2021-11-15T18:31:41-06:00 2020-12-31 861065772 DELOITTE TAX LLP 111 MONUMENT CIRCLE SUITE 4200 INDIANAPOLIS IN 462045108 990 2020-01-01 340714775 UNIVERSITY HOSPITALS HEALTH SYSTEM INC UNIV 2168441000 3605 WARRENSVILLE CENTER ROAD SHAKER HEIGHTS OH 44122 MICHAEL A SZUBSKI CFO 2168441000 2021-11-15 1 MICHAEL SZUBSKI 999009999 SHAWNA M JANSONS P01222873 3174648600 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z MICHAEL A SZUBSKI 3605 WARRENSVILLE CENTER ROAD SHAKER HEIGHTS OH 44122 765170000 0 3829 X WWW.UHHOSPITALS.ORG X 1940 OH UNIVERSITY HOSPITALS (THE SYSTEM) IS GUIDED BY ITS MISSION, "TO HEAL. TO TEACH. TO DISCOVER." 27 21 5197 21 -15341 0 14640000 19605000 538541000 578661000 71780000 49829000 75557000 117075000 700518000 765170000 6885000 5925000 0 0 369895000 366870000 0 0 0 436197000 405053000 812977000 777848000 -112459000 -12678000 4606270000 5291459000 2316092000 2810620000 2290178000 2480839000 X SEE SCHEDULE O. 0 0 608710000 5925000 695736000 SEE SCHEDULE O. 608710000 1 0 0 1 0 0 0 0 0 1 1 0 1 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 1 0 1 0 0 0 0 0 0 1 1 0 0 0 0 1 1 1 1 0 0 1 1901 0 5197 0 1 1 1 CJ 0 0 0 0 0 0 1 0 X 27 21 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 OH X X MICHAEL A SZUBSKI 2168441000 3605 WARRENSVILLE CENTER ROAD SHAKER HEIGHTS OH 44122 X SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 0.00 X X 2323234 0 79247 SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 50.00 X 2486633 1670151 190675 SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 0.00 X 7905065 0 565968 SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 0.00 X 2336586 0 103748 SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 0.00 X 5100240 0 169748 SEE SCH O TR 16033-2D 5 SEE SCHED. O 50.00 0.00 X 520613 0 38154 20672371 1670151 1147540 406 1 1 0 0 10492000 9113000 19605000 PROGRAM SERVICE CORPORATE ALLOCAT 900099 575124000 575124000 PROGRAM SERVICE REVENUE 900099 3537000 3537000 578661000 34441000 -15341 34456341 15388000 0 15388000 15388000 15388000 INS. PROCEEDS/REFUNDS 900099 26053000 26053000 SPECIAL CHARGES 900099 22700000 22700000 JV INCOME 900099 15098000 15098000 53224000 53224000 117075000 765170000 695736000 -15341 49844341 5461000 5461000 464000 464000 17183000 17183000 559000 559000 292133000 233706000 58427000 -21675000 -17340000 -4335000 57914000 46331000 11583000 20756000 16605000 4151000 2817000 2254000 563000 700000 560000 140000 21000 21000 29699000 23759000 5940000 12906000 10325000 2581000 21655000 17324000 4331000 87813000 70250000 17563000 20281000 16225000 4056000 899000 719000 180000 52917000 42334000 10583000 70685000 56548000 14137000 -2712000 -2712000 SWAP VALUATION ADJUSTME 36473000 29178000 7295000 OTHER PURCHASED SERVICE 32286000 25829000 6457000 OTHER NONSERVICE PERIOD 24318000 19454000 4864000 SPECIAL CHARGES 2377000 1902000 475000 11918000 9534000 2384000 777848000 608710000 169138000 0 248540000 818096000 7703000 7432000 7499000 25136000 0 13000 31339000 41649000 1090294000 568474000 529061000 521820000 1438319000 1848538000 286941000 256093000 1894078000 1606186000 15550000 23534000 147240000 142962000 4606270000 5291459000 293767000 342790000 1219814000 1492244000 39749000 6167000 762762000 969419000 2316092000 2810620000 X 1823506000 1958815000 466672000 522024000 2290178000 2480839000 4606270000 5291459000 X -12678000 74373000 128966000 X 0 1 X 1 1 1 X X 1 UNIVERSITY HOSPITALS CLEVELAND MEDICAL CENTER 341567805 3 1 0 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SCHEDULE A, PART IV, SECTION C, LINE 1 THE CONTROL AND MANAGEMENT OF UHHS (I.E. THE SUPPORTING ORGANIZATION) IS VESTED IN THE INDIVIDUALS THAT SERVE AS MEMBERS AND DIRECTORS OF UHHS PURSUANT TO ITS APPLICABLE GOVERNANCE DOCUMENTS. UHHS IS THE PARENT ENTITY OF A MULTI-ENTITY HEALTHCARE DELIVERY SYSTEM, WHEREBY