2021-08-13T10:31:39-05:00 2020-09-30 135565207 KPMG LLP 1601 MARKET STREET PHILADELPHIA PA 19103 990 2019-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORPORATION YALE 2036880580 789 HOWARD AVENUE NEW HAVEN CT 06519 VINCENT TAMMARO EXECUTIVE VP & CFO 2036880580 2021-08-11 0 PHILLIP E GROFF P01247783 2672561756 2019 2022-09-23 18:48:47Z MARNA BORGSTROM 789 HOWARD AVE NEW HAVEN CT 06519 745804317 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 19 16 3609 18 315591 0 0 0 651780286 734999316 494256 1905750 5661192 5425076 657935734 742330142 312527 396619 0 0 372754191 407797880 0 0 0 284623492 335494256 657690210 743688755 245524 -1358613 1716739812 2616043894 1267689712 2164002064 449050100 452041830 X TO SUPPORT ITS MEMBER HEALTHCARE ORGANIZATIONS FURTHER INNOVATION AND EXCELLENCE IN PATIENT CARE, TEACHING, AND RESEARCH. 0 0 636913951 396619 740108693 SEE SCHEDULE O 636913951 1 0 0 0 0 0 0 0 0 0 1 1 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 1 380 0 3609 1 1 1 0 0 0 0 0 0 0 0 0 1 0 X 19 16 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X VERNETTE D GRAY 2036889585 789 HOWARD AVE NEW HAVEN CT 06519 RICHARD D'AQUILA PRES. (CURRENT YR COMP) 8.00 32.00 X 547836 2191347 333702 RICHARD D'AQUILA PRES. (VESTED DEFERRED) 8.00 32.00 X 255365 1021461 0 MARNA BORGSTROM CEO/TRUSTEE 16.00 24.00 X X 1324198 1986296 847172 CHRISTOPHER O'CONNOR EX. VP/COO 37.00 3.00 X 1565405 0 555321 VINCENT TAMMARO EX. VP/CFO/TREASURER 16.00 24.00 X 594775 892163 532785 GAYLE CAPOZZALO FORMER OFFICER 0.00 0.00 X 1545056 0 0 THOMAS BALCEZAK EXECUTIVE VP/CCO 4.00 36.00 X 115076 1189189 464918 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 227731 970851 437245 KEVIN MYATT SR. VP (CURRENT YR COMP) 16.00 24.00 X 414587 621880 150530 KEVIN MYATT SR. VP (VESTED DEFERRED) 16.00 24.00 X 152342 228512 0 PRATHIBHA VARKEY SR. VP 8.00 32.00 X 226210 904844 368603 NORMAN ROTH EX. VP (CURRENT YR COMP) 8.00 32.00 X 250396 1001582 44177 NORMAN ROTH EX. VP (VESTED DEFERRED) 8.00 32.00 X 40055 160220 0 LISA STUMP SR. VP/CIO 8.00 32.00 X 202947 811785 379421 WILLIAM JENNINGS FORMER OFFICER 0.00 0.00 X 1013152 0 0 PATRICK GREEN EX. VP 8.00 32.00 X 178060 712243 346308 DENISE FIORE SR. VP (CURRENT YR COMP) 1.00 39.00 X 0 734445 123165 DENISE FIORE SR. VP (VESTED DEFERRED) 1.00 39.00 X 0 347860 0 PATRICK MCCABE SR. VP 38.00 2.00 X 842256 0 338458 VINCENT PETRINI SR. VP 1.00 39.00 X 0 816524 299030 PAMELA SCAGLIARINI SR. VP 1.00 39.00 X 0 792975 302000 MICHAEL IVY INTERIM CEO OF BH 4.00 36.00 X 83555 863455 117349 THOMAS NEWMAN SR. VP 16.00 24.00 X 302531 453797 292796 JOHN SKELLY VP 1.00 39.00 X 4064 673273 278255 STEPHEN ALLEGRETTO VP 4.00 36.00 X 60967 548697 241984 MICHAEL DIMENSTEIN VP (CURRENT YR COMP) 