2021-11-15T11:15:46-06:00 2020-12-31 366055558 GRANT THORNTON LLP 1415 VANTAGE PARK DRIVE SUITE 500 CHARLOTTE NC 28244 990 2020-01-01 566060481 ATRIUM HEALTH FOUNDATION ATRI 7043554048 PO BOX 32861 CHARLOTTE NC 282322861 ELECTA E MCPHERSON CFO 7043554048 2021-11-15 1 ELECTA MCPHERSON 999009999 MICHELE MELCHIOR P00488037 7046323500 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z ARMANDO L CHARDIET PO BOX 32861 CHARLOTTE NC 28232 170129403 0 X WWW.ATRIUMHEALTHFOUNDATION.ORG X 1959 NC SUPPORT FOR ATRIUM HEALTH (AH) PROGRAMS & FACILITIES 12 12 0 300 24854 0 34628896 38517447 0 0 15586352 20597539 620658 688932 50835906 59803918 41093047 41208816 0 0 0 0 0 0 3636961 5942452 6156235 47035499 47365051 3800407 12438867 368152746 404080450 5547241 7761679 362605505 396318771 X IN SUPPORT OF ATRIUM HEALTH, WE:INSPIRE TRANSFORMATIONAL GIVING TO IMPROVE HEALTH, ELEVATE HOPE, AND ADVANCE HEALING - FOR ALL. 0 0 4750000 4750000 MEDICAL RESEARCH ADVANCEMENT: PROVIDED SUBSTANTIAL OPERATIONAL FUNDING TO ATRIUM HEALTH'S CANNON RESEARCH CENTER, A PROMINENT SCIENTIFIC & CLINICAL RESEARCH FACILITY ADDRESSING A WIDE VARIETY OF MEDICAL SPECIALTIES FROM NEUROSCIENCES AND ORTHOPAEDICS TO CANCER RESEARCH. 9999996 9999996 SUPPORT FOR MEDICAL EDUCATION PROGRAMS: PROVIDED OPERATIONAL FUNDING FOR A VARIETY OF MEDICAL EDUCATION PROGRAMS CONDUCTED BY AH HOSPITALS TO BROADEN MEDICAL KNOWLEDGE, TRAIN HUNDREDS OF NEW MEDICAL PROFESSIONALS, AND ENHANCE MEDICAL CARE FOR THOUSANDS OF PATIENTS IN THE CAROLINAS. 8943606 8943606 SUPPORT FOR CHILDREN'S PROGRAMS & SERVICES: PROVIDED SIGNIFICANT SUPPORT FOR MEDICAL EQUIPMENT & PROGRAMMING IN NEWBORN & PEDIATRIC UNITS THROUGHOUT AH HOSPITALS. THESE HOSPITALS TREAT OVER 100,000 CHILDREN ANNUALLY ON AN INPATIENT AND OUTPATIENT BASIS. 2330160 2330160 SUPPORT FOR MEDICAL, NURSING & ALLIED HEALTH EDUCATION: PROVIDED OPERATING & STUDENT SCHOLARSHIP SUPPORT FOR AH'S NURSING & ALLIED HEALTH EDUCATIONAL PROGRAMS THAT GRADUATE HUNDREDS OF PROFESSIONALS ANNUALLY TO SERVE AREA HOSPITALS AND OTHER HEALTHCARE FACILITIES. 2057688 2057688 SUPPORT FOR COMMUNITY HEALTH EDUCATION & AWARENESS 1349127 1349127 SUPPORT FOR MUSCULAR DYSTROPHY RESEARCH PROGRAMS 241692 241692 SUPPORT FOR CAROLINAS NEUROMUSCULAR/ALS CENTER 500000 500000 SUPPORT FOR AH HEALTH OUTCOMES RESEARCH 124378 124378 SUPPORT FOR EMERGENCY MEDICINE & TRAUMA PROGRAMS 4841607 4841607 FUNDING FOR AH CANCER PROGRAMS 815628 815628 SUPPORT FOR AH GENERAL AND MINIMALLY INVASIVE SURGERY PROGRAMS 1731596 1731596 SUPPORT FOR SANGER HEART & VASCULAR INSTITUTE FACILITIES & RELATED PROGRAMS 374320 374320 SUPPORT FOR AH ORTHOPAEDIC RESEARCH 618360 618360 SUPPORT FOR AH PROGRAMS FOR DISABLED 141490 141490 SUPPORT FOR AH NEUROSCIENCE RESEARCH/EDUCATION 45495 45495 SUPPORT FOR AH REGIONAL HOSPITALS & PROGRAMS 