2020-11-13T12:22:02-06:00 2019-12-31 410746749 CLIFTONLARSONALLEN LLP 220 S 6TH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2019-01-01 274116873 ALLINA ASSOCIATED FOUNDATION ALLI 6122620660 PO BOX 43 MR 10890 MINNEAPOLIS MN 554400043 RICHARD E MAGNUSON CHIEF FINANCIAL OFFICER 6122620660 2020-11-03 1 KAREN GRIES P00078514 6123764500 2020-11-03 65.128.163.222 2020-11-03 11:13:02 CS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 AA1DCBC5EA6CA51D55B9304D21ACC821D9D41489 2019 2021-01-29 14:40:06Z STEPHEN BARITEAU PO BOX 43 MR 10890 MINNEAPOLIS MN 554400043 15408480 0 X SEE STATEMENT X 2010 MN TO RAISE, STEWARD AND DISTRIBUTE PHILANTHROPIC FUNDS IN SUPPORT OF BUFFALO HOSPITAL, CAMBRIDGE MEDICAL CENTER, NEW ULM MEDICAL CENTER, OWATONNA HOSPITAL, RIVER FALLS AREA HOSPITAL, ALLINA HEALTH HOME CARE SERVICES AND PENNY GEORGE INSTITUTE OF HEALTH & HEALING. 26 17 0 510 0 0 3613479 3389858 0 0 114453 260655 35316 44694 3763248 3695207 1768465 1522519 0 0 0 0 31742 0 323277 1533108 1293515 3333315 2816034 429933 879173 7970752 9037464 194169 194640 7776583 8842824 X THE MISSION OF ALLINA ASSOCIATED FOUNDATION IS TO RAISE, STEWARD AND DISTRIBUTE PHILANTHROPIC FUNDS IN SUPPORT OF BUFFALO HOSPITAL, CAMBRIDGE MEDICAL CENTER, NEW ULM MEDICAL CENTER, OWATONNA HOSPITAL, RIVER FALLS AREA HOSPITAL, ALLINA HEALTH HOME CARE SERVICES AND PENNY GEORGE INSTITUTE FOR HEALTH & HEALING. THE FOUNDATION IS A SEPARATE NOT-FOR-PROFIT ENTITY DEDICATED TO SUPPORTING THE HOSPITALS, ALLINA HEALTH HOME CARE SERVICES PROGRAM AND PENNY GEORGE INSTITUTE FOR HEALTH & HEALING AND IS GOVERNED BY A SEPARATE BOARD. 0 0 1227784 1227784 0 HOSPITAL AND MEDICAL CENTER GENERAL OPERATIONS:OPERATIONAL GRANTS ARE USED TO SUPPORT A MULTITUDE OF PROGRAMS INCLUDING RESEARCH, BIRTH, HEART, LITERACY AND INTEGRATIVE THERAPY PROGRAMS. THESE PROGRAMS WERE ESTABLISHED TO SUPPORT THE PATIENTS AND COMMUNITIES OF BUFFALO HOSPITAL, CAMBRIDGE MEDICAL CENTER, NEW ULM MEDICAL CENTER, OWATONNA HOSPITAL, RIVER FALLS AREA HOSPITAL, ALLINA HEALTH HOME CARE SERVICES AND PENNY GEORGE INSTITUTE FOR HEALTH & HEALING. 246680 246680 0 THE FOLLOWING ARE SOME EXAMPLES OF EXTERNAL PROGRAMS SUPPORTED IN 2019: $101,845 WAS PROVIDED FOR A BUFFALO HOSPITAL CAPITAL GRANT TO UPDATE AND IMPROVE PATIENT EXPERIENCE THROUGH THE ADDITION OF BARIATRIC BEDS AND RECLINERS FOR THE BIRTHING ROOMS, THE ADDITION OF 6 ELEGARD ELEVATED CPR DEVICES, AND CAPITAL EXPANSION OF LIVING WELL PROGRAM THROUGH THE PENNY GEORGE INSTITUTE FOR HEALTH AND HEALING-BUFFALO HOSPITAL. $123,351 WAS PROVIDED TO CAMBRIDGE HOSPITAL FOR UPGRADES TO THE ER DEPARTMENT, LANDSCAPING, AND FURNITURE FOR MOTHER BABY TO IMPROVE SAFETY AND INFECTION CONTROL ISSUES WHILE UPDATING FUNCTIONALITY AESTHETICS. $9,439 WAS PROVIDED TO RIVER FALLS HOSPITAL FOR A PEDIATRIC MANIKIN. $12,045 IN ADDITIONAL CAPITAL GRANTS WERE PROVIDED TO SUPPORT VARIOUS INDIVIDUAL PROJECTS. 48055 48055 0 THE FOLLOWING ARE SOME EXAMPLES OF 2019 HOSPITAL AND MEDICAL CENTER PROGRAMS SUPPORTING INDIVIDUAL PATIENTS AND EMPLOYEES: BUFFALO HOSPITAL'S $10,428 "CARING FOR CO-WORKERS AND OWATONNA HOSPITALS $1,446 "EMPLOYEE EMERGENCY FUND" PROVIDES CONFIDENTIAL EMERGENCY ASSISTANCE TO HOSPITAL EMPLOYEES WHO SUFFER SUDDEN ECONOMIC HARDSHIP AND ARE STRUGGLING TO PAY MEDICAL BILLS, RENT AND OTHER EVERYDAY EXPENSES; BUFFALO, NEW ULM AND RIVER FALLS PROVIDED $10,000, $17,000 AND $7,000 RESPECTIVELY IN EDUCATIONAL SCHOLARSHIPS. RIVER FALLS PROVIDED $2,000 TO SUPPORT CANCER PATIENT ASSISTANCE. $181 IN ADDITIONAL GRANTS WERE PROVIDED. 