2020-07-13T08:06:35-05:00 2019-12-31 420714325 RSM US LLP 100 INTERNATIONAL DRIVE SUITE 1400 BALTIMORE MD 21202 990 2019-01-01 522205122 AMERICAN UROLOGICAL ASSOCIATION INC AMER 4106893700 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 BARBARA HARTFORD CFO 4106893700 2020-06-29 1 JULIA FLANNERY CPA P00928918 4102469300 73.213.141.28 2020-06-29 12:28:08 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 4EE6A31F760B3C5EA0809148B0E883CC4242B14C 2019 2021-04-22 16:20:28Z JOHN H LYNCH MD 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 12744421 0 X WWW.AUANET.ORG X 2002 MD ADVANCEMENT OF PROFESSIONAL AND UROLOGIC PATIENT CARE AND THE FORMULATION OF HEALTH CARE POLICY. 13 8 0 254 1415945 140935 0 0 13092709 12744421 0 0 0 0 13092709 12744421 1057129 1102215 0 0 6185076 6321782 0 0 0 5113703 5030651 12355908 12454648 736801 289773 9668962 9798934 8437321 8277520 1231641 1521414 X MISSION: PROMOTE THE HIGHEST STANDARDS OF UROLOGICAL CLINICAL CARE THROUGH EDUCATION, RESEARCH, AND THE FORMULATION OF HEALTH CARE POLICY.VISION: TO BE THE PREMIER PROFESSIONAL ASSOCIATION FOR THE ADVANCEMENT OF PROFESSIONAL UROLOGIC PATIENT CARE. 0 0 LEGISLATIVE & POLITICAL AFFAIRS: THE PUBLIC POLICY & ADVOCACY DIVISION WORKS ON BEHALF OF OUR MEMBERS AND THEIR PATIENTS TO ENSURE CRITICAL INTERESTS ARE PROMOTED TO LAWMAKERS ON CAPITOL HILL AND FEDERAL OFFICIALS IN GOVERNMENT AGENCIES. OUR SOLE PURPOSE IS DEDICATED TO THE PRACTICE OF UROLOGY AND UROLOGICAL HEALTH. IN 2019, MAJOR ACCOMPLISHMENTS INCLUDED LAUNCHING AUAPAC TO FOSTER RELATIONSHIPS WITH MEMBERS OF CONGRESS; HOLDING THE 2ND ANNUAL UROLOGY ADVOCACY SUMMIT THAT BROUGHT TOGETHER NEARLY 250 UROLOGISTS, ADVANCED PRACTICE PROVIDERS, RESEARCHERS, AND PATIENT ADVOCATES; HOSTING A ROUNDTABLE WITH INSURERS AND THE MEDICAL COMMUNITY TO DISCUSS PRIOR AUTHORIZATION, TELEMEDICINE AND COVERAGE ISSUES; AND MEETING WITH LEADERS AT NIH AGENCIES ABOUT THE RELEVANCE OF UROLOGIC CONDITIONS. MEMBERSHIP: THE AUA IS A GLOBAL MEMBERSHIP ORGANIZATION WITH NEARLY 22,000 MEMBERS THAT BRIDGES UROLOGIC COMMUNITIES THROUGH EDUCATION, RESEARCH, POLICY, AND PHILANTHROPY. MEMBERSHIP IN THE AUA PROVIDES UROLOGY PROFESSIONALS AN OPPORTUNITY TO SHARE A COLLECTIVE PURPOSE WITH OTHERS AROUND THE WORLD - THE ADVANCEMENT OF UROLOGIC PATIENT CARE. THE GEOGRAPHIC BREADTH OF THE AUA'S MEMBERSHIP FOSTERS RELATIONSHIPS THAT ENCOURAGE IMPORTANT EXCHANGES BETWEEN UROLOGY PROFESSIONALS AROUND THE WORLD. 2019 WAS A RECORD YEAR FOR AUA MEMBERSHIP WITH THE RECRUITMENT OF 2,252 NEW MEMBERS THE MOST IN ONE YEAR IN AUA HISTORY. ANNUAL MEETING: ANNUALLY, THE AUA HOLDS A CONFERENCE FOCUSING ON CUTTING-EDGE SCIENCE, AND GROUNDBREAKING RESEARCH RELATED TO UROLOGIC MEDICINE. THE MEETING ATTRACTS MORE THAN 16,000 WORLDWIDE CLINICAL INVESTIGATORS, SCIENTISTS, AND MEDICAL PROFESSIONALS RELATED TO THE FIELDS OF UROLOGY AND CLINICAL CARE. THIS