2016-11-15T15:47:39-06:00 2015-12-31 911194016 CLARK NUBER PS 10900 NE 4TH STREET SUITE 1700 BELLEVUE WA 98004 990 2015-01-01 770440090 LUCILE PACKARD FOUNDATION FOR CHILDREN'S HEALTH LUCI 6504978365 400 HAMILTON AVENUE NO 340 PALO ALTO CA 94301 KATHRYN COULBOURN CFO 6504978365 2016-11-11 1 JANE M SEARING P00000565 4254544919 2016-11-10 2015 2017-02-10 21:41:12Z DAVID ALEXANDER 400 HAMILTON AVENUE NO 340 PALO ALTO CA 94301 181843314 0 X WWW.LPFCH.ORG X 1996 CA TO ELEVATE THE PRIORITY OF CHILDREN'S HEALTH AND INCREASE THE QUALITY AND ACCESSIBILITY OF CHILDREN'S HEALTH CARE THROUGH LEADERSHIP AND DIRECT INVESTMENT. 26 25 96 216 0 100048 89425660 139531062 12711177 15538228 2239517 1946444 -124100 -689329 104252254 156326405 94981107 146280032 0 0 10117716 12192810 20284 27913 13380992 5745313 5981303 110864420 164482058 -6612166 -8155653 211981433 213686588 84906779 97601147 127074654 116085441 X THE MISSION OF THE LUCILE PACKARD FOUNDATION FOR CHILDREN'S HEALTH IS TO ELEVATE THE PRIORITY OF CHILDREN'S HEALTH AND INCREASE THE QUALITY AND ACCESSIBILITY OF CHILDREN'S HEALTH CARE THROUGH LEADERSHIP AND DIRECT INVESTMENT. WE WORK IN ALIGNMENT WITH LUCILE PACKARD CHILDREN'S HOSPITAL AND THE CHILD HEALTH PROGRAMS OF STANFORD UNIVERSITY. OUR VISION IS THAT ALL CHILDREN IN THE COMMUNITIES WE SERVE ARE ABLE TO REACH THEIR MAXIMUM HEALTH POTENTIAL. 0 0 5571478 5571478 CHILD HEALTH RESEARCH GRANTS: THE FOUNDATION PROVIDES GRANTS TO THE PEDIATRIC PROGRAMS AT THE STANFORD SCHOOL OF MEDICINE AND THE LUCILE PACKARD CHILDREN'S HOSPITAL TO FUND CLINICAL PROGRAMS, RESEARCH, EDUCATION, TRAINING, AND FACILITIES. THE GRANTS ARE FUNDED BY A GRANT RECEIVED FROM THE DAVID AND LUCILE PACKARD FOUNDATION BETWEEN 2000 AND 2004. THE FOUNDATION OVERSEES THE DISBURSEMENT OF THE PACKARD FOUNDATION GRANT FUNDS THROUGH INDEPENDENT REVIEW OF THE RESEARCH PROGRAMS. ANY FOUNDATION OVERSIGHT EXPENSES ARE PAID FOR BY THE INVESTMENT EARNINGS ON THE ORIGINAL GRANT. 139390366 139390366 15538228 DEVELOPMENT: THE FOUNDATION RAISES MONEY TO SUPPORT THE LUCILE PACKARD CHILDREN'S HOSPITAL AND THE PEDIATRIC PROGRAMS AT THE STANFORD SCHOOL OF MEDICINE. ONE HUNDRED PERCENT OF FUNDS RAISED ARE TRANSFERRED TO THE HOSPITAL AND SCHOOL OF MEDICINE ON A MONTHLY BASIS. THE FOUNDATION COMPLETED ITS LAST CAMPAIGN AT THE END OF 2012, RAISING A TOTAL OF $548M AGAINST A CAMPAIGN GOAL OF $500M. THE FOUNDATION IS CURRENTLY WORKING WITH THE HOSPITAL AND SCHOOL OF MEDICINE TO ESTABLISH STRATEGIC PRIORITIES WHICH WILL FRAME THE NEXT CAMPAIGN. 