UHHS'S DIRECT AND INDIRECT 501(C)(3) SUBSIDIARY ENTITIES CONSTITUTE THE SUPPORTED ORGANIZATIONS. UHHS POSSESSES RESERVED RIGHTS WITH RESPECT TO ITS SUBSIDIARY ENTITIES, INCLUDING WITHOUT LIMITATION THE RIGHT TO APPROVE BUDGETS, OTHER FINANCIAL MATTERS AND STRATEGIC PLANS, APPROVE AMENDMENTS TO CONSTITUTIVE DOCUMENTS AND APPROVE THE APPOINTMENT OF OFFICERS AND DIRECTORS FOR ALL OF ITS SUBSIDIARY ENTITIES. RELATED ENTITIES WITHIN THE SYSTEM ARE GOVERNED BY SYSTEM-WIDE MANAGEMENT POLICIES AND PROCEDURES, COMPLIANCE GUIDELINES, CODES OF CONDUCT AND APPROVAL OF MATTERS RELATED TO FINANCING, INVESTMENTS, LEGAL, MATERIAL ASSET SALES OR TRANSFERS, AND STRATEGIC AND CAPITAL BUDGETS. ALL OF WHICH HAVE BEEN REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS FOR UHHS. PUBLIC CHARITY CLASSIFICATION OF SUPPORTED MEMBERS IS SHOWN AMHERST HOSPITAL ASSOCIATION, INC. - 34-0067060 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 EMH REGIONAL MEDICAL CENTER - 34-0714612 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 PARMA COMMUNITY GENERAL HOSPITAL - 34-0827442 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 ROBINSON HEALTH SYSTEM, INC. - 46-1382538 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 SAMARITAN REGIONAL HEALTH SYSTEM - 34-0714535 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS AHUJA MEDICAL CENTER - 26-4827222 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS CLEVELAND MEDICAL CENTER, INC. (UHCMC) - 34-1567805 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS CONNEAUT MEDICAL CENTER (CMC) - 34-0714550 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS GEAUGA MEDICAL CENTER (GMC) - 34-0816492 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS GENEVA MEDICAL CENTER (UHGMC) - 34-0714461 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UH REGIONAL HOSPITALS - 34-1924226 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS ST. JOHN MEDICAL CENTER - 34-1260978 170(B)(1)(A)(III) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS ACCOUNTABLE CARE ORGANIZATION - 27-3970270 509(A)(2) 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS COORDINATED CARE ORGANIZATION - 90-0794903 509(A)(2) 3605 WARRENSVILLE CENTER RD. - MSC 9155 SHAKER HEIGHTS, OH 44122 UNIVERSITY HOSPITALS HOME CARE SERVICES, INC. (HCS) - 34-1527536 509(A)(3) - TYPE II ORGANIZATION 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 PART I LINE 12G (I) NAME OF SUPPORTED ORGANIZATION: UH CLEVELAND MEDICAL CENTER (II) EIN OF SUPPORTED ORGANIZATION: 34-1567805 (III) TYPE OF ORG. (DESCRIBED ON LINES 1-10 ABOVE OR IRC SECTION): 170(B)(1)(A)(III) (IV) IS THE SUPPORTED ORG. LISTED IN YOUR GOVERNING DOCUMENTS? YES (V) AMOUNT OF MONETARY SUPPORT: $30,013,000 COMPREHENSIVE HEALTH CARE OF OHIO, INC. - 34-1492733 509(A)(3) - TYPE II ORGANIZATION 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 PART I LINE 12G (I) NAME OF SUPPORTED ORGANIZATION: EMH REGIONAL MEDICAL CENTER (II) EIN OF SUPPORTED ORGANIZATION: 34-0714612 (III) TYPE OF ORG. (DESCRIBED ON LINES 1-10 ABOVE OR IRC SECTION): 170(B)(1)(A)(III) (IV) IS THE SUPPORTED ORG. LISTED IN YOUR GOVERNING DOCUMENTS? YES (V) AMOUNT OF MONETARY SUPPORT: $0 HEATHER HILL INC. (HHI) - 34-0771884 509(A)(3) - TYPE II ORGANIZATION 3605 WARRENSVILLE CENTER ROAD - MSC 9155 SHAKER HEIGHTS, OH 44122 PART I LINE 12G (I) NAME OF SUPPORTED ORGANIZATION: UH CLEVELAND MEDICAL CENTER (II) EIN OF SUPPORTED ORGANIZATION: 34-1567805 (III) TYPE OF ORG. (DESCRIBED ON LINES 1-10 ABOVE OR IRC SECTION): 170(B)(1)(A)(III) (IV) IS THE SUPPORTED ORG. LISTED IN YOUR GOVERNING DOCUMENTS? YES (V) AMOUNT OF MONETARY SUPPORT: $0 UNIVERSITY HOSPITALS LABORATORY SERVICES FOUNDATION (UHLSF) - 34-1720429 509(A)(3) - TYPE II ORGANIZATION 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 PART I LINE 12G (I) NAME OF SUPPORTED ORGANIZATION: UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. (II) EIN OF SUPPORTED ORGANIZATION: 34-0714775 (III) TYPE OF ORG. (DESCRIBED ON LINES 1-10 ABOVE OR IRC SECTION): 509(A)(3) - TYPE II ORGANIZATION (IV) IS THE SUPPORTED ORG. LISTED IN YOUR GOVERNING DOCUMENTS? YES (V) AMOUNT OF MONETARY SUPPORT: $0 UNIVERSITY HOSPITALS MEDICAL GROUP, INC. (UHMG) - 20-4881619 509(A)(3) - TYPE II ORGANIZATION 3605 WARRENSVILLE CENTER RD - MSC 9155 SHAKER HEIGHTS, OH 44122 PART I LINE 12G (I) NAME OF SUPPORTED ORGANIZATION: UH CLEVELAND MEDICAL CENTER (II) EIN OF SUPPORTED ORGANIZATION: 34-1567805 (III) TYPE OF ORG. (DESCRIBED ON LINES 1-10 ABOVE OR IRC SECTION): 170(B)(1)(A)(III) (IV) IS THE SUPPORTED ORG. LISTED IN YOUR GOVERNING DOCUMENTS? YES (V) AMOUNT OF MONETARY SUPPORT: $68,426,000 PART IV, SECTION A, LINE 2 UHHS IS THE PARENT ENTITY OF A MULTI-ENTITY HEALTHCARE DELIVERY SYSTEM, WHEREBY UHHS'S DIRECT AND INDIRECT 501(C)(3) SUBSIDIARY ENTITIES CONSTITUTE THE SUPPORTED ORGANIZATIONS. AS INDICATED IN PART IV, SECTION A, LINE 1'S NARRATIVE, SOME OF THESE SUPPORTED ORGANIZATIONS ARE OTHER THAN 509(A)(1) AND 509(A)(2) ORGANIZATIONS. 0 1 0 1 8105 0 1 6720 1 5932 0 0 20757 0 PART II-B, LINE 1: UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. DOES NOT PARTICIPATE IN OR INTERVENE IN (INCLUDING THE PUBLISHING OR DISTRIBUTION OF STATEMENTS) ANY POLITICAL CAMPAIGN ON BEHALF OF (OR IN OPPOSITION TO) ANY CANDIDATE FOR PUBLIC OFFICE. SCHEDULE C, PART II-B THE UNIVERSITY HOSPITALS GOVERNMENT & COMMUNITY RELATIONS DEPARTMENT SERVES TO PROMOTE AND EDUCATE THE COMMUNITIES IT SERVES REGARDING HEALTHCARE RELATED ISSUES THAT MAY IMPACT THE HEALTH SYSTEM. THE DEPARTMENT ADVOCATES ON BEHALF OF THE SYSTEM WITH ELECTED AND APPOINTED OFFICIALS AT ALL LEVELS: FEDERAL, STATE, AND LOCAL. 211303000 10211000 24607000 4217000 241904000 179723000 9871000 32087000 10378000 211303000 187557000 5345000 -5466000 7713000 179723000 159046000 8523000 28790000 8802000 187557000 149283000 7136000 10239000 7612000 159046000 0.05570 0.64620 0.29810 0 1 1 69310000 69310000 258345000 97212000 161133000 14745000 10642000 4103000 719853000 447719000 272134000 28041000 12901000 15140000 521820000 PERPETUAL TRUSTS 217943000 F INVESTMENT IN AFFILIATES 1388243000 C 1606186000 PENSION LIABILITIES 447534000 INTEREST RATE SWAP LIABILITY 107132000 SELF INSURED LIABILITY 56192000 OTHER LIABILITIES 129332000 PROFESSIONAL LIABILITY-WRA 65944000 PROFESSIONAL LIABILITY-CURRENT 35046000 LIABILITY RELATED TO THE SALE OF FUTURE REVENUE 92519000 DEFERRED PAYROLL TAXES 35720000 969419000 X PART V, LINE 4: THE INTENDED USE OF THE ORGANIZATION'S ENDOWMENT FUNDS VARIES DEPENDING ON DONOR STIPULATIONS. ALL SPENDING OF ENDOWMENT EARNINGS ARE DONE SO IN ACCORDANCE WITH DONOR INTENT AND APPLICABLE LAW. PART X, LINE 2: UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. MUST RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY THE TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE CONSOLIDATED FINANCIAL STATEMENTES FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. AS OF DECEMBER 31, 2020 AND 2019, UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS. FORM 990, SCHEDULE D, PART V IN 2016 THE HEALTH SYSTEM ADOPTED FINANCIAL ACCOUNTING STANDARDS BOARD CODIFACTION TOPIC 820 ("FASB"). AS A RESULT THE HEALTH SYSTEM'S ENDOWMENT FUNDS FOR 2016-2020 HAVE BEEN PRESENTED TO CONFORM TO THE STANDARD. 0 CENTRAL AMERICA/CARIBBEAN 0 INVESTMENTS 191240000 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 INVESTMENTS 4500000 CENTRAL AMERICA/CARIBBEAN 1 PROGRAM SERVICES OFFSHORE CAPITVE MANAGEMENT -2824000 0 1 0 0 0 1 192916000 0 192916000 FRANCE GENERAL SUPPORT 5982 CHINA GENERAL SUPPORT 435219 GERMANY GENERAL SUPPORT 22965 0 3 1 0 1 1 1 0 PART III ACCOUNTING METHOD: 1 BOARD OF REGENTS OF THE UNIVERSITY OF CALIFORNIA AT SAN DIEGO 9500 GILMAN DR LA JOLLA CA 92093 956006144 501(C)(3) 293396 GENERAL SUPPORT CHILDRENS HOSPITAL CORPORATION PO BOX 7199 COLUMBUS OH 43205 042774441 501(C)(3) 50000 GENERAL SUPPORT CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 341018992 501(C)(3) 519644 GENERAL SUPPORT JOHNS HOPKINS UNIVERSITY 3910 KESWICK ROAD SUITE N2100 BALTIMORE MD 21211 520595110 501(C)(3) 50000 GENERAL SUPPORT LOUISIANA STATE UNIVERSITY HEALTH 1700 TULANE AVENUE NEW ORLEANS LA 70112 726087770 501(C)(3) 177133 GENERAL SUPPORT NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 60208 362167817 501(C)(3) 50000 GENERAL SUPPORT REGENTS OF THE UNIVERSITY OF CALIFORNIA 14946 GREENLEAF STREET SHERMAN OAKS CA 91403 710965664 501(C)(3) 431478 GENERAL SUPPORT STANFORD UNIVERSITY BOARD OF TRUSTEES 326 GALVEZ STREET STANFORD CA 94305 941156365 501(C)(3) 300000 GENERAL SUPPORT THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ILLINOIS 506 S WRIGHT STREET ROOM 209 URBANA IL 61801 376000511 501(C)(3) 150000 GENERAL SUPPORT UNIVERSITY OF MASSACHUSETTS WORCESTER 333 SOUTH STREET SUITE 450 SHREWSBURY MA 01545 043167352 501(C)(3) 150000 GENERAL SUPPORT UNIVERSITY OF OKLAHOMA 905 ASP AVENUE ROOM 244 NORMAN OK 73019 736017987 501(C)(3) 50000 GENERAL SUPPORT UT SOUTHWESTERN MEDICAL CENTER PO BOX 841753 DALLAS TX 75284 756002868 501(C)(3) 120000 GENERAL SUPPORT WASHINGTON UNIVERSITY 129 SCHMITZ HALL SEATTLE WA 98195 430653611 501(C)(3) 409000 GENERAL SUPPORT WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 1300 YORK AVENUE NEW YORK NY 10065 131623978 501(C)(3) 50000 GENERAL SUPPORT YALE UNIVERSITY PO BOX 2038 NEW HAVEN CT 06521 060646973 501(C)(3) 150000 GENERAL SUPPORT CEPTER BIOPARTNERS LLC 4-19 4TH STREET FAIR LAWN NJ 074101459 463549175 27143 GENERAL SUPPORT LAKEPHARMA INC 530 HARBOR BOULEVARD BELMONT CA 94002 264117157 6400 GENERAL SUPPORT NANOSCALE COMBINATORIAL SYSTHESIS INC 3100 CENTRAL EXPRESSWAY SANATA CLARA CA 95051 860909295 19500 GENERAL SUPPORT SR CONSULTING LLC 5909 SHELBY OAKS DRIVE SUITE 200 MEMPHIS TN 381347318 811906652 32000 GENERAL SUPPORT THE JACKSON LABORATORY PO BOX 254 BAR HARBOR ME 04609 010211513 69515 GENERAL SUPPORT 15 5 PART I, LINE 2: UH HAS A PROCESS WHERE WE RECEIVE AND REVIEW REQUESTS FOR FUNDING, WHICH INCLUDES OUR SENIOR LEADERS. IN THAT REVIEW PROCESS WE CHECK TO BE SURE THE ORGANIZATION IS MISSION ALIGNED TO UH AND REVIEW HISTORICAL GIVING. MUCH OF OUR SUPPORT IS REVIEWED BOTH INTERNALLY AND WITH THE EXTERNAL GROUP ON AN ANNUAL BASIS. X X X X X 1 1 0 0 0 0 0 1 1 1 SEE SCH O TR 16033-2D 5 SEE SCHED. O 4825955 0 1349247 0 1729863 0 423654 0 142314 0 8471033 0 0 0 SEE SCH O TR 16033-2D 5 SEE SCHED. O 2998488 0 695430 0 1406322 0 86895 0 82853 0 5269988 0 0 0 SEE SCH O TR 16033-2D 5 SEE SCHED. O 969292 1589071 356188 27685 1161153 53395 20375 104958 26375 38967 2533383 1814076 0 0 SEE SCH O TR 16033-2D 5 SEE SCHED. O 1754693 0 428529 0 153364 0 36875 0 66873 0 2440334 0 0 0 SEE SCH O TR 16033-2D 5 SEE SCHED. O 1408378 0 377614 0 537242 0 70145 0 9102 0 2402481 0 0 0 SEE SCH O TR 16033-2D 5 SEE SCHED. O 323594 0 55603 0 141416 0 20211 0 17943 0 558767 0 0 0 PART I, LINES 4A-B SEE SCHEDULE O TREASURY REGULATION 1.6033-2(D)(5) ELECTION THE LISTING OF PERSONS AND AMOUNTS FOR ABOVE QUESTIONS ARE INCLUDED ON UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. GROUP RETURN. PART I, LINE 7 MANAGEMENT INCENTIVE PLAN (MIP) PAYMENTS ARE CALCULATED ANNUALLY AS A PERCENTAGE OF BASE SALARY BASED UPON GOAL ATTAINMENT FOR EACH INCENTIVE CYCLE. THE ELIGIBLE INCENTIVE PERCENTAGE IS DEPENDENT UPON EACH INDIVIDUAL'S LEADERSHIP LEVEL IN THE ORGANIZATION. PART I, LINE 8 CERTAIN EMPLOYEE COMPENSATION DISCLOSED IN PART VII MEET THE REQUIREMENTS OF THE INITIAL CONTRACT EXCEPTION. FORM 990, SCHEDULE J, PART II FORM 990 REPORTING REQUIREMENTS RELATED TO ITEMS SUCH AS DEFERRED