4.00 36.00 X 50385 541681 36568 MICHAEL DIMENSTEIN VP (VESTED DEFERRED) 4.00 36.00 X 19490 209531 0 DIANE KELLY EX. VP 1.00 39.00 X 0 631305 212813 IAN SCHWARTZ SR. VP 40.00 0.00 X 632045 0 189010 VICTOR MORRIS VP 40.00 0.00 X 686113 0 100205 MATTHEW COMERFORD SR. VP 40.00 0.00 X 678870 0 97596 MELISSA TURNER VP 1.00 39.00 X 0 551068 207621 CAROLYN SALSGIVER-KOBSA VP 1.00 39.00 X 0 536394 221396 JAMES MORRIS VP (CURRENT YR COMP) 1.00 39.00 X 17708 460906 85419 JAMES MORRIS VP (VESTED DEFERRED) 1.00 39.00 X 5183 134902 0 EUGENE COLUCCI VP 4.00 36.00 X 64314 578831 43859 JOSEPH BISSON VP 40.00 0.00 X 583171 0 98275 ELIZABETH BECKMAN SR. VP 1.00 39.00 X 2765 458095 163834 MICHAEL ANGELINI SR. VP 40.00 0.00 X 538851 0 78183 DAVID WURCEL FORMER OFFICER 0.00 0.00 X 0 447549 3667 WILLIAM GEDGE FORMER OFFICER 0.00 0.00 X 108149 85700 0 ANNE DIAMOND EXECUTIVE VP 8.00 32.00 X 31173 124693 16870 VINCENT CALARCO CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO SECRETARY/TRUSTEE 1.00 0.00 X X 0 0 0 MARY FARRELL VICE CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 JACK CALLAHAN TRUSTEE 1.00 0.00 X 0 0 0 JOHN FALCONI TRUSTEE 1.00 2.00 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 ARTHUR MARTINEZ TRUSTEE 1.00 3.00 X 0 0 0 BARBARA MILLER TRUSTEE 1.00 1.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 X 0 0 0 B MICHAEL RAUH TRUSTEE 1.00 6.00 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 13364781 22684054 8008535 950 1 1 0 CENTURY FINANCIAL SERVICES 23 MAIDEN LANE NORTH HAVEN CT 06473 COLLECTION SERVICES 7220757 VIZIENT INC 290 E JOHN CARPENTER FREEWAY IRVING CT 76011 STAFFING SERVICES 3646685 ROBERT HALF INTERNATIONAL INC 100 PEARL STREET SUITE 15A HARTFORD CT 06103 STAFFING SERVICES 3515070 MMODAL SERVICES LTD 5000 MERIDIAN BLVD FRANKLIN TN 37067 CONSULTING SERVICES 2991361 KORN FERRY 201 BROAD STREET STAMFORD CT 06901 CONSULTING SERVICES 2681207 164 MANAGEMENT SERVICES 900099 578907354 578907354 INSURANCE PREMIUMS 900099 69118581 69118581 SYSTEM SUPPORT SERVICE 900099 68351467 68351467 EMERGENCY PREPAREDNESS 900099 18621914 18621914 734999316 1849809 -108 1849917 3530116 3474175 55941 55941 55941 VENDOR REBATES 900099 3498739 3498739 OTHER ANCILLARY INCOME 900099 1610638 1610638 MANAGEMENT SERVICES RE 900099 315699 315699 5425076 742330142 740108693 315591 1905858 X 396619 396619 11037536 1103754 9933782 23760 20835 2925 304151776 266711958 37439818 21144184 17966213 3177971 50081801 42554506 7527295 21358823 18148592 3210231 4189318 4189318 2050026 2050026 515730 515730 111438199 94930149 16508050 13478849 11452977 2025872 100429869 85335260 15094609 1893159 1608617 284542 5282633 5282633 30552304 25960293 4592011 64182967 64182967 PROPERTY TAX 815878 693252 122626 