3933742 1318188 FOUNDATION PROGRAMS: THROUGH ITS PROGRAMS AND PARTNERSHIPS WORK, THE FOUNDATION SEEKS TO BUILD AWARENESS ABOUT ISSUES AFFECTING CHILDREN'S HEALTH AND INVESTS IN PROGRAMS TO ENHANCE THE SYSTEM OF CARE FOR CHILDREN WITH SPECIAL HEALTH CARE NEEDS AND THEIR FAMILIES. IN 2015, THE FOUNDATION INVESTED APPROXIMATELY $3.9M IN THIS AREA. 148895586 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 1 1 0 0 1 0 1 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 1 75 0 1 96 1 1 1 0 0 0 0 1 1 0 0 0 0 X 26 25 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AR CA CT FL GA HI IL KS KY MD MA MI MN MS NH NJ NM NY NC OK OR PA RI SC TN UT VA WV WI X X KATHRYN COULBOURN 6504978365 400 HAMILTON AVENUE SUITE 340 PALO ALTO CA 94301 DAVID ALEXANDER PRESIDENT & CEO 40.00 X X 883083 0 191495 J TAYLOR CRANDALL CHAIR 1.00 X X 0 0 0 CHRIS SCHAEPE VICE CHAIR 1.00 X X 0 0 0 MINDY ROGERS SECRETARY 1.00 X X 0 0 0 GEORGE PHIPPS TREASURER 1.00 X X 0 0 0 TIMOTHY BRACKNEY DIRECTOR 1.00 X 0 0 0 C BRYAN CAMERON DIRECTOR 1.00 X 0 0 0 HARVEY COHEN DIRECTOR 1.00 X 0 0 0 CHRISTOPHER DAWES DIRECTOR 1.00 X 0 0 0 GARY DILLABOUGH DIRECTOR 1.00 X 0 0 0 KEITH FOX DIRECTOR 1.00 X 0 0 0 KEN GOLDMAN DIRECTOR 1.00 X 0 0 0 ANNA HENDERSON DIRECTOR 1.00 X 0 0 0 CYNTHIA GUNN DIRECTOR 1.00 X 0 0 0 MANUEL HENRIQUEZ DIRECTOR 1.00 X 0 0 0 BRAD KOENIG DIRECTOR 1.00 X 0 0 0 JOHN KRIEWALL DIRECTOR 1.00 X 0 0 0 LAURIE KRAUS LACOB DIRECTOR 1.00 X 0 0 0 ANNE LAWLER DIRECTOR 1.00 X 0 0 0 DAVID LEE DIRECTOR 1.00 X 0 0 0 LLOYD MINOR DIRECTOR 1.00 X 0 0 0 DAVID ORR DIRECTOR 1.00 X 0 0 0 SUSAN P ORR DIRECTOR 1.00 X 0 0 0 WILLIAM BILL SONNEBORN DIRECTOR 1.00 X 0 0 0 ELAINE CHAMBERS DIRECTOR 1.00 X 0 0 0 MATT WILSEY DIRECTOR 1.00 X 0 0 0 KATHRYN COULBOURN CFO 32.00 X 225344 0 53179 BRIAN PERRONNE SR. VP DEVELOPMENT & ADMIN 40.00 X 421649 0 101461 DONNA RICHARDSON SR. VP MAJOR & PRINCIPAL GIFTS 40.00 X 386287 0 70474 EDWARD SCHOR SR. VP/DIRECTOR PROGRAMS & PRTNSHIP 40.00 X 337058 0 62853 EILEEN WALSH VP/DIRECTOR PROGRAMS & PARTNERSHIPS 40.00 X 241838 0 32772 ANDREW COPE DIRECTOR OF MAJOR GIFTS 40.00 X 188980 0 51145 JAMES DEASY DIRECTOR, MAJOR GIFTS 40.00 X 188767 0 53855 ANN ROSE SENIOR DIRECTOR FOUNDATIONS 40.00 X 181719 0 47505 VICTORIA APPLEGATE VP AUXILIARIES 40.00 X 237419 0 29069 JEAN GORMAN DIRECTOR, GIFT PLANNING 40.00 X 210892 0 33235 3503036 0 727043 32 0 1 0 PATSONS PRESS INC 970 STEWART DRIVE SUNNYVALE CA 94085 PRINTING 382662 POPULATION REFERENCE BUREAU 1875 CT AVE NW STE 520 WASHINGTON DC 200095728 DATA COLLECTION FOR WEBSITE 252500 CAMBRIDGE ASSOCIATES LLC PO BOX 83232 CHICAGO IL 60691 INVESTMENT MANAGEMENT 227147 MANATT PHELPS & PHILLIPS LP 11355 WEST OLYMPIC BLVD LOS ANGELES CA 90064 LEGAL 204849 DATA MARKETING INC PO BOX 519 SANTA CLARA CA 95052 MARKETING 184686 13 9777 2787666 136733619 5634865 139531062 FUNDRAISING REIMB. 