2017-08-08T14:26:28-05:00 2016-09-30 454084437 Warren Averett LLC 2500 Acton Road Birmingham AL 35243 990 2015-10-01 630649108 UNIVERSITY OF ALABAMA HEALTH SERVICES Foundation PC UNIV 2057319600 PO BOX 55407 BIRMINGHAM AL 35255 MICHAEL HECKMAN CFO 2057319600 2017-08-01 1 JC Rouse P00081132 2059794100 2017-08-01 2015 2021-01-29 14:40:06Z patricia pritchett PO BOX 55407 BIRMINGHAM AL 35255 665389926 0 X N/A X 1973 AL COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING. 18 10 3791 98 0 0 0 0 510115019 527400412 17586745 19117562 33509129 42958011 561210893 589475985 36113858 45685483 0 0 374939068 414081485 0 0 0 149073062 112567032 560125988 572334000 1084905 17141985 827299090 877548590 479944741 513729729 347354349 363818861 COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING WITHIN THE ACADEMIC ENVIRONMENT OF THE UNIVERSITY OF ALABAMA AT BIRMINGHAM. 0 0 472184899 45685483 527620098 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. 472184899 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 18 10 0 0 0 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 3.00 0.00 X 900 0 0 LEE J STYSLINGER III DIRECTOR 0.00 0.00 X 0 0 0 DONALD M JAMES DIRECTOR 3.00 0.00 X 900 0 0 VAN L RICHEY DIRECTOR 3.00 0.00 X 900 0 0 MIMI HEAD DIRECTOR 4.00 0.00 X 1200 0 0 TIM LEWIS DIRECTOR 3.00 0.00 X 900 0 0 SELWYN M VICKERS MD DIRECTOR/PHYSICIAN 50.00 0.00 X 97050 852070 199942 DAVID G STANDAERT MD DIRECTOR/PHYSICIAN 50.00 0.00 X 97938 397819 65913 ISSAC W FERNIANY MD DIRECTOR/CEO UAB HS 0.00 50.00 X 0 1069659 223291 CHARLES S LANDEFELD MD DIRECTOR/PHYSICIAN 50.00 0.00 X 348653 223412 98166 Cheri L Canon MD Director/PHYSICIAN 50.00 0.00 X 455842 230246 97086 Mitchell B Cohen MD Director/PhysICIAN 50.00 0.00 X 324406 281721 61749 Keith A Jones MD Director/PhysICIAN 50.00 0.00 X 337357 320559 95463 HERBERT CHEN MD DIRECTOR/PHYSICIAN 50.00 0.00 X 224044 50097 27377 JOHN R THOMAS DIRECTOR 4.00 0.00 X 1200 0 0 JEFFREY A BAYER DIRECTOR 2.00 0.00 X 600 0 0 CT FITZPATRICK DIRECTOR 0.00 0.00 X 0 0 0 CHARLES D PERRY JR DIRECTOR 4.00 0.00 X 1200 0 0 JAMES A BONNER MD PRESIDENT/PHYSICIAN 50.00 0.00 X 478078 370905 99323 PATRICIA PRITCHETT EXECUTIVE VICE PRESIDENT 50.00 0.00 X 297370 203314 70345 MICHAEL F HECKMAN CFO 50.00 0.00 X 264997 0 43558 ROBERT J CERFOLIO MD PROFESSOR/PHYSICIAN 50.00 0.00 X 915070 78788 90523 JAMES K KIRKLIN MD PROFESSOR/PHYSICIAN 50.00 0.00 X 921354 318417 131902 MARK N HADLEY MD PROFESSOR/PHYSICIAN 50.00 0.00 X 944293 70850 64503 Robert J Dabal MD ProFESSOR/PHYSICIAN 50.00 0.00 X 790313 42983 64030 James E Davies MD ProfeSSOR/PHYSICIAN 50.00 0.00 X 992208 38450 59445 7496773 4549290 1492616 912 0 1 0 Brasfield & Gorrie Inc PO Box 11407 BirmINGHAM AL 35246 ConSTRUCTION MANAGEMENT 8590023 IRON MOUNTAIN RECORDS MANAGEMENT PO BOX 530487 BIRMINGHAM AL 35253 RECORD MANAGEMENT 1597043 PlaTINUM AIR SERVICE LLC 26840 SHOREGRASS DRIVE WesLEY CHAPEL FL 33543 Air SERVICE 1384428 KPS GROUP 60 14TH STREET SOUTH SUITE 100 BIRMINGHAM AL 35233 ENGINEER DESIGN SERVICES 723968 GRESHAM SMITH & PARTNERS PO Box 440029 NASHVILLE TN 37244 ARCHITECTUAL DESIGN SERVICES 343790 29 NET PATIENT REVENUE 900099 400209432 400209432 HEALTHCARE SERVICES 900099 104699224 104699224 ORGAN/TISSUE REC 900099 22491756 22491756 