2013-08-12T16:38:56-05:00 2012-09-30 454084437 WARREN AVERETT LLC 2500 ACTON ROAD BIRMINGHAM AL 35243 990 2011-10-01 630649108 UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION PC UNIV 2057319600 PO BOX 55407 BIRMINGHAM AL 352555407 MICHAEL HECKMAN 2057319600 2013-08-08 1 JC ROUSE P00081132 2059794100 2011 2016-02-24 21:20:13Z REID F JONES PO BOX 55407 BIRMINGHAM AL 352555407 617698778 0 X N/A X 1973 AL COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING. 21 12 3495 60 0 0 0 0 428974914 452831672 12728048 9850812 3519461 3663638 445222423 466346122 20232982 21478207 0 0 285679513 307154260 0 0 0 141272706 141118531 447185201 469750998 -1962778 -3404876 741462304 778440619 432255452 452122984 309206852 326317635 COORDINATE AND DELIVER PATIENT CARE IN A GROUP PRACTICE SETTING. 0 0 379115291 21478207 453667067 OPERATION OF A NONPROFIT PHYSICIAN GROUP PRACTICE CLOSELY AFFILIATED WITH THE UNIVERSITY OF ALABAMA AT BIRMINGHAM. HSF CONSISTS OF ALMOST 1,113 FACULTY, FELLOWS AND PHYSICIANS OFFERING SERVICES IN 33 SPECIALTIES. THESE SERVICES ARE REINFORCED BY THE RESEARCH AND EDUCATIONAL PROGRAMS OF UAB'S ACADEMIC HEALTH CENTER, RESULTING IN STATE-OF-THE-ART CARE. 379115291 1 0 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 1 1 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 0 0 0 0 1 248 0 1 3495 1 0 0 0 0 0 0 0 0 0 0 X 21 12 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL F HECKMAN 2057319600 500 22ND ST SOUTH STE 500 BIRMINGHAM AL 35233 CHARLES E ADAIR 4.00 X 1200 0 0 NEAL R BERTE 4.00 X 1200 0 0 CHARLES D PERRY JR 4.00 X 1200 0 0 LEE J STYSLINGER III 4.00 X 1200 0 0 THOMAS H LOWDER 4.00 X 1200 0 0 JAMES M DONALD 3.00 X 900 0 0 VAN L RICHEY 3.00 X 900 0 0 JEROME C ROSE 2.00 X 600 0 0 JAMES T STEPHENS 1.00 X 300 0 0 MIMI HEAD 1.00 X 300 0 0 AMIE B MCLAIN MD 50.00 X 294553 209657 88266 JAMES A BONNER MD 50.00 X 288304 330662 140030 KIRBY I BLAND MD 50.00 X 671067 217507 85829 ANUPAM AGARWAL MD 50.00 X 71751 142154 44415 ISAAC W FERNIANY PHD 50.00 X 0 969259 172449 WILLIAM W ANDREWS MD 50.00 X 328634 314179 107789 RAY L WATTS MD 50.00 X 207752 648384 187370 KEITH A JONES MD 50.00 X 242488 291964 95395 TIM LEWIS 1.00 X 300 0 0 CHARLES D MCCRARY 0.00 X 0 0 0 SETH LANDEFELD 50.00 X 0 0 0 SERGIO B STAGNO MD 50.00 X 311980 218307 90946 REID F JONES 50.00 X 408912 222222 95004 PATRICIA J PRITCHETT 50.00 X 284985 0 31971 MICHAEL F HECKMAN 50.00 X 251770 0 42842 ROBERT J CERFOLIO MD 60.00 X 925681 67963 60056 MARK N HADLEY MD 60.00 X 784681 61253 58342 DAVID C MCGIFFIN MD 60.00 X 835221 93003 66040 JAMES K KIRKLIN MD 60.00 X 811997 270094 117370 CONWAY C HUANG MD 60.00 X 703990 78244 55026 7433066 4134852 1539140 655 0 1 0 SANTA ROSA CONSULTING LLC 25900 W 11 MILE ROAD SUITE 100 SOUTHFIELD MI 48034 CONSULTING SERVICES 2384668 CERNER CORPORATION 2800 ROCKCREEK PARKWAY KANSAS CITY MO 64117 CONSULTING SERVICES 