2014-08-14T16:57:03-05:00 2013-09-30 PricewaterhouseCoopers LLP 600 13TH STREET NW SUITE 1000 WASHINGTON DC 20005 990 2012-10-01 631182994 UAB HEALTH SYSTEM % CONNIE BUCKINGHAM UABH 2059755413 500 22ND STREET SOUTH SUITE 408 Suite BIRMINGHAM AL 352333110 ISSAC WILLIAM FERNIANY 2059755413 2014-08-14 true 2024141000 2012 2015-11-30 17:44:51Z WILLIAM FERNIANY 500 22ND ST S STE 408 BIRMINGHAM AL 352333110 25577675 false X N/A X AL TO PROVIDE COMMON MANAGEMENT OF THE EXISTING AND FUTURE HEALTHCARE DELIVERY OPERATIONS OF THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ALABAMA AND THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION. 18 10 626 10 0 12735124 12891059 12134104 12677016 6783 9600 0 0 24876011 25577675 11284703 12455045 0 0 9197028 9902442 0 0 0 3334584 2143126 23816315 24500613 1059696 1077062 30133808 38710421 19928317 28017053 10205491 10693368 X TO PROVIDE COMMON MANAGEMENT OF THE EXISTING AND FUTURE HEALTHCARE DELIVERY OPERATIONS (THE "JOINT HEALTHCARE OPERATIONS") OF THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ALABAMA AND THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION, P.C. false false 12455045 12455045 12677016 SECTION 1: MISSION STATEMENT AND UABHS INTRODUCTION THE UAB HEALTH SYSTEM (UABHS) IS AN ALABAMA NONPROFIT CORPORATION THAT OVERSEES THE ACADEMIC MEDICAL CENTER ACTIVITIES OF ITS TWO MEMBERS, THE UNIVERSITY OF ALABAMA BOARD OF TRUSTEES AND THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION, WHICH COLLABORATIVELY PROVIDE QUALITY HEALTH CARE TO THE CITIZENS OF ALABAMA AND INDIVIDUALS FROM ACROSS THE NATION AND THE GLOBE. UABHS' MISSION IS TO IMPROVE THE HEALTH AND WELL-BEING OF SOCIETY, PARTICULARLY THE CITIZENS OF ALABAMA, BY PROVIDING INNOVATIVE HEALTH SERVICES OF EXCEPTIONAL VALUE, QUALITY, AND PATIENT SAFETY, A SUPERIOR ENVIRONMENT FOR THE EDUCATION OF HEALTH PROFESSIONALS, AND SUPPORT FOR RESEARCH TO ADVANCE MEDICAL SCIENCE. UABHS SUPPORTS THE ACTIVITIES OF THE UAB SCHOOL OF MEDICINE BY OVERSEEING HOSPITAL AND CLINIC OPERATIONS, FOSTERING RESIDENCY AND FELLOWSHIP TRAINING PROGRAMS, SUPPORTING THE RECRUITMENT, TRAINING, AND RETENTION OF FACULTY, AND CREATING HIGHLY INNOVATIVE, WELL-COORDINATED INTERDISCIPLINARY CLINICAL PROGRAMS AND PARTNERING RELATIONSHIPS THAT SERVE AS A MODEL FOR HEALTH CARE EDUCATION AND SERVICE DELIVERY. UABHS IS INTERNATIONALLY RECOGNIZED FOR ITS TRIPARTITE MISSION OF PROVIDING THE HIGHEST LEVEL OF PATIENT CARE, OUTSTANDING EDUCATION OF MEDICAL PROFESSIONALS, AND THE ADVANCEMENT OF SCIENCE IN MEDICINE THROUGH GROUNDBREAKING RESEARCH IN AREAS SUCH AS ONCOLOGY, NEUROSCIENCES, TRANSPLANTATION, CARDIOLOGY, TRAUMA AND BURN