1522519 1 1 0 0 0 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 X 26 17 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 MN WI X TAX SERVICES MR 10890 6122620660 2925 CHICAGO AVENUE MINNEAPOLIS MN 554071321 PENNY WHEELER DIRECTOR 2.00 40.00 X 0 2202831 463169 RICHARD MAGNUSON CFO 2.00 40.00 X 0 922036 179926 DAVID MILLER DIRECTOR 2.00 40.00 X 0 719886 18853 TOBY FREIER DIRECTOR 2.00 40.00 X 0 434421 50450 GARY SHAW DIRECTOR 2.00 40.00 X 0 405417 2841 DAVID ALBRECHT DIRECTOR 2.00 40.00 X 0 337572 42001 STEPHEN BARITEAU DIRECTOR/PRESIDENT 2.00 40.00 X X 0 321649 44783 KELLY SPRATT DIRECTOR 2.00 40.00 X 0 271481 28978 JULIA CRIST DIRECTOR 2.00 40.00 X 0 252810 42858 HELEN STRIKE DIRECTOR 2.00 40.00 X 0 220192 14016 JOSH SHEPHERD DIRECTOR 2.00 40.00 X 0 192884 35191 SARAH SMUDE DIRECTOR 2.00 40.00 X 0 175699 35110 DUNCAN GALLAGHER FORMER CFO 0.00 40.00 X 0 130958 0 HEATHER JOHNSON DIRECTOR 2.00 40.00 X 0 118598 7202 STEVE LACROIX DIRECTOR 2.00 0.00 X 0 10000 0 KATHLEEN BACKER DIRECTOR/SECRETARY 2.00 0.00 X 0 0 0 DENISE BLIZIL DIRECTOR 2.00 0.00 X 0 0 0 PAM DEAL DIRECTOR 2.00 0.00 X 0 0 0 JEFF DITTRICH DIRECTOR 2.00 0.00 X 0 0 0 ANGELA FAHMY DIRECTOR/VICE CHAIR/TREASU 2.00 0.00 X 0 0 0 CHRIS HASLING DIRECTOR 2.00 0.00 X 0 0 0 ANDY KRANE DIRECTOR 2.00 0.00 X 0 0 0 VENETIA KUDRLE DIRECTOR 2.00 0.00 X 0 0 0 CYNDI LESHER DIRECTOR 2.00 0.00 X 0 0 0 CHARLIE MONTREUIL DIRECTOR 2.00 0.00 X 0 0 0 CHRIS MORRISON DIRECTOR 2.00 0.00 X 0 0 0 GAYLE OBER DIRECTOR 2.00 0.00 X 0 0 0 JENNIFER O'NEILL DIRECTOR/CHAIR 2.00 0.00 X 0 0 0 RON POOLE DIRECTOR 2.00 0.00 X 0 0 0 PAUL SMITH DIRECTOR 2.00 0.00 X 0 0 0 SKIP STANDBERG DIRECTOR 2.00 0.00 X 0 0 0 DAVID STURGES DIRECTOR 2.00 0.00 X 0 0 0 BART ZIBROWSKI DIRECTOR 2.00 0.00 X 0 0 0 0 6716434 965378 0 1 1 0 0 13110 551724 1318473 1506551 2967 3389858 215874 215874 11604870 11560089 44781 44781 44781 197878 551724 153184 44694 44694 3695207 0 0 305349 1428114 1428114 94405 94405 9800 9800 58605 37507 21098 699 447 252 62688 44848 17840 5411 3463 1948 55042 35227 19815 1358 869 489 STAFF SERVICES 725491 464314 261177 PURCH SVCS-AFFILIATES 374421 373763 658 2816034 1522519 970238 323277 122189 108130 7756571 8837342 91992 91992 7970752 9037464 194169 194640 194169 194640 X 4768931 5287174 3007652 3555650 7776583 8842824 7970752 9037464 879173 187068 0 X X 0 1 X 1 0 X 4804384 3983430 4000686 3613479 3389858 19791837 4804384 3983430 4000686 3613479 3389858 19791837 1039246 18752591 75675 111877 134026 176761 215874 714213 23323 58170 116912 35316 44694 278415 20784465 0.90220 0.87210 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 EQUITY 202304 F FIXED INCOME 7610640 F OTHER INVESTMENTS REAL RETURN MUTUAL FUNDS 112375 F INVESTMENTS ACCOUNTED FOR AT NET ASSET VALUE 381311 F MONEY MARKET FUND 530712 F 8837342 CHARITABLE REMAINDER TRUSTS BENEFICIARIES PAYABLE 82356 DUE TO ALLINA HEALTH SYSTEM 112284 194640 X 3882275 187068 187068 3695207 0 3695207 2816034 0 2816034 0 2816034 PART X, LINE 2: ALLINA ASSOCIATED FOUNDATION IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. IT IS CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. THEREFORE, CHARITABLE CONTRIBUTIONS ARE TAX DEDUCTIBLE. THE FOUNDATION HAS ADOPTED GUIDANCE IN THE INCOME TAX STANDARD REGARDING THE RECOGNITION OF UNCERTAIN TAX POSITIONS. THE GUIDANCE PRESCRIBES RECOGNITION