1981148 BRASFIELD & GORRIE INC P O BOX 11407 BIRMINGHAM AL 35246 CONSTRUCTION MANAGEMENT 1512411 EASON GRAHAM & SANDNER P O BOX 530487 BIRMINGHAM AL 35253 BUILDING MANAGEMENT 1310175 PLATINUM AIR SERVICE LLC 26840 SHOREGRASS DRIVE WESLEY CHAPEL FL 33543 AIR SERVICE 1036480 20 NET PATIENT REVENUE 900099 367338126 367338126 HEALTHCARE SERVICES 900099 72201469 72201469 ORGAN/TISSUE REC 900099 13292077 13292077 452831672 3436037 3436037 2828243 0 2828243 2828243 2828243 155521932 2245499 149165958 2186698 6355974 58801 6414775 6414775 MISCELLANEOUS INCOME 900099 835395 835395 835395 466346122 453667067 0 12679055 21478207 21478207 3952574 2502575 1449999 251579583 203614975 47964608 2431818 1438982 992836 37713153 27465810 10247343 11477132 8158039 3319093 19625 19625 428188 428188 372460 372460 31323 31323 4424797 3854542 570255 686557 686557 5403346 3962712 1440634 3787550 3787550 58000 58000 5524564 2912173 2612391 2683485 1707861 975624 381371 155395 225976 4685816 4685816 14547921 4679903 9868018 7461155 7461155 BAD DEBT 32808874 32808874 SUPPORT SERVICES PRIMAR 24941170 24941170 MEDICAL, SURGICAL AND L 22978844 22978844 REPAIRS AND MAINTENANCE 4221145 4221145 5672340 876431 4795909 469750998 379115291 90635707 0 258528 112569 72740082 23043859 40100789 42299540 1099801 1018005 329760 356172 1513706 2764279 307412853 152443195 143500669 154969658 378679036 448841827 91902551 90438563 11337382 14596147 741462304 778440619 82270539 86152925 210490000 205615001 139494913 160355058 432255452 452122984 X 309206852 326317635 309206852 326317635 741462304 778440619 X -3404876 20515659 X X 0 1 1 X 1 1 X 437353335 464565068 459215027 428974914 452831672 2242940016 437353335 464565068 459215027 428974914 452831672 2242940016 0 0 0 2242940016 5688035 6960785 10515157 9600120 6264280 39028377 5688035 6960785 10515157 9600120 6264280 39028377 510856 535076 649353 664666 835395 3195346 443552226 472060929 470379537 439239700 459931347 2285163739 0.98150 0.97140 0.01710 0.02760 X 31323 0 31323 469719675 469750998 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 51250 61615 35290 31323 179478 250000 250000 250000 250000 1000000 1500000 51250 61615 35290 31323 179478 173460816 23840501 4442914 192858403 183677444 1760952 -3977580 8000000 173460816 166028256 5465439 15183749 3000000 183677444 179149163 -2920907 10200000 166028256 1.00000 0.00000 0.00000 0 0 28163186 28163186 136952093 61057821 75894272 24072892 12635915 11436977 72401599 63149439 9252160 45823083 15600020 30223063 154969658 CASH AND CASH EQUIVALENTS 28997284 F POOLED INVESTMENTS - CASH EQUIVALENTS 7781072 F POOLED INVESTMENTS - ACCRUED INCOME 256832 F DEFERRED COMP. INVESTMENTS - CASH EQUIVALENTS 7460512 F INVESTMENT IN TRUST FUND 45554385 F INVESTMENT IN CACC, LLC 388478 F 90438563 DEFERRED COMPENSATION 128585705 POST RETIREMENT LIABILITIES 31769353 160355058 466346122 