2021-07-01T14:08:09-07:00 2020-12-31 990 2020-01-01 352581424 UPSTREAM USA INC UPST 5104961999 2 Oliver Street Suite 402 Boston MA 02109 Ann Quandt Chief Finance and Admin Officer 5104961999 2021-07-01 1 11 1 AAL2 X 2020 2022-09-23 18:48:47Z Ann Quandt 2 Oliver Street Suite 402 Boston MA 02109 61181622 0 X https://www.upstream.org X 2017 DE Upstream's mission is to expand opportunity by reducing unplanned pregnancy across the U.S. To this end, Upstream provides training and technical assistance to health centers, increasing equitable access to the full range of contraceptive options. 9 8 240 9 0 0 55862738 60537887 0 0 987705 418950 -3772 -15239 56846671 60941598 412651 513678 0 0 15698974 23883356 0 0 778175 8087780 7356818 24199405 31753852 32647266 29187746 83094600 112954355 2705766 3377775 80388834 109576580 Upstream's mission is to expand opportunity by reducing unplanned pregnancy across the U.S. To this end, Upstream provides training and technical assistance to health centers, increasing equitable access to the full range of contraceptive options. 0 0 9939203 772 0 In 2020, Upstream North Carolina established formal partnerships with 12 new healthcare agencies who reach over 135,000 women of reproductive age annually, bringing us up to a total of 22 partner agencies who combined reach nearly 225,000 women of reproductive age annually across the state. In addition, we provided technical assistance and training to 10 sites in 2020. 8481248 349205 0 In 2020, Upstream Washington established formal partnerships with 4 new healthcare agencies who reach approximately 8,600 women of reproductive age annually, bringing us up to a total of 19 healthcare partners, who combined serve a total of 216,845 women of reproductive age annually across the state. Through our work we provided technical assistance to 11 health centers and hosted 18 trainings. 6599815 16711 0 In 2020, Upstream Massachusetts established formal partnerships with 4 new healthcare agencies who reach over 41,000 women of reproductive age annually, bringing us up to a total of 14 healthcare partners, who combined serve a total of 86,000 women of reproductive age annually across the state. In addition, we implemented its training and technical assistance program for 11 agencies and completed contraceptive care trainings for 7 health centers. 2427222 146989 0 In 2020, Upstream Rhode Island launched and established partnership agreements with 9 healthcare agencies that serve approximately 48,500 women of reproductive age. In addition, we provided technical assistance to 1 agency during this first year of operations in the state. While our program formally concluded in Delaware in 2019, we continued monitoring and evaluating data for evidence of the sustainability of our program throughout 2020. 2427222 146989 0 27447488 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 81 0 1 240 1 0 0 0 0 0 0 0 0 0 0 0 0 X 9 8 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AR CA FL GA HI IL KS KY MA MD MI MN MS NC NH NJ NM NY OK OR PA RI SC TN UT VA WI WV X Ann Quandt 5104961999 2 Oliver Street Suite 402 Boston MA 02109 Mark Edwards Co-Founder, CEO 40 0 X X 352616 0 45402 Melanie Manning Chief Human Resources Officer 40 0 X 243391 0 22312 Ann Quandt Treasurer, Chief Finance & Administration Officer 40 0 X 247261 0 12264 Siobhan Shand Chief Program Officer 40 0 X 217477 0 39432 Kelleen Kaye Senior Advisor for Research Strategy 40 0 X 206086 0 40757 Chelsea Waliser Executive Director, WA 40 0 X 185448 0 33422 Nicole McKinney Executive Director, NC 40 0 X 182923 0 31422 Shirley Kim National Director of Quality Improvement 40 0 X 169516 0 42772 Peter Belden Former CEO 40 0 X 208958 0 0 Jennifer LeMieux Executive Director, MA 40 0 X 182808 0 9623 Jarid Siegel VP of Data & Technology 40 0 X 176585 0 8780 Elizabeth O'Neill Executive