2016-11-11T06:31:24-06:00 2015-12-31 861065772 DELOITTE TAX LLP 655 WEST BROADWAY SUITE 700 SAN DIEGO CA 921018590 990 2015-01-01 264146730 GARY AND MARY WEST HEALTH INSTITUTE GARY 8585357000 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 MICHAEL CAPONETTO CFO 8585357000 2016-11-10 1 DIANA J MCCUTCHEN P00545657 6192326500 2015 2017-02-10 21:41:12Z SHELLEY LYFORD 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 13448412 0 X WWW.WESTHEALTH.ORG X 2009 DE CONDUCTING MEDICAL RESEARCH WITH HOSPITALS TO REDUCE HEALTHCARE COSTS WITH A FOCUS ON SENIORS. 5 3 29 5 0 0 9029124 12800000 0 0 91956 122954 253009 516329 9374089 13439283 0 46709 0 0 8354959 5072503 0 0 0 10560603 10740311 18915562 15859523 -9541473 -2420240 15259994 11072126 2375637 1679572 12884357 9392554 X THE INSTITUTE HAS FURTHER FOCUSED ITS MISSION FROM THE BROAD BASED MISSION OF PIONEERING NEW AND SMARTER TECHNOLOGIES, POLICIES AND PRACTICES TO MAKE HIGH QUALITY HEALTHCARE MORE ACCESSIBLE AT A LOWER COST TO ALL TO A MORE FOCUSED MISSION OF ENABLING SENIORS TO SUCCESSFULLY AGE IN PLACE WITH ACCESS TO HIGH-QUALITY HEALTH AND SUPPORT SERVICES THAT PRESERVE AND PROTECT THEIR DIGNITY, QUALITY OF LIFE AND INDEPENDENCE. 0 0 8839848 46709 0 IN 2015, THE GARY AND MARY WEST HEALTH INSTITUTE (INSTITUTE) ACTIVELY CONDUCTED APPLIED MEDICAL RESEARCH, IN CONJUNCTION WITH THE HOSPITALS LISTED ON SCHEDULE A. THIS RESEARCH INVOLVED THE USE OF MEDICALLY-RELATED TECHNOLOGIES, PROCESSES AND PRACTICES TO PIONEER NEW AND SMARTER APPROACHES TO CARE DELIVERY AND PAYMENT AND CARE COORDINATION, AS WELL AS ADDRESSING OVERUTILIZATION. THE ULTIMATE OBJECTIVE FOR SUCH RESEARCH IS TO INTRODUCE SAFE, EFFECTIVE AND LESS COSTLY MEANS FOR DELIVERING HIGH-QUALITY HEALTHCARE. IN LATE 2015, THE INSTITUTE FURTHER FOCUSED ITS WORK AROUND ACTIVELY RESEARCHING SENIOR-APPROPRIATE ACUTE, LONG-TERM AND CHRONIC CARE MODELS THAT SUPPORT INDEPENDENCE FOR SENIORS IN A COST-EFFECTIVE MANNER. AMERICANS ARE LIVING LONGER AND BETTER THAN EVER BEFORE THANKS TO MAJOR MEDICAL AND PUBLIC HEALTH ADVANCES, AND GREATER ACCESS TO HEALTHCARE. HOWEVER, AS OUR POPULATION AGES AND GROWS, WE FACE SIGNIFICANT CHALLENGES TO LIVING OUT OUR YEARS IN THE BEST WAY POSSIBLE. WE ARE IN THE MIDST OF ONE OF THE LARGEST DEMOGRAPHIC SHIFTS IN U.S. HISTORY AS BABY BOOMERS TURN 65 AT THE RATE OF 10,000 A DAY. THIS IS ALREADY HAVING A MAJOR IMPACT ON OUR HEALTHCARE SYSTEM AND COMMUNITY-BASED SERVICES, WHICH ARE NOT SCALED OR STRUCTURED TO MEET THE DEMANDS, NEEDS AND EXPECTATIONS OF SENIORS AND THEIR FAMILIES.IN 2015, THE INSTITUTE HAD THE FOLLOWING ACTIVE RESEARCH FOCUS AREAS:1. SENIOR APPROPRIATE ACUTE, LONG-TERM AND CHRONIC CARE, WHICH IS ESSENTIAL AS SENIORS ARE A SIGNIFICANT GROWING POPULATION WITHIN OUR HIGHLY FRAGMENTED HEALTHCARE SYSTEM; AND2. OTHER AUTOMATED, CONNECTED AND COORDINATED CARE, WHICH LOWERS HEALTHCARE COSTS BY DELIVERING CARE AT HOME OR IN THE MOST OPTIMUM SETTING TO PREVENT MORE EXPENSIVE, HOSPITAL-BASED EVENTS.THE FOLLOWING IS AN OVERVIEW OF THE INSTITUTE'S RESEARCH PROJECTS IN 2015:1. SENIOR CAREA) EMERGENCY DEPARTMENT TO HOME: THE INSTITUTE IS ENGAGED IN TWO MAIN RESEARCH STUDIES FOR 2015 REGARDING ITS EMERGENCY DEPARTMENT TO HOME PROGRAM. ONE STUDY, IDENTIFIED AS THE "ACUTE CARE AT HOME (ACH)" PROGRAM, IS A FOLLOW ON COLLABORATION WITH THE UNIVERSITY OF CALIFORNIA, SAN DIEGO (UCSD) DEPARTMENT OF EMERGENCY MEDICINE, BUILDING ON OUR EARLIER ANALYSIS OF KNOWLEDGE AND WILLINGNESS BY EMERGENCY PHYSICIANS TO TRANSITION APPROPRIATE