900099 15538228 15538228 15538228 887930 887930 25618646 24560132 1058514 1058514 1058514 262855 2787666 956648 -693793 -693793 4593 129 4464 4464 156326405 15538228 0 1257115 146280032 146280032 3056101 895974 427116 1733011 7018303 534368 642975 5840960 530468 17371 52974 460123 1022270 35762 191002 795506 565668 68747 61162 435759 244994 3403 44574 197017 117312 117312 27913 27913 227147 227147 1476113 181822 105044 1189247 178771 4127 174644 436489 21930 62710 351849 492550 163958 84947 243645 1255403 141719 112971 1000713 109318 27969 6623 74726 108286 54919 14004 39363 275037 151443 9871 113723 78515 8126 30646 39743 PRINTING 550229 1505 911 547813 PROGRAM CONTRACTS 288081 288081 MEMBERSHIPS 52872 4894 3379 44599 MEALS 17411 1995 477 14939 72775 7441 9635 55699 164482058 148895586 2205480 13380992 33238 31803 32231541 35733907 33906674 36801579 148912 2565487 600000 600000 378781 250781 1749070 1229491 647948 519579 39456239 39715781 104521457 97407986 56643 59685 211981433 213686588 1883205 2177209 1406962 1739583 8231920 9842567 73384692 83841788 84906779 97601147 X 109535044 104341360 17539610 11744081 127074654 116085441 211981433 213686588 X -8155653 -2898780 65220 X 0 1 X 1 0 X 56776864 64156841 66087824 89425660 139531063 415978252 56776864 64156841 66087824 89425660 139531063 415978252 119232368 296745884 2879871 2037562 1473915 2090422 877930 9359700 27181 1400 28581 425366533 62061239 0.69760 0.75580 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 165411686 165411686 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 250000 250000 250000 250000 1000000 1500000 109535044 -917362 1291038 2985284 104341360 109157919 4927255 1366057 2852625 331448 109535044 98971649 15086728 1769465 2814922 316071 109157919 94732374 9421558 2154297 2681723 346263 98971649 99541587 -1824327 415801 2236221 332864 94732374 1.00000 0 0 283578 119481 164097 544584 433816 110768 920908 676194 244714 519579 HEDGE FUNDS 26388662 F INTERNATIONAL EQUITY TRUSTS 29263844 F FIXED INCOME FUNDS 4852500 F REAL ASSET FUNDS 17213644 F VENTURE CAPITAL/PRIVATE EQUITY 19689336 F 97407986 DEFERRED RENT 603001 FUNDS TO BE TRANSFERRED TO LPCH AND SOM 83238787 83841788 X 14804829 -2898780 10503 462182 -2426095 17230924 139095481 139095481 156326405 25794042 10503 689329 699832 25094210 227147 139160701 139387848 164482058 PART V, LINE 4: THE FOUNDATION USES ITS ENDOWMENT