527400412 4824364 4824364 36069533 0 36069533 36069533 36069533 80156255 10050884 65779170 10134771 14377085 -83887 14293198 14293198 GAIN ON EQUITY IN PLTF 900099 5569848 5569848 GAIN ON EQUITY IN CAC 900099 1098944 1098944 MISCELLANEOUS INCOME 900099 219686 219686 6888478 589475985 527620098 0 61855887 45685483 45685483 3293555 1174994 2118561 341710935 289497965 52212970 928736 662393 266343 52682025 40413208 12268817 15466234 11786695 3679539 1228268 612793 615475 779067 779067 242220 242220 73314 73314 1395579 1395579 4261610 4261610 641774 641774 5995443 4123313 1872130 10453004 10453004 7917092 3554738 4362354 3724891 2138910 1585981 842347 374855 467492 4733736 4733736 14614729 5846072 8768657 2310143 2310143 MEDICAL, SURGICAL AND L 23416896 23416896 SUPPORT SERVICES PRIMAR 15583543 15583543 REPAIRS AND MAINTENANCE 2789257 2789257 RECRUITING AND RELOCATI 1756643 1756643 9807476 4273491 5533985 572334000 472184899 100149101 0 7681 72022 39341613 21803600 50297403 59040313 156037 104167 18699204 28314043 143839 95557 6559588 8024361 305553694 154898160 153090370 150655534 454046251 452586933 85529531 124267418 19427573 32584642 827299090 877548590 119295136 126225693 205937144 218300123 154712461 169203913 479944741 513729729 X 347354349 363818861 347354349 363818861 827299090 877548590 X 17141985 6889653 -7567126 X X 0 1 X 1 1 1 X 452831672 489179756 510197043 510115019 527400412 2489723902 452831672 489179756 510197043 510115019 527400412 2489723902 0 0 0 2489723902 6264280 6811184 11183352 44569401 40893897 109722114 6264280 6811184 11183352 44569401 40893897 109722114 835395 10256175 8149311 -6368492 6888478 19760867 459931347 506247115 529529706 548315928 575182787 2619206883 0.95060 0.96300 0.04190 0.03160 X 73314 73314 572260686 572334000 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 48547 70714 83103 73314 275678 250000 250000 250000 250000 1000000 1500000 48547 70714 83103 73314 275678 197465931 15756161 -18664000 194558092 214385005 2400000 -12919074 6400000 197465931 207293345 18551670 11460010 214385005 192858403 26434942 12000000 207293345 173460816 23840501 4442914 192858403 1.00000 0.00000 0.00000 0 0 27720377 27720377 155449409 77642745 77806664 31301113 18783834 12517279 43679494 31110574 12568920 47403301 27361007 20042294 150655534 CASH AND CASH EQUIVALENTS 13407203 F POOLED INVESTMENTS - CASH EQUIVALENTS 23747842 F POOLED INVESTMENTS - ACCRUED INCOME 199158 F DEFERRED COMP. INVESTMENTS - CASH EQUIVALENTS 3935280 F Investment in TRUST FUND 72452155 F Investment in CACC, LLC 1985703 F CERTIFICATES OF DEPOSIT 8540077 F 124267418 DEFERRED COMPENSATION 136372694 POST RETIREMENT LIABILITIES 32831219 169203913 X 599234399 6889653 -7567126 -677473 599911872 -10435887 -10435887 589475985 582769887 0 582769887 -10435887 -10435887 572334000 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, 2016, that it would be unable to substantiate. The Foundation has filed its not-for-profit tax returns for all years through September 30, 2015. Years ended September 30, 2012, and subsequent remain subject to audit by taxing authorities. Part XI, Line 2d - Other Adjustments: Change in Net Pension and other postretirement benefit obligations -7,567,126. Part XI, Line 4b - Other Adjustments: INVESTMENT (INCOME) LOSS FROM DEFERRED COMPENSATION ASSETS -10,478,089. EXPENSES SHOWN AS A REDUCTION TO INCOME ON BOOKS 42,202. Part XII, Line 4b - Other Adjustments: INVESTMENT (INCOME) LOSS FROM DEFERRED COMPENSATION ASSETS -10,478,089. EXPENSES SHOWN AS A REDUCTION TO INCOME ON BOOKS 42,202. 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 35294 636005396 POLITICAL SUB 45685483 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 41492 651737 0 178950 55558 21383 6525 172593 18203 8869 121778 1033532 0 0 DAVID G STANDAERT MD DIRECTOR/PHYSICIAN 40344 395400 57548 0 46 2419 6092 43670 16000 2370 120030 443859 0 0 ISSAC W FERNIANY MD DIRECTOR/CEO UAB HS 0 668343 0 390995 0 10321 0 206854 0 23788 0 1300301 0 0 CHARLES S LANDEFELD MD DIRECTOR/PHYSICIAN 283960 217900 62238 0 2455 5512 34583 54113 11617 1577 394853 279102 0 0 Cheri L Canon MD Director/PHYSICIAN 378561 229489 76489 0 792 757 34583 38576 27070 1629 517495 270451 0 0 Mitchell B Cohen MD Director/PhysICIAN 256308 255000 65920 24622 2178 2099 8483 44745 11005 1140 343894 327606 0 0 Keith A Jones MD Director/PhysICIAN 261335 317224 74576 1500 1446 1835 34537 65533 19177 3079 391071 389171 0 0 HERBERT CHEN MD DIRECTOR/PHYSICIAN 173347 50000 50000 0 697 97 0 23420 5396 223 229440 73740 0 0 JAMES A BONNER MD PRESIDENT/PHYSICIAN 354886 368244 121092 0 2100 2661 34583 43655 22921 3308 535582 417868 0 0 PATRICIA PRITCHETT EXECUTIVE VICE PRESIDENT 176596 180371 119866 0 908 22943 23523 40648 7898 1983 328791 245945 0 0 MICHAEL F HECKMAN CFO 208541 0 55316 0 1140 0 28198 0 17426 0 310621 0 0 0 ROBERT J CERFOLIO MD PROFESSOR/PHYSICIAN 912217 78396 0 0 2853 392 34583 37337 23830 1511 973483 117636 0 0 JAMES K KIRKLIN MD PROFESSOR/PHYSICIAN 752310 315268 0 0 169044 3149 70583 52957 12628 2013 1004565 373387 0 0 MARK N HADLEY MD PROFESSOR/PHYSICIAN 441961 70217 499700 0 2632 633 34583 11873 21725 917 1000601 83640 0 0 Robert J Dabal MD ProFESSOR/PHYSICIAN 566208 42843 223000 0 1105 140 34583 8383 5864 20493 830760 71859 0 0 James E Davies MD ProfeSSOR/PHYSICIAN 430610 38400 561140 0 458 50 34583 6539 21022 774 1047813 45763 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 2011-09-07 210490000 PRIOR ISSUE REFUND AND FINANCING 0 0 0 B tHE MEDICAL CLINIC BOARD OF THE CITY OF BIRMINGHAM - UAHSF 621375181 noneavail 2015-11-01 20000000 FINANCING CAPITAL ASSETS 0 0 0 A 210490000 38089942 2016 1 1 1 1 B 20000000 6752092 2018 0 0 0 1 A 0 1 0 0 0.01440 0.00000 0.01440 0 1 0.01390 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 0 1 0 0 0 0 B 0 0 0 0 0 0 0 0 0 A 1 B 1 SELWYN VICKERS RECRUITING LOAN X 250000 104167 0 1 1 104167 Form 990, Part VI, Section B, line 11 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 -7,567,126. 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 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 1 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM B 45685483 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM K 4619877 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM P 9580000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM R 20996000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM S 59367000 FMV - CASH UAB HEALTH SYSTEM R 6568000 FMV - CASH UAB HEALTH SYSTEM S 15821 FMV - CASH