2013-06-24T14:05:59-05:00 2012-09-30 131517563 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2011-10-01 362883000 AMERICAN LIVER FOUNDATION AMER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 DAVID TICKER 2126681000 2013-06-24 1 FREDERICK H ROTHMAN P01275277 2128674000 2011 2016-02-24 21:20:13Z DAVID TICKER 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 8807944 0 X WWW.LIVERFOUNDATION.ORG X 1976 IL TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 21 19 103 1003 0 0 8477266 7669940 0 0 163870 143493 -58390 -68289 8582746 7745144 956250 781250 0 0 4527871 4826852 41301 0 828083 2691322 2602538 8216744 8210640 366002 -465496 5096471 4355663 3717491 3465018 1378980 890645 X TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 0 0 2247311 781250 RESEARCH:ALF CONTINUES TO AWARD SCHOLARSHIPS AND GRANTS TO STIMULATE RESEARCH FOR THE CAUSE, TREATMENT, PREVENTION AND CURE OF LIVER DISEASE. IN 2012, THE AMERICAN LIVER FOUNDATION ANNOUNCED THE RECIPIENTS OF THE 2012 RESEARCH AWARDS PROGRAM. FIFTEEN SCIENTISTS REPRESENTING FIFTEEN MEDICAL AND RESEARCH INSTITUTIONS WERE AWARDED $1,250,000 TO SUPPORT THEIR RESEARCH IN THE AREAS OF HEPATITIS C, NON-ALCOHOLIC FATTY LIVER DISEASE, PRIMARY BILIARY CIRRHOSIS, LIVER REGENERATION, ALCOHOLIC LIVER DISEASE, AUTOIMMUNE HEPATITIS AND HEPATITIS A. 1802973 PATIENT SUPPORT:IN FY 2012, ALF REACHED 8,700 AT-RISK INDIVIDUALS THROUGH ITS VIRAL HEPATITIS TREATMENT CHOICES INITIATIVE. VHTCI PROGRAM PARTICIPANTS RELY ON THE PROGRAM TO OBTAIN COMPREHENSIVE AND ACCURATE INFORMATION ABOUT HEPATITIS C, ITS TREATMENT AND MANAGEMENT. 1009281 COMMUNITY SERVICE:ALF EDUCATED NEARLY 18,000 STUDENTS NATIONWIDE THROUGH ITS LOVE YOUR LIVER EDUCATION PROGRAM. ALF'S NEWEST NATIONAL EDUCATION PROGRAM, LIVER MATTERS, WAS DEVELOPED AND IMPLEMENTED AT THE END OF FY2012. THE LIVER MATTERS EDUCATION PROGRAM IS A COMPREHENSIVE EDUCATIONAL PROGRAM THAT OFFERS INFORMATION ON IDENTIFYING BASIC RISK FACTORS, ACTION STEPS AND OTHER KEY STRATEGIES ON MAXIMIZING LIVER HEALTH AND MOTIVATING OTHERS TO DO THE SAME. IT WAS PRODUCED BY THE AMERICAN LIVER FOUNDATION AS PART OF THE FOUNDATION'S CAMPAIGN TO INCREASE THE GENERAL PUBLIC'S AWARENESS OF LIVER HEALTH AND WELLNESS IN ORDER TO PREVENT THE RISE OF LIVER DISEASE.ADDITIONALLY, ALF PARTICIPATED IN LOCAL, STATE AND FEDERAL ADVOCACY EFFORTS TO INCREASE THE SUPPORT FOR POLICIES AND SERVICES THAT HELP TO IMPROVE THE LIVES OF PEOPLE AFFECTED BY LIVER DISEASE. 1740491 PUBLIC AND PATIENT EDUCATION:PUBLIC EDUCATION: IN FY12, ALF REACHED A TOTAL OF 31,290 PARTICIPANTS THROUGH PUBLIC EDUCATION AND SUPPORT SERVICES. ALF ALSO EXPANDED ITS INVENTORY OF HEALTH EDUCATION MATERIALS BY REVISING AND UPDATING THREE TOPICS RELATING TO HEPATITIS C AND HEPATIC ENCEPHALOPATHY. MATERIALS WERE TRANSLATED INTO FOUR ADDITIONAL LANGUAGES AND INCLUDE CHINESE, KOREAN, RUSSIAN AND VIETNAMESE. ALL MATERIALS ARE MADE AVAILABLE FOR DOWNLOAD ON THE ALF WEBSITE. 38,763 PATIENT EDUCATION MATERIALS HAVE BEEN DOWNLOADED IN FY2012.PROFESSIONAL EDUCATION: PROVIDING EDUCATION TO HEALTHCARE PROFESSIONALS CONCERNING CURRENT MEDICAL KNOWLEDGE AND PROCEDURES USED TO PREVENT, TREAT AND CURE LIVER DISEASE. 