2017-08-14T14:59:13-05:00 2016-09-30 135565207 KPMG LLP 1601 MARKET STREET PHILADELPHIA PA 19103 990 2015-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORPORATION YALE 2036886088 789 HOWARD AVENUE NEW HAVEN CT 06519 VINCENT TAMMARO EXECUTIVE VP & CFO 2036886088 2017-08-14 0 PHILLIP E GROFF P01247783 2672561756 2015 2021-01-29 14:40:06Z MARNA BORGSTROM 789 HOWARD AVE NEW HAVEN CT 06519 565851056 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 18 16 2398 17 2711626 268200 0 0 432503091 503368906 32199 618521 17317278 11059363 449852568 515046790 308500 496122 0 0 238244115 254461742 0 0 0 191700930 238664336 430253545 493622200 19599023 21424590 1306178203 1600675101 1150284622 1146369896 155893581 454305205 X TO FURTHER INNOVATION AND EXCELLENCE IN PATIENT CARE, TEACHING, RESEARCH AND SERVICE TO ITS COMMUNITIES AND SUPPORT ITS MEMBER HEALTHCARE ORGANIZATIONS. 0 0 386546152 496122 512150678 SEE SCHEDULE O 386546152 1 0 0 0 0 0 0 0 0 0 1 0 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 0 0 0 0 0 0 1 1 1 0 0 1 435 0 0 2398 1 1 1 0 0 0 0 0 0 0 0 0 X 18 16 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X DENIS DONEGAN 2036886088 789 HOWARD AVE NEW HAVEN CT 06519 MARNA BORGSTROM PRESIDENT & CEO 16.00 24.00 X X 1186658 1779987 892153 VINCENT CALARCO SECRETARY & TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO CHAIRMAN & TRUSTEE 1.00 1.00 X X 0 0 0 MARY FARRELL 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 1.00 X 0 0 0 MARVIN LENDER TRUSTEE 1.00 1.00 X 0 0 0 JULIA MCNAMARA VICE CHAIR & TRUSTEE 1.00 1.00 X X 0 0 0 NEWMAN MARSILIUS III TRUSTEE 1.00 2.00 X 0 0 0 BARBARA MILLER TRUSTEE 1.00 2.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 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 0.00 X 0 0 0 JAMES TORGERSON TRUSTEE 1.00 1.00 X 0 0 0 JOHN TOWSEND III TRUSTEE 1.00 4.00 X 0 0 0 CARLTON HIGHSMITH TRUSTEE 1.00 0.00 X 0 0 0 R ALAN HUNTER - EFF 9816 TRUSTEE 1.00 6.00 X 0 0 0 STEPHEN ALLEGRETTO VP 1.00 39.00 X 15132 531120 203129 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 169824 746163 274107 DANIEL BARCHI - END 113015 SR. VP 8.00 32.00 X 180868 723473 268462 GAYLE CAPOZZALO EXECUTIVE VP 40.00 0.00 X 1462558 0 38285 EUGENE COLUCCI VP 4.00 36.00 X 61119 550067 208734 RICHARD D'AQUILA EXECUTIVE VP 8.00 32.00 X 373369 1493476 474585 MICHAEL DIMENSTEIN VP (CURRENT YEAR COMP) 2.00 38.00 X 18836 452101 82711 MICHAEL DIMENSTEIN VP (VESTED DEFERRED COMP) 2.00 38.00 X 46576 1117798 0 WILLIAM GEDGE - RET 93016 SR. VP (CURRENT YEAR COMP) 40.00 0.00 X 794459 0 156451 WILLIAM GEDGE - RET 93016 SR. VP (VESTED DEFERRED COMP) 40.00 0.00 X 3498400 0 0 WILLIAM JENNINGS EXECUTIVE VP 8.00 32.00 X 227181 908724 317179 ALAN KLIGER SR. VP 1.00 39.00 X 0 788285 125640 NANCY LEVITT-ROSENTHAL VP 8.00 32.00 X 88273 353088 154114 PATRICK MCCABE SR. VP 14.00 26.00 X 251241 466589 249847 KEVIN MYATT SR. VP 16.00 24.00 X 324823 487235 266850 JAMES MORRIS VP 2.00 38.00 X 15034 391302 147137 CHRISTOPHER O'CONNOR EXECUTIVE VP & COO 33.00 7.00 X 1210574 0 388215 VINCENT PETRINI SR. VP 1.00 39.00 X 0 611342 220757 CAROLYN SALSGIVER VP 8.00 32.00 X 79095 316380 156693 JOHN SKELLY VP 1.00 39.00 X 58943 530492 200850 JAMES STATEN - END 1216 EXECUTIVE VP, CFO & TREASURER 16.00 24.00 X 552439 828658 429112 VINCENT TAMMARO EXECUTIVE VP, CFO & TREASURER 16.00 24.00 X 268535 402804 235088 MELISSA TURNER VP 1.00 39.00 X 0 410888 147594 DAVID WURCEL VP 1.00 39.00 X 0 568234 109551 NORMAN ROTH EXECUTIVE VP 8.00 32.00 X 215411 861647 113148 PAMELA SCAGLIARINI SR. VP 1.00 39.00 X 0 505853 108905 PRATHIBHA VARKEY MD-EFF 5216 SR. VP 1.00 39.00 X 0 0 0 JOSEPH BISSON VP 40.00 0.00 X 494210 0 88448 STEPHEN CARBERY VP 40.00 0.00 X 409820 0 71499 LISA STUMP VP 40.00 0.00 X 420495 0 73290 RICHARD STAHL PHYSICIAN 40.00 0.00 X 628275 0 30528 MICHAEL ANGELINI VP 40.00 0.00 X 382676 0 86156 FRANK CORVINO - RET 123114 FORMER OFFICER 0.00 0.00 X 915327 0 3640 ROBERT NORDGRENMD-RET 32715 FORMER OFFICER 0.00 0.00 X 0 383437 134377 14350151 16209143 6457235 548 1 1 0 EPIC SYSTEMS CORPORATION 1979 MILKY WAY VERONA WI 53593 CONSULTING 9987101 MASON INC 23 AMITY ROAD BETHANY CT 06524 CONSULTING 5774168 