TREATMENT, REHABILITATION, IMMUNOBIOLOGY, VIROLOGY, GENE THERAPY, AND GENOMICS. UABHS ENCOMPASSES THE LARGEST MULTISPECIALTY GROUP OF HEALTH CARE PROFESSIONALS IN ALABAMA, WITH MORE THAN 1110 PHYSICIANS SERVING PATIENTS FROM EVERY STATE IN THE NATION AND INDIVIDUALS FROM AROUND THE WORLD. IT IS A MAJOR, REGIONAL, TERTIARY REFERRAL CENTER THAT TREATS SOME OF THE MOST CRITICAL PATIENTS IN THE SOUTHEAST. IN 2013, UABHS ENTITIES DISCHARGED MORE THAN 99,050 PATIENTS AND HAD 271,967 EMERGENCY DEPARTMENT VISITS. IN SPITE OF THE FINANCIAL STRAIN IT PLACES ON THE ORGANIZATION, UABHS CARES FOR THE SICKEST, MOST VULNERABLE PATIENTS, SERVING AS A SAFETY NET FOR PEOPLE WHO ARE TURNED AWAY FROM ELSEWHERE. UNCOMPENSATED CARE COSTS DO NOT INCLUDE OTHER UNFUNDED COSTS OF CARE, SUCH AS UNDERPAYMENT FROM MEDICAID AND MEDICARE. UABHS PROVIDES SIGNIFICANT CHARITY CARE TO INDIGENT INDIVIDUALS WHO ARE NOT COVERED BY INSURANCE. UABHS' ESTIMATED COST INCURRED FOR CHARITY CARE PROVIDED TO INDIGENT INDIVIDUALS IN FISCAL YEAR (FY) 2013 WAS $103,041,084. UABHS ALSO PROVIDES CARE TO A LARGE NUMBER OF INDIVIDUALS COVERED BY GOVERNMENTAL PROGRAMS THAT MAY REIMBURSE BELOW COST. IN FY 2013, UABHS' UNREIMBURSED COST FOR TREATING MEDICAID PATIENTS WAS $97,012,545. IN ADDITION, UABHS ENTITIES PROVIDE HEALTH CARE SERVICES TO MANY INDIVIDUALS WHO CANNOT PAY FOR SOME OR ALL OF THEIR MEDICAL CARE. IN FY 2013, COST FOR SUCH BAD DEBT WAS $140,020,005. SECTION 2: UABHS ENTITIES UABHS' FLAGSHIP FACILITY IS THE 1157-BED UAB HOSPITAL, ONE OF THE NATION'S LARGEST PUBLIC HOSPITALS. IT INCLUDES THE UAB WOMEN & INFANTS CENTER, SPAIN REHABILITATION CENTER, THE CENTER FOR PSYCHIATRIC MEDICINE, AND THE FREESTANDING UAB HOSPITAL-HIGHLANDS. ALABAMA'S ONLY LEVEL 1 TRAUMA CENTER (AS DESIGNATED BY THE AMERICAN COLLEGE OF SURGEONS), UAB HOSPITAL PROVIDES CARE FOR MANY OF THE MOST SERIOUS INJURIES THAT OCCUR ANYWHERE IN THE STATE THROUGH ITS EMERGENCY DEPARTMENT, OPERATING ROOMS, TRAUMA AND BURNS SERVICES, AND SPAIN REHABILITATION CENTER, ONE OF THE SOUTHEAST'S FOREMOST PROVIDERS OF COMPREHENSIVE REHABILITATION CARE. THE WOMEN & INFANTS CENTER OF UAB HOSPITAL PROVIDES ADVANCED SERVICES AND SOPHISTICATED STATE-OF-THE-ART MEDICAL TECHNOLOGY TO HEALTHY AND HIGH-RISK PREGNANT WOMEN, HEALTHY AND HIGH-RISK NEWBORNS, AND WOMEN RECEIVING CARE FOR A VARIETY OF GYNECOLOGICAL PROBLEMS, INCLUDING GYNECOLOGICAL CANCERS. IT INCLUDES THE STATE'S LARGEST REGIONAL NEWBORN INTENSIVE CARE UNIT. UAB HOSPITAL-HIGHLANDS IS A GENERAL ACUTE CARE COMPONENT ADJACENT TO CAMPUS THAT PROVIDES AN EMERGENCY DEPARTMENT FOR NON-TRAUMATIC AND NON-CATASTROPHIC CASES, COMPREHENSIVE SURGICAL AND NONSURGICAL TREATMENT FOR BONE AND