PATIENTS TO HOME HEALTH AS AN ALTERNATIVE TO INPATIENT HOSPITAL ADMISSION. THE PRESENT FOLLOW-ON STUDY INVOLVES ACTUAL PATIENT TRANSITIONS AS ALTERNATIVES TO ADMISSIONS. THE OTHER COLLABORATION, IDENTIFIED AS "TREATMENT AT HOME OPTION (TAHO)," IS BEING CONDUCTED IN COLLABORATION WITH GEISINGER HEALTH SYSTEM. TAHO ALSO INVOLVES ACTUAL PATIENT TRANSITIONS FROM THE EMERGENCY DEPARTMENT AS AN ALTERNATIVE TO ADMISSION. WHILE THE UCSD STUDY USES HOME HEALTH SERVICES, THE GEISINGER PROGRAM EXPLORES THE USE OF COMMUNITY PARAMEDICS. IN ADDITION TO THE ABOVE, IN COLLABORATION WITH MOUNT SINAI HOSPITAL, THE INSTITUTE CONCLUDED HOME CARE RESEARCH TO BETTER UNDERSTAND BARRIERS TO INNOVATION IN THE DEVELOPMENT OF EMERGENCY MEDICAL SERVICES IN SUPPORT OF AVOIDING UNNECESSARY HOSPITALIZATIONS. THE RESEARCH EVALUATED GAPS AND OPPORTUNITIES TO SUPPORT MORE CARE IN THE HOME, INCLUDING: 24 HOUR RESPONSE, 911 COORDINATION WITH HOME HEALTH, AND EXPANSION OF THE HEALTHCARE WORKFORCE.B) HOME-BASED PRIMARY CARE (HBPC): THE INSTITUTE'S WORK ON HOME-BASED PRIMARY CARE INCLUDES THREE RESEARCH PROJECTS. THE FIRST, IN COLLABORATION WITH MEDSTAR WASHINGTON HOSPITAL CENTER, THE INSTITUTE CONDUCTED MEDICAL RESEARCH TO EXPLORE NEW CARE DELIVERY MODELS TO CHRONICALLY ILL, FRAIL, ELDERLY PATIENTS, FOCUSED ON TECHNOLOGIES AND PRACTICES THAT WOULD BETTER ENABLE WIDESPREAD SCALABILITY AND SUSTAINABILITY. THIS INCLUDED WORK TO DEMONSTRATE OPERATIONAL IMPROVEMENTS RELATED TO DISPATCH AND TRIAGE. SECONDLY, THE INSTITUTE, IN COLLABORATION WITH UNIVERSITY OF CALIFORNIA, SAN FRANCISCO AND JOHNS HOPKINS UNIVERSITY, WORKED TO OBTAIN APPROVAL BY CMS TO LAUNCH A QUALIFIED CLINICAL DATA REGISTRY FOR HBPC PRACTICES. C) LONG TERM SERVICES AND SUPPORTS: IN CONJUNCTION WITH THE INSTITUTE'S HBPC WORK, THE INSTITUTE EMBARKED ON RESEARCH TO DEMONSTRATE HOW COORDINATING LONG-TERM SERVICES AND SUPPORTS WITHIN A HBPC MEDICAL PRACTICE FACILITATES MEETING PATIENT/FAMILY NEEDS TO IMPROVE THE CONTINUUM OF CARE. HOW THESE NON-CLINICAL SERVICES AND SUPPORTS ARE PROVIDED AND COORDINATED THROUGH THE HBPC PRACTICE VARIES CONSIDERABLY. THE INSTITUTE IS INTERESTED IN UNDERSTANDING HOW THESE SERVICES ARE PROVIDED AND COORDINATED IN A SEAMLESS WAY BY ASSESSING, INTERVIEWING, AND UNDERSTANDING HOW HBPC PRACTICES FACILITATE AND INTEGRATE LTSS. THE INSTITUTE BELIEVES THIS INTEGRATION SUPPORTS CLINICAL CARE, HELPS REDUCE COST, DECREASES UTILIZATION, AND IMPROVES FAMILY/PATIENT SATISFACTION.D) SENIOR EMERGENCY CARE UNIT: THE INSTITUTE ENTERED INTO A RESEARCH COLLABORATION WITH THE UNIVERSITY OF CALIFORNIA, SAN DIEGO (UCSD) HEALTH SYSTEM TO CONDUCT MEDICAL RESEARCH ON A NEWLY DEVELOPED GERIATRIC EMERGENCY DEPARTMENT (GED). THE FIRST PHASE OF THIS RESEARCH BEGAN IN 2015 AND CONTINUED INTO 2016. DURING THIS PHASE, UCSD AND THE INSTITUTE CONDUCTED PRIMARY AND SECONDARY RESEARCH ON GERIATRIC CENTERS OF EXCELLENCE, INCLUDING GERIATRIC EMERGENCY DEPARTMENTS, IN THE FORM OF STAKEHOLDER INTERVIEWS, SITE VISITS, LITERATURE REVIEWS, ETC., IN ORDER TO HARVEST BEST PRACTICES AND IDENTIFY THE NECESSARY REQUIREMENTS, CONSTITUENTS AND SERVICES FOR IMPLEMENTING AND OPERATIONALIZING A GED. ADDITIONALLY, UCSD AND THE INSTITUTE ASSESSED CURRENT OPERATIONS AND PATIENT FLOW IN UCSD'S LA JOLLA EMERGENCY DEPARTMENT WITH A FOCUS ON MAKING RECOMMENDATIONS FOR CLINICAL CARE, WORKFLOW, STAFFING, AND OPERATIONS FOR A GED. AS A RESULT OF THE PHASE 1 RESEARCH, UCSD AND THE INSTITUTE DEVELOPED A COMPREHENSIVE FOUNDATION TO MAKE WELL-INFORMED DECISIONS REGARDING THE CLINICAL DEVELOPMENT OF A GED, A PRE-LAUNCH STRATEGIC PLAN FOR A GED AND A PROPOSAL FOR A SUBSEQUENT PHASE OF GED RESEARCH.E) CARGIVERS: IN TODAY'S HEALTHCARE ENVIRONMENT FAMILY CAREGIVERS OFTEN PROVIDE COMPLEX MEDICAL AND NURSING CARE AT HOME THAT DECADES AGO WOULD ONLY HAVE BEEN PROVIDED IN HOSPITALS BY TRAINED PROFESSIONALS. THE LACK OF ADEQUATE AND APPROPRIATE TRAINING AND SUPPORT FOR FAMILY CAREGIVERS CARING FOR PEOPLE WITH MULTIPLE CHRONIC CONDITIONS IS A CRISIS THAT DEMANDS URGENT ATTENTION. IN AN EFFORT TO ADDRESS THE GAP IN SKILLS TRAINING AND SUPPORT FOR FAMILY CAREGIVERS, IN LATE 2015, THE INSTITUTE LAUNCHED RESEARCH TO DEVELOP A SCALABLE, LOW-COST, ONLINE LEARNING PLATFORM AIMED AT FAMILY AND OTHER "INFORMAL" CAREGIVERS THAT RECOGNIZES THE LEVEL OF SKILL, KNOWLEDGE, AND EXPERTISE REQUIRED TO FULFILL THEIR ROLE.F) INTEGRATED ORAL AND HEALTHCARE COORDINATION: DISEASE PREVENTION REQUIRES PATIENT-CENTERED MODELS THAT INTEGRATE CARE COORDINATION AND CHRONIC CARE MANAGEMENT, PROMISING IMPROVED CLINICAL OUTCOMES AND REDUCED COST. THE INSTITUTE HYPOTHESIZES THAT LOCALIZATION AND IMPLEMENTATION OF AN INTEGRATED ORAL HEALTH AND CARE COORDINATION MODEL IN A COMMUNITY WELLNESS ORGANIZATION WILL RESULT IN INCREASED ACCESS TO TIMELY SERVICES, BETTER QUALITY, LOWER COSTS AND BETTER HEALTH AND SURVIVAL. CONSEQUENTLY, IN LATE 2015, THE INSTITUTE LAUNCHED INITIATIVES TO RESEARCH CUTTING EDGE STRATEGIES TO INTEGRATE AND COORDINATE ORAL AND GENERAL HEALTHCARE NEEDS FOR VULNERABLE SENIORS.2. AUTOMATED, CONNECTED AND COORDINATED CARE AND OTHER RESEARCHA) EMMERSIV AUTISM RESEARCH PROJECT: IN 2015, THE INSTITUTE CONCLUDED ITS RESEARCH STUDY, IN COLLABORATION WITH RADY CHILDREN'S HOSPITAL SAN DIEGO, TO RESEARCH A SUPPLEMENTAL BEHAVIORAL THERAPY SOFTWARE SOLUTION BUILT ON MICROSOFT'S KINECT FOR WINDOWS PLATFORM. THE RESEARCH TEAM'S ETHNOGRAPHIC STUDY RESEARCH FINDINGS WERE SUBMITTED TO AN AUTISM RESEARCH JOURNAL IN ORDER TO SHARE THE INSTITUTE'S LEARNINGS WITH THE AUTISM RESEARCH COMMUNITY AT-LARGE. TO FURTHER ADVANCE THE WORK ON AUTISM THERAPY, THE INSTITUTE DONATED THE PROTOTYPE, TECHNICAL AND CLINICAL ASSETS RELATING TO THE WORK TO NORTHEASTERN UNIVERSITY'S BOUV COLLEGE OF HEALTH SCIENCES, A LEADER IN AUTISM RESEARCH, TO AID THEIR RESEARCH PROGRAMS AND FOR OTHER EDUCATIONAL PURPOSES. BY DONATING OUR PROTOTYPE, TECHNICAL AND CLINICAL ASSETS TO ONE OF THE NATION'S LEADING UNIVERSITIES FOR AUTISM RESEARCH GIVES IT THE GREATEST CHANCE OF IMPROVING ACCESS TO HIGH-QUALITY BEHAVIORAL THERAPY FOR THE GREATEST NUMBER OF PATIENTS.B) INTEROPERABILITY: THE INSTITUTE CONCLUDED WORK IN COLLABORATION WITH BETH ISRAEL DEACONESS MEDICAL CENTER, INC. TO DETERMINE THE BEST WAY TO ENSURE THAT THE RIGHT MEDICINE IS IN THE INFUSION PUMP, AND THAT IT IS BEING GIVEN AT THE RIGHT DOSE TO THE RIGHT PATIENT. THIS INVOLVES INTEROPERABILITY BETWEEN CLINICAL ORDER, PHARMACY AND THE INFUSION PUMP, WITH A NEEDED CONFIRMATION OF MATCHING BETWEEN THE PATIENT, DRUG AND DOSE AT THE LEVEL OF THE INFUSION PUMP. THIS ALSO INCLUDED EXPLORATION AS TO WHAT TECHNOLOGIES EXIST TO ARRIVE AT A TESTABLE SOLUTION. 313625 TO SUPPLEMENT AND BROADEN THE INSTITUTE'S MEDICAL RESEARCH ACTIVITIES, THE INSTITUTE ALSO PARTICIPATED IN PUBLIC EDUCATION AND THE DISSEMINATION OF RESEARCH FINDINGS TO THOSE INTERESTED IN REDUCING THE COST OF HEALTHCARE SERVICES AND DEVELOPING SENIOR-APPROPRIATE ACUTE, LONG-TERM AND CHRONIC CARE MODELS THAT SUPPORT INDEPENDENCE FOR SENIORS IN A COST-EFFECTIVE MANNER. THE INSTITUTE HAS PROMOTED THE DEVELOPMENT AND IMPLEMENTATION OF POLICIES WHICH ADVANCE THE ADOPTION OF MEDICAL DEVICE INTEROPERABILITY, TRANSITIONS OF CARE, HOME-BASED PRIMARY CARE AND PAYMENT MODELS THROUGH CONFERENCE PARTICIPATION AND DIRECT INTERACTION WITH POLICYMAKERS IN BOTH THE REGULATORY AND LEGISLATIVE ARENAS. THE INSTITUTE ALSO HAD AN INNOVATOR-IN-RESIDENCE AT THE FEDERAL GOVERNMENT DEPT. OF HEALTH AND HUMAN SERVICES AND WORKED CLOSELY WITH THE OFFICE OF THE NATIONAL COORDINATOR FOR HEALTH IT REGARDING SIMILAR INITIATIVES. 9153473 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 1 46 0 1 29 1 0 0 0 0 0 0 0 0 0 0 0 X 5 3 1 1 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DE X SALLY HALLAK 8585357000 10350 N TORREY PINES ROAD LA JOLLA CA 92037 X NICHOLAS VALERIANI CEO THROUGH 9/3/15, DIRECTOR 40.00 15.00 X X 1155805 84776 18236 MICHAEL JOHNS MD DIRECTOR 10.00 5.00 X 0 0 0 CHARLES SEDERSTROM DIRECTOR 5.00 1.00 X 0 0 0 GARY L WEST DIRECTOR/CHAIRMAN 15.00 5.00 X 0 0 0 MARK MCCLELLAN DIRECTOR 10.00 5.00 X 0 0 0 DIANA CAMPAU VP,COMMUNICATIONS/PR 50.00 0.00 X 0 203478 23309 TIMOTHY LASH EVP, STRATEGY AND SUCCESSFUL AGING 40.00 10.00 X 0 494549 42284 NANCY IVES SCHROEDER SENIOR DIRECTOR COMM THROUGH 5/17/15 50.00 0.00 X 0 185282 36721 VALERIE VOLPE SENIOR DIRECTOR, ADVOCACY 50.00 0.00 X 0 398778 11648 ZIA AGHA EVP CLINICAL RESEARCH 50.00 0.00 X 473544 0 46266 CHRIS COSTA GENERAL COUNSEL THROUGH 9/30/15 40.00 10.00 X 0 345949 31598 MARY ELLEN CIAFARDINI VICE PRESIDENT, HUMAN RESOURCES 50.00 0.00 X 0 221559 42236 MICHAEL CAPONETTO CFO/TREASURER 40.00 15.00 X 0 687349 44107 RICHARD DAKERS EVP BUS DEV/CSO THROUGH 6/30/15 40.00 10.00 X 0 513733 17580 SHELLEY M LYFORD COO, THEN CEO 9/3/15; SECRETARY 40.00 15.00 X 116500 526976 9770 JOSEPH M SMITH PHD FACC CHIEF MEDICAL OFFICER,CSO 40.00 20.00 X 959178 125000 46857 GREGORY NORMAN PRINCIPAL INVESTIGATOR 50.00 0.00 X 178121 0 12332 JOSE UNPINGCO TECH DIRECTOR DATA SCIENCE 50.00 0.00 X 191534 0 36648 RICHARD LANE TECH DIR DATA SCIENCE THROUGH 7/1/15 50.00 0.00 X 163086 0 16011 MITUL SHAH SENIOR DIRECTOR, PROGRAMS 50.00 0.00 X 226431 0 27715 CHRISTOPHER CROWLEY PROGRAM MANAGER 50.00 0.00 X 202544 0 26420 3666743 3787429 489738 13 0 1 0 R-GA MEDIA GROUP INC PO BOX 7247-6590 PHILADELPHIA PA 191706590 WEBSITE DESIGN 639919 TOGORUN LLC PO BOX 775159 ST LOUIS MO 63177 STRATEGIC ANALYSIS 390243 COMMUNICATION PARTNERS & ASSOCIATES LLC 7 WORLD TRADE CENTER NEW YORK NY 10007 CONSULTANTS 265536 WEST DEVELOPMENT LLC 5796 ARMADA DRIVE STE 300 CARLSBAD CA 920084694 IT SUPPORT 122675 INCEODIA LLC 11477 OLYMPIC TERRACE AVE NE BAINBRIDGE ISLAND WA 98110 CONSULTANTS 117218 5 12800000 12800000 86435 86435 250821 250821 259500 0 259500 259500 259500 45648 9129 36519 36519 36519 SPEAKER FEES 900099 5121 5121 MISCELLANEOUS REVENUE 900099 887 887 6008 13439283 0 0 639283 X 46709 46709 2142418 1358102 784316 2459171 2428254 30917 26930 38647 -11717 211995 214685 -2690 231989 206990 24999 4483212 1672014 2811198 234240 169482 64758 47023 47023 82873 82873 2028823 1504574 524249 10294 2371 7923 399263 84115 315148 1437198 798557 638641 416192 330806 85386 26472 26352 120 1054878 28134 1026744 125533 79731 45802 SUBSCRIPTIONS & PUBLICA 143077 52782 90295 TELECOMMUNICATIONS 112075 4513 107562 RECRUITING & RETENTION 73254 5309 67945 EQUIPMENT AND SUPPLIES 42575 15527 27048 23329 2946 20383 15859523 9153473 6706050 0 332833 1182106 8075189 5603138 168802 288313 1442386 337166 8860387 7655893 1821734 1204494 3093750 2022187 183330 434722 141970 0 15259994 11072126 1403037 1256955 972600 422617 2375637 1679572 X 12884357 9392554 12884357 9392554 15259994 11072126 -2420240 -1071563 0 X 0 1 X 1 0 X BETH ISRAEL DEACONESS MEDICAL CENTER BOSTON MA GEISINGER HEALTH SYSTEM DANVILLE PA UC REGENTSUNIVERSITY OF CALIFORNIA SAN DIEGO LA JOLLA CA RADY CHILDREN'S HOSPITAL SAN DIEGO CA MOUNT SINAI HOSPITAL NEW YORK NY MEDSTAR WASHINGTON HOSPITAL CENTER WASHINGTON DC RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 82873 82873 15776650 15859523 942976 235744 0 0 1000000 1000000 1000000 942976 3942976 5914464 95000 63034 166693 82873 407600 250000 250000 250000 235744 985744 1478616 5474915 4844345 630570 1874296 1595474 278822 1511176 1216074 295102 1204494 COMMON STOCK - 93,750 SHARES IN WSTC DONATED IN 2009 2022187 F 2022187 DEFERRED RENT 278314 LEASE INCENTIVE LIABILITY 144303 422617 X 12367720 -1071563 -1071563 13439283 0 13439283 15859523 0 15859523 0 15859523 PART X, LINE 2: THE INSTITUTE IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND THE CORRESPONDING SECTIONS OF THE CALIFORNIA REVENUE AND TAXATION CODE EXCEPT FOR TAXES ON NET UNRELATED BUSINESS INCOME. SINCE THE INSTITUTE HAD NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX FOR THE YEARS ENDED DECEMBER 31, 2015 AND 2014, NO PROVISIONS FOR FEDERAL OR STATE INCOME TAXES HAVE BEEN MADE. IN JULY 2006, THE FINANCIAL ACCOUNTING STANDARDS BOARD ("FASB") ISSUED ACCOUNTING STANDARDS CODIFICATION ("ASC") 740, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES RECOGNIZED IN AN ENTITY'S FINANCIAL STATEMENTS AND PRESCRIBES A THRESHOLD OF MORE-LIKELY THAN-NOT FOR RECOGNITION OF TAX BENEFITS OF UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. FASB ASC 740 ALSO PROVIDES RELATED GUIDANCE ON MEASUREMENT, DERECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES, AND DISCLOSURE. THE INSTITUTE HAS APPLIED FASB ASC 740 TO ALL TAX POSITIONS FOR WHICH THE STATUTE OF LIMITATIONS REMAINED OPEN AND DETERMINED THERE WERE NO MATERIAL UNRECOGNIZED TAX BENEFITS. IN ADDITION, THERE HAVE BEEN NO MATERIAL CHANGES IN UNRECOGNIZED BENEFITS SINCE JULY 1, 2008, NOR ARE ANY ANTICIPATED IN THE NEXT TWELVE MONTHS. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS TAX EXPENSE IN THE STATEMENT OF ACTIVITIES. 1 NORTHEASTERN UNIVERSITY 360 HUNTINGTON AVENUE BOSTON MA 02115 041679980 501(C)(3) 8424 FMV VARIOUS EMMERSIV ASSETS DONATION OF ASSETS FOR GENERAL OPERATIONS GARY AND MARY WEST FOUNDATION 505 LOMAS SANTA FE DR SUITE 230 SOLANA BEACH CA 92075 470793015 501(C)(3) 37225 FMV MEDICAL EQUIPMENT DONATION OF ASSETS FOR GENERAL OPERATIONS 2 0 PART I, LINE 2: GRANTS WILL ONLY BE MADE TO 501(C)(3) ORGANIZATIONS TO ENSURE THE FUNDS WILL BE USED PROPERLY. X 1 1 X X X X X X 1 1 0 0 0 0 0 1 0 NICHOLAS VALERIANI CEO THROUGH 9/3/15, DIRECTOR 761014 84776 393750 0 1041 0 13250 0 4986 0 1174041 84776 0 0 DIANA CAMPAU VP,COMMUNICATIONS/PR 0 182682 0 20000 0 796 0 8750 0 14559 0 226787 0 0 TIMOTHY LASH EVP, STRATEGY AND SUCCESSFUL AGING 0 431226 0 63000 0 323 0 13250 0 29034 0 536833 0 0 NANCY IVES SCHROEDER SENIOR DIRECTOR COMM THROUGH 5/17/15 0 152585 0 32500 0 197 0 8012 0 28709 0 222003 0 0 VALERIE VOLPE SENIOR DIRECTOR, ADVOCACY 0 345234 0 52000 0 1544 0 0 0 11648 0 410426 0 0 ZIA AGHA EVP CLINICAL RESEARCH 396805 0 58200 0 18539 0 12844 0 33422 0 519810 0 0 0 CHRIS COSTA GENERAL COUNSEL THROUGH 9/30/15 0 234772 0 35900 0 75277 0 9700 0 21898 0 377547 0 0 MARY ELLEN CIAFARDINI VICE PRESIDENT, HUMAN RESOURCES 0 