2017-05-05T08:52:12-05:00 2016-12-31 420714325 RSM US LLP 100 INTERNATIONAL DRIVE SUITE 1400 BALTIMORE MD 21202 990 2016-01-01 522205122 AMERICAN UROLOGICAL ASSOCIATION INC AMER 4106893700 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 MARK CAMPOBELLO CFO 4106893700 2017-04-25 1 JULIA FLANNERY CPA P00928918 4102469300 108.171.131.188 2017-04-25 14:55:38 ED P 1F6429F47CD852903688965D63EDB3355B9BF040 CDBA28A911E66288058FA62898B1BC86E1332D72 2016 2021-01-29 14:40:06Z MICHAEL SHEPPARD 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 12875618 0 X WWW.AUANET.ORG X 2002 MD ADVANCEMENT OF PROFESSIONAL AND UROLOGIC PATIENT CARE AND THE FORMULATION OF HEALTH CARE POLICY. 13 9 43 233 2018582 412965 0 0 11768383 12875618 9642 0 0 0 11778025 12875618 1295800 2098997 0 0 5958070 6116725 0 0 0 4707677 4658218 11961547 12873940 -183522 1678 7615833 8138487 7547568 8068544 68265 69943 PROMOTE THE HIGHEST STANDARDS OF UROLOGICAL CLINICAL CARE THROUGH EDUCATION, RESEARCH, AND THE FORMULATION OF HEALTH CARE POLICY. 0 0 THE AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) SERVES AS A NATIONAL PROFESSIONAL ASSOCIATION OF PHYSICIANS AND OTHER HEALTH CARE PROVIDERS IN THE SPECIALTY OF UROLOGY. ANNUALLY THE AUA HOLDS A NATIONAL CONFERENCE FOR MEMBERS AND NON-MEMBERS. THIS EVEN INCLUDES NUMEROUS EDUCATIONAL SESSIONS CONDUCTED BY LEADING EXPERTS IN UROLOGY AS WELL AS MANUFACTURERS EXHIBITING THE LATEST TECHNOLOGY AND PRODUCTS USEFUL TO PRACTICING UROLOGISTS. THE AUA ADVOCATES ON CURRENT ISSUES AFFECTING THE SPECIALTY OF UROLOGY AND MEDICINE IN GENERAL WITH THE U.S. CONGRESS AND FEDERAL AND STATE REGULATORY AGENCIES. DIRECTLY AND THROUGH AFFILIATED ENTITIES, THE AUA PROVIDES SCIENTIFIC RESEARCH, EDUCATION, PRACTICE MANAGEMENT, ADVOCACY, MEMBERSHIP SERVICES AND PUBLIC RELATIONS ON BEHALF OF THE PROFESSION OF UROLOGY. 0 0 0 1 0 0 0 0 1 0 0 0 0 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 0 0 1 40 0 1 43 1 1 1 0 0 0 1 1 0 X 13 9 0 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 0 0 0 MD X MARK CAMPOBELLO 4106893705 1000 CORPORATE BOULEVARD LITHICUM MD 21090 X RICHARD K BABAYAN MD PRESIDENT 3.00 7.00 X X 26426 61660 0 J BRANTLEY THRASHER MD PRESIDENT-ELECT 3.00 7.00 X X 7961 18577 0 WILLIAM F GEE MD IMMEDIATE PAST PRESIDENT 3.00 7.00 X X 22761 53110 0 MANOJ MONGA MD SECRETARY 3.00 7.00 X X 830 1938 0 STEVEN M SCHLOSSBERG MD TREASURER 3.00 7.00 X X 30134 70312 0 ROGER E SCHULTZ MD DIRECTOR 1.00 1.00 X 2425 5657 0 KEVIN R LOUGHLIN MD DIRECTOR 1.00 1.00 X 1199 2797 0 FREDERICK A GULMI MD DIRECTOR 1.00 1.00 X 1200 2800 0 CHANDRU P SUNDARAM MD DIRECTOR 1.00 1.00 X 583 1360 0 JOHN D DENSTEDT MD DIRECTOR 1.00 1.00 X 0 0 0 RANDALL B MEACHAM MD DIRECTOR 1.00 1.00 X 300 700 0 THOMAS F STRINGER MD DIRECTOR 1.00 1.00 X 0 0 0 SCOTT K SWANSON MD DIRECTOR 1.00 1.00 X 0 0 0 MUHAMMAD CHOUDHURY DIRECTOR (THRU 5/16) 1.00 1.00 X 0 0 0 WILLIAM BOHNERT IMMEDIATE PAST PRESIDENT (THRU 5/16) 1.00 1.00 X 0 0 0 CRAIG PETERS DIRECTOR (THRU 5/16) 1.00 1.00 X 0 0 0 MICHAEL T SHEPPARD EXECUTIVE DIRECTOR, CEO 12.00 28.00 X 213936 397310 77802 MARK P CAMPOBELLO CHIEF FINANCIAL OFFICER 12.00 28.00 X 122347 227217 43495 KEVIN A WOHLFORT EXECUTIVE VICE PRESIDENT 12.00 28.00 X 108143 240706 57384 KATHLEEN ZWARICK EXECUTIVE VICE PRESIDENT 40.00 X 264625 0 54300 DIANE BIERI GENERAL COUNSEL 12.00 28.00 X 70550 164618 40866 PATRICIA M BANKS DIR. OF MARKETING & PUBLIC 12.00 28.00 X 59014 131354 45929 JOHN PALIEN DIR. OF HUMAN RESOURCES 12.00 28.00 X 52605 117089 3588 FLORENCE FREEMAN DIR. OF MEMBERSHIP 40.00 X 157528 0 19999 STEPHANIE STINCHCOMB DIR. OF REG & REIMBURSEMENT 40.00 X 147037 0 32088 BRADLEY STINE DIR. OF GOVT RELATIONS 40.00 X 145477 0 30777 1435081 1497205 406228 6 0 1 0 HART HEALTH STRATEGIES 3823 FORDHAM RD NW WASHINGTON DC 20016 HEALTH CONSULTANT 175000 CENVEO PUBLISHER SERVICES 5457 TWIN KNOLLS ROAD SUITE 200 COLUMBIA MD 21045 PUBLISHING 169816 WALCHLI TAUBER GROUP INC 2225 OLD EMMORTON RD 201 BEL AIR MD 21015 PUBLISHING 118748 TRENDS IN INTERNATIONAL MATHEMATICS AND 550 12TH STREET SW WASHINGTON DC 20202 DATA COLLECTION 113822 4 EXHIBIT & INDUS. SUPPO 541800 5346269 4858475 487794 MEMBERSHIP DUES AND AS 541900 4698298 4698298 AUA NEWS 541800 822839 27810 795029 MANAGEMENT SERVICE 541900 735759 735759 MISC PUBS/MANUALS/PROG 541800 685799 685799 586654 586654 12875618 12875618 10857036 2018582 0 X 2003597 94600 800 1000224 4534307 154873 217223 210098 21302 7138 2551689 451045 685572 690722 86493 TAXES 91516 AWARDS 72741 12873940 6965438 7138991 386974 618715 263421 206588 0 174193 7615833 8138487 230381 271244 6973954 7797300 343233 0 7547568 8068544 X 68265 69943 68265 69943 7615833 8138487 1678 0 X 0 1 X 1 0 0 0 0 4698298 618226 618226 837573 -219347 35569604 2515358 2651773 1341447 39395288 35063136 1695473 -211041 977964 35569604 18605449 15837300 1403577 783190 35063136 12256703 4607379 2343304 601937 18605449 10130026 1257542 1345923 476788 12256703 0.82470 0.17530 0 1 1 0 X 39799234 26923616 26923616 12875618 0 12875618 39380278 26513476 26513476 12866802 7138 7138 12873940 PART V, LINE 4: THE ENDOWMENT FUNDS ARE HELD AND ADMINISTERED BY BOTH THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. AND THE UROLOGY CARE FOUNDATION, INC., RELATED EXEMPT ORGANIZATIONS. ENDOWMENT FUNDS ARE USED TO SUPPORT RESEARCH SCHOLARSHIPS AND AWARDS FOR THE ADVANCEMENT OF UROLOGIC MEDICINE. PART X, LINE 2: THE ORGANIZATION HAS ADOPTED THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES,WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAX AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50 PERCENT LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES ALSO ADDRESSED DE-RECOGNITION CLASSIFICATION, INTEREST AND PENALTIES ON INCOME TAXES, AND ACCOUNTING IN INTERIM PERIODS. 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. THE ORGANIZATIONS ARE NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE, OR LOCAL TAX AUTHORITIES BEFORE 2013. PART XI, LINE 2D - OTHER ADJUSTMENTS: AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. REVENUE 25,187,920. INCOME ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -4,465,361. UROLOGY CARE FOUNDATION, INC. REVENUE 6,201,057. PART XII, LINE 2D - OTHER ADJUSTMENTS: AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. EXPENSES 27,062,089. EXPENSES ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -4,465,361. UROLOGY CARE FOUNDATION, INC. EXPENSES 3,916,748. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 7,138. 1 AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BOULEVARD LINTHICUM MD 21091 430691437 501(C)(3) 2000000 GENERAL SUPPORT 1 0 GALLAGHER SCHOLARSHIP 1 15000 YOUNG UROLOGY SPONSOR 1 1500 RESIDENTS FORUM 6 5700 TRAVEL STIPEND 4 3050 STIPEND 7 24250 HONORARIA 16 42750 RESIDENT BOWL 5 750 RESIDENT SKILLS CHALLENGE 5 750 RESIDENT DEBATE 7 850 PART I, LINE 2: THE USE OF GRANT FUNDS ARE MONITORED THROUGH AUA'S REPRESENTATION AT SUB-SPECIALTY SOCIETY MEETINGS, REVIEW OF REPORTS, AND LIASON RELATIONSHIPS WITH GRANT RECIPIENTS. X X X 1 1 0 1 0 MICHAEL T SHEPPARD EXECUTIVE DIRECTOR, CEO 161763 300416 33415 62057 18758 34837 22084 41013 5147 9558 241167 447881 0 0 MARK P CAMPOBELLO CHIEF FINANCIAL OFFICER 99828 185396 15677 29114 6842 12707 9301 17274 5922 10998 137570 255489 0 0 KEVIN A WOHLFORT EXECUTIVE VICE PRESIDENT 91184 202958 14029 31227 2930 6521 11265 25073 6524 14522 125932 280301 0 0 KATHLEEN ZWARICK EXECUTIVE VICE PRESIDENT 229930 0 34695 0 0 0 39288 0 15012 0 318925 0 0 0 DIANE BIERI GENERAL COUNSEL 64323 150087 6227 14531 0 0 6114 14267 6145 14340 82809 193225 0 0 PATRICIA M BANKS DIR. OF MARKETING & PUBLIC 53209 118432 5805 12922 0 0 9375 20867 4863 10824 73252 163045 0 0 JOHN PALIEN DIR. OF HUMAN RESOURCES 49773 110784 2832 6305 0 0 16 37 1096 2439 53717 119565 0 0 FLORENCE FREEMAN DIR. OF MEMBERSHIP 142262 0 15266 0 0 0 16899 0 3100 0 177527 0 0 0 STEPHANIE STINCHCOMB DIR. OF REG & REIMBURSEMENT 132588 0 14449 0 0 0 21950 0 10138 0 179125 0 0 0 BRADLEY STINE DIR. OF GOVT RELATIONS 130981 0 14496 0 0 0 10840 0 19937 0 176254 0 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 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. THE PRESIDENT AND THE PRESIDENT ELECT RECEIVE TAX INDEMNIFICATION AND GROSS UP PAYMENTS FOR 50% OF THEIR SPOUSAL TRAVEL IN THE FOLLOWING YEAR. 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 THE AMERICAN UROLOGICAL ASSOCIATION, INC. RELIES ON THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC., A RELATED ORGANIZATION TO ESTABLISH THE COMPENSATION OF THE ORGANIZATION'S CEO/EXECUTIVE DIRECTOR. THE AUAER USES A COMPENSATION COMMITTEE, FORM 990 OF OTHER ORGANIZATIONS, COMPENSATION SURVEY OR STUDY, AND THE APPROVAL BY THE BOARD OR 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 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 4 1. VOTING RIGHTS (ARTICLE III, SECTION 3 AND SECTION 18) LANGUAGE WAS ADDED TO CLARIFY THAT VOTING IS A FUNDAMENTAL RIGHT RETAINED BY REBUKED MEMBERS. BENEFITS WERE DEFINED AS PUBLICATIONS, PRODUCTS AND SERVICES THAT VARY BY MEMBERSHIP CATEGORY. OUTDATED LANGUAGE REGARDING PRINTING OF MEMBERSHIP DIRECTORIES WAS REMOVED AS THIS SERVICE IS AVAILABLE ONLINE THROUGH THE MY AUA MEMBERSHIP PORTAL. OBSOLETE LANGUAGE REGARDING "NEW MEMBER MATERIALS" WAS ALSO REMOVED BECAUSE THIS INFORMATION IS COMMUNICATED ELECTRONICALLY OR AVAILABLE ONLINE. 