MEETING IS FOCUSED ON EDUCATIONAL SESSIONS ABOUT RECENT ADVANCEMENTS IN RESEARCH RELATED TO UROLOGY, AND IS VITAL TO THE ADVANCEMENT IN SKILLS AND KNOWLEDGE FOR THOSE WHO ATTEND. A COMPREHENSIVE EXHIBITION SESSION SHOWCASES RECENT ADVANCEMENTS AND INNOVATIONS RELATED TO LABORATORY EQUIPMENT, PHARMACEUTICAL PRODUCTS, AND DIAGNOSTIC TOOLS. MORE THAN 10,000 ABSTRACTS FROM ASPIRING ATTENDEES COMING FROM AROUND THE WORLD WERE SUBMITTED FOR THE 2019 ANNUAL MEETING. 0 0 0 1 0 0 0 0 0 0 0 0 1 0 1 0 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 1 X 49 0 1 0 1 0 0 0 0 1 1 0 0 0 X 13 8 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 0 0 0 MD X BARBARA B HARTFORD 4106893700 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 JOHN H LYNCH MD PRESIDENT 3.00 7.00 X X 33168 77392 0 SCOTT K SWANSON MD PRESIDENT-ELECT 3.00 7.00 X X 11667 27222 0 ROBERT C FLANIGAN MD IMMEDIATE PAST PRES. 3.00 7.00 X X 22942 53530 0 JAMES THRASHER MD IMMEDIATE PAST PRES. (THRU 5/19) 3.00 7.00 X X 4905 11444 0 JOHN D DENSTEDT MD SECRETARY 3.00 7.00 X X 22281 51989 0 DAVID F GREEN MD TREASURER 3.00 9.00 X X 34069 79495 0 CHANDRU P SUNDARAM MD DIRECTOR 3.00 7.00 X 680 0 0 ROGER E SCHULTZ MD DIRECTOR 3.00 7.00 X 589 0 0 E ANN GORMLEY MD DIRECTOR 3.00 7.00 X 1304 0 0 FREDERICK A GULMI MD DIRECTOR 3.00 7.00 X 0 0 0 BARRY A KOGAN MD DIRECTOR 3.00 7.00 X 422 0 0 MARTIN K DINEEN MD DIRECTOR 3.00 7.00 X 0 0 0 ANTHONY Y SMITH MD DIRECTOR 3.00 7.00 X 0 0 0 ERIC J ZIEDMAN MD DIRECTOR 3.00 7.00 X 0 0 0 MICHAEL T SHEPPARD CEO 11.00 29.00 X 184792 487180 92247 BARBARA B HARTFORD VP FINANCE, CFO 12.00 28.00 X 73210 170824 51225 KEVIN A WOHLFORT EXECUTIVE VICE PRESIDENT 4.00 36.00 X 41445 373002 64856 DIANE BIERI VP & GENERAL COUNSEL 11.00 29.00 X 75990 200337 59376 WILLIAM A GLOVER EXECUTIVE VICE PRESIDENT 12.00 28.00 X 72158 168368 45326 PATRICIA BANKS VP MARKETING & COMMUNICATIONS 14.00 26.00 X 89308 165858 59742 KATHLEEN SHANLEY EXECUTIVE VICE PRESIDENT 40.00 X 300560 0 82264 BRADLEY STINE DIR OF LEGISLATIVE & POLITICAL AFFAIRS 40.00 X 168371 0 42595 STEPHANIE STORCK DIR OF PAYMENT POLICY 40.00 X 158394 0 40358 DEBORAH POLLY DIR OF PUBLICATIONS 4.00 36.00 X 22616 203546 49230 JESSICA BATEMAN PATIENT & RESEARCH ADVOCACY SR MGR 40.00 X 116327 0 24874 JOEL DUNAY PRACTICE MGMT SR MANAGER 40.00 X 110115 0 4096 1545313 2070187 616189 5 0 1 0 MCCORMICK PLACE 301 EAST CERMAK RD 3RD FL CHICAGO IL 60616 CONVENTIONS & MEETINGS 207421 CENVEO PUBLISHER SERVICES PO BOX 412401 BOSTON MA 022412401 MAILING SERVICES 139065 FAEGRE DRINKER BIDDLE & REATH LLP ONE LOGAN SQUARE SUITE 2000 PHILADELPHIA PA 191036996 LOBBYING 138485 WASHINGTON CONV & SPORTS AUTH 801 MT VERNON PL NW WASHINGTON DC 20001 CONVENTIONS & MEETINGS 125000 4 MEMBERSHIP DUES AND AS 541900 5355160 5355160 EXHIBIT & INDUS. SUPPO 541800 5204547 4678826 525721 MISC PUBS/MANUALS/PROG 541800 736183 736183 PUBLIC POLICY 