2013-05-15T09:15:30-05:00 2012-06-30 990 2011-07-01 562070036 DUKE UNIVERSITY HEALTH SYSTEM INC DUKE 9196138997 615 DOUGLAS STREET NO 700 DURHAM NC 27705 KENNETH C MORRIS 9196138997 2013-05-15 0 2011 2016-02-24 21:20:13Z VICTOR J DZAU MD 615 DOUGLAS ST STE 700 DURHAM NC 27705 3631677412 0 X WWW.DUKEHEALTH.ORG X 1998 NC SEE SCHEDULE O FOR ORGANIZATION'S MISSION STATEMENT 21 14 17055 2400 0 0 5769880 11631914 2181972792 2304899882 121177481 19726188 59642402 66110800 2368562555 2402368784 5641045 2065384 0 0 1030668755 1075745136 0 0 150531 1062048680 1066984072 2098358480 2144794592 270204075 257574192 3519120113 3972574812 1472869787 2025063125 2046250326 1947511687 X DUHS IS COMMITTED TO EXCELLENCE, INNOVATION AND LEADERSHIP IN PROVIDING THE HEALTH CARE NEEDS OF THE PEOPLE WE SERVE, IMPROVING COMMUNITY HEALTH, AND FOSTERING THE VERY BEST MEDICAL EDUCATION. 0 0 1561649863 2065384 2351502636 SEE SCHEDULE O 1561649863 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 0 1 0 0 1 0 0 0 1 0 1 1 1 1 1 1 0 0 0 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 345 0 1 17055 1 0 1 BD 0 0 0 1 1 0 0 0 0 X 21 14 1 0 0 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 0 AK AZ FL GA HI IL KS KY MD MA MI MN MS NH NJ NY NC OK OR PA SC TN UT WI ND X X MIKE LAZAR 9196138997 DUKE UNIVERSITY HEALTH SYSTEM INC DURHAM NC 27705 X NANCY C ANDREWS MD 1.00 X 0 743157 46514 THE HON DANIEL T BLUE JR 1.00 X 0 0 0 JACK O BOVENDER JR 1.00 X 0 0 0 RICHARD H BRODHEAD 10.00 X 0 985763 191905 VICTOR J DZAU MD 40.00 X X 0 2060599 711844 FRANK E EMORY JR 1.00 X 0 0 0 JAMES F GOODMON 1.00 X 0 0 0 THOMAS M GORRIE 2.00 X 0 0 0 CAROLYN E HENDERSON 1.00 X 0 0 0 DANNY O JACOBS MD 1.00 X 0 325811 49420 REBECCA TRENT KIRKLAND MD 1.00 X 0 0 0 RICHARD D KLAUSNER MD 1.00 X 0 0 0 JOHN H MCARTHUR 1.00 X 0 0 0 LLOYD B MORGAN 1.00 X 0 0 0 THEODORE N PAPPAS MD 1.00 X 0 109591 36123 CARL E RAVIN MD 1.00 X 0 250407 40021 STEVEN SCOTT MD 1.70 X 0 0 0 SUSAN M STALNECKER 1.00 X 0 0 0 KATHERINE KEITH THOMAS 1.00 X 0 0 0 PETER VAN ETTEN 1.00 X 0 0 0 G RICHARD WAGONER JR 1.00 X 0 0 0 MONTE D BROWN MD 50.00 X 534954 0 51520 WILLIAM J FULKERSON MD 60.00 X 1171458 0 34245 KENNETH C MORRIS 40.00 X 1053572 0 37180 MARY ANN FUCHS 40.00 X 355002 0 34719 ARTHUR L GLASGOW 40.00 X 531650 0 39181 KEVIN W SOWERS 62.00 X 640717 0 36201 DOUGLAS B VINSEL 60.00 X 548910 0 46759 KERRY R WATSON 40.00 X 508442 0 88590 MARC CALABRESE 40.00 X 395114 0 48159 JOHN M KELSCH 40.00 X 373710 0 44240 MOLLY K ONEILL 40.00 X 591569 0 39058 THOMAS A OWENS 40.00 X 389210 0 42886 JOSEPH G TAYLOR 40.00 X 453523 0 48629 MARK D GUSTAFSON 55.00 X 0 275898 44743 PAUL R NEWMAN 0.00 X 0 245805 67032 7547831 4997031 1778969 1042 1 1 0 KBR BUILDING GROUP INC 5605 CARNEGIE BLVD CHARLOTTE NC 28209 CONSTRUCTION SERVICE 178861238 PRIVATE DIAGNOSTIC CLINIC PLLC DUMC 3070 DURHAM NC 27710 PHYSICIAN SERVICES 69112094 ARAMARK HEALTHCARE SUPPORT SERVICES PO BOX 651009 CHARLOTTE NC 282651009 HEALTHCARE SERVICES 10464137 GE MEDICAL SYSTEMS INC PO BOX 402076 ATLANTA GA 303842076 CONTRACT SERVICES 4624589 PERKINS & WILL INC 1382 PEACHTREE ST NE ATLANTA GA 30309 ARCHITECT SERVICES 4313836 255 131288 29751 591084 10879791 202422 11631914 PATIENT REVENUE 621990 2279086228 2279086228 ANCILLARY MEDICAL 621990 23103169 23103169 MEDICAL SERVICES 621990 2710485 2710485 2304899882 11691822 11691822 775200 775200 2335261 2335261 15390286 14964762 425524 425524 425524 1221326398 165462 1214140468 92226 7185930 73236 7259166 7259166 90644 131288 111172 -20528 -20528 BILLING FEES 621990 39580345 39580345 DEEMED DIVIDEND 900003 12642049 12642049 TUITION 900099 1917192 1917192 9230957 4946060 4284897 63370543 2402368784 2351343479 0 39393391 2007023 2007023 58361 58361 5673191 541576 5086916 44699 186192 80376 105816 859604127 602769399 256776004 58724 37865766 23871267 13989865 4634 110138361 81143753 28984124 10484 62277499 42354927 19916344 6228 13329752 12310350 1019402 1432149 109374 1322775 476500 476500 3214538 3214538 146215135 90100726 56114409 4554617 1180242 3374375 532476603 517800172 14656549 19882 30673109 3675419 26997690 47577024 31764742 15812244 38 6255504 4299468 1952831 3205 3440775 102100 3338076 599 36084598 538719 35545879 91892122 73665381 18226741 10568711 5781226 4787485 EQUIPMENT RENTAL & MAIN 59973124 45885932 14086886 306 LAUNDRY 7969578 7903216 66362 DUES & MEMBERSHIPS 2312195 877058 1434355 782 CONTINUING EDUCATION 1586997 465688 1120359 950 66951041 12363368 54587673 2144794592 1561649863 582994198 150531 49068 49073 356503510 586721228 18030089 22132059 305877825 323603278 1394532 1242411 62751534 66770331 8806735 14264968 2318578316 1056312210 977695459 1262266106 2920163 2778265 1680758563 1674659624 644069 644069 103688566 17443400 3519120113 3972574812 283599625 318183821 2930320 9272886 830779105 1136143590 355560737 561462828 1472869787 2025063125 X 1992550258 1897474906 44049489 40757961 9650579 9278820 2046250326 1947511687 3519120113 3972574812 X 257574192 -356312831 X 0 1 1 X 0 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 1 0 0 0 0 1 306611 0 1 69596 376207 0 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: DUKE UNIVERSITY HEALTH SYSTEM, INC. EMPLOYS STAFF WHO PERFORM SOME LOBBYING ACTIVITIES AS PART OF THEIR JOB RESPONSIBILITIES. THESE SAME EMPLOYEES AND SOME SENIOR LEADERS OF THE ORGANIZATION MAY HAVE DIRECT CONTACT WITH LEGISLATORS, THEIR STAFFS, AND GOVERNMENT OFFICIALS. DUKE UNIVERSITY HEALTH SYSTEM, INC. PAYS MEMBERSHIP DUES TO OTHER ORGANIZATIONS. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 53700068 11126530 -758496 14031321 50036781 55631465 5340437 3639795 10911629 53700068 44124232 14138555 2461764 5093086 55631465 52120961 5465898 -6187893 7274733 44124233 0.00000 0.36000 0.64000 0 1 1 27482986 27482986 1481891386 522004548 959886838 519211616 338651555 180560061 289992328 195656107 94336221 1262266106 POOLED INVESTMENTS 550171000 F DOMESTIC BONDS & LT NOTES 133799000 F DOMESTIC STOCKS 83087000 F INTERNAT'L BONDS/LT NOTES 42493000 F INTERNATIONAL STOCKS 306867000 F HEDGED STRATEGIES 317490000 F SHORT-TERM INVESTMENTS 162041000 F PRIVATE CAPITAL 43992000 F REAL ESTATE 18108000 F OTHER INVESTMENTS 16611624 F 1674659624 INTEREST PAYABLE 11102230 PROFESSIONAL LIABILITY COSTS 9017601 POST RETIREMENT BENEFIT OBLIGATION 213700000 CAPITAL LEASE OBLIGATION 127576266 DERIVATIVE INSTRUMENTS 139026628 OTHER NON-CURRENT LIABILITIES 61040103 561462828 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE INTENDED USE FOR THE ORGANIZATION'S ENDOWMENT FUNDS IS SUPPORTING CAPITAL PURCHASES, OFFSETTING OPERATING COSTS, IMPROVING PATIENT SAFETY, AND SUPPORTING THE NEEDS OF PATIENTS AND FAMILIES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: DUHS ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITIONS. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE DUHS FINANCIAL STATEMENTS AND THEREFORE NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE AUDITED FINANCIAL STATEMENTS OF DUHS, INC. AND ITS AFFILIATES FOR FISCAL YEAR ENDED JUNE 30, 2012. CENTRAL AMERICA AND THE CARIBBEAN 0 0 SEND AGENTS TO SEMINAR 9999 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES RECRUITMENT 1240 EAST ASIA AND THE PACIFIC 0 0 SEND AGENTS TO SEMINAR 10089 EUROPE 0 0 SEND AGENTS TO SEMINAR 42596 MIDDLE EAST AND NORTH AFRICA 0 0 SEND AGENTS TO SEMINAR 12803 NORTH AMERICA 0 0 SEND AGENTS TO SEMINAR 372 SOUTH AMERICA 0 0 SEND AGENTS TO SEMINAR 495 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 160542221 0 0 0 0 0 0 160619815 0 160619815 0 0 1 0 0 1 X X X X 1 DUKE UNIVERSITY BLACKWELL ST DURHAM NC 27701 SHARED FUNDRAISING 1 0 700000 0 700000 AL AK AZ AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI GALA 221932 131288 90644 0 70633 1816 27227 4848 6648 NONE 221932 131288 90644 70633 1816 27227 4848 6648 111172 -20528 FORM 990, SCHEDULE G, PART I, LINE 2B DUKE UNIVERSITY HEALTH SYSTEM SUPPORTS THE FUNDRAISING ACTIVITIES PERFORMED BY EMPLOYEES OF DUKE UNIVERSITY. SUCH ACTIVITIES ARE DESIGNED TO DEVELOP SUPPORT FOR BOTH THE UNIVERSITY AND THE DUKE UNIVERSITY HEALTH SYSTEM'S EDUCATIONAL, RESEARCH AND HEALTHCARE PURPOSES. DUKE UNIVERSITY RECEIVES AND DIRECTS THE CONTRIBUTIONS AS APPROPRIATE TO THE HEALTH SYSTEM. THE AGREEMENT BETWEEN DUKE UNIVERSITY AND DUKE UNIVERSITY HEALTH SYSTEM DOES NOT DISTINGUISH BETWEEN PAYMENTS FOR PROFESSIONAL FUNDRAISING SERVICES AND EXPENSE PAYMENTS OR REIMBURSEMENTS. 1 1 X 1 X 1 X 1 1 0 1 1 69096659 0 69096659 0.03220 33917268 0 33917268 0.01580 348 0 348 0.00000 103014275 103014275 0.04800 718 0 718 0.00000 70345378 14540320 55805058 0.02600 747 0 747 0.00000 0 0 11283213 0 11283213 0.00530 81630056 14540320 67089736 0.03130 184644331 14540320 170104011 0.07930 1 24618001 487029763 556125815 -69096052 X 1 0 1 DLP HEALTHCARE LLC BUILD NETWORK OF HOSPITALS 0.03000 0.00000 0.00000 5 1 DUKE UNIVERSITY HOSPITAL

2301 ERWIN ROAD PRIMARY CAMPUS DURHAM NC 27710

X X X X X X 2 DURHAM REGIONAL HOSPITAL

3643 ROXBORO ROAD DURHAM NC 27704

X X X 3 DUKE RALEIGH HOSPITAL

3400 WAKE FOREST ROAD RALEIGH NC 27609

X X X 4 MARIA PARHAM MEDICAL CENTER

566 RUIN CREEK ROAD HENDERSON NC 27536

X X X 3% OWNERSHIP IN JOINT VENTURE 5 PERSON MEMORIAL HOSPITAL

615 RIDGE ROAD ROXBORO NC 27573

X X X 3% OWNERSHIP IN JOINT VENTURE DUKE UNIVERSITY HOSPITAL 1 1 1 200.000000000000 1 300.000000000000 1 X X X X X 1 1 X X X X X 1 0 1 X 0 1 DURHAM REGIONAL HOSPITAL 2 1 1 200.000000000000 1 300.000000000000 1 X X X X X 1 1 X X X X X 1 0 1 X 0 1 DUKE RALEIGH HOSPITAL 3 1 1 200.000000000000 1 300.000000000000 1 X X X X X 1 1 X X X X X 1 0 1 X 0 1 MARIA PARHAM MEDICAL CENTER 4 1 1 180.000000000000 1 300.000000000000 1 X X X X X X X 1 1 X X 1 0 1 X 0 0 PERSON MEMORIAL HOSPITAL 5 1 1 180.000000000000 1 200.000000000000 1 X 1 1 X 1 X 1 X X 1 X 0 0 12 HOSPICE OF MEADOWLANDS