469750998 -3404876 28152974 -7637315 20515659 17110783 473904889 28152974 -20594207 7558767 466346122 0 466346122 456794106 0 456794106 12956892 12956892 469750998 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE FOUNDATION'S BOARD-DESIGNATED ENDOWMENTS CONSIST OF THREE FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES. THE NORMAL SPENDING POLICY FOR THE GENERAL ENDOWMENT FUND IS TO DISTRIBUTE BETWEEN 3.5 PERCENT AND 6.5 PERCENT OF THE FUND, SUBJECT TO ANNUAL RECOMMENDATION BY THE FOUNDATION'S INVESTMENT COMMITTEE TO THE BOARD. THIS SPENDING POLICY IS CONSISTENT WITH THE FOUNDATION'S OBJECTIVE TO MAINTAIN THE PURCHASING POWER OF ENDOWMENT ASSETS, AS WELL AS TO PROVIDE ADDITIONAL REAL GROWTH THROUGH INVESTMENT RETURNS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION IS RECOGNIZED AS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(A) OF THE INTERNAL REVENUE CODE AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3). THE FOUNDATION HAS ADOPTED THE PROVISIONS OF THE ACCOUNTING STANDARDS CODIFICATION RELATING TO UNCERTAINTY IN INCOME TAXES. THIS GUIDANCE REQUIRES ENTITIES TO ASSESS THEIR UNCERTAIN TAX POSITIONS FOR THE LIKELIHOOD THAT THEY WOULD BE OVERTURNED UPON INTERNAL REVENUE SERVICE (IRS) EXAMINATION OR UPON EXAMINATION BY STATE TAXING AUTHORITIES. THE FOUNDATION HAS DETERMINED THAT IT DOES NOT HAVE ANY POSITIONS AT SEPTEMBER 30, 2012, THAT IT WOULD BE UNABLE TO SUBSTANTIATE. THE FOUNDATION HAS FILED ITS NOT-FOR-PROFIT TAX RETURNS FOR ALL YEARS THROUGH SEPTEMBER 30, 2011. YEARS ENDED SEPTEMBER 30, 2009, AND SUBSEQUENT REMAIN SUBJECT TO AUDIT BY TAXING AUTHORITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: OTHER COMPREHENSIVE LOSS-ADOPTION OF SFAS NO. 158 -9,337,847. CHANGE IN FMV OF INTEREST RATE SWAP RECORDED DIRECTLY TO EQUITY 1,700,532. TOTAL TO SCHEDULE D, PART XI, LINE 8: -7,637,315. PART XII, LINE 2D - OTHER ADJUSTMENTS: OTHER COMPREHENSIVE LOSS-ADOPTION OF SFAS NO. 158 -9,337,847. CHANGE IN FMV OF INTEREST RATE SWAP RECORDED DIRECTLY TO EQUITY 1,700,532. PENSION INCOME OFFSET AGAINST EXPENSES FOR TAX PURPOSES 15,796,546. INVESTMENT INCOME OFFSET AGAINST EXPENSES FOR TAX PURPOSES 3,915,811. CLASSIFICATION OF INCOME/EXPENSES DIFFERENT FOR TAX PURPOSES THAN AUDIT 139,735. BAD DEBT EXPENSE OFFSET AGAINST REVENUES FOR AUDIT PURPOSES -32,808,984. PART XIII, LINE 4B - OTHER ADJUSTMENTS: PENSION INCOME OFFSET AGAINST EXPENSES FOR TAX PURPOSES -15,796,546. INVESTMENT INCOME OFFSET AGAINST EXPENSES FOR TAX PURPOSES -3,915,811. CLASSIFICATION OF INCOME/EXPENSES DIFFERENT FOR TAX PURPOSES THAN AUDIT -139,735. BAD DEBT EXPENSE OFFSET AGAINST REVENUES FOR AUDIT PURPOSES 32,808,984. SUB-SAHARAN AFRICA - ANGOLA, 0 3 PROGRAM SERVICES PROVISION OF PHYSICIANS SERVICES IN ZAMBIA 8025 0 3 0 0 0 3 8025 0 8025 0 0 0 0 0 0 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 35294 636005396 POLITICAL SUB 21478207 