190787 0 30000 0 772 0 11500 0 30736 0 263795 0 0 MICHAEL CAPONETTO CFO/TREASURER 0 544160 0 124650 0 18539 0 13250 0 30857 0 731456 0 0 RICHARD DAKERS EVP BUS DEV/CSO THROUGH 6/30/15 0 274102 0 97500 0 142131 0 10410 0 7170 0 531313 0 0 SHELLEY M LYFORD COO, THEN CEO 9/3/15; SECRETARY 98410 436158 0 90550 18090 268 2867 5735 437 731 119804 533442 0 0 JOSEPH M SMITH PHD FACC CHIEF MEDICAL OFFICER,CSO 772034 125000 167600 0 19544 0 13250 0 33607 0 1006035 125000 0 0 GREGORY NORMAN PRINCIPAL INVESTIGATOR 177890 0 0 0 231 0 8937 0 3395 0 190453 0 0 0 JOSE UNPINGCO TECH DIRECTOR DATA SCIENCE 178792 0 12500 0 242 0 9104 0 27544 0 228182 0 0 0 RICHARD LANE TECH DIR DATA SCIENCE THROUGH 7/1/15 89436 0 18700 0 54950 0 361 0 15650 0 179097 0 0 0 MITUL SHAH SENIOR DIRECTOR, PROGRAMS 150648 0 20000 0 55783 0 6284 0 21431 0 254146 0 0 0 CHRISTOPHER CROWLEY PROGRAM MANAGER 188314 0 13500 0 730 0 9590 0 16830 0 228964 0 0 0 PART I, LINE 1A THE USE OF BUSINESS CLASS MAY BE AUTHORIZED UNDER THE CIRCUMSTANCES LISTED BELOW: (1) INTERNATIONAL TRAVEL; (2) BUSINESS OR FIRST CLASS IS THE ONLY SERVICE OFFERED BETWEEN TWO POINTS; (3) COACH CLASS WOULD BE MORE EXPENSIVE OR TIME CONSUMING, E.G., WHEN, BECAUSE OF SCHEDULING DIFFICULTIES, TRAVELING BY COACH WOULD REQUIRE AN UNNECESSARY HOTEL EXPENSE, CIRCUITOUS ROUTING (2 OR MORE LAYOVERS), OR AN UNDULY LONG LAYOVER WHEN MAKING CONNECTIONS; (4) AN ITINERARY INVOLVES OVERNIGHT TRAVEL WITHOUT THE OPPORTUNITY FOR NORMAL REST BEFORE THE COMMENCEMENT OF WORKING HOURS; OR (5) THE USE OF BUSINESS CLASS IS NECESSARY TO REASONABLY ACCOMMODATE A DISABILITY OR MEDICAL NEED OF A TRAVELER. PART I, LINES 4A-B LINE 4A: CONDITIONS OF SEVERANCE WERE PER SEPARATE AGREEMENTS. CHRIS COSTA $61,500 (PAID IN 2015 BY RELATED ORGANIZATION) RICHARD DAKERS $133,667 (PAID IN 2015 BY RELATED ORGANIZATION) MITUL SHAH $39,240 (PAID IN 2015 BY FILING ORGANIZATION) RICHARD LANE $42,323 (PAID IN 2015 BY FILING ORGANIZATION) LINE 4B: EACH OF THE FOLLOWING EMPLOYEES PARTICIPATED IN THE 457(B) NONQUALIFIED DEFINED CONTRIBUTION PLAN OFFERED BY THE WEST HEALTH INSTITUTE WHEREBY THE WEST HEALTH INSTITUTE WILL MAKE AN ANNUAL CASH CONTRIBUTION FOR EACH EMPLOYEE IN AN AMOUNT EQUAL TO THE APPLICABLE DOLLAR AMOUNT IN EFFECT FOR THAT YEAR. FOR 2015 THIS AMOUNT WAS $18,000. JOSEPH SMITH, SHELLEY M. LYFORD AND ZIA AGHA. EACH OF THE FOLLOWING EMPLOYEES PARTICIPATED IN THE 409(A) NONQUALIFIED DEFINED CONTRIBUTION PLAN OFFERED BY THE GARY AND MARY WEST MANAGEMENT COMPANY, INC., A RELATED ORGANIZATION, WHEREBY THE WEST MANAGEMENT COMPANY WILL MAKE A CASH CONTRIBUTION EQUAL TO THE APPLICABLE DOLLAR AMOUNT IN EFFECT. FOR 2015 THIS AMOUNT WAS $18,000: MICHAEL CAPONETTO. PART I, LINE 7 EACH OF THE MANAGERS IS ELIGIBLE FOR AN ANNUAL DISCRETIONARY BONUS, SUBJECT TO BOARD APPROVAL, WHICH IS BASED ON INDIVIDUAL PERFORMANCE AND LIMITED TO A MAXIMUM PERCENTAGE OF BASE COMPENSATION. WEST DEVELOPMENT LLC GARY WEST (CHAIRMAN OF THE BOARD) IS A >35% OWNER 122675 PROVISION OF IT SERVICES 0 SCHEDULE L, PART V GARY WEST, CHAIRMAN OF THE WEST HEALTH INSTITUTE, IS A MEMBER OF THE FOLLOWING ORGANIZATIONS: WEST RB, LLC, WEST INN & SUITES, LLC, AND WEST STEAK SEAFOOD AND SPIRITS. GARY WEST (AND THE LLCS) ARE TREATED AS INTERESTED PERSONS FOR PURPOSES OF SCHEDULE L, PART IV, ADDRESSING BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS. THERE WERE BUSINESS TRANSACTIONS BETWEEN THE INSTITUTE AND THE LLCS DURING 2015, BUT THE MAGNITUDE OF THE TRANSACTIONS WAS LESS THAN THAT REQUIRING