COMPENSATION PROGRAMS REQUIRE DUAL REPORTING IN SOME YEARS FOR VARIOUS PARTICIPANTS. AS SUCH, AMOUNTS MAY BE SHOWN IN PART VII AND SCHEDULE J DURING A YEAR IN WHICH THOSE AMOUNTS WERE DEFERRED, AND AGAIN IN SUBSEQUENT YEARS IN PART VII AND SCHEDULE J WHEN ACTUALLY PAID. ONLY SCHEDULE J INCLUDES A COLUMN (F), NOTING THESE AMOUNTS WERE PREVIOUSLY REPORTED. A OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CAS7 2012-06-21 189782379 SEE PART VI FOR DESCRIPTION 0 0 0 B OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CCB2 2013-12-10 124142966 SEE PART VI FOR DESCRIPTION 0 0 0 C OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CCC0 2014-11-06 100361458 SEE PART VI FOR DESCRIPTION 0 0 0 D OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CCF3 2015-10-01 100000000 SEE PART VI FOR DESCRIPTION 0 0 0 A 21805000 189782379 2092370 349258 187340751 2012 0 1 1 1 B 14810000 124142966 1442966 122700000 2013 1 0 1 1 C 25000000 100361458 1221881 10000000 89139577 2015 1 0 1 1 D 100000577 1204500 37316424 61479653 2015 1 0 1 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 1 1 1 1 0.00000 0.00000 0.00000 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 1 0 1 0 0 0 1 D 0 0 1 0 1 0 0 0 1 A 1 B 1 C 1 D 1 FORM 990, SCHEDULE K, SUPPLEMENTAL INFORMATION - PART I, COLUMN (F) PART I, COLUMN (F) THE SERIES 2012A BONDS ISSUED 6/21/2012 REFUNDED ALL OF THE OUTSTANDING SERIES 2009A BONDS ISSUED 3/24/2009. PART I, COLUMN (F) THE SERIES 2013A AND 2013B BONDS ISSUED 12/10/2013 REFUNDED ALL OF THE OUTSTANDING SERIES 2008BDE BONDS ISSUED 5/8/2008. PART I, COLUMN (F) THE PROCEEDS OF THE SERIES 2014ABC ISSUED 11/6/2014 WERE USED FOR THE ACQUISITIONS OF UH PARMA MEDICAL CENTER AND UH ELYRIA MEDICAL CENTER, AS WELL AS FOR ROUTINE CAPITAL EXPENDITURES AND TO REFUND BONDS ISSUED 4/2/2014 AND 4/17/2014. PART I, COLUMN (F) THE PROCEEDS OF THE SERIES 2015ABC BONDS ISSUED 10/1/2015 WERE USED FOR THE ACQUISITION OF UH PORTAGE MEDICAL CENTER, AS WELL AS FOR ROUTINE CAPITAL EXPENDITURES AND TO REFUND A PORTION OF BONDS ISSUED 12/27/2010 AND ALL THE OUTSTANDING DEBT ISSUED 6/1/2015. PART I, COLUMN (F) THE SERIES 2016A BONDS ISSUED 3/31/2016 REFUNDED A PORTION OF THE SERIES 2007A BONDS ISSUED 2/7/2007. PART I, COLUMN (F) THE PROCEEDS OF THE SERIES 2018ABCD BONDS ISSUED 9/26/2018 WERE USED FOR ROUTINE CAPITAL EXPENDITURES, AND TO REFUND ALL OF THE SERIES 2014C BONDS ISSUED 11/6/2014, A PORTION OF THE SECOND DRAW OF THE SERIES 2014C BONDS ISSUED 7/15/2015, AND ALL OF THE OUTSTANDING SERIES 2015DE BONDS ISSUED 12/18/2015. PART I, COLUMN (F) THE PROCEEDS OF THE SERIES 2020ABCDE BONDS ISSUED 1/23/2020 WERE USED FOR BUILDING AND EQUIPPING A HOSPITAL FACILITY, AND TO REFUND PORTIONS OF BONDS ISSUED 11/6/2014 AND 9/26/2018 AND ALL OF THE OUTSTANDING BONDS ISSUED 2/7/2007, 2/12/2010, 10/23/2012, AND 10/24/2018. FORM 990, SCHEDULE K, SUPPLEMENTAL INFORMATION - PART IV, LINE 2C PART IV, LINE 2C, FOR THE 6/21/2012 BONDS - THE REBATE CALCULATION FOR THE SERIES 2012A BONDS WAS PERFORMED ON 7/13/2017 FOR THE COMPUTATION PERIOD ENDED 6/20/2017. PART IV, LINE 2C, FOR THE 12/10/2013 BONDS - THE REBATE CALCULATION FOR THE SERIES 2013AB BONDS WAS PERFORMED ON 12/11/2018 FOR THE COMPUTATION PERIOD ENDED 12/9/2018. FORM 990, SCHEDULE K, SUPPLEMENTAL INFORMATION ALL DIFFERENCES BETWEEN AMOUNTS REPORTED ON PART II, LINE 3, AND PART I, COLUMN (E) ARE DUE TO INVESTMENT EARNINGS. WITH RESPECT TO EACH OF THE ADVANCE REFUNDING ISSUES INCLUDED HEREIN (SEE PART II LINE 15), PART IV LINE 6 IS BEING ANSWERED WITHOUT REGARD TO YIELD-RESTRICTED ADVANCE REFUNDING ESCROWS FINANCED WITH PROCEEDS OF THE BONDS. A OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CCZ9 2016-03-31 249373895 SEE PART VI FOR DESCRIPTION 0 0 0 B OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CDF2 2018-09-26 243220482 SEE PART VI FOR