THRESHOLD PRINCIPLES FOR THE FINANCIAL STATEMENT RECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN ON A TAX FILING THAT ARE NOT CERTAIN TO BE REALIZED. THE IMPLEMENTATION OF THIS GUIDANCE HAD NO IMPACT ON THE FOUNDATION'S FINANCIAL STATEMENTS. THE FOUNDATION'S TAX FILINGS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL AND STATE AUTHORITIES. THE FOUNDATION IS NOT AWARE OF ANY ACTIVITIES THAT WOULD JEOPARDIZE ITS TAX EXEMPT STATUS. THE FOUNDATION IS NOT AWARE OF ANY ACTIVITIES THAT ARE SUBJECT TO TAX ON UNRELATED BUSINESS INCOME, EXCISE OR OTHER TAXES. DRAGONFLY GALA 360895 298618 62277 3500 26671 500 19791 SPRING TONIC BUFFALO GALA 81166 62368 18798 1700 3513 2481 12238 11698 7 307541 190738 116803 5784 2049 17884 10254 35121 749602 551724 197878 1700 9297 8030 56793 10754 66610 153184 44694 1 ALLINA HEALTH SYSTEM DBA BUFFALO HOSPITAL 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 320325 0 N/A N/A SUPPORT GENERAL OPERATIONS BUFFALO HOSPITAL AND AED PROGRAM ALLINA HEALTH SYSTEM DBA CAMBRIDGE MEDICAL CENTER 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 67887 0 N/A N/A SUPPORT GENERAL OPERATIONS CAMBRIDGE MEDICAL CENTER ALLINA HEALTH SYSTEM DBA NEW ULM MEDICAL CENTER 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 236864 0 N/A N/A SUPPORT GENERAL OPERATIONS NEW ULM MEDICAL CENTER, COURAGE KENNY INSTITUTE RENOVATION AND LARYNGOSCOPY EQUIPMENT. ALLINA HEALTH SYSTEM DBA OWATONNA HOSPITAL 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 56416 0 N/A N/A SUPPORT GENERAL OPERATIONS OWATONNA HOSPITAL ALLINA HEALTH SYSTEM DBA RIVER FALLS AREA HOSPITAL 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 34844 0 N/A N/A SUPPORT GENERAL OPERATIONS RIVER FALLS AREA HOSPITAL AND PURCHASE OF LOCAL ART ALLINA HEALTH SYSTEM DBA ALLINA HOME CARE HOPSICE AND PALLIATIVE CARE 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 577493 0 N/A N/A INTEGRATIVE THERAPIES, OPERATIONS AND REIMBURSEMENT OF PATIENT BILLS ALLINA HEALTH SYSTEM DBA PENNY GEORGE INSTITUTE HEALTH & HEALING 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 363261413 170(B)(1)(A)(III) 134285 0 N/A N/A SUPPORT OF PGIHH OPERATIONS 7 0 HOUSING AND LIVING ASSISTANCE 102 59405 0 N/A N/A RESEARCH AND EDUCATION 23 35000 0 N/A N/A PART I, LINE 2: ALLINA ASSOCIATED FOUNDATION STRICTLY MONITORS GRANT FUNDS TO ENSURE THAT SUCH GRANTS ARE USED FOR PROPER AND INTENDED PURPOSES AND ARE NOT OTHERWISE DIVERTED FROM THE INTENDED USE. THE ORGANIZATION HAS A PROCESS THAT INCLUDES A WRITTEN APPLICATION REQUIRING SUPPORTING DOCUMENTATION AND SUBSTANTIATION PRIOR TO A GRANT BEING APPROVED AND DISBURSED. IN ADDITION AND DEPENDING ON THE FACTS AND CIRCUMSTANCE OF THE GRANT, THE ORGANIZATION EMPLOYS VARIOUS METHODS TO ENSURE PROPER AND INTENDED USE SUCH AS: PERIODIC REPORTING TO THE ORGANIZATION, FIELD INVESTIGATIONS, CONTRACTS WITH REPAYMENT CLAUSES, REQUIRING ADDITIONAL SUBSTANTIATION AND DOCUMENTATION NOT AVAILABLE AT THE TIME OF THE GRANT, PAYING THIRD PARTIES DIRECTLY ON BEHALF OF THE GRANTEE ORGANIZATION, AND OTHER METHODS AS APPROPRIATE AND WARRANTED. 