2018-08-02T14:25:45-05:00 2017-09-30 454084437 Warren Averett LLC 2500 Acton Road Birmingham AL 35243 990 2016-10-01 630649108 UNIVERSITY OF ALABAMA HEALTH SERVICES Foundation PC UNIV 2057319600 PO BOX 55407 BIRMINGHAM AL 35255 MICHAEL HECKMAN CFO 2057319600 2018-07-26 1 Megan Randolph P00989558 2059794100 2018-07-26 2016 2022-09-23 18:48:47Z patricia pritchett PO BOX 55407 BIRMINGHAM AL 35255 699161871 0 X N/A X 1973 AL COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING. 19 10 3791 92 0 0 0 0 527400412 578575450 19117562 8830722 42958011 46313271 589475985 633719443 45685483 48797457 0 0 414081485 447521135 0 0 0 112567032 132902073 572334000 629220665 17141985 4498778 877548590 904135090 513729729 503376445 363818861 400758645 COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING WITHIN THE ACADEMIC ENVIRONMENT OF THE UNIVERSITY OF ALABAMA AT BIRMINGHAM. 0 0 523542723 48797457 578778112 Operation of a nonprofit physician group practice closely affiliated with the University of Alabama at Birmingham. HSF consists of almost 1,209 Faculty, Fellows and Physicians offering services in 33 specialties. These services are reinforced by the research and educational programs of UAB's Academic Health Center, resulting in State-of-the-Art care. 523542723 1 0 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 281 0 1 3791 1 0 0 0 0 0 0 0 0 0 0 X 19 10 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL F HECKMAN CFO 2057319600 500 22ND ST SOUTH STE 500 BIRMINGHAM AL 35233 CHARLES E ADAIR DIRECTOR 2.00 0.00 X 600 0 0 JOHN R THOMAS DIRECTOR 2.00 0.00 X 600 0 0 CHARLES D PERRY JR DIRECTOR 2.00 0.00 X 600 0 0 MIMI HEAD DIRECTOR 1.00 0.00 X 300 0 0 DONALD M JAMES DIRECTOR 2.00 0.00 X 600 0 0 VAN L RICHEY DIRECTOR 2.00 0.00 X 600 0 0 TIM LEWIS DIRECTOR 3.00 0.00 X 900 0 0 JEFFREY A BAYER DIRECTOR 2.00 0.00 X 600 0 0 LEE J STYSLINGER III DIRECTOR 1.00 0.00 X 300 0 0 CT FITZPATRICK DIRECTOR 0.00 0.00 X 0 0 0 JAMES OUTLAND DIRECTOR 0.00 0.00 X 0 0 0 SELWYN M VICKERS MD DIRECTOR/PHYSICIAN 50.00 0.00 X 98560 1138954 127118 CHERI L CANON MD DIRECTOR/PHYSICIAN 50.00 0.00 X 479857 237164 100128 MITCHELL B COHEN MD DIRECTOR/PHYSICIAN 50.00 0.00 X 332471 264749 95711 HERBERT CHEN MD DIRECTOR/PHYSICIAN 50.00 0.00 X 779026 200576 79674 DAVID G STANDAERT MD DIRECTOR/PHYSICIAN 50.00 0.00 X 104722 410017 69576 ISSAC W FERNIANY PHD DIRECTOR/CEO UAB HS 0.00 50.00 X 0 1424695 319068 CHARLES S LANDEFELD MD DIRECTOR/PHYSICIAN 50.00 0.00 X 356438 227889 110886 JAMES M MARKERT DIRECTOR/PHYSICIAN 50.00 0.00 X 698676 295298 117776 JAMES A BONNER MD DIRECTOR/PHYSICIAN 50.00 0.00 X 503409 382002 102996 KEITH A JONES MD PRESIDENT 50.00 0.00 X 355161 323084 123942 PATRICIA J PRITCHETT EXECUTIVE VICE PRESIDENT 50.00 0.00 X 303951 229605 72609 MICHAEL F HECKMAN CFO 50.00 0.00 X 294693 0 40397 TERRY C FRY SECRETARY 50.00 0.00 X 216963 0 25510 JAMES E DAVIES MD PROFESSOR/PHYSICIAN 60.00 0.00 X 1078788 41973 103468 MARK N HADLEY MD PROFESSOR/PHYSICIAN 60.00 0.00 X 836651 71160 66019 CONWAY C HUANG PROFESSOR/PHYSICIAN 60.00 0.00 X 1254223 88544 73892 KEVIN L SUBLETT