DESCRIPTION 0 0 0 C OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756CDP0 2020-01-23 613525516 SEE PART VI FOR DESCRIPTION 0 0 0 A 249373895 1924715 247449180 2016 0 1 1 1 B 52150000 245082583 292106 1763911 130075136 112951430 2019 1 0 1 1 C 614154226 3175157 81306736 311515000 218157333 1 0 0 1 A 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 1 1 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 0 0 0 0 0 1 B 0 1 0 0 1 0 0 0 1 C 0 1 0 0 1 1 WELLS FARGO BANK NA 0.100000000000 0 0 0 0 1 A 1 B 1 C 1 DEE HASLAM SEE PART V 3676847 SEE PART V 0 DANIEL CONNOR SEE PART V 168657 SEE PART V 0 LLOYD CHELETTE SEE PART V 33569 SEE PART V 0 FORM 990, SCHEDULE L, PART IV RESPONSES LINE 1 - RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:MS. HASLAM IS A CURRENT DIRECTOR ON THE UHHS BOARD AND 50% OWNER OF THE CLEVELAND BROWNS FOOTBALL TEAM. UHHS IS THE MEDICAL PARTNER FOR THE CLEVELAND BROWNS FOOTBALL TEAM.DESCRIPTION OF THE TRANSACTION:UNIVERSITY HOSPITALS PROVIDES MEDICAL SERVICES TO THE CLEVELAND BROWNS FOOTBALL TEAM.AMOUNT OF THE TRANSACTION: $3,676,847. FORM 990, SCHEDULE L, PART IV RESPONSES LINE 2 - RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF MR. CHRISTOPHER M. CONNOR, CURRENT DIRECTOR ON THE UHHS BOARD.DESCRIPTION OF TRANSACTION: A FAMILY MEMBER OF MR. CONNOR IS EMPLOYED BY UHHS.AMOUNT OF TRANSACTION: $168,657. FORM 990, SCHEDULE L, PART IV RESPONSES LINE 3 - RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: FAMILY MEMBER OF MR. MICHAEL A. SZUBSKI, UHHS CFO.DESCRIPTION OF TRANSACTION: A FAMILY MEMBER OF MR. SZUBSKI IS EMPLOYED BY UHHS.AMOUNT OF TRANSACTION: $33,569. FORM 990, PART III, LINE 1: UNIVERSITY HOSPITALS (THE "SYSTEM") IS GUIDED BY ITS MISSION "TO HEAL. TO TEACH. TO DISCOVER." THE SYSTEM SERVES A UNIQUE ROLE IN THE COMMUNITIES IT SERVES BY PROVIDING DIVERSE POPULATIONS THROUGHOUT THE NORTHEAST OHIO REGION WITH COMPREHENSIVE HEALTH CARE - FROM PRIMARY CARE TO HIGHLY SPECIALIZED MEDICAL CARE FOR THE MOST SERIOUS OF HEALTH PROBLEMS. THE SYSTEM IS KNOWN FOR PROVIDING SUPERIOR, LEADING-EDGE HEALTH CARE ACROSS THE FULL RANGE OF MEDICAL AND SURGICAL SPECIALITIES FROM INFANCY TO ELDER CARE. IN ADDITION TO DELIVERING QUALITY PATIENT CARE, THE SYSTEM SERVES AS A PREEMINENT TEACHING FACILITY FOR PHYSICIANS, NURSES AND ANCILLARY MEDICAL PERSONNEL. THE SYSTEM'S EXTENSIVE CLINICAL RESEARCH PROGRAMS CONTINUE TO IMPROVE THE UNDERSTANDING OF DISEASE AND ENHANCE PATIENT CARE. FORM 990, PART I, LINE 6: VOLUNTEER INFORMATION CAN BE FOUND IN THE UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. GROUP RETURN. FORM 990, PART III, LINE 4A: COMMITMENT TO THE COMMUNITY REMAINS AT THE CORE OF THE SYSTEM'S MISSION: TO HEAL. TO TEACH. TO DISCOVER. IN 2020, UNIVERSITY HOSPITALS DEDICATED MORE THE $483 MILLION TO COMMUNITY BENEFIT PROGRAMS IN NORTHEAST OHIO CONSISTING OF: - EDUCATION AND TRAINING = $93 MILLION - RESEARCH = $57 MILLION - CHARITY CARE = $51 MILLION - MEDICAID SHORTFALL = $282 MILLION - COMMUNITY HEALTH IMPROVEMENT SERVICES, PROGRAMS AND SUPPORT = $26 MILLION - HOSPITAL CARE ASSURANCE PROGRAM (HCAP) = ($27 MILLION) REFER TO SCHEDULE H IN THE UH GROUP RETURN FOR FURTHER DETAIL ON HOW THE SYSTEM MEASURES AND REPORTS COMMUNITY BENEFIT. COMMUNITY BENEFIT FOR 2020 TOTALED $483 MILLION. IN ADDITION TO CHARITY CARE AND INSUFFICIENT FUNDING FROM THE MEDICAID PROGRAM, THE SYSTEM INCURS SIGNIFICANT LOSSES RELATED TO SELF-PAY PATIENTS WHO FAIL TO MAKE PAYMENT FOR SERVICES RENDERED OR INSURED PATIENTS WHO FAIL TO REMIT CO-PAYMENTS AND DEDUCTIBLES AS REQUIRED UNDER APPLICABLE HEALTH INSURANCE ARRANGEMENTS. IN 2020, $112 MILLION REPRESENTED REVENUES FOR SERVICES PROVIDED THAT WERE DEEMED TO BE UNCOLLECTIBLE. THE SYSTEM HAS A BROAD PRESENCE THROUGHOUT NORTHEAST OHIO, INCLUDING CUYAHOGA, LORAIN, GEAUGA, ASHTABULA, PORTAGE, ASHLAND, AND RICHLAND