Director, DE 40 0 X 161420 0 18738 Katherine Barrett Vice Sec., VP Investor Relations & Board Gov. 40 0 X 151694 0 26660 Seville Meli State Director of Programs, MA 40 0 X 163190 0 10678 Sarah Beaulieu Assistant Secretary, Director of Development 40 0 X 61874 0 2538 Anita Bekenstein Chair 1 0 X X 0 0 0 Sarah Brown Vice Chair 1 0 X X 0 0 0 Paul Gannon Compensation Committee Chair 1 0 X 0 0 0 Mark Perry Finance Committee Chair 1 0 X 0 0 0 Howard H Stevenson Audit Committee Chair 1 0 X 0 0 0 Thea James Board Member 1 0 X 0 0 0 Ophelia Garmon-Brown Board Member 1 0 X 0 0 0 Jack Markell Board Member 1 0 X 0 0 0 Keith Higgins Secretary 1 0 X 0 0 0 2911247 0 344800 73 1 1 0 Smart Design LLC 601 W 26th St Ste 1820 New York NY 10001 Educational material design 251060 TeamLogic IT of Mountain View Break Away Solutions LLC 958 San Leandro Avenue Suite 100 Mountain View CA 94043 IT support 219814 Precision Strategies LLC 901 New York Ave NW Suite 530 Washington DC 20001 Communication strategy 196232 Azara Healthcare LLC 70 Blanchard Rd Suite 401 Burlington MA 01803 Data extraction and analysis 170074 Research Triangle Institute PO Box 12194 Research Triangle Park NC 27709 Data extraction and analysis 119648 5 0 0 0 0 4975639 55562248 1650441 60537887 0 0 0 0 0 418950 0 0 418950 0 0 224785 0 240024 0 -15239 0 -15239 0 0 -15239 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 60941598 0 0 403711 513678 513678 0 0 0 0 0 0 2051438 1083513 624940 342985 0 0 0 0 17084720 15549755 1346314 188651 703003 640025 51826 11152 2577944 2276504 264687 36753 1466251 1283622 144577 38052 0 0 0 0 21299 2811 17445 1043 109507 0 109507 0 0 0 0 0 0 0 0 0 0 0 2221408 1838180 304070 79158 43844 23236 20608 0 217908 198140 18306 1462 728548 657122 54767 16659 0 0 0 0 1568609 1283466 240192 44951 321223 297816 17148 6259 0 0 0 0 109254 102824 3773 2657 0 0 0 0 0 0 0 0 205327 141348 63979 0 112938 0 112938 0 Measurement and Evaluation 1083264 1083264 0 0 Equipment 303682 187858 110256 5568 Trainings and Events 218768 216011 1169 1588 Learning and Staff Development 72307 64033 7052 1222 18932 4282 14635 15 31753852 27447488 3528189 778175 10999473 615926 10144102 96030647 8560209 14209210 719843 764669 1378026 362572 776781 1015454 51617191 0 277001 318449 83094600 112954355 2705766 3377775 0 0 2705766 3377775 X 54648785 73800965 25740049 35775615 80388834 109576580 83094600 112954355 29187746 0 0 0 0 0 X X 0 1 X 1 0 X 0 9376686 40229493 55862738 60537887 166006804 0 9376686 40229493 55862738 60537887 166006804 12989017 153017787 0 10175 336714 1221856 643735 2212480 168219284 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 2096 2096 31751756 31753852 1000000 250000 0 0 1000000 1000000 1500000 2096 2096 250000 250000 375000 0 0 Schedule C, Part II-A, Line 2a Upstream made its first §501(h) election in the tax year ending December 31, 2020. The election has not been revoked. 0 0 0 0 0 0 0 0 79503 18081 61422 0 1298523 344491 954032 0 0 0 0 1015454 0 X 61440423 0 258801 0 0 258801 61181622 0 -240024 -240024 60941598 32252677 258801 0 0 240024 498825 31753852 0 0 0 31753852 Schedule D, Part X, Line 2 Upstream accounts for uncertainty in income taxes in accordance with ASC Topic, Income Taxes. This standard clarifies the accounting for uncertainty in tax positions and prescribes a recognition threshold and measurement attribute for the financial statements regarding a tax position taken or expected to be taken in a tax return. Upstream has determined that there are no uncertain tax positions which qualify for either recognition or disclosure in the financial statements at December 31, 2020 and 2019. Schedule D, Part XI, Line 4b This reconciling item is the rental expense included on Part VIII, Line 6b that is associated with the sublease of Upstream office space. Expenses include rent expenses for the sublease and commissions. Schedule D, Part XII, Line 2d This reconciling item is the rental expense included on Part VIII, Line 6b that is associated with the sublease of Upstream office space. Expenses include rent expenses for the sublease and commissions. 