1 1 0 0 0 0 1 0 1 1 PENNY WHEELER DIRECTOR 0 1281812 0 784552 0 136467 0 440624 0 22545 0 2666000 0 0 RICHARD MAGNUSON CFO 0 678786 0 112700 0 130550 0 162525 0 17401 0 1101962 0 103910 DAVID MILLER DIRECTOR 0 113925 0 40474 0 565487 0 12071 0 6782 0 738739 0 142259 TOBY FREIER DIRECTOR 0 290516 0 48151 0 95754 0 16800 0 33650 0 484871 0 62496 GARY SHAW DIRECTOR 0 32497 0 0 0 372920 0 2142 0 699 0 408258 0 114879 DAVID ALBRECHT DIRECTOR 0 265374 0 43857 0 28341 0 16800 0 25201 0 379573 0 3687 STEPHEN BARITEAU DIRECTOR/PRESIDENT 0 251789 0 39268 0 30592 0 15400 0 29383 0 366432 0 26663 KELLY SPRATT DIRECTOR 0 236699 0 25000 0 9782 0 4967 0 24011 0 300459 0 0 JULIA CRIST DIRECTOR 0 183010 0 30736 0 39064 0 13649 0 29209 0 295668 0 14956 HELEN STRIKE DIRECTOR 0 141147 0 30000 0 49045 0 7673 0 6343 0 234208 0 0 JOSH SHEPHERD DIRECTOR 0 159597 0 29574 0 3713 0 5590 0 29601 0 228075 0 0 SARAH SMUDE DIRECTOR 0 162158 0 12627 0 914 0 9460 0 25650 0 210809 0 0 DUNCAN GALLAGHER FORMER CFO 0 0 0 0 0 130958 0 0 0 0 0 130958 0 104400 PART I, LINE 3 SEE NARRATIVE ON SCHEDULE O - FOR FORM 990, PART VI, SECTION A, LINE 6. PART I, LINES 4A-B LINE 4(A): DAVID MILLER - $114,761; GARY SHAW - $233,698. LINE 4(B): STEPHEN BARITEAU - $24,812; JULIA CRIST - $15,942; TOBY FREIER - $65,658; DAVID MILLER - $416,519; GARY SHAW - $124,511; RICHARD MAGNUSON - $73,805; DUNCAN GALLAGHER - $130,958. PART I, LINE 6 DEFERRED COMPENSATION PLANS TERMS AND CONDITIONS: ALLINA INCENTIVE PLAN ALLINA PROVIDES AN ANNUAL INCENTIVE COMPENSATION OPPORTUNITY FOR EXECUTIVES, MANAGEMENT AND KEY INDIVIDUAL CONTRIBUTOR STAFF. UNDER THIS PLAN, THE TARGET AWARD IS EXPRESSED AS A FUNCTION OF THE PARTICIPANT'S SALARY PAID DURING THE CALENDAR YEAR AND REQUIRES AT LEAST FOUR MONTHS OF SERVICE IN AN ELIGIBLE POSITION DURING THE YEAR. ACTUAL AWARDS CAN RANGE FROM 0% TO 150% OF THE TARGET AWARD, BASED ON ALLINA'S FINANCIAL AND NON-FINANCIAL PERFORMANCE OVER THE CALENDAR YEAR. NON-FINANCIAL PERFORMANCE MEASURES INCLUDE PATIENT & EMPLOYEE SAFETY, QUALITY, PATIENT EXPERIENCE AND FINANCIAL HEALTH. NO AWARDS ARE PROVIDED UNLESS THRESHOLD FINANCIAL PERFORMANCE IS ACHIEVED. PARTICIPANTS WHO HAVE LEFT EMPLOYMENT PRIOR TO THE END OF THE YEAR AS THE RESULT OF VOLUNTARY TERMINATION OR TERMINATION FOR POOR PERFORMANCE ARE NOT ELIGIBLE FOR AN AWARD. LONG-TERM INCENTIVE PLAN (LTIP) ALLINA HAS A LONG-TERM INCENTIVE PLAN THAT PROVIDES A CASH AWARD OPPORTUNITY TO A SMALL NUMBER OF TOP EXECUTIVES APPROVED FOR PARTICIPATION BY THE HUMAN RESOURCES & COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS OF ALLINA HEALTH ("THE COMMITTEE"). THE AWARD OPPORTUNITY IS BASED ON ALLINA PERFORMANCE DURING OVERLAPPING THREE-YEAR CYCLES. PERFORMANCE MEASURES AND TARGETS ARE DEFINED BY THE COMMITTEE FOR EACH THREE-YEAR PERIOD AND CAN VARY FROM ONE PERIOD TO ANOTHER DEPENDING ON THE COMMITTEE'S JUDGMENT OF THE MOST IMPORTANT MEASURES OF SUCCESS. AWARDS CAN RANGE FROM 0% TO 150% OF TARGET AWARDS. PART I, LINE 8 CERTAIN AMOUNTS REPORTED ON FORM 990, PART VII WERE PAID OR ACCRUED PURSUANT TO A CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION DESCRIBED IN REGULATION SECTION 53.4958-4(A)(3). FROM TIME TO TIME, ALLINA HEALTH SYSTEM ENTERS INTO CONTRACTUAL ARRANGEMENTS THAT MAY QUALIFY FOR THE INITIAL CONTRACT EXCEPTION BASED ON THE TERMS AND UNDERSTANDINGS OF THE CONTRACTUAL AGREEMENTS. SCHEDULE J, LINE 4(A) & (B) ADDITIONAL COMPENSATION DISCLOSURE: DEFERRED COMPENSATION PLANS TERMS AND CONDITIONS: EXECUTIVE MUTUAL FUND ACCOUNT PLAN PHYSICIAN MUTUAL FUND ACCOUNT PLAN THESE ACCOUNTS GIVE THE PARTICIPANT THE OPPORTUNITY FOR CAPITAL ACCUMULATION NOT FULLY AVAILABLE TO THEM THROUGH SOCIAL SECURITY OR THE GENERAL EMPLOYEE RETIREMENT PLANS BECAUSE OF MAXIMUMS PLACED ON COMPENSATION THAT CAN BE