TO FUND ACTIVITIES IN SUPPORT OF ITS CHARITABLE PURPOSE. PROGRAM EXPENSES INCLUDE GRANTS TO THIRD PARTIES, INTERNAL INVESTMENTS TO FURTHER THE FOUNDATION'S PROGRAMMATIC OBJECTIVES, AND ADMINSTRATIVE EXPENSES TO SUPPORT THE ACTIVITIES. PART X, LINE 2: THE FOUNDATION HAS EVALUATED THE FINANCIAL STATEMENT IMPACT OF POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN ITS TAX RETURNS. MANAGEMENT HAS DETERMINED THAT NO TAX LIABILITIES NEED BE RECORDED UNDER APPLICABLE ACCOUNTING GUIDANCE. PART XI, LINE 2D - OTHER ADJUSTMENTS: INVESTMENT EXPENSES -227,147. FUNDRAISING EVENT, NET 689,329. PART XI, LINE 4B - OTHER ADJUSTMENTS: FUNDS RAISED 139,133,551. SALE OF DONATED SECURITIES -38,070. PART XII, LINE 2D - OTHER ADJUSTMENTS: FUND RAISING EVENT, NET 689,329. PART XII, LINE 4B - OTHER ADJUSTMENTS: FUNDS RAISED 139,133,551. GRANT REFUNDS 27,150. PART V THE FOUNDATION RAISES FUNDS FOR THE LUCILE PACKARD CHILDREN'S HOSPITAL AND THE PEDIATRIC PROGRAMS AT THE STANFORD SCHOOL OF MEDICINE. FOR PURPOSES OF THE FOUNDATION'S AUDITED FINANCIAL STATEMENTS, FUNDS RAISED ARE RECLASSIFIED FROM REVENUE TO A LIABILITY (FUNDS DESIGNATED FOR OTHERS) AS REQUIRED UNDER ASC 958. THE FOUNDATION IS SUBJECT TO ASC 958 BASED ON ITS INDEPENDENT RELATIONSHIP WITH THE LUCILE PACKARD CHILDREN'S HOSPITAL AND THE STANFORD SCHOOL OF MEDICINE. FOR THE FORM 990, FUNDS RAISED ARE TREATED AS CONTRIBUTION REVENUE AND FUNDS TRANSFERRED TO LUCILE PACKARD CHILDREN'S HOSPITAL AND THE STANFORD SCHOOL OF MEDICINE ARE TREATED AS GRANT EXPENSE. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENT 15367077 0 0 0 0 0 0 15367077 0 15367077 1 0 0 0 0 0 SCHEDULE F, PART I THE FOUNDATION'S DISCLOSURE IN PART 1, LINE 3(1) REFLECTS THE DOMICILE OF CERTAIN INVESTMENT ENTITIES WHICH SERVE MERELY AS THE VEHICLE FOR SUBSEQUENT INVESTING OF FUNDS AND IS NOT REPRESENTATIVE OF THE UNDERLYING GEOGRAPHICAL STRATEGY OF THOSE INVESTMENTS. THE FOUNDATION'S INVESTMENTS ARE FULLY DIVERSIFIED ACROSS ASSET CLASSES, STRATEGIES AND GEOGRAPHICAL REGIONS. IT ADHERES TO AN APPROVED STATEMENT OF INVESTMENT OBJECTIVES AND POLICIES AND HAS IN PLACE A STRATEGIC ASSET ALLOCATION POLICY WHICH ALLOWS IT TO ACHIEVE ITS SHORT TERM FINANCIAL AND LONG TERM INVESTMENT OBJECTIVES. X X X X X X 1 RUFFALO NOEL LEVITZ LLC 65 KIRKWOOD N RD SW CEDAR RAPIDS IA CEDAR RAPIDS IA 50303 TELEMARKETING 0 17105 27913 -10808 17105 27913 -10808 AL AK AR CA CT FL GA HI IL KS KY MD MA MI MN MS NH NJ NM NY NC OK OR PA RI SC TN UT VA WV WI THE DINNER 2207153 2095643 111510 4825 284771 125676 162017 40272 SUMMER SCAMPER 518253 418678 99575 1129 