BOOKS & SUBSCRIPTIONS 314394 267141 47253 DUES, FEES & MEMBERSHIP 270891 230176 40715 PARKING TAX 80039 68009 12030 743688755 636913951 106774804 0 89750023 564574513 1031516728 1058086730 0 11581678 17490704 26408953 521190594 343249892 147265970 177940702 6880113 309322985 371786169 375180405 52050105 52050105 0 40897823 1716739812 2616043894 152457886 229460978 77870471 366545993 892635003 1428864285 144726352 139130808 1267689712 2164002064 X 412849011 415840741 36201089 36201089 449050100 452041830 1716739812 2616043894 -1358613 4350343 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 101701256 0 LAWRENCE MEMORIAL HOSPITAL INC 060646704 3 1 0 0 LMW HEALTHCARE INC 460543230 3 1 0 0 6 101701256 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. 7980000 7980000 15581383 1333836 14247547 449683826 341916056 107767770 47945385 47945385 177940702 INVEST. YALE ENDOWMENT FUND 151275349 F SURRENDER VALUE LIFE INS. 4435867 F ALTERNATIVE INVESTMENTS 38157372 F UNRESTRICTED INVESTMENTS 115454397 C 309322985 INVEST. IN L+M CORP 277307150 C INVEST. IN NEPC/VHA 262192 C INVEST. IN TOTAL HEALTH 765186 C INVEST. IN PATIENT WISDOM 296024 C INVEST. IN MCIC VERMONT 1000000 C INVEST. IN N. SHORE LIJ 694701 C MCIC EQUITY 81209288 C MCIC INVESTMENT 10811582 C INVEST. IN PHYSICIAN ONE URGENT CARE 1947313 C INVEST. IN SILVER HILL HOSPITAL 540607 C INVEST. IN PROTON THERAPY 346362 C 375180405 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 7270225 RETRO INSURANCE CREDIT 17269316 INTEREST RATE SWAP 80061218 CURRENT PORTION OF LONG TERM DEBT 22754874 139130808 X PART X, LINE 2: YALE NEW HAVEN HEALTH SERVICES CORPORATION 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, WHICH ARE NOT MATERIAL TO THE CONSOLIDATED FINANCIAL STATEMENTS, 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, 2020 AND 2019. 1 BRIDGEPORT REGIONAL BUSINESS COUNCIL 10 MIDDLE STREET 14TH FLOOR BRIDGEPORT CT 06601 060271980 501(C)(6) 6000 SUPPORT MISSION B'NAI B'RITH INTERNATIONAL 1120 20TH ST NW SUITE 300 WASHINGTON DC 20236 530179971 501(C)(3) 24800 SUPPORT MISSION NEW HAVEN WORKS INC 205 WHITNEY AVENUE 106 NEW HAVEN CT 06511 462662124 501(C)(3) 70000 SUPPORT MISSION ST MARTIN DE PORRES ACADEMY 208 COLUMBUS AVENUE NEW HAVEN CT 06519 810666655 501(C)(3) 15000 SUPPORT MISSION CT PLAYERS FOUNDATION INC DBA LONG WHARF THEATER 222 SARGENT DRIVE NEW HAVEN CT 06511 066073063 501(C)(3) 12500 SUPPORT MISSION FAMILY CENTERED SERVICES OF CT 235 NICOLL STREET NEW HAVEN CT 06511 060972684 501(C)(3) 10000 SUPPORT MISSION GREATER BRIDGEPORT OIC INC 510 BARNUM AVENUE BRIDGEPORT CT 06608 061493753 501(C)(3) 12500 SUPPORT MISSION NAACP GREATER NEW HAVEN 545 WHALLEY AVE NEW HAVEN CT 06511 066099313 501(C)(3) 15000 SUPPORT MISSION