2015-05-14T10:10:24-05:00 2014-06-30 205991824 SC&H TAX & ADVISORY SERVICES LLC 910 RIDGEBROOK ROAD SPARKS MD 21152 990 2013-07-01 521388935 SHEPPARD PRATT INVESTMENT INC SHEP 4109383344 PO BOX 6815 BALTIMORE MD 21285 GERALD A NOLL CFO 4109383344 2015-05-13 1 LORI S BURGHAUSER P00370694 4104031500 2015-05-13 2013 2016-02-25 16:41:14Z GERALD A NOLL PO BOX 6815 BALTIMORE MD 21285 41345425 0 X N/A X 1985 MD TO HOLD AND MANAGE ENDOWMENT FUNDS OF RELATED NONPROFIT ENTITIES. 8 8 0 8 17196 16196 0 0 0 0 7744579 13536770 232067 221637 7976646 13758407 0 0 0 0 0 0 0 0 0 548723 424162 548723 424162 7427923 13334245 111655018 126703411 1553562 1707812 110101456 124995599 TO FULFILL THE GOALS AND OBJECTIVES OF SHEPPARD PRATT HEALTH SYSTEM THROUGH THE MANAGEMENT AND INVESTMENT OF FUNDS OF SHEPPARD AND ENOCH PRATT FOUNDATION, INC. AND ITS RELATED ORGANIZATIONS INCLUDING THE MANAGEMENT AND INVESTMENT OF ITS ENDOWMENT. 0 0 HOLD AND MANAGE ENDOWMENT FUNDS OF RELATED NONPROFIT ENTITIES 1 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0 0 X 8 8 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 0 0 0 X DONNA CORBETT 4109383344 6501 N CHARLES ST TOWSON MD 21285 CHARLES E KNUDSEN CHAIRPERSON 1.00 X X 0 0 0 CHARLES COLE TRUSTEE 1.00 X 0 0 0 SUSAN FENIMORE TRUSTEE 1.00 X 0 0 0 DR W BYRON FORBUSH TRUSTEE 1.00 X 0 0 0 JAMES HANNAN TRUSTEE 1.00 X 0 0 0 DANIEL B HIRSCHHORN TRUSTEE 1.00 X 0 0 0 WYATT LEE TRUSTEE 1.00 X 0 0 0 JENNIFER W REYNOLDS TRUSTEE 1.00 X 0 0 0 STEVEN S SHARFSTEIN MD PRESIDENT & CEO 1.00 44.00 X 0 1078651 300683 PATRICIA PINKERTON VP, CFO, SEC/TREASURER 1.00 44.00 X 0 413310 98214 EILEEN EICH ASSISTANT SECRETARY 1.00 44.00 X 0 56775 19847 0 1548736 418744 0 0 1 0 STATE STREET CORPORATION ONE LINCOLN STREET BOSTON MA 02111 FUND CUSTODIAN 215836 PRIME BUCHHOLZ & ASSOCIATES INC 273 CORPORATE DRIVE STE 250 PORTSMOUTH NH 03801 INVESTMENT CONSULTANT 161880 2 5137751 17196 5120555 15881 257 15624 15624 15624 35985780 27586761 8399019 8399019 8399019 INTERCORPORATE INTEREST INCOME 900099 206013 206013 206013 13758407 0 17196 13741211 394169 394169 TAX EXPENSE 29993 29993 424162 0 424162 0 924390 547457 2404685 2272921 3215544 140354 3024072 3075190 85673723 89989390 15338640 26582473 4289508 4235980 111655018 126703411 1218909 1388782 334653 319030 1553562 1707812 X 110101456 124995599 110101456 124995599 111655018 126703411 X 13334245 4403898 -2844000 X X 0 1 X 1 0 X X 0 0 0 SHEPPARD PRATT HEALTH SYSTEM INC 520591684 3 1 2844000 1 2844000 110101457 17738143 2844000 124995600 100908018 11005439 1812000 110101457 103580136 -488118 2184000 100908018 90592142 16914730 3926737 103580135 82245839 11000983 2654680 90592142 1.00000 0 0 3008709 3008709 206835 140354 66481 3075190 INVESTMENTS IN PARTNERSHIPS/HEDGE FUNDS 26254684 F INVESTMENTS IN NONPROFIT JVS 327789 C 26582473 17738143 4403898 4403898 13334245 394169 29993 424162 13758407 0 0 0 394169 29993 424162 424162 PART XI, LINE 4B - OTHER ADJUSTMENTS: TAX EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 29,993. PART XII, LINE 4B - OTHER ADJUSTMENTS: TAX EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 29,993. PART XIII: PARTS XI AND XII RECONCILE TO SEPARATE COMPANY FINANCIAL STATEMENTS OF SHEPPARD PRATT INVESTMENT, INC. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 318973 EUROPE 0 0 INVESTMENTS 12976054 0 0 0 0 0 0 13295027 0 13295027 1 1 1 1 1 0 0 1 0 0 0 0 0 0 0 STEVEN S SHARFSTEIN MD PRESIDENT & CEO 0 780570 0 0 0 298081 0 293216 0 7467 0 1379334 0 0 PATRICIA PINKERTON VP, CFO, SEC/TREASURER 0 409237 0 0 0 4073 0 79400 0 18814 0 511524 0 0 PART I, LINE 4B LINE 4B: THE FOLLOWING PARTICIPATED IN SHEPPARD PRATT'S 457(F) PLAN: PATRICIA PINKERTON $50,000 STEVEN S. SHARFSTEIN, M.D. $238,679 THE TOP MANAGEMENT AND OFFICERS WERE NOT COMPENSATED BY THE ORGANIZATION. THEY WERE COMPENSATED BY A RELATED ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION IS A WHOLLY-OWNED SUBSIDIARY OF THE SHEPPARD AND ENOCH PRATT FOUNDATION, INC. FORM 990, PART VI, SECTION A, LINE 7A SHEPPARD AND ENOCH PRATT FOUNDATION, INC. HOLDS RESERVED RIGHTS WHICH INCLUDE THE POWERS TO APPOINT BOARD MEMBERS. FORM 990, PART VI, SECTION A, LINE 7B SHEPPARD AND ENOCH PRATT FOUNDATION, INC. HOLDS RESERVED RIGHTS WHICH INCLUDE THE POWERS TO APPOINT AND REMOVE BOARD MEMBERS. THE FOUNDATION ALSO HOLDS THE RIGHT TO APPROVE CERTAIN SELECT TRANSACTIONS OF ITS SUBSIDIARIES. FORM 990, PART VI, SECTION B, LINE 11 THE FINANCE COMMITTEE OF THE BOARD OF TRUSTEES REVIEWS THE FORM 990 AT THE APRIL MEETING. FOLLOWING FINANCE COMMITTEE REVIEW OF THE FORM 990, THE FORM 990 IS POSTED TO THE SHEPPARD PRATT WEBSITE PORTAL FOR THE BOARD OF DIRECTORS REVIEW PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION REQUIRES ALL TRUSTEES AND KEY EXECUTIVE PERSONNEL TO COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. THE COMPLETED QUESTIONNAIRES ARE REVIEWED BY THE CFO WHO SUMMARIZES THE REPORTED CONFLICTS. THIS INFORMATION IS THEN PRESENTED TO THE CEO AND TO THE CHAIRMAN OF THE BOARD FOR REVIEW. CONFLICTS ARE REPORTED AT BOARD MEETINGS AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 SALARIES OF THE CEO AND TOP MANAGEMENT ARE REVIEWED BY THE EMPLOYEE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. THIS COMMITTEE IS COMPRISED OF INDEPENDENT TRUSTEES. THE TRUSTEES REVIEW COMPENSATION FOR REASONABLENESS. THEY USE COMPARATIVE INDUSTRY DATA IN THEIR REVIEW PROCESS. THE PROCESS FOR EMPLOYEE COMPENSATION INCLUDES DEVELOPMENT OF COMPENSATION RECOMMENDATIONS BASED ON MARKET SURVEYS AND OTHER COMPARATIVE INDUSTRY DATA. THE SALARY INFORMATION FOR THIS GROUP IS OBTAINED BY A CONSULTANT THAT IS EMPLOYED BY THE EXECUTIVE COMPENSATION COMMITTEE. THIS CONSULTANT USES CURRENT MARKET