RECOGNIZED UNDER FEDERAL LAW FOR PURPOSES OF CONTRIBUTIONS. THEY ALSO SERVE AS AN IMPORTANT NON-COMPETE INCENTIVE TO PARTICIPANTS. PRIOR TO THE YEAR IN WHICH CONTRIBUTIONS ARE MADE, THE PARTICIPANT MUST DESIGNATE A VESTING/PAYOUT DATE CONSISTENT WITH THE CONSTRAINTS OF THE PLANS AND FEDERAL DEFERRED COMPENSATION REGULATIONS. AFTER THE CONTRIBUTIONS ARE MADE, THE PARTICIPANT HAS A ONE-TIME LIMITED OPPORTUNITY TO EXTEND THE ELECTED PAYMENT DATE FOR AT LEAST FIVE YEARS. ONCE THE VESTING/PAYOUT DATE HAS BEEN REACHED, ALLINA WILL WITHHOLD THE APPROPRIATE TAXES AND THE BALANCE WILL BE PAID TO THE PARTICIPANT ON THEIR PAYCHECK AS SOON AS ADMINISTRATIVELY FEASIBLE. IF THE PARTICIPANT TERMINATES EMPLOYMENT VOLUNTARILY BEFORE AN AMOUNT IS PAID, PAYMENT WILL BE SUBJECT TO THE PARTICIPANT'S COMPLIANCE WITH A NON-COMPETE AGREEMENT WITH ALLINA FOR TWO YEARS AFTER TERMINATION. THE PARTICIPANT MAY ELECT FROM AMONG INVESTMENT ALTERNATIVES THAT ARE SIMILAR TO THOSE AVAILABLE IN THE RETIREMENT SAVINGS PLAN. UNLIKE THE RETIREMENT SAVINGS PLAN, THE PARTICIPANT HAS THE STATUS OF AN UNSECURED CREDITOR OF ALLINA AND WILL NOT HAVE A PREFERRED CLAIM TO PAYMENT IN THE CASE OF THE COMPANY'S INABILITY TO PAY. HOWEVER, THE COMPANY DOES SET ASIDE ASSETS FOR ITS OBLIGATIONS BY ACTUALLY INVESTING THE PROMISED ASSETS CONSISTENT WITH PARTICIPANT ELECTIONS. THE MUTUAL FUND PLANS TERMINATED EFFECTIVE DECEMBER 31, 2018. ALL MUTUAL FUND ACCOUNTS SHALL BE DISTRIBUTED IN A LUMP SUM NO LATER THAN JANUARY 2021, OR IF ELECTED BY THE PARTICIPANT IN DECEMBER 2018, IN THREE ANNUAL INSTALLMENTS WITH FIRST MADE FEBRUARY 2019 (33.33 PERCENT OF ACCOUNT BALANCE), THE SECOND MADE FEBRUARY 2020 (50 PERCENT OF REMAINING BALANCE), AND THE THIRD MADE JANUARY 2021 (REMAINING BALANCE). ALLINA DEFINED CONTRIBUTION SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN THIS PLAN WAS AMENDED AND FROZEN EFFECTIVE DECEMBER 31, 2008, SUCH THAT NO FUTURE BENEFITS ACCRUE FOR SERVICE AFTER THAT DATE. THIS PLAN WAS REPLACED WITH THE EXECUTIVE RETIREMENT BENEFIT RESTORATION PLAN (ERBRP) EFFECTIVE JANUARY 1, 2009, AND IS NOW FROZEN AS OF DECEMBER 31, 2018. ELIGIBLE ALLINA EXECUTIVES PARTICIPATED IN A DEFINED CONTRIBUTION SERP. EMPLOYER CREDITS WERE MADE EACH YEAR TO THEIR DC SERP BALANCE ACCORDING TO THE FOLLOWING SCHEDULE: EXEC YRS OF SERVICE CONTRIBUTION % OF PENSIONABLE EARNINGS 0-5 2.75% 6-10 3.50% 11+ 4.75% EXECUTIVES WERE ALSO CREDITED AN AMOUNT EQUAL TO THE EXCESS AMOUNT THAT WOULD HAVE BEEN CREDITED TO THE PENSION ACCOUNT PLAN WERE IT NOT FOR THE QUALIFIED PLAN COMPENSATION LIMITS. DEPOSITS EARN THE INVESTMENT RATE OF RETURN EQUAL TO THE PENSION ACCOUNT PLAN CREDITING RATE AS DECLARED BY ALLINA. THE CURRENT RATE IS 4%. THE PARTICIPANT VESTS AFTER THREE YEARS OF EXECUTIVE SERVICE PROVIDED THAT IF THE PARTICIPANT TERMINATES EMPLOYMENT WITH ALLINA PRIOR TO AGE 65 FOR ANY REASON OTHER THAN ELIMINATION OF POSITION, THE PARTICIPANT MUST FULFILL THE TERMS OF A COVENANT NOT TO COMPETE, BENEFITS ARE PAID AS A SINGLE LUMP-SUM AMOUNT UPON AGE 65, RETIREMENT OR JOB POSITION ELIMINATION. IN THE CASE OF OTHER VOLUNTARY TERMINATIONS, PAYMENT IS DELAYED UNTIL COMPLETION OF THE TWO-YEAR NON-COMPETE PERIOD. THE DC SERP IS PAYABLE FROM ALLINA'S GENERAL ASSETS. IF ALLINA BECOMES INSOLVENT, THE PARTICIPANT WILL BE AN UNSECURED CREDITOR AND WILL HAVE NO PREFERRED CLAIM TO ANY ASSETS. ALLINA EXECUTIVE RETIREMENT BENEFIT RESTORATION PLAN ELIGIBLE ALLINA