FIRST CALVARY BAPTIST CHURCH 605 DIXWELL AVENUE NEW HAVEN CT 06511 061173497 501(C)(3) 10000 SUPPORT MISSION JUNIOR ACHIEVEMENT OF SOUTHWEST NEW ENGLAND 70 FARMINGTON AVENUE HARTFORD CT 06105 060665972 501(C)(3) 7500 SUPPORT MISSION ALBERTUS MAGNUS COLLEGE 700 PROSPECT STREET NEW HAVEN CT 06511 060646520 501(C)(3) 25000 SUPPORT MISSION BEULAH HEIGHTS CHURCH 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 6000 SUPPORT MISSION 11 1 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 RICHARD D'AQUILA PRES. (CURRENT YR COMP) 350672 1402692 147590 590360 49574 198295 63701 254803 3040 12158 614577 2458308 0 0 RICHARD D'AQUILA PRES. (VESTED DEFERRED) 0 0 0 0 255365 1021461 0 0 0 0 255365 1021461 0 0 MARNA BORGSTROM CEO/TRUSTEE 857710 1286565 459610 689415 6878 10316 333356 500034 5513 8269 1663067 2494599 0 0 CHRISTOPHER O'CONNOR EX. VP/COO 1055702 0 388377 0 121326 0 535266 0 20055 0 2120726 0 0 0 VINCENT TAMMARO EX. VP/CFO/TREASURER 378035 567052 165228 247842 51512 77269 205052 307578 8062 12093 807889 1211834 0 0 GAYLE CAPOZZALO FORMER OFFICER 9755 0 226553 0 1308748 0 0 0 0 0 1545056 0 453750 0 THOMAS BALCEZAK EXECUTIVE VP/CCO 78352 809689 24892 257230 11832 122270 39250 405613 1769 18286 156095 1613088 0 0 WILLIAM ASELTYNE SR. VP 154375 658126 52977 225848 20379 86877 79266 337924 3810 16245 310807 1325020 0 0 KEVIN MYATT SR. VP (CURRENT YR COMP) 276791 415185 96083 144125 41713 62570 54037 81055 6175 9263 474799 712198 0 0 KEVIN MYATT SR. VP (VESTED DEFERRED) 0 0 0 0 152342 228512 0 0 0 0 152342 228512 0 0 PRATHIBHA VARKEY SR. VP 152027 608113 56381 225523 17802 71208 72118 288471 1603 6411 299931 1199726 0 0 NORMAN ROTH EX. VP (CURRENT YR COMP) 167395 669581 65873 263491 17128 68510 6080 24320 2755 11022 259231 1036924 0 0 NORMAN ROTH EX. VP (VESTED DEFERRED) 0 0 0 0 40055 160220 0 0 0 0 40055 160220 0 0 LISA STUMP SR. VP/CIO 139270 557078 43623 174493 20054 80214 71873 287493 4011 16044 278831 1115322 0 0 WILLIAM JENNINGS FORMER OFFICER 0 0 328536 0 684616 0 0 0 0 0 1013152 0 227427 0 PATRICK GREEN EX. VP 125408 501632 41821 167285 10831 43326 65251 261002 4011 16044 247322 989289 0 0 DENISE FIORE SR. VP (CURRENT YR COMP) 0 492682 0 157504 0 84259 0 115400 0 7765 0 857610 0 0 DENISE FIORE SR. VP (VESTED DEFERRED) 0 0 0 0 0 347860 0 0 0 0 0 347860 0 0 PATRICK MCCABE SR. VP 610839 0 194045 0 37372 0 324676 0 13782 0 1180714 0 0 0 VINCENT PETRINI SR. VP 0 546359 0 195554 0 74611 0 283950 0 15080 0 1115554 0 0 PAMELA SCAGLIARINI SR. VP 0 517235 0 196103 0 79637 0 282120 0 19880 0 1094975 0 0 MICHAEL IVY INTERIM CEO OF BH 61274 633208 16870 174333 5411 55914 8614 89013 1740 17982 93909 970450 0 0 THOMAS NEWMAN SR. VP 223132 334698 61960 92940 17439 26159 108985 163478 8133 12200 