541900 530742 530742 MANAGEMENT SERVICE 561000 472585 472585 445204 27565 417639 12744421 12744421 11328476 1415945 0 X 1000790 101425 1149809 4533832 97567 341421 199153 7386 2694712 414357 715411 959841 66461 TAXES 170328 CREDIT CARD PROCESSING 2155 12454648 5027782 5956402 770326 562808 212847 320127 3658007 2959597 9668962 9798934 243626 290742 8193695 7986778 8437321 8277520 X 1231641 1521414 1231641 1521414 9668962 9798934 289773 0 X 0 1 X 1 0 0 0 0 5355160 659861 -186370 473491 852828 -379337 0 DUE FROM RELATED PARTY 2959597 2959597 X 40906705 28162284 28162284 12744421 0 12744421 42113198 29660705 29660705 12452493 2155 2155 12454648 PART X, LINE 2: MANAGEMENT EVALUATED THE ORGANIZATION'S TAX POSITION AND CONCLUDED THAT THE ORGANIZATION HAS TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. PART XI, LINE 2D - OTHER ADJUSTMENTS: AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. REVENUE 24,992,388. INCOME ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -1,216,404. UROLOGY CARE FOUNDATION, INC. REVENUE 4,351,720. AUAPAC REVENUE 34,580. PART XII, LINE 2D - OTHER ADJUSTMENTS: AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. EXPENSES 27,197,617. EXPENSES ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -1,216,404. UROLOGY CARE FOUNDATION, INC. EXPENSES 3,657,192. AUAPAC EXPENSES 22,300. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK CHARGES NETTED WITH REVENUE 2,155. 1 AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BLVD LINTHICUM MD 21090 430691437 501(C)(3) 1000000 GENERAL SUPPORT 1 0 PUBLIC POLICY AND ADVOCACY - GALLAGHER SCHOLAR 1 15000 0 MEMBER SERVICE RESIDENT TRAVEL STIPENDS/AWARDS 168 86275 0 RESIDENTS & FELLOW COMMITTEE ESSAY CONTEST WINNER 1 150 0 PART I, LINE 2: AUA GRANTS FUNDS TO AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH (AUAER), A RELATED ORGANIZATION. THROUGH CONTROL OF THE BOARD OF DIRECTORS, AUA MONITORS THE GRANTS TO AUAER. THE USE OF GRANT FUNDS TO UNRELATED ORGANIZATIONS ARE MONITORED THROUGH AUA'S REPRESENTATION AT SUB-SPECIALTY SOCIETY MEETINGS, REVIEW OF REPORTS FROM GRANTEES, SITE VISITS, AND LIAISON RELATIONSHIPS WITH GRANT RECIPIENTS. X X X 1 1 0 1 0 MICHAEL T SHEPPARD CEO 155752 410619 27775 73225 1265 3336 17611 46428 7757 20451 210160 554059 0 0 BARBARA B HARTFORD VP FINANCE, CFO 65421 152650 7532 17575 257 599 11643 27166 3725 8691 88578 206681 0 0 KEVIN A WOHLFORT EXECUTIVE VICE PRESIDENT 34558 311022 6739 60647 148 1333 3904 35135 2582 23235 47931 431372 0 0 DIANE BIERI VP & GENERAL COUNSEL 67706 178498 8186 21581 98 258 10175 26825 6153 16223 92318 243385 0 0 WILLIAM A GLOVER EXECUTIVE VICE PRESIDENT 62499 145829 9525 22226 134 313 6316 14736 7282 16992 85756 200096 0 0 PATRICIA BANKS VP MARKETING & COMMUNICATIONS 79749 148106 9391 17440 168 312 15533 28846 5377 9986 110218 204690 0 0 KATHLEEN SHANLEY EXECUTIVE VICE PRESIDENT 260353 0 