COUNTIES SERVICE AREAS. THE BREADTH OF THE SYSTEM'S SERVICE AREA IS COVERED THROUGH ITS ACADEMIC MEDICAL CENTER, COMMUNITY MEDICAL CENTERS, JOINT VENTURES, AMBULATORY HEALTH CENTERS AND MEDICAL PRACTICES. THE UH HEALTH SYSTEM PROVIDES WORK DIRECTLY FOR MORE THAN 32,050 EMPLOYEES AND PHYSICIANS. UH PROVIDES MANY COMMUNITY BENEFITS DIRECTLY AND INDIRECTLY THROUGH NEW OR EXPANDED BUSINESS OPPORTUNITIES AND THROUGH IMPORTANT CAPITAL INVESTMENTS IN OUR FACILITIES. UH HAS COMMITTED - AND CONTINUES TO COMMIT - MILLIONS OF DOLLARS TO FACILITIES AND OPERATIONS WITHIN THE CITY OF CLEVELAND AND THROUGHOUT OUR REGION, PROVIDING CONSTRUCTION AND HOSPITAL-BASED JOBS. STATE-OF-THE-ART FACILITIES AND SERVICES AT UH CLEVELAND MEDICAL CENTER, OUR WORLD-RENOWNED ACADEMIC MEDICAL CENTER IN CLEVELAND, PROVIDE CLEVELAND RESIDENTS AND PEOPLE FROM THROUGHOUT THE REGION AND THE WORLD WITH THE FINEST IN PRIMARY AND SPECIALTY HEALTH CARE. THE FACILITIES ALLOW US TO CONDUCT VITAL MEDICAL RESEARCH AND OFFER ADVANCED TRAINING FOR STUDENTS AND HEALTH PROFESSIONALS. THE QUENTIN & ELISABETH ALEXANDER NEONATAL INTENSIVE CARE UNIT AT UH RAINBOW BABIES & CHILDREN'S HOSPITAL SERVES OUR MOST VULNERABLE CHILDREN. THE SYSTEM'S EMERGENCY FACILITIES AT OUR MEDICAL CENTERS AND THE SYSTEM'S SEIDMAN CANCER CENTER AT UH CLEVELAND MEDICAL CENTER AND VARIOUS COMMUNITY MEDICAL CENTERS, CONTINUE TO PROVIDE EXPANDED EMPLOYMENT OPPORTUNITIES WHILE EXTENDING UH'S MISSION TO MORE PATIENTS. NEW STATE-OF-THE-ART OUTPATIENT HEALTH CENTERS IN THE REGION HAVE SPURRED ECONOMIC GROWTH WHILE GIVING PEOPLE ACCESS TO THE CARE THEY NEED CLOSE TO HOME AND EXPANDING OUR COMMUNITY BENEFIT PROGRAMS. DURING 2020 THE FILING ORGANIZATION'S OPERATIONS WERE SIGNIFICANTLY IMPACTED BY THE CHALLENGES OF THE COVID-19 GLOBAL PANDEMIC AS SHELTER-IN-PLACE ORDERS AND GOVERNMENT MANDATES TO SUSPEND ELECTIVE PROCEDURES WERE IMPLEMENTED IN ORDER TO COMBAT THE OUTBREAK. THE SYSTEM HONORED ITS COMMITMENT TO ITS COMMUNITIES BY TAKING COVID-19 PREPAREDNESS MEASURES SUCH AS IMPLEMENTING SIGNIFICANT NEW SAFETY MEASURES AT ITS HOSPITALS, CREATING AND EXPANDING BED CAPACITY, ACQUIRING PERSONAL PROTECTIVE EQUIPMENT AND OTHER SUPPLIES, EXPANDING TESTING CAPABILITIES, REDEPLOYING CAREGIVERS TO AREAS OF NEED, AND INVESTING IN ALTERNATIVE MEANS OF CARE. THE CANCELLATION OR POSTPONEMENT OF ALL ELECTIVE PROCEDURES AND NON-URGENT AMBULATORY VISITS RESULTED IN A SIGNIFICANT REDUCTION IN PATIENT VOLUMES. IN ADDITION TO LOST REVENUE ASSOCIATED WITH LOWER PATIENT VOLUMES, THE SYSTEM EXPERIENCED AN INCREASE IN OPERATING COSTS ASSOCIATED WITH THE RESPONSE TO THE COVID-19 PANDEMIC, AS WELL AS AN INCREASE IN SUPPLY EXPENSES AS A RESULT OF SHORTAGES, DELAYS AND SIGNIFICANT PRICE INCREASES IN MEDICAL SUPPLIES, PARTICULARLY PERSONAL PROTECTIVE EQUIPMENT AND CERTAIN PHARMACEUTICALS, WHICH ADVERSELY IMPACTED OPERATING RESULTS IN FISCAL YEAR 2020. THE SYSTEM IS PROUD TO CONTRIBUTE TO THE HEALTH OF OUR CITIZENS AND TO BE A POSITIVE ECONOMIC FORCE IN OUR REGION. FOR MORE DETAILED INFORMATION ON THE SYSTEM'S COMMUNITY BENEFIT OR TO VIEW THE 2020 COMMUNITY BENEFIT REPORT, PLEASE VISIT THE SYSTEM'S WEBSITE AT WWW.UHHOSPITALS.ORG. FORM 990, PART VI, SECTION A, LINE 6 UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. IS ORGANIZED SUCH THAT THE CURRENT DIRECTORS ARE THE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS ELECT THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B THE MEMBERS MAY DESIGNATE THOSE THAT SERVE AS CHAIRPERSON AND VICE CHAIRPERSON OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B THE AUDIT AND COMPLIANCE COMMITTEE HAS BEEN DELEGATED AUTHORITY BY THE UHHS BOARD OF DIRECTORS TO REVIEW THE FORM 990. THE COMPENSATION COMMITTEE REVIEWED THE COMPENSATION SECTIONS OF THE FORM 990. THE GOVERNANCE AND COMMUNITY BENEFIT COMMITTEE REVIEWED THE