0 N/A N/A TO FUND RESEARCH PROJECTS 1 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE GRANTS PROVIDED TO UAB GO THROUGH HSF APPROVAL PROCESS. THE REQUEST COMES IN TO HSF CONTROLLER WHO PREPARES A "UAB TRANSFERS & CONTRIBUTION REQUEST" AND APPROVES PAYMENT. THE REQUEST CONSIST OF THE DEPARTMENT, DATE, AMOUNT YTD EXPENSE AND VARIANCES TO BUDGET. ALL GRANT REQUISITIONS REGARDLESS OF AMOUNTS ARE THEN SENT TO THE HSF CFO FOR APPROVAL AND THEN TO THE EXECUTIVE VICE PRESIDENT FOR FINAL APPROVAL. THE GRANTS ARE ALSO MONITORED WITH THE AMOUNT PROVIDED VERSUS THE AMOUNT BUDGETED FOR THE FISCAL YEAR. X X 1 1 X X 0 0 0 1 0 0 0 1 0 AMIE B MCLAIN MD 258536 207792 34572 0 1445 1865 31973 35182 23028 1558 349554 246397 0 0 JAMES A BONNER MD 287413 329296 0 0 891 1366 31973 53626 54466 3213 374743 387501 0 0 KIRBY I BLAND MD 663904 208145 0 4000 7163 5362 31973 36260 19307 4051 722347 257818 0 0 ANUPAM AGARWAL MD 71667 141476 0 0 84 678 8539 23351 707 13193 80997 178698 0 0 ISAAC W FERNIANY PHD 0 600088 0 358730 0 10441 0 167053 0 5396 0 1141708 0 0 WILLIAM W ANDREWS MD 301037 311441 25000 200 2597 2538 31973 53900 6962 17665 367569 385744 0 0 RAY L WATTS MD 7752 642900 200000 398 0 5086 1832 169530 15571 7027 225155 824941 0 0 KEITH A JONES MD 241778 290598 0 0 710 1366 31973 47114 16957 3035 291418 342113 0 0 SERGIO B STAGNO MD 257234 215213 50600 0 4146 3094 31973 36822 22332 3894 366285 259023 0 0 REID F JONES 229936 221333 177800 0 1176 889 30352 57319 9455 2888 448719 282429 0 0 PATRICIA J PRITCHETT 223655 0 60687 0 643 0 29351 0 4782 0 319118 0 0 0 MICHAEL F HECKMAN 199074 0 52149 0 547 0 25783 0 18950 0 296503 0 0 0 ROBERT J CERFOLIO MD 923674 67753 0 0 2007 210 31973 10490 23035 1502 980689 79955 0 0 MARK N HADLEY MD 452238 60769 329750 0 2693 484 31973 10361 19776 882 836430 72496 0 0 DAVID C MCGIFFIN MD 750889 89520 78000 2150 6332 1333 31973 16888 12580 17630 879774 127521 0 0 JAMES K KIRKLIN MD 678636 260093 127500 6000 5861 4001 31973 40417 47511 1798 891481 312309 0 0 CONWAY C HUANG MD 509825 78064 193459 0 706 180 31973 13857 5231 9213 741194 101314 0 0 PART I, LINE 1A DISCRETIONARY SPENDING ACCOUNTS: SOME EMPLOYED PHYSICIANS (INCLUDING PHYSICIAN DIRECTORS) HAVE ACCESS TO PROFESSIONAL DEVELOPMENT FUNDS WHICH ARE USED TO ADVANCE THEIR PROFESSIONAL SKILLS. AMOUNTS ARE SPENT ON COMPUTER EQUIPMENT, JOURNALS, SUBSCRIPTIONS AND TRAVEL EXPENSES TO ATTEND CONFERENCES AND LECTURES. ALL REQUESTS FOR REIMBURSEMENT ARE REVIEWED FOR COMPLIANCE WITH CURRENT POLICY AND IRS GUIDANCE BEFORE THEY ARE PAID. SOCIAL CLUB DUES: A FEW PHYSICIAN LEADERS (INCLUDING SOME PHYSICIAN DIRECTORS) ARE MEMBERS OF SOCIAL/BUSINESS CLUBS. THEY UTILIZE THESE FACILITIES FOR BUSINESS MEETINGS AND EVENTS DURING THE YEAR. ALL REQUESTS FOR REIMBURSEMENT ARE REVIEWED FOR COMPLIANCE WITH CURRENT POLICY AND IRS GUIDANCE BEFORE THEY ARE PAID. PART I, LINE 5 MANY