JOINT DISORDERS, A SPECIALIZED UNIT FOR FRAGILITY FRACTURES, A SLEEP-WAKE DISORDERS CENTER, A RADIOSURGERY TREATMENT CENTER, AND 'ACUTE CARE FOR ELDERLY', THE REGION'S FIRST MODEL PATIENT UNIT FOR COORDINATED GERIATRIC CARE, AND A PAIN TREATMENT CENTER SERVING PATIENTS WITH ACUTE AND CHRONIC CONDITIONS INCLUDING INTRACTABLE CANCER PAIN. UAB CALLAHAN EYE HOSPITAL, THE KIRKLIN CLINIC AT UAB, THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION, AND VIVA HEALTH ARE AMONG OTHER UABHS ENTITIES. UABHS PHYSICIANS PROVIDED SERVICE FOR 1.2 MILLION OUTPATIENT VISITS IN FY 2013. UABHS OPERATES 129 CLINICS, 54 HOUSED IN THE KIRKLIN CLINIC, A CONTIGUOUS OUTPATIENT FACILITY WITH MORE THAN 33 DISTINCT CLINICAL UNITS OF MULTIDISCIPLINARY TEAMS. THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION IS A MULTISPECIALTY PHYSICIAN PRACTICE SERVING UAB THROUGH 17 CLINICAL DEPARTMENTS AND 74 CLINICAL DIVISIONS. THE HEALTH SYSTEM SUPPORTS MORE THAN 100 SPECIALIZED CENTERS FOR INTERDISCIPLINARY RESEARCH, CLINICAL CARE, AND COMMUNITY OUTREACH, WITH THE LARGEST BEING THE UAB COMPREHENSIVE CANCER CENTER, WHICH HAS HELD THE HIGHEST NCI DESIGNATION FOR MORE THAN 40 CONSECUTIVE YEARS. THE UAB CALLAHAN EYE HOSPITAL (CEH) OFFERS THE LATEST IN OPHTHALMIC LASER AND MICROSURGERY TREATMENT, CORNEAL TRANSPLANTATION, AND THE FIRST LEVEL 1 OCULAR TRAUMA CENTER IN THE NATION AS WELL AS THE ONLY EMERGENCY DEPARTMENT IN THE STATE DEDICATED TO TREATING TRAUMA TO THE EYE. CEH SPONSORS OR PARTNERS IN PROGRAMS TO DELIVER OCULAR SCREENING SERVICES TO UNDERSERVED POPULATIONS IN ALABAMA. OTHER UABHS OPERATIONS INCLUDE THE KIRKLIN CLINIC AT ACTON ROAD, WHICH OFFERS COMPREHENSIVE CANCER, CARDIOLOGY AND OTHER EXCEPTIONAL CLINICAL SERVICES TO INDIVIDUALS LIVING IN THE SOUTHERN SUBURBS OF BIRMINGHAM; FOUR NEIGHBORHOOD HEALTH CENTERS DEDICATED TO SERVING PATIENTS THROUGHOUT THE METROPOLITAN STATISTICAL AREA, AS WELL AS HEALTH CENTERS IN OTHER LOCATIONS THROUGHOUT THE STATE, INCLUDING HUNTSVILLE, MONTGOMERY, AND SELMA; VIVA HEALTH, A 93,417-ENROLLEE, ALABAMA-BASED HEALTH PLAN COMMITTED TO OFFERING QUALITY HEALTH CARE COVERAGE AT AN AFFORDABLE PRICE; THE VALLEY FOUNDATION IN HUNTSVILLE, A GROUP MEDICAL PRACTICE FOR PHYSICIANS ORGANIZED EXCLUSIVELY FOR EDUCATIONAL, SCIENTIFIC, AND CHARITABLE PURPOSES TO ASSIST AND AID UABHS; AND THE OPHTHALMOLOGY SERVICES FOUNDATION, THE CLINICAL PRACTICE COMPONENT OF THE UAB DEPARTMENT OF OPHTHALMOLOGY. UABHS AFFILIATES INCLUDE MEDICAL WEST, A 310-BED ACUTE CARE HOSPITAL OFFERING A WIDE RANGE OF DIAGNOSTIC, SURGICAL, MEDICAL, AND EMERGENCY SERVICES; AND BAPTIST HEALTH IN MONTGOMERY, A PRIMARY PROVIDER OF HEALTH CARE SERVICES IN CENTRAL