1001 CORPORATE DRIVE HILLSBOROUGH NC 27278

HOSPICE HOCK FAMILY PAVILION

4023 NORTH ROXBORO ROAD DURHAM NC 27704

HOSPICE DIET & FITNESS CENTER

501 DOUGLAS STREET DURHAM NC 27705

HEALTHY WEIGHT LOSS TREATMENT CENTER DUKE INTEGRATIVE MEDICINE

3475 ERWIN ROAD DURHAM NC 27705

CLINICAL AND THERAPEUTIC SERVICES CENTER NORTHERN CAROLINA SURGICAL ASSOCIATES

120 CHARLES ROLLINS ROAD SUITE 206 HENDERSON NC 27536

GENERAL SURGICAL PRACTICE - 3% OWNERSHIP IN JOINT VENTURE MARIA PARHAM ANESTHESIA & PHYSIATRY

568 RUIN CREEK ROAD SUITE 128 HENDERSON NC 27536

PHYSICIAN PRACTICE (ANESTHESIA & PHYSIATRY) - 3% OWNERSHIP IN JOINT VENTURE MARIA PARHAM NEPHROLOGY & HYPERTENSION

568 RUIN CREEK ROAD SUITE 006 HENDERSON NC 27536

PHYSICIAN PRACTICE (NEPHROLOGY/HYPERTENSION)-3% OWNERSHIP IN JOINT VENTU KERR LAKE ORTHOPAEDICS

120 CHARLES ROLLINS ROAD SUITE 205 HENDERSON NC 27536

PHYSICIAN PRACTICE (ORTHOPAEDICS) - 3% OWNERSHIP IN JOINT VENTURE FOUR COUNTY PRIMARY CARE

120 CHARLES ROLLINS ROAD SUITE 102 HENDERSON NC 27536

PHYSICIAN PRACTICE - 3% OWNERSHIP IN JOINT VENTURE MARIA PARHAM REGIONAL HOME HEALTH

566 RUIN CREEK ROAD HENDERSON NC 27536

HOME HEALTH PRACTICE - 3% OWNERSHIP IN JOINT VENTURE NORTHERN CAROLINA CARDIOLOGY

568 RUIN CREEK ROAD SUITE 102 HENDERSON NC 27536

PHYSICIAN PRACTICE (CARDIOLOGY) - 3% OWNERSHIP IN JOINT VENTURE MARIA PARHAM ENDOCRINOLOGY

120 CHARLES ROLLINS ROAD SUITE 206 HENDERSON NC 27536

PHYSICIAN PRACTICE (ENDOCRINOLOGY) - 3% OWNERSHIP IN JOINT VENTURE PART I, LINE 3C:NOT APPLICABLEPART I, LINE 6A:NOT APPLICABLEPART I, LINE 7G:NOT APPLICABLEPART I, LINE 7, COLUMN F:TOTAL GROSS COMMUNITY BENEFIT EXPENSE AS A PERCENT OF TOTAL EXPENSES IS 8.6%.PART I, LINE 7:CHARITY CARE AT COST IS DETERMINED USING THE COST-TO-CHARGE CALCULATION FROM WORKSHEET 2. UNREIMBURSED MEDICAID IS DETERMINED USING A COST ACCOUNTING SYSTEM THAT ADDRESSES ALL PATIENT SEGMENTS.COMMUNITY BUILDING ACTIVITIES:PART II:THESE ACTIVITIES ARE INCLUDED IN DUKE UNIVERSITY HEALTH SYSTEM, INC.'S (DUHS) OPERATING EXPENSES AND ARE NOT TRACKED SEPARATELY FOR COMMUNITY BENEFIT REPORTING PURPOSES. PART III, LINE 4:METHODOLOGY FOR DETERMINING BAD DEBT AMOUNT REPORTED ON LINE 2:BAD DEBT AT COST IS DETERMINED USING THE COST-TO-CHARGE RATIO CALCULATION FROM WORKSHEET 2.DESCRIPTION OF HOW DUHS ACCOUNTS FOR DISCOUNTS AND PAYMENTS ON PATIENT ACCOUNTS IN DETERMINING BAD DEBT EXPENSE:DISCOUNTS AND PAYMENTS ARE TREATED AS A REDUCTION ON THE PATIENT'S ACCOUNT. THEREFORE, THE AMOUNT REPORTED AS BAD DEBT EXPENSE IS REDUCED BY THE AMOUNT OF ANY PAYMENTS OR DISCOUNTS APPLIED. RATIONALE FOR INCLUDING PORTION OF BAD DEBT AS COMMUNITY BENEFIT:BAD DEBT EXPENSE SHOULD BE INCLUDED AS A COMMUNITY BENEFIT. DUKE UNIVERSITY HEALTH SYSTEM, INC. FOLLOWS ITS MISSION TO THE COMMUNITY AND PROVIDES EMERGENT SERVICES TO PATIENTS REGARDLESS OF THEIR ABILITY TO PAY. THEREFORE, SOME PATIENTS WHO MAY QUALIFY FOR CHARITY CARE ARE REPORTED AS BAD DEBT EXPENSE INSTEAD DUE TO PATIENTS' INABILITY OR UNWILLINGNESS TO PROVIDE THE NECESSARY DOCUMENTATION REQUIRED TO BE DEEMED CHARITY CARE.TEXT FROM FOOTNOTES:FOR UNINSURED PATIENTS WHO DO NOT QUALIFY FOR CHARITY CARE, THE HEALTH SYSTEM RECOGNIZES REVENUE ON THE BASIS OF ITS DISCOUNTED RATES. UNINSURED PATIENTS RECEIVE A DISCOUNT FROM BILLED CHARGES (EXCLUDING COSMETIC SERVICES). ON THE BASIS OF HISTORICAL EXPERIENCE, A SIGNIFICANT PORTION OF THE HEALTH SYSTEM'S UNINSURED PATIENTS WILL BE UNABLE OR UNWILLING TO PAY FOR THE SERVICES PROVIDED. THUS, THE HEALTH SYSTEM RECORDS A SIGNIFICANT PROVISION FOR BAD DEBTS RELATED TO UNINSURED PATIENTS IN THE PERIOD THE SERVICES ARE PROVIDED. PATIENT ACCOUNTS RECEIVABLE ARE REDUCED BY AN ALLOWANCE FOR BAD DEBTS. IN EVALUATING THE COLLECTIBILITY OF ACCOUNTS RECEIVABLE, THE HEALTH SYSTEM ANALYZES HISTORICAL COLLECTIONS AND WRITE-OFFS AND IDENTIFIES TRENDS FOR EACH OF ITS MAJOR SOURCES OF REVENUE TO ESTIMATE THE APPROPRIATE ALLOWANCE FOR BAD DEBTS AND PROVISION FOR BAD DEBTS. MANAGEMENT REGULARLY REVIEWS DATA ABOUT THESE MAJOR PAYOR SOURCES OF REVENUE IN EVALUATING THE SUFFICIENCY OF THE ALLOWANCE FOR BAD DEBTS. FOR RECEIVABLES ASSOCIATED WITH SERVICES PROVIDED TO PATIENTS WHO HAVE THIRD-PARTY COVERAGE, THE HEALTH SYSTEM ANALYZES CONTRACTUALLY DUE AMOUNTS AND PROVIDES AN ALLOWANCE FOR BAD DEBTS, ALLOWANCE FOR CONTRACTUAL ADJUSTMENTS, PROVISION FOR BAD DEBTS, AND CONTRACTUAL ADJUSTMENTS ON ACCOUNTS FOR WHICH THE THIRD-PARTY PAYOR HAS NOT YET PAID OR FOR PAYORS WHO ARE KNOWN TO BE HAVING FINANCIAL DIFFICULTIES THAT MAKE THE REALIZATION OF AMOUNTS DUE UNLIKELY. FOR RECEIVABLES ASSOCIATED WITH SELF-PAY PATIENTS OR WITH BALANCES REMAINING AFTER THE THIRD-PARTY COVERAGE HAS ALREADY PAID, THE HEALTH SYSTEM RECORDS A SIGNIFICANT PROVISION FOR BAD DEBTS IN THE PERIOD OF SERVICE ON THE BASIS OF ITS HISTORICAL COLLECTIONS, WHICH INDICATES THAT MANY PATIENTS DECLINE TO PAY THE PORTION OF THEIR BILL FOR WHICH THEY ARE FINANCIALLY RESPONSIBLE. THE DIFFERENCE BETWEEN THE DISCOUNTED RATES AND THE AMOUNTS COLLECTED AFTER ALL REASONABLE COLLECTION EFFORTS HAVE BEEN EXHAUSTED IS CHARGED OFF AGAINST THE ALLOWANCE FOR BAD DEBTS.PART III, LINE 7:TOTAL UNREIMBURSED COSTS ATTRIBUTABLE TO PROVIDING SERVICES UNDER MEDICARE AS REPORTED IN THE JUNE 30, 2012 DUHS CONSOLIDATED FINANCIAL STATEMENTS ARE $96,038,000 AS COMPARED TO $69,096,052 AS REPORTED IN SECTION B, LINE 7 OF SCHEDULE H. THE DUHS TOTAL MEDICARE SHORTFALL OF $96,038,000 IS DERIVED FROM THE COST ACCOUNTING SYSTEM WHICH INCLUDES ALL PAYMENTS AND COSTS ASSOCIATED WITH MEDICARE PATIENTS, WHEREAS THE $69,096,052 REPORTED IN SECTION B OF SCHEDULE H IS DERIVED BASED ON IRS INSTRUCTIONS. IRS INSTRUCTIONS SPECIFY THAT ONLY A PORTION OF COSTS ASSOCIATED WITH MEDICARE BENEFICIARIES BE REPORTED ON SCHEDULE H. UNREIMBURSED MEDICARE COSTS REPORTED ON SCHEDULE H IS UNDERSTATED DUE TO EXCLUDING THOSE COSTS ASSOCIATED WITH MEDICARE PATIENTS COVERED UNDER MANAGED CARE PLANS AND COSTS REIMBURSED THROUGH MEANS NOT REPORTED ON THE COST REPORT.PART III, LINE 8:MEDICARE RATES AND THE NUMBER OF MEDICARE PATIENTS DUHS TREATS ARE NOT NEGOTIATED. MEDICARE DOES NOT FULLY COMPENSATE DUHS FOR THE COST OF PROVIDING CARE TO MEDICARE BENEFICIARIES. DUHS CONTINUES TO SERVE THE MEDICARE POPULATION AS MEDICARE REIMBURSEMENT RATES DECLINE RELATIVE TO THE COST OF CARE. THEREFORE, ANY LOSS RELATED TO PROVIDING CARE FOR MEDICARE PATIENTS SHOULD BE CLASSIFIED AS A COMMUNITY BENEFIT. DUHS FOLLOWED THE MEDICARE COST REPORT RULES AND GUIDELINES IN DETERMINING THE COSTS REPORTED ON LINE 6. THESE RULES USE A VARIETY OF DIFFERENT METHODOLOGIES BASED ON THE TYPE OF SERVICE.PART V, SECTION A:FACILITIES NUMBERED 4 AND 5 ARE INCLUDED AS A RESULT OF DUHS' 3% OWNERSHIP IN A JOINT VENTURE.PART V, LINE 13G:DUHS PROVIDES A BROCHURE TO ALL ADMISSIONS THAT INCLUDES A BRIEF SUMMARY OF DUHS FINANCIAL ASSISTANCE POLICIES. DUHS ALSO COMMENTS ON THE BACK OF ITS BILLING INVOICES THAT PATIENTS SHOULD CONTACT PATIENT ACCOUNT REPRESENTATIVES TO HELP THEM IF THEY CANNOT PAY THEIR BILL IN FULL. THIS COMMENT REFERENCES GOVERNMENT-SPONSORED PROGRAMS, MONTHLY PAYMENT PROGRAMS, AND OTHER FINANCIAL ASSISTANCE PROGRAMS AVAILABLE FOR PATIENTS WHO MEET CERTAIN FINANCIAL CRITERIA. DUHS ALSO PUBLICIZED ITS FINANCIAL ASSISTANCE POLICY VERBALLY BY OUR FINANCIAL CARE COUNSELORS.PART V, LINE 21:CERTAIN ELECTIVE COSMETIC/AESTHETIC SERVICES, AND OTHER SERVICES NOT TYPICALLY COVERED BY INSURANCE, WILL BE BILLED AT AN AMOUNT EQUAL TO GROSS CHARGES.PART V, SECTION C:FACILITIES NUMBERED 5 THROUGH 12 ARE INCLUDED AS A RESULT OF DUHS' 3% OWNERSHIP IN A JOINT VENTURE.NEEDS ASSESSMENT:PART VI, LINE 2:DUHS USES SEVERAL MECHANISMS TO ASSESS AND ADDRESS THE HEALTH CARE NEEDS OF THE COMMUNITIES IT SERVES. IN DURHAM COUNTY, DUHS AND THE DUKE UNIVERSITY SCHOOL OF MEDICINE FACULTY ARE ACTIVELY INVOLVED IN THE STATE-WIDE NETWORK FOR A HEALTHY DURHAM, A COALITION OF LOCAL ORGANIZATIONS AND COMMUNITY MEMBERS WITH THE GOAL OF COLLABORATELY IMPROVING THE PHYSICAL, MENTAL, SOCIAL, HEALTH, AND WELL-BEING OF DURHAM COUNTY'S RESIDENTS. THE NETWORK IS A CERTIFIED HEALTHY CAROLINIAN'S WORKGROUP. THE NETWORK EVALUATES COMMUNITY HEALTH CARE INFORMATION, THEN IDENTIFIES AND PRIORITIZES COMMUNITY-IDENTIFIED HEALTH CARE NEEDS AMONG SEVEN SUBCOMMITTEES THAT EACH FOCUS ON A DURHAM COUNTY HEALTH PRIORITY: MENTAL HEALTH AND SUBSTANCE ABUSE, ACCESS TO CARE, OBESITY AND CHRONIC ILLNESS, POVERTY, HIV/STI'S, EDUCATION, AND HOMELESSNESS. DUHS' OFFICE OF COMMUNITY RELATIONS HAS PLAYED A CENTRAL ROLE IN CONDUCTING A DURHAM HEALTH SUMMIT SINCE 2002, AN ANNUAL EVENT THAT ATTRACTS HUNDREDS OF COMMUNITY MEMBERS, HEALTH OFFICIALS, ELECTED OFFICIALS, AND DUHS EXECUTIVES AND PHYSICIANS TO RAISE AWARENESS OF KEY HEALTH ISSUES IN THE COMMUNITY AND SEEK COLLABORATIVE SOLUTIONS TO THESE ISSUES. THE SUMMIT HAS PRODUCED A NUMBER OF COMMUNITY-DRIVEN HEALTH CARE PROGRAMS AND INITIATIVES, INCLUDING