PROFESSOR/PHYSICIAN 60.00 0.00 X 860386 0 34583 RUSSELL S RONSON PROFESSOR/PHYSICIAN 60.00 0.00 X 816055 26051 57119 9375130 5361761 1720472 1039 0 1 0 IRON MOUNTAIN RECORDS MANAGEMENT PO BOX 530487 BIRMINGHAM AL 35253 RECORD MANAGEMENT 1782466 PlaTINUM AIR SERVICE LLC 26840 SHOREGRASS DRIVE WesLEY CHAPEL FL 33543 Air SERVICE 1098021 THE CHARTIS GROUP LLC 220 WEST KINZIE STREET CHICAGO IL 60654 CONSULTANTS 942540 THERACOM CONSULTING SERVICES 9717 KEY WEST AVENUE ROCKVILLE MD 20850 CONSULTANTS 852404 GRESHAM SMITH & PARTNERS PO Box 440029 NASHVILLE TN 37244 ARCHITECTUAL DESIGN SERVICES 565497 22 NET PATIENT REVENUE 900099 446237127 446237127 HEALTHCARE SERVICES 900099 105324395 105324395 ORGAN/TISSUE REC 900099 27013928 27013928 578575450 5137238 5137238 8796 8796 32177653 0 32177653 32177653 32177653 66234641 2892475 62244735 3197693 3989906 -305218 3684688 3684688 GAIN ON EQUITY IN PLTF 900099 12789620 12789620 GAIN ON EQUITY IN CAC 900099 1465018 1465018 Loss on Extinguishment 900099 -321682 -321682 202662 202662 14135618 633719443 578778112 0 54941331 48797457 48797457 4789670 3530360 1259310 368505808 314813345 53692463 2983878 1634255 1349623 54618159 42384699 12233460 16623620 12899405 3724215 1270272 712688 557584 869558 869558 324451 324451 79902 79902 1730725 1730725 11641862 11641862 718560 718560 6064107 4121071 1943036 11746606 11746606 8754220 3844658 4909562 3888896 2216286 1672610 923967 372675 551292 5763460 5763460 14947224 5901344 9045880 13891460 13891460 MEDICAL, SURGICAL AND L 27454894 27454894 SUPPORT SERVICES PRIMAR 6764579 6764579 REPAIRS AND MAINTENANCE 2809577 2809577 MISCELLANEOUS EXPENSE 2753414 2753414 10504339 6194875 4309464 629220665 523542723 105677942 0 72022 8637 21803600 26182536 59040313 59935574 104167 54167 28314043 26912737 95557 80671 8024361 6311843 323793497 166710986 150655534 157082511 452586933 477861199 124267418 119409378 32584642 30295837 877548590 904135090 126225693 128613119 218300123 202389315 169203913 172374011 513729729 503376445 X 363818861 400758645 363818861 400758645 877548590 904135090 X 4498778 30361833 2079173 X X 0 1 X 1 1 1 X 489179756 510197043 510115019 527400412 578575450 2615467680 489179756 510197043 510115019 527400412 578575450 2615467680 0 0 0 2615467680 6811184 11183352 44569401 40893897 37323687 140781521 6811184 11183352 44569401 40893897 37323687 140781521 10256175 8149311 -6368492 6888478 14373659 33299131 506247115 529529706 548315928 575182787 630272796 2789548332 0.93760 0.95060 0.05050 0.04190 X 79902 79902 629140763 629220665 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 70714 83103 73314 79902 307033 250000 250000 250000 250000 1000000 1500000 70714 83103 73314 79902 307033 194558092 22191783 -10750000 -647126 205352749 197465931 15756161 -18664000 194558092 214385005 2400000 -12919074 6400000 197465931 207293345 18551670 11460010 214385005 192858403 26434942 12000000 207293345 1.00000 0.00000 0.00000 0 0 27720377 27720377 171488035 82266998 89221037 31242301 20408548 10833753 45020975 32844460 12176515 48321809 31190980 17130829 157082511 CASH AND CASH