ALABAMA. BAPTIST HEALTH OF MONTGOMERY INCLUDES ITS THREE HOSPITALS-MONTGOMERY'S BAPTIST MEDICAL CENTER SOUTH AND BAPTIST MEDICAL CENTER EAST AND PRATTVILLE BAPTIST HOSPITAL. BESIDES THE COLLECTIVE 689 LICENSED-BED HOSPITAL, THE AFFILIATION INCLUDES MANAGEMENT OF A REGIONAL CANCER CENTER AND A BEHAVIORAL HEALTH FACILITY. SECTION 3: RELIEF OF THE POOR, DISTRESSED, OR UNDERPRIVILEGED/PROVISION OF CHARITY CARE THE MAIN UABHS MEDICAL CENTER IS LOCATED IN DOWNTOWN BIRMINGHAM, AN AREA THAT INCLUDES A HIGH NUMBER OF MEDICALLY UNDERSERVED INDIVIDUALS. THE STATE OF ALABAMA HAS MANY AREAS THAT ARE CHARACTERIZED BY HIGH LEVELS OF POVERTY AND THE UNINSURED AND UNDERINSURED INDIVIDUALS; MANY OF THESE PEOPLE DEPEND ON UABHS HEALTH CARE PROFESSIONALS FOR THEIR MEDICAL CARE. UABHS IS DEDICATED TO PROVIDING HEALTH CARE AND SCREENING AND PREVENTION PROGRAMS TO POOR AND UNDERPRIVILEGED INDIVIDUALS. UABHS' MANY PROGRAMS INCLUDE THE UAB COMPREHENSIVE CANCER CENTER'S DEEP SOUTH NETWORK FOR CANCER CONTROL, WHICH WORKS TO ELIMINATE DISPARITIES IN CANCER DEATH RATES BETWEEN BLACKS AND WHITES, TARGETING TWO POOR RURAL AND TWO POOR URBAN AREAS IN ALABAMA AND MISSISSIPPI, TO PROMOTE COMMUNITY AWARENESS PROGRAMS, MINORITY ENROLLMENT IN CLINICAL TRIALS, AND DEVELOPMENT OF MINORITY JUNIOR BIOMEDICAL RESEARCHERS. STILL ANOTHER PROGRAM THAT FOCUSES ON MINORITIES AND THE MEDICALLY UNDERSERVED IS THE MINORITY HEALTH AND HEALTH DISPARITIES RESEARCH CENTER, A COMPREHENSIVE EDUCATIONAL, RESEARCH, AND COMMUNITY OUTREACH CENTER FOCUSED ON ELIMINATING RACIAL AND ETHNIC HEALTH DISPARITIES; AMONG ITS MANY PROGRAMS IS A HEALTH-AWARENESS AND -INTERVENTION STOREFRONT IN DOWNTOWN BIRMINGHAM. OTHER PROGRAMS THAT PROVIDE ESSENTIAL HEALTH CARE SERVICES TO POOR AND MEDICALLY UNDERSERVED INDIVIDUALS INCLUDE THE TOT SHOTS PROGRAM THAT OFFERS FREE, WALK-IN, IMMUNIZATION SERVICES IN COMMUNITY-BASED CLINICS IN PARTNERSHIP WITH THE JEFFERSON COUNTY DEPARTMENT OF HEALTH AND OTHERS; THE VALLEY FOUNDATION CHILDHOOD IMMUNIZATION PROGRAM, A PROGRAM DESIGNED TO REMOVE EDUCATIONAL AND FINANCIAL BARRIERS TO INCREASE IMMUNIZATION RATES OF UNDERSERVED CHILDREN AGED 19 TO 35 MONTHS; AND EQUAL ACCESS BIRMINGHAM, A FREE C 12455045 true true false false false false false false false false true false false true true false false true false false false false false false false false false true false true false false false false false false false false false false false false false true true false false false true 28 0 626 true false false false false false false false false false false X 18 10 false false false false true true true true true false false false true true true true true true