28456 3913 1575 112780 3 325115 273345 51770 30500 35585 53102 18912 53135 3050521 2787666 262855 36454 348812 182691 182504 206187 956648 -693793 1 LUCILE PACKARD CHILDREN'S HOSPITAL & STANFORD SCHOOL OF MEDICINE 725 WELCH ROAD STANFORD CA 94305 941156365 501(C)(3) 139390366 CHILDREN'S HEALTH LUCILE PACKARD CHILDREN'S HOSPITAL & STANFORD SCHOOL OF MEDICINE 725 WELCH ROAD STANFORD CA 94305 941156365 501(C)(3) 5571478 CHILDREN'S HEALTH INITIATIVE ASSOCIATION OF MATERNAL AND CHILD HEALTH PROGRAMS 2030 M STREET NW SUITE 350 WASHINGTON DC 20036 521529448 501(C)(3) 210000 NATIONAL CONSENSUS FRAMEWORK FOR IMPROVING QUALITY SYSTEMS OF CARE FOR CSHCN, PHASE III FAMILY VOICES OF CA 1663 MISSION STREET 7TH FLOOR SAN FRANCISCO CA 94103 942819062 501(C)(3) 200000 SUPPORT FOR FAMILIES WITH DISABILITIES FOR ORGANIZING AND ENGAGING CALIFORNIA'S CSHCN FAMILIES REGENTS OF THE UNIVERSITY OF CALIFORNIA LOS ANGELES 11000 KINGROSS BLDG SUITE 211 LOS ANGELES CA 90095 956006143 501(C)(3) 165362 DEFINING POPULATION HEALTH FOR CHILDREN WITH MEDICAL COMPLEXITY PUBLIC COUNSEL 610 SOUTH ARDMORE AVENUE LOS ANGELES CA 90005 237105149 501(C)(3) 128000 ASSURING EQUITABLE FUNDING FOR CHILDREN WITH DEVELOPMENTAL DISABILITIES TIDES CENTERCALIFORNIA HEALTH REPORT 821 22ND STREET SACRAMENTO CA 95816 943213100 501(C)(3) 120000 EXPANDING CHILDREN'S HEALTH MEDIA COVERAGE KERN COUNTY PUBLIC HEALTH SERVICES DEPT 1800 MT VERNON AVE BAKERSFIELD CA 93306 956000925 GOVERNMENT 103586 IMPROVING THE READINESS OF TRANSITIONING CCS ADOLESCENTS STANFORD UNIVERSITY PO BOX 44253 SAN FRANCISCO CA 94144 941156365 501(C)(3) 91286 INNOVATORS IN GENERAL PEDIATRICS AWARD PROGRAM AT STANFORD FAMILY VOICES CA 1663 MISSION STREET 7TH FLOOR SAN FRANCISCO CA 94103 942819062 501(C)(3) 88523 TRAINING FAMILIES TO ADVOCATE FOR SYSTEM CHANGE: PHASE III CHILDREN NOW 1404 FRANKLIN STREET OAKLAND CA 94612 943059243 501(C)(3) 80000 CREATING MEANINGFUL ROLES FOR FAMILIES IN STATE HEALTH POLICYMAKING NATIONAL ACADEMIES OF SCIENCE 500 FIFTH STREET NW WASHINGTON DC 20001 530196932 501(C)(3) 50700 SUPPORT FOR THE FORUM ON PROMOTING CHILDREN'S COGNITIVE, AFFECTIVE AND BEHAVIORAL HEALTH LUCILE PACKARD CHILDREN'S HOSPITAL & STANFORD SCHOOL OF MEDICINE 725 WELCH ROAD STANFORD CA 94305 770003859 501(C)(3) 22817 CHILDREN'S HEALTH SUPPORT FOR FAMILIES WITH DISABILITIES 1663 MISSION STREET 7TH FLOOR SAN FRANCISCO CA 94103 942819062 501(C)(3) 15000 GENERAL MEETING COSTS AND SCHOLARSHIPS TO ATTEND FAMILY VOICES OF CA 2015 ANNUAL HEALTH SUMMIT JOHN HOPKINS UNIVERSITY N WOLFE STREET BALTIMORE MD 21287 520595110 501(C)(3) 15000 