110532 110532 SUPPORT FOR CMC-MERCY FACILITIES AND PROGRAMS 903506 903506 SUPPORT FOR AH BEHAVIORAL HEALTH PROGRAMS & EDUCATION 434417 434417 SUPPORT FOR AH LONG-TERM CARE & HOSPICE PROGRAMS 895218 895218 SUPPORT FOR AH PATIENT/STAFF OUTREACH & EDUCATION PROGRAMS 17515214 17515214 41208816 1 1 0 0 0 0 0 0 0 1 1 1 0 0 1 0 0 1 0 0 1 0 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 6 0 1 0 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 12 12 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 SC TN GA VA CA X X ELECTA MCPHERSON 7043554048 208 EAST BLVD CHARLOTTE NC 28203 ARMANDO L CHARDIET PRESIDENT 50.00 X 0 889182 97199 JAMES R ERVIN SENIOR VP DEVELOPMENT (1/20-4/20) 50.00 X 0 365610 9761 ELECTA E MCPHERSON SENIOR VICE PRESIDENT OPERATIONS 50.00 X 0 215561 45666 MARK L GRIFFITH AVP, MAJOR GIFTS 50.00 X 0 133046 38923 KIRSTIN E ASHFORD VICE PRESIDENT, CHIEF OF STAFF 50.00 X 0 140497 30091 SCOTT KERR FORMER OFFICER 0.00 X 0 160831 0 JAMES E MATTEI CHAIR (1/20-9/20) 1.00 X X 0 0 0 MANDY S HOUSER VC (1/20-9/20)/CHAIR (AS OF 9/20) 1.00 X X 0 0 0 LUTHER A LOCKWOOD II DIR (1/20-9/20)/VC (AS OF 9/20) 1.00 X X 0 0 0 LORI L SKLUT SECRETARY/DIRECTOR 1.00 X X 0 0 0 HOWARD BISSELL III DIRECTOR 1.00 X 0 0 0 THOMAS J HALL DIRECTOR 1.00 X 0 0 0 MAY BEVERLY HEMBY DIRECTOR 1.00 X 0 0 0 JAMES E S HYNES DIRECTOR 1.00 X 0 0 0 GREGORY OLSEN DIRECTOR 1.00 X 0 0 0 MANUEL REY DIRECTOR 1.00 X 0 0 0 MIKE RUCKER DIRECTOR 1.00 X 0 0 0 MICHAEL SALVINO DIRECTOR 1.00 X 0 0 0 DAVID SECREST DIRECTOR 1.00 X 0 0 0 0 1904727 221640 0 1 1 0 BARRY BAKER DESIGN 1041 CHARTER PLACE CHARLOTTE NC 282115658 COMMERCIAL ART & GRAPHIC DESIGN 177052 WELLS FARGO ASSET MANAGEMENT 401 S TRYON ST 3RD FLOOR CHARLOTTE NC 28282 INVESTMENT MANAGEMENT 109762 2 9683 1098849 2651441 34757474 203755 38517447 2885288 24854 2860434 1442143 504836 937307 937307 937307 127086830 109374579 17712251 17712251 17712251 197695 1098849 446070 -248375 -248375 59803918 0 24854 21261617 41205816 41205816 3000 3000 4110423 1586291 2524132 6560 6560 560954 560954 100100 100100 405015 4798 400217 143748 37135 106613 231989 18590 213399 97794 31707 66087 15603 1025 14578 1097 1097 266426 266426 ORG. DUES & MEMBERSHIPS 204596 1549 203047 BOOKS & SUBSCRIPTIONS 11930 4239 7691 47365051 41208816 2519274 3636961 5464949 4114217 44734978 48474251 404231 402851 11815627 7447159 4492667 4368468 271078263 305957644 36102597 34816424 5509021 5509021 366040 437574 368152746 404080450 2309396 4457487 190000 135000 1092796 1042101 1955049 2127091 5547241 7761679 X 18048777 11524537 344556728 384794234 362605505 396318771 368152746 404080450 X 12438867 22159399 -885000 X 0 1 X 1 0 X 39218066 34815402 35623196 34628896 38517447 182803007 39218066 34815402 35623196 34628896 38517447 182803007 26803386 155999621 4707470 