MOST RECENTLY SPECIALTY PROJECT ACCESS, IN WHICH PHYSICIANS WHO PRACTICE AT DUHS FACILITIES AND OTHER DURHAM COUNTY PHYSICIANS OFFER FREE SPECIALTY CARE SERVICES TO RESIDENTS WHO OTHERWISE COULD NOT AFFORD IT. DUHS ALSO PLAYS A CENTRAL ROLE IN REGIONAL AND STATE HEALTH CARE SUMMITS USING THE SUMMITS' INFORMATION AND DATA TO ADDRESS THE HEALTH CARE NEEDS OF THOSE BROADER COMMUNITIES. DUHS ALSO USES DATA FROM THE ANNUAL DURHAM STATE OF THE COUNTY HEALTH REPORT AND THE DURHAM COUNTY HEALTH ASSESSMENT (SEE WWW.HEALTHYDURHAM.ORG) CONDUCTED EVERY 4 YEARS TO ENSURE DUHS IS ADDRESSING IMPORTANT HEALTH CARE ISSUES IDENTIFIED BY THE COMMUNITY.IN WAKE COUNTY, DUHS CONDUCTS A STUDY OF PRIMARY CARE INTAKES. DUKE RALEIGH HOSPITAL WORKED CLOSELY WITH THE WAKE COUNTY HUMAN SERVICES AGENCIES AND OTHER COMMUNITY STAKEHOLDERS ON THE 2010 WAKE COUNTY COMMUNITY HEALTH ASSESSMENT. PATIENT EDUCATION OF ELIGIBILITY FOR ASSISTANCE:PART VI, LINE 3:DUHS EMPLOYS NUMEROUS MEANS TO EDUCATE PATIENTS ABOUT THEIR ELIGIBILITY FOR ASSISTANCE UNDER FEDERAL, STATE, OR LOCAL GOVERNMENT PROGRAMS OR UNDER THE DUHS CHARITY CARE POLICY. DETAILED INFORMATION IS POSTED ON DUKEHEALTH.ORG (DUHS' WEBSITE) ALONG WITH HARDCOPY BROCHURES THAT ARE AVAILABLE IN ENGLISH OR SPANISH AT ALL OF OUR PATIENT REGISTRATION LOCATIONS. ALL INPATIENTS AND EMERGENCY DEPARTMENT PATIENTS ARE ALSO PROVIDED WITH A HARDCOPY, ONE-PAGE SUMMARY OF THE WAYS DUHS CAN ASSIST PATIENTS FINANCIALLY. FOR OUTPATIENTS, THIS SAME ONE-PAGE SUMMARY IS PROVIDED ON THEIR FIRST VISIT TO THE INSTITUTION. IN ADDITION, DUHS EMPLOYS FINANCIAL CARE COUNSELORS WHO MEET INDIVIDUALLY WITH PATIENTS WHO HAVE QUESTIONS REGARDING PAYMENT FOR THEIR CARE. DUHS ALSO EMPLOYS MEDICAID ASSISTANCE COUNSELORS WHO SPECIALIZE IN ASSISTING PATIENTS TO APPLY FOR MEDICAID, DISABILITY, AND OTHER FEDERAL, STATE, AND LOCAL PROGRAMS. DUHS ASSISTS BETWEEN 12,000-20,000 PATIENTS IN APPLYING AND BECOMING ELIGIBLE FOR THESE PROGRAMS ANNUALLY. FINALLY, PATIENTS MAY ALWAYS CONTACT DUHS' TOLL FREE CUSTOMER SERVICE NUMBER TO REQUEST INFORMATION ABOUT THEIR BILL OR OBTAIN A CHARITY CARE APPLICATION.COMMUNITY INFORMATION:PART VI, LINE 4:DUHS SERVES A BROAD, CULTURALLY, RACIALLY AND SOCIALLY DIVERSE GEOGRAPHIC AND DEMOGRAPHIC REGION. DUHS' HOME CITY OF DURHAM IS THE CORE, BUT DUHS' REACH EXTENDS INTO THE SURROUNDING RESEARCH TRIANGLE AREA OF NORTH CAROLINA AND THE STATE'S LARGER NORTHERN PIEDMONT REGION, AS WELL AS STATEWIDE, NATIONALLY AND GLOBALLY. DURHAM, WAKE AND ORANGE COUNTIES - WHICH FORM THE TRIANGLE - REPRESENT ABOUT TWO-THIRDS OF INPATIENT DISCHARGES FROM DUHS FACILITIES. DUHS' SECONDARY SERVICE AREA COVERS 21 COUNTIES IN NORTH CAROLINA AND SOUTHERN VIRGINIA WITH A POPULATION OVER 2 MILLION.PROMOTION OF COMMUNITY HEALTH:PART VI, LINE 5:DUHS PROMOTES THE HEALTH OF THE COMMUNITIES IT SERVES THROUGH A NUMBEROF COMMUNITY BUILDING ACTIVITIES. CENTRAL TO MANY OF THE EFFORTS IS DUHS' OFFICE OF COMMUNITY RELATIONS, WHOSE ASSOCIATE VICE PRESIDENT REPORTS DIRECTLY TO DUHS' CEO AND SERVES AS A FULL-TIME LIAISON WITH THE DURHAM COMMUNITY. THE OFFICE SPONSORS AND FACILITATES COMMUNITY EVENTS SUCH AS THE ANNUAL DURHAM HEALTH SUMMIT AND SIMILAR REGIONAL AND STATE HEALTH SUMMITS THAT RAISE AWARENESS OF COMMUNITY HEALTH NEEDS, PROMOTE PREVENTION AND WELLNESS, AND CHART A COURSE FOR SOLVING HEALTH ISSUES AND DISPARITIES. IN ADDITION, THE OFFICE PROVIDES A POINT OF DIRECT CONTACT FOR COMMUNITY MEMBERS WHO HAVE QUESTIONS OR CONCERNS ABOUT COMMUNITY ISSUES OR ABOUT ACCESS TO HEALTH CARE SERVICES. THE OFFICE ALSO PROVIDES DIRECT FINANCIAL SUPPORT TO A VARIETY OF COMMUNITY GROUPS THROUGH THE CHARITABLE GRANTS AND GOODWILL GRANTS PROGRAM. THE ASSOCIATE VICE-PRESIDENT AND STAFF SERVE ON A NUMBER OF HEALTH CARE-RELATED COMMUNITY BOARDS AND HEALTH-RELATED COMMITTEES. STAFF FROM THE OFFICE OF COMMUNITY RELATIONS AND MEMBERS OF THE DUHS COMMUNITY HEALTH PLANNING GROUP CREATED A FORMAL PRINCIPLES OF COMMUNITY ENGAGEMENT POLICY THAT COMMITS DUHS AND ITS COMMUNITY PARTNERS TO DEVELOPING PROPOSED PROJECTS AND INITIATIVES ON TRUST, RESPECT, DIVERSITY, SAFETY AND COMMUNITY-IDENTIFIED NEEDS. THESE PRINCIPLES HAVE BEEN INCORPORATED INTO COMMUNITY-BASED HEALTH CARE PROJECTS SUCH AS THE DEVELOPMENT OF THE HOLTON WELLNESS CENTER AND DURHAM HEALTH INNOVATIONS, A MULTIDISCIPLINARY COMMUNITY BASED PARTNERSHIP BETWEEN DUKE RESEARCHERS AND MEMBERS OF THE DUKE COMMUNITY THAT FOCUSES ON IMPROVING HEALTH OUTCOMES THROUGH NEW AND CREATIVE APPROACHES TO HEALTH CARE DELIVERY.IN ADDITION TO COMMUNITY BUILDING ACTIVITIES, DUHS PROMOTES THE HEALTHOF ITS COMMUNITIES IN A NUMBER OF IMPORTANT WAYS. ONE OF DUHS' THREE CONSTITUENT HOSPITALS, DURHAM REGIONAL, HAS AN OPEN MEDICAL STAFF AND A COMMUNITY ADVISORY BOARD. DUHS AND THE DUKE UNIVERSITY SCHOOL OF MEDICINE AND SCHOOL OF NURSING (COMMONLY REFERRED TO AS DUKE MEDICINE) RECENTLY LAUNCHED A NEW INITIATIVE WITH MEMBERS OF THE DURHAM FAITH COMMUNITY. APPROXIMATELY 50 LOCAL LEADERS IN THE FAITH COMMUNITY ARE WORKING WITH DUKE MEDICINE TO LOOK AT HOW TO ADDRESS THE NEEDS OF THEIR CONGREGATIONS AND COMMUNITIES BY COMBINING THE TRADITIONS OF THE FAITH COMMUNITY WITH THE KNOWLEDGE OF MODERN MEDICINE. A SERIES OF MEETINGS HAVE BEEN HELD TO DETERMINE HOW DUKE MEDICINE CAN PARTNER WITH THE FAITH COMMUNITY TO SUPPORT HEALTH MINISTRY ACTIVITIES IN THEIR COMMUNITY AND PLACES OF WORSHIP.DUHS' CEO ALSO HAS A CHANCELLOR'S COMMUNITY HEALTH ADVISORY BOARD TO PROVIDE FEEDBACK ON A VARIETY OF ISSUES, INCLUDING USE OF DUHS RESOURCES, HEALTH SERVICE DELIVERY SYSTEMS AND LONG-RANGE GOALS TO REDUCE HEALTH RISKS AND DISPARITIES IN DURHAM COUNTY. THE BOARD INCLUDES STATE AND LOCAL ELECTED OFFICIALS, NEIGHBORHOOD COUNCILS AND OTHER GRASSROOTS ORGANIZATIONS, POLITICAL GROUPS, LOCAL PHYSICIANS, THE DURHAM PUBLIC SCHOOLS, AMONG OTHERS. DUHS MAINTAINS A CHARITABLE GRANTS COMMITTEE TO REVIEW COMMUNITY REQUESTS FOR PHILANTHROPIC ASSISTANCE THAT PROMOTE HEALTH AND WELLNESS. DUKE MEDICINE PROVIDES VARIOUS OPPORTUNITIES FOR STUDENTS TO INTERACT WITH DIFFERENT HEALTH CARE PROFESSIONALS ACROSS THE SYSTEM. THE OFFICE OF COMMUNITY RELATIONS, DURHAM REGIONAL HOSPITAL, AND OTHER KEY COMMUNITY PARTNERS BEGAN A PILOT WORKFORCE DEVELOPMENT PROJECT CALLED PROJECT SEARCH. THIS PROGRAM, MODELED AFTER THE PROGRAM AT CINCINNATI CHILDREN'S HOSPITAL, PROVIDES YOUTH WITH DISABILITIES EMPLOYMENT TRAINING AND CAREER OPPORTUNITIES IN THE HEALTHCARE FIELD. THE OFFICE OF COMMUNITY RELATIONS WORKS WITH THE DURHAM-ORANGE MEDICAL SOCIETY AND THE DURHAM ACADEMY OF MEDICINE, DENTISTRY AND PHARMACY (AN ASSOCIATION FOR AFRICAN-AMERICAN MEDICAL PROFESSIONALS) TO PROMOTE THE SUCCESS OF THE CITY OF MEDICINE ACADEMY (CMA). THE CMA IS A PUBLIC MAGNET HIGH SCHOOL DESIGNED FOR STUDENTS INTERESTED IN HEALTH CARE CAREERS. FACULTY ARE INVOLVED WITH MENTORING STUDENTS AND CLASSROOM LECTURES. IN ADDITION, THE HEALTH SYSTEM CEO IS WORKING WITH THE NEW SCHOOLS PROJECT TO HELP THE CMA BECOME THE PREMIER HEALTH SCIENCE HIGH SCHOOL IN NORTH CAROLINA. IN 2011, CMA MOVED INTO A NEW BUILDING ON THE DURHAM REGIONAL HOSPITAL CAMPUS ON LAND DUHS TRANSFERRED BACK TO DURHAM COUNTY. THE OCR PROGRAM MANAGER COORDINATED HEALTH CARE SERVICES AT THE ANNUAL DURHAM PROJECT HOMELESS CONNECT. DUKE UNIVERSITY HEALTH SYSTEM IS A KEY PARTNER IN THIS EVENT. DUKE SCHOOL OF NURSING, DUKE EYE CENTER, AND STAFF AFFILIATED WITH LINCOLN COMMUNITY HEALTH CENTER HEALTHCARE FOR THE HOMELESS CLINIC VOLUNTEER TIME AND RESOURCES AT THIS IMPORTANT EVENT. STUDENTS FROM THE DUKE SCHOOLS OF MEDICINE AND NURSING ENGAGE COMMUNITIES IN DURHAM AND BEYOND IN ACTIVITIES THAT INCLUDE FREE BLOOD PRESSURE SCREENINGS FOR THE HOMELESS, AND IDENTIFYING THE HEALTH CARE NEEDS OF A LOW WEALTH COMMUNITY SCHOOL AND DEVELOPING A CURRICULUM FOR STUDENTS AND PARENTS THAT ADDRESSES THOSE NEEDS. AFFILIATED HEALTH CARE SYSTEM ROLES:PART VI, LINE 6:DUHS PROVIDES VIRTUALLY ALL LEVELS OF CARE BEGINNING WITH DUKE UNIVERSITY AFFILIATED PHYSICIANS (DBA DUKE PRIMARY CARE) (DPC). THE HOSPITALS PROVIDE ROUTINE INPATIENT AND OUTPATIENT CARE. IN DURHAM COUNTY, DUKE UNIVERSITY HOSPITAL (DUH) AND DURHAM REGIONAL HOSPITAL (DRH) WORK TOGETHER TO MAXIMIZE FACILITY UTILIZATION PROVIDING ROUTINE AND ADVANCED LEVELS OF CARE. DUH ALSO OPERATES A TRAUMA CENTER WITH AIR AMBULANCE SERVICE. DUKE RALEIGH HOSPITAL (DRAH) SERVES THE WAKE COUNTY AREA AS A COMMUNITY HOSPITAL. THE DRAH CAMPUS HAS SEVERAL MEDICAL OFFICE BUILDINGS ENHANCING CONVENIENCE FOR THE PATIENT IN NON-EMERGENT CASES AND PROVIDES STREAMLINED ACCESS TO HIGH-DEMAND PROCEDURES SUCH AS CARDIAC CATHETERIZATION AND RADIOLOGY PROCEDURES. DUHS ALSO OPERATES HOME HEALTH AND HOME INFUSION SERVICES TO TREAT AND CARE FOR PATIENTS IN THE COMFORT OF THEIR HOME. THIS IS OBVIOUSLY PRACTICAL FOR PATIENTS NOT REQUIRING INPATIENT STAY BUT IN NEED OF ONGOING CARE AT A SUB-ACUTE LEVEL. FINALLY, HOSPICE PROVIDES PALLIATIVE CARE FOR PATIENTS