1 Bayhealth Medical Center Inc 640 South State Street Dover DE 19901 510064318 501(c)(3) 10000 0 Cash Reproductive Health Program Training Columbia Basin Health Association 1515 E Columbia Street Othello WA 993441846 910896701 501(c)(3) 39242 0 Cash Reproductive Health Program Training Community Health Association of Spokane 203 N Washington Street Suite 300 Spokane WA 99201 911641797 501(c)(3) 23000 0 Cash Reproductive Health Program Training Confederated Tribes of the Chehalis Reservation PO Box 536 420 Howanut Road Oakville WA 98568 910887144 Chehalis Tribe 18650 0 Cash Reproductive Health Program Training Harbor Health Services Inc 1135 Morton Street Mattapan MA 02126 237100550 501(c)(3) 8711 0 Cash Reproductive Health Program Training Jefferson County Public Health 615 Sheridan Street Port Townsend WA 98368 916001322 Jefferson County PH 10000 0 Cash Reproductive Health Program Training Klickitat County Public Hospital District #1 310 S Roosevelt Goldendale WA 98620 916001738 Klickitat County PH 14250 0 Cash Reproductive Health Program Training Mt Baker Planned Parenthood 1509 Cornwall Avenue Bellingham WA 98225 910846274 501(c)(3) 14000 0 Cash Reproductive Health Program Training Nanticoke Memorial Hospital Inc 801 Middleford Road Seaford DE 19973 510069243 501(c)(3) 10000 0 Cash Reproductive Health Program Training Planned Parenthood of Delaware Inc 625 N Shipley Street Wilmington DE 19801 510066725 501(c)(3) 98489 0 Cash Reproductive Health Program Training Planned Parenthood of Greater Washington and North Idaho 1117 Tieton Drive Yakima WA 98902 916071384 501(c)(3) 67000 0 Cash Reproductive Health Program Training Planned Parenthood of the Great Northwest and the Hawaiian Islands 2001 E Madison Street Seattle WA 98122 910686012 501(c)(3) 125000 0 Cash Reproductive Health Program Training South Seattle Women's Health Foundation 4200 S Othello Street 122 Seattle WA 98118 473348689 501(c)(3) 33563 0 Cash Reproductive Health Program Training Westside Family Healthcare Inc 300 Water Street Suite 200 Wilmington DE 19801 222488654 501(c)(3) 10000 0 Cash Reproductive Health Program Training 14 0 Schedule I, Part I, Line 2 Upstream works in partnership with organizations receiving grants to determine program milestones that will initiate grant payments once they are met. These milestones are documented and agreed to in a memorandum of understanding between Upstream and the organization receiving the grant. When a milestone is reached, Upstream reviews and verifies supporting documentation, such as a training roster or evidence of an organization's expenditure, before issuing the grant payment. X X X X X 1 0 0 0 0 0 0 1 0 Mark Edwards Co-Founder, CEO 312616 0 40000 0 0 0 14500 0 31736 0 398852 0 0 Melanie Manning Chief Human Resources Officer 243391 0 0 0 0 0 12161 0 10150 0 265702 0 0 0 Ann Quandt Treasurer, Chief Finance & Administration Officer 247261 0 0 0 0 0 12264 0 0 0 259525 0 0 0 Siobhan Shand Chief Program Officer 217477 0 0 0 0 0 10969 0 29224 0 257670 0 0 0 Kelleen Kaye Senior Advisor for Research Strategy 206086 0 0 0 0 0 11200 0 30370 0 247656 0 0 0 Chelsea Waliser Executive Director, WA 185448 0 0 0 0 0 7620 0 25802 0 218870 0 0 0 Nicole McKinney Executive Director, NC 180923 0 2000 0 0 0 9233 0 22189 0 214345 0 0 0 Shirley Kim National Director of Quality Improvement 169516 0 0 0 0 0 8840 0 34681 0 213037 0 0 0 Peter Belden Former CEO 0 0 0 0 208958 0 0 0 0 0 208958 0 0 0 Jennifer LeMieux Executive Director, MA 182808 0 0 0 0 0 9061 0 1332 0 193201 0 0 0 Jarid Siegel VP of Data & Technology 176585 0 0 0 0 0 8385 0 395 0 185365 0 0 