4560765 6647505 6083402 4302576 26301718 20579 24854 45433 209150158 3272128 0.74590 0.72200 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 48039776 2819330 6878870 796268 56941708 39182629 3280031 6890649 1105495 48039776 61460321 -18515761 -2882625 870237 39182629 54047751 1841375 5571195 61460321 54046433 -678525 679843 54047751 1.00000 1 0 848743 848743 6206657 5964500 242157 540976 469450 71526 4219251 1013209 3206042 4368468 CANYON VALUE REALIZATION FUND 6005638 F CHATHAM LONG/SHORT FIXED INCOME FUND 7209603 F ENCAP PRIVATE EQUITY FUND 1548167 F FIR TREE MULTI-STRATEGY HEDGE FUND 3998 F GSO PRIVATE EQUITY FUND 185723 F HARBOURVEST PRIVATE EQUITY FUNDS 16884831 F Q-BLK PRIVATE EQUITY FUNDS 2657217 F RIVER BIRCH LONG/SHORT FIXED INCOME FUND 321247 F 34816424 REVOCABLE FUNDS MANAGED FOR OTHERS 2127091 2127091 PART V, LINE 4: ANNUAL INCOME FROM THE FOUNDATION'S ENDOWED FUNDS BENEFITS A GREAT VARIETY OF PROGRAMS AND FACILITIES AT ATRIUM HEALTH, CONSISTENT WITH THE WISHES AND DESIGNATIONS OF THE DONORS WHO CREATED THE VARIOUS ENDOWMENTS. CAYMAN ISLANDS INVESTMENTS 33634917 0 0 0 0 0 0 33634917 0 33634917 1 0 1 1 1 0 PART III ACCOUNTING METHOD: LEVINE CHILDREN'S GALA 472402 441055 31347 23595 57978 167430 BEHAVIORAL HEALTH LUNCH 144545 132555 11990 2257 2250 22485 7144 9070 22 679597 525239 154358 2083 6691 13049 3178 128860 1296544 1098849 197695 4340 8941 59129 68300 305360 446070 -248375 1 ATRIUM HEALTH PO BOX 16188 CHARLOTTE NC 28232 560529945 170(C)(1) 4750000 CANNON RESEARCH CENTER - OPERATIONS & PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 8582105 CHILDREN'S & NEWBORN PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 2327460 MEDICAL,NURSING & ALLIED HEALTH EDUCATION PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 9999996 MEDICAL EDUCATION PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 136490 NEURO PROGRAMS, RESEARCH & EDUCATION ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 369420 ORTHOPAEDIC RESEARCH & EDUCATION ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 1346127 MUSCULAR DYSTROPHY RESEARCH PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 4738232 CANCER PROGRAMS & RESEARCH ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 434417 LONG-TERM CARE & HOSPICE ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 500000 CENTER FOR OUTCOMES RESEARCH & EDUCATION ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 618360 CAROLINAS REHABILITATION OUTREACH PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 1709098 COMMUNITY HEALTH EDUCATION & AWARENESS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 119778 EMERGENCY MEDICINE & TRAUMA PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 110532 CMC - MERCY FACILITIES & PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 241692 