXING AUTHORITIES. MANAGEMENT HAS ANALYZED THE TAX POSITIONS TAKEN BY THE COMPANY AND HAS CONCLUDED THAT, AS OF DECEMBER 31, 2021, THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF A LIABILITY OR DISCLOSURE IN THE FINANCIAL STATEMENTS. THE COMPANY IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. 1 A PRECIOUS CHILD INC 7051 W 118TH AVE BROOMFIELD CO 80020 263349334 501C3 10000 0 FUNDING TO SUPPORT LOCAL CHILDREN'S ORGANIZATION AMERICAN CANCER SOCIETY 10065 E HARVARD AVE STE 400 DENVER CO 80231 131788491 501C3 12500 0 FUNDING TO SUPPORT LOCAL HEALTH ORGANIZATION AMERICAN RED CROSS 444 SHERMAN ST DENVER CO 80203 530196605 501C3 15000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION ASSOCIATION OF FUNDRAISING PROFESSIONALS CO CHAPTER PO BOX 24745 DENVER CO 80221 742256322 501C3 7500 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION BCIVIC 789 SHERMAN STREET SUITE 260 DENVER CO 80203 465262657 501C3 9000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION CHARITY GLOBAL INC 40 WORTH STREET SUITE 330 NEW YORK NY 10013 223936753 501C3 6000 0 FUNDING TO SUPPORT GLOBAL CHARITABLE ORGANIZATION CLINICA TEPEYAC 725 HIGH STREET DENVER CO 80216 841285505 501C3 7250 0 FUNDING TO SUPPORT LOCAL HEALTH ORGANIZATION COLORADO MISSION OF MERCY 7615 WINDING OAKS DRIVE COLORADO SPRINGS CO 80919 271586585 501C3 32000 0 FUNDING TO SUPPORT LOCAL DENTAL HEALTH ORGANIZATION COMMUNITY COLLEGE OF DENVER FOUNDATION PO BOX 173363 CAMPUS BOX 250 DENVER CO 80127 453784543 501C3 10000 0 FUNDING TO SUPPORT LOCAL EDUCATIONAL ORGANIZATION COMMUNITY FIRST FOUNDATION 5855 WADSWORTH BYPASS UNIT A ARVADA CO 80003 510157964 501C3 100000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION DELTA DENTAL OF COLORADO FOUNDATION 6465 GREENWOOD PLAZA BLVD SUITE 900 CENTENNIAL CO 80111 841389431 501C3 6000000 0 FUNDING TO SUPPORT DELTA DENTAL FOUNDATION AND FURTHER ITS MISSION DENVER METRO CHAMBER FOUNDATION 1445 MARKET STREET 4TH FLOOR DENVER CO 80202 742489854 501C3 7700 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION DENVER PUBLIC SCHOOLS 1860 LINCOLN ST 10TH FLOOR DENVER CO 80203 841224325 501C3 25000 0 FUNDING TO SUPPORT LOCAL EDUCATIONAL ORGANIZATION DENVER SCHOLARSHIP 789 SHERMAN ST SUITE 610 DENVER CO 80203 205143175 501C3 25000 0 FUNDING TO SUPPORT LOCAL EDUCATIONAL ORGANIZATION DENVER URBAN GARDENS 1031 33RD STREET SUITE 100 DENVER CO 80205 742374848 501C3 10000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION DENVER ZOOLOGICAL FOUNDATION 2300 STEELE ST DENVER CO 80205 840502539 501C3 150000 0 FUNDING TO SUPPORT LOCAL EDUCATIONAL ORGANIZATION DUMB FRIENDS LEAGUE 2080 S QUEBEC ST DENVER CO 80231 840405254 501C3 25000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION FOOD BANK OF THE ROCKIES 10700 E 45TH AVE DENVER CO 80239 840772672 501C3 6000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION GIRL SCOUTS OF COLORADO 3801 E FLORIDA AVE SUITE 720 DENVER CO 80210 840410630 501C3 10000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION HABITAT FOR HUMANITY PO BOX 5202 DENVER CO 80217 742050021 501C3 25000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION INSURANCE MANAGEMENT ASSOCIATES FOUNDATION 1705 17TH STREET SUITE 100 DENVER CO 80202 237432160 501C3 5500 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION METRO CARING 1100 E 18TH AVE DENVER CO 80218 846116951 501C3 29750 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION MILE HIGH UNITED WAY PO BOX 5547 DENVER CO 80217 840404235 501C3 50400 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION NATIONAL FOUNDATION OF DENTISTRY FOR THE HANDICAPPED 1800 15TH STREET SUITE 100 DENVER CO 80202 846129064 501C3 20000 0 FUNDING TO SUPPORT LOCAL DENTAL HEALTH ORGANIZATION PROJECT WORTHMORE 1666 ELMIRA STREET AURORA CO 80010 450933835 501C3 10000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION SPECIAL OLYMPICS OF COLORADO 12450 E ARAPAHOE RD SUITE C CENTENNIAL CO 80112 840713739 501C3 25000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION UNIVERSITY OF CO FOUNDATION PO BOX 173364 DENVER CO 80217 846049811 501C3 10000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION VOLUNTEERS FOR OUTDOOR 600 S MARION PARKWAY DENVER CO 80209 742357211 501C3 25000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION VOLUNTEERS OF AMERICA 2660 LARIMER STREET DENVER CO 80205 841590666 501C3 30000 0 FUNDING TO SUPPORT LOCAL CHARITABLE ORGANIZATION 29 PART I, LINE 2: THE COMPANY HAS PROCEDURES TO ASCERTAIN THAT ALL GRANTS ARE MADE TO 501(C)(3) ORGANIZATIONS AND ARE PROPERLY APPROVED BY MANAGEMENT. ADDITIONALLY, THE ORGANIZATION REQUIRES PERIODIC REPORTS TO ASCERTAIN THAT SUBSTANTIAL GRANTS ARE USED FOR THEIR PROPER INTENDED PURPOSE. X X X X 0 0 0 1 0 1 0 0 0 HELEN W DREXLER PRESIDENT AND CHIEF EXECUTIVE OFFICE 396271 111769 389621 109893 15314 4319 28080 7920 11312 3190 840598 237091 0 0 GREGORY C VOCHIS CHIEF FINANCIAL OFFICER AND TREASURE 259590 55064 213005 45183 14686 3115 28822 6114 18938 4017 535041 113493 0 0 DAVID W GERBUS CHIEF ADMINISTRATIVE OFFICER & GENER 241106 42548 221603 39106 17474 3084 27978 4937 12066 2129 520227 91804 0 0 ROBERT M THOMPSON VICE PRESIDENT SALES AND CLIENT/BROK 233813 25979 183127 20347 17080 1898 26474 2942 18752 2084 479246 53250 0 0 KATHLEEN S JACOBY VICE PRESIDENT MARKETING AND MEMBER 230967 25663 187784 20865 17918 1991 26028 2892 12776 1420 475473 52831 0 0 ADEEB A KHAN EXECUTIVE DIRECTOR OF FOUNDATION 104679 100574 51178 49171 8974 8623 11490 11039 8631 8293 184952 177700 0 0 BRAD T GUYTON CHIEF DENTAL OFFICER 191321 0 97944 0 9277 0 18000 0 10348 0 326890 0 0 0 DEVIN W FARRELL DIRECTOR, SALES STRATEGY AND PROVIDE 169152 0 101558 0 3374 0 25980 0 20616 0 320680 0 0 0 BRIAN L STEELE DIRECTOR OF CLIENT SERVICES 185293 0 75044 0 2638 0 20947 0 17466 0 301388 0 0 0 BROOKE S BODART DIRECTOR OF BUSINESS PROGRAMS 158081 0 84378 0 3304 0 13261 0 15274 0 274298 0 0 0 TIMOTHY J CATRON DIRECTOR OF GROUP ADMINISTRATION, ED 170097 0 41450 0 7274 0 16211 0 2514 0 237546 0 0 0 SUNDAY A SOTOMAYOR