EXECUTIVES PARTICIPATE IN A DEFERRED COMPENSATION RETIREMENT PLAN. EXECUTIVES ARE CREDITED AN AMOUNT EQUAL TO THE EXCESS AMOUNT THAT WOULD HAVE BEEN CREDITED TO THE ALLINA RETIREMENT SAVINGS PLAN WERE IT NOT FOR THE QUALIFIED PLAN COMPENSATION LIMITS. EMPLOYER CREDITS ARE MADE EACH YEAR TO THEIR ACCOUNT BALANCE ACCORDING TO THE FOLLOWING SCHEDULE AS OF THE END OF THE PLAN YEAR: PARTICIPANT'S YEARS OF VESTING SERVICE APPLICABLE PERCENTAGE LESS THAN 1 0% 1-5 5.0% 6-10 5.5% 11-15 6.0% 16 OR MORE 6.5% DEPOSITS EARN THE INVESTMENT RATE OF RETURN EQUAL TO THE INVESTMENT OPTIONS SELECTED BY THE PARTICIPANT WHICH ARE THE SAME OPTIONS AVAILABLE UNDER THE QUALIFIED PLAN. A PARTICIPANT WHO HAS COMPLETED AT LEAST TWO YEARS OF SERVICE BECOMES VESTED IN THE PORTION OF HIS OR HER ACCOUNT ATTRIBUTABLE TO THE ANNUAL CREDIT FOR A PARTICULAR YEAR AS OF JANUARY 15 OF THE YEAR FOLLOWING THE CALENDAR YEAR IN WHICH THE ANNUAL CREDIT IS EARNED. IN THE EVENT OF TERMINATION (OTHER THAN BECAUSE OF DEATH) PRIOR TO AGE 67, THE DISTRIBUTION DATE SHALL BE AS SOON AS ADMINISTRATIVELY POSSIBLE AFTER TERMINATION IN THE FORM OF A LUMP SUM PAYMENT. THE PLAN IS PAYABLE FROM ALLINA'S GENERAL ASSETS. IF ALLINA BECOMES INSOLVENT, THE PARTICIPANT WILL BE AN UNSECURED CREDITOR AND WILL HAVE NO PREFERRED CLAIM TO ANY ASSETS. THIS PLAN WAS EFFECTIVE JANUARY 1, 2009 AND IS NOW FROZEN AS OF DECEMBER 31, 2018. EXECUTIVE SEVERANCE PLAN ALLINA PROVIDES SALARY CONTINUATION FOR EXECUTIVES WHO'S EMPLOYMENT HAS BEEN INVOLUNTARILY TERMINATED FOR REASONS OTHER THAN CAUSE OR POOR PERFORMANCE. THE LENGTH OF THE SEVERANCE PAY PERIOD IS DEFINED BY THE PLAN AND DEPENDS ON THE LEVEL OF THE EXECUTIVE POSITION. UNDER THE PLAN THE SEVERED EXECUTIVE ALSO COULD CONTINUE CERTAIN BENEFITS FOR A LIMITED PERIOD OF TIME. IN 2009 THE PLAN WAS AMENDED TO FURTHER RESTRICT SEVERANCE BENEFITS IN THE CASE THAT THE EXECUTIVE OBTAINS OTHER EMPLOYMENT DURING THE SEVERANCE PERIOD. SUPPLEMENTAL PHYSICIAN AND EXECUTIVE SAVINGS PLAN THIS PLAN'S PURPOSE IS TO PROVIDE A SELECT GROUP OF PHYSICIANS AND EXECUTIVES WITH ADDITIONAL DEFERRED COMPENSATION. AMOUNTS DEFERRED UNDER THE PLAN ARE INTENDED TO BE EXEMPT FROM CODE SECTION 409A AND 457(F). ANNUAL CONTRIBUTIONS ARE MADE EACH FEBRUARY AND ARE BASED ON PREVIOUS YEAR'S ELIGIBLE COMPENSATION. PARTICIPANT'S APPLICABLE CONTRIBUTION PERCENTAGE FOLLOWS: PARTICIPANT APPLICABLE PERCENTAGE PHYSICIANS 5% VP'S 12% SVP | EVP 15% CEO 20% OF BASE SALARY + 10% OF BASE SALARY OVER IRS PAY LIMIT IF PARTICIPANT IS FULLY VESTED, THE CONTRIBUTION IS PAID DIRECTLY TO PARTICIPANT, LESS TAXES IN LATE JANUARY. IF PARTICIPANT IS UNVESTED, THE CONTRIBUTION IS DEPOSITED WITH FIDELITY. THE VESTING SCHEDULE FOR THIS PLAN FOLLOWS: FOR 2019 CONTRIBUTION, ONLY - IT WAS DEPOSITED IN FEBRUARY 2020, 50% VESTING AFTER 2 YEARS - I.E. 2021, PAID OUT 01/2021; AND, 50% VESTING IN 2022, PAID OUT 01/2022. FOR 2020 CONTRIBUTIONS AND AFTER - VESTING OCCURS AFTER 3 YEARS - I.E. 2020 CONTRIBUTION VESTS IN 2023, THE 2021 CONTRIBUTION VESTS IN 2024, ETC. PARTICIPANTS ARE 100% VESTED AT THE EARLIER OF AT LEAST AGE 60 WITH 7 YEARS OF SERVICE OR AGE 65. GRANDFATHERED PROVISION - FOR THOSE AGE 54 OR OLDER AND EMPLOYED AS OF 12/31/2018: EARLIER OF AT LEAST AGE 60 WITH 3 YEARS OF SERVICE OR AGE 65. THIS PLAN WAS EFFECTIVE JANUARY 1, 2019. A NON-COMPETE CLAUSE DOES NOT APPLY TO THIS PLAN. FORM 990, ITEM J ALLINA ASSOCIATED FOUNDATION ITSELF DOES NOT HAVE A