REGAN TECHNOLOGIES CORPORATION 860 N MAIN STREET EXT WALLINGFORD CT 06492 CONSULTING 4113872 TOWERS WATSON DELAWARE INC 901 NORTH GLEBE ROAD SUITE 600 ARLINGTON VA 22203 CONSULTING 2896086 TOBIN CARBERRY O'MALLEY 43 BROAD STREET NEW LONDON CT 06320 CONSULTING 2487008 134 MANAGEMENT SERVICES 900099 369966063 369596338 369725 SYSTEM SUPPORT SERVICES 900099 45252540 45188230 64310 INSURANCE PREMIUMS 900099 41810272 41810272 MANAGEMENT SERVICES-EPIC 621990 29940224 29940224 EMERGENCY PREPAREDNESS PROGRAM 900099 16242425 16242425 157382 157382 503368906 50700 50700 51372087 50804266 567821 567821 567821 OTHER ANCILLARY INCOME 900099 8781772 8781772 CORPORATE CONTRACTING 621990 2277591 2277591 11059363 515046790 511716643 2711626 618521 X 496122 496122 13942826 13942826 188507715 158336568 30171147 9390008 7343925 2046083 29215137 22849159 6365978 13406056 10484876 2921180 5525492 5525492 2269601 2269601 65748341 51421778 14326563 3091943 2418209 673734 71974323 56291118 15683205 2041608 1596742 444866 50198394 39260164 10938230 29701962 29701962 TELEPHONE & DATA COMMUN 6465938 5057010 1408928 DUES, FEES & MEMBERSHIP 1225636 958570 267066 CLINICAL PROGRAM & MISC 334922 262551 72371 BOOKS & SUBSCRIPTIONS 86176 67398 18778 493622200 386546152 107076048 0 25319141 47364273 948323682 945789133 37266846 28877477 344222010 233566637 135345655 110655373 9740825 0 98131949 48866348 0 367072392 52050105 52050105 1306178203 1600675101 77717706 103938861 129406928 102374499 832360451 810532314 110799537 129524222 1150284622 1146369896 X 155893581 454305205 155893581 454305205 1306178203 1600675101 X 21424590 240785944 36201090 X 0 1 X 1 1 1 X X 5 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 9 1 43288000 0 LAWRENCE MEMORIAL HOSPITAL INC 060646704 3 1 0 0 5 43288000 0 0 0 0 0 1 1 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 IS SHALL SUPPORT SUCH OTHER ORGANIZATIONS AS MAY FROM TIME TO TIME BECOME AFFILIATED WITH THE ORGANIZATION. PART IV, SECTION A, LINE 5 EFFECTIVE SEPTEMBER 8, 2016, LAWRENCE + MEMORIAL CORPORATION ("LMC") AND ITS RELATED ORGANIZATIONS, INCLUDING LAWRENCE + MEMORIAL HOSPITAL AND WESTERLY HOSPITAL BECAME AFFILIATED WITH THE YALE NEW HAVEN HEALTH SYSTEM. AS A RESULT OF THE CLOSING OF THE AFFILIATION TRANSACTION, THE ORGANIZATION BECAME THE SOLE MEMBER OF LMC. THE GOVERNING DOCUMENTS OF THE ORGANIZATION WERE AMENDED TO EXPAND ITS SUPPORTED ORGANIZATIONS TO INCLUDE THE LMC DELIVERY NETWORK, AND THE GOVERNING DOCUMENTS OF THE LMC DELIVERY NETWORK ENTITIES WERE AMENDED TO REFLECT THE CHANGE IN MEMBER PURSUANT TO THE AFFILIATION. 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, EX-OFFICIO, 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. 2116244 1172300 943944 339088025 232394337 106693688 3017741 3017741 110655373 INVEST. IN L+M CORP 277307150 C INVEST. IN NEPC/VHA 193545 C INVEST. IN TOTAL HEALTH 765186 C INVEST. IN PATIENT WISDOM 174000 C INVEST. IN MCIC VERMONT 1000000 C INVEST. IN N. SHORE LIJ 492577 C MCIC EQUITY 76328352 C MCIC INVESTMENT 10811582 C 367072392 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 23996480 ACQUISITION CONTINGENT LIABILITY 5000000 RETRO INSURANCE CREDIT 19724526 INTEREST RATE SWAP 69028041 129524222 X PART X, LINE 2: 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, 2016 AND 2015. 1 ACHIEVEMENT FIRST 403 JAMES STREET NEW HAVEN CT 06511 651203744 501(C)(3) 10800 SUPPORT MISSION ANTI DEFAMATION LEAGUE WHITNEY AVE NEW HAVEN CT 06511 131818723 501(C)(3) 9000 SPONSORSHIP BEULAH HEIGHTS CHURCH 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 6000 SPONSORSHIP BRISTOL HOSPITAL BREWSTER ROAD BRISTOL CT 06011 060646559 501(C)(3) 11100 SUPPORT MISSION CONNECTICUT PLAYERS FOUNDATION INC 222 SARGENT DRIVE NEW HAVEN CT 06511 066073063 501(C)(3) 12500 SUPPORT MISSION FIRST CALVERY BAPTIST CHURCH 609 DIXWELL AVE NEW HAVEN CT 06511 061173497 501(C)(3) 21891 SUPPORT MISSION GREATER NEW HAVEN NAACP 545 WHALLEY AVE NEW HAVEN CT 06511 066099313 501(C)(4) 19500 SPONSORSHIP GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646059 501(C)(3) 9000 SUPPORT MISSION JUVENILE DIABETES RESEARCH 26 BROADWAY 15TH FLOOR NEW YORK NY 10004 231907729 