NOT RESPONDING TO CURATIVE CARE. PAIN MANAGEMENT, SYMPTOM MANAGEMENT, AND PSYCHOLOGICAL AND SPIRITUAL SUPPORT PROVIDE A ROUNDED APPROACH TO COMPASSIONATELY ASSIST TERMINAL PATIENTS AND THEIR FAMILIES WITH THE PROCESS OF DYING. ALL OF THE OPERATING UNITS OF DUHS WORK TOGETHER TO PROVIDE THE RIGHT LEVEL OF CARE FOR THE PATIENT IN THE MOST BENEFICIAL MANNER. IN ADDITION TO THE REACTIVE ACTIVITIES OF DIAGNOSTIC CARE, DUHS ALSO SUPPORTS AND PROMOTES HEALTHY LIFESTYLES IN THE DIET & FITNESS CENTER, CENTER FOR LIVING, AND DUKE INTEGRATIVE MEDICINE. THESE OPERATIONS FOCUS LARGELY ON PREVENTION AND EDUCATION TO AVOID OR MITIGATE THE POTENTIAL FOR FUTURE ILLNESS.LIST OF ALL STATES WHICH ORGANIZATION FILES A COMMUNITY BENEFIT REPORT:PART VI, LINE 7:NORTH CAROLINA. PERSON MEMORIAL HOSPITAL PART V, SECTION B, LINE 17E: APPLICABLE PATIENTS WERE NOTIFIED AT THE TIME OF UP-FRONT COLLECTION EFFORTS; THOSE PATIENTS WHO PRESENTED BILLING QUESTIONS AND CONCERNS WERE NOTIFIED AT THAT TIME. MARIA PARHAM MEDICAL CENTER PART V, SECTION B, LINE 19D: THE HOSPITAL FACILITY FOLLOWS ITS ESTABLISHED CHARITY CARE POLICY IN DETERMINING THE APPROPRIATE MAXIMUM AMOUNT TO CHARGE FAP-ELIGIBLE INDIVIDUALS FOR EMERGENCY OR OTHER MEDICALLY NECESSARY CARE. PERSON MEMORIAL HOSPITAL PART V, SECTION B, LINE 19D: THE MAXIMUM AMOUNT WAS DETERMINED BY APPLYING A SELF-PAY DISCOUNT AS A FLAT PERCENTAGE OF CHARGES. 1 1 IN 8K RALLY FOR THE CURE 30 MEMORIAL DR PINEHURST NC 28374 452871984 501(C)(3) 16000 GENERAL SUPPORT ALLIANCE MEDICAL MINISTRY INC 101 DONALD ROSS DRIVE RALEIGH NC 27610 562168673 501(C)(3) 27500 GENERAL SUPPORT CARING HOUSE INC 2625 PICKETT RD DURHAM NC 277055603 561647154 501(C)(3) 7917 GENERAL SUPPORT CEO ROUNDTABLE ON CANCER INC 940 NW CARY PKWY SUITE 102 CARY NC 27513 651230448 501(C)(3) 40000 GENERAL SUPPORT CHILD AND PARENT SUPPORT SERVICES 411 W CHAPEL HILL ST SUITE 908 DURHAM NC 27701 581446309 501(C)(3) 31000 GENERAL SUPPORT COUNCIL FOR ENTREPRENEURIAL DEVELOPMENT PO BOX 13353 RTP NC 277093353 561399587 501(C)(3) 7500 GENERAL SUPPORT DUKE HEALTH RALEIGH HOSPITAL GUILD 3400 WAKE FOREST RD RALEIGH NC 27609 202942711 501(C)(3) 29800 GUILD BIRDWOOD PROJECT CONTRIBUTION DUKE SCHOOL FOR CHILDREN 3716 OLD ERWIN RD DURHAM NC 27705 581521494 501(C)(3) 25000 GENERAL SUPPORT DURHAM ACADEMY DEVELOPMENT OFFICE 3601 RIDGE ROAD DURHAM NC 277055599 560538019 501(C)(3) 25000 GENERAL SUPPORT DURHAM CHAMBER LEGACY FOUNDATION PO BOX 3829 DURHAM NC 27702 131132350 501(C)(3) 31250 GENERAL SUPPORT DURHAM CHAMBER OF COMMERCE PO BOX 3829 DURHAM NC 27702 560207530 501(C)(6) 30000 GENERAL SUPPORT EL CENTRO HISPANO INC 600 E MAIN STREET DURHAM NC 27701 562011661 501(C)(3) 8500 GENERAL SUPPORT FOUNDATION FOR NURSING EXCELLENCE PO BOX 31824 RALEIGH NC 27622 300105241 501(C)(3) 20000 GENERAL SUPPORT GREATER RALEIGH CHAMBER OF COMMERCE PO BOX 2978 RALEIGH NC 276022978 560370850 501(C)(6) 25000 GENERAL SUPPORT HEALING WITH CAARE INC 214 BROADWAY ST DURHAM NC 27701 561963988 501(C)(3) 10000 GENERAL SUPPORT HUMAN RIGHTS CAMPAIGN INC 1640 RHODE ISLAND AVE NW WASHINGTON DC 20036 521243457 501(C)(4) 12000 GENERAL SUPPORT INTERACT 1012 OBERLINE RD SUITE 100 RALEIGH NC 27605 581320613 501(C)(3) 15000 GENERAL SUPPORT JOHN AVERY BOYS AND GIRLS CLUB PO BOX 446 DURHAM NC 27702 566001906 501(C)(3) 11000 GENERAL SUPPORT LGBT CENTER OF RALEIGH INC 411 HILLSBOROUGH ST RALEIGH NC 276031727 262998186 501(C)(3) 10000 GENERAL SUPPORT NORTH CAROLINA INSTITUTE OF MEDICINE 630 DAVIS DR STE 100 MORRISVILLE NC 27560 561506066 NC GOVERNMENT 6000 GENERAL SUPPORT NORTH CAROLINA PHYSICIANS HEALTH PROGRAM 220 HORIZON DRIVE 201 RALEIGH NC 27615 561846599 501(C)(3) 36000 GENERAL SUPPORT RALEIGH SCHOOL OF NURSE ANESTHESIA 3900 BARRETT DR SUITE 200 RALEIGH NC 27609 561684241 501(C)(3) 17731 GENERAL SUPPORT RESEARCH AMERICA PO BOX 222451 CHINTILLY VA 201532451 521609875 501(C)(3) 20000 GENERAL SUPPORT RONALD MCDONALD HOUSE 506 ALEXANDER AVENUE DURHAM NC 27705 561220376 501(C)(3) 1200000 GENERAL SUPPORT SAMARITAN HEALTH CENTER 507 E KNOX ST DURHAM NC 27701 263770762 501(C)(3) 20000 GENERAL SUPPORT SENIOR PHARMASSIST INC 406 RIGSBEE AVE STE 201 DURHAM NC 277012186 562084639 501(C)(3) 15000 GENERAL SUPPORT TRIANGLE UNITED WAY INC 2400 PERIMETER PARK DRIVE STE 150 MORRISVILLE NC 27560 561949103 501(C)(3) 5788 GENERAL SUPPORT WAKE TECHNICAL COMMUNITY COLLEGE 9101 FAYETTEVILLE ROAD RALEIGH NC 276035696 237017752 501(C)(3) 10000 GENERAL SUPPORT DUKE UNIVERSITY 324 BLACKWELL ST STE 850 DURHAM NC 27701 560532129 501(C)(3) 0 34665 FMV DONATION OF MEDICAL EQUIPMENT GENERAL SUPPORT 26 3 ANDES SCHOLARSHIP 1 1000 FINANCIAL ASSISTANCE 39 45111 JUDY WAGONER SCHOLARSHIP 2 500 KINGS DAUGHTERS SCHOLARSHIP FALL 2011 1 500 MARTHA WHITWORTH LASATER AWARD 2 2000 MEGAN WALKER SCHOLARSHIP 2 1000 MELANIE TAYLOR SCHOLARSHIP 4 3500 NANCY WALTERS SCHOLARSHIP 2 1000 NAP PRIZE 2 150 RUBY BAILEY PIERCE SCHOLARSHIP 2 500 SGA AWARD 4 600 SHELTERING HOME CIRCLE OF THE KINGS DAUGHTERS AWARD 1 2500 SCHEDULE I, PART I, LINE 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS DUKE UNIVERSITY HEALTH SYSTEM, INC. PROVIDES GENERAL SUPPORT TO LOCAL ORGANIZATIONS BASED ON OUR AWARENESS OF THEIR ACTIVITIES WITHIN THE LOCAL COMMUNITY. DUHS, INC. ALSO MAINTAINS A CHARITABLE GRANTS COMMITTEE THAT REVIEWS COMMUNITY REQUESTS FOR PHILANTHROPIC ASSISTANCE THAT PROMOTE HEALTH AND WELLNESS. X X X X X 0 1 0 0 0 0 0 1 0 NANCY C ANDREWS MD 0 469490 0 211951 0 61716 0 29975 0 17967 0 791099 0 0 RICHARD H BRODHEAD 0 765292 0 0 0 220471 0 129975 0 64289 0 1180027 0 100000 VICTOR J DZAU MD 0 1035303 0 1013580 0 11716 0 697579 0 17515 0 2775693 0 0 DANNY O JACOBS MD 0 269944 0 55867 0 0 0 29975 0 20123 0 375909 0 0 CARL E RAVIN MD 0 250407 0 0 0 0 0 29975 0 10673 0 291055 0 0 MONTE D BROWN MD 310307 0 208147 0 16500 0 29975 0 22310 0 587239 0 0 0 WILLIAM J FULKERSON MD 712490 0 442468 0 16500 0 29975 0 6076 0 1207509 0 0 0 KENNETH C MORRIS 649680 0 375176 0 28716 0 29975 0 8849 0 1092396 0 0 0 MARY ANN FUCHS 276714 0 68064 0 10224 0 29975 0 5422 0 390399 0 0 0 ARTHUR L GLASGOW 306014 0 222136 0 3500 0 29975 0 9986 0 571611 0 0 0 KEVIN W SOWERS 427603 0 196614 0 16500 0 29975 0 7295 0 677987 0 0 0 DOUGLAS B VINSEL 353714 0 178696 0 16500 0 29975 0 17661 0 596546 0 0 0 KERRY R WATSON 327239 0 156370 0 24833 0 29975 0 59424 0 597841 0 0 0 MARC CALABRESE 339119 0 54795 0 1200 0 29975 0 19038 0 444127 0 0 0 JOHN M KELSCH 317343 0 39867 0 16500 0 29975 0 15048 0 418733 0 0 0 MOLLY K ONEILL 340079 0 234990 0 16500 0 29975 0 10332 0 631876 0 0 0 THOMAS A OWENS 323943 0 65267 0 0 0 29975 0 13719 0 432904 0 0 0 JOSEPH G TAYLOR 263558 0 173465 0 16500 0 29975 0 19312 0 502810 0 0 0 MARK D GUSTAFSON 0 266898 0 0 0 9000 0 29975 0 15420 0 321293 0 0 PAUL R NEWMAN 0 216005 0 29800 0 0 0 29975 0 37622 0 313402 0 0 SUPPLEMENTAL INFORMATION PART III SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, LINE 4B VICTOR J. DZAU MD PARTICIPATES IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER HE DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD. NON-FIXED PAYMENTS SCHEDULE J, PART I, LINE 7 DUHS MAINTAINS AN EXECUTIVE INCENTIVE COMPENSATION PLAN. PAYMENTS UNDER THE PLAN ARE BASED ON PRE-ESTABLISHED PERFORMANCE METRICS AND A FIXED CALCULATION METHODOLOGY APPROVED BY THE DUHS COMPENSATION COMMITTEE WITH ASSISTANCE AND INPUT FROM AN EXECUTIVE COMPENSATION CONSULTING FIRM ASSURING COMPARABILITY WITH SIMILAR SYSTEMS. THE PLAN ALLOWS FOR A MODIFICATION TO AN INDIVIDUAL'S INCENTIVE PAYMENT BASED ON LEADERSHIP COMPETENCIES AND OTHER FACTORS WITH PAYOUTS (AND MODIFICATIONS, IF ANY) APPROVED BY THE DUHS COMPENSATION COMMITTEE. NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2012-03-22 322140000 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2012-05-30 214598930 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2011-10-06 145715000 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 65821DDB4 2009-11-10 178598850 SEE PART VI 0 0 0 214760000 322140000 322140000 1 0 1 1 214760000 214760000 1 0 1 1 5200000 145715000 145715000 2009 1 0 1 1 179713706 15924326 2472104 161317276 2012 0 0 1 1 0 0 0 0 1 0 0 0 0 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 1 0 0 0 1 0 1 0 0 0 1 0 1 0 0 0 1 0 0 0 0 0 0 X SCHEDULE K, PART I, COLUMN F PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): THE PURPOSE OF THE BONDS ISSUED 03/22/2012 WAS TO REFUND THE 2005ABC BONDS ISSUED ON 08/21/2009, WHICH REFUNDED THE ORIGINAL 2005ABC BONDS ISSUED ON 5/19/2005. THE PURPOSE OF THE BONDS ISSUED 05/19/2005 WAS TO PARTIALLY REFUND THE 1996C BONDS ISSUED ON 10/24/1996, 1998A BONDS ISSUED ON 08/27/1998, AND THE 1998B BONDS ISSUED ON 10/13/1998. BOND ISSUE (B): THE PURPOSE OF THE BONDS ISSUED 05/30/2012 WAS TO PARTIALLY REFUND THE 2005ABC BONDS ISSUED ON 03/22/12, WHICH REFUNDED THE 2005ABC BONDS ISSUED ON 08/21/2009, WHICH REFUNDED THE ORIGINAL 2005ABC BONDS ISSUED ON 