WEBSITE. EACH OF THE ORGANIZATIONS SUPPORTED BY ALLINA ASSOCIATED FOUNDATION HAVE A PHILANTHROPIC WEBSITE. THE FOLLOWING ARE THE WEBSITES: BUFFALO HOSPITAL-HTTPS://WWW.ALLINAHEALTH.ORG/BUFFALO-HOSPITAL/FOUNDATION/ CAMBRIDGE MEDICAL CENTER-HTTPS://WWW.ALLINAHEALTH.ORG/CAMBRIDGE-MEDICAL-CENTER/FOUNDATION NEW ULM MEDICAL CENTER-HTTPS://WWW.ALLINAHEALTH.ORG/NEW-ULM-MEDICAL-CENTER/FOUNDATION/ OWATONNA HOSPITAL-HTTPS://WWW.ALLINAHEALTH.ORG/OWATONNA-HOSPITAL/FOUNDATION/ RIVER FALLS AREA HOSPITAL-HTTPS://WWW.ALLINAHEALTH.ORG/RIVER-FALLS-AREA-HOSPITAL/FOUNDAT ION/ ALLINA HEALTH HOME CARE-HTTPS://WWW.ALLINAHEALTH.ORG/MEDICAL-SERVICES/CHRONIC-AND-ADVANCED -ILLNESS/HOSPICE/ALLINA-HEALTH-HOSPICE-FOUNDATION/ PENNY GEORGE INSTITUTE OF HEALTH & HEALING-HTTPS://WWW.ALLINAHEALTH.ORG/PENNY-GEORGE-INSTITUTE-FOR-HEALTH -AND-HEALING/PENNY-GEORGE-INSTITUTE-FOUNDATION/ FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF DIRECTORS CAN ESTABLISH COMMITTEES WITH THE AUTHORITY OF THE BOARD OF DIRECTORS. THE MEMBERS AND CHAIR OF EACH COMMITTEE SHALL BE NOMINATED AND ELECTED BY THE BOARD OF DIRECTORS. EXCEPT AS OTHERWISE SPECIFIED, (A) THE CHAIR OF EACH COMMITTEE MUST BE A MEMBER OF THE BOARD OF DIRECTORS; AND (B) OTHER COMMITTEE MEMBERS SHALL NOT BE REQUIRED TO BE DIRECTORS OF THE FOUNDATION. FORM 990, PART VI, SECTION A, LINE 6 PARENT ORGANIZATION ALLINA HEALTH SYSTEM IS THE SOLE CORPORATE MEMBER ORGANIZATION OF ALLINA ASSOCIATED FOUNDATION. SEE SCHEDULE R FOR FURTHER DETAILS. ALLINA HEALTH SYSTEM PROVIDES ALLINA ASSOCIATED FOUNDATION WITH ADMINISTRATIVE AND STAFF SERVICES AT NO COST. THE VALUE OF THE SERVICES PROVIDED BY ALLINA HEALTH SYSTEM TO ALLINA ASSOCIATED FOUNDATION DURING 2019 WERE ESTIMATED AT $1,280,385 AND HAVE BEEN RECORDED AS CONTRIBUTION REVENUE FROM A RELATED ORGANIZATION IN THE STATEMENT OF REVENUE AND AS ADMINISTRATIVE AND FUNDRAISING EXPENSES IN THE STATEMENT OF FUNCTIONAL EXPENSES. ALLINA ASSOCIATED FOUNDATION HAS NO EMPLOYEES AND DOES NOT PAY COMPENSATION. COMPENSATION DISCLOSED AS PAID BY A RELATED ORGANIZATION IS DETERMINED SOLELY BY THE RELATED ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A AS THE SOLE CORPORATE MEMBER ORGANIZATION, ALLINA HEALTH SYSTEM HOLDS CERTAIN RESERVED POWERS OVER ALLINA ASSOCIATED FOUNDATION. THE RESERVED POWERS ARE FULLY DESCRIBED IN ALLINA ASSOCIATED FOUNDATION'S GOVERNING DOCUMENTS AND INCLUDE SUCH POWERS AS ELECTION AND APPROVAL OF DIRECTORS, FINAL APPROVAL OF AMENDMENTS TO ARTICLES OF INCORPORATION OR BYLAWS, APPROVAL OF STRATEGIC PLANS AND CAPITAL AND OPERATING BUDGETS, APPROVAL OF PLANS OF MERGER OR CONSOLIDATION, APPROVAL OF INCURRENCE OF DEBT OR EXPENDITURES IN EXCESS OF CERTAIN AMOUNTS, AND VARIOUS OTHER RESERVED POWERS AS DESCRIBED THEREIN. FORM 990, PART VI, SECTION A, LINE 7B SEE THE EXPLANATION IN SCHEDULE O FOR FORM 990, PART VI, SECTION A, LINE 7A FORM 990, PART VI, SECTION B, LINE 11B ALLINA ASSOCIATED FOUNDATION'S FORM 990 WAS PREPARED EXTERNALLY BY THE PUBLIC ACCOUNTING FIRM CLIFTON LARSON ALLEN. THE FORM 990 WAS SUBJECTED TO A RIGOROUS REVIEW PROCESS BY ALLINA HEALTH SYSTEM, ALLINA ASSOCIATED FOUNDATION'S SOLE CORPORATE MEMBER TAX MANAGER AND TAX DIRECTOR. ALLINA'S CHIEF FINANCIAL OFFICER ALSO PERFORMED AN EXECUTIVE REVIEW OF THE FORM 990. AFTER THE MANAGEMENT REVIEW PROCESS DESCRIBED ABOVE WAS COMPLETED, THE FINAL FORM 990, AS ULTIMATELY FILED WITH THE INTERNAL REVENUE SERVICE ["IRS"], WAS PROVIDED TO EACH VOTING MEMBER