DISCLOSURE ON SCHEDULE L. FORM 990, PART VI, SECTION A, LINE 2 ALMOST ALL OF THE CURRENT DIRECTORS AND OFFICERS HAVE A "BUSINESS RELATIONSHIP" AS DEFINED IN THE FORM 990 INSTRUCTIONS, WITH EACH OF THE OTHER CURRENT OFFICERS AND DIRECTORS BECAUSE OF POSITIONS THEY HOLD WITH AFFILIATED ORGANIZATIONS. FORM 990, PART VI, SECTION A, LINE 3 CERTAIN SUPERVISORY, FINANCIAL AND OTHER MANAGERIAL FUNCTIONS ARE PERFORMED BY EMPLOYEES OF GARY AND MARY WEST MANAGEMENT COMPANY, INC., A NON-PROFIT, TAXABLE ENTITY THAT PROVIDES SERVICES TO AFFILIATED ORGANIZATIONS. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION IS A NON-PROFIT, NON-STOCK CORPORATION WITH THREE MEMBERS DURING 2015. ONE-INCORPORATED MEMBER DESIGNATED AS A PERMANENT MEMBER, THE GARY AND MARY WEST FOUNDATION AND TWO NON-INCORPORATED MEMBERS WHICH ARE ELECTED AND TERM-BASED MEMBERS, WILLIAM PATRICK KRUER AND THOMAS CULHANE. ADDITIONALLY, MEMBERS CAN APPOINT OR REMOVE DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS OF THE ORGANIZATION HAVE THE AUTHORITY TO ELECT AND REMOVE MEMBERS OF THE GOVERNING BODY. FORM 990, PART VI, SECTION A, LINE 7B THE FOLLOWING DECISIONS REQUIRE MEMBER APPROVAL: 1. THE DISSOLUTION, LIQUIDATION, MERGER, CONSOLIDATION, RECAPITALIZATION OR OTHER REORGANIZATION OF THE CORPORATION; 2. THE SALE, LEASE OR EXCHANGE OF ALL OR SUBSTANTIALLY ALL OF THE PROPERTY OF THE CORPORATION; AND 3. ANY CHANGES PROPOSED TO BE MADE BY THE CORPORATION'S BOARD OF DIRECTORS TO THE CORPORATION'S CERTIFICATE OF INCORPORATION OR BYLAWS. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 INFORMATION WAS COMPILED FROM THE ORGANIZATION'S CORPORATE AND ACCOUNTING RECORDS AND PROVIDED TO THE ORGANIZATION'S OUTSIDE TAX PREPARER. THE COMPLETED FORM 990 WAS REVIEWED BY THE ORGANIZATION'S CONTROLLER, CFO/COO, AND CEO. UPON SATISFACTORY COMPLETION OF THE INTERNAL REVIEW PROCESS, A DRAFT OF THE FORM 990 WAS CIRCULATED TO THE ORGANIZATION'S AUDIT COMMITTEE AND BOARD OF DIRECTORS FOR REVIEW. THE FORM 990 WAS THEN FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C THE DIRECTORS AND OFFICERS OF THE INSTITUTE MET REGULARLY, OFTEN MONTHLY, THROUGHOUT 2015 AND DISCUSSED ALL ACTUAL AND POTENTIAL CONFLICTS OF INTEREST THAT EXISTED WITH RESPECT TO OTHER NON-PROFIT AND BUSINESS ORGANIZATIONS. THE DIRECTORS AND OFFICERS ALSO COLLECTED ANNUAL WRITTEN CONFLICT OF INTEREST STATEMENTS FROM ALL DIRECTORS AND OFFICERS. NO FAILURES OF COMPLIANCE WITH THE POLICY WERE FOUND. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION HAS A COMPENSATION APPROVAL PROCESS FOR ITS EMPLOYEES. FOR THOSE PAID IN EXCESS OF $100,000, A BASIC COMPENSATION STUDY IS PERFORMED AND COMPENSATION RANGES ARE REQUIRED TO BE APPROVED BY THE BOARD OF DIRECTORS. FOR THOSE PAID IN EXCESS OF $250,000, SUCH AS THE CEO, AN ENHANCED STUDY OF COMPARABLE COMPENSATION IS PERFORMED AND THE BOARD OF DIRECTORS REVIEWS AND APPROVES COMPENSATION LEVELS. THE ORGANIZATION ALSO RETAINS THE SERVICES OF AN OUTSIDE COMPENSATION CONSULTANT ON A PERIODIC BASIS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS CERTIFICATE OF INCORPORATION AND AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON THE REQUEST FOR SUCH DOCUMENTS. FORM 990, PART VII: THE ORGANIZATION HAS A MANAGEMENT SERVICES AGREEMENT WITH THE GARY AND MARY WEST MANAGEMENT COMPANY, INC., A RELATED NON-PROFIT CORPORATION, WHEREBY THE GARY AND MARY WEST MANAGEMENT COMPANY, INC. PROVIDES CERTAIN MANAGERIAL AND ADMINISTRATIVE SUPPORT SERVICES TO THE ORGANIZATION. SUCH SERVICES INCLUDE THAT OF CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, AND OTHER SENIOR MANAGEMENT ROLES. FORM 990, PART IX, LINE 11G CONSULTANTS: PROGRAM SERVICE EXPENSES 942,433. MANAGEMENT AND GENERAL EXPENSES 375,577. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,318,010. ENGINEERING CONSULTING FEES: PROGRAM SERVICE EXPENSES 22,250. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 22,250. STAKEHOLDER COMMUNICATIONS: PROGRAM SERVICE EXPENSES 3,950. MANAGEMENT AND GENERAL EXPENSES 88,523. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 92,473. ADMINISTRATION GENERAL: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 60,149. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 60,149. AUDIO VISUAL CONSULTING: PROGRAM SERVICE EXPENSES 300. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 300. RESEARCH STUDIES: PROGRAM SERVICE EXPENSES 535,641. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 535,641. CENTER FOR MEDICAL INTEROPERABILITY INC 618 CHURCH STREET SUITE 220 NASHVILLE TN 37219 453191908 SEE SCH R, PART VII DE 501(C)(3) LINE 7 N/A 0 GARY AND MARY WEST HEALTH POLICY CENTER INC 1909 K STREET NW SUITE 730 WASHINGTON DC 20006 275388874 SEE SCH R, PART VII DE 501(C)(3) PRIVATE FOUNDATION N/A 0 GARY AND MARY WEST HEALTH ENDOWMENT INC 1603 ORRINGTON AVE SUITE 810 EVANSTON IL 60201 272953865 FINANCIAL SUPPORT DE 501(C)(3) LINE 11, TYPE II N/A 0 WESTECH INC 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 471589216 SEE SCH R, PART VII DE N/A C 0 REFLEXION HEALTH INC 225 BROADWAY SUITE 650 SAN DIEGO CA 92101 455417842 SEE SCH R, PART VII DE N/A C 0 WEST HEALTH INCUBATOR INC 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 453576551 SEE SCH R, PART VII DE N/A C 0 GARY AND MARY WEST MANAGEMENT COMPANY INC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 454040871 SEE SCH R, PART VII DE N/A C 0 0 0 1 0 0 0 0 0 0 1 0 0 1 1 1 1 1 0 0 PART II: IDENTIFICATION OF RELATED TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATION: CENTER FOR MEDICAL INTEROPERABILITY, INC. PRIMARY ACTIVITY: ADVANCEMENT OF INTEROPERABILITY OF MEDICAL DEVICES AND INFORMATION SYSTEMS, TO LOWER THE COST OF HEALTH CARE IN THE UNITED STATES PART II: IDENTIFICATION OF RELATED TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATION: GARY AND MARY WEST HEALTH POLICY CENTER, INC. PRIMARY ACTIVITY: POLICY RESEARCH TO DEVELOP MORE AFFORDABLE HEALTHCARE MODELS ENABLING SENIORS TO SUCCESSFULLY AGE. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: WESTECH, INC. PRIMARY ACTIVITY: AUTOMATE AND DEVELOP CLOUD-BASED, VIRTUAL CARE MANAGER SOFTWARE SOLUTIONS. THIS ORGANIZATION WAS DISSOLVED IN DECEMBER 2015. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: REFLEXION HEALTH INC. PRIMARY ACTIVITY: DEVELOPING SOFTWARE TO BE USED BY PHYSICAL THERAPISTS AND PATIENTS IN PHYSICAL REHABILITATION TO LOWER THE COST OF HEALTH CARE. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: WEST HEALTH INCUBATOR, INC. PRIMARY ACTIVITY: PROVIDES A FACILITY AND ACCESS TO SERVICES TO EARLY STAGE COMPANIES OFFERING SOLUTIONS TO LOWER THE COST OF HEALTH CARE. THIS ORGANIZATION WAS DISSOLVED IN DECEMBER 2015. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: GARY AND MARY WEST MANAGEMENT COMPANY, INC. TYPE OF ENTITY: GARY AND MARY WEST MANAGEMENT COMPANY, INC. IS A NON-STOCK, NON-PROFIT CORPORATION TAXED AS A C-CORPORATION THAT PROVIDES CERTAIN MANAGERIAL AND ADMINISTRATIVE SUPPORT SERVICES. PRIMARY ACTIVITY: PROVIDING MANAGEMENT AND ADMINITRATIVE SUPPORT SERVICES