501(C)(3) 10000 SUPPORT MISSION LAWRENCE MEMROIAL HOSPITAL INC 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 501(C)(3) 11500 SUPPORT MISSION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 26500 SPONSORSHIP NEW HAVEN SYMPHONY ORCHESTRA INC 545 LONG WHARF NEW HAVEN CT 06511 066000592 501(C)(3) 9000 SPONSORSHIP PLANNED PARENTHOOD OF SOUTHERN CT 345 WHITNEY AVENUE NEW HAVEN CT 06512 060263565 501(C)(3) 6000 SUPPORT MISSION RONALD MCDONALD HOUSE OF CONNECTICUT INC 501 GEORGE STREET NEW HAVEN CT 06511 061063758 501(C)(3) 5950 SUPPORT MISSION SICKLE CELL DISEASE ASSOCIATION OF AMERICA INC 3700 KOPPERS ST NO 570 BALTIMORE MD 21227 237175985 501(C)(3) 15000 SUPPORT MISSION THE EASTERN CONNECTICUT SYMPHONY ORCHESTRA 289 STATE STREET NEW LONDON CT 06320 066068892 501(C)(3) 7500 SPONSORSHIP THE TENNIS FOUNDATION 900 CHAPEL STREET SUITE 622 NEW HAVEN CT 06510 061287098 501(C)(3) 6280 SPONSORSHIP UNITED WAY OF GREATER NEW HAVEN 370 JAMES STREET STE 403 NEW HAVEN CT 06519 060646761 501(C)(3) 6000 SUPPORT MISSION VISITING NURSE ASSOCIATION SOUTH ONE LONG WHARF DRIVE NEW HAVEN CT 06511 060646941 501(C)(3) 11500 SUPPORT MISSION YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06504 060646652 501(C)(3) 5500 SUPPORT MISSIONSUPPORT MISSION 19 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 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. X X X X X 0 1 0 0 0 0 0 1 0 MARNA BORGSTROM PRESIDENT & CEO 687406 1031109 476932 715398 22320 33480 295843 443764 61018 91528 1543519 2315279 0 0 STEPHEN ALLEGRETTO VP 10235 359260 2958 103816 1939 68044 4870 170939 757 26563 20759 728622 0 0 WILLIAM ASELTYNE SR. VP 118241 519522 33532 147329 18051 79312 46975 206398 3844 16890 220643 969451 218 960 DANIEL BARCHI - END 113015 SR. VP 127020 508082 36285 145139 17563 70252 49633 198530 4060 16239 234561 938242 9559 38234 GAYLE CAPOZZALO EXECUTIVE VP 713269 0 274705 0 474584 0 23550 0 14735 0 1500843 0 12135 0 EUGENE COLUCCI VP 42682 384135 11109 99981 7328 65951 18509 166578 2365 21282 81993 737927 0 0 RICHARD D'AQUILA EXECUTIVE VP 253226 1012903 83006 332024 37137 148549 90743 362974 4174 16694 468286 1873144 6087 24349 MICHAEL DIMENSTEIN VP (CURRENT YEAR COMP) 12756 306154 3347 80317 2733 65630 2494 59856 814 19547 22144 531504 677 16251 MICHAEL DIMENSTEIN VP (VESTED DEFERRED COMP) 0 0 0 0 46576 1117798 0 0 0 0 46576 1117798 7960 191048 WILLIAM GEDGE - RET 93016 SR. VP (CURRENT YEAR COMP) 527632 0 183925 0 82902 0 119550 0 36901 0 950910 0 0 0 WILLIAM GEDGE - RET 93016 SR. VP (VESTED DEFERRED COMP) 0 0 0 0 3498400 0 0 0 0 0 3498400 0 1321023 0 WILLIAM JENNINGS EXECUTIVE VP 156592 626366 48832 195328 21757 87030 59818 239274 3617 14470 290616 1162468 3762 15048 ALAN KLIGER SR. VP 0 557873 0 119580 0 110832 0 90750 0 34890 0 913925 0 0 NANCY LEVITT-ROSENTHAL VP 63317 253266 16647 66587 8309 33235 28665 114661 2158 8630 119096 476379 0 0 PATRICK MCCABE SR. VP 169957 315634 56838 105556 24446 45399 79952 148482 7495 13918 338688 628989 0 0 KEVIN MYATT SR. VP 212651 318977 70470 105705 41702 62553 100296 150445 6444 9665 431563 647345 9520 14279 JAMES MORRIS VP 10454 272097 2663 69315 1917 49890 4489 116842 955 24851 20478 532995 0 0 CHRISTOPHER O'CONNOR EXECUTIVE VP & COO 822935 0 283340 0 104299 0 358561 0 29654 0 1598789 0 0 0 VINCENT PETRINI SR. VP 0 402486 0 133640 0 75216 0 189429 0 31328 0 832099 0 0 CAROLYN SALSGIVER VP 54344 217376 14535 58138 10216 40866 26331 105323 5008 20031 110434 441734 0 0 JOHN SKELLY VP 41604 374440 10176 91583 7163 64469 17847 160625 2238 20140 79028 711257 0 0 JAMES STATEN - END 1216 EXECUTIVE VP, CFO & TREASURER 369091 553636 140962 211444 42386 63578 159321 238981 12324 18486 724084 1086125 0 0 VINCENT TAMMARO EXECUTIVE VP, CFO & TREASURER 184489 276734 55574 83362 28472 42708 79165 118747 14870 22306 362570 543857 0 0 MELISSA TURNER VP 0 278098 0 76072 0 56718 0 123009 0 24585 0 558482 0 0 DAVID WURCEL VP 0 386721 0 107252 0 74261 0 84750 0 24801 0 677785 0 0 NORMAN ROTH EXECUTIVE VP 126011 504044 37704 150818 51696 206785 16150 64600 6480 25918 238041 952165 0 0 PAMELA SCAGLIARINI SR. VP 0 375952 0 73408 0 56493 0 88210 0 20695 0 614758 0 519 JOSEPH BISSON VP 