2016-08-11T07:58:02-05:00 2015-09-30 135565207 KPMG LLP ONE FINANCIAL PLAZA 755 MAIN STREET HARTFORD CT 06103 990 2014-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORP YALE 2036886088 789 HOWARD AVENUE NEW HAVEN CT 06519 VINCENT TAMMARO EXECUTIVE VP & CFO 2036886088 2016-08-05 0 MARY-EVELYN ANTONETTI P00431862 8602976085 2014 2016-09-27 15:27:22Z MARNA BORGSTROM 789 HOWARD AVE NEW HAVEN CT 06519 471176432 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 17 15 2321 0 2894301 134576 0 0 395737998 432503091 -29912 32199 15214660 17317278 410922746 449852568 200400 308500 0 0 194214752 238244115 0 0 0 195894742 191700930 390309894 430253545 20612852 19599023 1363045860 1306178203 1213053903 1150284622 149991957 155893581 X TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 0 0 338495072 308500 446953800 SEE SCHEDULE O 338495072 1 0 0 0 0 0 0 0 0 0 1 1 0 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 1 240 0 2321 1 1 1 0 0 0 0 0 0 0 0 0 X 17 15 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X KEITH TANDLER 2036889642 789 HOWARD AVE NEW HAVEN CT 06519 MARNA BORGSTROM PRESIDENT & CEO 16.00 24.00 X X 1120679 1681019 777674 VINCENT CALARCO SECRETARY & TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO CHAIRMAN 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 1.00 1.00 X X 0 0 0 NEWMAN MARSILIUS III-EFF 1014 VICE CHAIR 1.00 1.00 X 0 0 0 BARBARA MILLER TRUSTEE 1.00 1.00 X 0 0 0 DANIEL MOSLEY - THRU 22315 TRUSTEE 1.00 4.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 X 0 0 0 MEREDITH REUBEN TRUSTEE 1.00 4.00 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 1.00 X 0 0 0 CARLTON HIGHSMITH - EFF 10114 TRUSTEE 1.00 1.00 X 0 0 0 STEPHEN ALLEGRETTO VP 2.00 38.00 X 21096 564918 198914 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 169883 735678 273286 DANIEL BARCHI SR. VP 4.00 36.00 X 98289 884604 269556 GAYLE CAPOZZALO EXECUTIVE VP 20.00 20.00 X 661964 661964 37934 EUGENE COLUCCI VP 8.00 32.00 X 130110 520442 208413 FRANK CORVINO - THRU 123114 EXECUTIVE VP 10.00 30.00 X 287832 1151329 61252 RICHARD D'AQUILA EXECUTIVE VP 8.00 32.00 X 368025 1472100 476912 MICHAEL DIMENSTEIN VP 3.00 37.00 X 37666 433163 156294 WILLIAM GEDGE SR. VP 28.00 12.00 X 608841 260933 267583 WILLIAM JENNINGS EXECUTIVE VP 8.00 32.00 X 245767 983068 320176 ALAN KLIGER SR. VP 1.00 39.00 X 0 769460 104352 NANCY LEVITT-ROSENTHAL VP 1.00 39.00 X 0 425164 150143 PATRICK MCCABE SR. VP 16.00 24.00 X 292145 438216 248759 KEVIN MYATT SR. VP 16.00 24.00 X 338728 508092 271915 JAMES MORRIS VP 2.00 38.00 X 15543 404529 144359 ROBERT NORDGRENMD-THRU 32715 SR. VP 6.00 34.00 X 102954 583407 193458 CHRISTOPHER O'CONNOR EXECUTIVE VP & COO 30.00 10.00 X 898383 299461 379456 VINCENT PETRINI SR. VP 1.00 39.00 X 0 625458 213665 CAROLYN SALSGIVER VP 1.00 39.00 X 0 402470 151431 JOHN SKELLY VP 1.00 39.00 X 0 593406 202506 JAMES STATEN EXECUTIVE VP 16.00 24.00 X 570781 856171 418378 VINCENT TAMMARO SR. VP 4.00 36.00 X 70238 632145 221524 MELISSA TURNER VP 1.00 39.00 X 0 413038 140548 DAVID WURCEL VP 1.00 39.00 X 0 2812792 99033 NORMAN ROTH EXECUTIVE VP 1.00 39.00 X 0 3641486 94724 JOSEPH BISSON VP 40.00 