DIRECTOR OF HUMAN RESOURCES 162458 0 40933 0 3607 0 15231 0 13929 0 236158 0 0 0 PART I, LINE 5: THE COMPANY HAS AN INCENTIVE COMPENSATION PLAN AND A SALES INCENTIVE PLAN WHICH PROVIDES AN ANNUAL BONUS FOR ALL ELIGIBLE EMPLOYEES IF THE COMPANY REACHES CERTAIN GOALS, INCLUDING A MINIMUM NET GAIN GOAL. ALL ACTIVE FULL-TIME EMPLOYEES ARE ELIGIBLE FOR ONE OF THE INCENTIVE PLANS. THE COMPANY ALSO HAS A LONG-TERM INCENTIVE PROGRAM FOR EXECUTIVES, WHICH IS BASED ON MEMBERSHIP GROWTH, RETURN ON REVENUE, AND STAKEHOLDER EXPERIENCE FACTORS. THE LONG-TERM INCENTIVE PROGRAM HAS THREE-YEAR TARGETS AND PAYOUTS, AND IN MARCH OF 2021 THE PLAN YEAR ENDING DECEMBER 31, 2020 WAS PAID. PART I, LINE 6: SEE NARRATIVE FOR LINE 5A ABOVE. POULOS & SOMERS PC ANN SOMERS, DIRECTOR 259093 CLAIMS PAID FOR DENTAL SERVICES PROVIDED 0 FORM 990 SCHEDULE L PART IV CLAIMS PAID TO POULOS & SOMERS, P.C. ARE MADE UNDER A STANDARD PROVIDER AGREEMENT. FORM 990 PART I, LINE 12 ON AUGUST 1, 2020 COLORADO DENTAL SERVICES MERGED INTO DELTA DENTAL OF COLORADO. THIS RESULTED IN THE 2020 RETURN FOR DELTA DENTAL OF COLORADO ONLY REPORTING A PARTIAL YEAR OF FINANCIAL ACTIVITY. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS ONE VOTING MEMBER, WHICH IS ENSEMBLE INNOVATION VENTURES, A COLORADO NONPROFIT CORPORATION. FORM 990, PART VI, SECTION A, LINE 7A ENSEMBLE INNOVATION VENTURES HAS THE AUTHORITY TO ELECT THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11B WE ENGAGE AN INDEPENDENT CPA TAX PROFESSIONAL TO PREPARE OUR FORM 990, AND BOARD MEMBERS GENERALLY FEEL THIS IS THE APPROPRIATE FIDUCIARY PROCESS. THE AUDIT, INVESTMENT AND FINANCE COMMITTEE'S ROLE THEN IS TO EVALUATE THE FIRM HIRED TO PREPARE THE RETURN AND TO DETERMINE IT IS APPROPRIATELY FILED. WE HAVE TAKEN THOSE STEPS WITH OUR AUDIT, INVESTMENT, AND FINANCE COMMITTEE. THE BOARD OF DIRECTORS REVIEWS AND APPROVES FORM 990 PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ON AN ANNUAL BASIS, BOARD DIRECTORS ARE REQUIRED TO COMPLETE AN ELECTRONIC CONFLICT OF INTEREST SURVEY AND AN INDEPENDENT/DEPENDENT DIRECTOR SURVEY. COMPLETED SURVEYS ARE REVIEWED BY BOARD COUNSEL. ANY POTENTIAL OR PERCEIVED CONFLICT OR DEPENDENCY ISSUES ARE REPORTED TO AND ADDRESSED BY THE BOARD GOVERNANCE COMMITTEE. IF NECESSARY, THE IMPACTED DIRECTOR IS REMOVED FROM ANY SITUATION INVOLVING THE POTENTIAL CONFLICT. COMPLIANCE PRESENTS EACH QUARTER TO THE BOARD GOVERNANCE COMMITTEE, AND EACH SUCH PRESENTATION INCLUDES TRAINING MATERIALS ON THE BOARD'S RESPONSIBILITIES FOR COMPLIANCE OVERSIGHT AND MONITORING OF THE HEALTHCARE AND CORPORATE COMPLIANCE LANDSCAPE. GOVERNANCE CHAIR IS RESPONSIBLE FOR SHARING PERTINENT CONTENTS WITH THE ENTIRE BOARD AT EACH BOARD MEETING. DDCO CONDUCTS AN ANNUAL COMPLIANCE TRAINING, WHICH IS MANDATORY FOR ALL EMPLOYEES TO ATTEND. THE CONFLICT OF INTEREST POLICY IS DISCUSSED AT THIS TRAINING. ON AN ANNUAL BASIS, ALL EMPLOYEES ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST STATEMENT AND SUBMIT ANY POTENTIAL OR PERCEIVED CONFLICT