363443 0 86835 0 43932 0 66750 0 21698 0 582658 0 0 0 STEPHEN CARBERY VP 287234 0 60912 0 61674 0 51506 0 19993 0 481319 0 9234 0 LISA STUMP VP 298688 0 73927 0 47880 0 57550 0 15740 0 493785 0 0 0 RICHARD STAHL PHYSICIAN 431260 0 111491 0 85524 0 27592 0 2936 0 658803 0 1584 0 MICHAEL ANGELINI VP 298227 0 58630 0 25819 0 43670 0 42486 0 468832 0 0 0 FRANK CORVINO - RET 123114 FORMER OFFICER 214763 0 287758 0 412806 0 3640 0 0 0 918967 0 404000 0 ROBERT NORDGRENMD-RET 32715 FORMER OFFICER 0 147176 0 157967 0 78294 0 129375 0 5002 0 517814 0 7354 PART I, LINE 4B 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 REPRESENTS 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 - $443,905 - RICHARD D'AQUILA - 285,367 - JAMES M. STATEN - 240,352 - CHRISTOPHER O'CONNOR - 198,811 - WILLIAM A.JENNINGS - 180,742 - DANIEL BARCHI - 144,215 - WILLIAM J.ASELTYNE - 141,464 - KEVIN A.MYATT - 132,391 - PATRICK MCCABE - 121,484 - ROBERT NORDGREN - 119,513 - VINCENT TAMMARO - 103,962 - EUGENE J.COLUCCI - 99,337 - VINCENT PETRINI - 98,479 - JOHN SKELLY - 96,527 - STEPHEN ALLEGRETTO - 96,059 - NANCY LEVITT-ROSENTHAL - 74,576 - MELISSA TURNER - 69,659 - CAROLYN SALSGIVER - 65,210 - JAMES B.MORRIS - 63,981 - PAMELA SCAGLIARINI - 22,537 - THE INDIVIDUALS LISTED BELOW BECAME VESTED IN BENEFITS VALUED AT THE AMOUNT RESPECTIVELY REPORTED BELOW DURING THE REPORTING YEAR. INCLUDED IN SECTION II, COLUMN B (III) ARE AMOUNTS VESTED DURING THE 2015 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2015 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED WILLIAM GEDGE - $3,498,400 - MICHAEL DIMENSTEIN - 1,164,373 - GAYLE CAPOZZALO - 380,628 - NORMAN ROTH - 178,599 - FIVE FORMER OFFICERS, QUINTON FRIESEN, FRANK CORVINO, PETER HERBERT, PATRICK LUDDY, AND JOSEPH JANELL RECEIVED PAYMENTS FROM THE NONQUALIFIED PLAN. THESE AMOUNTS ARE INCLUDED IN SECTION II, COLUMN B (III). THE FOLLOWING PAYMENTS WERE MADE DIRECTLY TO THEM FROM THE TRUST: QUINTON FRIESEN $127,684 FRANK CORVINO 63,698 PETER HERBERT 49,611 PATRICK LUDDY 42,792 JOSEPH JANELL 33,365 THE SUPPLEMENTAL RETIREMENT INCOME PLAN (SRIP) IS 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 6610000 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 0.00030 0.00030 0 0 1 B 0 1 1 1 0 0.00030 0.00030 0 0 1 C 0 1 1 1 0 0.00020 0.00020 0 0 1 D 0 1 1 1 0 0.00640 0.00640 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 1 1 0 1 0 0 0 1 D 0 1 1 0 1 0 0 0 1 A 0 B 0 C 0 D 0 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CHEFA - SERIES A DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES B DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES E DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 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 HAS IN-HOUSE LEGAL STAFF WHO PROVIDE ROUTINE REVIEW OF MANAGEMENT OR SERVICE CONTRACTS OR RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY TO ENSURE THAT SUCH AGREEMENTS ARE COMPLIANT WITH APPLICABLE SAFE HARBORS. IN-HOUSE COUNSEL CONSULT WITH THE HOSPITAL'S OUTSIDE BOND COUNSEL AS NEEDED, INCLUDING ON NON-ROUTINE ISSUES. PART III, LINE 9 & PART V THE ORGANIZATION HAS POLICIES AND PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH FEDERAL TAX LAW, AND TO TIMELY IDENTIFY NONCOMPLIANCE. IN THE EVENT OF NON-COMPLIANCE THE ORGANIZATION WOULD INVOLVE ITS LEGAL COUNSEL TO ADVISE REGARDING APPROPRIATE REMEDIATION. A CHEFA - SERIES E 060806186 20774YRV1 2014-06-23 80935000 CONSTRUCTION/EQUIP 0 0 1 A 1320000 92315918 1157121 91158797 2015 0 0 1 1 A 0 0 0 0 0.00580 0.00580 0 0 1 A 0 0 0 1 0 0 0 0 1 A 0 FORM 990, PART III, LINE 4A YALE NEW HAVEN HEALTH (YNHHS), WHICH MARKED ITS 20TH ANNIVERSARY AS A HEALTH SYSTEM IN 2016, ADDED LAWRENCE + MEMORIAL AND WESTERLY HOSPITALS TO THE SYSTEM IN SEPTEMBER, ALONG WITH THE L+M MEDICAL GROUP AND THE VISITING NURSE ASSOCIATION OF SOUTHEASTERN CONNECTICUT. THE SYSTEM CONTINUED ITS COMMITMENT TO PATIENT SAFETY AND QUALITY OF CARE BY IMPLEMENTING SEVERAL PROCESSES - ONGOING TRAINING, ROUNDING TO INFLUENCE STAFF, SHARING SAFETY STORIES, TRAINING SAFETY COACHES, STUDYING METRICS AND OUTCOMES AND HOLDING STAFF ACCOUNTABLE. AS A RESULT, EACH SYSTEM HOSPITAL REDUCED THE