5/19/2005. THE PURPOSE OF THE BONDS ISSUED 05/19/2005 WAS TO PARTIALLY REFUND THE 1996C BONDS ISSUED ON 10/24/1996, 1998A BONDS ISSUED ON 08/27/1998,AND THE 1998B BONDS ISSUED ON 10/13/1998. BOND ISSUE (C): THE PURPOSE OF THE BONDS ISSUED 10/06/2011 WAS TO REFUND THE ORIGINAL 2006ABC BONDS ISSUED ON 11/15/2006 FOR HOSPITAL IMPROVEMENTS FINANCED OR REFINANCED INCLUDING: ROUTINE INFRASTRUCTURE, RENOVATION AND IMPROVEMENT PROJECTS AT DUKE UNIVERSITY HOSPITAL AND DUKE RALEIGH HOSPITAL, IMPROVEMENTS TO INFORMATION SYSTEMS, RENOVATION AND EXPANSION OF EMERGENCY DEPARTMENT AT DUKE UNIVERSITY HOSPITAL, HELIPORT AND NEW ROOF IMPROVEMENTS AT DUKE UNIVERSITY HOSPITAL, AND PHASES 1 AND 2 OF AN OPERATING ROOM SUITE RENOVATION AND EXPANSION AT DUKE UNIVERSITY HOSPITAL. BOND ISSUE (D): HOSPITAL IMPROVEMENTS FINANCED INCLUDE: THE AMBULATORY CANCER CENTER AT DUKE UNIVERSITY HOSPITAL AND OTHER RENOVATION AND IMPROVEMENT PROJECTS AT DUKE UNIVERSITY HOSPITAL AND DUKE RALEIGH HOSPITAL. BOND ISSUE (A-2): HOSPITAL IMPROVEMENTS INCLUDE THE DUKE MEDICINE PAVILION AT DUKE UNIVERSITY HOSPITAL. BOND ISSUE (B-2): HOSPITAL IMPROVEMENTS INCLUDE THE DUKE MEDICINE PAVILION AND THE DUKE NORTH CONCOURSE AT DUKE UNIVERSITY HOSPITAL . BOND ISSUE (C-2): DRAW DOWN FINANCING LEASE PROGRAM WITH CITIMORTGAGE, INC. IN THE MAXIMUM PRINCIPAL AMOUNT OF $40,000,000 TO REFUND TWO LEASES UNDER A PRIOR PROGRAM ISSUED 07/09/2003 AND TO FINANCE MEDICAL, COMPUTER, OFFICE, AND CAPITAL EQUIPMENT. BOND ISSUE (D-2): DRAW-DOWN FINANCING LEASE PROGRAM WITH BANC OF AMERICA PUBLIC CAPITAL CORP. IN THE MAXIMUM PRINCIPAL AMOUNT OF $40,000,000 TO FINANCE MEDICAL, COMPUTER, OFFICE, AND CAPITAL EQUIPMENT. BOND ISSUE (A-3): DRAW-DOWN FINANCING LEASE PROGRAM WITH BANC OF AMERICA PUBLIC CAPITAL CORP. IN THE MAXIMUM PRINCIPAL AMOUNT OF $40,000,000 TO FINANCE MEDICAL, COMPUTER, OFFICE, AND CAPITAL EQUIPMENT. SCHEDULE K, PART II, LINE 3 NOTE FOR BOND ISSUE (B): PROCEEDS INCLUDE ISSUE PRICE PLUS ORIGINAL ISSUE DISCOUNT / UPFRONT FEE PAID DIRECTLY BY DUHS TO THE BANK UPON ISSUANCE NOTE FOR BOND ISSUES (D), (A-2), AND (B-2): PROCEEDS INCLUDE INVESTMENT EARNINGS. NOTE FOR BOND ISSUES (C-2), (D-2), AND (A-3): PROCEEDS REFLECT ACTUAL PRINCIPAL DRAWN DOWN UNDER DRAW DOWN FINANCING LEASE PROGRAM. SCHEDULE K, PART II, LINES 3 AND 10 NOTE FOR BOND ISSUE (C-2): PURSUANT TO TREASURY REGULATION 1.141-12 (E), DISPOSITION PROCEEDS OF $5,000,000, PLUS THE INVESTMENT PROCEEDS THEREOF, HAVE BEEN EXPENDED ON ADDITIONAL CAPITAL EXPENDITURES AS A REMEDIAL ACTION FOR THE SALE OF CERTAIN BOND-FINANCED ASSETS. SCHEDULE K, PART II, LINE 11 NOTE FOR BOND ISSUES (A), (B), (C), AND (C-2): THESE PROCEEDS WERE DISBURSED OR DEEMED DISBURSED UPON ISSUANCE TO CURRENTLY REFUND THE PRIOR BONDS. SCHEDULE K, PART IV, QUESTION 6 NOTE FOR BOND ISSUES (C-2), (D-2), AND (A-3): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 65821DDX6 2010-04-28 120836075 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 65821DLJ8 2012-06-28 326853753 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2005-11-01 40000000 SEE PART VI 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2008-12-04 40000000 SEE PART VI 0 0 0 121162021 1460854 119701167 0 0 1 1 326855036 2840876 110366615 213647545 0 0 0 1 26439498 26439498 6527347 2008 1 0 1 1 16484844 16484844 2011 0 0 1 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 NORTH CAROLINA MEDICAL CARE COMMISSION 521309402 2012-03-06 40000000 SEE PART VI 0 0 0 3413635 3413635 0 0 0 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 MEDTRONIC BOARD MEMBER IS DIRECTOR 26777547 PAYMENT FOR GOODS AND SERVICES 0 PRIVATE DIAGNOSTIC CLINIC BOARD MEMBERS ARE DIRECTOR AND FORMER KEY EMPLOYEE 105620512 PAYMENT FOR GOODS AND SERVICES 0 CBC NEW MEDIA GROUP LLC CEO IS DIRECTOR 143000 PAYMENT FOR GOODS AND SERVICES 0 THE DURHAM BULLS BASEBALL CLUB INC CEO IS DIRECTOR 47845 PAYMENT FOR GOODS AND SERVICES 0 GENESE NEWMAN FAMILY MEMBER OF FORMER OFFICER 105815 SALARY PAID/CONTRIBUTION TO 403(B) PLAN 0 TAMELA VINSEL FAMILY MEMBER OF KEY EMPLOYEE 28740 SALARY PAID 0 JACQUELINE DZAU FAMILY MEMBER OF DIRECTOR/OFFICER 51636 SALARY PAID 0 X 25 7998 VARIOUS X 3387 VARIOUS X 12 120226 MARKET QUOTE X 50 5664 VARIOUS X 20 135 VARIOUS X EVENT TICKETS 23 2588 VARIOUS X GIFT CARDS 90 10272 VARIOUS X JEWELRY 25 12491 VARIOUS X MISCELLANEOUS 175 39661 VARIOUS 1 0 1 1 THIRD PARTY USE: PART I, LINE 32B: DUKE UNIVERSITY HEALTH SYSTEM, INC. USES INVESTMENT BROKERS TO SELL INVESTMENTS. DUKE UNIVERSITY HEALTH SYSTEM, INC. MAY OCCASIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. ORGANIZATION MISSION STATEMENT FORM 990, PART I, LINE 1 DUHS IS COMMITTED TO EXCELLENCE, INNOVATION AND LEADERSHIP IN PROVIDING THE HEALTH CARE NEEDS OF THE PEOPLE WE SERVE, IMPROVING COMMUNITY HEALTH, AND FOSTERING THE VERY BEST MEDICAL EDUCATION. STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS FORM 990, PART III, LINE 4A HISTORY AND ORGANIZATION IN 1925, JAMES B. DUKE WILLED $4 MILLION TO ESTABLISH DUKE HOSPITAL AND ITS MEDICAL SCHOOL TO IMPROVE HEALTH CARE IN THE CAROLINAS, THEN A POOR REGION LACKING HOSPITALS AND HEALTH CARE PROVIDERS. DUKE UNIVERSITY HOSPITAL HAS GROWN TO BE RECOGNIZED AS ONE OF THE WORLD'S GREAT HEALTH CARE PROVIDERS. IN 1998 AND CONCURRENT WITH ACQUIRING CONTROL OF TWO LOCAL COMMUNITY HOSPITALS, THE DUKE UNIVERSITY BOARD OF TRUSTEES ESTABLISHED DUKE UNIVERSITY HOSPITAL AS THE FLAGSHIP OF THE NEWLY INCORPORATED DUKE UNIVERSITY HEALTH SYSTEM, INC. (DUHS) TO MANAGE A WIDE RANGE OF HEALTH CARE PROGRAMS AT THE SAME HIGH LEVEL OF QUALITY THAT HAS TRADITIONALLY MADE DUKE UNIVERSITY HOSPITAL A WORLD LEADER. THIS NETWORK OF REGIONAL HEALTH CARE ORGANIZATIONS IS DEDICATED TO EMPLOYING DUKE'S STRENGTHS IN PATIENT CARE, EDUCATION, AND RESEARCH TO ENHANCE AND IMPROVE HEALTH CARE THROUGHOUT NORTH CAROLINA AND SOUTHERN VIRGINIA. THE DUHS MISSION IS CLINICAL CARE AND IS ENHANCED BY THE RESEARCH AND EDUCATION MISSIONS OF DUKE UNIVERSITY (THE DUKE UNIVERSITY SCHOOL OF MEDICINE AND SCHOOL OF NURSING). TOGETHER THEY SERVE THE COMMUNITY AS DUKE MEDICINE. MANY PROGRAM SERVICE ACCOMPLISHMENTS ARE INCLUDED IN SCHEDULE H TO THIS FORM INCLUDING THE FINANCIAL COMMITMENT MADE TO THE COMMUNITY BY DUHS IN TERMS OF CHARITY CARE AND OTHER DIRECT AND MEASURABLE INVESTMENTS. BELOW ARE EXCERPTS FROM THE ANNUAL DUHS REPORT ON COMMUNITY BENEFIT. THE COST OF THESE ACTIVITIES CAN BE DIFFICULT TO MEASURE. SOMETIMES THEY INCLUDE THE PARTICIPATION OF DUKE UNIVERSITY SO REFERENCES TO "DUKE" ARE MEANT TO INCLUDE DUHS AND DUKE UNIVERSITY IN THEIR RESPECTIVE MISSION CAPACITIES. COMMUNITY HEALTH DUKE UNIVERSITY HEALTH SYSTEM REMAINS FIRMLY COMMITTED TO WORKING COLLABORATIVELY WITH ITS COMMUNITY PARTNERS TO IDENTIFY, UNDERSTAND AND ADDRESS THE HEALTH CARE NEEDS OF THE COMMUNITIES IT SERVES. FOR YEARS THROUGH ITS TWO HOSPITALS IN DURHAM AND ONE IN RALEIGH, DUKE HAS WORKED WITH THE HEALTH DEPARTMENTS IN DURHAM AND WAKE COUNTIES, COMMUNITY MEMBERS, AND NUMEROUS COMMUNITY PARTNER ORGANIZATIONS TO CONDUCT REGULAR COMMUNITY HEALTH NEEDS ASSESSMENTS. NEW FEDERAL REQUIREMENTS EFFECTIVE IN THE 2013 FISCAL YEAR FORMALIZE THE ASSESSMENT, REPORTING AND IMPLEMENTATION PLANNING PROCESS. LINKS TO THE DURHAM AND WAKE COUNTY COMMUNITY HEALTH ASSESSMENTS AND TO EACH HOSPITAL'S REPORT WILL BE POSTED TO WWW.DUKEMEDICINE.ORG. $11.28 MILLION COMMUNITY GROUPS OVER MANY YEARS, DUKE HAS DEVELOPED PRODUCTIVE PARTNERSHIPS WITH COMMUNITY ORGANIZATIONS WORKING TOWARD THE COMMON GOAL OF ELIMINATING HEALTH DISPARITIES AND IMPROVING RESIDENTS' ACCESS TO HIGH QUALITY MEDICAL CARE. IN THE 2012 FISCAL YEAR, DUKE PROVIDED A TOTAL OF $11.28 MILLION IN CASH AND IN-KIND SUPPORT FOR COMMUNITY GROUPS, INCLUDING $6.89 MILLION FOR LINCOLN COMMUNITY HEALTH CENTER IN DURHAM AND ITS SATELLITE COMMUNITY CLINICS, WHICH SERVE AN OVERWHELMINGLY POOR AND UNINSURED POPULATION; MORE THAN $2.22 MILLION FOR DURHAM COUNTY'S EMERGENCY MEDICAL SERVICES OPERATION; AND NEARLY $2.22 MILLION IN CASH CONTRIBUTIONS TO OTHER ORGANIZATIONS. $55.8 MILLION HEALTH PROFESSIONS EDUCATION DUKE'S HEALTH PROFESSIONS EDUCATION PROGRAMS ARE RECOGNIZED AMONG THE BEST, MOST INNOVATIVE IN THE UNITED STATES. DUKE REQUIRES THAT ITS HEALTH PROFESSIONS STUDENTS PARTICIPATE IN ROTATIONS IN COMMUNITY CLINICS, SCHOOL WELLNESS CENTERS AND IN-HOME CARE PROGRAMS FOR ELDERLY OR HOME-BOUND PEOPLE. IN ADDITION TO THE VALUABLE EXPERIENCE HEALTH PROFESSIONS STUDENTS GAIN IN ITS THREE HOSPITALS, THIS COMMUNITY OUTREACH PREPARES DOCTORS, NURSES, ADVANCED PRACTICE PROVIDERS, PHYSICAL THERAPISTS, AND OTHER HEALTH PROFESSIONALS TO WORK AND LEAD IN AN INCREASINGLY COMMUNITY-FOCUSED HEALTH CARE DELIVERY SYSTEM. IN THE 2012 FISCAL YEAR, DUKE INVESTED $55.8 MILLION IN ITS HEALTH PROFESSIONS EDUCATION PROGRAMS. CHARITY CARE AND OTHER UNREIMBURSED EXPENSES PROVIDING QUALITY CARE REGARDLESS OF A PATIENT'S ABILITY TO PAY DUKE'S COMMITMENT IS TO PROVIDE