COMMUNITY BENEFIT SECTION OF THE FORM 990 (SCHEDULE H). THE UHHS BOARD OF DIRECTORS RECEIVES A COMPLETE COPY OF THE RETURN BEFORE IT IS FILED WITH THE INTERNAL REVENUE SERVICE. CERTAIN MEMBERS OF SENIOR MANAGEMENT REVIEW THE FORM WHILE OVERSEEING THIS PROCESS. FORM 990, PART VI, SECTION B, LINE 12C UH HAS ADOPTED FOUR CONFLICT OF INTEREST POLICIES: THE FIRST RELATES TO ALL EMPLOYEES AND AFFILIATED PHYSICIANS; THE SECOND RELATES TO UH AND ALL ITS SUBSIDIARIES AND APPLIES TO ALL DIRECTORS, OFFICERS, SUBSTANTIAL CONTRIBUTORS AND RELATED PARTIES; THE THIRD APPLIES TO PHYSICIANS AND OTHER LICENSED PRACTITIONERS. IN ADDITION, UH HAS A SEPARATE BOARD DISCLOSURE OF INTEREST POLICY. UH REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES COMPLIANCE WITH THE CONFLICT OF INTEREST POLICIES. UH MANAGEMENT, ALL DIRECTORS, AND ALL PHYSICIANS AND ADVANCED PRACTICE PROFESSIONALS ARE REQUIRED TO COMPLETE AN ANNUAL DISCLOSURE AND PROVIDE INFORMATION REGARDING ANY INTERESTS THAT MAY BE POTENTIAL CONFLICTS PURSUANT TO THE CONFLICT OF INTEREST POLICIES. THEY ARE REQUIRED TO PROVIDE ANY CHANGES OR NEW DISCLOSURES SHOULD THEY OCCUR. ALL DISCLOSURES AND SUBSEQUENT UPDATES TO DISCLOSURES ARE REVIEWED BY THE UH COMPLIANCE AND ETHICS DEPARTMENT. BOARD-LEVEL AND KEY PERSONNEL CONFLICTS ARE REVIEWED AND APPROVED, IF APPROPRIATE, BY THE AUDIT AND COMPLIANCE COMMITTEE OF THE UHHS BOARD AND/OR THE UHHS BOARD. IF A CONFLICT EXISTS WITH A DIRECTOR, CERTAIN RESTRICTIONS MAY BE IMPOSED, SUCH AS EXCUSING THE DIRECTOR FROM THE ROOM DURING DISCUSSION AND/OR VOTING WITH REGARD TO A PROPOSED TRANSACTION. EDUCATION REGARDING CONFLICTS OF INTEREST IS INCLUDED IN THE ANNUAL COMPLIANCE TRAINING THAT INCLUDES ALL DIRECTORS, EMPLOYEES, PHYSICIANS AND LICENSED PRACTITIONERS. FORM 990, PART VI, SECTION B, LINE 15 THE CHIEF EXECUTIVE OFFICER'S COMPENSATION IS APPROVED BY THE UHHS BOARD OF DIRECTORS. EXECUTIVE COMPENSATION IS APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD (THE "COMMITTEE") AND DOCUMENTED IN THE COMMITTEE MINUTES. THE COMMITTEE HAS RETAINED AN INDEPENDENT COMPENSATION CONSULTANT WHO PROVIDES INFORMATION TO THE COMMITTEE ON CHANGES AND TRENDS IN EXECUTIVE COMPENSATION AND OBJECTIVE THIRD PARTY INFORMATION ON COMPETITIVE AND COMPARABLE EXECUTIVE COMPENSATION AND BENEFIT LEVEL/PROGRAMS. THE CONSULTANT COLLECTS AND PROVIDES TO THE COMMITTEE, APPROPRIATE MARKET COMPENSATION AND BENEFITS INFORMATION, APPROPRIATE MARKET PRACTICES FOR COMPARABLE ORGANIZATIONS' POSITIONS AND BEST PRACTICES. THE CONSULTANT ALSO PROVIDES ADVICE ON DEVELOPING AND MODIFYING UH'S EXECUTIVE COMPENSATION PHILOSOPHY. FORM 990, PART VI, SECTION C, LINE 19 THE FINANCIAL STATEMENTS FOR UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. AND ITS SUBSIDIARIES ARE MADE PUBLICLY AVAILABLE THROUGH THE USE OF DAC BOND (DISCLOSURE DISSEMINATION AGENT) AND CAN BE FOUND ON THE INTERNET AT WWW.DACBOND.COM. FORM 990, PART VII, SECTION A: TREASURY REGULATION 1.6033-2(D) (5) ELECTION PURSUANT TO TREASURY REGULATION SECTION 1.6033-2(D)(5), UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. ("PARENT ORGANIZATION") HAS ELECTED TO REPORT INFORMATION ABOUT CONTRIBUTIONS, GIFTS AND GRANTS, AND COMPENSATION AND OTHER INFORMATION ABOUT OFFICERS, DIRECTORS, TRUSTEES, KEY EMPLOYEES, CERTAIN HIGHLY COMPENSATED EMPLOYEES, AND CERTAIN PROFESSIONAL CONTRACTORS ON A CONSOLIDATED BASIS FOR ALL THE MEMBERS OF ITS GROUP EXEMPTION, INCLUDING THE PARENT ORGANIZATION, ON UNIVERSITY HOSPITALS HEALTH SYSTEM, INC. GROUP RETURN. FORM 990, PART XI, LINE 9: CHANGE IN BENEFICIAL INTEREST FND 17,709,000. FUNDED STATUS ADJUSTMENT -35,473,000. INVESTMENT IN SUBSIDIARIES -280,598,000. NET ASSETS RELEASED FROM RESTRICTION -970,000. OTHER CHANGES IN FUND BALANCE 38,620,000. EQUITY TRANSFERS 389,678,000. 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