0.00 X 514213 0 84544 STEPHEN CARBERY VP 40.00 0.00 X 435008 0 80479 LISA STUMP VP 40.00 0.00 X 421765 0 59820 RICHARD STAHL PHYSICIAN 40.00 0.00 X 677306 0 88951 MICHAEL WERDMANN MD PHYSICIAN 40.00 0.00 X 435182 0 63257 MARK ANDERSEN -RET 93010 FORMER OFFICER 0.00 0.00 X 83767 0 0 QUINTON FRIESEN - RET 91212 FORMER OFFICER 0.00 0.00 X 278684 0 0 ROBERT TREFRY- RET 93010 FORMER OFFICER 0.00 0.00 X 216182 0 0 JOSEPH JANELL - RET 1312 FORMER OFFICER 0.00 0.00 X 33365 0 0 9134396 22754513 6459296 540 1 1 0 EPIC SYSTEMS CORPORATION 1979 MILKY WAY VERONA WI 53593 CONSULTING 14282190 MASON INC 23 AMITY ROAD BETHANY CT 06524 CONSULTING 7327320 EBS MASTER LLC 3055 LEBANON PIKE STE 1000 NASHVILLE TN 372142239 CONSULTING 2840995 DELOITTE & TOUCHE LLP PO BOX 12001 DALLAS TX 75312 CONSULTING 2512849 TOWERS WATSON DELAWARE INC 901 NORTH GLEBE ROAD SUITE 600 ARLINGTON VA 22203 CONSULTING 2512809 131 MANAGEMENT SERVICES 900099 306436925 306019495 417430 SYSTEM SUPPORT SERVICES 900099 42464079 42387735 76344 INSURANCE PREMIUMS 900099 35500401 35500401 MANAGEMENT SERVICES-EPIC 621990 35401431 35401431 EMERGENCY PREPAREDNESS PROGRAM 900099 12469305 12469305 230950 230950 432503091 54615 54615 21301448 21323864 -22416 -22416 -22416 PHYSICIAN INTEGRATION REVENUE 900099 12652673 12652673 CORPORATE CONTRACTING 621990 2400527 2400527 OTHER INCOME 900099 2264078 2264078 17317278 449852568 446926068 2894301 32199 X 308500 308500 7617721 7617721 178333065 145580870 32752195 8851452 6929802 1921650 31064048 24320043 6744005 12377829 9690602 2687227 6798101 6798101 183896 183896 50412895 39468255 10944640 2632840 2198569 434271 37108065 29051904 8056161 2424422 1898080 526342 52877408 41397723 11479685 32132936 32132936 TELEPHONE & DATA COMMUN 5545325 4341435 1203890 DUES, FEES & MEMBERSHIP 1365606 1069133 296473 COMMUNITY ACTIVITY/OTHE 156287 57781 98506 BOOKS & SUBSCRIPTIONS 63149 49439 13710 430253545 338495072 91758473 0 13239630 25319141 1002539739 948323682 29539360 37266846 324020677 188675022 170402143 135345655 8119479 9740825 87155404 98131949 52050105 52050105 1363045860 1306178203 83237716 77717706 163851856 129406928 885198103 832360451 80766228 110799537 1213053903 1150284622 X 149991957 155893581 149991957 155893581 1363045860 1306178203 X 19599023 -44726 -13652673 X 0 1 X 1 1 1 X X 4 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 53931000 0 4 53931000 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 2117614 1086582 1031032 320256224 187588440 132667784 1646839 1646839 135345655 INVESTMENT IN MCIC-VERMONT 86721209 C INVESTMENT IN YALE ENDOWMENT FUND 196298 F CASH SURRENDER VALUE OF LIFE INSURANCE 11126421 F ALTERNATIVE INVESTMENTS 1753 F INVESTMENT IN NEPC 86268 C 98131949 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 26342926 ACQUISITION CONTINGENT LIABILITY 5000000 RETRO INSURANCE CREDIT 19724526 INTEREST RATE SWAP 47956910 110799537 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 EXEMPT FROM FEDERAL INCOME TAXES ON RELATED INCOME 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. THERE ARE CERTAIN TRANSACTIONS THAT COULD BE DEEMED "UNRELATED BUSINESS INCOME AND WOULD RESULT IN A TAX LIABILITY. MANAGEMENT REVIEWS TRANSACTIONS TO ESTIMATE POTENTIAL TAX LIABILITIES USING A THRESHOLD OF MORE LIKELY THAN NOT THAT THE POSITION WILL BE SUSTAINABLE BASED ON THE MERITS OF THE POSITION. IT IS MANAGEMENT'S ESTIMATION THAT THERE ARE NO MATERIAL TAX LIABILITIES THAT NEED TO BE RECORDED. 1 ACHIEVEMENT FIRST 403 JAMES STREET NEW HAVEN CT 06511 651203744 501(C)(3) 12000 SUPPORT MISSION ANTI DEFAMATION LEAGUE WHITNEY AVE NEW HAVEN CT 06511 131818723 501(C)(3) 19000 SPONSORSHIP BEULAH HEIGHT SOCIAL INTEGRATION 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 6000 SPONSORSHIP CHAPEL WEST SPECIAL SERVICES 1205 CHAPEL STREET NEW HAVEN CT 06511 061205893 GOVERNMENT 19000 SUPPORT MISSION CONNECTICUT ASSOCIATION FOR THE PERFROMING ARTS 55 E STATE STREET COLUMBUS OH 43215 061625278 501(C)(3) 5100 SUPPORT MISSION CONNECTICUT PLAYERS FOUNDATION INC 222 SARGENT DRIVE NEW HAVEN CT 06511 066073063 501(C)(3) 12500 SUPPORT MISSION CT STATE MISSIONARY BAPTIST CONVENT 10 CHERRY DRIVE DANBURY CT 06812 061421410 501(C)(3) 10000 SUPPORT MISSION EAST END COMMUNITY COUNCIL 1149 STRATFORD AVE BRIDGEPORT CT 06607 061614075 501(C)(3) 10000 SUPPORT MISSION FAIR HAVEN COMMUNITY HEALTH 374 GRAND AVENUE NEW HAVEN CT 06513 060883545 501(C)(3) 15000 SUPPORT MISSION FAMILY CENTERED SERVICES OF CONNECTICUT 235 NICOLL STREET NEW HAVEN CT 06511 060972684 501(C)(3) 9500 SUPPORT MISSION FARNAM NEIGHBORHOOD HOUSE INC 162 FILMOR STRETT NEW HAVEN CT 06513 060646633 501(C)(3) 6000 SUPPORT MISSION FIRST CALVERY BAPTISH CHURCH 609 DIXWELL AVE NEW HAVEN CT 06511 061173497 501(C)(3) 15000 SUPPORT MISSION GESELL INSTITUTE OF CHILD DEVELOPMENT INC 310 PROSPECT STREET NEW HAVEN CT 06511 060665169 501(C)(3) 10000 SUPPORT MISSION GREATER NEW HAVEN NAACP 545 WHALLEY AVE NEW HAVEN CT 06511 066099313 501(C)(4) 15000 SPONSORSHIP LIBERTY COMMUNITY SERVICES 129 CHURCH STREET NEW HAVEN CT 06510 222849124 501(C)(3) 7500 SUPPORT MISSION MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 041564655 501(C)(3) 10000 SUPPORT MISSION NATIONAL CENTER FOR HEALTHCARE LEADERSHIP 1700 W VAN BUREN NO 126B CHICAGO IL 60612 364483505 501(C)(3) 7500 SUPPORT MISSION NEW FINANCIAL LIFE INC 244 DIXWELL AVE NEW HAVEN CT 06511 061443579 501(C)(3) 10000 SUPPORT MISSION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 31500 SPONSORSHIP NEW REACH INC 153 EAST STREET SUITE 200 NEW HAVEN CT 06511 223037451 501(C)(3) 11000 SUPPORT MISSION PLANNED PARENTHOOD OF SOUTHERN CT 345 WHITNEY AVENUE NEW HAVEN CT 06512 060263565 501(C)(3) 12500 SUPPORT MISSION PT BARNUM FOUNDATION 1070 MAIN STREET BRIDGEPORT CT 06604 222655681 501(C)(3) 5900 SPONSORSHIP RONALD MCDONALD HOUSE OF CONNECTICUT INC 501 GEORGE STREET NEW HAVEN CT 06511 061063758 501(C)(3) 5500 SUPPORT MISSION THE CHAIN FUND 234 SHERMAN AVE C25 MERIDEN CT 06450 522375279 501(C)(3) 20000 SUPPORT MISSION THE CONNECTICUT CENTER FOR PRIMARY CARE INC 3 FARM GLEN BLVD FARMINGTON CT 06032 030441188 501(C)(3) 11500 SUPPORT MISSION VISITING NURSE ASSOCIATION SOUTH ONE LONG WHARF DRIVE NEW HAVEN CT 06511 060646941 501(C)(3) 11500 SUPPORT MISSION 25 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 