1740491 6800056 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 0 1 0 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 259 0 103 1 0 0 0 0 0 1 1 0 0 0 0 X 21 19 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WI WY X X DAVID TICKER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 NEWTON GUERIN 35.00 X X 186797 0 9114 DONNA CRYER JD 35.00 X X 0 0 0 THOMAS NEALON III 0.30 X X 0 0 0 DANIEL WEIL 0.30 X X 0 0 0 MIKE BRAUNSTEIN 0.30 X 0 0 0 RICHARD COLTON 0.30 X 0 0 0 LORRAINE CORTES-VASQUEZ 0.30 X 0 0 0 NICHOLAS DEROMA 0.30 X 0 0 0 ALLAN DOERR 0.30 X 0 0 0 FRANK DZVONIK 0.30 X 0 0 0 CARLO FRAPPOLLI 0.30 X 0 0 0 HILDA FUENTES 0.30 X 0 0 0 GEORGE JAMIESON 0.30 X 0 0 0 MICHAEL KERR 0.30 X 0 0 0 JOHN KONTOR MD 0.30 X 0 0 0 ROHIT LOOMBA MD MH SC 0.30 X 0 0 0 NANCY REAU MD 0.30 X 0 0 0 BRUCE SCHARSCHMIDT MD 0.30 X 0 0 0 RONALD SOKOL MD 0.30 X 0 0 0 SUSAN STONE 0.30 X 0 0 0 HILLEL TOBIAS MD PHD 0.30 X 0 0 0 ALLAN WOLKOFF MD 0.30 X 0 0 0 BECKY FRANK 35.00 X 153865 0 7520 DAVID TICKER 35.00 X 138283 0 13087 CYNTHIA GARDNER 35.00 X 141124 0 20380 DIANN RHODE 35.00 X 130683 0 9636 SAMANTHA MASTERSON 35.00 X 114000 0 431 864752 0 60168 6 0 1 0 0 33477 5107317 2529146 173 7669940 67225 67225 161411 85143 76268 76268 76268 909368 5107317 977657 -68289 -68289 7745144 0 0 75204 651250 651250 100000 100000 30000 30000 921791 762413 65447 93931 3343067 2777035 150582 415450 12311 10226 555 1530 273645 227312 12326 34007 276038 229301 12433 34304 10430 9409 906 115 42550 38384 3698 468 5753 5753 293715 270149 20288 3278 314887 261357 15744 37786 330133 156426 151992 21715 262724 218061 13136 31527 645394 535677 32270 77447 492289 408596 24638 59055 61188 61188 99463 82554 4973 11936 44012 31906 6572 5534 8210640 6800056 582501 828083 604999 377806 137205 287067 1362730 940328 236642 211876 1510357 1054673 508515 455684 2246380 2082902 5096471 4355663 954525 1074798 875000 609814 842764 791423 1045202 988983 3717491 3465018 X -1639941 -2063488 2026886 1962098 992035 992035 1378980 890645 5096471 4355663 X -465496 -22839 X X 0 1 1 X 0 X 8926605 9008874 7970124 8477266 7669940 42052809 8926605 9008874 7970124 8477266 7669940 42052809 559062 41493747 167383 249854 110807 95839 67225 691108 39873 39873 42783790 17839 0.96980 0.96020 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 0 0 0 1 15000 0 0 15000 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: STAFF AND VOLUNTEERS GATHERED IN WASHINGTON, D.C. TO LOBBY CONGRESS TO INCREASE NIH FUNDING FOR LIVER RESEARCH. THE LOBBYING TOOK PLACE ON A SINGLE DAY THAT WE CALL HILL DAY. 992035 54364 54364 992035 992035 51960 51960 992035 992035 119915 119915 992035 1012422 9235 29622 992035 1.00000 0 0 456782 261403 195379 81589 68576 13013 547835 416519 131316 424151 308175 115976 455684 TRANSPLANT TRUST LIABILITY 988983 988983 7745144 8210640 -465496 -28592 5753 -22839 -488335 7629549 -28592 -28592 7658141 5753 81250 87003 7745144 8123637 0 8123637 5753 81250 87003 8210640 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS HAS BEEN SPECIFIED BY THE DONOR. ALL FUNDS ON HAND ARE USED TO GENERATE INTEREST/DIVIDEND INCOME AND CAPITAL GAINS TO SUPPORT VARIOUS RESEARCH INITIATIVES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PERIODS ENDING SEPTEMBER 30, 2009 AND SUBSEQUENT REMAIN SUBJECT TO REVIEW BY APPLICABLE TAXING AUTHORITIES. PART XII, LINE 4B - OTHER ADJUSTMENTS: FORFEITURE OF GRANTS 81,250. PART XIII, LINE 4B - OTHER ADJUSTMENTS: FORFEITURE OF GRANTS 81,250. 