ADVANCING DATA-IN-ACTION PARTNERSHIPS FOR CHILDREN AND CHILDREN WITH SPECIAL HEALTH CARE NEEDS IN CALIFORNIA COUNTIES AND CITIES LUCILE PACKARD CHILDREN'S HOSPITAL 725 WELCH ROAD PALO ALTO CA 94705 770003859 501(C)(3) 10000 CALIFORNIA CHILDREN'S SERVICES MEDICAL ADVISORY COMMITTEE RESEARCH INSTITUTE AT NATIONWIDE CHILDREN'S HOSPITAL 700 CHILDRENS DR COLUMBUS OH 43205 316056230 501(C)(3) 9994 CHILDREN WITH MEDICAL COMPLEXITY COLLABORATIVE MEETING 15 PART I, LINE 2: PROJECT FUNDING IS BASED ON PROPOSALS SUBMITTED BY ORGANIZATIONS. DECISIONS ARE MADE AFTER STAFF ANALYSIS OF THE ORGANIZATIONS' EXPERTISE, PROPOSED GOALS AND OBJECTIVES AND PROPOSED COSTS. MILESTONES AND DELIVERABLES ARE ESTABLISHED DURING THE REVIEW PROCESS. GRANTS OF $250,000 OR GREATER ARE APPROVED BY THE BOARD OF DIRECTORS. ALL OTHER GRANTS ARE APPROVED BY THE FOUNDATION'S CEO ON BEHALF OF THE BOARD. FOUNDATION STAFF MONITOR PROGRESS TO ENSURE THAT ALL OUTCOMES AND DELIVERABLES ARE COMPLETED. THE FOUNDATION ALSO HAS A FUNDRAISING DEPARTMENT WHOSE PRIMARY OBJECTIVE IS TO RAISE PHILANTHROPIC GIFTS FOR THE LUCILE PACKARD CHILDREN'S HOSPITAL AND THE PEDIATRIC PROGRAMS AT THE STANFORD SCHOOL OF MEDICINE. ALL GIFTS RAISED ARE FORWARDED TO THE HOSPITAL AND SCHOOL ON A MONTHLY BASIS. DONOR RESTRICTIONS ON GIFTS ARE CLEARLY COMMUNICATED WHEN THE GIFTS ARE TRANSFERRED. THE FOUNDATION ALSO MAINTAINS CLOSE ONGOING COMMUNICATION WITH THE SCHOOL AND HOSPITAL TO ENSURE THAT DONOR INTENT IS RESPECTED. X X X X X 1 1 0 0 0 0 0 1 0 DAVID ALEXANDER PRESIDENT & CEO 518284 0 200868 0 163931 0 166606 0 24889 0 1074578 0 28542 0 KATHRYN COULBOURN CFO 197649 0 27040 0 655 0 37421 0 15758 0 278523 0 0 0 BRIAN PERRONNE SR. VP DEVELOPMENT & ADMIN 327396 0 74069 0 20184 0 78210 0 23251 0 523110 0 7988 0 DONNA RICHARDSON SR. VP MAJOR & PRINCIPAL GIFTS 323965 0 60000 0 2322 0 61600 0 8874 0 456761 0 0 0 EDWARD SCHOR SR. VP/DIRECTOR PROGRAMS & PRTNSHIP 301885 0 15462 0 19711 0 32708 0 30145 0 399911 0 0 0 EILEEN WALSH VP/DIRECTOR PROGRAMS & PARTNERSHIPS 224447 0 11278 0 6113 0 23683 0 9089 0 274610 0 0 0 ANDREW COPE DIRECTOR OF MAJOR GIFTS 174001 0 14420 0 559 0 19467 0 31678 0 240125 0 0 0 JAMES DEASY DIRECTOR, MAJOR GIFTS 172464 0 14258 0 2045 0 19335 0 34520 0 242622 0 0 0 ANN ROSE SENIOR DIRECTOR FOUNDATIONS 167059 0 13843 0 817 0 18688 0 28817 0 229224 0 0 0 VICTORIA APPLEGATE VP AUXILIARIES 79294 0 0 0 158125 0 7330 0 21739 0 266488 0 0 0 JEAN GORMAN DIRECTOR, GIFT PLANNING 190375 0 15409 0 5108 0 20802 0 12433 0 244127 0 0 0 PART I, LINES 4A-B IN CONNECTION WITH THE RETIREMENT OF VICTORIA APPLEGATE, THE