2014-05-07T00:49:09-05:00 2013-12-31 420714325 MCGLADREY LLP 100 INTERNATIONAL DRIVE SUITE 1400 BALTIMORE MD 21202 990 2013-01-01 522205122 AMERICAN UROLOGICAL ASSOCIATION INC AMER 4106893700 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 MARK CAMPOBELLO CFO 4106893700 2014-05-05 1 JAMES P SWEENEY CPA P01263012 4102469300 2013 2015-11-30 17:44:51Z MICHAEL SHEPPARD 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 11414246 0 X WWW.AUANET.ORG X 2002 MD ADVANCEMENT OF PROFESSIONAL AND UROLOGIC PATIENT CARE AND THE FORMULATION OF HEALTH CARE POLICY. 15 10 34 173 806038 160512 0 0 10786788 11402125 11407 12121 0 0 10798195 11414246 2030700 2018300 0 0 5028592 5429836 0 0 0 4255431 4078849 11314723 11526985 -516528 -112739 8061298 7967035 7183726 7202202 877572 764833 X PROMOTE THE HIGHEST STANDARDS OF UROLOGICAL CLINICAL CARE THROUGH EDUCATION, RESEARCH, AND THE FORMULATION OF HEALTH CARE POLICY. 0 0 THE AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) IS ORGANIZED TO SERVE AS A NATIONAL PROFESSIONAL ASSOCIATION OF PHYSICIANS IN THE SPECIALTY OF UROLOGY. ANNUALLY THE AUA HOLDS A NATIONAL MEETING FOR MEMBERS AND NON-MEMBERS, AT WHICH NUMEROUS EDUCATIONAL SESSIONS ARE CONDUCTED BY EXPERTS IN RESEARCH AND MEDICAL TECHNIQUES IN UROLOGY AS WELL AS MANUFACTURERS EXHIBITING THE LATEST TECHNOLOGY AND PRODUCTS USEFUL TO THE PRACTICING UROLOGISTS. THE AUA ADVOCATES HEALTH POLICIES IN THE PUBLIC INTEREST, ON CURRENT ISSUES AFFECTING THE SPECIALTY OF UROLOGY AND MEDICINE IN GENERAL WITH THE U.S. CONGRESS AND FEDERAL AND STATE REGULATORY AGENCIES. DIRECTLY AND THROUGH AFFILIATED ENTITIES, THE AUA PROVIDES SCIENTIFIC RESEARCH, EDUCATION, PRACTICE MANAGEMENT, ADVOCACY, MEMBERSHIP SERVICES AND PUBLIC RELATIONS ON BEHALF OF THE UROLOGICAL PROFESSION. 0 0 1 1 0 0 0 0 1 0 0 0 1 0 1 0 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 48 0 1 34 1 1 1 0 0 0 1 1 0 X 15 10 0 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 0 0 0 MD X MARK CAMPOBELLO 4106893705 1000 CORPORATE BOULEVARD LITHICUM MD 21090 X PRAMOD C SOGANI MD PRESIDENT 3.00 7.00 X X 30558 71302 0 WILLIAM BOHNERT MD PRESIDENT-ELECT 3.00 7.00 X X 7735 18049 0 DENNIS PESSIS MD IMMEDIATE PAST PRESIDENT 3.00 7.00 X X 20250 47249 0 SUSHIL S LACY MD THRU 513 IMMEDIATE PAST PRESIDENT 3.00 7.00 X X 615 1436 0 GOPAL H BADLANI MD SECRETARY 3.00 7.00 X X 30689 71609 0 RICHARD A MEMO MD TREASURER 3.00 7.00 X X 11034 25747 0 JOHN H LYNCH MD DIRECTOR 0.50 1.50 X 571 1333 0 DAVID F GREEN MD DIRECTOR 0.50 1.50 X 0 0 0 MUHAMMAD S CHOUDHURY MD DIRECTOR 0.50 1.50 X 695 1621 0 STEPHEN Y NAKADA MD DIRECTOR 0.50 1.50 X 465 1085 0 KEVIN PRANIKOFF MD DIRECTOR 0.50 1.50 X 0 0 0 J BRANTLEY THRASHER MD DIRECTOR 0.50 1.50 X 281 655 0 DENNIS D VENABLE MD DIRECTOR 0.50 1.50 X 350 817 0 JEFFREY E