2. ELECTRONIC VOTING (ARTICLE IV, SECTION 11.4, 11.6 AND 11.7) THE SECTION ON ELECTRONIC VOTING WAS UPDATED TO CONFIRM THAT THE BOARD OF DIRECTORS AND COMMITTEES MAY CONDUCT BUSINESS THROUGH REAL-TIME MEETINGS (IN- PERSON, TELECONFERENCE, VIDEO CONFERENCE) OR BY OTHER MEANS WHERE MEMBERS ARE NOT SIMULTANEOUSLY PRESENT (EMAIL, FACSIMILE, COMPUTER, POSTAL MAIL). LANGUAGE WAS ALSO UPDATED TO CLARIFY THE CRITERIA FOR BINDING ELECTRONIC VOTING BY THE BOARD OF DIRECTORS AND COMMITTEES. 3. BYLAWS COMMITTEE (ARTICLE V, SECTION 1.1) STRUCTURAL CHANGES WERE MADE TO IMPROVE THE COMMITTEE'S OPERATIONS AND FACILITATE SUCCESSION PLANNING. MEMBER TERMS WERE MODIFIED TO THREE YEARS (RENEWABLE ONCE) OR TO COINCIDE WITH THE MEMBER'S TERM AS SECTION SECRETARY. THE VICE-CHAIR POSITION WAS DISCONTINUED AND THE CHAIR MAY SERVE IN ADDITION TO THE EXISTING MEMBERS. 4. NOMINATING COMMITTEE (ARTICLE V SECTION 1.4) THE PRACTICE OF APPOINTING ALTERNATES TO THE NOMINATING COMMITTEE WAS DISCONTINUED SINCE THE BYLAWS INCLUDE A PROVISION FOR THE SECTION LEADERSHIP TO FILL VACANCIES (PRESIDENT AND ONE OTHER SECTION BOARD MEMBER). OBSOLETE LANGUAGE WAS ALSO REMOVED THAT MANDATED THE METHOD OF COMMUNICATION FOR COMMITTEE MEETINGS SINCE THE COMMITTEE OFTEN CONDUCTS ITS BUSINESS VIA EMAIL VOTE RATHER THAN BY TELECONFERENCE OR IN-PERSON MEETINGS. 5. PUBLIC POLICY COUNCIL (ARTICLE V, SECTION 1.5) THE AUA HAS DISCONTINUED TO THE PUBLIC POLICY VICE-CHAIR POSITION EFFECTIVE JUNE 1, 2016. 6. PUBLICATIONS COMMITTEE (ARTICLE V, SECTION 1.6) THE MISSION STATEMENT FOR THE PUBLICATIONS COMMITTEE WAS REVISED TO CLARIFY THAT THE PUBLICATIONS COMMITTEE IS RESPONSIBLE FOR THE SELECTION OF ASSOCIATE AND SECTION EDITORS FOR SPECIFIC AUA PUBLICATIONS (E.G., THE JOURNAL OF UROLOGY, UROLOGY PRACTICE). SPECIFIC PUBLICATIONS WERE NOT NAMED TO KEEP THE BYLAWS GENERIC IN CASE NEW PUBLICATIONS WERE ADDED IN THE FUTURE. 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 AUDIT 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 COI'S 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 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 VII THE BOARD OF DIRECTORS AND COMMITTEE MEMBERS OF THE AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) ROTATE ON A FISCAL YEAR CYCLE TYPICALLY JUNE 1ST THROUGH MAY 31ST. FORM 990, PART IX AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) DOES NOT HAVE ANY EMPLOYEES. ALL THE SERVICES PROVIDED FOR THE AUA ARE PERFORMED BY EMPLOYEES OF THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. (AUAER) UNDER A COST SHARING ARRANGEMENT. THE EXPENSES REFLECTED ON PAGE TEN OF THIS RETURN ON LINES 5 THROUGH 10 ARE THE EXPENSES PAID BY THE AUA TO THE AUAER UNDER THE COST SHARING ARRANGEMENT FOR SERVICES PROVIDED BY AUAER EMPLOYEES FOR THE AUA. AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 430691437 EXEMPT ORGANIZATION MD 501(C)(3) LINE 10 N/A 0 UROLOGY CARE FOUNDATION INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 203210212 EXEMPT ORGANIZATION MD 501(C)(3) LINE 7 N/A 0 0 1 0 0 1 0 0 0 0 0 0 0 0 1 1 1 0 0 0