769083 1153625 329664 494496 21932 32898 305136 457705 5933 8900 1431748 2147624 81147 121712 STEPHEN ALLEGRETTO VP 14637 391958 4001 107132 2458 65828 6457 172906 704 18847 28257 756671 2185 52447 WILLIAM ASELTYNE SR. VP 123387 534326 29168 126312 17328 75040 47100 203965 4169 18052 221152 957695 9939 43043 DANIEL BARCHI SR. VP 69925 629329 17881 160925 10483 94350 24803 223230 2152 19371 125244 1127205 10134 91202 GAYLE CAPOZZALO EXECUTIVE VP 398248 398248 131462 131462 132254 132254 11550 11550 7417 7417 680931 680931 38133 38133 EUGENE COLUCCI VP 94293 377172 21456 85825 14361 57445 37772 151090 3910 15641 171792 687173 9412 37646 FRANK CORVINO - THRU 123114 EXECUTIVE VP 198423 793692 66341 265365 23068 92272 5582 22329 6668 26673 300082 1200331 0 0 RICHARD D'AQUILA EXECUTIVE VP 248407 993627 85534 342138 34084 136335 90943 363770 4440 17759 463408 1853629 25640 102559 MICHAEL DIMENSTEIN VP 26214 301461 6048 69552 5404 62150 10838 124634 1666 19156 50170 576953 1556 17898 WILLIAM GEDGE SR. VP 428429 183613 124026 53154 56386 24166 176925 75825 10383 4450 796149 341208 29264 12541 WILLIAM JENNINGS EXECUTIVE VP 170334 681337 49817 199267 25616 102464 60147 240589 3888 15552 309802 1239209 17909 71636 ALAN KLIGER SR. VP 0 569125 0 114000 0 86335 0 89872 0 14480 0 873812 0 29942 NANCY LEVITT-ROSENTHAL VP 0 308676 0 75609 0 40879 0 146623 0 3520 0 575307 0 0 PATRICK MCCABE SR. VP 204775 307162 60480 90719 26890 40335 92412 138617 7092 10638 391649 587471 7237 10856 KEVIN MYATT SR. VP 233512 350269 66994 100490 38222 57333 101882 152824 6884 10325 447494 671241 14104 21155 JAMES MORRIS VP 10968 285468 2679 69719 1896 49342 4591 119487 750 19531 20884 543547 533 12802 ROBERT NORDGRENMD-THRU 32715 SR. VP 72944 413350 17442 98838 12568 71219 25872 146610 3146 17830 131972 747847 931 5274 CHRISTOPHER O'CONNOR EXECUTIVE VP & COO 621691 207230 202742 67581 73950 24650 268378 89459 16214 5405 1182975 394325 15725 5241 VINCENT PETRINI SR. VP 0 434497 0 117804 0 73157 0 192513 0 21152 0 839123 0 35533 CAROLYN SALSGIVER VP 0 286275 0 68423 0 47772 0 132822 0 18609 0 553901 0 17335 JOHN SKELLY VP 0 419203 0 103072 0 71131 0 180809 0 21697 0 795912 0 7891 JAMES STATEN EXECUTIVE VP 386414 579621 143436 215154 40931 61396 159469 239204 7882 11823 738132 1107198 7256 10883 VINCENT TAMMARO SR. VP 49572 446152 13804 124236 6862 61757 19977 179795 2175 19577 92390 831517 3416 30729 MELISSA TURNER VP 0 288760 0 76610 0 47668 0 118180 0 22368 0 553586 0 0 DAVID WURCEL VP 0 406689 0 115417 0 2290686 0 84200 0 14833 0 2911825 0 770497 NORMAN ROTH EXECUTIVE VP 0 518566 0 145961 0 2976959 0 79911 0 14813 0 3736210 0 1013056 JOSEPH BISSON VP 385584 0 87040 0 41589 0 66450 0 18094 0 598757 0 14998 0 STEPHEN CARBERY VP 308577 0 68085 0 58346 0 60426 0 20053 0 515487 0 38862 0 LISA STUMP VP 299774 0 74112 0 47879 0 57100 0 2720 0 481585 0 0 0 RICHARD STAHL PHYSICIAN 483217 0 109232 0 84857 0 85076 0 3875 0 766257 0 32513 0 MICHAEL WERDMANN MD PHYSICIAN 363359 0 37032 0 34791 0 27338 0 35919 0 498439 0 0 0 MARK ANDERSEN -RET 93010 FORMER OFFICER 0 0 0 0 83767 0 0 0 0 0 83767 0 83767 0 QUINTON FRIESEN - RET 91212 FORMER OFFICER 0 0 0 0 278684 0 0 0 0 0 278684 0 278684 0 ROBERT TREFRY- RET 93010 FORMER OFFICER 0 0 0 0 216182 0 0 0 0 0 216182 0 216182 0 JOSEPH JANELL - RET 1312 FORMER OFFICER 0 0 0 0 33365 0 0 0 0 0 33365 0 33365 0 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 - $469,952 - RICHARD D'AQUILA - 286,713 - JAMES M. STATEN - 241,123 - CHRISTOPHER O'CONNOR - 198,387 - WILLIAM A.JENNINGS - 182,736 - DANIEL BARCHI - 146,210 - WILLIAM S.GEDGE - 143,650 - WILLIAM J.ASELTYNE - 139,643 - KEVIN A.MYATT - 136,706 - PATRICK MCCABE - 124,768 - ROBERT NORDGREN - 109,495 - VINCENT TAMMARO - 106,622 - EUGENE J.COLUCCI - 103,662 - JOHN SKELLY - 102,215 - VINCENT PETRINI - 101,963 - STEPHEN ALLEGRETTO - 100,452 - NANCY LEVITT-ROSENTHAL - 78,423 - MICHAEL DIMENSTEIN - 76,472 - MELISSA TURNER - 70,493 - CAROLYN SALSGIVER - 67,220 - JAMES B.MORRIS - 67,094 - 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 2014 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2014 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED PETER HERBERT - $ 186,155 - GAYLE CAPOZZALO - $ 171,863 - NORMAN ROTH - $2,901,058 - FOUR FORMER OFFICERS, ROBERT TREFRY, MARK ANDERSEN, JOSEPH JANNEL AND QUINTON FRIESEN 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: ROBERT TREFRY $216,182 QUINTON FRIESEN $127,684 MARK ANDERSEN $ 83,767 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 6390000 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 0.00410 0.00410 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 2225000 92315918 1157121 91158797 2015 0 0 0 1 A 0 0 0 0 0.00000 0.00000 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 SERVICES CORPORATION IS THE PARENT OF THE INTEGRATED HEALTHCARE DELIVERY SYSTEM KNOWN AS YALE NEW HAVEN HEALTH SYSTEM (YNHHS OR THE SYSTEM). YNHHS CURRENTLY SUPPORTS FOUR DELIVERY NETWORKS: BRIDGEPORT, GREENWICH, NEW HAVEN AND NORTHEAST MEDICAL GROUP. IT IS CONTINUING ITS EFFORTS TO HELP OFFER VALUE - NOT ONLY IN TRADITIONAL ACUTE CARE BUT ACROSS A CONTINUUM OF SERVICES, ACROSS A BROAD GEOGRAPHIC REGION WITH A FOCUS ON SAFETY, QUALITY AND OPERATIONAL EFFECTIVENESS. YNHHS CONDUCTED A SAFETY CULTURE SURVEY AMONG ALL STAFF TO IDENTIFY KEY IMPROVEMENT AREAS FOR EACH DELIVERY NETWORK. OTHER SYSTEM-WIDE INITIATIVES FOCUSED ON STANDARDIZATION IN THE MEDICATION RECONCILIATION PROCESS IN THE EMERGENCY DEPARTMENTS, AS WELL AS PHARMACY POLICIES AND PHARMACY INVENTORY MANAGEMENT. YNHHS ACHIEVED COST AND VALUE POSITIONING COST REDUCTIONS OF $40 MILLION DURING THE YEAR, DUE, IN PART, TO FOCUSED IDENTIFICATION OF NON-VALUE-ADDED COSTS OR PROCESSES AND FAST-TRACK PROJECT IMPROVEMENT TIMELINES. THIS YEAR, CLINICAL REDESIGN ADOPTED A REVISED APPROACH WITH 90-DAY PROJECT TIMELINES FOR PRIORITIZED CASES PROJECTED TO ACHIEVE SUSTAINABLE RESULTS. OF THE 13 PROJECTS LAUNCHED AND COMPLETED, 84 PERCENT DISPLAYED POSITIVE TRENDS. PROJECT RESULTS INCLUDED ELIMINATING 7,700 INPATIENT DAYS, REMOVING MORE THAN 3,600 INSTRUMENTS FROM SURGICAL TRAYS AND DECREASING THE TOTAL NUMBER OF ROUTINE LAB TESTS BY ALMOST 20 PERCENT AND ISTAT LABS BY 43 PERCENT. YNHHS CONTINUED TO DEPLOY FEATURES AND MODULES WITHIN EPIC, THE SYSTEM'S INTEGRATED ELECTRONIC HEALTH RECORD, THAT ENHANCE THE PROCESS OF DELIVERING CARE AND MEETING 2015 CMS DEADLINES. WITH THE LAUNCH OF ITS CARE EVERYWHERE DATA EXCHANGE NETWORK IN 2011, YNHHS HAS EXCHANGED OVER 140,000 PATIENT RECORDS WITH MORE THAN 500 SITES ACROSS 48 STATES. CARE EVERYWHERE, WHICH ENABLED YNHHS TO MEET MEANINGFUL USE STAGE 2 CERTIFICATION, HELPS IMPROVE CARE COORDINATION, INCREASES PATIENT SAFETY AND DECREASES UNNECESSARY TESTS. YNHHS CONTINUED TO OFFER ALL REFERRING PROVIDERS EPICCARE LINK TO EXTEND DATA SHARING AND COLLABORATION. PARTNERING WITH MDLIVE, YNHHS LAUNCHED A LIVE, ONLINE PHYSICIAN CONSULTATION SERVICE FOR NON-EMERGENT MEDICAL CONDITIONS. MORE THAN 2,700 YNHHS EMPLOYEES REGISTERED FOR THE SERVICE SINCE ITS LAUNCH IN MARCH, AND PHYSICIANS CONDUCTED OVER 300 ONLINE CONSULTATIONS. YNHHS BEGAN PARTNERING WITH EMMI SOLUTIONS ON A NEW INITIATIVE TO HELP PATIENTS BECOME MORE ENGAGED WITH THEIR CARE. EMMI OFFERS AN INTERACTIVE VOICE RESPONSE SYSTEM TO CONTACT PATIENTS WHO ARE OVERDUE ON IMPORTANT SCREENING TESTS OR CHECKUPS OR HAVE OTHER GAPS IN CARE. IT WAS PILOTED WITH THOUSANDS OF YNHHS PATIENTS OF NEMG PRIMARY CARE PROVIDERS AND THE PRIMARY CARE CENTERS REGARDING MAMMOGRAPHY, DIABETIC EYE AND FOOT CARE AND INFLUENZA VACCINATION. EMMI ENHANCES CARE AND PROVIDES EDUCATIONAL RESOURCES FOR LARGE GROUPS OF PATIENTS. AFTER ITS FIRST YEAR OF OPERATION, SKYHEALTH, THE JOINT CRITICAL-CARE HELICOPTER SERVICE BETWEEN YNHHS AND 5 NORTH SHORE-LONG ISLAND JEWISH HEALTH SYSTEM, LOGGED 150 PATIENT TRANSPORTS TO YALE-NEW HAVEN HOSPITAL, SEVERAL TO THE CONNECTICUT BURN CENTER AT BRIDGEPORT HOSPITAL, AND TRANSPORTED FIVE PATIENTS FROM GREENWICH HOSPITAL AND 16 FROM BRIDGEPORT HOSPITAL. LED BY THE SYSTEM'S PATIENT EXPERIENCE COUNCIL, A NUMBER OF INNOVATIVE, COMMONSENSE INITIATIVES WERE IMPLEMENTED DUE TO THE INGENUITY, COMPASSION AND EMPATHY OF STAFF. SIXTY-EIGHT PROJECTS WERE RECOGNIZED AT THE ANNUAL PATIENT EXPERIENCE CONFERENCE, WHERE A RECORD 1,000 EMPLOYEES FROM ACROSS THE SYSTEM SHARED BEST PRACTICES IN METHODS TO IMPROVE THE PATIENT EXPERIENCE. THE SYSTEM'S DIVERSITY AND INCLUSION COMMITTEE CONTINUED TO CREATE AN INCLUSIVE, SUPPORTIVE ENVIRONMENT FOR EMPLOYEES, PATIENTS AND FAMILIES, PHYSICIANS, VISITORS AND THE COMMUNITY. BY EFFECTIVELY LEVERAGING DIVERSITY AND INCLUSION TEAMS AT EACH DELIVERY NETWORK, THE SYSTEM ESTABLISHED THE FOUNDATION OF A CULTURE THAT ENHANCES UNDERSTANDING; ATTRACTS AND RETAINS A QUALITY WORKFORCE REFLECTIVE OF OUR PATIENTS AND COMMUNITY; AND EXPLORES DIFFERENCES TO INCREASE CREATIVITY, QUALITY, TEAMWORK AND INNOVATION. THE PATIENT AND FAMILY ADVISORY COMMITTEE, A GROUP OF EMPLOYEES, PATIENTS AND COMMUNITY MEMBERS, EXPANDED ITS ROLE DURING THE YEAR, OFFERING COUNSEL IN THE DEVELOPMENT OF OUTREACH AND CLINICAL PROGRAMS. ADDRESSING CONSUMER DEMAND FOR TRANSPARENCY IN PRICING OF HEALTHCARE SERVICES, THE SYSTEM ALSO IMPLEMENTED A DEDICATED TELEPHONE LINE FOR PATIENT PRICING INQUIRIES. THE SYSTEM HAS BEEN DEVELOPING AN INFRASTRUCTURE TO SUPPORT POPULATION HEALTH MANAGEMENT, WORKING WITH NORTHEAST MEDICAL GROUP, YALE MEDICAL GROUP AND INDEPENDENT PHYSICIANS