NUMBER OF SERIOUS SAFETY EVENTS. THE SYSTEM CONTINUED TO FIND WAYS TO WORK MORE ECONOMICALLY. ONGOING COST AND VALUE POSITIONING EFFORTS INCREASED EFFICIENCY, REDUCED WASTE AND CREATED MORE COST-EFFECTIVE AND BENEFICIAL PATIENT CARE PROCESSES. BY STREAMLINING AND STANDARDIZING CARE, THESE INITIATIVES SAVED NEARLY $78 MILLION, AND REDUCED THE LENGTH OF STAY AND COMPLICATIONS FOR TARGETED GROUPS OF PATIENTS AT THE VARIOUS HOSPITALS. AS A RESULT OF THE EFFECTIVE USE OF TECHNOLOGY, YNHHS WAS RECOGNIZED AS A MOST WIRED HEALTH SYSTEM BY HOSPITALS AND HEALTH NETWORKS MAGAZINE. SAFETY THROUGH TECHNOLOGY WAS A TOP PRIORITY. IN JULY, YNHHS LAUNCHED THE EPIC BEAKER LABORATORY INFORMATION SYSTEM AT BRIDGEPORT, GREENWICH AND YALE NEW HAVEN HOSPITALS. BEAKER STREAMLINED ORDERING PROCESS, PROVIDED NOTIFICATIONS TO AVOID DUPLICATE TESTS, IMPROVED SPECIMEN TRACKING AND STREAMLINED RESULTS-REPORTING. THE USE OF TELEMEDICINE EXPANDED THIS YEAR, AS YNHHS BECAME THE FIRST TRANSPLANTATION CENTER IN NEW ENGLAND TO OFFER TELEMEDICINE VIDEO VISITS TO POST-TRANSPLANT PATIENTS FOR ROUTINE FOLLOW-UP. TELEMEDICINE TECHNOLOGY WAS ALSO USED FOR TELE-PSYCHIATRY AND FOR MORE TELE-INTENSIVE CARE UNIT SERVICES ACROSS THE SYSTEM'S HOSPITALS. YNHHS INCREASED THE USE OF EMMI PATIENT ENGAGEMENT SOFTWARE HELPED PATIENTS MANAGE THEIR OWN HEALTH. EMMI'S INTERACTIVE VOICE RESPONSE CALLS REMINDED AND SCHEDULED PATIENTS WHO WERE OVERDUE FOR SCREENINGS, CHECKUPS OR FLU SHOTS. YNHHS BEGAN TO OFFER PATIENTS SOME OF EMMI'S EDUCATIONAL PROGRAMS TO HELP REINFORCE KEY MESSAGES THAT THEY RECEIVED DURING PHYSICIAN OFFICE VISITS OR HOSPITAL STAYS. CLINICAL HIGHLIGHTS OF THE YEAR INCLUDED: OPENING THE PARK AVENUE MEDICAL CENTER IN TRUMBULL AND THE LONG RIDGE MEDICAL CENTER IN STAMFORD; CREATING A SYSTEM-WIDE BEHAVIORAL HEALTH SERVICE LINE; TRANSFERRING BRIDGEPORT HOSPITAL'S INPATIENT REHABILITATION UNIT TO THE YALE NEW HAVEN REHABILITATION AND WELLNESS CENTER AT MILFORD HOSPITAL; AND EXPANDING THE YNHHS OUTPATIENT SPECIALTY PHARMACY SERVICES WITH A NEW SITE IN HAMDEN. THE SYSTEM CONTINUED INVESTING IN THE FORMER HOSPITAL OF SAINT RAPHAEL BY OPENING A 15-BED INPATIENT UNIT FOR BARIATRIC AND GASTROINTESTINAL SURGERY AND CENTER FOR MUSCULOSKELETAL CARE INPATIENT UNITS. ALSO NEW THIS YEAR IN NEW HAVEN WERE A SMILOW CANCER HOSPITAL PHASE 1 CLINICAL TRIALS UNIT ON PARK STREET AND A CENTER FOR LIVING DONORS AT THE YALE NEW HAVEN HOSPITAL TRANSPLANTATION CENTER. THROUGHOUT THE YEAR, YNHHS COLLABORATED WITH LOCAL PARTNERS TO ADDRESS COMMUNITY HEALTH NEEDS. EACH HOSPITAL WORKED WITH ITS LOCAL COMMUNITY ON HEALTH INITIATIVES AND ACCESS TO HEALTHCARE SERVICES, SUCH AS HEALTH SCREENINGS, SUPPORT GROUPS, COMMUNITY EDUCATION SESSIONS, COMMUNITY LEADERSHIP ACTIVITIES AND FINANCIAL GRANTS AND ASSISTANCE, BENEFITING OVER 157,000 PEOPLE. IN ADDITION, THIS YEAR YNHHS PROVIDED APPROXIMATELY $178.1 MILLION IN UNCOMPENSATED CARE, REPRESENTING A 15 PERCENT INCREASE FROM LAST YEAR. WITH COMMUNITY PARTNERS, YNHHS HOSPITALS COMPLETED THE TRIENNIAL COMMUNITY HEALTH NEEDS ASSESSMENTS (CHNA) FOR THE GREATER BRIDGEPORT, GREENWICH, NEW HAVEN, NEW LONDON AND WESTERLY COMMUNITIES. THE TOP HEALTH CONCERNS IN FOUR OF THE FIVE COMMUNITIES WERE HEALTHY LIFESTYLES, BEHAVIORAL HEALTH AND SUBSTANCE ABUSE, AND ACCESS TO CARE. TO ADDRESS THESE ISSUES, EACH HOSPITAL DEVELOPED A COMMUNITY HEALTH IMPROVEMENT PLAN TO GUIDE EFFORTS OVER THE NEXT THREE YEARS IN CONJUNCTION WITH LOCAL HEALTH AND NONPROFIT ORGANIZATIONS. WESTERLY HOSPITAL WORKED WITH THE HOSPITAL ASSOCIATION OF RHODE ISLAND AND SELECTED BEHAVIORAL HEALTH AS THE SOLE PRIORITY AREA. YNHHS CONTINUED ITS FOCUS ON RECRUITING AND RETAINING AN EDUCATED, ENGAGED AND HIGH-PERFORMING WORKFORCE. THE SYSTEM DEVELOPED A SINGLE SET OF PROFESSIONAL BEHAVIORAL STANDARDS TO ENSURE THAT EMPLOYEES AND MEDICAL STAFF THROUGHOUT THE SYSTEM FOLLOW HIGH-LEVEL STANDARDS OF PROFESSION BEHAVIOR AT ALL TIMES. UNDERSTANDING THAT DIVERSITY FOSTERS A MORE CREATIVE, INNOVATIVE WORKFORCE, YNHHS HIRED ITS FIRST CHIEF DIVERSITY OFFICER TO LEAD INITIATIVES AND SHAPE DIVERSITY AND INCLUSION EFFORTS RELATED TO COMMUNICATION, ITS WORKFORCE, THE PATIENT EXPERIENCE AND SUPPLIER DIVERSITY. THE SYSTEM WAS NAMED AS ONE OF "AMERICA'S BEST EMPLOYERS" OF 2016 BY FORBES MAGAZINE. FORM 990, PART VI 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. BASED ON RESPONSES TO THE QUESTIONNAIRES RECEIVED BY THE ORGANIZATION AND ANNUAL CONFLICTS OF INTEREST DISCLOSURES, THE ORGANIZATION WAS ABLE TO CONFIRM THAT SIXTEEN (16) VOTING MEMBERS ARE INDEPENDENT. 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. OFFICERS PATRICK MCCABE, JOHN SKELLY, AND DAVID WURCEL ARE DIRECTORS AND OFFICERS OF THE SAME BUSINESS ENTITY. THE ORGANIZATION'S CURRENT OFFICERS AND/OR TRUSTEES SERVE AS OFFICERS AND/OR DIRECTORS OF 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 DO NOT HAVE PERSONAL FINANCIAL INTERESTS IN THE TAXABLE AFFILIATE AND SERVE ONLY AS A FUNCTION OF THEIR ROLES WITH THE ORGANIZATION OR WITHIN THE ORGANIZATION'S CORPORATE SYSTEM. FORM 990, PART VI, SECTION A, LINE 4 EFFECTIVE SEPTEMBER 8, 2016, LAWRENCE + MEMORIAL CORPORATION ("LMC") AND ITS RELATED ORGANIZATIONS BECAME AFFILIATED WITH THE YALE NEW HAVEN HEALTH SYSTEM PURSUANT TO THE TERMS OF AN AFFILIATION AGREEMENT BETWEEN LMC AND YALE NEW HAVEN HEALTH SERVICES CORPORATION ("YNHHSC"). AS A RESULT OF THE CLOSING OF THE AFFILIATION TRANSACTION, YNHHSC BECAME THE SOLE MEMBER OF LMC. ADDITIONALLY, THE CERTIFICATE OF INCORPORATION OF YNHHSC WAS AMENDED TO EXPAND ITS SUPPORTED ORGANIZATIONS TO INCLUDE THE LMC DELIVERY NETWORK. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 TAX RETURN AND ATTACHED SCHEDULES WERE PREPARED BY EMPLOYEES OF THE SYSTEM 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 ENTITY 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 THE 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 (CC:R-7) 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 IMMEDIATELY REPORT MATERIAL 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 AND TAKE ANY ACTIONS THAT SHE DEEMS REQUIRED OR APPROPRIATE TO MANAGE OR RESOLVE A POTENTIAL CONFLICT OF INTEREST. FOR EXAMPLE, A VOTING BOARD OR COMMITTEE MEMBER WOULD BE REQUIRED TO RECUSE HIMSELF OR HERSELF FROM VOTING ON MATTERS RELATED TO THE POTENTIAL CONFLICT AND THE POTENTIAL CONFLICT WOULD BE DISCLOSED TO OTHER VOTING MEMBERS. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMPENSATION COMMITTEE OF THE YNHHS STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE EXECUTIVE COMPENSATION 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 EXECUTIVE COMPENSATION 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 EXECUTIVE COMPENSATION 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 EXECUTIVE COMPENSATION COMMITTEE IN ITS COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE EXECUTIVE COMPENSATION 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 EXECUTIVE COMPENSATION COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE, AND PROVIDED TO THE BOARD. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF FORM 990, FORM 1023 (IF AVAILABLE) AND AUDITED FINANCIAL STATEMENTS ARE MAINTAINED IN THE SYSTEM TAX DEPARTMENT. OTHER CORPORATE GOVERNING DOCUMENTS ARE MAINTAINED BY THE LEGAL AND RISK SERVICES DEPARTMENT. THE CONFLICT OF INTEREST POLICY, WHISTLEBLOWER POLICY, AND DOCUMENT RETENTION POLICY ARE AVAILABLE TO ALL EMPLOYEES ON THE CORPORATE INTERNAL WEBSITE. COPIES OF ALL DOCUMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTING FEES: PROGRAM SERVICE EXPENSES 4,214,941. MANAGEMENT AND GENERAL EXPENSES 1,174,320. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 5,389,261. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 45,936,991. MANAGEMENT AND GENERAL EXPENSES 12,798,453. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 58,735,444. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 1,269,846. MANAGEMENT AND GENERAL EXPENSES 353,790. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,623,636. FORM 990, PART XI, LINE 9: CONTRIBUTION RECEIVED IN AFFLIATION WITH LMC 36,201,090. GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646659 HEALTHCARE SERVICES CT 501C3 LINE 3 SEE SCHEDULE R PART VII 1 GREENWICH HEALTH CARE SERVICES INC - MERGED WITH GH ON 51216 5 PERRYRIDGE ROAD GREENWICH CT 06830 222593399 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 THE GREENWICH HOSPITAL ENDOWMENT FUND INC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061526642 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II SEE SCHEDULE R PART VII 1 BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 SOUTHERN CONNECTICUT HEALTH SYSTEM PROPERTIES INC 267 GRANT STREET BRIDGEPORT CT 06610 061297708 TITLE HOLDING CT 501C2 BRIDGEPORT HOSPITAL 1 BRIDGEPORT HOSPITAL AUXILIARY INC 267 GRANT STREET BRIDGEPORT CT 06610 066042500 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11A, I BRIDGEPORT HOSPITAL 1 BRIDGEPORT HOSPITAL FOUNDATION INC 267 GRANT STREET BRIDGEPORT CT 06610 222908698 SYSTEM SUPPORT SERVICES CT 501C3 LINE 7 BRIDGEPORT HOSPITAL 1 NORTHEAST MEDICAL GROUP INC 99 HAWLEY LANE STRATFORD CT 06614 061330992 HEALTHCARE SERVICES CT 501C3 LINE 9 YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 NORTHEAST MEDICAL GROUP PLLC 99 HAWLEY LANE STRATFORD CT 06614 352380180 HEALTHCARE SERVICES CT 501C3 LINE 11A, I NORTHEAST MEDICAL GROUP INC 1 YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06504 060646652 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 YALE-NEW HAVEN CARE CONTINUUM CORP 789 HOWARD AVE NEW HAVEN CT 06519 455235566 NURSING HOME CT 501C3 LINE 3 YALE NEW HAVEN HOSPITAL 1 PERRYRIDGE CORPORATION 5 PERRYRIDGE ROAD GREENWICH CT 06830 061207316 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II SEE SCHEDULE R PART VII 1 BRIDGEPORT HOSPITAL FRIENDS OF PEDIATRICS 120 COLUMBINE DRIVE TRUMBULL CT 06611 066048427 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11A, I YALE NEW HAVEN HOSPITAL 1 LAWRENCE MEMORIAL CORPORATION 365 MONTAUK AVENUE NEW LONDON CT 06320 222553028 PROMOTE HEALTHCARE CT 501C3 LINE 9 YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 LAWRENCE MEMORIAL HOSPITAL INC 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 HEALTHCARE SERVICES CT 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 ASSOCIATED SPECIALISTS OF SOUTHEASTERN CT INC 365 MONTAUK AVENUE NEW LONDON CT 06320 208006123 HEALTHCARE SERVICES CT 501C3 LINE 11A, I LAWRENCE MEMORIAL HOSPITAL INC 1 VISITING NURSE ASSOCIATION OF SOUTHEASTERN CT INC 403 NORTH FRONTAGE ROAD WATERFORD CT 06385 060646616 HOME HEALTHCARE SERVICES CT 501C3 LINE 9 LAWRENCE MEMORIAL CORPORATION 1 L&M PHYSICIAN ASSOCIATION INC 365 MONTAUK AVENUE NEW LONDON CT 06320 271094375 HEALTHCARE SERVICES CT 501C3 LINE 11A, I LAWRENCE MEMORIAL CORPORATION 1 LAWRENCE AND MEMORIAL FOUNDATION INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553026 FUNDRAISING SERVICES CT 501C3 PF LAWRENCE MEMORIAL CORPORATION 1 LMW HEALTHCARE INC DBA WESTERLY HOSPITAL 365 MONTAUK AVENUE NEW LONDON CT 06320 460543230 HEALTHCARE SERVICES RI 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 THE WESTERLY HOSPITAL FOUNDATION 25 WELLS STREET WESTERLY RI 02891 050508064 FUNDRAISING SERVICES RI 501C3 LINE 11A, I LMW HEALTHCARE INC 1 WESTERLY HOSPITAL AUXILIARY INC 25 WELLS STREET WESTERLY RI 02891 222507181 FUNDRAISING ACTIVITIES RI 501C3 LINE 11C, III-FI LMW HEALTHCARE INC 1 L&M HEALTHCARE INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553031 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11A, I 1 SHORELINE SURGERY CENTER LLC 111 GOOSE LANE GUILFORD CT 06437 900110459 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 3781631 1255757 0 0 0.51000 SSC II LLC 111 GOOSE LANE GUILFORD CT 06437 261709382 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 2931492 1397576 0 0 0.51000 ORTHOPAEDIC & NEUROSURGERY CENTER LLC 55 HOLLY HILL LANE GREENWICH CT 06830 273477197 HEALTHCARE SERVICES CT GREENWICH AMBULATORY SERVICE CORP RELATED 801312 92592 0 0 0.35000 TOTAL HEALTH CONNECTICUT LLC 789 HOWARD AVENUE NEW HAVEN CT 06519 474070024 HEALTHCARE SERVICES CT YALE NEW HAVEN HEALTH SERVICES CORPORATION RELATED 0 0 0.60000 YALE NEW HAVEN HEALTH SYSTEM INVESTMENT 20 YORK STREET NEW HAVEN CT 06510 271374301 INVESTMENT DE YALE NEW HAVEN HEALTH SERVICES CORPORATION RELATED 38076739 0 0 0.02140 YNHHS-MSO INC 789 HOWARD AVE NEW HAVEN CT 06519 061467717 MANAGEMENT SERVICES CT N/A C 260120 1.00000 1 YALE-NEW HAVEN AMBULATORY SERVICES 40 TEMPLE STREET