CAROLINAS NEUROMUSCULAR/ALS CENTER ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 29995 SUPPORT FOR REGIONAL HOSPITALS & PROGRAMS ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 815628 GENERAL & MINIMALLY INVASIVE SURGERY PROGRAMS & RESEARCH ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 1727397 SANGER HEART & VASCULAR INSTITUTE ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 903506 BEHAVIORAL HEALTH PROGRAMS & PSYCHIATRY RESIDENCY EDUCATION ATRIUM HEALTH PO BOX 32861 CHARLOTTE NC 28232 560529945 170(C)(1) 895218 PATIENT/STAFF OUTREACH PROGRAMS AND EDUCATION 24 FOUNDATION 500 E MOREHEAD STREET SUITE 318 CHARLOTTE NC 28211 203768277 501(C)(3) 100500 SUPPORT FOR CANCER-RELATED FUNDRAISING ACTIVITIES HEINEMAN MEDICAL RESEARCH INC 1001 BLYTHE BLVD SUITE 604 CHARLOTTE NC 28203 566023076 501(C)(3) 64600 SUPPORT FOR INTERNATIONAL MEDICAL PROGRAMS CARE RING INC 601 E 5TH ST STE 140 CHARLOTTE NC 28202 560621073 501(C)(3) 238590 SUPPORT FOR COMMUNITY OUTREACH PROGRAMS BLUE RIDGE HEALTHCARE FOUNDATION 2201 SOUTH STERLING STREET MORGANTON NC 28655 582063920 501(C)(3) 34708 SUPPORT FOR PEDIATRIC MEDICAL EQUIPMENT ISABELLA SANTOS FOUNDATION 9935-D REA ROAD UNIT 275 CHARLOTTE NC 28277 261332748 501(C)(3) 25000 SUPPORT FOR PEDIATRIC CANCER-RELATED FUNDRAISING ACTIVITIES CHARLOTTE BALLET 701 N TRYON ST CHARLOTTE NC 28202 581314711 501(C)(3) 10000 SUPPORT FOR CANCER-RELATED FUNDRAISING ACTIVITIES BEADS OF COURAGE 3230 N DODGE BLVD SUITE J TUCSON AZ 85716 202721500 501(C)(3) 6000 SUPPORT FOR PEDIATRIC CANCER PROGRAMS HOSPITALITY HOUSE 1400 SCOTT AVE CHARLOTTE NC 28203 561523878 501(C)(3) 7500 SUPPORT FOR COMMUNITY OUTREACH PROGRAMS MARTIN TRUEX JR FOUNDATION 156 CAYUGA DR MOORESVILLE NC 28117 260654126 501(C)(3) 7000 SUPPORT FOR PEDIATRIC CANCER-RELATED FUNDRAISING ACTIVITIES CYSTIC FIBROSIS FOUNDATION 4600 PARK RD SUITE 100 CHARLOTTE NC 28209 131930701 501(C)(3) 7500 SUPPORT FOR CYSTIC FIBROSIS FUNDRAISING ACTIVITIES ED STUBB WOMEN'S HEALTH CENTER 3611 MT HOLLY-HUNTERVILLE ROAD STE 204 CHARLOTTE NC 28216 043723062 501(C)(3) 20000 SUPPORT FOR COMMUNITY OUTREACH PROGRAMS THE REGENTS OF THE UNIVERSITY OF MICHIGAN PO BOX 223131 PITTSBURGH PA 15251 386006309 501(C)(3) 120000 SUPPORT FOR KIDNEY RESEARCH NETWORK UNIVERSITY OF FLORIDA FOUNDATION INC 1938 W UNIVERSITY AVE GAINESVILLE FL 32603 590974739 501(C)(3) 100000 SUPPORT FOR PEDIATRIC CANCER-RELATED RESEARCH BAYADA HOME HEALTH CARE PO BOX 536446 PITTSBURGH PA 15253 231943113 501(C)(3) 25778 SUPPORT FOR COMMUNITY OUTREACH PROGRAMS LEUKEMIA & LYMPHOMA SOCIETY 3 INTERNATIONAL DR SUITE 200 RYE BROOK NY 10573 135644916 501(C)(3) 18375 SUPPORT FOR CANCER RESEARCH PROGRAMS 16 PART I, LINE 2: ALL GRANT DISBURSEMENTS MADE BY THE FOUNDATION MUST BE ACCOMPANIED BY A WRITTEN GRANT REQUEST FROM THE GRANTEE