KAUFMAN MD DIRECTOR 0.50 1.50 X 397 925 0 KEVIN LOUGHLIN DIRECTOR 0.50 1.50 X 331 771 0 MICHAEL T SHEPPARD EXECUTIVE DIRECTOR, CEO 12.00 28.00 X 175541 326006 104035 MARK P CAMPOBELLO CHIEF FINANCIAL OFFICER 12.00 28.00 X 100888 187365 57763 KEVIN A WOHLFORT ASSOCIATE EXECUTIVE DIR. 14.00 26.00 X 107267 199208 61543 PETER J PLOURD ASSOCIATE EXECUTIVE DIR. 14.00 26.00 X 97141 180405 53180 KATHLEEN WILSON ASSOCIATE EXECUTIVE DIR. 40.00 X 224348 0 17415 SANDIE J PREISS DIR. OF GOVT RELATIONS 40.00 X 172592 0 17496 RICHARD W RUTHERFORD DIR. OF PRACTICE MGMT 40.00 X 166188 0 32822 PATRICIA M BANKS DIR. OF MARKETING & PUBLIC 14.00 26.00 X 56222 104412 40077 MICHAEL A PRETL GENERAL COUNSEL 14.00 26.00 X 50586 93945 265 SUSAN A KERNS SR. MANAGER OF INFO. SYSTE 14.00 26.00 X 50188 93205 42293 1304932 1427145 426889 7 0 1 0 PRODUCTION ASSOCIATES LLC 1900 CAMPUS COMMONS DRIVE SUITE 10 RESTON VA 20191 AUDIO VISUAL SERVICES 344077 HART HEALTH STRATEGIES 3823 FORDHAM ROAD WASHINGTON DC 20016 LOBBYING CONSULTANT 205650 HYATT REGENCY WASHINGTON LOCKBOX 6012 WASHINGTON DC 20042 HOTEL FOR VARIOUS MEETINGS 153779 SHERATON NEW ORLEANS HOTEL 500 CANAL STREET NEW ORLEANS LA 70130 HOTEL FOR ENDO MEETING 153638 MARDI GRAS WORLD LLC 1380 PORT OF NEW ORLEANS NEW ORLEANS LA 70130 EVENT ORGANIZER 123746 5 EXHIBIT & INDUS. SUPPO 541800 5552068 5264460 287608 MEMBERSHIP DUES AND AS 541900 4383516 4383516 MANAGEMENT SERVICE 541900 518430 518430 PRACTICE MANAGEMENT 541900 482853 482853 MISC PUBS/MANUALS/PROG 541800 465258 465258 11402125 12121 12121 11414246 10596087 806038 12121 X 2008500 9800 661044 4233670 136641 216703 181778 11173 1994453 271781 675078 779118 84176 AWARDS 235682 TAXES 27388 11526985 5122579 7127463 349748 268013 214367 160106 2374604 411453 8061298 7967035 329226 294211 6854500 6907991 7183726 7202202 X 877572 764833 877572 764833 8061298 7967035 -112739 0 X 0 1 X 1 0 546732 150 UROPAC (SEE PART IV DESCRIPTION) 1100 EAST WOODFIELD ROAD SUITE 520 SCHAUMBERG IL 60173 201065450 8442 0 0 0 4383516 546732 546732 768811 -222079 PART I-A, LINE 1: THE AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) IS THE JOINT OWNER WITH THE AMERICAN ASSOCIATION OF CLINICAL UROLOGISTS (AACU) OF THE "AMERICAN ASSOCIATION OF CLINICAL UROLOGISTS-AMERICAN UROLOGICAL ASSOC. POLITICAL ACTION COMMITTEE (UROPAC)." UROPAC IS A SEPARATE ENTITY CO-SPONSORED BY THE AMERICAN ASSOCIATION OF CLINICAL UROLOGISTS, INC. AND THE AMERICAN UROLOGICAL ASSOCIATION, INC. UROPAC WILL NOT SOLICIT CONTRIBUTIONS FROM FOREIGN NATIONALS OR INDIVIDUALS WHO ARE NOT MEMBERS OF AUA OR AACU. CONTRIBUTIONS FROM FOREIGN NATIONALS AND INDIVIDUALS WHO ARE NOT MEMBERS OF AUA OR AACU ARE PROHIBITED. THE FEDERAL FUNDS RAISED BY UROPAC ARE CONTRIBUTED TO FECA CAMPAIGN COMMITTEES. AUA/AACU STAFF