HIGH QUALITY, EFFECTIVE CARE WITH A CONSISTENTLY HIGH LEVEL OF DIGNITY, RESPECT AND SKILL TO EACH OF OUR PATIENTS, REGARDLESS OF THEIR ABILITY TO PAY. IN THE FISCAL YEAR THAT ENDED JUNE 30, 2012, DUKE PROVIDED CHARITY CARE AT COST OF $69 MILLION. OF THIS AMOUNT, DUKE PROVIDED CHARITY CARE OF $65 MILLION TO 168,158 PATIENTS FROM 96 NORTH CAROLINA COUNTIES. ALL PATIENTS WHO DO NOT HAVE INSURANCE, OR WHO BECAUSE OF FINANCIAL HARDSHIP CANNOT PAY FOR THE URGENT OR EMERGENT MEDICAL CARE THEY RECEIVE, ARE ELIGIBLE UNDER DUKE POLICIES TO RECEIVE CARE AT A DISCOUNT OR WITHOUT CHARGE. IN ADDITION TO PROVIDING PRIMARY CARE AT NO CHARGE, DUKE PHYSICIANS DONATE SPECIALTY CARE SERVICES TO ELIGIBLE UNINSURED PATIENTS THROUGH A PROGRAM CALLED PROJECT ACCESS. NEARLY 12 PERCENT OF ALL DISCHARGED ADULT PATIENTS, 6 PERCENT OF HOSPITAL OUTPATIENT SURGERY AND CLINIC VISITS, AND NEARLY 71 PERCENT OF ALL VISITS TO DUKE EMERGENCY DEPARTMENT RECEIVED SOME LEVEL OF CHARITY CARE. DUKE WORKS WITH PATIENTS BY INFORMING THEM ABOUT AND HELPING THEM ACCESS THE FINANCIAL ASSISTANCE TO WHICH THEY ARE ENTITLED. AND WHEN GOVERNMENT PROGRAMS DO NOT COMPLETELY COVER THE COST OF THEIR CARE, DUKE MAKES UP SOME OR ALL OF THE DIFFERENCE. BY THE NUMBERS $69 MILLION - CHARITY CARE AT COST $34 MILLION - UNREIMBURSED MEDICAID COSTS COVERED BY DUKE $96 MILLION - UNREIMBURSED MEDICARE COSTS COVERED BY DUKE $25 MILLION - UNRECOVERABLE PATIENT DEBT CHARITY CARE NORTH CAROLINA (168,158 PATIENTS, $65 MILLION, INCLUSIVE OF DURHAM COUNTY AND WAKE COUNTY) DURHAM COUNTY (79,217 PATIENTS, $35 MILLION) WAKE COUNTY (50,770 PATIENTS, $14 MILLION) HIGHLIGHTS OF DUKE'S CHARITY CARE AND DISCOUNTED CARE POLICES * DUKE'S COMMITMENT IS TO CARE FOR ALL PATIENTS WITH A HIGH LEVEL OF DIGNITY, RESPECT, AND SKILL. * DUKE PROVIDES A DISCOUNT TO ALL PATIENTS OF LIMITED MEANS WHO DO NOT HAVE HEALTH INSURANCE FOR EVERY MEDICAL SERVICE EXCEPT COSMETIC PROCEDURES. * DUKE PROVIDES ASSISTANCE TO PATIENTS WHOSE MEDICAL HARDSHIP MAKES IT DIFFICULT FOR THEM TO PAY BASIC LIVING EXPENSES. * DUKE ASSISTS PATIENTS IN APPLYING FOR ANY ADDITIONAL FINANCIAL PROGRAMS FOR WHICH THEY MAY QUALIFY. * DUKE'S COMPLETE CHARITY CARE AND UNINSURED DISCOUNTED CARE POLICIES ARE AVAILABLE AT WWW.DUKEHEALTH.ORG DUKE UNIVERSITY HEALTH SYSTEM - AN OVERVIEW DUKE UNIVERSITY HEALTH SYSTEM IS A WORLD-CLASS PROVIDER OF HEALTH CARE SERVICES BASED IN DURHAM, N.C., THAT SERVICES MILLIONS OF PATIENTS AND THEIR FAMILIES EACH YEAR. AS AN INTEGRATED HEALTH CARE SYSTEM, DUKE OPERATES DUKE UNIVERSITY HOSPITAL, DURHAM REGIONAL HOSPITAL AND DUKE RALEIGH HOSPITAL, AS WELL AS AN EXTENSIVE NETWORK OF PRIMARY CARE CLINICS AND AMBULATORY CARE CENTERS, AND A STATEWIDE HOMECARE AND HOSPICE SERVICE. ADULT INPATIENT DISCHARGES, FISCAL YEAR ENDED JUNE 30, 2012 DUKE UNIVERSITY HEALTH SYSTEM PROVIDED CARE FOR 60,758 ADULT INPATIENT DISCHARGES IN 2012, MORE THAN 90 PERCENT INVOLVING NORTH CAROLINA RESIDENTS. TOP 3 NORTH CAROLINA COUNTIES BY VOLUME WERE: * DURHAM (19,647) * WAKE (10,023) * ORANGE (2,577) OUTPATIENT VISITS, FISCAL YEAR ENDED JUNE 30, 2012 DUKE UNIVERSITY HEALTH SYSTEM PROVIDED CARE DURING 2,016,470 OUTPATIENT VISITS IN 2012; AND NEARLY 91 PERCENT WERE FROM NORTH CAROLINA RESIDENTS. TOP 3 NORTH CAROLINA COUNTIES BY VOLUME WERE: * DURHAM (724,194) * WAKE (426,118) * ORANGE (124,511) DUKE-TRAINED HEALTH CARE PROFESSIONALS IN NORTH CAROLINA NEARLY 6,000 DUKE-TRAINED HEALTH CARE PROFESSIONALS LIVE IN NORTH CAROLINA. PHYSICIANS: 2,880 NURSES: 2,106 PHYSICIAN ASSISTANTS: 601 PHYSICAL THERAPISTS: 234 PATHOLOGY ASSISTANTS: 28 TOTAL: 5,849 EXPLANATION FOR NOT FILING FORM 990-T FORM 990, PART V, LINE 3B THE ORGANIZATION DID NOT HAVE ANY UNRELATED BUSINESS GROSS INCOME DURING THE FISCAL YEAR ENDED JUNE 30, 2012. AS A RESULT, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDED JUNE 30, 2012. FORM 990, PART VI, SECTION A, LINE 2 DIRECTORS JACK O. BOVENDER, JR., RICHARD H. BRODHEAD, FRANK E. EMORY, JR., SUSAN STALNECKER, THOMAS M. GORRIE, AND G. RICHARD WAGONER ARE TRUSTEES OF DUKE UNIVERSITY. PRESIDENT/CEO VICTOR J. DZAU, MD IS AN OFFICER OF DUKE UNIVERSITY. THE FOLLOWING INDIVIDUALS ARE EMPLOYEES OF DUKE UNIVERSITY: NANCY A. ANDREWS MD, DANNY O. JACOBS MD, THEODORE N. PAPPAS, MD, AND CARL E. RAVIN MD. DIRECTOR AND PRESIDENT/CEO VICTOR J. DZAU MD, DIRECTOR CARL E. RAVIN, MD, AND OFFICERS WILLIAM J. FULKERSON, JR. MD AND KENNETH C. MORRIS ARE DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. DIRECTOR AND PRESIDENT/CEO VICTOR J. DZAU MD, DIRECTORS DANNY O. JACOBS MD, CARL E. RAVIN MD, AND OFFICER WILLIAM J. FULKERSON MD ARE BOARD MEMBERS OF PRIVATE DIAGNOSTIC CLINIC, PLLC. AND THEODORE N. PAPPAS, MD IS ASSISTANT MEDICAL DIRECTOR FOR PRIVATE DIAGNOSTIC CLINIC, PLLC. DIRECTOR AND PRESIDENT/CEO VICTOR J. DZAU MD AND OFFICER KENNETH C. MORRIS ARE DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. OFFICERS WILLIAM J. FULKERSON MD AND KENNETH C. MORRIS ARE BOTH DIRECTORS AND OFFICERS OF HEALTH SYSTEM MEDICAL STRATEGIES, INC. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS OF THE BOARD OF DIRECTORS OF DUHS, OTHER THAN THE EX OFFICIO MEMBERS, WILL BE NOMINATED BY THE BOARD OF DIRECTORS OF DUHS, AND WILL BE APPOINTED BY THE BOARD OF TRUSTEES OF DUKE UNIVERSITY. MEMBERS OF THE BOARD OF DIRECTORS OF DUHS WILL BE SUBJECT TO REMOVAL AT THE DISCRETION OF THE BOARD OF TRUSTEES OF DUKE UNIVERSITY IN ACCORDANCE WITH THE BYLAWS OF DUHS. FORM 990, PART VI, SECTION A, LINE 7B THE DUHS BYLAWS PROVIDE THAT DUHS MUST OBTAIN DUKE UNIVERSITY BOARD OF TRUSTEES APPROVAL FOR CERTAIN SIGNIFICANT TRANSACTIONS REGARDING DEBT ISSUANCES, CAPITAL ACQUISITIONS AND TANGIBLE PERSONAL AND REAL PROPERTY SALES. FORM 990, PART VI, SECTION B, LINE 11 AFTER STAFF PREPARATION AND MANAGEMENT REVIEW, THE DUHS FORM 990 IS PRESENTED TO THE DUHS COMPLIANCE/AUDIT COMMITTEE OF THE BOARD OF DIRECTORS FOR REVIEW AND DISCUSSION. BOARD LEVEL COMMENT AND DISCUSSION ARE INCORPORATED INTO THE FORM AS APPROPRIATE PRIOR TO FILING. A FINAL VERSION OF THE FORM IS POSTED TO THE BOARD OF DIRECTORS COMMUNICATION PORTAL ON THE INTERNET FOR FURTHER REVIEW AND COMMENT BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C DUKE UNIVERSITY HEALTH SYSTEM MONITORS AND ENFORCES COMPLIANCE RELATED TO CONFLICT OF INTEREST VIA AN ANNUAL CONFLICT OF INTEREST QUESTIONNAIRE, RELYING ON SELF DISCLOSURE OF ALL THOSE SUBJECT TO THE COI POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE DUHS COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUHS BOARD OF DIRECTORS, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. THE DUHS COMPENSATION COMMITTEE REVIEWS AND RECOMMENDS TO THE DUKE UNIVERSITY COMPENSATION COMMITTEE THE COMPENSATION FOR THE PRESIDENT AND CEO OF DUHS WHO IS ALSO AN OFFICER OF DUKE UNIVERSITY. DUHS HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUHS COMPENSATION COMMITTEE IN ITS MISSION. THE DUHS COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER HEALTH CARE SYSTEMS OF SIMILAR SIZE AND COMPLEXITY AS DUHS. THE DUHS COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DUHS COMPENSATION COMMITTEE ALSO SETS THE METRICS AND APPROVES THE PAYOUTS FOR THE DUHS INCENTIVE COMPENSATION PLANS FOR THESE INDIVIDUALS. THE DELIBERATIONS AND CONCLUSIONS OF THE DUHS COMPENSATION COMMITTEE ARE KEPT BY A RECORDING SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETINGS. FORM 990, PART VI, SECTION C, LINE 19 FORM 990, PART VI, SECTION C, LINE 19: DUKE UNIVERSITY HEALTH SYSTEM'S GOVERNING DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY HEALTH SYSTEM MAKES ITS CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FINANCIAL STATEMENTS ARE ALSO AVAILABLE TO THE PUBLIC ON THE ELECTRONIC MUNICIPAL MARKET ACCESS WEBSITE. NAVIGATE TO HTTP://EMMA.MSRB.ORG AND ENTER "DUKE UNIVERSITY HEALTH SYSTEM" IN THE MUNI SEARCH BOX. ESTIMATED AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS FORM 990, PART VII, SECTION A, COLUMN B THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY: JACK O. BOVENDER, JR., FRANK E. EMORY, JR., SUSAN M. STALNECKER, AND G. RICHARD WAGONER, JR. THOMAS M. GORRIE DEVOTED AN AVERAGE OF 2 HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY. VICTOR J. DZAU, MD, DANNY O. JACOBS, MD, THEODORE N. PAPPAS, MD, AND PAUL R. NEWMAN DEVOTED AN AVERAGE OF 40 HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY. RICHARD H. BRODHEAD DEVOTED AN AVERAGE OF 50 HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY. MARK D. GUSTAFSON DEVOTED AN AVERAGE OF 55 HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY. NANCY C. ANDREWS, MD AND CARL E. RAVIN, MD DEVOTED AN AVERAGE OF 60 HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY. KENNETH C. MORRIS, WILLIAM J. FULKERSON, MD, AND PAUL R. NEWMAN DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, HEALTH SYSTEM MEDICAL STRATEGIES, INC. VICTOR J. DZAU, MD AND KENNETH C. MORRIS DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICAL STRATEGIES, INC. THE FOLLOWING INDIVIDUALS DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM CASUALTY COMPANY, LTD: VICTOR J. DZAU, MD, CARL E. RAVIN, MD, WILLIAM J. FULKERSON JR., MD, KENNETH C. MORRIS, AND PAUL R. NEWMAN. NANCY C. ANDREWS, MD AND VICTOR J. DZAU, MD DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION. VICTOR J. DZAU, MD, THOMAS M. GORRIE, AND KENNETH C. MORRIS DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICINE GLOBAL SUPPORT CORPORATION. WILLIAM J. FULKERSON, MD, KENNETH C. MORRIS, AND THOMAS A. OWENS DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY AFFILIATED PHYSICIANS, INC. KENNETH C. MORRIS AND KERRY R. WATSON DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, ASSOCIATED HEALTH SERVICES, INC. RICHARD H. BRODHEAD AND G. RICHARD WAGONER, JR. DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, DUMAC, INC. VICTOR J. DZAU, MD DEVOTED AN AVERAGE OF 1 HOUR PER WEEK TO RELATED ORGANIZATION, INTERNATIONAL PARTNERSHIP FOR INNOVATIVE HEALTHCARE DELIVERY, INC. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -20,608,675. NONPERIODIC CHANGES IN DEFINED BENEFIT PLANS: -212,373,811. NET TRANSFERS TO PARENT & AFFILIATES: -48,231,281. NET TRANSFERS TO PARENT & AFFILIATES OF PROPERTY & EQUIPMENT: -4,145,777. CUMULATIVE EFFECT OF CHANGE IN ACCOUNTING PRINCIPLE: -1,207,782. CHANGE IN MARKET VALUE OF DERIVATIVES: -56,328,256. INTEREST EARNED ON BOND PROCEEDS - CAPITALIZED FOR BOOK PURPOSES: -775,200. INCOME NOT REPORTED ON BOOKS, BUT INCLUDED FOR 990 REPORTING PURPOSES: DEEMED DIVIDEND: -12,642,049. TOTAL TO FORM 990, PART XI, LINE 5: -356,312,831. DUKE PRMO LLC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 562070036 MEDICAL BILLING NC 123449070 20129706 DUKE UNIVERSITY HEALTH SYSTEM INC AMER ASSOC FOR GIFTED CHILDREN - 56-1686219 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 ASSOCIATED HEALTH SVCS INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561845329 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DU SPECIAL VENTURES FUND INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 561465177 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE ALUMNI ASSOCIATION INC 614 CHAPEL DRIVE DURHAM NC 27708 561594088 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE CORPORATE EDUCATION 310 BLACKWELL ST DURHAM NC 27701 421672476 EDUCATION NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE GIFT PROPERTIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211078 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE GLOBAL INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 611588319 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE HOSPITAL AUXILIARY INC PO BOX 2895 DURHAM NC 27710 561825604 SUPPORT NC 501(C)(3) 11 TYPE III N/A 0 DUKE MANAGEMENT COMPANY 280 S MANGUM STREET STE 210 DURHAM NC 27701 561748858 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE MEDICINE GLOBAL SUPP CORP- 61-1593721 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE SCHOLARLY EXHIBITS INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561701245 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE UNIV AFFILIATED PHYSICIANS 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 561902501 HEALTHCARE NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 DUKE UNIV PHILANTHROPIES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 571211099 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE UNIV SCH OF MED RESEARCH FDN 56-2247203 324 BLACKWELL STREET STE 850 DURHAM NC 27701 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DUKE UNIVERSITY 324 BLACKWELL STREET STE 850 DURHAM NC 27701 560532129 EDUCATION NC 501(C)(3) LINE 2 N/A 0 DUMAC INC 280 S MANGUM STREET STE 210 DURHAM NC 27701 900754895 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DURHAM ASSET MGMT COMPANY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561757238 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 DURHAM REALTY INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917936 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 GOTHIC CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 561776668 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 GOTHIC HSP CORPORATION 280 S MANGUM STREET STE 210 DURHAM NC 27701 271325761 INVESTMENTS NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY HEALTH SYSTEM INC 1 HIGH POINT REALTY ASSOCIATES INC 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561917939 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 IPIHD INC 310 BLACKWELL ST DURHAM NC 27710 320358709 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 RUTH K BROAD BIOMED RES FDN 324 BLACKWELL STREET STE 850 DURHAM NC 27701 650045051 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 THE CTR FOR DOCUMENTARY STUDIES 1317 PETTIGREW STREET DURHAM NC 27705 561655039 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 THE FSB SUPPORT FUND 324 BLACKWELL STREET STE 850 DURHAM NC 27701 561849290 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 THE LORD FDN OF NORTH CAROLINA 305 TEER BLDG DURHAM NC 27708 561415423 SUPPORT NC 501(C)(3) 11 TYPE 1 DUKE UNIVERSITY 0 AVENUE BLUE TC FD 27-4011571 PARK AVENUE NEW YORK NY 10022 INVESTMENTS DE N/A N/A 0 0 BLACKWELL PTR LLC 20-8075455 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS GA N/A N/A 0 0 CANYON BLUE INV FD 27-0186996 AVE OF STARS LA CA 90067 INVESTMENTS DE N/A N/A 0 0 CD FUND LP - 27-0130641 MCKINNEY AVE DALLAS TX 75201 INVESTMENTS TX N/A N/A 0 0 DUMAC LLC - 65-1319939 280 S MANGUM STREET STE 210 DURHAM NC 27701 INVESTMENTS NC N/A N/A 0 0 GMO FORESTRY 6B LP 48-1294791 FRANKLIN STREET BOSTON MA 02110 INVESTMENTS DE N/A N/A 0 0 LIQUID REALTY PTR 05-0537755 LINDA MESA DANVILLE CA 94526 INVESTMENTS DE N/A N/A 0 0 LYRICAL BLUE RL PT 27-2994514 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 LYRICAL-BLUE RGNT 45-3626577 32 N DEAN ST ENGLEWOOD NJ 07631 INVESTMENTS DE N/A N/A 0 0 OCTAVIAN BLUE FD 27-2408711 5TH AVENUE NY NY 10151 INVESTMENTS DE N/A N/A 0 0 SBER LUCKY STRIKE 20-3891303 310 BLACKWELL ST DURHAM NC 27701 REAL ESTATE NC N/A N/A 0 0 TAIYO BLUE FUND LP 80-0613746 5300 CARILLON POINT KIRKLAND WA 98033 INVESTMENTS DE N/A N/A 0 0 COLCHESTER ALPHA FUND (BERMUDA) LTD 59-62 TOWNSEND ST 2 DUBLIN EI INVESTMENTS BD N/A C COLCHESTER BETA THREE FUND LTD CENTURY HOUSE 16 PAR-LA VILLE RD HAMILTON BD HM HX INVESTMENTS BD N/A C DUKE CE LS INC 310 BLACKWELL STREET DURHAM NC 27701 202004016 REAL ESTATE NC N/A C DUKE CORP EDU INDIA PRIVATE ACADEMIC BLOCK NEW CAMPUS VASTRAPUR AHMEDABAD IN 380015 421672476 CONSULTING IN N/A C DUKE CORPORATE EDUCATION LIM 165 FLEET STREET LONDON UK EC4A 2DY 421672476 EDUCATION CONSULTING UK N/A C DUKE CORPORATE EDUCATION RSA GROUND FLOOR TWICKEHNHAM BLDG BRYANSTON JOHANNESBURG SF 02021 421672476 CONSULTING SF N/A C DUKE GLOBAL CONSULTING (KUNSHAN) 1666 WEI CHEN NAN RD KUNSHAN PR KUNSHAN CH 215300 CONSULTING CH N/A C DUKE MEDICAL STRATEGIES INC 2200 WEST MAIN STREET STE 920 DURHAM NC 27705 561993799 HEALTHCARE NC N/A C DUKE MEDICINE ASIA PTE LTD 5 SHENTON WAY 07-00 UIC BLD SING SN 0688 MEDICAL RESEARCH SN N/A C DUKE UNIV QUADRANGLE FUND PO BOX 185 PITTSBURGH PA 152300185 566218971 INVESTMENTS PA N/A T DUKE UNIVERSITY TOWER FUND PO BOX 185 PITTSBURGH PA 152300185 566147362 INVESTMENTS PA N/A T DURHAM CASUALTY COMPANY LTD AON HOUSE 30 WOODBOURNE AVE PEMBROKE BD HM 08 980113277 INSURANCE BD DUHS INC C 19164938 160542221 1.00000 DUSVF EUROPEAN LP 7 CAVENDISH SQUARE LONDON UK W1G 0PE 980346042 INVESTMENTS UK N/A C GOTHIC INTERNATIONAL LTD 113 S CHURCH STREET QUEENSGATE HOU GRAND CAYMAN CJ KY1-1108 INVESTMENTS CJ N/A C HEALTH SYSTEM MEDICAL STRATEGIES INC 615 DOUGLAS STREET SUITE 700 DURHAM NC 27705 562222444 HEALTH CARE NC DUHS INC C 172945 1.00000 INDOCHINA LAND HOLDINGS 2 LP SCOTIA CENTRE 4TH FL PO BOX 2804 GRAND CAYMAN CJ INVESTMENTS CJ N/A C INDOCHINA LAND HOLDINGS III 11F CHINA HONG KONG TOWER 8 HENNE HONG KONG HK INVESTMENTS CJ N/A C JOHN & PATRICIA KOSKINEN CLUT PO BOX 185 PITTSBURGH PA 152300185 566532340 INVESTMENTS PA N/A T MARATHON BLUE CAYMAN FUND 89 NEXUS WAY PO BOX 31106 GRAND CAYMAN CJ KY1-1205 INVESTMENTS CJ N/A C GHI HOLDINGS MAURITIUS 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C GHI ERP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C GHI HSP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C GHI JBD LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C GHI LTP LTD 9TH FL ORANGE TOWER CYBERCITY EBENE MP INVESTMENTS MP N/A C 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 1 1 DUKE UNIVERSITY AFFILIATED PHYSICIANS INC Q 12464833 FMV ASSOCIATED HEALTH SERVICES INC R 3957378 FMV ASSOCIATED HEALTH SERVICES INC N 5099102 FMV DURHAM CASUALTY COMPANYINC Q 29745950 FMV GOTHIC HSP CORPORATION B 93397565 FMV GOTHIC HSP CORPORATION C 114890494 FMV DUKE UNIVERSITY AFFILIATED PHYSICIANS INC R 407616 FMV