OF ALLINA ASSOCIATED FOUNDATION'S BOARD OF DIRECTORS. ALLINA ASSOCIATED FOUNDATION'S BOARD OF DIRECTORS VOTED ON AND APPROVED A RESOLUTION APPROVING THE FORM 990, THE MINNESOTA CHARITABLE ORGANIZATION ANNUAL REPORT TO BE FILED WITH THE MINNESOTA ATTORNEY GENERAL, AND THE WISCONSIN CHARITABLE ORGANIZATION ANNUAL REPORT TO BE FILED WITH THE WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS. THE BOARD OF DIRECTORS RESOLUTION ALSO DIRECTED OFFICERS TO FILE THE FORM 990 WITH THE IRS, THE CHARITABLE ANNUAL REPORT WITH THE CHARITIES DIVISION OF THE OFFICE OF THE MINNESOTA ATTORNEY GENERAL, AND THE WISCONSIN CHARITABLE ORGANIZATION ANNUAL REPORT WITH THE WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS. THE ABOVE STATED REVIEW AND APPROVAL PROCESS OCCURRED PRIOR TO FILING ALLINA ASSOCIATED FOUNDATION'S FORM 990 WITH THE IRS, MINNESOTA CHARITABLE ORGANIZATION ANNUAL REPORT WITH THE MINNESOTA ATTORNEY GENERAL, AND WISCONSIN CHARITABLE ORGANIZATION ANNUAL REPORT WITH THE WISCONSIN DEPARTMENT FINANCIAL INSTITUTIONS. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS SEVERAL METHODS OF MONITORING AND ENFORCING COMPLIANCE WITH ITS CONFLICT OF INTEREST POLICY. FIRST, THE ORGANIZATION REGULARLY DISTRIBUTES CONFLICT OF INTEREST DISCLOSURE QUESTIONNAIRES TO ITS OFFICERS, DIRECTORS, TRUSTEES, AND KEY EMPLOYEES. THESE INDIVIDUALS ARE REQUIRED TO DISCLOSE ANNUALLY ANY INTEREST THAT COULD GIVE RISE TO CONFLICTS, INCLUDING ANY FAMILY OR BUSINESS RELATIONSHIP. SECOND, THE GENERAL COUNSEL'S OFFICE ANNUALLY DELIVERS A REPORT TO ALLINA'S BOARD OF DIRECTORS WHICH INCLUDES, AMONG OTHER THINGS, THE RESULTS OF THE CONFLICT OF INTEREST QUESTIONNAIRE, AN ANALYSIS OF POTENTIAL CONFLICTS, AND GUIDANCE FOR SATISFACTORILY RESOLVING CONFLICTS. THIRD, THE ORGANIZATION UNDERTAKES MANDATORY COMPLIANCE TRAINING OF ALL ITS EMPLOYEES WHICH INCLUDES TRAINING ON CONFLICTS OF INTEREST. FOURTH, ALL EMPLOYEES RECEIVE, AND ARE EXPECTED TO CONDUCT THEMSELVES IN ACCORDANCE WITH ALLINA'S CODE OF CONDUCT. THE CODE OF CONDUCT CONTAINS EDUCATIONAL MATERIALS AND GUIDANCE TO RESOLVE POTENTIAL CONFLICTS OF INTEREST. FIFTH, ALLINA MAINTAINS A CORPORATE INTEGRITY HOTLINE, A CONFIDENTIAL 24 HOUR EXTERNAL RESOURCE TO HELP ANSWER QUESTIONS RELATED TO ETHICAL BUSINESS CONDUCT. ALL CALLS TO THE INTEGRITY LINE ARE KEPT CONFIDENTIAL. FORM 990, PART VI, SECTION B, LINE 15 ALLINA ASSOCIATED FOUNDATION HAS NO EMPLOYEES AND DOES NOT PAY COMPENSATION. ANY COMPENSATION DISCLOSED AS PAID BY A RELATED ORGANIZATION IS DETERMINED SOLELY BY THE RELATED ORGANIZATION. THEREFORE, PART VI, SECTION B, LINE 15A AND LINE 15B ARE NOT APPLICABLE TO ALLINA ASSOCIATED FOUNDATION. FORM 990, PART VI, SECTION C, LINE 19 ALLINA ASSOCIATED FOUNDATION MAKES ITS FORM 990, FORM 1023, GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. TO ARRANGE AN INSPECTION OR RECEIVE A COPY, PLEASE CONTACT THE FOLLOWING: ALLINA ASSOCIATED FOUNDATION TAX SERVICES MAIL ROUTE 10890 P.O. BOX 43 MINNEAPOLIS, MN 55407-0043 TELEPHONE: 612-262-0660 PHYSICAL ADDRESS: 2925 CHICAGO AVENUE MINNEAPOLIS, MN 55407-1321 THE FORM 990 AND FORM 1023 ARE ALSO AVAILABLE DIRECTLY FROM THE INTERNAL REVENUE SERVICE. THE FORM 990 AND FINANCIAL STATEMENTS ARE ALSO AVAILABLE FROM THE CHARITIES DIVISION OF THE OFFICE OF THE MINNESOTA ATTORNEY GENERAL. FORM 990, PART XII, LINE 2C: THIS PROCESS REMAINS UNCHANGED FROM THE PRIOR YEAR. 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