MAKES RECOMMENDATIONS ON CONTRIBUTIONS TO THE UROPAC BOARD WHICH HAS ENTRUSTED THE CHAIR AND THE VICE CHAIR WITH DECISION MAKING AUTHORITY. AUA STAFF REGULARLY ATTENDS FUNDRAISERS FOR FEDERAL INCUMBENTS AND CHALLENGERS AS WELL AS POLITICAL PARTY FUNDRAISING APPARATUSES. THE AUA MAINTAINS ONE STAFF MEMBER WHO WORKS APPROXIMATELY 30% OF THE TIME ON UROPAC ACTIVITIES: FUNDRAISING, COORDINATING FECA CAMPAIGN COMMITTEE CONTRIBUTIONS, LIAISING WITH THE AACU ON UROPAC MATTERS, ETC. AUA COVERS TRAVEL EXPENSES RELATED TO THIS STAFF MEMBER'S UROPAC RELATED TRAVEL. IN ADDITION, THE AUA SPONSORS A UROPAC RECEPTION ON BEHALF OF UROPAC AT ITS ANNUAL MEETING AND PRODUCES A BOOTH USED FOR FUNDRAISING AT THE ANNUAL MEETING AS WELL. OTHER EXPENSES INCLUDE REGISTRATION FEES FOR PAC TRAINING/FORUMS, MISCELLANEOUS PRINTING, AND INTERNET FEES. 12256703 4607379 2343304 601937 18605449 10130026 1257542 1345923 476788 12256703 10274697 140042 69446 354159 10130026 9279367 100960 1178472 284102 10274697 7728761 70625 1726683 246702 9279367 0.62750 0.37250 0 1 1 0 INTERCOMPANY RECEIVABLE 411453 411453 X 39256300 27854175 27854175 11402125 12121 12121 11414246 33938731 22411746 22411746 11526985 0 11526985 PART V, LINE 4: THE ENDOWMENT FUNDS ARE HELD AND ADMINISTERED BY BOTH THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. AND THE UROLOGY CARE FOUNDATION, INC., RELATED EXEMPT ORGANIZATIONS. ENDOWMENT FUNDS ARE USED TO SUPPORT RESEARCH SCHOLARSHIPS AND AWARDS FOR THE ADVANCEMENT OF UROLOGIC MEDICINE. PART X, LINE 2: THE ORGANIZATION HAS ADOPTED THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE-LIKELY-THAN-NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAX AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES ALSO ADDRESSED DE-RECOGNITION CLASSIFICATION, INTEREST AND PENALTIES ON INCOME TAXES, AND ACCOUNTING IN INTERIM PERIODS. MANAGEMENT EVALUATED THE ORGANIZATION'S TAX POSITIONS AND CONCLUDED THAT THE ORGANIZATION HAS TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. THE ORGANIZATION IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES BEFORE 2010. PART XI, LINE 2D - OTHER ADJUSTMENTS: F/S ARE CONSOLIDATED: UROLOGY CARE FOUNDATION, INC. 7,821,797. AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. REVENUE 26,976,428. INCOME ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -6,944,050. PART XI, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT INCOME 12,121. PART XII, LINE 2D - OTHER ADJUSTMENTS: F/S ARE CONSOLIDATED: UROLOGY CARE FOUNDATION, INC. 3,026,009. AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. EXPENSES 26,329,787. EXPENSES ELIMINATED ON THE CONSOLIDATED FINANCIAL STATEMENTS -6,944,050. 