EQUIVALENTS 2374874 F POOLED INVESTMENTS - CASH EQUIVALENTS 19164085 F POOLED INVESTMENTS - ACCRUED INCOME 433442 F DEFERRED COMP. INVESTMENTS - CASH EQUIVALENTS 1857183 F Investment in TRUST FUND 83498989 F Investment in CACC, LLC 3450721 F CERTIFICATES OF DEPOSIT 8630084 F 119409378 DEFERRED COMPENSATION 141979429 POST RETIREMENT LIABILITIES 30394582 172374011 X 680193701 30361833 2079170 32441003 647752698 -14033255 -14033255 633719443 643253917 0 643253917 -14033252 -14033252 629220665 Part V, Line 4: THE FOUNDATION'S BOARD-DESIGNATED ENDOWMENTS CONSIST OF THREE FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES. THE NORMAL SPENDING POLICY FOR THE GENERAL ENDOWMENT FUND IS TO DISTRIBUTE BETWEEN 3.5 PERCENT AND 6.5 PERCENT OF THE FUND, SUBJECT TO ANNUAL RECOMMENDATION BY THE FOUNDATION'S INVESTMENT COMMITTEE TO THE BOARD. THIS SPENDING POLICY IS CONSISTENT WITH THE FOUNDATION'S OBJECTIVE TO MAINTAIN THE PURCHASING POWER OF ENDOWMENT ASSETS, AS WELL AS TO PROVIDE ADDITIONAL REAL GROWTH THROUGH INVESTMENT RETURNS. Part X, Line 2: The Foundation is recognized as exempt from federal income tax under Section 501(a) of the Internal Revenue Code as an organization described in Section 501(c)(3). The Foundation has adopted the provisions of the Accounting Standards Codification relating to uncertainty in income taxes. This guidance requires entities to assess their uncertain tax positions for the likelihood that they would be overturned upon Internal Revenue Service (IRS) examination or upon examination by state taxing authorities. The Foundation has determined that it does not have any positions at September 30, 2017, that it would be unable to substantiate. The Foundation has filed its not-for-profit tax returns for all years through September 30, 2016. Years ended September 30, 2013, and subsequent remain subject to audit by taxing authorities. Part XI, Line 2d - Other Adjustments: Change in Net Pension and other postretirement benefit obligations 2,079,170. Part XI, Line 4b - Other Adjustments: INVESTMENT (INCOME) LOSS FROM DEFERRED COMPENSATION ASSETS -14,068,326. EXPENSES SHOWN AS A REDUCTION TO INCOME ON BOOKS 35,071. Part XII, Line 4b - Other Adjustments: INVESTMENT (INCOME) LOSS FROM DEFERRED COMPENSATION ASSETS -14,068,326. EXPENSES SHOWN AS A REDUCTION TO INCOME ON BOOKS 35,074. 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 35294 636005396 POLITICAL SUB 43914000 N/A N/A TO FUND RESEARCH PROJECTS 1 0 Part I, Line 2: The grants provided to UAB go through HSF approval process. The request comes in to HSF Controller who prepares a "UAB Transfers & Contribution Request and approves payment. The request consist of the Department, Date, Amount YTD Expense and Variances to Budget. All Grant requisitions regardless of amounts are then sent to the HSF CFO for approval and then to the Executive Vice President for final approval. The grants are also monitored with the amount provided vERsUS the amount budgeted for the fiscal year. X X 1 1 X X 0 0 0 1 0 0 0 1 0 SELWYN M VICKERS MD DIRECTOR/PHYSICIAN 42992 676010 0 206103 55568 256841 6721 