OF OUR EMPLOYED PHYSICIANS (INCLUDING SOME DIRECTORS) HAVE INCENTIVE PLANS THAT PAY ADDITIONAL AMOUNTS BASED ON ACHIEVING SPECIFIC CLINICAL, ACADEMIC AND RESEARCH MEASURES. THESE INCENTIVE PLANS ARE REVIEWED ANNUALLY WITH THE COMPENSATION COMMITTEE. SOME OF THESE PLANS MAKE PAYMENTS BASED ON CLINICAL PRODUCTIVITY. PART I, LINE 7 MANY OF OUR EMPLOYED PHYSICIANS (INCLUDING SOME DIRECTORS) HAVE INCENTIVE PLANS THAT PAY ADDITIONAL AMOUNTS BASED ON ACHIEVING SPECIFIC CLINICAL, ACADEMIC AND RESEARCH MEASURES. THESE INCENTIVE PLANS ARE REVIEWED ANNUALLY WITH THE COMPENSATION COMMITTEE. THE MEDICAL CLINIC BOARD OF THE CITY OF BIRMINGHAM - UAHSF 621375181 NONEAVAIL 2011-09-07 210490000 PRIOR ISSUE REFUND AND FINANCED CAPITAL IMPROVEMENTS 0 0 0 210490000 10701065 28997284 1 1 0 1 0 1 0 0 0.02970 0.00000 0.02970 1 0 1 0 0 0 0 X FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS PROVIDED TO THE BOARD FOR REVIEW AND IS AN AGENDA ITEM AT THE REGULARLY SCHEDULED BOARD MEETING OPEN FOR ANY DISCUSSION BEFORE THE RETURN IS FILED. FORM 990, PART VI, SECTION B, LINE 12C DIRECTORS, PRINCIPAL OFFICERS AND COMMITTEE MEMBERS WITH BOARD DELEGATED POWERS ANNUALLY SIGN THE CONFLICT OF INTEREST CERTIFICATE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE MEETS ANNUALLY TO ENSURE THAT INDIVIDUAL COMPENSATION FOR PHYSICIANS, OFFICERS AND OTHER EXECUTIVES IS REASONABLE AND APPROPRIATE FOR A NON-PROFIT ORGANIZATION. THE COMPENSATION COMMITTEE PRESENTS AN ANNUAL REPORT TO THE BOARD OF DIRECTORS FOR THEIR APPROVAL. FORM 990, PART VI, SECTION C, LINE 19 AS A GENERAL RULE, THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. ANY WRITTEN REQUEST BY THE PUBLIC WOULD BE REVIEWED AND ACTED UPON BY THE BOARD. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 28,152,974. OTHER COMPREHENSIVE LOSS-ADOPTION OF SFAS NO. 158 -9,337,847. CHANGE IN FMV OF INTEREST RATE SWAP RECORDED DIRECTLY TO EQUITY 1,700,532. TOTAL TO FORM 990, PART XI, LINE 5: 20,515,659. 990, PART XI, LINE 2C THE BOARD OF DIRECTORS HAS A SEPARATE COMMITTEE THAT ASSUMES RESPONSIBILITY FOR THE OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THIS FUNCTION HAS NOT CHANGED FROM PRIOR YEARS. UAB HEALTH SYSTEM 500 22ND STREET SOUTH SUITE 408 BIRMINGHAM AL 35233 631182994 HEALTHCARE MANAGEMENT AL 501(C)(3) 170(B)(1)(A)VI N/A 0 UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 35294 636005396 PUBLIC UNIVERSITY AL POLITICAL SUB N/A N/A 0 0 1 0 0 0 0 0 0 0 1 0 0 0 1 0 0 1 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM B 21478206 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM J 624000 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM N 503289 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM Q 23008711 FMV - CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM R 21525000 FMV - CASH UAB HEALTH SYSTEM Q 5829000 FMV - CASH UAB HEALTH SYSTEM R 9040000 FMV - CASH