0 Elizabeth O'Neill Executive Director, DE 161420 0 0 0 0 0 8088 0 11303 0 180811 0 0 0 Katherine Barrett Vice Sec., VP Investor Relations & Board Gov. 139897 0 0 0 11797 0 2967 0 24199 0 178860 0 0 0 Seville Meli State Director of Programs, MA 163190 0 0 0 0 0 8096 0 2582 0 173868 0 0 0 Schedule J, Part I, Line 4 Peter Belden, former CEO, received one year of salary on Upstream's regular pay period cycle as a severance payment. During 2020, Peter received $208,958 of severance payments. Schedule J, Part I, Line 7 Upstream provides a referral bonus to any employee who referred a candidate that was hired by Upstream. Any such bonuses are reviewed and approved by organizational leadership. The CEO received a discretionary bonus payment in recognition of high performance and outstanding work. This was determined and authorized by the Board's Compensation Committee and the independent members of the Upstream Board of Directors. Refer to Schedule O for additional information regarding the determination of compensation. X 6 1650441 FMV 0 0 1 0 Schedule M, Part I, Line 9 In column (b), Upstream is reporting the number of stock contributions in 2020. Form 990, Part VI, Section A, Line 6 As a non-stock, non-profit Delaware corporation, Upstream has members, but the governing documents state that the members shall consist of those persons serving as directors. Members have no right to vote on any matter other than the election and removal of directors. Form 990, Part VI, Section B, Line 11b The Form 990 is prepared by the Upstream accounting team and then reviewed closely by AAFCPAs, Upstream's tax advisor, and Upstream's Chief of Finance & Administration Officer. This draft is then provided to the Audit Committee for their review and approval. Finally, the Form 990 is provided to the full Board of Directors prior to filing. Any and all questions and comments are addressed by the Upstream Chief Finance & Administration Officer who engages AAFCPAs in the discussion whenever relevant or necessary. Form 990, Part VI, Section B, Line 12c The Board authorized and oversees an annual review of the administration of Upstream's conflict of interest policy. The review may be written or oral. The review shall consider the level of compliance with the policy, the continuing suitability of the policy, and whether the policy should be modified and improved. The process occurs each year during a scheduled meeting of the Upstream Board. Form 990, Part VI, Section B, Line 15 The Compensation Committee of the Board of Directors, none of whose members have a conflict of interest, is charged with recommending the compensation of Upstream's CEO and CFAO to the Board of Directors on an annual basis. Comparability data for similarly qualified persons in functionally comparable positions at similarly situated organizations is prepared by a compensation consultant on a regular basis. This data was last compiled to set 2020 compensation rates and will next be compiled in Fall 2021. The CEO's 360 performance evaluations, the CFAO's performance evaluation, and the comparability data, in years which it is compiled, are reviewed by the Compensation Committee before forming recommendations around changes in compensation to the Board of Directors. The Board of Directors reviews the Committee's recommendation and votes on it. The CEO, who is also a member of the Board of Directors, is recused from this review and vote. These deliberations and decisions are documented in the minutes contemporaneously. This recommendation, review, and vote occur every year and were last completed in 2020. Form 990, Part VI, Section C, Line 19 Upstream's governing documents, conflict of interest policy, and financial statements are available to the public upon request. Form 990, Part XII, Line 2c The process has not changed from the prior year.