1 AMERICA UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BOULEVARD LINTHICUM MD 21091 430691437 501(C)(3) 2000000 GENERAL SUPPORT 1 HEALTH POLICY SCHOLARSHIP 1 8000 RESIDENTS DEBATE 8 800 RESIDENTS BOWL 5 1000 PART I, LINE 2: THE USE OF GRANT FUNDS ARE MONITORED THROUGH AUA'S REPRESENTATION AT SUB-SPECIALTY SOCIETY MEETINGS, REVIEW OF REPORTS, AND LIASON RELATIONSHIPS WITH GRANT RECIPIENTS. X X X 1 1 0 0 0 MICHAEL T SHEPPARD EXECUTIVE DIRECTOR, CEO 153102 284332 1179 2190 21260 39484 14323 85301 1544 2867 191408 414174 0 0 MARK P CAMPOBELLO CHIEF FINANCIAL OFFICER 80221 148981 12707 23600 7960 14784 14507 26942 5710 10604 121105 224911 0 0 KEVIN A WOHLFORT ASSOCIATE EXECUTIVE DIR. 89245 165740 14333 26618 3689 6850 14431 26800 7109 13203 128807 239211 0 0 PETER J PLOURD ASSOCIATE EXECUTIVE DIR. 83905 155824 13236 24581 0 0 14569 27058 4044 7509 115754 214972 0 0 KATHLEEN WILSON ASSOCIATE EXECUTIVE DIR. 198689 0 25659 0 0 0 2931 0 14484 0 241763 0 0 0 SANDIE J PREISS DIR. OF GOVT RELATIONS 172592 0 0 0 0 0 0 0 17496 0 190088 0 0 0 RICHARD W RUTHERFORD DIR. OF PRACTICE MGMT 146745 0 11645 0 7798 0 17198 0 15624 0 199010 0 0 0 PATRICIA M BANKS DIR. OF MARKETING & PUBLIC 50695 94148 5527 10264 0 0 8457 15706 5570 10344 70249 130462 0 0 SUSAN A KERNS SR. MANAGER OF INFO. SYSTE 48817 90659 1371 2546 0 0 7725 14346 7078 13144 64991 120695 0 0 PART I, LINE 1A OFFICERS AND DIRECTORS ARE ENTITLED TO FIRST CLASS TRAVEL ON TRIPS OVER ESTABLISHED TIME AND DISTANCE LIMITS. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. OFFICERS AND DIRECTORS ARE ENTITLED TO TRAVEL FOR COMPANIONS ON SELECT TRIPS DURING THE YEAR. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. THE PRESIDENT AND THE PRESIDENT ELECT RECEIVE TAX INDEMNIFICATION AND GROSS UP PAYMENTS FOR 50% OF THEIR SPOUSAL TRAVEL IN THE FOLLOWING YEAR. THIS AMOUNT IS INCLUDED IN TAXABLE COMPENSATION. FORM 990, SCHEDULE J, PART I, LINE 3 THE AMERICAN UROLOGICAL ASSOCIATION, INC. RELIES ON THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC., A RELATED ORGANIZATION TO ESTABLISH THE COMPENSATION OF THE ORGANIZATION'S CEO/EXECUTIVE DIRECTOR. THE AUAER USES A COMPENSATION COMMITTEE, FORM 990 OF OTHER ORGANIZATIONS, COMPENSATION SURVEY OR STUDY, AND THE APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. FORM 990, PART I, LINE 6 THE NUMBER OF VOLUNTEERS WAS ESTIMATED BASED ON THE NUMBER OF PHYSICIAN'S PARTICIPATING ON PHYSICIAN COMMITTEES. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE HAS DELEGATED AUTHORITY ONLY TO HANDLE THE DETAILS OF MANAGEMENT BETWEEN BOARD MEETINGS. HOWEVER, THE EXECUTIVE COMMITTEE REPORTS BACK TO THE FULL BOARD, WHICH NORMALLY SHOULD RATIFY ANY SIGNIFICANT DECISION OR ACTION OF THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 4 THE AMERICAN UROLOGICAL ASSOCIATION, INC. REVISED THEIR BYLAWS IN 2013. THE FOLLOWING CHANGES WERE MADE: 1. ARTICLE II: CHARTERED SECTIONS - SECTION 4 MANDATORY MEMBERSHIP - LANGUAGE HAS BEEN REVISED TO CLARIFY THE LIST OF CATEGORIES THAT REQUIRE MANDATORY RECIPROCAL MEMBERSHIP IN AUA SECTIONS. 