98194 19598 8971 124879 1246119 0 124241 CHERI L CANON MD DIRECTOR/PHYSICIAN 389365 236392 89673 0 819 772 34583 40188 28613 1746 543053 279098 0 0 MITCHELL B COHEN MD DIRECTOR/PHYSICIAN 263908 262650 66306 0 2257 2099 34583 51440 12246 1270 379300 317459 0 0 HERBERT CHEN MD DIRECTOR/PHYSICIAN 679588 200000 97200 0 2238 576 14246 45670 25473 967 818745 247213 0 0 DAVID G STANDAERT MD DIRECTOR/PHYSICIAN 41743 407280 62922 0 57 2737 6274 45769 17394 2572 128390 458358 0 0 ISSAC W FERNIANY PHD DIRECTOR/CEO UAB HS 0 702137 0 410544 0 312014 0 303000 0 23788 0 1751483 0 0 CHARLES S LANDEFELD MD DIRECTOR/PHYSICIAN 287185 224455 66711 0 2542 3434 34583 56168 22367 1688 413388 285745 0 0 JAMES M MARKERT DIRECTOR/PHYSICIAN 576789 293977 119983 0 1904 1321 34583 55940 32006 2025 765265 353263 0 0 JAMES A BONNER MD DIRECTOR/PHYSICIAN 365789 379341 135454 0 2166 2661 34583 45897 24447 3496 562439 431395 0 0 KEITH A JONES MD PRESIDENT 278685 320424 74938 0 1538 2660 34583 69742 20693 3140 410437 395966 0 0 PATRICIA J PRITCHETT EXECUTIVE VICE PRESIDENT 183022 187552 119974 0 955 42053 24464 37911 12026 2062 340441 269578 0 40540 MICHAEL F HECKMAN CFO 232099 0 61337 0 1257 0 30787 0 11853 0 337333 0 0 0 TERRY C FRY SECRETARY 180379 0 34805 0 1779 0 8206 0 19091 0 244260 0 0 0 JAMES E DAVIES MD PROFESSOR/PHYSICIAN 840490 38400 236762 3500 1536 73 34583 7209 24851 789 1138222 49971 0 0 MARK N HADLEY MD PROFESSOR/PHYSICIAN 442595 70217 389995 0 4061 943 34583 12009 23126 942 894360 84111 0 0 CONWAY C HUANG PROFESSOR/PHYSICIAN 1252154 88097 0 150 2069 297 34583 16729 6747 23058 1295553 128331 0 0 KEVIN L SUBLETT PROFESSOR/PHYSICIAN 806316 0 49125 0 4945 0 34583 0 6157 0 901126 0 0 0 RUSSELL S RONSON PROFESSOR/PHYSICIAN 794448 26000 20000 0 1607 51 34583 3109 25386 126 876024 29286 0 0 Part I, Line 1a DISCRETIONARY SPENDING ACCOUNTS: Some employed physicians (including physician directors) have access to professional development funds which are used to advance their professional skills. Amounts are spent on computer equipment, journals, subscriptions and travel expenses to attend conferences and lectures. All requests for reimbursement are reviewed for compliance with current policy and IRS guidance before they are paid. SOCIAL CLUB DUES: A few physician leaders (including some physician directors) are members of social/business clubs. They utilize these facilities for business meetings and events during the year. All requests for reimbursement are reviewed for compliance with current policy and IRS guidance before they are paid. Part I, Line 5 Many of our employed physicians (including some Directors) have incentive plans that pay additional amounts based on achieving specific clinical, academic and research measures. These incentive plans are reviewed annually with the Compensation Committee. Some of these plans make payments based on clinical productivity. Part I, Line 7 Many of our employed physicians (including some Directors) have incentive plans that pay additional amounts based on achieving specific clinical, academic and research measures. These