419649 629475 0 0 JOHN SKELLY VP 2921 483972 771 127675 372 61626 1551 256923 119 19662 5734 949858 0 0 STEPHEN ALLEGRETTO VP 46599 419388 11651 104860 2717 24449 22820 205382 1378 12404 85165 766483 0 0 MICHAEL DIMENSTEIN VP (CURRENT YR COMP) 34748 373573 9872 106128 5765 61980 1873 20138 1239 13318 53497 575137 0 0 MICHAEL DIMENSTEIN VP (VESTED DEFERRED) 0 0 0 0 19490 209531 0 0 0 0 19490 209531 0 0 DIANE KELLY EX. VP 0 461561 0 143615 0 26129 0 191844 0 20969 0 844118 0 0 IAN SCHWARTZ SR. VP 471514 0 125976 0 34555 0 168354 0 20656 0 821055 0 0 0 VICTOR MORRIS VP 489738 0 135442 0 60933 0 80400 0 19805 0 786318 0 0 0 MATTHEW COMERFORD SR. VP 493882 0 146096 0 38892 0 78650 0 18946 0 776466 0 0 0 MELISSA TURNER VP 0 391550 0 115923 0 43595 0 188092 0 19529 0 758689 0 0 CAROLYN SALSGIVER-KOBSA VP 0 369605 0 117936 0 48853 0 200641 0 20755 0 757790 0 0 JAMES MORRIS VP (CURRENT YR COMP) 12296 320058 3446 89677 1966 51171 2448 63702 713 18556 20869 543164 0 0 EUGENE COLUCCI VP 48794 439151 12076 108680 3444 31000 3008 27069 1378 12404 68700 618304 0 0 JOSEPH BISSON VP 420178 0 124114 0 38879 0 77400 0 20875 0 681446 0 0 0 ELIZABETH BECKMAN SR. VP 2584 428045 18 2982 163 27068 894 148136 89 14715 3748 620946 0 0 MICHAEL ANGELINI SR. VP 403697 0 101775 0 33379 0 58582 0 19601 0 617034 0 0 0 DAVID WURCEL FORMER OFFICER 0 18174 0 183582 0 245793 0 3667 0 0 0 451216 0 99624 WILLIAM GEDGE FORMER OFFICER 0 0 0 0 108149 85700 0 0 0 0 108149 85700 108149 0 ANNE DIAMOND EXECUTIVE VP 15924 63696 15000 60000 249 997 3231 12923 143 573 34547 138189 0 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 - $803,062 - CHRISTOPHER O'CONNOR - 354,075 - VINCENT TAMMARO - 318,908 - THOMAS BALCEZAK - 282,464 - WILLIAM J. ASELTYNE - 263,040 - PRATHIBHA VARKEY - 249,939 - LISA STUMP - 224,875 - PATRICK GREEN - 206,307 - PATRICK MCCABE - 197,776 - VINCENT PETRINI - 176,247 - PAMELA SCAGLIARINI - 171,720 - THOMAS NEWMAN - 171,459 - JOHN SKELLY - 152,293 - STEPHEN ALLEGRETTO - 143,260 - MELISSA TURNER - 124,588 - CAROLYN SALSGIVER-KOBSA - 121,241 - DIANE KELLY - 109,631 - IAN SCHWARTZ - 90,954 - ELIZABETH BECKMAN - 65,942 - ANNE DIAMOND - 16,154 - 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 2019 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2019 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED RICHARD D'AQUILA - $1,276,826 - KEVIN MYATT - 380,854 - DENISE FIORE - 347,860 - MICHAEL DIMENSTEIN - 229,021 - NORMAN ROTH - 200,275 - JAMES B. MORRIS - 140,085 - 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 NANCY LEVITT-ROSENTAL 41,876 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 35385000 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 1 1 1 0 0 0 1 D 0 0 1 