WHICH IS APPROVED FOR PAYMENT BY EITHER THE FOUNDATION'S SENIOR EXECUTIVE STAFF OR BOARD OF DIRECTORS, OR BOTH. THE GRANT REQUESTS CONTAIN A DESCRIPTION OF THE INTENDED PURPOSE FOR THE GRANT AND THE INTENDED GRANT RECIPIENT. THESE GRANT REQUESTS ARE REVIEWED PRIOR TO APPROVAL BY THE SENIOR VICE PRESIDENT AND/OR THE BOARD OF DIRECTORS TO ENSURE THAT SUPPORTED ACTIVITIES AND GRANT RECIPIENTS ARE CONSISTENT WITH THE FOUNDATION'S CHARITABLE PURPOSE AS STATED IN ITS ARTICLES OF INCORPORATION AND IN ITS FEDERAL TAX-EXEMPTION APPLICATION. ALL SUBSTANTIAL GRANTS FUNDED BY THE FOUNDATION ARE PERIODICALLY REVIEWED WITH THE GRANT RECIPIENTS EITHER VERBALLY OR IN WRITING TO ENSURE THAT GRANT FUNDS HAVE BEEN EXPENDED IN A MANNER THAT IS CONSISTENT WITH THE ORIGINAL APPROVED GRANT REQUEST. IN ADDITION TO THE ABOVE PROCEDURES AND CONTROLS, IT IS IMPORTANT TO NOTE THAT A SUBSTANTIAL MAJORITY OF THE FOUNDATION'S GRANTS ARE MADE TO THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY DBA ATRIUM HEALTH, A TAX-EXEMPT POLITICAL SUBDIVISION OF THE STATE OF NORTH CAROLINA. 1 0 0 0 0 0 0 0 0 ARMANDO L CHARDIET PRESIDENT 0 504391 0 281875 0 102916 0 59636 0 37563 0 986381 0 48960 JAMES R ERVIN SENIOR VP DEVELOPMENT (1/20-4/20) 0 82464 0 87475 0 195671 0 4938 0 4823 0 375371 0 4495 ELECTA E MCPHERSON SENIOR VICE PRESIDENT OPERATIONS 0 170140 0 44184 0 1237 0 16175 0 29491 0 261227 0 0 MARK L GRIFFITH AVP, MAJOR GIFTS 0 108031 0 22461 0 2554 0 10637 0 28286 0 171969 0 0 KIRSTIN E ASHFORD VICE PRESIDENT, CHIEF OF STAFF 0 107908 0 21657 0 10932 0 11860 0 18231 0 170588 0 0 SCOTT KERR FORMER OFFICER 0 0 0 160831 0 0 0 0 0 0 0 160831 0 51450 PART I, LINE 3 A RELATED ORGANIZATION (ATRIUM HEALTH) EMPLOYS A COMPENSATION COMMITTEE, AN INDEPENDENT COMPENSATION CONSULTANT, A COMPENSATION SURVEY OR STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE TO ESTABLISH COMPENSATION OF THE FOUNDATION PRESIDENT, SENIOR VICE PRESIDENTS, AND VICE PRESIDENT. PART I, LINE 4A DURING THE YEAR ENDING DECEMBER 31,2020, JAMES R. ERVIN RECEIVED SEVERANCE PAYMENTS IN THE AMOUNT OF 195,211 PURSUANT TO THE POLICIES AND PROCEDURES OF A RELATED ORGANIZATION (ATRIUM HEALTH) UPON SEPARATION. X 10 131165 AVERAGE FMV X DONATED AUCTION ITEMS 75 72590 FMV 0 1 1 PART I, LINE 32B: PUBLICLY TRADED SECURITIES CONTRIBUTIONS ARE SOLD IMMEDIATELY UPON RECEIPT THROUGH THE FOUNDATION'S BROKERAGE ACCOUNT AT WELLS FARGO ADVISORS. SCHEDULE M, PART I, COLUMN (B): REPORTING THE NUMBERS OF CONTRIBUTIONS ON SCHEDULE M, PART I, LINE 9 FOR PUBLICLY TRADED SECURITIES. FORM 990, PART VI, SECTION A, LINE 7A NEW MEMBERS OF THE FOUNDATION BOARD OF DIRECTORS ARE NOMINATED BY THE EXISTING BOARD AND THEN, IF APPROVED, ARE ELECTED BY THE BOARD OF COMMISSIONERS OF THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY (DBA ATRIUM