true false X CONNIE BUCKINGHAM 2059346604 500 22ND ST S STE 408 BIRMINGHAM AL 352333110 KIRBY BLAND MD 1.0 40.0 X 887100 87376 RAY HAYES 1.0 40.0 X 344011 52658 RAY WATTS MD 20.0 20.0 X 407882 397733 218418 ANUPAM AGARWAL 1.0 40.0 X 151741 22519 JAMES BONNER 1.0 40.0 X 1298249 129892 AMIE MCLAIN 1.0 40.0 X 496726 88887 CHARLES ADAIR 1.0 X CHARLES PERRY 1.0 X DONALD JAMES 1.0 X FINIS E ST JOHN IV 1.0 X JAMES WILSON 1.0 X JOHN MCMAHON 1.0 X JOHN ENGLAND JR 1.0 X RONALD GRAY 1.0 X VAN RICHEY 1.0 X SETH LANDEFELD 1.0 40.0 X 166851 15121 RICHARD MARCHASE 1.0 40.0 X 411164 73527 ROBERT WITT 1.0 40.0 X 533106 39920 THOMAS LOWDER 1.0 X ISSAC WILLIAM FERNIANY 40.0 1.0 X 1342698 194149 JOHN FAULSTICH 40.0 X 452637 89783 JEANETTA KELLER 40.0 X 431529 67263 DAVID RANDALL 40.0 X 424615 81564 BART KELLY 40.0 X 251556 47493 DONALD LILLY 40.0 X 341349 63915 WARREN SMEDLEY 40.0 X 244435 52487 RAHEEL FAROUGH 40.0 X 244594 71368 MARY GIBSON 40.0 X 143479 29564 ROBERT RICH MD 40.0 X 359807 72891 SERGIO STAGNO MD 1.0 40.0 X 226815 37402 MALCOM PORTERA 40.0 X 648982 104069 CAROL Z GARRISON PHD X 666677 98363 4644581 6229155 1738629 83 true true false AKIN GUMP STRAUSS HAUER FELD DPT 7247-6827 PHILADELPHIA PA 191706827 LEGAL 495653 THE CRIMSON INITIATIVE PO BOX 79461 BALTIMORE MD 212790461 CONSULTING 385000 LAWSON SOFTWARE 380 St Peter Street ST PAUL MN 551021302 SOFTWARE MAINTENANCE 315044 RESULTS LLC 2 N JACKSON ST SUITE 705B MONTGOMERY AL 36104 CONSULTING 200004 ECG MANAGEMENT CONSULTANTS 1111 3RD AV STE 2700 SEATTLE WA 98101 CONSULTING 199476 14 12891059 12891059 MANAGEMENT FEES 900099 11633156 11633156 SALES AND SERVICES INCOME 900099 1043860 1043860 12677016 9600 9600 0 0 0 0 0 0 0 0 0 0 25577675 12677016 9600 12455045 12455045 0 0 0 4219612 4219612 0 5144460 5144460 538370 538370 0 0 0 0 71526 71526 0 0 0 512828 512828 441529 441529 21594 21594 0 0 437222 437222 122797 122797 0 118864 118864 0 0 50953 50953 9168 9168 MEALS 184355 184355 DUES & SUBSCRIPTIONS 139141 139141 LICENSES & PERMITS 15766 15766 SALES & USE TAX 4247 4247 13136 13136 24500613 12455045 12045568 0 11648641 20554573 0 0 0 0 4930844 3825065 0 0 0 0 0 0 0 0 177591 69459 1401202 1295745 156410 105457 0 0 1000 1000 0 0 0 0 13219322 14154867 30133808 38710421 6670612 3202186 0 0 38383 245244 0 0 0 0 0 0 0 0 0 0 13219322 24569623 19928317 28017053 X 10205491 10693368 0 0 0 0 10205491 10693368 30133808 38710421 X 1077062 -589185 X false true X true false X false false false 10170433 10996133 11280499 12735124 12891059 58073248 0 0 10170433 10996133 11280499 12735124 12891059 58073248 21874994 36198254 33312 9337 10230 6783 9600 69262 0 0 0 0 0 0 0 58142510 0.62258 0.61460 