2. ARTICLE V: COMMITTEES - SECTION 1.1 FINANCE COMMITTEE - LANGUAGE UNDER THE FINANCE COMMITTEE HAS BEEN UPDATED TO INCLUDE THE ACTIVITIES OF THE INVESTMENT COMMITTEE. 3. ARTICLE X: DISCIPLINE, DISABILITY AND DISQUALIFICATION- SECTION 2 REBUKE OF A MEMBER - THE BYLAWS HAVE BEEN CHANGED TO DIFFERENTIATE BETWEEN THE LESSER OFFENSE OF A REBUKE AND EXPULSION. THE PROCESSES FOR BOTH DISCIPLINARY ACTIONS STILL ALLOWS FOR A HEARING (SHOULD THE MEMBER SO CHOOSE) TO CHALLENGE THE RECOMMENDATION OF THE JUDICIAL & ETHICS COMMITTEE, BUT AN APPEAL IS RESERVED TO EXPULSION. FORM 990, PART VI, SECTION A, LINE 6 ALL MEMBERS HAVE A RIGHT TO APPROVE/CHANGE BYLAWS AND TO ELECT THE TREASURER AND SECRETARY OFFICER POSITIONS OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A SEE EXPLANATION FOR LINE 6. FORM 990, PART VI, SECTION A, LINE 7B SEE EXPLANATION FOR LINE 6. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 WAS REVIEWED BY THE AUDIT COMMITTEE, SENIOR STAFF, AND AN ELECTRONIC COPY WAS PROVIDED TO THE ENTIRE BOARD PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL COMMITTEE MEMBERS ARE REQUIRED TO COMPLETE AN ANNUAL CONFLICT OF INTEREST DISCLOSURE STATEMENT. THE COI'S ARE REVIEWED BY ALL COMMITTEE CHAIRMEN PRIOR TO ALL MEETINGS. THE REVIEW IS LISTED AS A DISCUSSION ITEM ON EVERY COMMITTEE AGENDA AND THE REVIEW AND DISCUSSION IS DOCUMENTED IN THE COMMITTEE MEETING MINUTES. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, FINANCIAL STATEMENTS, AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST AT OUR CORPORATE OFFICE, 1000 CORPORATE BOULEVARD, LINTHICUM, MD 21090. FORM 990, PART VII THE BOARD OF DIRECTORS AND COMMITTEE MEMBERS OF THE AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) ROTATE ON A FISCAL YEAR CYCLE TYPICALLY JUNE 1ST THROUGH MAY 31ST. FORM 990, PART IX AMERICAN UROLOGICAL ASSOCIATION, INC. (AUA) DOES NOT HAVE ANY EMPLOYEES. ALL THE SERVICES PROVIDED FOR THE AUA ARE PERFORMED BY EMPLOYEES OF THE AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH, INC. (AUAER) UNDER A COST SHARING ARRANGEMENT. THE EXPENSES REFLECTED ON PAGE TEN OF THIS RETURN ON LINES 5 THROUGH 10 ARE THE EXPENSES PAID BY THE AUA TO THE AUAER UNDER THE COST SHARING ARRANGEMENT FOR SERVICES PROVIDED BY AUAER EMPLOYEES FOR THE AUA. AMERICAN UROLOGICAL ASSOCIATION EDUCATION AND RESEARCH INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 430691437 EXEMPT ORGANIZATION MD 501(C)(3) 9 N/A 0 UROLOGY CARE FOUNDATION INC 1000 CORPORATE BOULEVARD LINTHICUM HEIGHTS MD 21090 203210212 EXEMPT ORGANIZATION MD 501(C)(3) 7 N/A 0 0 1 0 0 1 0 0 0 0 0 0 0 0 1 1 1 0 0 0