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 7190000 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 EBP SUPPLY SOLUTIONS SEE PART V - COLUMN D 130474 SEE PART V 0 MARY-JANE CALLAHAN SEE PART V - COLUMN D 174140 SEE PART V 0 SCHEDULE L, PART IV, COLUMN (D) BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS NAME OF INTERESTED PERSON: EBP SUPPLY SOLUTIONSTRUSTEE MEREDITH REUBEN IS THE SOLE STOCKHOLDER AND CHIEF EXECUTIVE OFFICER OF EBP SUPPLY SOLUTIONS, INC. AFTER PERFORMING AN OBJECTIVE REVIEW PROCESS, WHICH INCLUDED A COMPARISON TO COMPETITIVE ALTERNATIVES AVAILABLE IN THE MARKETPLACE AND IN WHICH MS. REUBEN WAS NOT INVOLVED, THE HEALTH SYSTEM PURCHASED JANITORIAL AND FOOD SERVICE SUPPLIES AND SERVICES FROM EBP SUPPLY SOLUTIONS, INC.AMOUNT OF TRANSACTION: $130,473.84NAME OF INTERESTED PERSON: MARY-JANE CALLAHAN TRUSTEE JACK CALLAHAN'S SISTER, MARY-JANE CALLAHAN, IS EMPLOYED IN THE FINANCE DEPARTMENT OF YALE NEW HAVEN HEALTH SERVICES CORPORATION AND RECEIVED COMPENSATION OVER $10,000.00 DURING THE TAX YEAR BY THE ORGANIZATION.AMOUNT OF TRANSACTION: $174,139.63 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 SYSTEM STARTED THE FISCAL YEAR WITH STRONG FINANCIAL PERFORMANCE, HEALTHY PATIENT VOLUMES AND PLANS TO DEVELOP PROGRAMS AND SERVICES. PLANS CAME TO A HALT DURING THE SECOND QUARTER WHEN THE CORONAVIRUS PANDEMIC DIVERTED RESOURCES AND ATTENTION TO THE IMMEDIATE CARE OF OUR PATIENTS, STAFF AND COMMUNITIES. AT THE START OF THE PANDEMIC, YNHHS REDUCED NON-COVID-19 INPATIENT CENSUS BY CANCELLING AND RESCHEDULING NON-EMERGENT SURGERIES TO BETTER ACCOMMODATE A PREDICTED SURGE IN COVID-POSITIVE PATIENTS. YNHHS SWIFTLY CONVERTED HOSPITAL SPACE TO COVID-19 UNITS, ASSEMBLED DRIVETHROUGH SPECIMEN COLLECTION SITES AND MOBILE TESTING UNITS, CREATED ONSITE SPECIMEN TESTING CAPABILITIES, INSTITUTED NEW TREATMENT AND MEDICATION THERAPIES, LAUNCHED EMPLOYEE WELLNESS INITIATIVES AND PROCURED NEARLY IMPOSSIBLE-TO-FIND RESOURCES FROM PERSONAL PROTECTIVE EQUIPMENT TO VENTILATORS TO MEDICATIONS. COVID-19 POSITIVE INPATIENTS PEAKED AT 790 IN APRIL 2020. THROUGHOUT THE YEAR, YNHHS CONTINUED TO TREAT MANY OF CONNECTICUT'S MOST COMPLEX PATIENTS, SEEING AN INCREASE IN OVERALL CASE MIX INDEX, LONGER LENGTH OF STAY AND HIGH CAPACITY AT ITS HOSPITALS. IN TOTAL, THE SYSTEM ADMITTED 4,935 COVID-19 PATIENTS AND DISCHARGED 4,309. IN THE MIDST OF AN UNPRECEDENTED HEALTH CRISIS, YNHHS DEMONSTRATED LEADERSHIP ON THE NATIONAL, STATE AND LOCAL LEVELS THROUGH TRANSPARENT COMMUNICATIONS TO THE PUBLIC AND TO EMPLOYEES; MAINTAINED SAFE, HIGH-QUALITY CARE; AND ADVANCED KEY PROGRAMS AND SERVICES FOR THE PATIENTS WE SERVE. RECOGNIZING THE VALUE OF INNOVATION, YALE NEW HAVEN HEALTH, WITH YALE SCHOOL OF MEDICINE, MOVED FORWARD