39118 0 1089 0 71335 0 10929 0 382824 0 0 0 BRADLEY STINE DIR OF LEGISLATIVE & POLITICAL AFFAI 152723 0 15522 0 126 0 20894 0 21701 0 210966 0 0 0 STEPHANIE STORCK DIR OF PAYMENT POLICY 150009 0 7577 0 808 0 23947 0 16411 0 198752 0 0 0 DEBORAH POLLY DIR OF PUBLICATIONS 20203 181831 2035 18311 378 3404 3074 27666 1849 16641 27539 247853 0 0 PART I, LINE 1A OFFICERS AND DIRECTORS ARE ENTITLED TO FIRST CLASS TRAVEL ON TRIPS OVER ESTABLISHED TIME AND DISTANCE LIMITS. THIS AMOUNT IS NOT INCLUDED IN TAXABLE COMPENSATION. OFFICERS AND DIRECTORS ARE ENTITLED TO TRAVEL FOR COMPANIONS ON SELECT TRIPS DURING THE YEAR. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. CERTAIN OFFICERS RECEIVE TAX INDEMINIFICATION AND GROSS-UP PAYMENTS FOR THEIR SPOUSAL TRAVEL. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. PART I, LINE 4B A RELATED ORGANIZATION HAS A 457(F) NONQUALIFIED DEFERRED COMPENSATION PLAN. THE PLAN IS INTENDED TO BE UNFUNDED AND MAINTAINED PRIMARILY FOR THE PURPOSES OF PROVIDING DEFERRED COMPENSATION BENEFITS TO A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES. A DESIGNATED COMMITTEE OF THE BOARD IN ITS DISCRETION NAMES THOSE WHO WILL PARTICIPATE IN THE PLAN. CREDITS TO THE DEFERRED COMPENSATION ACCOUNT OF EACH PARTICIPANT ARE DETERMINED EACH PLAN YEAR BY THE EMPLOYER. FORM 990, SCHEDULE J, PART I, LINE 3 AUA RELIES ON AUAER, A RELATED ORGANIZATION, TO ESTABLISH THE COMPENSATION OF AUA'S CEO. AUAER USES A COMPENSATION COMMITTEE, INDEPENDENT COMPENSATION CONSULTANT, FORM 990 OF OTHER ORGANIZATIONS, COMPENSATION SURVEY OR STUDY, AND THE APPROVAL BY THE BOARD OF COMPENSATION COMMITTEE. FORM 990, PART I, LINE 6 THE NUMBER OF VOLUNTEERS WAS ESTIMATED BASED ON THE NUMBER OF PHYSICIAN'S PARTICIPATING ON PHYSICIAN COMMITTEES. FORM 990, PART V, LINE 3B ADDITIONAL TIME IS NEEDED TO FILE A COMPLETE AND ACCURATE FORM 990T. THE FORM 990T HAS BEEN EXTENDED AND WILL BE FILED BY THE EXTENDED DUE DATE OF NOVEMBER 15, 2020. ESTIMATES OF UNRELATED BUSINESS TAXABLE INCOME ARE INCLUDED ON PART I AND PART VIII OF THE FORM 990. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE HAS DELEGATED AUTHORITY ONLY TO HANDLE THE DETAILS OF MANAGEMENT BETWEEN BOARD MEETINGS. HOWEVER, THE EXECUTIVE COMMITTEE REPORTS BACK TO THE FULL BOARD, WHICH NORMALLY SHOULD RATIFY ANY SIGNIFICANT DECISION OR ACTION OF THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 6 ALL MEMBERS HAVE A RIGHT TO APPROVE/CHANGE BYLAWS AND TO ELECT THE TREASURER AND SECRETARY OFFICER POSITIONS OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A SEE EXPLANATION FOR LINE 6. FORM 990, PART VI, SECTION A, LINE 7B SEE EXPLANATION FOR LINE 6. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 WAS REVIEWED BY THE FINANCE COMMITTEE, SENIOR STAFF, AND AN ELECTRONIC COPY WAS PROVIDED TO THE ENTIRE BOARD PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL COMMITTEE MEMBERS ARE REQUIRED TO COMPLETE AN ANNUAL CONFLICT OF INTEREST DISCLOSURE STATEMENT. THE COIS ARE REVIEWED BY ALL COMMITTEE CHAIRMEN PRIOR TO ALL MEETINGS. THE REVIEW IS LISTED AS A DISCUSSION ITEM ON EVERY COMMITTEE AGENDA AND THE REVIEW AND DISCUSSION IS DOCUMENTED IN THE COMMITTEE MEETING MINUTES. FORM 990, PART VI, SECTION B, LINE 15 AUA'S CEO IS COMPENSATED BY ONE OF ITS RELATED ORGANIZATIONS, AMERICAN UROLOGICAL ASSOCIATION EDUCATION & RESEARCH (AUAER). THE CEO'S SALARY IS DETERMINED EACH YEAR BY AUAER'S EXECUTIVE COMPENSATION COMMITTEE. THIS COMMITTEE IS COMPRISED OF THREE AUAER BOARD MEMBERS. THE AUAER TREASURER AND CFO SERVE AS NON-VOTING LIAISONS/ADVISORS TO THE COMMITTEE. DURING 2018, AN AGREEMENT WAS REACHED FOR A RENEWED FIVE-YEAR CONTRACT. COMPENSATION AND BENEFITS WERE DEVELOPED BY AN INDEPENDENT CONSULTANT FIRM UTILIZING SALARY SURVEYS OF SIMILAR ORGANIZATIONS. A COMPREHENSIVE PERFORMANCE REVIEW WAS COMPLETED BY VARIOUS GROUPS INCLUDING AUAER STAFF, BOARD MEMBERS AND COMMITTEE CHAIRS. THE COMPENSATION COMMITTEE'S RECOMMENDATION WAS REVIEWED AND VOTED ON BY THE BOARD OF DIRECTORS. ALL COMPENSATION DISCUSSIONS ARE CONDUCTED DURING AN EXECUTIVE SESSION OF THE BOARD WHERE THE CEO IS NOT PRESENT. AUA'S OTHER OFFICERS AND KEY EMPLOYEES ARE ALSO COMPENSATED BY AUAER. AUAER DOES NOT HAVE A FORMAL PROCESS THAT INCLUDES A REVIEW AND APPROVAL BY INDEPENDENT PERSONS, COMPARABILLITY DATA, AND CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DECISION FOR DETERMINING COMPENSATION OF THE OTHER OFFICERS AND KEY EMPLOYEES OF THE ORGANIZATION. HOWEVER, AUAER DOES SUBSCRIBE TO SALARY SURVEYS AND USES AN INTERNAL COMPENSATION COMMITTEE TO REVIEW THE COMPENSATION OF SELECT POSITIONS. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, FINANCIAL STATEMENTS, AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST AT OUR CORPORATE OFFICE, 1000 CORPORATE BOULEVARD, LINTHICUM, MD 21090, FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). FORM 990, PART IX, LINE 11G CONTRACT SERVICES 2,604,649. STIPENDS 90,063. FORM 990, PART IX AUA DOES NOT HAVE ANY EMPLOYEES. ALL SERVICES PROVIDED FOR AUA ARE PERFORMED BY EMPLOYEES OF AUAER UNDER A COST-SHARING AGREEMENT. THE EXPENSES REFLECTED ON PAGE TEN OF THIS RETURN ON LINES 5 THROUGH 10 ARE EXPENSES PAID BY AUA TO AUAER UNDER THE COST-SHARING AGREEMENT. AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 430691437 EDUCATION & RESEARCH MD 501(C)(3) LINE 10 N/A 0 UROLOGY CARE FOUNDATION INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 203210212 GRANTMAKING MD 501(C)(3) LINE 7 AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 0 AMERICAN UROLOGICAL ASSOCIATION INC POLITICAL ACTION COMMITTEE 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 832403252 POLITICAL ACTIVITY MD 527 AMERICAN UROLOGICAL ASSOCIATION INC 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 0 0