FORMER VICE PRESIDENT OF AUXILIARY RELATIONS, THE FOUNDATION AND MRS. APPLEGATE ENTERED INTO A SEPARATION AGREEMENT. THE SEPARATION AGREEMENT PROVIDED THAT, IN EXCHANGE FOR MRS. APPLEGATE'S RELEASE OF ALL CLAIMS, MRS. APPLEGATE WOULD RECEIVE A SEPARATION PAYMENT TOTALING $126,725. THE FOUNDATION OFFERS A 457(F) PLAN FOR SELECT MEMBERS OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES. DURING 2015, THE CEO AND FOUR SR. VPS WERE ELIGIBLE FOR 457(F) CONTRIBUTIONS. THE TOTAL AMOUNT CONTRIBUTED TO THE PLAN FOR 2015, BUT NOT PAID OUT WAS $53,889. THE TOTAL AMOUNTS PAID OUT UNDER THE PLAN WERE $140,106 TO DAVID ALEXANDER (CEO), $11,854 TO BRIAN PERRONNE (SR VP DEVELOPMENT AND ADMINISTRATION) AND $6,208 TO ED SCHOR (SR VP PROGRAMS & PARTNERSHIPS). PART I, LINE 7 THE CEO, CFO AND SR. VICE PRESIDENTS RECEIVE AN INCENTIVE COMPENSATION PAYMENT EQUAL TO A PERCENTAGE OF TOTAL BASE COMPENSATION. THE PERCENTAGE IS DETERMINED BASED ON THE ACHIEVEMENT OF SPECIFIC GOALS BUT IS LIMITED TO ENSURE THAT TOTAL COMPENSATION REMAINS WITHIN THE FOUNDATION'S POLICY RANGE OF THE 75TH PERCENTILE OF COMPENSATION AS PER SPECIFIC COMPENSATION SURVEYS. THE PERCENTAGE MAY VARY YEAR TO YEAR AS A RESULT OF THIS PROCESS. IT IS PROPOSED BY THE CEO AND APPROVED BY THE COMPENSATION COMMITTEE. DAVID ALEXANDER CEO HOUSING X 600000 600000 0 1 1 600000 X 86 5591884 AVERAGE MARKET VALUE X AUCTION ITEMS 102 42981 RETAIL VALUE 0 0 1 0 PART I, COLUMN (B): THE NUMBER OF CONTRIBUTIONS WAS DETERMINED BASED ON THE NUMBER OF DONORS WHO MADE CONTRIBUTIONS. FORM 990, PART I, LINE 6: VOLUNTEERS INCLUDE THE FOUNDATION'S BOARD OF DIRECTORS AS WELL AS VOLUNTEERS WHO SUPPORT VARIOUS FOUNDATION FUNDRAISING EVENTS. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE HAS THE AUTHORITY TO TRANSACT ALL REGULAR BUSINESS OF THE BOARD BETWEEN BOARD MEETINGS WITH THE EXCEPTION OF CERTAIN SPECIFIC POWERS WHICH INCLUDE APPOINTING, REMOVING, OR AMENDING TERMS OF EMPLOYMENT OR ENGAGEMENT OF OFFICERS, AGENTS, AND KEY EMPLOYEES OF THE FOUNDATION; CHANGING THE LOCATION OF THE PRINCIPAL OFFICE OF THE FOUNDATION OR OTHERWISE EFFECTING CHANGES TO THE PRIMARY LOCATION FOR THE BOARD MEETINGS OR OPERATIONS; ADOPTING AND USING A CORPORATE SEAL AND/OR ALTERING THE FORM OF THE SEAL; AND BORROWING MONEY OR INCURRING INDEBTEDNESS. THE EXECUTIVE COMMITTEE IS COMPOSED OF THE CHAIRMAN OF THE BOARD, THE PRESIDENT/CEO OF THE FOUNDATION, AND THE CHAIRS OF ALL OTHER STANDING COMMITTEES. ALL MEMBERS OF THE EXECUTIVE COMMITTEE ARE MEMBERS OF THE BOARD. FORM 990, PART VI, SECTION A, LINE 2 CHRISTOPHER DAWES, DAVID ALEXANDER, J