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 764302 658845 105457 636900 636900 0 105457 BENEFIT PLAN ASSET 14154867 14154867 0 BENEFIT PLAN LIABILITIES 14154867 HEALTH INSURANCE RESERVE 350000 DUE TO UAB 176911 DUE TO UA HSF 71910 DUE TO UA HOSPITAL 50000 DUE TO UA SCHOOL OF MEDICINE 9765935 24569623 34740036 9162361 9162361 25577675 25577675 33662074 9161461 9161461 24500613 24500613 SCHEDULE D, PART XI, LINE 2D FUNDS TRANSFERRED FROM REVENUE TO EQUITY FOR FINANCIAL STATEMENTS PURPOSES - $6,826,062 OTHER REVENUE NOT INCLUDED IN RETURN (ACTIVITIES UNDER THE MANAGEMENT OF UAB HEALTH SYSTEM WHICH REPRESENTS AN INTEGRAL PART OF THE UNIVERSITY OF ALABAMA BIRMINGHAM, A STATE ENTITY) - $2,336,299 SCHEDULE D, PART XII, LINE 2D OTHER EXPENSES NOT INCLUDED IN RETURN (ACTIVITIES UNDER THE MANAGEMENT OF UAB HEALTH SYSTEM WHICH REPRESENTS AN INTEGRAL PART OF THE UNIVERSITY OF ALABAMA BIRMNINGHAM, A STATE ENTITY) - ($9,161,461) true UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVE SOUTH BIRMINGHAM AL 35294 GOVERNMENTAL 54833 N/A N/A SUPPORT VARIOUS PROGRAMS UA HEALTH SERVICES FOUNDATION PC 500 22ND STREET SOUTH 510 BIRMINGHAM AL 35233 630649108 501(C)(3) 8391419 N/A N/A UAB PRIME CARE UA HEALTH SERVICES FOUNDATION PC 500 22ND STREET SOUTH SUITE 510 BIRMINGHAM AL 35233 630649108 501(C)(3) 795000 N/A N/A OB/GYN SUPPORT UAB DEPARTMENT OF HEALTH 1720 2ND AVE S BIRMINGHAM AL 35233 GOVERNMENTAL 20000 N/A N/A SPONSORSHIP 2013 AMERICAN HEART ASSOCIATION 1449 MEDICAL PARK DR BIRMINGHAM AL 35213 135613797 501(C)(3) 22500 N/A N/A SPONSORSHIP 2013 ALABAMA SYMPHONY ORCHESTRA 3621 6TH AVE SOUTH BIRMINGHAM AL 35222 631103036 501(C)(3) 15000 N/A N/A SPONSORHSIP 2013 BIRMINGHAM EDUCATION FOUNDATION 2100 1ST AVENUE NORTH BIRMINGHAM AL 35203 264685144 501(C)(3) 25000 N/A N/A SPONSORSHIP 2013 UAB EDUCATIONAL FOUNDATION 1717 11TH AVE S103-A BIRMINGHAM AL 35205 636155094 501(C)(3) 3072000 N/A N/A SUPPORT VARIOUS PROGRAM 8 ORGANIZATION'S PROCEDURES FOR MONITORING USE OF GRANT FUNDS & SPONSORSHIPS SCHEDULE I, PART I, LINE 2 UAB HEALTH SYSTEM MAINTAINS GRANT FUND RECORDS AND MONITORS THE USE OF SUCH GRANTS BY RECIPIENTS. X X X X X true true false false false false false false KIRBY BLAND MD 864449 2200 20451 64683 22693 974476 RAY HAYES 339106 4905 34980 17678 396669 ROBERT RICH MD 207603 152204 70010 2881 432698 150993 BART KELLY 162292 26990 62274 45530 1963 299049 60795 RAY WATTS MD 406382 265102 130012 1500 2619 131740 40690 4882 41106 544504 479529 ISSAC WILLIAM FERNIANY 599737 375435 367526 172881 21268 1536847 338165 JOHN FAULSTICH 341732 109405 1500 69229 20554 542420 JEANETTA KELLER 291353 94749 45427 62731 4532 498792 43087 DAVID