incentive plans are reviewed annually with the Compensation Committee. A tHE MEDICAL CLINIC BOARD OF THE CITY OF BIRMINGHAM - UAHSF 621375181 noneavail 2015-11-01 20000000 FINANCING CAPITAL ASSETS 0 0 0 B UAB MEDICINE FINANCE AUTHORITY 814143656 NONEavail 2017-05-11 38680000 PRIOR ISSUE REFUND 0 0 0 C UAB MEDICINE FINANCE AUTHORITY 814143656 902562CK1 2017-05-11 135545000 PRIOR ISSUE REFUND 0 0 0 A 20000000 17625126 2018 0 0 0 1 B 38680000 0 0 1 1 C 135545000 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 0 0 0 0 0 B 0 0 0 1 0 0 0 0 0 C 0 0 0 1 0 0 0 0 0 A 1 B 1 C 1 SELWYN VICKERS RECRUITING LOAN X 250000 54167 0 1 1 54167 Form 990, Part VI, Section A, line 3 NAVIGANT CYMETRIX CORPORATION IS ENGAGED TO PERFORM MANAGEMENT DUTIES INCLUDING REVENUE CYCLE PERFORMANCE REPORTING AND ANALYTICS, TRAINING AND SUPERVISION OF REVENUE CYCLE PERSONNEL, AND RECOMMENDING UPDATES TO REVENUE CYCLE POLICIES AND PROCEDURES. Form 990, Part VI, Section A, line 4 Board Chairman - The Dean of the UAB School of Medicine shall act as Chairman of the Corporation of all annual, regular and special meetings of the Board and of the Executive Committee. Form 990, Part VI, Section B, line 11b Form 990 is provided to the Board for review and is an agenda item at the regularly scheduled Board Meeting open for any discussion before the return is filed. Form 990, Part VI, Section B, line 12c DIRECTORS, PRINCIPAL OFFICERS AND COMMITTEE MEMBERS WITH BOARD DELEGATED POWERS ANNUALLY SIGN THE CONFLICT OF INTEREST CERTIFICATE. Form 990, Part VI, Section B, line 15 The Compensation Committee meets annually to ensure that individual compensation for physicians, officers and other executives is reasonable and appropriate for a non-profit organization. The Compensation Committee presents an annual report to the Board of Directors for their approval. Form 990, Part VI, Section C, line 19 AS A GENERAL RULE, THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. ANY WRITTEN REQUEST BY THE PUBLIC WOULD BE REVIEWED AND ACTED UPON BY THE BOARD. Form 990, Part XI, line 9: Other comprehensive income/loss 2,079,170. ROUNDING 3. FORM 990, PART XI, LINE 2C THE BOARD OF DIRECTORS HAS A SEPARATE COMMITTEE THAT ASSUMES RESPONSIBILITY FOR THE OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THIS FUNCTION HAS NOT CHANGED FROM PRIOR YEARS. UAB HEALTH SYSTEM 500 22ND STREET SOUTH SUITE 408 BIRMINGHAM AL 35233 631182994 HEALTHCARE MANAGEMENT AL 501(C)(3) Line 7 N/A 0 UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 35294 636005396 PUBLIC UNIVERSITY AL POLITICAL SUB N/A N/A 0 UAB MEDICINE FINANCE AUTHORITY 1901 SIXTH AVENUE NORTH SUITE 1500 BIRMINGHAM AL 35203 814143656 MEDICAL FINANCING AL POLITICAL SUB N/A N/A 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 UNIVERSITY OF ALABAMA AT BIRMINGHAM B 43914000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM K 4543000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM P 20499000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM Q 56864000 FMV - CASH UAB HEALTH SYSTEM P 6765000 FMV - CASH UAB HEALTH SYSTEM Q 11077000 FMV - CASH