NEW HAVEN CT 06510 061398526 HEALTHCARE SERVICES CT YALE NEW HAVEN HOSPITAL C 2151858 12851998 1.00000 1 MEDICAL CENTER REALTY INC 50 YORK STREET NEW HAVEN CT 06511 061110858 REAL ESTATE RENTAL CT YORK ENTERPRISES INC C 433646 2803308 1.00000 1 GREENWICH FERTILITY & IVF CENTER PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 300145464 HEALTHCARE SERVICES CT GREENWICH HOSPITAL C 3863828 2424217 1.00000 1 YORK ENTERPRISES INC 50 YORK STREET NEW HAVEN CT 06511 061110937 TITLE HOLDING CT YALE NEW HAVEN HOSPITAL C 15586397 1.00000 1 YNHH-PHYSICIANS CORP 789 HOWARD AVE NEW HAVEN CT 06519 061202305 ADMININISTRATIVE SERVICES CT N/A C 73592 1.00000 1 MEDICAL CENTER PHARMACY INC 50 YORK STREET NEW HAVEN CT 06511 061087673 PHARMACY CT YORK ENTERPRISES INC C 7553348 17803580 1.00000 1 CENTURY FINANCIAL SERVICES INC 23 MAIDEN LANE NORTH HAVEN CT 06473 061110797 DEBT COLLECTION CT YORK ENTERPRISES INC C 6018705 3378759 1.00000 1 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NEW YORK PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061540101 HEALTHCARE NY GREENWICH HEALTH SERVICES INC C 315893 299287 1.00000 1 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NJ PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 453833883 HEALTHCARE NJ GREENWICH HEALTH SERVICES INC C 207822 79164 1.00000 1 PRIMARYNET OF CONNECTICUT INC - DISSOLVED 93016 789 HOWARD AVE NEW HAVEN CT 06519 061463534 HEALTHCARE CT CHC PHYSICIANS INC C 1.00000 1 CENTURY MANAGEMENT SERVICES INC 23 MAIDEN LANE NORTH HAVEN CT 06473 061303173 RECEIVABLE MANAGEMENT CT YORK ENTERPRISES INC C 1.00000 1 L & M SYSTEMS INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553037 HEALTHCARE RELATED SERVICES CT LAWRENCE MEMORIAL CORPORATION C 1153 1.00000 1 L&M HOME CARE SERVICES INC 365 MONTAUK AVENUE NEW LONDON CT 06320 061389272 HOME THERAPY CT LAWRENCE MEMORIAL CORPORATION C 282802 120351 1.00000 1 LAWRENCE & MEMORIAL INDEMNITY COMPANY LTD PO BOX 1159 GRAND CAYMAN CJ KY1-1102 981021436 INSURANCE CJ LAWRENCE MEMORIAL CORPORATION C 36274691 1.00000 1 0 0 0 1 0 0 0 0 0 0 1 1 1 0 1 1 1 1 1 BRIDGEPORT HOSPITAL L 77416962 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL M 11098363 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL P 5292353 TRANSACTION REVIEW BRIDGEPORT HOSPITAL Q 79217925 TRANSACTION REVIEW CENTURY FINANCIAL SERVICES INC L 96379 COMPARABLE MARKET VALUE GREENWICH HOSPITAL L 1368635 COMPARABLE MARKET VALUE GREENWICH HOSPITAL M 53468472 COMPARABLE MARKET VALUE GREENWICH HOSPITAL P 55595097 TRANSACTION REVIEW GREENWICH HOSPITAL Q 5687868 TRANSACTION REVIEW LAWRENCE MEMORIAL HOSPITAL L 5853541 COMPARABLE MARKET VALUE LAWRENCE MEMORIAL HOSPITAL S 36201000 CASH NORTHEAST MEDICAL GROUP INC R 42822019 CASH YALE NEW HAVEN HOSPITAL L 240441569 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL M 37915079 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL P 28736686 TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL R 5836451 CASH YALE NEW HAVEN HOSPITAL S 15696369 CASH YORK ENTERPRISES INC L 835364 COMPARABLE MARKET VALUE NORTHEAST MEDICAL GROUP INC L 12201705 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL K 3278000 COMPARABLE MARKET VALUE YALE NEW HAVEN AMBULATORY SERVICES CORP L 218320 COMPARABLE MARKET VALUE YALE NEW HAVEN CARE CONTINUUM CORP L 411882 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL Q 230992216 TRANSACTION REVIEW GREENWICH HEALTH CARE SERVICES INC S 7552821 CASH GREENWICH HEALTH CARE SERVICES INC D 1852862 CASH PART II, COLUMN F - DIRECT CONTROLLING ENTITY OF TAX EXEMPTS ORGANIZATIONS: PART II (F), DIRECT CONTROLLING ENTITY OF TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATION: GREENWICH HOSPITAL DIRECT CONTROLLING ENTITY: GREENWICH HEALTH CARE SERVICES, INC. THROUGH 5/12/16, AFTER YALE NEW HAVEN HEALTH SERVICES CORPORATION. NAME OF RELATED ORGANIZATION: PERRYRIDGE CORPORATION DIRECT CONTROLLING ENTITY: GREENWICH HEALTH CARE SERVICES, INC. THROUGH 5/12/16, AFTER GREENWICH HOSPTIAL. NAME OF RELATED ORGANIZATION: THE GREENWICH HOSPITAL ENDOWMENT FUND INC DIRECT CONTROLLING ENTITY: GREENWICH HEALTH CARE SERVICES, INC. THROUGH 5/12/16, AFTER GREENWICH HOSPTIAL.