WITH A COMPUTATIONAL HEALTH INFORMATICS PLATFORM THAT FOSTERS PRECISION MEDICINE RESEARCH AND HEALTHCARE DELIVERY THROUGH THE INTEGRATION OF TECHNOLOGY AND ADVANCED ANALYTICS. GREENWICH HOSPITAL INSTITUTED A NEUROSCIENCE PROGRAM THAT INCLUDES LIFESAVING MECHANICAL THROMBECTOMY, BECOMING THE ONLY HOSPITAL IN LOWER FAIRFIELD COUNTY TO OFFER THIS ADVANCED TREATMENT FOR ACUTE STROKE. THE YNHHS HEART AND VASCULAR CENTER ROBOTIC CARDIAC TEAM PERFORMED THE 100TH ROBOTIC MITRAL VALVE REPAIR SURGERY, WHICH OFFERS PATIENTS SMALLER INCISIONS, LESS PAIN, A SHORTER HOSPITAL STAY AND QUICKER RECOVERY. YALE NEW HAVEN HOSPITAL AT SHORELINE MEDICAL CENTER PERFORMED THE STATE'S FIRST OUTPATIENT AMBULATORY CENTER ROBOTIC HERNIA REPAIR USING THE DA VINCI XI, WHICH PROVIDES 3D IMAGES OF THE SURGICAL AREA VERSUS 2D IMAGES FOR LAPAROSCOPIC SURGERY. BRIDGEPORT HOSPITAL LAUNCHED AN ENHANCED STROKE CENTER THAT INCLUDES A TELESTROKE PROGRAM AND PROCEDURES THAT CAN REVERSE STROKE SYMPTOMS. TO SUPPORT COMPREHENSIVE CANCER CARE, SMILOW CANCER HOSPITAL CARE CENTER IN GREENWICH ENHANCED INTERVENTIONAL ONCOLOGY SERVICES THAT USE MINIMALLY INVASIVE, TARGETED PROCEDURES TO DELIVER TREATMENT DIRECTLY TO THE TUMOR, SPARING SURROUNDING HEALTHY TISSUE. A NEW, INNOVATIVE SURGICAL PROGRAM AT GREENWICH HOSPITAL TREATS BREAST CANCER-RELATED LYMPHEDEMA BY FOCUSING ON NATURAL TISSUE BREAST RECONSTRUCTION. WESTERLY HOSPITAL OPENED A SMILOW CANCER HOSPITAL CARE CENTER, THE FIRST IN RHODE ISLAND, BRINGING PATIENTS IN EASTERN CONNECTICUT AND RHODE ISLAND ACCESS TO CLINICAL TRIALS, IMMUNOTHERAPIES, GENETIC COUNSELING, SECOND-OPINION CONSULTATIONS, NUTRITION COUNSELING AND SURVIVORSHIP GUIDANCE. YNHHS WORKED ON INITIATIVES DESIGNED TO ADVANCE THE SYSTEM'S MISSION TO BRING CARE AND SERVICES INTO THE COMMUNITIES WHERE PATIENTS RESIDE. THE MOHEGAN TRIBE NAMED YALE NEW HAVEN HEALTH AS ITS PREFERRED HEALTHCARE PROVIDER PARTNER FOR ALL MOHEGAN TRIBAL CITIZENS, EMPLOYEES AND THEIR FAMILIES. THE HEALTH SYSTEM OFFERS ON-SITE PRIMARY CARE, WALK-IN CARE, SPECIALTY CARE SERVICES AND A PATIENT RESOURCE CENTER. COLLABORATING WITH CORNELL SCOTT-HILL HEALTH CENTER AND FAIR HAVEN COMMUNITY HEALTH CARE, YALE NEW HAVEN HOSPITAL DEVELOPED THE NEW HAVEN PRIMARY CARE CONSORTIUM AND OPENED A COMMUNITY CLINIC TO BROADEN ACCESS TO PRIMARY CARE SERVICES, WOMEN'S SERVICES AND PEDIATRIC/ADOLESCENT CARE. WESTERLY HOSPITAL UNVEILED A $4 MILLION PHARMACY THAT HOUSES A COMPUTERIZED CAROUSEL THAT DISPENSES MEDICATIONS BY BAR CODE AND AUTOMATICALLY REORDERS SUPPLIES; A NEGATIVE-PRESSURE HOOD FOR SAFE PREPARATION OF CHEMOTHERAPY MEDICATIONS; AND A NON-HAZARDOUS CLEAN ROOM TO ENSURE STERILITY DURING PREPARATION OF IV MEDICATIONS. NORTHEAST MEDICAL GROUP OPENED A NEW 