TAYLOR CRANDAL, LLOYD MINOR, AND MINDY ROGERS HAVE A BUSINESS RELATIONSHIP. DAVID ORR AND SUSAN ORR HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 THE FOUNDATION'S AUDIT COMMITTEE IS PRIMARILY RESPONSIBLE FOR REVIEWING AND APPROVING THE FOUNDATION'S FORM 990 BEFORE IT IS FILED WITH THE IRS. THE FINAL DRAFT OF THE FORM 990 IS DISTRIBUTED TO THE FULL BOARD IN ADVANCE OF THE AUDIT COMMITTEE MEETING AT WHICH THE FORM WILL BE REVIEWED AND APPROVED. ALL MEMBERS OF THE BOARD ARE INVITED TO ATTEND THE AUDIT COMMITTEE MEETING. FORM 990, PART VI, SECTION B, LINE 12C DIRECTORS, OFFICERS, AND KEY EMPLOYEES ("KEY PERSONS") ARE REQUIRED TO REVIEW THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS AND TO DISCLOSE ALL REAL AND POTENTIAL CONFLICTS OF INTEREST. KEY PERSONS ARE REQUIRED TO CONFIRM THAT THEY HAVE REVIEWED THE POLICY BY SIGNING THAT THEY HAVE DONE SO, EVEN IF NO CONFLICTS ARE DISCLOSED. IN ADDITION, KEY PERSONS ARE REQUIRED TO DISCLOSE REAL OR APPARENT CONFLICTS AT THE TIME WHEN SUCH CONFLICTS ARISE DURING DISCUSSIONS OF THE BOARD, BOARD COMMITTEES, OR STAFF. KEY PERSONS WITH CONFLICTS ARE REQUIRED TO RECUSE THEMSELVES FROM RELATED DISCUSSIONS AND DECISIONS. THE FOUNDATION'S CFO AND CEO ARE RESPONSIBLE FOR ENSURING COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE FOUNDATION HAS A COMPENSATION COMMITTEE COMPRISED ENTIRELY OF INDEPENDENT DIRECTORS, NONE OF WHOM HAVE A CONFLICT OF INTEREST WITH THE CEO, CFO OR ANY OF THE KEY EMPLOYEES. THE COMPENSATION COMMITTEE ESTABLISHES THE COMPENSATION PHILOSOPHY FOR THE ORGANIZATION AND MEETS ANNUALLY TO SET THE SALARY FOR THE CEO AND CFO AND REVIEW AND APPROVE SALARIES FOR KEY EMPLOYEES. THE COMMITTEE HAS ENGAGED A THIRD PARTY INDEPENDENT COMPENSATION CONSULTANT TO ATTEND ITS ANNUAL MEETING THE LAST OF WHICH WAS HELD ON NOVEMBER 23, 2015. IN DETERMINING COMPENSATION LEVELS, THE COMMITTEE USES TWO INDEPENDENT THIRD PARTY SALARY SURVEYS, ONE PUBLISHED BY WOODMARK AND ONE PUBLISHED BY LASNIK BROIDA. KEY DELIBERATIONS OF THE COMPENSATION COMMITTEE ARE DOCUMENTED IN MEETING MINUTES WHICH ARE APPROVED AT THE NEXT COMMITTEE MEETING. FORM 990, PART VI, SECTION C, LINE 19 WHILE FEDERAL TAX LAWS DO NOT MANDATE THAT THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS BE MADE AVAILABLE FOR PUBLIC INSPECTION, THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND AUDITED FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: SALE OF DONATED SECURITIES 38,070. GRANT REFUNDS 27,150. CHARITABLE REMAINDER TRUST (12) INVESTMENT CA N/A T 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0