COMPENSATION SURVEYS AND OTHER COMPARATIVE INDUSTRY DATA TO MAKE RECOMMENDATIONS. THE RECOMMENDATIONS ARE THEN PRESENTED TO THE EXECUTIVE COMPENSATION COMMITTEE FOR APPROVAL. THE EXECUTIVE COMPENSATION COMMITTEE REPORTS THAT COMPENSATION WAS APPROVED TO THE FULL BOARD. THE ORGANIZATION DOES NOT PAY ANY EMPLOYEES DIRECTLY, INSTEAD THEY ARE COMPENSATED BY A RELATED ORGANIZATION. FORM 990, PART VI, SECTION C, LINE 19 CONSOLIDATED FINANCIAL STATEMENTS AND OTHER POLICIES ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: TRANSFER TO AFFILIATES -2,844,000. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. SHEPPARD PRATT PHYSICIANS PA PO BOX 6815 BALTIMORE MD 21285 521392214 PROVIDE HEALTHCARE TO PATIENTS & RESIDENCY TRAINING TO MEDICAL PROF. MD 501(C)(3) 9 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 SHEPPARD PRATT HEALTH SYSTEM INC PO BOX 6815 BALTIMORE MD 21285 520591684 PROVIDES INPATIENT/OUTPATIENT CARE, EDUC. SVCS & RESID. SVCS MD 501(C)(3) 3 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 MOSAIC COMMUNITY SERVICES INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 521338141 PROVIDES THERAPEUTIC RESIDENTIAL, REHAB., & SUPPORT SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 WAY STATION INC PO BOX 6815 BALTIMORE MD 21285 521162749 PROVIDES REHABILITATION AND TREATMENT SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 FAMILY SERVICES INC 610 EAST DIAMOND AVE GAITHERSBURG MD 20877 520730225 FOSTER HEALTHY FAMILIES THROUGH EDUCATION, BEHAVIORAL HEALTH SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 REVISIONS COMMUNITY DEVELOPMENT ORG INC 1925 GREENSPRING DRIVE BALTIMORE MD 21093 521849336 PROVIDE AFFORDABLE HOUSING TO CHRONICALLY MENTALLY DISABLED INDIVIDUALS MD 501(C)(3) 9 MOSAIC COMMUNITY SERVICES INC 0 DULANEY STATION COMMUNITY HOUSING DEVELOPMENT ORGANIZATION INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 020650286 CREATES AFFORDABLE HOUSING FOR LOW INCOME ADULTS W/ PSYCHIATRIC DISABILITIES MD 501(C)(3) 9 MOSAIC COMMUNITY SERVICES INC 0 TURNING POINT OF WASHINGTON COUNTY INC PO BOX 3826 FREDERICK MD 21705 521190659 OFFER EDUC., VOC., SOCIAL & RESIDENTIAL SUPPORT FOR MENTALLY ILL MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 SHEPPARD AND ENOCH PRATT FOUNDATION INC PO BOX 6815 BALTIMORE MD 21285 521357109 CONDUCT FUNDRAISING ACTIVITIES TO SUPPORT AFFILIATED ORGANIZATIONS MD 501(C)(3) 7 0 ALLIANCE INC 8003 CORPORATE DRIVE NOTTINGHAM MD 21236 521277262 OFFER EDUC., VOC., & RESID SVCS FOR INDIVIDUALS WITH DISABILITIES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 ATLANTIC RECYCLED PAPER COMPANY INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 521737872 INACTIVE MD N/A C 0 SHEPPARD PRATT PREFERRED RESOURCES INC 6501 N CHARLES STREET TOWSON MD 21204 521757742 INACTIVE MD N/A C 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0