25,000-SQUARE-FOOT MULTISPECIALTY CENTER IN FAIRFIELD THAT INCLUDES 45 EXAM ROOMS AND THREE PROCEDURE ROOMS FOR 30 MEDICAL SPECIALISTS. THE CENTER ALSO HOUSES A BLOOD DRAW STATION AND X-RAY SERVICES. THROUGH A PARTNERSHIP WITH THE UNIVERSITY OF NEW HAVEN, YALE NEW HAVEN HEALTH CREATED A CAMPUS HEALTH SERVICES PROGRAM FOR STUDENTS AND EMPLOYEES OF THE UNIVERSITY. THE PARTNERSHIP PROVIDES CARE ON CAMPUS, VIA TELEHEALTH, AND AT ITS FACILITIES. YNHHS' PHYSICIAN FOUNDATION, NORTHEAST MEDICAL GROUP PROVIDES PRIMARY CARE, COVID-19 TESTING AND STUDENT HEALTH. VNA SOUTH CENTRAL CONNECTICUT INTEGRATED WITH YALE NEW HAVEN HEALTH TO BECOME HOME CARE PLUS-SOUTH CENTRAL CONNECTICUT. THE COMMUNITY-BASED, HOME-CARE SERVICE AGENCY ENHANCES THE HEALTH SYSTEM'S ABILITY TO PROVIDE COORDINATED, HIGH-QUALITY HOME CARE SERVICES TO THE NEW HAVEN, MILFORD AND VALLEY REGIONS. BRIDGEPORT HOSPITAL JOINED THE AGE-FRIENDLY HEALTH SYSTEMS INITIATIVE, A MOVEMENT TO IMPROVE HEALTH CARE FOR OLDER ADULTS. THE HOSPITAL IS ONE OF MORE THAN 100 HEALTH SYSTEMS WORKING TO TAILOR CARE FOR OLDER ADULTS TO THEIR GOALS AND PREFERENCES. TO HELP ACHIEVE GREATER UNDERSTANDING AND AWARENESS OF THE DIVERSITY OF OUR PATIENTS, EMPLOYEES AND OUR COMMUNITIES DURING A TURBULENT YEAR THAT INCLUDED RACIAL AND JUSTICE INEQUITY, RACIAL DISCRIMINATION AND POLITICAL UNREST IN ADDITION TO THE PANDEMIC, YNHHS EXPANDED PROGRAMMING THAT ADDRESSED SOCIALLY RELEVANT AND TIMELY TOPICS. ALL FIVE YALE NEW HAVEN HEALTH HOSPITALS WERE DESIGNATED LGBTQ HEALTHCARE EQUALITY LEADERS BY THE HUMAN RIGHTS CAMPAIGN FOUNDATION IN THE HEALTHCARE EQUITY INDEX. EVEN IN THE WAKE OF A PANDEMIC, YALE NEW HAVEN HEALTH'S WORK REMAINS CLEAR; TO ENDURE AND DEMONSTRATE EXCELLENCE IN SAFE, HIGH-QUALITY PATIENT CARE AS WELL AS TO INSTILL A SPIRIT OF UNPARALLELED VALUE FOR PATIENTS, AND EXEMPLARY CAMARADERIE AMONG STAFF. 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 TRUSTEES JOHN L. LAHEY AND JAMES TORGERSON ARE DIRECTORS AND OFFICERS OF THE SAME BUSINESS ENTITY 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 3,809,800. MANAGEMENT AND GENERAL EXPENSES 390,139. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 4,199,939. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 73,768,543. MANAGEMENT AND GENERAL EXPENSES 13,048,620. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 86,817,163. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 2,876,599. MANAGEMENT AND GENERAL EXPENSES 508,830. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 3,385,429. SYSTEM SUPPORT: PROGRAM SERVICE EXPENSES 14,475,207. MANAGEMENT AND GENERAL EXPENSES 2,560,461. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 17,035,668. 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