RANDALL 282361 94306 47948 62895 18669 506179 46868 DONALD LILLY 226121 63132 52096 45322 18593 405264 49981 WARREN SMEDLEY 179547 36195 28693 26456 26031 296922 27595 RAHEEL FAROUGH 203011 39670 1913 53450 17918 315962 SERGIO STAGNO MD 221606 5209 33742 3660 264217 ANUPAM AGARWAL 150131 1000 610 21215 1304 174260 JAMES BONNER 651770 646479 84545 45347 1428141 AMIE MCLAIN 493456 3270 64864 24023 585613 SETH LANDEFELD 146022 19600 1229 12464 2657 181972 RICHARD MARCHASE 396857 10590 3717 61236 12291 484691 ROBERT WITT 422144 104541 6421 37509 2411 573026 MALCOM PORTERA 533004 104541 11437 86762 17307 753051 CAROL Z GARRISON PHD 514246 146234 6197 87366 10997 765040 MARY GIBSON 119263 24216 12410 17154 173043 PART II: FOR CALENDAR YEAR 2012 COMPENSATION FOR ROBERT RICH INCLUDED $150,993 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR CALENDAR YEAR 2012 COMPENSATION FOR BART KELLY INCLUDED $60,795 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR FISCAL YEAR 2012 COMPENSATION FOR ISSAC WILLIAM FERNIANY INCLUDED $338,165 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR CALENDAR YEAR 2012 COMPENSATION FOR JEANETTA KELLER INCLUDED $43,087 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR CALENDAR YEAR 2012 COMPENSATION FOR DAVID RANDALL INCLUDED $46,868 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR CALENDAR YEAR 2012 COMPENSATION FOR DONALD LILLY INCLUDED $49,981 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FOR CALENDAR YEAR 2012 COMPENSATION FOR WARREN SMEDLEY INCLUDED $27,595 WHICH IS A ONE TIME PAYMENT FROM DEFERRED COMPENSATION PLAN. FORM 990, PART VI, LINE 6 & 7A: UAB HEALTH SYSTEM ("UABHS" OR "THE ORGANIZATION") HAS TWO MEMBERS, THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ALABAMA AND THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION, P.C. EACH MEMBER APPOINTS 9 OF THE DIRECTORS OF THE UABHS BOARD. FORM 990, PART VI, LINE 7B: MEMBER APPROVAL IS REQUIRED FOR: 1) SALE, LEASE OR OTHER DISPOSITION, OTHER THAN IN THE ORDINARY COURSE OF BUSINESS, OF ANY UABHS MATERIAL OPERATING ASSETS; 2) UABHS ASSIGNMENT OF ITS RIGHTS TO A THIRD PARTY; 3) ADDITION OF NEW MEMBERS TO UABHS; 4) ISSUANCE OR INCURRENCE OF DEBT BY UABHS; AND 5) ANY CAPITAL EXPENDITURE BY UABHS WITH ITS OWN FUNDS OVER $5,000,000. FORM 990, PART VI, LINE 11B: THE FORM 990 IS PREPARED BY PRICEWATERHOUSECOOPERS, LLP. AFTER THE FORM 990 IS PREPARED, IT IS REVIEWED BY THE ORGANIZATION'S FINANCE STAFF, THE CHAIRMAN OF THE BOARD, TWO ADDITIONAL BOARD MEMBERS, AND THE CHIEF EXECUTIVE OFFICER. FORM 990, PART VI, LINE 12C: ANNUAL DISCLOSURES ARE REQUIRED AND ARE REVIEWED BY THE UNIVERSITY OF ALABAMA AT BIRMINGHAM HEALTH