AND PROVIDERS FROM ACROSS THE SYSTEM. THIS APPROACH TO CARE IS DESIGNED TO KEEP PATIENTS HEALTHY, HELP MANAGE CHRONIC CONDITIONS, SUPPORT PATIENTS ACROSS CARE SETTINGS AND LOWER CARE COSTS. THIS WILL SET THE STAGE FOR THE NEW MODELS OF VALUE-BASED PAYMENT WHICH PAY PROVIDERS BASED ON QUALITY OUTCOMES INSTEAD OF THE NUMBER OF SERVICES PROVIDED TO PATIENTS. YNHHS HAS BEEN WORKING WITH AN AREA NONPROFIT TO DEVELOP A CLINICALLY INTEGRATED NETWORK CALLED TOTAL HEALTH SO THAT PARTICIPATING PROVIDERS CAN SHARE BENEFITS INCLUDING ACCESS TO AN EXPANSIVE REFERRAL NETWORK FOR THEIR PATIENTS, A POPULATION HEALTH PLATFORM THAT INTEGRATES DATA FROM MULTIPLE SYSTEMS, INCLUDING DIFFERENT ELECTRONIC HEALTH RECORDS AND CLAIMS DATA THAT CONTAIN PATIENT OUTCOMES, QUALITY DATA AND FINANCIAL INFORMATION. THESE SERVICES HELP PROVIDERS WITH MONITORING PATIENT OUTCOMES, CARE COORDINATION AND REDUCING UNNECESSARY VARIATION IN CARE. FORM 990, PART VI PART I, LINE 4 & PART VI, LINE 1B NUMBER OF INDEPENDENT VOTING MEMBERS OF THE GOVERNING BODY THE HOSPITAL 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 HOSPITAL AND ANNUAL CONFLICTS OF INTEREST DISCLOSURES, THE HOSPITAL WAS ABLE TO CONFIRM THAT 15 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. 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 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. PART VI, LINE 15B 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 3,706,174. MANAGEMENT AND GENERAL EXPENSES 1,027,731. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 4,733,905. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 34,862,457. MANAGEMENT AND GENERAL EXPENSES 9,667,441. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 44,529,898. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 899,624. MANAGEMENT AND GENERAL EXPENSES 249,468. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,149,092. FORM 990, PART XI, LINE 9: TRANSFER TO/FROM AFFILIATES- NEMG -13,652,673. GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646659 HEALTHCARE SERVICES CT 501C3 LINE 3 GREENWICH HEALTH CARE SERVICES INC 1 GREENWICH HEALTH CARE SERVICES INC 5 PERRYRIDGE ROAD GREENWICH CT 06830 222593399 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II YALE NEW HAVEN HEALTH SERVICES CORP 1 THE GREENWICH HOSPITAL ENDOWMENT FUND INC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061526642 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II GREENWICH HEALTH CARE SERVICES INC 1 BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 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 CORP 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 CORP 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 CARITAS INSURANCE - TERMINATED 121514 40 MAIN STREET BURLINGTON VT 05401 030322238 INSURANCE VT 501C3 LINE 11A, I YALE-NEW HAVEN HOSPITAL 1 PERRYRIDGE CORPORATION 5 PERRYRIDGE ROAD GREENWICH CT 06830 061207316 SYSTEM SUPPORT SERVICES CT 501C3 LINE 11B, II GREENWICH HEALTH CARE SERVICES INC 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 SHORELINE SURGERY CENTER LLC 111 GOOSE LANE GUILFORD CT 06437 900110459 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 