HEALTH). FORM 990, PART VI, SECTION A, LINE 7B NEW MEMBERS OF THE FOUNDATION BOARD OF DIRECTORS ARE NOMINATED BY THE EXISTING BOARD AND THEN, IF APPROVED, ARE ELECTED BY THE BOARD OF COMMISSIONERS OF THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY (DBA ATRIUM HEALTH). THE FOUNDATION'S BYLAWS PROVIDE THE FOLLOWING RESERVED POWERS AND SPECIFIC RIGHTS OF THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY: IN ADDITION TO ANY OTHER POWERS AND RIGHTS RESERVED TO THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY BY THE CORPORATION'S ARTICLES OF INCORPORATION, BY THESE BYLAWS OR BY LAW, THE FOLLOWING FUNDAMENTAL ACTIONS OF THE CORPORATION REQUIRE THE ACTION, CONSENT OR PRIOR WRITTEN APPROVAL OF THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY: (A) AMENDMENT OR REPEAL OF THE CORPORATION'S BYLAWS OR ARTICLES OF INCORPORATION; (B) TRANSFER OR SALE OF ALL OR SUBSTANTIALLY ALL OF THE CORPORATION'S ASSETS; AND (C) MERGER OR DISSOLUTION OF THE CORPORATION. THE RESERVED POWERS AND SPECIFIC RIGHTS OF THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY SHALL BE TAKEN BY THE AUTHORITY CEO OR BY SUCH OTHER PERSONS AS MAY FROM TIME TO TIME BE DULY AUTHORIZED BY THE AUTHORITY CEO TO TAKE SUCH ACTIONS. ACTION BY THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY MAY BE TAKEN IN ANY LAWFUL MANNER AND SHALL BE COMMUNICATED TO THE CORPORATION BY ANY USUAL MEANS OF COMMUNICATION, INCLUDING BUT NOT LIMITED TO ELECTRONIC MEANS OF COMMUNICATION. FORM 990, PART VI, SECTION B, LINE 11B A COPY OF FORM 990 IS PROVIDED TO ALL MEMBERS OF THE FOUNDATION BOARD OF DIRECTORS FOR REVIEW PRIOR TO FILING WITH THE IRS. THE FORM 990 IS PREPARED BY THE FOUNDATION'S FINANCIAL SERVICES DIRECTOR WITH THE ASSISTANCE AND REVIEW BY THE SENIOR VICE PRESIDENT AND THEN PRIOR TO DISTRIBUTION TO THE BOARD IS REVIEWED IN DETAIL BY AN INDEPENDENT CPA FIRM. FORM 990, PART VI, SECTION B, LINE 12C THE FOUNDATION CIRCULATES A CONFLICT OF INTEREST QUESTIONNAIRE TO ALL BOARD MEMBERS ANNUALLY. RESPONSES ARE FULLY REVIEWED BY FOUNDATION OFFICERS AND ANY POTENTIAL CONFLICTS IDENTIFIED ARE REVIEWED WITH THE BOARD CHAIR FOR APPROPRIATE ACTION. FOUNDATION EXECUTIVE STAFF OFFICERS, WHO ARE EMPLOYEES OF ATRIUM HEALTH, COMPLETE AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM WHICH IS REVIEWED AND ACTED UPON AS NECESSARY BY THE AH CORPORATE COMPLIANCE OFFICER. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION OF THE FOUNDATION'S STAFF OFFICERS, WHO ARE EMPLOYEES OF ATRIUM HEALTH (AH), IS DETERMINED ANNUALLY FOLLOWING REVIEW OF THEIR PERFORMANCE AND REVIEW OF COMPENSATION FOR COMPARABLE POSITIONS BASED ON AN INDEPENDENT SURVEY. SALARIES AND INCENTIVE COMPENSATION ARE RECOMMENDED BY SENIOR OFFICERS OF ATRIUM HEALTH AND THEN REVIEWED AND APPROVED BY THE AH COMPENSATION COMMITTEE, COMPRISED OF INDEPENDENT MEMBERS OF THE AH BOARD OF COMMISSIONERS. COMMITTEE ACTIONS ARE RECORDED BY MEANS OF CONTEMPORANEOUS MINUTES. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF THE FOUNDATION'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE MAINTAINED IN THE FOUNDATION'S OFFICES AND ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: PROVISION FOR UNCOLLECTIBLE PLEDGES -885,000. THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY PO BOX 32861 CHARLOTTE NC 28232 560529945 GOVERNMENTAL HEALTH CARE NC 170 (C)(1) N/A 0 ATRIUM HEALTH EMPLOYEE ASSISTANCE INC PO BOX 32861 CHARLOTTE NC 28232 850548753 CHARITABLE EMPLOYEE RELIEF PROGRAM NC 501(C)(3) LINE 7 THE CHARLOTTE-MECKLENBURG HOSPITAL AUTHORITY 0 0 1 1 1 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 CHARLOTTE-MECKLENBURG HOSPITAL AUTH DBA ATRIUM HEALTH B 40355451 FAIR MARKET VALUE CHARLOTTE-MECKLENBURG HOSPITAL AUTH DBA ATRIUM HEALTH C 2651441 FAIR MARKET VALUE CHARLOTTE-MECKLENBURG HOSPITAL AUTH DBA ATRIUM HEALTH D SEE PART VI CHARLOTTE-MECKLENBURG HOSPITAL AUTH DBA ATRIUM HEALTH J 958311 FAIR MARKET VALUE CHARLOTTE-MECKLENBURG HOSPITAL AUTH DBA ATRIUM HEALTH P 4161542 FAIR MARKET VALUE FORM 990, SCHEDULE R, PART V, LINE 2 (1) AMOUNT REFLECTS GRANT AWARDS TO ATRIUM HEALTH DURING THE YEAR. AH IS THE CHIEF RECIPIENT OF GRANTS FROM THE FOUNDATION. FORM 990, SCHEDULE R, PART V, LINE 2 (2) AMOUNT REFLECTS CASH CONTRIBUTIONS AND PLEDGES RECEIVED FROM ATRIUM HEALTH IN CONNECTION WITH FOUNDATION OPERATING EXPENSE SUPPORT, EVENT SPONSORSHIPS, ESTABLISHMENT OF FUNDS FOR MEDICAL EDUCATION AND RESEARCH, AND RELATED ITEMS. FORM 990, SCHEDULE R, PART V, LINE 2 (3) IN 2007, THE FOUNDATION EXECUTED A MEMBER SECURITY AGREEMENT (THE "AGREEMENT") WHICH MADE IT A MEMBER OF ATRIUM HEALTH'S OBLIGATED GROUP. UNDER THE AGREEMENT, THE FOUNDATION JOINTLY AND SEVERALLY GUARANTEES THE PAYMENT AND PERFORMANCE OF ALL BONDS AND OTHER OBLIGATIONS SECURED BY ATRIUM HEALTH'S BOND ORDER. THE FOUNDATION'S OBLIGATION IS ONLY FROM ITS FUTURE UNRESTRICTED CONTRIBUTIONS AND INVESTMENT INCOME, WHICH ARE PLEDGED. THE FOUNDATION'S NET ASSETS, WHETHER RESTRICTED OR UNRESTRICTED, ARE NOT PLEDGED UNDER THE AGREEMENT. THE TOTAL AMOUNT OF THE LOAN GUARANTEE ASSOCIATED WITH THE OBLIGATED GROUP IS $2,212,475,000. FORM 990, SCHEDULE R, PART V, LINE 2 (4) AMOUNT REFLECTS RENTAL INCOME RECEIVED FROM ATRIUM HEALTH PHYSICIAN PRACTICES THAT OCCUPY RENTAL SPACE IN AN OFFICE BUILDING OWNED BY THE FOUNDATION. RENT IS CHARGED BASED ON MARKET RATES FOR COMPARABLE RENTABLE SQUARE FOOTAGE. FORM 990, SCHEDULE R, PART V, LINE 2 (6) AMOUNT REFLECTS REIMBURSEMENT BY THE FOUNDATION TO ATRIUM HEALTH FOR EMPLOYEE SALARIES/BENEFITS AND OTHER OPERATING EXPENSES AT COST, WHICH EQUATES TO FAIR MARKET VALUE FOR THOSE SERVICES.