SYSTEMS BOARD. FORM 990, PART VI, LINE 15A & 15B: A COMPENSATION CONSULTANT IS ENGAGED TO ADVISE THE BOARD OF DIRECTORS ON THE CEO'S COMPENSATION AND THE COMPENSATION OF OTHER KEY MEMBERS OF MANAGEMENT. THE COMPENSATION COMMITTEE OF THE BOARD ANNUALLY REVIEWS THE CEO'S TOTAL COMPENSATION AND SUBMITS ITS RECOMMENDATION OF THE CEO'S COMPENSATION FOR THE COMING YEAR TO THE BOARD FOR ITS APPROVAL. FORM 990, PART VI, LINE 19: THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: OTHER CHANGES IN NET ASSETS: ($589,185) SEE SCHEDULE R PART VII UAB HEALTH SYSTEMS MANAGEMENT INC 500 22ND ST S STE 408 BIRMINGHAM AL 35233 200884205 HEALTH MANAGEMENT AL UABHS C CORP 0 0 1.00000 false true true false false false false false false false true true false true true true true true true SCHEDULE R, PART II THE ATTACHED LIST OF ENTITIES INCLUDES FOUNDATIONS OR SUBSIDIARIES AFFILIATED WITH THE UNIVERSITY OF ALABAMA SYSTEM AND ITS VARIOUS CAMPUSES INCLUDING THE UNIVERSITY OF ALABAMA, THE UNIVERSITY OF ALABAMA AT BIRMINGHAM, THE UNIVERSITY OF ALABAMA AT HUNTSVILLE, AND THE UAB HEALTH SYSTEM. SOME OF THESE ENTITIES MAY NOT MEET THE IRS DEFINITION OF "RELATED ORGANIZATION" FOR PURPOSES OF SCHEDULE R. THEY ARE INCLUDED, HOWEVER, ON THIS STATEMENT FOR PURPOSES OF COMPLETENESS AND TRANSPARENCY. THE UNIVERSITY FOUNDATION THE CAPSTONE FOUNDATION THE CRIMSON TIDE FOUNDATION THE UNIVERSITY OF ALABAMA LAW SCHOOL FOUNDATION 1831 FOUNDATION UA DONOR ADVISED FUND NATIONAL ALUMNI ASSOCIATION OF THE UNIVERSITY OF ALABAMA CAPSTONE HEALTH SERVICES FOUNDATION THE UNIVERSITY OF ALABAMA RESEARCH FOUNDATION THE GORGAS MEMORIAL BOARD THE UAB RESEARCH FOUNDATION THE UAB EDUCATIONAL FOUNDATION NATIONAL ALUMNI SOCIETY OF THE UNIVERSITY OF ALABAMA AT BIRMINGHAM UNIVERSITY OF ALABAMA SCHOOL OF MEDICINE ALUMNI ASSOCIATION SOUTHERN RESEARCH INSTITUTE THE UNIVERSITY OF ALABAMA PROFESSIONAL LIABILITY TRUST FUND THE UNIVERSITY OF ALABAMA COMPREHENSIVE GENERAL LIABILITY TRUST FUND CENTER FOR INFECTIOUS DISEASE RESEARCH, ZAMBIA LIMITED THE GORGAS MEMORIAL INSTITUTE OF TROPICAL & PREVENTATIVE MEDICINE, INC. THE UNIVERSITY OF ALABAMA IN HUNTSVILLE FOUNDATION THE UNIVERSITY OF ALABAMA IN HUNTSVILLE ALUMNI FOUNDATION THE UNIVERSITY OF ALABAMA IN HUNTSVILLE EMINENT SCHOLARS FOUNDATION UAB HEALTH SYSTEM MANAGEMENT, INC. THE UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION THE MEDICAL ADVANCEMENT FOUNDATION THE CALLAHAN EYE FOUNDATION HOSPITAL THE OPHTHALMOLOGY SERVICES FOUNDATION VALLEY FOUNDATION THE HEALTH CARE AUTHORITY FOR MEDICAL WEST THE HEALTH CARE AUTHORITY FOR BAPTIST HEALTH THE HEALTH CARE AUTHORITY FOR UAB HIGHLANDS CALLAHAN EYE HOSPITAL HEALTH CARE AUTHORITY