3364275 1328961 0 0 0.51000 SSC II LLC 111 GOOSE LANE GUILFORD CT 06437 261709382 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 3374901 1479582 0 0 0.51000 ORTHOPAEDIC & NEUROSURGERY CENTER LLC 55 HOLLY HILL LANE GREENWICH CT 06830 273477197 HEALTHCARE SERVICES CT GREENWICH AMBULATORY SERVICE CORP RELATED 3092610 883041 0 0 0.35000 TOTAL HEALTH CONNECTICUT LLC 789 HOWARD AVENUE NEW HAVEN CT 06519 474070024 HEALTHCARE SERVICES CT YALE-NEW HAVEN HEALTH SERVICES CORP RELATED 0 0 0.60000 YNHHS-MSO INC 789 HOWARD AVE NEW HAVEN CT 06519 061467717 MANAGEMENT SERVICES CT N/A C 353494 366380 1.00000 1 YALE-NEW HAVEN AMBULATORY SERVICES 40 TEMPLE STREET NEW HAVEN CT 06510 061398526 HEALTHCARE SERVICES CT YALE-NEW HAVEN HOSPITAL C 4186999 12475164 1.00000 1 MEDICAL CENTER REALTY INC 50 YORK STREET NEW HAVEN CT 06511 061110858 REAL ESTATE RENTAL CT YORK ENTERPRISES INC C 2014758 3002352 1.00000 1 GREENWICH HEALTH SERVICES INC - TERMINATED 63015 5 PERRYRIDGE ROAD GREENWICH CT 06830 061233643 HEALTHCARE SERVICES CT GREENWICH HEALTH CARE SERVICES CORP C 342228 1.00000 1 GREENWICH FERTILITY & IVF PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 300145464 HEALTHCARE SERVICES CT GREENWICH HOSPITAL C 2349318 1855965 1.00000 1 YORK ENTERPRISES INC 50 YORK STREET NEW HAVEN CT 06511 061110937 TITLE HOLDING CT YALE-NEW HAVEN HOSPITAL C 140114 9651812 1.00000 1 YNHH-PHYSICIANS CORP 789 HOWARD AVE NEW HAVEN CT 06519 061202305 ADMININISTRATIVE SERVICES CT N/A C 100376 1.00000 1 MEDICAL CENTER PHARMACY INC 50 YORK STREET NEW HAVEN CT 06511 061087673 PHARMACY CT YORK ENTERPRISES INC C 8036843 11631001 1.00000 1 CENTURY FINANCIAL SERVICES INC 23 MAIDEN LANE NORTH HAVEN CT 06473 061110797 DEBT COLLECTION CT YORK ENTERPRISES INC C 6999418 3326142 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 287000 128394 1.00000 1 LUKAN INDEMNITY COMPANY - TERMINATED 3312015 58 PAR-LA-VALLIS RD HAMILTON BD 981072793 INSURANCE BD YALE-NEW HAVEN HOSPITAL C 1.00000 1 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NJ PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 453833883 HEALTHCARE NJ GREENWICH HEALTH SERVICES INC C 265434 105379 1.00000 1 PRIMARYNET OF CT INC 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 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 1 BRIDGEPORT HOSPITAL L 58571666 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL Q 5555029 TRANSACTION REVIEW YALE-NEW HAVEN HOSPITAL K 3214000 COMPARABLE MARKET VALUE YALE-NEW HAVEN HOSPITAL L 200431677 COMPARABLE MARKET VALUE NORTHEAST MEDICAL GROUP INC L 10588794 COMPARABLE MARKET VALUE NORTHEAST MEDICAL GROUP INC R 53931000 CASH YALE NEW HAVEN AMBULATORY SERVICES CORP L 139170 COMPARABLE MARKET VALUE YALE NEW HAVEN CARE CONTINUUM CORP L 169822 COMPARABLE MARKET VALUE GREENWICH HOSPITAL L 40034219 COMPARABLE MARKET VALUE GREENWICH HOSPITAL Q 5845314 TRANSACTION REVIEW YALE-NEW HAVEN HOSPITAL Q 16056003 TRANSACTION REVIEW CENTURY FINANCIAL SERVICES INC L 92319 COMPARABLE MARKET VALUE YORK ENTERPRISES INC L 258860 COMPARABLE MARKET VALUE YALE-NEW HAVEN HOSPITAL R 11482754 CASH YALE-NEW HAVEN HOSPITAL S 5325341 CASH