OF INTEREST. RECEIPT OF ALL SIGNED AND COMPLETED FORMS ARE TRACKED; ORIGINAL FORMS ARE KEPT IN THE PERSONNEL FILE IN THE HUMAN RESOURCES OFFICE. ANY REPORTED POTENTIAL OR PERCEIVED CONFLICTS OF INTEREST ARE REVIEWED AND, IF NECESSARY, EMPLOYEES AND THEIR MANAGER ARE ADVISED TO REMOVE THEMSELVES FROM ANY SITUATION INVOLVING THE POTENTIAL CONFLICT. ADDITIONALLY, ALL NEW EMPLOYEES RECEIVE COMPLIANCE TRAINING AND ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST STATEMENT. EMPLOYEES ARE INSTRUCTED TO COMPLETE A NEW CONFLICT OF INTEREST STATEMENT DURING THE COURSE OF THE YEAR, SHOULD THEIR SITUATION CHANGE. THE CONFLICT OF INTEREST POLICY AND STATEMENT FORMS ARE POSTED ON THE COMPANY INTRANET. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION HAS A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS THAT IS RESPONSIBLE FOR SETTING THE COMPENSATION OF THE PRESIDENT AND CEO. THE COMMITTEE ENGAGES THE SERVICES OF A THIRD PARTY TO PROVIDE RANGES OF COMPENSATION THAT ARE APPROPRIATEFOR THE DUITIES REQUIRED BY THE POSITION OF THE PRESIDENT, AS WELL AS THE POSITION OF THE VICE PRESIDENTS. THE CEO AND PRESIDENT OF THE CORPORATION IS RESPONSIBLE FOR THE COMPENSATION PROCESS OF THE REMAINING EXECUTIVES OF THE ORGANIZATION. THE ORGANIZATION ENGAGES A THIRD PARTY TO PROVIDE RANGES OF ACCEPTABLE INCREASES AND COMPENSATION LEVELS OF AVERAGE SALARIES BY SALARY GRADE. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAINTAINS COPIES OF THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS THAT ARE AVAILABLE FOR PUBLIC INSPECTION. THE ORGANIZATION HAS A STATEMENT ON ITS WEBSITE, WWW.DELTADENTALCO.COM, THAT INFORMS THE PUBLIC THAT THESE DOCUMENTS ARE AVAILABLE FOR PUBLIC INSPECTION AT ITS CORPORATE HEADQUARTERS. THE ORGANIZATION'S ANNUAL REPORT IS ALSO POSTED ON ITS WEBSITE, WHICH STATES THAT "COMPLETE AUDITED FINANCIAL STATEMENTS ARE AVAILABLE FOR INSPECTION AT OUR CORPORATE OFFICES UPON REQUEST". DOCUMENTS ARE AVAILABLE FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). ENSEMBLE COMMUNITY IMPACT FUND 6465 GREENWOOD PLAZA BLVD SUITE 900 CENTENNIAL CO 80111 834416613 INVESTS IN HEALTH AND WELLNESS COMPANIES FOCUSING EARLY-STAGE VENTURES CO 0 0 ENSEMBLE INNOVATION VENTURES DIRECT DENTAL ALLIANCE 6465 GREENWOOD PLAZA BLVD SUIT 900 CENTENNIAL CO 80111 872105156 MARKET AND ADMINISTER A NON-INSURED DENTAL PRODUCT CO ENSEMBLE INNOVATION VENTURES DELTA DENTAL PLAN OF COLORADO FOUNDATION 6465 GREENWOOD PLAZA BLVD SUIT 900 CENTENNIAL CO 80111 841389431 DENTAL HEALTH AND EDUCATION CO 501(C)(3) LINE 12A, I DELTA DENTAL OF COLORADO 1 ENSEMBLE INNOVATION VENTURES 6465 GREENWOOD PLAZA BLVD SUIT 900 CENTENNIAL CO 80111 834432148 INVESTMENTS IN COMPANIES THAT IMPROVE COMMUNITY HEALTH CO 501(C)(4) 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 1 0 1 0 0 DELTA DENTAL PLAN OF COLORADO FOUNDATION B 6000000 FMV DELTA DENTAL PLAN OF COLORADO FOUNDATION J 50952 FMV DELTA DENTAL PLAN OF COLORADO FOUNDATION O 848867 FMV DELTA DENTAL PLAN OF COLORADO FOUNDATION Q 286347 FMV