0 NORTH AMERICA 0 0 GRANTS TO RECIPIENT LOCATED IN REGION 30000 0 0 0 0 0 0 30000 0 30000 RESEARCH NORTH AMERICA 1 30000 CHECK 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ALL RELEVANT DOCUMENTATION RELATED TO THE GRANT IS CONTAINED IN A FILE FOR EACH RECIPIENT. DOCUMENTATION INCLUDES; TAX INFORMATION; SIGNED GUIDELINES NOTING TO WHOM THE FUNDS IS SENT; DOCUMENTATION SENT TO THE RECIPIENT; AND SCIENTIFIC REPORTS PRODUCED BY THE RECIPIENT. THE RECIPIENT MUST NOTIFY THE AMERICAN LIVER FOUNDATION REGARDING ANY CHANGE IN HIS/HER STATUS OR RECEIPT OF ADDITIONAL SALARY AND/OR RESEARCH SUPPORT DURING THE TERM OF THE AWARD. SCIENTIFIC REPORTS ARE DUE AT YEARLY INTERVALS DURING THE GRANT PERIOD, INCLUDING THE END OF THE GRANT TERM. CHALLENGE CAMP. 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DOCUMENTATION INCLUDES; TAX INFORMATION; SIGNED GUIDELINES NOTING TO WHOM THE FUNDS IS SENT; DOCUMENTATION SENT TO THE RECIPIENT; AND SCIENTIFIC REPORTS PRODUCED BY THE RECIPIENT. THE RECIPIENT MUST NOTIFY THE AMERICAN LIVER FOUNDATION REGARDING ANY CHANGE IN HIS/HER STATUS OR RECEIPT OF ADDITIONAL SALARY AND/OR RESEARCH SUPPORT DURING THE TERM OF THE AWARD. SCIENTIFIC REPORTS ARE DUE AT YEARLY INTERVALS DURING THE GRANT PERIOD, INCLUDING THE END OF THE GRANT TERM. X X X 0 0 0 0 0 0 0 0 0 NEWTON GUERIN 186797 0 0 0 0 0 821 0 8293 0 195911 0 0 0 BECKY FRANK 153865 0 0 0 0 0 0 0 7520 0 161385 0 0 0 DAVID TICKER 138283 0 0 0 0 0 0 0 13087 0 151370 0 0 0 CYNTHIA GARDNER 141124 0 0 0 0 0 0 0 20380 0 161504 0 0 0 MICHAEL KERR RETIRE OUTSTANDING LINES OF CREDIT X 880000 791423 0 1 1 791423 FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE AND FINANCE COMMITTEE WITH MEMBERS THAT HAVE AN EXPERTISE IN ACCOUNTING. THE FORM 990 IS GIVEN TO THE ENTIRE BOARD. THEN IT IS PROVIDED TO THE EXECUTIVE COMMITTEE WITH COMMENTS BY THE BOARD MEMBERS. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, OUR CONFLICT OF INTEREST FORM IS COMPLETED BY OFFICERS AND DIRECTORS. THE FORM MUST INDICATE ANY POSSIBLE CONFLICTS OF INTEREST AND BE SIGNED BY ALL OFFICERS AND DIRECTORS. WHEN ANY SUCH CONFLICT OF INTEREST IS RELEVANT TO A MATTER REQUIRING ACTION BY THE BOARD, THE INTERESTED PERSON SHALL CALL IT TO THE ATTENTION OF THE BOARD AND SUCH PERSON SHALL NOT VOTE ON THE MATTER. MOREOVER, THE PERSON HAVING A CONFLICT SHALL RETIRE FROM THE ROOM IN WHICH THE BOARD IS MEETING AND SHALL NOT PARTICIPATE IN THE FINAL DELIBERATION OR DECISION REGARDING THE MATTER UNDER CONSIDERATION. HOWEVER, THAT PERSON SHALL PROVIDE THE BOARD WITH ANY AND ALL RELEVANT INFORMATION. THE MINUTES OF THE MEETING OF THE BOARD, SHALL REFLECT THAT THE CONFLICT OF INTEREST WAS DISCLOSED AND THAT THE INTERESTED PERSON WAS NOT PRESENT DURING THE FINAL DISCUSSION OR VOTE AND DID NOT VOTE. WHEN THERE IS A DOUBT AS TO WHETHER A CONFLICT OF INTEREST EXISTS, THE MATTER SHALL BE RESOLVED BY A VOTE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE REVIEWED TWO EXTERNAL SALARY SURVEYS SPECIFIC TO THE NEW YORK MARKET. FROM TIME TO TIME, THE ALF PARTICIPATES IN EXTERNAL SURVEYS, THE TWO MOST RECENT (2010), THE FOUNDATION CENTER SALARY SURVEY AND PROFESSIONALS FOR NON PROFIT SALARY SURVEY. FORM 990, PART VI, SECTION C, LINE 19 ALL POLICIES ARE POSTED ON LIVERFOUNDATION.ORG. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -28,592. INVESTMENT EXPENSES: 5,753. TOTAL TO FORM 990, PART XI, LINE 5: -22,839. FORM 990, PART XII, LINE 2C THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR.