2013-07-10T15:28:49-05:00 2012-08-31 346565596 ERNST & YOUNG US LLP 111 MONUMENT CIRCLE SUITE 2600 INDIANAPOLIS IN 46204 990 2011-09-01 133971298 NYU HOSPITALS CENTER NYUH 2122633092 550 FIRST AVENUE NEW YORK NY 10016 MICHAEL T BURKE 2122637092 2013-07-10 0 ANGELA MOORE P00244342 3176817000 2011 2016-02-24 21:20:13Z MICHAEL T BURKE 550 FIRST AVENUE NEW YORK NY 10016 2001930249 0 X HTTP://WWW.MED.NYU.EDU X 1998 NY THE NYU HOSPITALS CENTER MISSION IS: COMMITTED TO MAKING WORLD-CLASS CONTRIBUTIONS THAT PLACE SERVICE TO HUMAN HEALTH AT THE CENTER OF AN ACADEMIC CULTURE DEVOTED TO EXCELLENCE IN RESEARCH, PATIENT CARE, AND EDUCATION. 66 54 10246 829 3526349 0 57969991 26712336 1651994693 1837859112 6126549 8320553 39199430 67590049 1755290663 1940482050 84558186 157662272 0 0 766747264 876784588 0 0 2313132 734154736 716705120 1585460186 1751151980 169830477 189330070 1928452352 2406151798 1234504514 1589806037 693947838 816345761 X THE BOARD ADOPTED MISSION STATEMENT IS: TO PROVIDE ACCESS TO HEALTH CARE AND IMPROVE HEALTH IN OUR COMMUNITIES, THROUGH CHARITY CARE, AN EMERGENCY ROOM OPEN TO ALL PERSONS REGARDLESS OF ABILITY TO PAY; A MEDICAL STAFF WITH PRIVILEGES AVAILABLE TO ALL QUALIFIED PHYSICIANS; A GOVERNING BODY IN WHICH INDEPENDENT PERSONS REPRESENTATIVE OF THE COMMUNITY COMPRISE A MAJORITY; MEDICAL AND SCIENTIFIC RESEARCH THAT BENEFITS THE COMMUNITY; TRAINING AND EDUCATION OF HEALTH CARE PROFESSIONALS; PARTICIPATION IN MEDICAID, MEDICARE AND OTHER GOVERNMENT-SPONSORED HEALTH CARE PROGRAMS; AND ACTIVITIES DESIGNED TO RESPOND TO COMMUNITY HEALTH NEEDS. 0 0 1391597131 157662272 1887183735 THE CENTRAL COMPONENT OF THE HOSPITALS CENTER IS TISCH HOSPITAL, A 705 BED ACUTE CARE FACILITY AND A MAJOR CENTER FOR SPECIALIZED PROCEDURES IN CARDIOVASCULAR SERVICES, NEURO-SURGERY, CANCER TREATMENT, RECONSTRUCTIVE SURGERY, AND TRANSPLANTATION. THE RUSK INSTITUTE OF REHABILITATION MEDICINE, A 174 BED UNIT, PROVIDES TREATMENT FOR THE PHYSICALLY CHALLENGED. THE NYU HOSPITAL FOR JOINT DISEASES (HJD) DIVISION IS A 190 BED ACUTE CARE FACILITY SPECIALIZING IN ORTHOPAEDIC SERVICES. TISCH HOSPITAL, THE RUSK INSTITUTE, AND HJD HAD 42,566 DISCHARGES AND PROVIDED 661,289 OUTPATIENT VISITS (CLINIC - 317,141, EMERGENCY ROOM - 50,096, CLINICAL CANCER CENTER VISITS - 214,332, CARDIAC CATHETERIZATIONS & ELECTOPHYSIOLOGY - 4,244, RUSK REHABILITATION CLINIC - 75,476) PLUS 28,042 AMBULATORY SURGERY PROCEDURES. 1391597131 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 0 1 0 1 1 0 0 0 1 0 1 1 1 0 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 1 0 0 1 599 0 1 10246 1 1 1 1 BD 0 0 0 1 1 0 0 0 0 X 66 54 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 NY NJ OH SC MD MS AL AK AZ CO DC FL GA IL KS KY MA MI MN NH ND OK OR UT WA WI X MICHAEL T BURKE CFO 2122633092 550 FIRST AVENUE NEW YORK NY 10016 X KENNETH G LANGONE 1.00 X X 0 0 0 LAURENCE D FINK 1.00 X X 0 0 0 DWIGHT ANDERSON 1.00 X 0 0 0 MARC H BELL 1.00 X 0 0 0 WILLIAM R BERKLEY 1.00 X 0 0 0 EDGAR M BRONFMAN JR 1.00 X 0 0 0 KENNETH I CHENAULT 1.00 X 0 0 0 GARY D COHN 1.00 X 0 0 0 WILLIAM J CONSTANTINE 1.00 X 0 0 0 ELIZABETH B DATER 1.00 X 0 0 0 JAMIE DIMON 1.00 X 0 0 0 FIONA DRUCKENMILLER 1.00 X 0 0 0 JAMES J DUNNE III 1.00 X 0 0 0 ALVIN H EINBENDER 1.00 X 0 0 0 LORI FINK 1.00 X 0 0 0 LOUIS P FRIEDMAN 1.00 X 0 0 0 JAY M FURMAN 1.00 X 0 0 0 MICHAEL GARDNER 1.00 X 0 0 0 STEVEN J GILBERT 1.00 X 0 0 0 GEORGE E HALL 1.00 X 0 0 0 SYLVIA HASSENFELD 1.00 X 0 0 0 JACKIE S HARRIS HOCHBERG 1.00 X 0 0 0 HELEN L KIMMEL 1.00 X 0 0 0 SIDNEY LAPIDUS 1.00 X 0 0 0 THOMAS H LEE 1.00 X 0 0 0 LAURENCE C LEEDS JR 1.00 X 0 0 0 MARTIN LIPTON ESQ 1.00 X 0 0 0 LOUIS MARX JR 1.00 X 0 0 0 SIR DERYCK C MAUGHAN 1.00 X 0 0 0 EDWARD H MEYER 1.00 X 0 0 0 SANDRA MEYER 1.00 X 0 0 0 ROBERTO A MIGNONE 1.00 X 0 0 0 EDWARD J MINSKOFF 1.00 X 0 0 0 THOMAS K MONTAG 1.00 X 0 0 0 DARLA MOORE 1.00 X 0 0 0 THOMAS S MURPHY 1.00 X 0 0 0 THOMAS S MURPHY JR 1.00 X 0 0 0 FRANK T NICKELL 1.00 X 0 0 0 MICHAEL E NOVOGRATZ 1.00 X 0 0 0 DEBRA PERELMAN 1.00 X 0 0 0 RONALD O PERELMAN 1.00 X 0 0 0 WILLIAM A PERLMUTH 1.00 X 0 0 0 LAURA PERLMUTTER 1.00 X 0 0 0 DOUGLAS A PHILLIPS 1.00 X 0 0 0 ROBERT W PITTMAN 1.00 X 0 0 0 ALAN RAPPAPORT 1.00 X 0 0 0 LINDA GOSDEN ROBINSON 1.00 X 0 0 0 E JOHN ROSENWALD JR 1.00 X 0 0 0 ALAN D SCHWARTZ 1.00 X 0 0 0 BERNARD L SCHWARTZ 1.00 X 0 0 0 STANLEY SHOPKORN 1.00 X 0 0 0 HENRY R SILVERMAN 1.00 X 0 0 0 LARRY A SILVERSTEIN 1.00 X 0 0 0 JOEL E SMILOW 1.00 X 0 0 0 NORMA KAPLAN SMITH 1.00 X 0 0 0 ROBIN L SMITH MD MBA 1.00 X 0 0 0 CARLA SOLOMON PHD 1.00 X 0 0 0 WILLIAM C STEERE JR 1.00 X 0 0 0 ALICE M TISCH 1.00 X 0 0 0 THOMAS J TISCH 1.00 X 0 0 0 JAN T VILCEK MD PHD 1.00 X 0 59291 19351 BRADLEY J WECHSLER 1.00 X 0 0 0 ANTHONY WELTERS 1.00 X 0 0 0 MICHAEL C ALFANO DMD PHD 1.00 X 0 1121019 47021 ROBERT BERNE PHD 1.00 X 0 1201982 36405 BONNIE BRIER 1.00 X 0 570972 36405 ROBERT I GROSSMAN MD 30.00 X X 1770471 1770471 606226 DAVID W MCLAUGHLIN 1.00 X 0 592925 36405 JOHN E SEXTON 1.00 X 0 1301620 172134 STEVEN B ABRAMSON MD 18.60 X 268275 597129 32930 DAFNA BAR-SAGI PHD 30.00 X 0 676202 21058 BERNARD A BIRNBAUM MD 60.00 X 1433721 0 41852 ANDREW W BROTMAN MD 30.00 X 669017 669017 24500 MICHAEL T BURKE 30.00 X 576918 576918 38040 ANNETTE JOHNSON JD 51.00 X 681542 120272 36351 VICKI MATCH SUNA AIA 30.00 X 388300 388300 37778 NADER MHERABI 30.00 X 298878 298878 29684 NANCY SANCHEZ 30.00 X 441637 441637 30018 ANTHONY SHORRIS 30.00 X 502131 502131 35736 KEVIN HANNIFAN 60.00 X 608721 0 19600 DAVID DIBNER 60.00 X 512268 0 32821 ROBERT A PRESS MD PHD 60.00 X 541511 0 30167 NINA KATHRYN MCCLELLAN 60.00 X 381777 0 24327 MAUREEN T FITZPATRICKMSNRN 60.00 X 346649 0 29506 DEBRA BERGER 60.00 X 238070 0 33109 RICHARD COHEN 30.00 X 126717 126717 34618 RICHARD DONOGHUE 42.00 X 608593 260826 31387 SHEILA EISENBERG 60.00 X 210492 0 23439 THOMAS M FEUERSTEIN 30.00 X 247546 247546 34096 KIMBERLY GLASSMAN 60.00 X 411920 0 34065 KARIM HABIBI 60.00 X 438251 0 39825 AMY HORROCKS 60.00 X 287385 0 19600 KEVIN KIRCHEN 60.00 X 356663 0 28269 IRENE KREUSCHER 60.00 X 292721 0 25787 REGINALD A ODOM 30.00 X 113479 113479 32968 WESLEY SMITH 51.00 X 436079 76955 36277 GILDA VENTRESCA-ECROYD 30.00 X 146525 146525 36670 ROBERT GLICKMAN MD 0.00 X 0 204760 29428 PAUL CONOCENTI MBA 30.00 X 385346 385346 23606 VIVIAN S LEE MD PHD MBA 30.00 X 0 512074 21926 13721603 12962992 1903385 1335 1 1 0 APTIUM E NEW YORK 160 EAST 34TH STREET NEW YORK NY 10016 MANAGEMENT SERVICES 23323627 ENNEAD ARCHITECTS LLP 320 WEST 13TH STREET NEW YORK NY 10014 ARCHITECTS 17929017 TURNER CONSTRUCTION CO 375 HUDSON STREET 6TH FLOOR NEW YORK NY 10014 CONSTRUCTION 16368069 IBM CORPORATION 1 NEW ORCHARD ROAD ARMONK NY 105041722 CONSULTING SERVICES 16296748 BARR & BARR INC 460 WEST 34T STREET 10TH FLOOR NEW YORK NY 10001 CONSTRUCTION 14968308 447 2139969 735999 23836368 18474856 26712336 NET PATIENT SERVICE 622110 1830157955 1830157955 PHARMACY SALES 446110 7701157 4604021 3097136 1837859112 8020361 429213 7591148 505227 505227 242879 242879 4626626 807406 3819220 3819220 3819220 60087477 60292512 -205035 -205035 -205035 209000 2139969 348281 -139281 -139281 MEDICAL CENTER REVENUE 621110 17054006 17054006 AFFILIATION INCOME 621110 15945456 15945456 PROFESSIONAL REVENUE 621110 7451283 7451283 23216486 8873878 14342608 63667231 1940482050 1884086599 3526349 26156766 157662272 157662272 7359797 5770081 1589716 7522577 5897700 1624877 655159395 513644963 140798494 715938 46037603 36093481 9944122 115168250 90291908 24697157 179185 45536966 35700981 9835985 1339198 1049931 289267 872404 872404 518104 518104 113663300 74841115 38822185 14604678 11450068 3154610 32667955 25611677 5638269 1418009 17130036 13429948 3700088 82631126 64782803 17848323 2356809 1847738 509071 796999 624847 172152 19216647 15065851 4150796 78131127 61254804 16876323 25615860 20082834 5533026 MEDICAL SUPPLIES 316800029 248371223 68428806 TAXES & FEES 2940762 2305557 635205 ENVIRONMENTAL SERVICES 2440325 1913215 527110 INDIRECT RATE 1910202 1497598 412604 3069559 2406536 663023 1751151980 1391597131 357241717 2313132 184859 194689 517938836 671467017 123496236 92036831 228396341 245035509 26439061 23589141 21359053 22807093 1821294817 656035447 824229356 1165259370 20845000 4130000 69797349 95851842 7256279 7256279 88509982 78524027 1928452352 2406151798 230005866 224288790 3094106 318732 496226919 481451799 102650000 421821160 402527623 461925556 1234504514 1589806037 X 486926292 611558562 198275231 191776215 8746315 13010984 693947838 816345761 1928452352 2406151798 X 189330070 -66932147 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 1 200 0 0 1 246721 0 1 271183 518104 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: SCHEDULE C, PART II, LINE 1D: NYU HOSPITALS CENTER SENT LETTERS TO VARIOUS FEDERAL, STATE AND CITY OFFICIALS WITH RESPECT TO VARIOUS MATTERS THAT WERE REPORTED AS LOBBYING EFFORTS. SCHEDULE C, PART II, LINE 1G: NYU HOSPITALS CENTER PAID CERTAIN EMPLOYEES WHO HAD CONTACT WITH ELECTED OFFICIALS IN A LOBBYING CAPACITY. ADDITIONALLY, THERE ARE SEVERAL LOBBYISTS ON RETAINER AT NYU HOSPITALS CENTER WITH RESPECT TO FEDERAL, STATE AND CITY AFFAIRS. THE LOBBYISTS ENGAGED IN DIRECT CONTACT WITH ELECTED OFFICIALS ON BEHALF OF NYU HOSPITALS CENTER. THE TOTAL AMOUNT OF FEES PAID TO CONSULTANTS FOR LOBBYING PURPOSES WAS $246,721. SCHEDULE C, PART II, LINE 1I: NYU HOSPITALS CENTER PAID DUES TO THE GREATER NEW YORK HOSPITAL ASSOCIATION, HEALTHCARE ASSOCIATION OF NEW YORK STATE, AMERICAN HOSPITAL ASSOCIATION, AND ASSOCIATION OF AMERICAN MEDICAL COLLEGES, A PERCENTAGE OF WHICH WERE ALLOCATED TO LOBBYING FOR A TOTAL OF $271,183. 25217266 183173 866143 1253239 25509 24987834 23328450 168612 3191120 1414114 56802 25217266 20448235 2781906 1611726 1513417 23328450 47558164 100 -7976263 19095860 37906 20448235 0.14760 0.85240 0 1 1 39025156 39025156 937074712 450116433 486958279 395979507 395979507 449215442 205919014 243296428 1165259370 ACCRUED PENSION LIABILITIES 141840277 ACCRUED POSTRETIREMENT LIABILITIES 70484000 OTHER PAYABLES & ACCRUED LIABILITIES 15250482 MALPRACTICE RESERVE 75776237 RATE ACCOUNTS 111308821 OTHER RESERVES 47265739 461925556 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE ENDOWMENT IS AVAILABLE TO SUPPORT THE CHARITABLE, PATIENT CARE, EDUCATIONAL AND RESEARCH MISSIONS OF THE NYU HOSPITALS CENTER, INCLUDING BUT NOT LIMITED TO CHARITY CARE, COMMUNITY BUILDING, PROGRAM SUPPORT, RESARCH, BUILDINGS AND EQUIPMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: FIN 48 (ASC 740) FOOTNOTE: FASB'S GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES CLARIFIES THE ACCOUNTING FOR UNCERTANTY OF INCOME TAX POSITIONS. THE GUIDANCE DEFINES THE THRESHOLD FOR RECOGNIZING TAX RETURN POSITIONS IN FINANCIAL STATEMENTS AS "MORE LIKELY THAN NOT" THAT THE POSITION IS SUSTAINABLE, BASED ON ITS TECHNICAL MERITS. THE GUIDANCE ALSO PROVIDES GUIDANCE ON THE MEASUREMENT, CLASSIFICATION AND DISCLOSURE OF TAX RETURN POSITIONS IN THE FINANCIAL STATEMENTS. THERE WAS NO SIGNIFICANT IMPACT ON THE MEDICAL CENTER'S COMBINED FINANCIAL STATEMENTS DURING THE YEAR ENDED AUGUST 31, 2012. CENTRAL AMERICA/CARIBBEAN PROGRAM SERVICES INSURANCE 25615860 CENTRAL AMERICA/CARIBBEAN INVESTMENTS INVESTMENTS 70459532 0 0 0 0 0 0 96075392 0 96075392 1 0 1 0 0 0 NYUHJD FNDRS' GALA 1642915 1508915 134000 148680 86795 HASSENFELD TOYLAND 706054 631054 75000 73640 39166 2348969 2139969 209000 222320 125961 348281 -139281 1 1 X 1 X 600.000000000000 1 X 800.000000000000 1 1 0 1 1 16969770 4974262 11995508 0.00690 172807881 110860997 61946884 0.03540 189777651 115835259 73942392 0.04230 1049771 1049771 0.00060 150113708 28828700 121285008 0.06930 39613500 39613500 0.02260 190776979 28828700 161948279 0.09250 380554630 144663959 235890671 0.13480 1 8715371 291019761 386030342 -95010581 X 1 1 1 1 NYU HOSPITALS CENTER

550 FIRST AVENUE NEW YORK NY 10016

X X X X NYU HOSPITALS CENTER 1 1 1 600.000000000000 1 800.000000000000 1 X X X X X X 1 1 X X X X X X 1 0 1 X 0 0 PART I, LINE 7: THE COST-TO-CHARGES RATIO METHODOLOGY WAS UTILIZED TO CALCULATE THE AMOUNTS INCLUDED ON PART I, LINES 7A AND B. THE CALCULATION OF THE RATIO WAS DERIVED FROM THE OPTIONAL WORKSHEET, RATIO OF PATIENT CARE COST-TO-CHARGES. THE RATIO REPRESENTS THE PERCENTAGE OF NET COMMUNITY BENEFIT EXPENSES AS A PERCENTAGE OF TOTAL HOSPITAL EXPENSES EXCLUDING BAD DEBT EXPENSES.THE AMOUNT REPORTED ON LINE 7F INCLUDES AMOUNTS FROM THE INSTITUTIONAL COST REPORT AND THE ORGANIZATION'S ACTUAL EXPENSE. THE AMOUNT REPORTED ON LINE 7H REPRESENTS THE ORGANIZATION'S ACTUAL EXPENSE. PART III, LINE 4: FOLLOWING IS THE NYU HOSPITALS CENTER'S AUDITED FINANCIAL STATEMENT, FOOTNOTE ON UNCOMPENSATED CARE: AS A MATTER OF POLICY, THE HOSPITALS CENTER PROVIDES SIGNIFICANT AMOUNTS OF PARTIALLY OR TOTALLY UNCOMPENSATED PATIENT CARE. FOR ACCOUNTING PURPOSES, SUCH UNCOMPENSATED CARE IS TREATED EITHER AS CHARITY CARE OR BAD DEBT EXPENSE.THE HOSPITAL CENTERS' CHARITY CARE POLICY, IN ACCORDANCE WITH NEW YORK STATE DEPARTMENT OF HEALTH'S GUIDELINES, ENSURES THE PROVISION OF QUALITY HEALTH CARE TO THE COMMUNITY SERVED WHILE CAREFULLY CONSIDERING THE ABILITY OF THE PATIENT TO PAY. THE POLICY HAS SLIDING FEE SCHEDULES FOR INPATIENT, AMBULATORY AND EMERGENCY SERVICES PROVIDED TO THE UNINSURED AND UNDER-INSURED PATIENTS THAT QUALIFY. PATIENTS ARE ELIGIBLE FOR THE CHARITY CARE FEE SCHEDULE IF THEY MEET CERTAIN INCOME AND LIQUID ASSET TESTS. FOR ACCOUNTING AND DISCLOSURE PURPOSES, CHARITY CARE IS CONSIDERED TO BE THE DIFFERENCE BETWEEN THE HOSPITALS CENTER'S CUSTOMARY CHARGES AND THE SLIDING CHARITY CARE FEE SCHEDULE RATES. SINCE PAYMENT OF THIS DIFFERENCE IS NOT SOUGHT, CHARITY CARE ALLOWANCES ARE NOT REPORTED AS REVENUE. PATIENTS WHO DO NOT QUALIFY FOR SLIDING SCALE FEES AND ALL UNINSURED INPATIENTS WHO DO NOT QUALIFY FOR MEDICAID ASSISTANCE ARE BILLED AT THE HOSPITALS CENTER'S FULL RATES. UNCOLLECTED BALANCES FOR THESE PATIENTS ARE CATEGORIZED AS BAD DEBTS.THE COST-TO-CHARGES RATIO METHODOLOGY WAS UTILIZED TO CALCULATE THE AMOUNT INCLUDED ON PART III, LINE 2. THE CALCULATION OF THE RATIO WAS DERIVED FROM THE OPTIONAL WORKSHEET, RATIO OF PATIENT CARE COST-TO-CHARGES. THE RATIO REPRESENTS THE PERCENTAGE OF NET COMMUNITY BENEFIT EXPENSES AS A PERCENTAGE OF TOTAL HOSPITAL EXPENSES EXCLUDING BAD DEBT EXPENSES. PART III, LINE 8: MEDICARE REVENUE AND ALLOWABLE COSTS REPORTED ON PART III, SECTION B, LINES 5 AND 6 ARE DERIVED FROM THE MEDICARE COST REPORT FILED FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2011. PART III, LINE 9B: THE HOSPITAL IS COMMITTED TO FAIR BILLING AND COLLECTION PRACTICES. ACCORDINGLY, THE HOSPITAL AND/OR ITS EMPLOYEES, REPRESENTATIVES, AGENTS AND CONTRACTORS ARE NOT PERMITTED TO TAKE ANY OF THE FOLLOWING ACTIONS WITH RESPECT TO ALL PATIENTS WITHOUT REGARD TO INSURANCE STATUS (E.G., INSURED OR UNINSURED) OR ELIGIBILITY FOR FINANCIAL ASSISTANCE:- SEND AN ACCOUNT TO COLLECTION WHILE AN APPLICATION FOR FINANCIAL ASSISTANCE (WHICH IS COMPLETE AND WITH ALL REQUIRED DOCUMENTATION) IS PENDING;- SEND AN ACCOUNT TO COLLECTION FOR A PATIENT WHO IS DETERMINED TO BE ELIGIBLE FOR MEDICAID AT THE TIME SERVICES WERE RENDERED AND FOR WHICH SERVICES MEDICAID PAYMENT IS AVAILABLE; OR- PURSUE ANY ACTION WHICH WOULD CAUSE OR PREVENT THE PATIENT FROM PAYING HIS/HER NORMAL MONTHLY RENT, UTILITY OR FOOD EXPENSES.ALL COLLECTION AGENTS ENGAGED BY THE HOSPITAL WILL BE REQUIRED TO COMPLY WITH THIS POLICY; SEEK THE HOSPITAL'S WRITTEN CONSENT PRIOR TO INSTITUTING A LEGAL ACTION FOR COLLECTION; AND ADVISE PATIENTS ON HOW TO APPLY FOR FINANCIAL ASSISTANCE. IF A LAWSUIT HAS BEEN INSTITUTED AND DECIDED IN FAVOR OF THE HOSPITAL, THE HOSPITAL WILL NOT SEEK FORECLOSURE OF THE PATIENT'S PRIMARY RESIDENCE (ALTHOUGH IT MAY FILE A LIEN) OR SEEK TO FREEZE A PATIENT'S BANK ACCOUNT OR GARNISH A PATIENT'S WAGES UNLESS EXPRESSLY AUTHORIZED BY SENIOR ADMINISTRATION. NYU HOSPITALS CENTER PART V, SECTION B, LINE 11H: DETERMINATION OF ELIGIBILITY FOR FINANCIAL ASSISTANCE IS BASED ON THE FOLLOWING ADDITIONAL CRITERIA:1. THE PATIENT'S STATE OF RESIDENCE2. FOR NON-NEW YORK RESIDENTS, NATURE OF THE ADMISSION (EMERGENCY SERVICES, ELECTIVE, ETC.)3. FAMILY SIZE, WHICH IS CALCULATED FOR ADULT PATIENTS, BY ADDING THE PATIENT, THE PATIENT'S SPOUSE (IF ANY AND IF HE/SHE RESIDES WITH THE PATIENT) AND ANY DEPENDENTS OF THE PATIENT OR THE PATIENT'S SPOUSE, AND FOR MINOR PATIENTS, BY ADDING THE PATIENT, THE PATIENT'S PARENT/S AND/OR LEGAL GUARDIAN/S WITH WHICH THE PATIENT RESIDES, AND ANY DEPENDENTS OF THE PATIENT'S PARENT/S AND/OR LEGAL GUARDIAN/S WITH WHICH THE PATIENT RESIDES (OTHER THAN THE PATIENT).FOR PATIENTS WITH UNPAID BALANCES WHO DO NOT APPLY FOR FINANCIAL ASSISTANCE OR ASSIST IN THE APPLICATION PROCESS, THE HOSPITAL MAY SUBMIT THE PATIENT'S DEMOGRAPHICS TO A CREDIT BUREAU TO UTILIZE CREDIT SCORING SOFTWARE FOR PURPOSES OF ESTABLISHING INCOME ELIGIBILITY. THE SCORING WILL NOT NEGATIVELY IMPACT THE PATIENT'S FICO. NYU HOSPITALS CENTER PART V, SECTION B, LINE 13G: ALL HOSPITAL BILLS AND STATEMENTS INCLUDE A STATEMENT THAT IF THE PATIENT IS UNABLE TO PAY THE BILL, HE OR SHE MIGHT BE ELIGIBLE FOR FINANCIAL ASSISTANCE AND HOW TO OBTAIN FURTHER INFORMATION. APPLICATIONS FOR FINANCIAL ASSISTANCE ARE AVAILABLE IN ENGLISH, CHINESE, RUSSIAN AND SPANISH, AND TRANSLATION SERVICES ARE MADE AVAILABLE FOR PATIENTS NEEDING SUCH SERVICES. NYU HOSPITALS CENTER PART V, SECTION B, LINE 19D: WITH RESPECT TO FINANCIAL ASSISTANCE POLICY ELIGIBLE INDIVIDUALS OBTAINING EMERGENCY OR OTHER MEDICALLY NECESSARY CARE, NYU HOSPITALS CENTER CHARGES ARE DISCOUNTED BY A PERCENTAGE TO EQUATE TO A PAYMENT EQUAL TO THE AVERAGE PAYMENT OF THE TOP FIVE COMMERCIAL INSURERS. THE DISCSOUNT IS EVALUATED ANNUALLY TO REFLECT CHANGES IN THE MANAGED CARE CONTRACT RATES AND CHARGE MASTER. NYU HOSPITALS CENTER PROVIDES FOR A SLIDING SCALE DISCOUNTED PAYMENT RATE WITH 100% FINANCIAL ASSISTANCE UP TO 600% FPL FOR FAP ELIGIBLE INDIVIDUALS THAT WERE PROVIDED WITH EMERGENCY OR OTHER MEDICALLY NECESSARY CARE. PART VI, LINE 2: IN JANUARY OF 2012, NYUHC ESTABLISHED THE DEPARTMENT OF POPULATION HEALTH TO BE THE ACADEMIC HOME FOR RESEARCH AND RESEARCH METHODS THAT ADVANCE THE SCIENCE OF IMPROVING HUMAN HEALTH AT THE POPULATION LEVEL. THE NEW DEPARTMENT WILL COMPRISE THE DEPARTMENT OF BIOSTATISTICS AND EPIDEMIOLOGY AND OTHER PROGRAMS AND DIVISIONS FOCUSED ON HEALTHCARE RESEARCH AND POLICY, COMPARATIVE EFFECIVENESS, GLOBAL COMMUNITY HEALTH, DELIVERY SYSTEMS ANALYSIS AND DESIGN, AND RELATED THEMES.EACH OF THE NYUHC COMMUNITY INITIATIVES IDENTIFIED IN THE 2009 COMMUNITY SERVICE PLAN HAS CONTINUED TO ESTABLISH RELATIONSHIPS WITH COMMUNITY PARTNERS AND INCORPORATES COMMUNITY INPUT IN THE IMPLEMENTATION OF THEIR VARIOUS EFFORTS.FOR EXAMPLE, THE EHANCING SELF CARE ADVOCACY PROGRAM EDUCATION IN HEART FAILURE (ESCAPE HF) WORKS CLOSELY WITH SENIOR CENTERS AND NATURALLY OCCURRING RETIREMENT COMMUNITIES ("NORCS")IN THE TARGET AREA; THE HYPERTENSION SCREENING CONTROL PROGRAM WORKS CLOSELY WITH THE NEW YORK CITY DEPARTMENT FOR THE AGING ("DFTA"), THE NEW YORK COMMUNITY TRUST, AND STAFF AT THE NORCS LOCATED SOUTH OF 59TH STREET; THE BANISHING OBESITY AND DIABETES IN YOUTH ("BODY") PROJECT WORKS CLOSELY WITH THE NYC BOARD OF EDUCATION AND THE SCHOOL-BASED HEALTH CENTER AT THE NORMAN THOMAS HIGH SCHOOL LOCATED ON PARK AVENUE AND 33RD STREET IN MANHATTAN AND THE PARENTCORPS PROGRAM CONTINUES TO WORK CLOSELY WITH THE NYC DEPARTMENT OF EDUCATION'S OFFICE OF EARLY CHILDHOOD EDUCATON ON ALL ASPECTS OF DESIGN AND INITIATION OF THE DISSEMINATION MODEL. DURING THE PAST YEAR A PARTNERSHIP WAS INITIATED WITH THE DEPARTMENT OF HEALTH AND MENTAL HEALTH PHYSICAL ACTIVITY AND NUTRITION PROGRAM. AS PART OF OUR EFFORTS TO UNDERSTAND THE NEEDS OF THE ASIAN AND LATINO EARLY CHILDHOOLD COMMUNITIES IN THE CATCHMENT AREA, WE HAVE CONTINUED PARTNERSHIP WITH AGENCIES SERVING ASIAN AND LATINO COMMUNITIES IN LOWER MANHATTAN, INCLUDING CHINATOWN CHILDCARE AND CHARLES B. WANG HEALTH CENTER. NYULMC'S CENTER FOR THE STUDY OF ASIAN AMERICAN HEALTH, IN ITS EFFORT TO PROMOTE HEPATITIS B SCREENING AND PREVENETION PROGRAMS, WORKS CLOSELY WITH THE CHARLES B. WANG HEALTH CENTER, KOREAN COMMUNITY SERVICES, THE AMERICAN CANCER SOCIETY, AFRICAN SERVICES COMMITTEE, THE RUSSIAN AMERICAN FOUNDATION AND THE NYC ORGAN DONOR NETWORK.THE PUBLIC HEALTH PRIORITIES THAT WERE IDENTIFIED IN THE 2009 COMMUNITY SERVICE PLAN SUBMISSION INCLUDED THE FOLLOWING:CHRONIC DISEASEHEART FAILURE - ESCAPE HF - HEART FAILURE PREVALENCE INCREASES WITH INCREASING AGE AND AFFECTS ABOUT 1 IN 6 PEOPLE OVER THE AGE OF 80 YEARS. OUR PROGRAM IS DESIGNED TO IMPLEMENT COMMUNITY BASED EDUCATIONAL PROGRAMS IN ORDER TO INFORM SENIOR CITIZENS ON THE MOST COMMON SYMPTOMS OF HEART FAILURE AND THE STEPS THEY CAN TAKE TO REDUCE THE RISK OF DEVELOPING HEART FAILURE, OR IF HEART FAILURE IS ALREADY PRESENT, STEPS THEY CAN TAKE TO IMPROVE QUALITY OF LIFE. THE EDUCATIONAL SESSIONS OF ESCAPE HF ARE CONDUCTED IN SENIOR CENTERS BELOW 59TH STREET IN MANHATTAN UNDER THE SUPERVISION OF STUART KATZ, MD, DIRECTOR OF HEART FAILURE PROGRAMS AT NYULMC. THE EDUCATION INTERVENTION PROGRAM IS ADMINISTERED IN THE COMMUNITY BY LAURA SARA R'BIBO, NYU HOSPITALS CENTER'S HEART FAILURE COMMUNITY HEALTH CARE WORKER, IN CONJUNCTION WITH NURSING SCHOOL FACULTY VICTORIA DICKSON AND DEBBIE CHYUN, AND WITH THE ASSISTANCE OF NYULMC'S HEART FAILURE STAFF NURSE PRACTITIONERS JUDITH SCHIPPER AND GRACE DOMINGO AND OTHER STAFF WITH RELEVANT EXPERTISE. THE GOALS OF ESCAPE HF ARE TO INCREASE KNOWLEDGE ABOUT HEART FAILURE AND CARDIOVASCULAR WELLNESS IN THE COMMUNITY, IMPROVE QUALITY OF LIFE, AND REDUCE LONG-TERM RISK OF HOSPITALIZATION IN SENIORS LIVING IN NYC SOUTH OF 59TH STREET.PHYSICAL ACTIVITY AND NUTRITIONHYPERTENSION - THE NYULMC'S CENTER FOR HEALTHFUL BEHAVIORAL CHANGE TARGETS IMPROVEMENT IN CONTROL OF BEHAVIORS IN PERSONS DIAGNOSED WITH HYPERTENSION USING A COUNSELING APPROACH THAT TRAINS TEAMS OF OLDER ADULTS LIVING IN NORCS AND AFFILIATED NURSES TO TAKE BLOOD PRESSURE AND DELIVER LIFESTYLE COUNSELING TO NORC RESIDENTS WITH UNCONTROLLED HYPERTENSION. THIS EFFORT FOCUSES ON PROVIDING SUSTAINABLE SKILLS SO THE TRAINED NORC RESIDENTS AND NURSES CAN CONTINUE TO PROVIDE THIS SERVICE TO NORC RESIDENTS. THE PROGRAM EVALUATES THE EFFECT OF BP SCREENING AND LIFESTYLE COUNSELING DELIVERED BY TRAINED TEAMS OF NORC RESIDENTS AND NURSES IN IMPROVING BP, WEIGHT, DIET AND PHYSICAL ACTIVITY HABITS. THREE NORC COMMUNITIES BELOW 59TH STREET IN MANHATTAN ARE PARTICIPATING IN THIS EFFORT. THE PROGRAM IS NOW OFFERED IN SPANISH OR ENGLISH DEPENDING ON THE DEMOGRAPHIC MAKEUP OF THE PARTICIPATING NORC. RESULTS FROM THIS PROGRAM WILL HELP DETERMINE THE FEASIBILITY AND EFFECTIVENESS OF TRAINING TEAMS OF NORC RESIDENTS AND NURSES TO MEASURE BP AND DELIVER LIFESTYLE COUNSELING IN REDUCING BP AND IMPROVING LIFESTYLE BEHAVIORS IN NORC RESIDENTS WITH UNCONTROLLED HYPERTENSION. IF OUR PROGRAM SHOWS PROMISING RESULTS, THE NEXT STEP WILL BE TO EXPAND THIS MODEL WITHIN THE NORC SETTING TO PROVIDE A GREATER IMPACT ON THE LARGER COMMUNITY.CHILDHOOD OBESITY - THE AIM OF THIS INITIATIVE IS TO TARGET BOTH ENDS OF THE CHILDHOOD AGE SPECTRUM. THE NYU CHILD STUDY CENTER'S HARRIS OBESITY PREVENTION EFFORT (HOPE) THROUGH ITS PARENTCORPS PROGRAM TARGETS CHILDREN ENROLLED IN NEW YORK CITY'S UNIVERSAL PRE-KINDERGARTEN PROGRAMS AND DEVELOPS, EVALUATES AND DISSEMINATES EVIDENCE-BASED PRACTICES FOR FAMILIES AND EDUCATORS TO ASSIST YOUNG CHILDREN TO ESTABLISH HEALTHY BEHAVIORS AROUND EATING, PHYSICAL ACTIVITY, AND SLEEP. THE NYULMC BODY PROJECT AIMS TO ADDRESS THE GROWING PROBLEM OF EXCESS WEIGHT AND OBESITY AND TO HALT THE PROGRESSION OF OBESITY-RELATED DISEASE AMONG ADOLESCENTS. IT PARTNERS WITH NEW YORK CITY PUBLIC HIGH SCHOOLS TO PROVIDE FREE MEDICAL SCREENINGS AND REFERRALS TO SCHOOL-BASED HEALTH CENTERS OR OTHER HEALTH CARE. THE GOAL OF THE BODY PROJECT IS TO ASSESS WHETHER THERE IS A POSITIVE IMPACT ON HEALTH WHEN ADOLESCENTS AND THEIR FAMILIES ARE INFORMED ABOUT THESE POTENTIAL MEDICAL RISKS. BY EMPOWERING ADOLESCENTS WITH PERSONAL HEALH INFORMATION, THE BODY PROJECT ATTEMPTS TO ENGAGE AND HELP MINORITY YOUTH WITH EXCESS WEIGHT AND THEIR FAMILIES' CHANGE HOW THEY EAT AND BECOME MORE PHYSICALLY ACTIVE. IN ADDITION THE PROJECT SEEKS TO ASSESS WHETHER IMPROVEMENTS IN OBESITY RELATED METABOLIC FUNCTIONING COULD IMPROVE ACADEMIC PERFORMANCE.INFECTIOUS DISEASEHEPATITIS B - NYULMC'S CENTER FOR THE STUDY OF ASIAN AMERICAN HEALTH HAS ESTABLISHED THE B FREE CENTER OF EXCELLENCE IN THE ELIMINATION OF HEPATITIS B DISPARITIES (B FREE CEED) AND WAS TO WORK CLOSELY WITH ST. VINCENT'S MEDICAL CENTER TO DEVELOP, EVALUATE, AND DISSEMINATE EVIDENCE-BASED PRACTICES TO BE APPLIED TO THE PREDOMINANTLY CHINESE POPULATION THAT UTILIZED ST. VINCENT'S CHINATOWN HEALTH SERVICES, A HEALTH CARE CLINIC LOCATED AT 25 ELIZABETH STREET IN LOWER MANHATTAN. SINCE ST. VINCENT'S MEDICAL CENTER CLOSED, NYULMC'S HEPATITIS B EFFORT WAS MODIFIED TO TARGET THE 5-YEAR CLINICAL, MORBIDITY AND MORTALITY AVERAGE FOLLOW-UP OF CHINESE AMERICANS WHO WERE SCREENED IN 2006-7 AND WERE FOUND TO BE HEPATITIS B POSITIVE. THIS GROUP OF PATIENTS WAS REFERRED FOR CARE TO THREE DIFFERENT AREAS: CHINESE PHYSICIANS IN THE CHINESE COMMUNITY, THE NEWLY-ESTABLISHED HEPATITIS B CLINIC AT BELLEVUE HOSPITAL AND THE CHARLES B. WANG CLINIC ON CANAL STREET IN MANHATTAN. PART VI, LINE 3: PATIENTS ARE INFORMED OF THE HOSPITAL'S CHARITY CARE AND FINANCIAL ASSISTANCE POLICY BY APPROPRIATE SIGNAGE IN THE REGISTRATION AND INTAKE AREAS; INFORMATION DISTRIBUTED IN THE ADMISSION PACKAGE; AND RESPONSES TO DIRECT INQUIRIES. ALL HOSPITAL BILLS AND STATEMENTS WILL INCLUDE A STATEMENT THAT IF THE PATIENT WAS UNABLE TO PAY THE BILL, HE OR SHE MIGHT BE ELIGIBLE FOR FINANCIAL ASSISTANCE AND HOW TO OBTAIN FURTHER INFORMATION. APPLICATIONS FOR FINANCIAL ASSISTANCE WILL BE AVAILABLE IN ENGLISH, CHINESE, RUSSIAN, AND SPANISH, AND TRANSLATION SERVICES WILL BE MADE AVAILABLE FOR PATIENTS NEEDING SUCH SERVICES. PART VI, LINE 4: IN ITS 2009 COMMUNITY SERVICE PLAN SUBMISSION, NYU HOSPITALS CENTER FOCUSED ITS COMMUNITY HEALTH AGENDA ON THE POPULATION RESIDING SOUTH OF 42ND STREET IN MANHATTAN AS DEFINED BY RESPECTIVE ZIP CODES. RESIDENTS OF THIS AREA ACCOUNTED FOR 18% OF NYU HOSPITALS CENTER'S DISCHARGES AND NYU HOSPITALS CENTER WAS THE ONLY MAJOR ACADEMIC MEDICAL CENTER LOCATED WITHIN THIS AREA.THE CLOSING OF SAINT VINCENT'S MEDICAL CENTER CAUSED NYU HOSPITALS CENTER TO REEVALUATE THE DEFINITION OF ITS LOCAL COMMUNITY. AS A RESULT, WE HAVE EXPANDED OUR COMMUNITY TO INCLUDE ALL OF LOWER MANHATTAN TO 59TH STREET AS THE NORTHERN BOUNDARY. NYU HOSPITALS CENTER'S LOCAL COMMUNITY NOW INCLUDES BOTH THE RESIDENTIAL POPULATION AND THOSE WHOSE PLACE OF EMPLOYMENT ARE LOCATED WITHIN THIS AREA. RESIDENTS OF THESE ZIP CODES ACCOUNTED FOR 19% OF NYU HOSPITALS CENTER'S DISCHARGES DURING 2011.THE 2010 CENSUS INDICATED THAT OVER HALF A MILLION PEOPLE RESIDED SOUTH OF 59TH STREET. 10.5% WERE CHILDREN AGED LESS THAN 18 YEARS AND 12.3% WERE AGED 65 YEARS AND OLDER. THE MEDIAN HOUSEHOLD INCOME FOR THIS POPULATION WAS OVER $90,000. THE RESIDENTS OF THIS AREA ARE A HETEROGENEOUS MIX INCLUDING ETHNIC NEIGHBORHOODS SUCH AS CHINATOWN, NATURALLY OCCURRING RETIREMENT COMMUNITIES ("NORCSS"), AND RECENT IMMIGRANTS, AND POCKETS OF POVERTY. PART VI, LINE 5: SINCE NYUHC'S COMMUNITY SERVICE PLAN WAS SUBMITTED IN 2009, MUCH PROGRESS HAS BEEN MADE ON EACH OF THE INITIATIVES INCLUDED IN THE PLAN WITH THE EXCEPTION OF THE HEPATITIS B PROGRAM WHICH WAS TO BE CONDUCTED IN CONJUNCTION WITH ST. VINCENT'S MEDICAL CENTER. THE FOLLOWING SUMMARIZES THE ACTIVITIES TO DATE:HEART FAILURE - IN COLLABORATION WITH THE NYU COLLEGE OF NURSING, ESCAPE HF HAS BEEN ESTABLISHED AT THE SIROVICH SENIOR CENTER LOCATED ON 12TH STREET IN THE EAST VILLAGE. PARTICIPANTS ARE INVITED TO ATTEND TWICE WEEKLY SESSIONS WHERE THEY RECEIVE A GROUP SKILL-BUILDING INTERVENTION ON HEART FAILURE SELF-CARE CONDUCTED BY A COMMUNITY HEALTH WORKER. FEEDBACK FROM THE PARTICIPANTS HAS BEEN POSITIVE AND PARTICIPATION IN THE COMMUNITY SETTING HAS BEEN WELL RECEIVED. ESCAPE HF WAS EXPANDED TO TWO ADDITIONAL SETTINGS - THE WHITTAKER NORC LOCATED AT EAST BROADWAY AND GRAND STREET, AND THE VILLAGE VIEW NORC LOCATED ON EAST 4TH STREET. BOTH OF THESE LOCATIONS ARE INCLUDED IN NYULMC'S SERVICE AREA AND COLLECTIVELY HAVE MORE THAN 3,000 OLDER ADULTS (AGED 60+) RESIDING IN THEM. THEY ALSO HAVE ONSITE NURSING PERSONNEL THAT COLLABORATE WITH NYULMC STAFF TO IDENTIFY PARTICIPANTS FOR THE INTERVENTION. ADDITIONAL COLLABORATION WITH NYULMC'S NURSING ADMINISTRATION AND THE VISITING NURSE SERVICE HAVE RESULTED IN THE ADDITION OF 51 NEW PATIENTS INTO THE EDUCATIONAL PROGRAMS. ADDITIONAL PATIENTS ARE BEING ACTIVELY RECRUITED FROM NYUHC, BELLEVUE HOSPITAL'S HEART FAILURE CLINIC AND THREE SENIOR CENTERS IN NEW YORK CITY. 14 GROUPS HAVE BEEN HELD AT SENIOR CENTERS AND ADDITIONAL SESSIONS HAVE BEEN HELD AT BELLEVUE AMBULATORY CLINICS. FOCUS GROUPS WERE CONDUCTED WITH RESPECT TO IMPLEMENTATION FEASIBILITY AND PROGRAM ACCEPTABILITY. OF THE 5 COMPLETED FOCUS GROUPS USING AN INDEPENDENT FOCUS GROUP LEADER, PROGRAM PARTICIPANTS PROVIDED GENERALLY POSITIVE FEEDBACK, THE BARRIERS TO THE COMMUNITY BASED APPROACH INCLUDED WEATHER AND THE NEED FOR ADDITIONAL SESSION TIMES DUE TO SCHEDULING CONFLICTS. THE QUALITATIVE DATA ALSO PROVIDED INSIGHT INTO THE MECHANISM OF THE INTERVENTION AS A PROCESS OF SKILL-BUILDING IN WHICH INDIVIDUALS INCREASED KNOWLEDGE AND RECOGNIZED THE ADDITIONAL INFORMATION NEEDED IN ORDER TO DEVELOP SKILLS AS WELL AS DEVELOPED INCREASED CONFIDENCE IN THEIR ABILITIES DURING DIFFICULT SITUATIONS. PARTICIPANTS HAVE COLLABORATED WITH A MEDICAL GRAPHICAL ARTIST TO DEVELOP NOVEL EDUCATIONAL TOOLS FOR THE HEART FAILURE POPULATION THAT ARE LARGELY INDEPENDENT OF LANGUAGE AND RELY ON GRAPHICAL REPRESENTATION OF THE KEY CONCEPTS OF SELF-CARE. HEART FAILURE INTERVENTION MATERIALS WERE TRANSLATED INTO SPANISH FOR DELIVERY BY A BILINGUAL EDUCATION TO HISPANIC ELDERS WITH HEART FAILURE. HYPERTENSION - DURING THE PAST YEAR NYULMC'S CENTER FOR HEALTHFUL BEHAVIORAL CHANGE COMPLETED IMPLEMENTATION OF THE PROGRAM'S INTERVENTION COMPONENT AS WELL AS DATA COLLECTION PERTAINING TO THE 3-MONTH FOLLOW-UP VISIT AT THE PHIPPS NORC IN SEPTEMBER 2011. 13 RESIDENTS WITH HYPERTENSION WERE ENROLLED AT THE PHIPPS NORC TO RECEIVE 4-WEEK GROUP LIFESTYLE COUNSELING SESSIONS DELIVERED BY THE TRAINED NORC RESIDENTS. THE CLASSES HAD AN OVERALL ATTENDANCE RATE OF 73% AND WERE OFFERED IN BOTH ENGLISH AND SPANISH. A NEW NORC SITE WAS ADDED IN LOWER MANHATTAN IN JANUARY 2012. FOUR RESIDENTS WERE TRAINED TO DELIVER LIFESTYLE COUNSELING SESSIONS AND 12 PARTICIPANTS WERE RECRUITED TO RECIEVE THE FIRST ROUND OF GROUP SESSIONS WITH A SECOND GROUP OF 10 TO FOLLOW.CHILDHOOD OBESITY - DURING THE PAST YEAR, PARENTCORPS SERVICES WERE IMPLEMENTED SUCCESSFULLY IN THEIR 12 PARTNER SCHOOLS. OF THE 12 SCHOOLS, 2 SCHOOLS RECEIVED THE WRITTEN MATERIALS; 4 RECEIVED THE PARENT WORKSHOPS; 3 RECEIVED THE PARENT GROUP DISCUSSIONS; 4 RECEIVED THE STUDENT HEALTH FAIRS; AND 1 SCHOOL RECEIVED THE FULL 14-WEEK PROGRAM AS DESCRIBED IN MORE DETAIL BELOW. ONE SCHOOL RECEIVED BOTH THE 14-WEEK PROGRAM AND PARENT WORKSHOPS, AND ONE SCHOOL RECEIVED THE HEALTH FAIR AND PARTICIPATED IN THE PARENT GROUP DISCUSSIONS. IN TOTAL, THEY SUCCESSFULLY ENGAGED 452 PARENTS AND 511 STUDENTS FROM 12 SCHOOLS IN THEIR EARLY CHILDHOOD EVIDENCED-BASED SERVICES. THEY ALSO SUCCESSFULLY ENGAGED IN A COLLABORATIVE PROCESS WITH 14 SCHOOL COMMUNITY MEMBERS WHO GAVE INFORMED AND CRITICAL FEEDBACK OF THEIR SERVICES. ALL OF THE PARENTCORPS SERVICES WERE MET WITH GREAT ENTHUSIASM BY SCHOOL STAFF AND FAMILIES. THE COMMUNITY ADVISORY GROUP MEMBERS, WHO OBSERVED WORKSHOPS, HEALTH FAIRS AND THE AFTERSCHOOL PROGRAM, SIMILARLY RATED PARENTCORPS SERVICES AS HIGHLY EFFECTIVE, ENGAGING AND RELEVANT TO THE NEEDS OF THEIR COMMUNITIES. BARRIERS TO IMPLEMENTATION WERE MOSTLY RELATED TO LACK OF PARENT ENGAGEMENT IN ONE SCHOOL WHERE THERE WAS A LACK OF INFRASTRUCTURE FOR PARENT RECRUITMENT AS WELL AS IN ANOTHER SCHOOL WHICH SERVED A HIGHLY TRANSIENT POPULATION. INCREASING PARENT ENGAGEMENT IS A FOCUS OF THEIR ONGOING EFFORTS.BODY PROJECT - NYULMC'S BODY PROJECT IS IN ITS FIFTH YEAR OF OPERATION AND HAS CONTINUED TO BE EXTREMELY SUCCESSFUL IN CONDUCTING LARGE NUMBERS OF MEDICAL SCREENINGS OF OVERWEIGHT AND OBESE INNER CITY HIGH SCHOOL YOUTH WITH THE GOAL OF IDENTIFYING STUDENTS AT RISK FOR CARDIO-METABOLIC DISEASE FROM EXCESS BODY WEIGHT. THE NYULMC BODY PROJECT HAS EXPERIENCED TREMENDOUS COMMITMENT FROM PUBLIC HIGH SCHOOL ADMINISTRATORS AND TERRIFIC YOUTH REPRESENTATION. MOST IMPORTANT, PARTICIPANTS' PARENTS/CAREGIVERS HAVE DEMONSTRATED REMARKABLE RESPONSE TO THE PERSONALIZED, EASY-TO-UNDERSTAND REPORT OF THE MEDICAL RESULTS OF THEIR CHILDREN. THEY ARE MAKING SIGNIFICANT INROADS WITH FAMILIES BY EDUCATING THEM ABOUT THE MEDICAL RISKS ASSOCIATED WITH OBESITY, BY OFFERING ALTERNATIVES TO REDUCE SUCH RISKS, AND BY CONNECTING AT-RISK YOUTH TO HEALTHCARE PRACTITIONERS.DURING THE 2011-2012 ACADEMIC YEAR, THE BODY PROJECT PARTNERED WITH FOUR HIGH SCHOOLS IN MANHATTAN AND BROOKLYN. THESE SCHOOLS REPRESENTED ADOLESCENTS FROM ALL FIVE BOROUGHS AND A WIDE RANGE OF ETHNIC AND RACIAL BACKGROUNDS. THE PROJECT COLLECTED HEIGHT, WEIGHT AND WAIST CIRCUMFERENCE MEASUREMENTS ON 3,478 HIGH SCHOOL STUDENTS TO CALCULATE BODY MASS INDEX (BMI). ALL OVERWEIGHT AND OBESE STUDENTS AND RANDOMLY SELECTED HEALTHY WEIGHT STUDENTS WERE APPROACHED FOR PARTICIPATION. THIS PARTICIPATION INCLUDED OBTAINING A FASTING BLOOD SAMPLE (TO MEASURE GLUCOSE, INSULIN, HEMOGLOBIN A1C, CHOLESTEROL PROFILE, AND CRP), BLOOD PRESSURE, AND QUESTIONNAIRES TO ACCESS EATING HABITS, PHYSICAL ACTIVITY, AND PSYCHOSOCIAL FUNCTIONING. THE BODY PROJECT, BY OPERATING IN THE SCHOOLS AND PROVIDING FREE EVALUATIONS, HAS BEEN SUCCESSFUL IN IDENTIFYING AND REPORTING UNHEALTHY MEDICAL CONDITIONS TO ADOLESCENTS AND THEIR FAMILIES, WHO WOULD OTHERWISE NOT KNOW THAT THEY NEEDED SCREENING OR HAVE THE FINANCIAL RESOURCES TO GET THOSE MEDICAL EVALUATIONS.INFECTIOUS DISEASESHEPATITIS B - AS DEVELOPED IN THE PRIOR COMMUNITY SERVICE PLAN, THE NYU SCHOOL OF MEDICINE'S CENTER FOR IMMIGRANT HEALTH'S CENTER FOR ASIAN AMERICAN HEALTH IN CONJUNCTION WITH THE NYU HOSPITALS CENTER AND ST. VINCENT'S MEDICAL CENTER WAS TO DEVELOP, EVALUATE AND DISSEMINATE EVIDENCE-BASED PRACTICES IN PROVIDING THE PREDOMINANTLY CHINESE POPULATION UTILIZING ST. VINCENT'S CHINATOWN HEALTH SERVICES WITH HEPATITIS B SCREENING, TREATMENT, AND A VACCINATION PROGRAM. AS CONCEIVED, THIS PROGRAM DID NOT OCCUR OWING TO ST. VINCENT'S MEDICAL CENTER'S SERIOUS FINANCIAL TROUBLES AND EVENTUAL CLOSING. DURING THE PAST YEAR, IT HAD BEEN HOPED TO CONTINUE THE FOLLOW-UP OF THE ORIGINAL COHORT OF PATIENTS WHO WERE SCREENED FOR HEPATITIS B, COMPARING THAT GROUP TO A "LATER REFERRAL" GROUP AND THAT AN ADDITIONAL COMPARISON COULD BE MADE BETWEEN THE TWO GROUPS AT THE CHARLES B. WANG CENTER AND THAT A FURTHER COMPARISON COULD BE MADE BETWEEN THE CHARLES B. WANG HEP B POPULATIONS AND THE BELLEVUE HEP B POPULATIONS. THIS WAS NOT POSSIBLE DUE TO THE FACT THAT THE NUMBER OF "ORIGINAL COHORT" PATIENTS AT BELLEVUE HAD DECLINED WHILE THE NUMBER OF "LATER REFERRAL" PATIENTS HAS INCREASED RESULTING IN AN UNEQUAL PATIENT DISTRIBUTION THAT COULD NOT BE COMPARED STATISTICALLY. IN ADDITION, ANOTHER DIFFICULTY RESULTED FROM PROBLEMS AT THE COMMUNITY-BASED ENTITY, WHEREBY THERE WAS NO DIFFERENTIATION OF "ORIGINAL COHORT" VS. "LATER REFERRAL". NYULMC REMAINS ACTIVELY CONCERNED AND INVOLVED WITH THE IMPORTANT ISSUE OF HEPATITIS B IN ASIAN AMERICANS AND WAS AWARDED A CENTERS FOR DISEASE CONTROL (CDC) GRANT ESTABLISHING 25 SEPARATE SATELLITE PROGRAMS IN 25 DIFFERENT SITES WITH LARGE CHINESE AMERICAN POPULATIONS THROUGHOUT THE COUNTRY, INCLUDING NEW YORK CITY WHERE IT HELPED CREATE THE HEPATITIS B COALITION EXPANDING THE PARTICIPATION OF COMMUNITIES THAT WERE NOT PREVIOUSLY INVOLVED IN HEPATITIS PREVENTION AND TREATMENT EFFORTS. REPORTS FILED WITH STATES PART VI, LINE 7 NY 0 NEW YORK UNIVERSITY - SCHOOL OF MEDICINE 726 BROADWAY 9TH FLOOR NEW YORK NY 10003 135562308 501(C)(3) 157662272 SUPPORT CLINICAL, EDUCATIONAL, AND RESEARCH ACTIVITIES OF NYU SCHOOL OF MEDICINE. 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURE FOR MONITORING THE USE OF GRANT FUNDS TO OTHER 501(C)(3) ORGANIZATIONS IN THE UNITED STATES: ALL GRANTS WERE MADE TO RELATED TAX-EXEMPT 501(C)(3) ORGANIZATIONS, THEREFORE NO MONITORING OF THE USE OF FUNDS IS REQUIRED. X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 MICHAEL C ALFANO DMD PHD 0 546529 0 574490 0 0 0 35500 0 11521 0 1168040 0 0 ROBERT BERNE PHD 0 1201982 0 0 0 0 0 24500 0 11905 0 1238387 0 0 BONNIE BRIER 0 570972 0 0 0 0 0 24500 0 11905 0 607377 0 0 ROBERT I GROSSMAN MD 1036384 1036384 350000 350000 384087 384087 296688 296688 6425 6425 2073584 2073584 224293 224293 DAVID W MCLAUGHLIN 0 573463 0 0 0 19462 0 24500 0 11905 0 629330 0 0 JOHN E SEXTON 0 1241084 0 0 0 60536 0 101700 0 70434 0 1473754 0 0 STEVEN B ABRAMSON MD 190775 424629 77500 172500 0 0 7595 16905 2613 5817 278483 619851 0 0 DAFNA BAR-SAGI PHD 0 576202 0 100000 0 0 0 21058 0 0 0 697260 0 0 BERNARD A BIRNBAUM MD 1033721 0 400000 0 0 0 24500 0 17352 0 1475573 0 0 0 ANDREW W BROTMAN MD 466512 466512 200000 200000 2505 2505 12250 12250 0 0 681267 681267 0 0 MICHAEL T BURKE 414418 414418 150000 150000 12500 12500 12250 12250 6770 6770 595938 595938 0 0 ANNETTE JOHNSON JD 511542 90272 170000 30000 0 0 20825 3675 10073 1778 712440 125725 0 0 VICKI MATCH SUNA AIA 287649 287649 100000 100000 651 651 12250 12250 6639 6639 407189 407189 0 0 NADER MHERABI 243651 243651 50000 50000 5227 5227 9800 9800 5042 5042 313720 313720 0 0 NANCY SANCHEZ 241637 241637 200000 200000 0 0 12250 12250 2759 2759 456646 456646 0 0 ANTHONY SHORRIS 351031 351031 150000 150000 1100 1100 11229 11229 6639 6639 519999 519999 0 0 KEVIN HANNIFAN 550716 0 0 0 58005 0 19600 0 0 0 628321 0 0 0 DAVID DIBNER 489868 0 0 0 22400 0 19600 0 13221 0 545089 0 0 0 ROBERT A PRESS MD PHD 541511 0 0 0 0 0 24500 0 5667 0 571678 0 0 0 NINA KATHRYN MCCLELLAN 375387 0 0 0 6390 0 19600 0 4727 0 406104 0 0 0 MAUREEN T FITZPATRICKMSNRN 320929 0 0 0 25720 0 19600 0 9906 0 376155 0 0 0 DEBRA BERGER 238070 0 0 0 0 0 19600 0 13509 0 271179 0 0 0 RICHARD COHEN 114872 114872 0 0 11845 11845 9165 9165 8144 8144 144026 144026 0 0 RICHARD DONOGHUE 453847 194506 140000 60000 14746 6320 13720 5880 8251 3536 630564 270242 0 0 SHEILA EISENBERG 210492 0 0 0 0 0 17212 0 6227 0 233931 0 0 0 THOMAS M FEUERSTEIN 220986 220986 16035 16035 10525 10525 9800 9800 7248 7248 264594 264594 0 0 KIMBERLY GLASSMAN 371545 0 25500 0 14875 0 19600 0 14465 0 445985 0 0 0 KARIM HABIBI 428501 0 0 0 9750 0 22000 0 17825 0 478076 0 0 0 AMY HORROCKS 287385 0 0 0 0 0 19600 0 0 0 306985 0 0 0 KEVIN KIRCHEN 349942 0 0 0 6721 0 19600 0 8669 0 384932 0 0 0 IRENE KREUSCHER 201622 0 0 0 91099 0 16333 0 9454 0 318508 0 0 0 REGINALD A ODOM 113479 113479 0 0 0 0 9200 9200 7284 7284 129963 129963 0 0 WESLEY SMITH 424604 74930 0 0 11475 2025 16660 2940 14175 2502 466914 82397 0 0 GILDA VENTRESCA-ECROYD 146525 146525 0 0 0 0 12250 12250 6085 6085 164860 164860 0 0 ROBERT GLICKMAN MD 0 204760 0 0 0 0 0 20577 0 8851 0 234188 0 0 PAUL CONOCENTI MBA 72809 72809 61851 61851 250686 250686 3267 3267 8536 8536 397149 397149 0 0 VIVIAN S LEE MD PHD MBA 0 512074 0 0 0 0 0 12250 0 9676 0 534000 0 0 PART I, LINE 1A THREE OFFICERS HAVE A CAR AND DRIVER AT THEIR DISPOSAL. THEY PAY TAXES ON THE IMPUTED VALUE OF THE PERSONAL USE OF THE VEHICLE AND DRIVER. TWO OFFICERS ARE PROVIDED WITH A HOUSING ALLOWANCE, WHICH IS INCLUDED IN THEIR TAXABLE INCOME. ONE OFFICER RECEIVED A TAX GROSS-UP PAYMENT WHICH WAS INCLUDED IN THEIR TAXABLE INCOME. ONE OFFICER USED FIRST-CLASS TRAVEL FOR BUSINESS TRAVEL. PART I, LINE 4B DR. GROSSMAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN DURING CALENDAR YEAR 2011. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $568,875 FOR CALENDAR YEAR 2011. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYUHC AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. NEW YORK UNIVERSITY PRESIDENT JOHN SEXTON IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15, 2015, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES AS DEAN OF THE SCHOOL OF LAW AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE TO CALENDAR YEAR 2011 IS INCLUDED IN PART II, ABOVE, IN COLUMN C(II). IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT TO A SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, PRESIDENT SEXTON WILL BE ENTITLED TO RECEIVE PAYMENTS FOR THE REMAINDER OF HIS LIFE (THE "SERP ANNUAL PAYMENTS") EQUAL TO $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2008, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION TO MAKE THE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON NEW YORK UNIVERSITY'S FORMS 990. PRESIDENT SEXTON'S SALARY - WHILE PRESIDENT OR IN ANY POST-PRESIDENT EMPLOYMENT WITH NYU - IS REDUCED BY THE SERP ANNUAL PAYMENTS. FOR EXAMPLE, SO LONG AS PRESIDENT SEXTON REMAINS AS PRESIDENT, HE WILL NOT RECEIVE ANY ECONOMIC BENEFIT FROM THE SERP ANNUAL PAYMENTS BECAUSE EVERY DOLLAR HE RECEIVES FROM THE SERP ANNUAL PAYMENTS WILL REDUCE HIS SALARY AS PRESIDENT. NEW YORK UNIVERSITY EXECUTIVE VICE PRESIDENT ALFANO IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15, 2013, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $11,000 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU COLLEGE OF DENTISTRY (INCLUDING HIS SERVICES AS DEAN OF THE NYU COLLEGE OF DENTISTRY, A MEMBER OF THE FACULTY OF THE NYU COLLEGE OF DENTISTRY, AND/OR EVP OF NYU). THE $11,000 ALLOCABLE TO CALENDAR YEAR 2011 IS INCLUDED IN PART II, ABOVE, IN COLUMN C (II). PART I, LINE 7 TWO OFFICERS RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. SUPPLEMENTAL INFORMATION PART III FORM 990, SCHEDULE J, PART II, COL. (F): DR. GROSSMAN'S OTHER REPORTABLE COMPENSATION (COL. (B)(III)) INCLUDES AMOUNTS THAT WERE REPORTED AS DEFERRED COMPENSATION IN A PRIOR FORM 990. DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 64983QY86 2006-10-04 97290705 SERIES 2006A/SEE SCHEDULE K, PART VI 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903DA6 2007-02-06 169685043 SERIES 2007A/SEE SCHEDULE K, PART VI 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903WS6 2007-12-05 91005523 SERIES 2007B/SEE SCHEDULE K, PART VI 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 2009-09-30 46141845 TELP/SEE SCHEDULE K, PART VI 0 0 0 99082046 11220556 1941074 85920416 2006 1 1 1 1 16070000 173655710 15271874 2620827 122942945 25645046 7175018 2009 1 0 0 1 6550000 100367486 8578244 1776326 81166030 519563 8327323 2009 0 0 0 1 17858360 49142340 142000 49000340 2011 0 0 1 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 1 0 0 0.01000 0.00000 0.01000 1 0 1 0 0 0.00400 0.00000 0.00400 1 0 0 0 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 FORM 990, SCHEDULE K, PART I DESCRIPTION OF PURPOSE SERIES 2006A - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2006A - TO REFINANCE SERIES 2000A (ISSUED ON MAY 18, 2000), CREATE A DEBT SERVICE FUND FOR SERIES 2006A, AND PAY FOR THE SERIES 2006A ISSUANCE COSTS. SERIES 2007A - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2007A - TO REFINANCE SERIES 2000B (ISSUED ON NOVEMBER 13, 2002), FINANCE THE: ACQUISITION OF NYUHC'S 34TH STREET CANCER CENTER; REFINANCE A LOAN INCURRED BY NYUHC TO FINANCE TENANT IMPROVEMENTS AT THE CANCER CENTER; REPLACEMENT OF TWO AIR HANDLING UNITS AT TISCH HOSPITAL, INCLUDING RELATED WORK NECESSARY TO REDISTRIBUTE ELECTRICAL LOADS; RENOVATION AND REPLACEMENT OF THE CHILLER PLANT THAT SERVICES TISCH HOSPITAL, INCLUDING THE PURCHASE AND INSTALLATION OF STEAM TURBINES AND PIPING UPGRADES; RENOVATION AND EXPANSION OF THE POST ANESTHESIA CARE UNIT AT TISCH HOSPITAL, INCLUDING RELOCATION OF SERVICES AND MECHANICAL SYSTEMS; CREATE A DEBT SERVICE FUND FOR SERIES 2007A; AND PAY FOR THE SERIES 2007A ISSUANCE COSTS. SERIES 2007B - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2007B TO FINANCE THE: ACQUISITION & INSTALLATION OF NEW EMERGENCY GENERATORS AT TISCH HOSPITAL; RELOCATION, CONSTRUCTION, RENOVATION, EXPANSION AND EQUIPPING OF THE INTENSIVE CARE UNITS AT TISCH HOSPITAL; CONSTRUCTION, RENOVATION AND EQUIPPING OF LEASED SPACE IN AN EXISTING FACILITY LOCATED AT 333 EAST 38TH STREET, TO CREATE A NEW AMBULATORY SURGERY CENTER, CONSISTING OF OPERATING SUITES, PRE-OPERATION/RECOVERY BEDS, AND A PATHOLOGY LABORATORY; CONSTRUCTION AND RENOVATION OF A FLOOR OF THE SCHWARTZ HEALTH CARE CENTER, INCLUDING HVAC SYSTEM UPGRADES, TO ACCOMMODATE THE RELOCATION OF A SHORT-STAY UNIT FROM TISCH HOSPITAL AND POST-SURGICAL OBSERVATION BEDS; CONSTRUCTION, RENOVATION, AND EQUIPPING OF A CARDIAC AND VASCULAR CENTER WITHIN THE SCHWARTZ HEALTH CARE CENTER; CREATE A DEBT SERVICE FUND FOR SERIES 2007B; AND PAY FOR THE SERIES 2007B ISSUANCE COSTS. TELP - DASNY - TAX-EXEMPT LEASING PROGRAM TO FINANCE THE ACQUISITION AND IMPLEMENTATION OF EPIC HARDWARE AND SOFTWARE. SERIES 2011A - DASNY - NYU HOSPITALS CENTER REVENUE BONDS, 2011A FOR THE FOLLOWING CAPITAL IMPROVEMENTS: RENOVATION AND EQUIPPING OF THE EMERGENCY DEPARTMENT, INCLUDING RENOVATION OF EXISTING SPACE AND RECONFIGURATION OF SPACE ADJACENT TO THE EXISTING EMERGENCY DEPARTMENT FOR EMERGENCY DEPARTMENT USE; RENOVATION AND EQUIPPING OF A NEW MUSCULOSKELETAL CENTER TO CONSOLIDATE NYUHC'S OUTPATIENT MUSCULOSKELETAL SERVICES; AND ROUTINE CAPITAL IMPROVEMENTS. FORM 990, SCHEDULE K, PART II, LINE 3 TOTAL PROCEEDS OF ISSUE THE TOTAL PROCEEDS DO NOT AGREE TO THE ISSUE PRICE IN PART I, COLUMN (E) DUE TO THE ADDITION OF INVESTMENT EARNINGS. DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 6499058G4 2011-01-25 130139047 SERIES 2011A/SEE SCHEDULE K, PART VI 0 0 0 2675000 138711419 10873563 2043104 61109066 64685686 0 0 0 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 AMERICAN EXPRESS COMPANY TRUSTEE OF NYUHC AND CHAIRMAN & CEO OF AMERICAN EXPRESS COMPANY KENNETH I. CHENAULT, TRUSTEE, IS CHAIRMAN & CEO OF AMERICAN EXPRESS COMPANY. NYU HOSPITALS CENTER HAS A BUSINESS RELATIONSHIP WITH AMERICAN EXPRESS THAT INCLUDES AN EXTENSION OF CREDIT FROM AMERICAN EXPRESS TO NYU HOSPITALS CENTER FOR THE PURCHASE OF CERTAIN SUPPLIES AND SERVICES. AMERICAN EXPRESS RECEIVES A FEE FOR THE USE OF THE CREDIT EXTENDED TO NYU HOSPITALS CENTER. THE CONTRACT BETWEEN NYU HOSPITALS CENTER AND AMERICAN EXPRESS WAS NEGOTIATED ON AN ARM-LENGTH BASIS. 0 JP MORGAN CHASE COMPANY TRUSTEE OF NYUHC AND CHAIRMAN & CEO OF JP MORGAN CHASE & COMPANY JAMIE DIMON, TRUSTEE, IS CHAIRMAN & CHIEF EXECUTIVE OFFICER OF JP MORGAN CHASE & COMPANY. A PORTION OF NYU HOSPITALS CENTER'S ASSET PORTFOLIO IS INVESTED WITH AND MANAGED BY JP MORGAN CHASE & COMPANY. NYU HOSPITALS CENTER HAS A BUSINESS RELATIONSHIP WITH JP MORGAN CHASE & COMPANY THAT INCLUDES AN EXTENSION OF CREDIT FROM JP MORGAN CHASE & COMPANY TO NYU HOSPITALS CENTER FOR THE PURCHASE OF CERTAIN SUPPLIES AND SERVICES AND A LOAN AGREEMENT TO FUND THE HOSPITALS CENTER'S DEFINED BENEFIT PENSION PLAN. JP MORGAN CHASE & COMPANY RECEIVES QUARTERLY PRINCIPAL AND INTEREST PAYMENTS FOR THE LOAN AND FEE FOR THE USE OF THE CREDIT EXTENDED TO NYU HOSPITALS CENTER. THE CONTRACTS BETWEEN NYU HOSPITALS CENTER AND JP MORGAN CHASE & COMPANY WERE NEGOTIATED ON AN ARMS-LENGTH BASIS. 0 UNITEDHEALTH GROUP TRUSTEE OF NYUHC AND EXECUTIVE VICE PRESIDENT OF UNITEDHEALTH GROUP 1548312 ANTHONY WELTERS, TRUSTEE, IS EXECUTIVE VICE PRESIDENT OF UNITEDHEALTH GROUP. NYU HOSPITALS CENTER CONTRACTED WITH UNITED HEALTHCARE, A DIVISION OF UNITEDHEALTH GROUP TO ADMINISTER ONE OF THE FIVE MEDICAL INSURANCE PLANS OFFERED BY NYU HOSPITALS CENTER TO ITS EMPLOYEES. UNITED HEALTHCARE RECEIVES A FEE FOR ADMINISTERING THE PLAN. THE CONTRACT BETWEEN NYU HOSPITALS CENTER AND UNITEDHEALTH GROUP WAS NEGOTIATED ON AN ARMS-LENGTH BASIS. 0 BANK OF AMERICA TRUSTEE OF NYUHC AND CO-COO OF BANK OF AMERICA THOMAS K. MONTAG, TRUSTEE, IS CO-CHIEF OPERATING OFFICER OF BANK OF AMERICA. NYU HOSPITALS CENTER HAS A BUSINESS RELATIONSHIP WITH BANK OF AMERICA THAT INCLUDES BUSINESS BANKING, A LINE OF CREDIT FROM BANK OF AMERICA TO NYU HOSPITALS CENTER AND A LOAN AGREEMENT RELATED TO THE SERIES 2000D BONDS. BANK OF AMERICA RECEIVES QUARTERLY PRINCIPAL AND INTEREST PAYMENTS FOR THE LOAN AND FEES ASSOCIATED WITH THE BUSINESS BANKING AND THE USE OF THE CREDIT EXTENDED TO NYU HOSPITALS CENTER. THE CONTRACTS BETWEEN NYU HOSPITALS CENTER AND BANK OF AMERICA WERE NEGOTIATED ON AN ARMS LENGTH BASIS. 0 X 8 18474856 MARKET VALUE 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 DESCRIPTION OF RELATIONSHIPS: LORI FINK, TRUSTEE, & LAURENCE D. FINK, CO-CHAIR, HAVE A FAMILY RELATIONSHIP. EDWARD H. MEYER AND SANDRA MEYER HAVE A FAMILY RELATIONSHIP. THOMAS S. MURPHY & THOMAS S. MURPHY JR., TRUSTEES, HAVE A FAMILY RELATIONSHIP. RONALD O. PERELMAN AND DEBRA PERELMAN, TRUSTEES, HAVE A FAMILY RELATIONSHIP. NORMA SMITH AND ROBIN L. SMITH, TRUSTEES, HAVE A FAMILY RELATIONSHIP. ALICE M. TISCH AND THOMAS J. TISCH, TRUSTEES, HAVE A FAMILY RELATIONSHIP. WILLIAM R. BERKLEY AND LARRY A. SILVERSTEIN HAVE A BUSINESS RELATIONSHIP. FRANK T. NICKELL AND LAURENCE D. FINK HAVE A BUSINESS RELATIONSHIP. LINDA ROBINSON AND LAURENCE D. FINK HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 6 DESCRIPTION OF CLASSES OF MEMBERS OR STOCKHOLDERS: THE SOLE MEMBER OF THE NYU HOSPITALS CENTER IS NEW YORK UNIVERSITY. FORM 990, PART VI, SECTION A, LINE 7A DESCRIPTION OF CLASSES OF PERSONS AND THE NATURE OF THEIR RIGHTS: WITH RESPECT TO THE ELECTION OF THE BOARD OF TRUSTEES OF NYU HOSPITALS CENTER, NEW YORK UNIVERSITY, AS THE SOLE MEMBER HAS THE POWER AND AUTHORITY: 1. TO ELECT THE TRUSTEES; 2. REMOVE A TRUSTEE; AND 3. FILL ANY VACANCIES IN THE BOARD. FORM 990, PART VI, SECTION A, LINE 7B DESCRIPTION OF CLASSES OF PERSONS, DECISIONS REQUIRING APPROVAL AND THE TYPE OF VOTING RIGHTS: WITH RESPECT TO THE DECISIONS OF THE BOARD OF TRUSTEES OF NYU HOSPITALS CENTER, NEW YORK UNIVERSITY AS THE SOLE MEMBER, HAS THE POWER AND AUTHORITY TO: 1. AMEND OR REPEAL THE BY-LAWS OR ADOPTING NEW BY-LAWS; 2. APPROVE THE CORPORATION'S MERGER OR CONSOLIDATION WITH ANOTHER ENTITY; 3. APPROVE THE SALE, LEASE, EXCHANGE OR OTHER DISPOSITION OF ALL, OR SUBSTANTIALLY ALL, THE ASSETS OF THE CORPORATION; 4. REVIEW THE VISION, MISSION AND STRATEGIC AND FINANCIAL PLANS OF THE CORPORATION; 5. APPROVE THE BOARD'S APPOINTMENT OF TRUSTEES TO SERVE AS MEMBERS OF THE OPERATING COMMITTEE; 6. REVIEW THE CORPORATION'S ANNUAL OPERATING AND CAPITAL BUDGETS, PROVIDED THAT FINAL APPROVAL OF THE BUDGETS SHALL REMAIN WITH THE CORPORATION; 7. APPROVE: (A) ANY TRANSACTION HAVING A VALUE IN EXCESS OF $25,000,000; (B) ANY TRANSACTION WHICH REQUIRES THE MEMBER'S GRANT OR PLEDGE OF SECURITY INTEREST IN ANY REALTY OR PERSONALTY CONSTITUTING A PART OF OR AFFIXED TO THE NYU MEDICAL CENTER CAMPUS WHICH THE MEMBER OWNS; OR (C) ANY BORROWING BY THE CORPORATION FOR WHICH THE MEMBER IS PROPOSED TO BE GUARANTOR, PROVIDED THAT WITH RESPECT TO ANY TRANSACTION OR BORROWING DESCRIBED IN THIS PARAGRAPH; 8. FINAL APPROVAL OF HOSPITAL DEBT NECESSARY TO FINANCE THE COST OF COMPLIANCE WITH OPERATIONAL OR PHYSICAL PLANT STANDARDS REQUIRED BY LAW, OR TO IMPLEMENT CERTIFICATE OF NEEDS APPLICATIONS, SHALL REMAIN WITH THE CORPORATION; AND 9. APPROVING THE CREATION AND/OR DISSOLUTION OF AN ENTITY IN WHICH THE CORPORATION IS PROPOSED TO BE, OR IS, THE CONTROLLING MEMBER. FORM 990, PART VI, SECTION B, LINE 11 DESCRIPTION OF THE PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW THE FORM 990: 1. THE FINANCE DEPARTMENT DRAFTS THE FORM 990 AND THE ACCOMPANYING SCHEDULES BASED ON THE FISCAL YEAR'S FINANCIAL ACTIVITY AND PRIOR YEAR REPORTING. 2. THE DRAFT IS PROVIDED TO THE ORGANIZATION'S EXTERNAL TAX ADVISOR FOR REVIEW. 3. THE DRAFT IS THEN REVIEWED BY THE ASSISTANT TREASURER, VICE PRESIDENT OF FINANCE, AND CHIEF FINANCIAL OFFICER FOR COMPLETENESS AND ACCURACY. THIS IS AN ITERATIVE PROCESS WHICH MAY INVOLVE MORE THAN ONE REVIEW BY THE ORGANIZATION'S EXTERNAL TAX ADVISOR. 4. THE REVIEWED DRAFT IS PRESENTED TO THE BOARD OF TRUSTEES' AUDIT COMMITTEE, AS WELL AS CERTAIN OTHER OFFICERS FOR REVIEW. 5. ONCE APPROVED BY THE AUDIT COMMITTEE, THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD AND THEN IT IS FORWARDED TO THE IRS. FORM 990, PART VI, SECTION B, LINE 12C DESCRIPTION OF THE PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST: ALL TRUSTEES, EMPLOYEES OF THE CORPORATION, AND MEMBERS OF THE MEDICAL STAFF (VOLUNTARY AND FULL-TIME) HAVE A PRIMARY OBLIGATION TO SERVE THE PURPOSES TO WHICH THE MEDICAL CENTER IS DEDICATED. IN ACCORDANCE WITH THE CONFLICT OF INTEREST POLICY ADOPTED BY THE BOARD OF TRUSTEES AND IN EFFECT FROM TIME TO TIME, THE FOLLOWING MUST SUBMIT TO THE OFFICE OF COMPLIANCE'S CONFLICTS OF INTEREST MANAGEMENT UNIT ("CIMU") ANNUAL DISCLOSURE FORMS UPON APPOINTMENT AND ANNUALLY THEREAFTER: I. CHAIRS, VICE-CHAIRS, DEPARTMENT ADMINISTRATORS, AND ALL EMPLOYEES AND OFFICERS AT THE LEVEL OF VICE PRESIDENT, ASSISTANT DEAN OR DIRECTOR OR ABOVE; II. FACULTY MEMBERS, WHETHER FULL TIME OR PART TIME; III. PERSONS WITH THE ABILITY TO ORDER MEDICAL DEVICES OR PRESCRIBE MEDICATIONS (E.G., NURSE PRACTITIONERS, PHYSICIAN'S ASSISTANTS, AND PHYSICIANS); IV. INVESTIGATORS PARTICIPATING IN THE MEDICAL CENTER'S RESEARCH AND SPONSORED PROGRAMS; V. PERSONS ENGAGED IN PURCHASING DECISIONS ON BEHALF OF THE MEDICAL CENTER; AND VI. MEMBERS OF ANY MEDICAL CENTER COMMITTEES WITH SUPERVSION OR OVERSIGHT RESPONSIBILITIES OVER PATIENT CARE, PURCHASING, RESEARCH OR EDUCATION AT THE MEDICAL CENTER (E.G., THE PHARMACY AND THERAPEUTIC COMMITTEE (P&T) AND THE INSTITUTIONAL REVIEW BOARD (IRB)). THE ANNUAL DISCLOSURE FORM WILL BE PROVIDED TO THE ABOVE LISTED INDIVIDUALS BY THE CIMU AND MUST BE COMPLETED AND RETURNED WITHIN 30 DAYS OF RECEIPT. ADDITIONALLY, THE CIMU MAY REQUEST COMPLETION OF AN ANNUAL DISCLOSURE FORM AT ITS DISCRETION DURING THE YEAR. THE SUBMITTED FORMS ARE REVIEWED AS FOLLOWS: A. DIVISION LEADER/SUPERVISOR INITIAL REVIEW: THE APPROPRIATE DIVISION LEADERS OR SUPERVISORS ARE RESPONSIBLE FOR REVIEWING ANNUAL DISCLOSURES UPON SUBMISSION. THE PRIMARY PURPOSE OF THIS REVIEW IS TO BECOME AWARE OF NYULMC MEMBER INVOLVEMENTS IN THEIR LINE OF AUTHORITY. DIVISION LEADERS/SUPERVISORS SHOULD ALSO VERIFY THE COMPLETENESS OF ANNUAL DISCLOSURES BASED ON NYULMC MEMBER ACTIVITIES KNOWN TO THEM. B. DEPARTMENT CHAIR/LEADER APPROVAL. THE DEPARTMENT CHAIR/LEADER IS RESPONSIBLE FOR REVIEWING DISCLOSURES AND FOR DETERMINING WHETHER A POTENTIAL CONFLICT OF INTEREST EXISTS UNDER THE CIRCUMSTANCES. IN CASES INVOLVING AN NYULMC MEMBER OTHER THAN A CORPORATE OFFICER, WHERE THE DEPARTMENT CHAIR/LEADER BELIEVES THAT A CONFLICT OF INTEREST EXISTS, THE DEPARTMENT CHAIR/LEADER WILL EITHER ISSUE A MANAGEMENT PLAN IN ACCORDANCE WITH EXISTING GUIDELINES OR SUBMIT THE MATTER TO THE CIMU FOR SUBMISSION TO THE BUSINESS CONFLICT OF INTEREST COMMITTEE (BCOIC) FOR REVIEW IN ACCORDANCE WITH THIS POLICY. THE BCOIC WILL ISSUE GUIDELINES FOR MANAGEMENT PLANS. IN CASES INVOLVING A CORPORATE OFFICER WHERE THE DEPARTMENT LEADER (TYPICALLY THE DEAN/CEO) BELIEVES THAT A CONFLICT OF INTEREST EXISTS, THE DEPARTMENT LEADER WILL SUBMIT THE MATTER TO THE AUDIT AND COMPLIANCE COMMITTEE. C. NON-CORPORATE OFFICER CONFLICTS/BCOIC REVIEW. THE BCOIC IS RESPONSIBLE FOR REVIEWING AND EVALUATING EACH POTENTIAL CONFLICT OF INTEREST INVOLVING AN NYULMC MEMBER OTHER THAN A CORPORATE OFFICER SUBMITTED TO IT BY THE CIMU. AS A MATTER OF POLICY, IF THE BCOIC FINDS THAT A CONFLICT OF INTEREST EXISTS, THE MEDICAL CENTER WILL NOT APPROVE THE MATTER UNLESS THE BCOIC DETERMINES, AFTER REVIEWING ALL MATERIAL FACTS, THAT EXTRAORDINARY CIRCUMSTANCES MERIT AN EXCEPTION AND THE BCOIC ADOPTS A PLAN FOR MANAGING AND MONITORING THE CONFLICT OF INTEREST WHICH IS FULLY CONSISTENT WITH THE BEST INTERESTS OF THE MEDICAL CENTER. THE BCOIC MUST REPORT TO THE AUDIT AND COMPLIANCE COMMITTEE ALL FINDINGS IT MAKES ARISING FROM ITS REVIEW AND EVALUATION RESPONSIBILITIES UNDER THIS POLICY. D. CORPORATE OFFICER CONFLICTS/AUDIT AND COMPLIANCE COMMITTEE REVIEW. THE AUDIT AND COMPLIANCE COMMITTEE IS RESPONSIBLE FOR REVIEWING AND EVALUATING EACH POTENTIAL CONFLICT OF INTEREST INVOLVING A CORPORATE OFFICER SUBMITTED TO IT BY THE CIMU. AS A MATTER OF POLICY, IF THE AUDIT AND COMPLIANCE COMMITTEE FINDS THAT A CONFLICT OF INTEREST EXISTS, THE MEDICAL CENTER WILL NOT APPROVE THE MATTER, UNLESS THE AUDIT AND COMPLIANCE COMMITTEE DETERMINES, AFTER REVIEWING ALL MATERIAL FACTS, THAT EXTRAORDINARY CIRCUMSTANCES MERIT AN EXCEPTION AND THE AUDIT AND COMPLIANCE COMMITTEE ADOPTS A PLAN FOR MANAGING AND MONITORING THE CONFLICT OF INTEREST WHICH IS FULLY CONSISTENT WITH THE BEST INTERESTS OF THE MEDICAL CENTER. TRUSTEES MUST SUBMIT A GENERAL DISCLOSURE STATEMENT UPON APPOINTMENT, UPON EACH TRIENNIAL REAPPOINTMENT THEREAFTER, AND UPON REQUEST OF THE OFFICE OF COMPLIANCE. IN THE GENERAL DISCLOSURE STATEMENT, A TRUSTEE MUST CERTIFY COMPLIANCE WITH THIS POLICY AND DISCLOSE ALL ENTITIES IN WHICH HE OR SHE HOLDS A MATERIAL INTEREST WHICH HE OR SHE REASONABLY BELIEVES DOES OR MAY DO BUSINESS WITH THE MEDICAL CENTER OR COMPETES OR MAY COMPETE WITH THE MEDICAL CENTER. ALL DISCLOSURES MUST BE MADE IN SPECIFIC AMOUNTS. THE TRUSTEE MUST DISCLOSE ANY ENTITY IN WHICH THE TRUSTEE AND/OR ANY MEMBER OF HIS OR HER IMMEDIATE FAMILY: I. HAS A DIRECTOR OR TRUSTEE POSITION; II. HAS AN OFFICER OR SENIOR EXECUTIVE POSITION; III. IS A PARTNER; OR IV. OWNS OR CONTROLS MORE THAN 5% OF THE ENTITY'S OUTSTANDING EQUITY. THE GENERAL DISCLOSURE STATEMENT FORM WILL BE PROVIDED TO EACH TRUSTEE BY THE OFFICE OF COMPLIANCE AND MUST BE COMPLETED AND RETURNED WITHIN 30 DAYS OF RECEIPT AND PRIOR TO THE FIRST MEETING OF THE BOARD OF TRUSTEES (OR A COMMITTEE THEREOF) FOLLOWING HIS OR HER APPOINTMENT OR REAPPOINTMENT. THE OFFICE OF COMPLIANCE IS RESPONSIBLE FOR REVIEWING EACH DISCLOSURE RECEIVED FROM ANY TRUSTEE AND FOR DETERMINING WHETHER A POTENTIAL CONFLICT OF INTEREST EXISTS UNDER THE CIRCUMSTANCES. IN CASES WHERE THE OFFICE OF COMPLIANCE BELIEVES THAT A CONFLICT OF INTEREST EXISTS, THE OFFICE OF COMPLIANCE WILL SUBMIT THE MATTER TO THE AUDIT AND COMPLIANCE COMMITTEE FOR REVIEW IN ACCORDANCE WITH THIS POLICY. THE AUDIT AND COMPLIANCE COMMITTEE IS RESPONSIBLE FOR REVIEWING AND EVALUATING EACH POTENTIAL CONFLICT OF INTEREST INVOLVING A TRUSTEE SUBMITTED BY THE OFFICE OF COMPLIANCE. AS A MATTER OF POLICY, IF THE AUDIT AND COMPLIANCE COMMITTEE FINDS THAT A CONFLICT OF INTEREST EXISTS, THE MEDICAL CENTER WILL NOT APPROVE THE MATTER, UNLESS THE AUDIT AND COMPLIANCE COMMITTEE DETERMINES, AFTER REVIEWING ALL MATERIAL FACTS, THAT EXTRAORDINARY CIRCUMSTANCES MERIT AN EXCEPTION AND THE AUDIT AND COMPLIANCE COMMITTEE ADOPTS A PLAN FOR MANAGING AND MONITORING THE CONFLICT OF INTEREST WHICH IS FULLY CONSISTENT WITH THE BEST INTERESTS OF THE MEDICAL CENTER. THE AUDIT AND COMPLIANCE COMMITTEE MUST REPORT TO THE BOARD OF TRUSTEES ALL FINDINGS IT MAKES ARISING FROM ITS REVIEW AND EVALUATION RESPONSIBILITIES UNDER THIS POLICY. FORM 990, PART VI, SECTION B, LINE 15 AND 15B: OFFICES AND POSITIONS FOR WHICH PROCESS WAS USED AND YEAR PROCESS WAS BEGUN: THE EXECUTIVE COMPENSATION PROCESS AT NYU HOSPITALS CENTER ("NYUHC") IS ADMINISTERED BY A COMMITTEE OF TRUSTEES THAT DID NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS AT ISSUE. THE COMMITTEE FOLLOWS A BOARD APPROVED CHARTER WHICH EMPOWERS THEM TO ADMINISTER THE EXECUTIVE COMPENSATION PROGRAM AND PROCESS ON BEHALF OF THE FULL BOARD OF TRUSTEES OF NYUHC. IN CARRYING OUT ITS RESPONSIBILITIES, THE COMMITTEE WILL: (1) ENSURE THE ADOPTION OF AND MONITOR THE ADHERENCE TO POLICIES AND PROCEDURES FOR DETERMINING AND DOCUMENTING REASONABLE EMPLOYEE COMPENSATION; (2) ENSURE THE MAINTENANCE OF DOCUMENTATION CONFIRMING THAT ALL EMPLOYEE COMPENSATION IS REASONABLE IN NATURE, APPROVED IN ACCORDANCE WITH APPROVED POLICY, IS THE VALUE THAT WOULD ORDINARILY BE PAID FOR LIKE SERVICES BY A LIKE ENTERPRISE UNDER LIKE CIRCUMSTANCES AND GIVEN THE REQUIRED TAX TREATMENT; AND (3) MONITOR EMPLOYEE BENEFIT RETIREMENT PLANS THAT INVOLVE THE ESTABLISHMENT AND MANAGEMENT OF DESIGNATED FUNDS (EXCEPT INVESTMENT MANAGEMENT) FOR THE BENEFIT OF EMPLOYEES GENERALLY OR SPECIFIED GROUPS OF EMPLOYEES. IN REVIEWING AND APPROVING THE COMPENSATION OF HIGHLY COMPENSATED INDIVIDUALS AND OF INDIVIDUALS WHO ARE IN A POSITION TO INFLUENCE THE AFFAIRS OF NYUHC, THE COMMITTEE MAY RELY UPON APPROPRIATE DATA AS TO COMPARABILITY AND SHALL ADEQUATELY AND TIMELY DOCUMENT THE BASIS FOR ITS DETERMINATION CONCURRENTLY WITH MAKING THAT DETERMINATION. THE DOCUMENTATION SHALL INCLUDE THE TERMS OF THE TRANSACTIONS AND THE DATE OF ITS APPROVAL, THE MEMBERS OF THE COMPENSATION AND BENEFITS COMMITTEE PRESENT DURING THE DEBATE AND VOTE ON THE TRANSACTION, THE COMPARABILITY DATA OBTAINED AND RELIED UPON, THE ACTS OF ANY MEMBERS OF THE COMMITTEE HAVING A CONFLICT OF INTEREST AND DOCUMENTATION OF THE BASIS FOR THE DETERMINATION. THE COMMITTEE REVIEW TAKES PLACE ON THE FOLLOWING SCHEDULE: (1) ANNUALLY FOR ALL VICE PRESIDENT, VICE DEANS, CHAIRS AND ABOVE, I.E., KEY EXECUTIVES; (2) AT HIRE AND FOR ADJUSTMENT OF COMPENSATION FOR KEY EXECUTIVES AND COVERED INDIVIDUALS; (3) EVERY 3 YEARS A GLOBAL REVIEW ALL FACULTY SALARIES WILL BE PERFORMED AND SALARIES RELATED TO CHANGES IN RESPONSIBILITIES OR NEW HIRES WILL BE DONE ON A RETROACTIVE REVIEW BASIS. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS TO THE GENERAL PUBLIC: THE ORGANIZATION'S CONFLICT OF INTEREST POLICY IS AVAILABLE ON ITS WEBSITE AT: HTTP://WWW.MED.NYU.EDU/COMPLIANCE/POLICIES/INDEX.HTML. THE ORGANIZATION'S GOVERNING DOCUMENTS ARE NOT MADE PUBLICLY AVAILABLE. THE ORGANIZATION'S FINANCIAL STATEMENT IS MADE AVAILABLE TO THE PUBLIC AS PART OF ITS ANNUAL FILING WITH THE NYS ATTORNEY GENERAL'S OFFICE AND IS AVAILABLE THROUGH THEIR WEBSITE. ESTIMATED AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATION FORM 990, PART VII NAME/TITLE/HOURS JAN T. VILCEK, MD, PHD / TRUSTEE / 60.0 MICHAEL C. ALFANO, DMD, PHD / EX-OFFICIO / 60.0 ROBERT BERNE, PHD / EX-OFFICIO / 60.0 BONNIE BRIER / EX-OFFICIO / 60.0 ROBERT I. GROSSMAN, MD / DEAN & CEO / 30.0 DAVID W. MCLAUGHLIN / EX-OFFICIO / 60.0 JOHN E. SEXTON / EX-OFFICIO / 60.0 STEVEN B. ABRAMSON, MD / SVP/VICE DEAN FOR EDUCATION / 41.4 DAFNA BAR-SAGI, PHD / SVP/VICE DEAN SCIENCE, CHIEF SCIENTIFIC OFFICER / 30.0 ANDREW W. BROTMAN, MD / SVP/VICE DEAN, CHIEF CLINICAL OFFICER / 30.0 MICHAEL T. BURKE / SVP/VICE DEAN, CORPORATE CHIEF FINANCIAL OFFICER / 30.0 ANNETTE JOHNSON, JD / SVP/VICE DEAN, GENERAL COUNSEL / 9.0 VICKI MATCH SUNA, AIA / SVP/VICE DEAN FOR REAL ESTATE DEVELOP. AND FACIL. / 30.0 NADER MHERABI / SVP/VICE DEAN, CHIEF INFORMATION OFFICER / 30.0 NANCY SANCHEZ / SVP/VICE DEAN, HUMAN RESOURCES / 30.0 ANTHONY SHORRIS / SVP/VICE DEAN AND CHIEF OF STAFF / 30.0 RICHARD COHEN / VP, FACILITIES / 30.0 RICHARD DONOGHUE / SVP, STRATEGIC PLANNING & BUSINESS DEVELOPMENT / 18.0 THOMAS M. FEUERSTEIN / VP, FINANCE / 30.0 REGINALD A. ODOM / VP, HUMAN RESOURCES / 30.0 WESLEY SMITH / VP, PATIENT FINANCIAL SERVICES / 9.0 GILDA VENTRESCA-ECROYD / VP, GOVERNMENTAL AFFAIRS / 30.0 ROBERT GLICKMAN, MD / FORMER DEAN& CEO / 35.0 PAUL CONOCENTI, MBA / SVP/VICE DEAN, CHIEF INFORMATION OFFICER (FORMER) / 30.0 VIVIAN S. LEE, MD, PHD, MBA / SVP/VICE DEAN, CHIEF SCIENTIFIC OFFICER (FORMER) / 30.0 CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 31,442,120. CHANGES IN PENSION & POSTRETIREMENT OBLIGATIONS -88,310,952. TRANSFER OF EQUITY TO SCHOOL OF MEDICINE FOR REAL PROPERTY -10,063,315. TOTAL TO FORM 990, PART XI, LINE 5: -66,932,147. NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 UNIVERSITY NY 501(C)(3) LINE 2 N/A 0 34TH STREET CANCER CENTER INC C/O NYUHC 550 FIRST AVENUE NEW YORK NY 10016 300262470 CANCER CARE NY 501(C)(3) LINE 11C, III-FI NYU HOSPITALS CENTER 1 HAROLD ACTON TRUST 726 BROADWAY 9TH FLOOR NEW YORK NY 10003 137050560 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 HORTENSE ACTON TRUST 70 WASHINGTON SQ S NEW YORK NY 10013 367110976 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501(C)(3) PF NEW YORK UNIVERSITY 1 INSTITUTE OF FINE ARTS FOUNDATION 1 EAST 78TH STREET NEW YORK NY 10021 237184242 SUPP NYU'S INSTITUTE OF FINE ARTS NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD ST 2ND FL NEW YORK NY 10012 133954405 STUDY,RESEARCH, EDUCATION ON PHILANTHROPY & THE LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY IN ABU DHABI CORP 70 WASHINGTON SQ S NEW YORK NY 10013 262652713 SUPPORT NYU COLLEGE IN ABU DHABI NY 501(C)(3) LINE 2 NEW YORK UNIVERSITY 1 NEW YORK UNIV SCHOOL OF BUSINESS FDN 44 WEST 4TH ST STE 11-160 NEW YORK NY 10012 134168015 SUPPORTS NYU'S L.N. STERN SCHOOL OF BUSINESS NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU IMAGING INC 545 FIRST AVENUE NEW YORK NY 10016 134000622 SUPPORT NYU SCHOOL OF MEDICINE NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU REAL ESTATE CORPORATION 70 WASHINGTON SQ S 11TH NEW YORK NY 10013 134141728 OWNS REAL PROPERTY NY 501(C)(25) NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW FOUNDATION 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 136161036 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW HOUSING ASSISTANCE CO 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134043221 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RECRUITMENT ASSIST CO 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134043182 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RETENTION ASSIST CORP 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134047911 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 POLYTECHNIC INSTITUTE OF NEW YORK UNIVERSITY 6 METROTECH CENTER BROOKLYN NY 11201 111630820 ENGINEERING COLLEGE NY 501(C)(3) LINE 2 NEW YORK UNIVERSITY 1 WASHINGTON SQUARE LEGAL SERVICES INC 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 237392120 CERTAIN PUBLIC INTEREST ACTIVITIES OF NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY MEDICAL CENTER FOUNDATION 550 FIRST AVENUE NEW YORK NY 10016 237268635 SUPPORT RESEARCH NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 JURODIN FUND PO BOX 6089 NEWARK DE 197146089 136169166 SILVER FUNDS DE 501(C)(3) PF NEW YORK UNIVERSITY 1 CCC 550 INSURANCE SCC 550 FIRST AVENUE NEW YORK NY 10016 PROF LIAB COVERAGE BB NYU HOSPITALS CENTER C 67206000 333581000 1.00000 INTERNATIONAL ART FUND C/O NYU 726 BROADWAY NEW YORK NY 10003 HOLDS STOCK IN LA PIETRA CORP. PM N/A C LA PIETRA CORPORATION VIA BOLOGNESE 120 FLORENCE IT 50139 HOLDS PROPERTY COMPRISING NYU'S FLORENCE CAMPUS IT N/A C NYU IN FRANCE 56 RUE DE PASSY PARIS FR 75016 SUPPORT NYU'S PROGRAM IN FRANCE FR N/A C NIU DA ED INFOR CONSULTING CO LTD 3663 ZHONGSHAN RD N SHANGHAI CH 200062 SUPPORT NYU'S PROGRAM IN CHINA CH N/A C NYU IN LONDON 6 BEDFORD SQUARE LONDON UK WC1B 3RA SUPPORT NYU'S PROGRAM IN LONDON UK N/A C NYU IN TEL-AVIV LTD TUVAL 13 TEL AVIV IS 52522 SUPPORT NYU'S PROGRAM IN TEL-AVIV IS N/A C NYU TISCH INT'L (LONDON) LTD SENATE HOUSE SOUTH BLOCK ROOM 26 LONDON UK WC1E 7HU SUPPORT NYU'S TSOA'S PROGRAM IN LONDON UK N/A C NYU TISCH SCH OF ARTS ASIA LTD 3 KAY SIANG ROAD SN 248923 SUPPORT NYU'S TSOA'S PROGRAM IN SINGAPORE SN N/A C NYU-PRO FRANCE 56 RUE DE PASSY PARIS FR 75016 SUPPORT NYU'S PROGRAM IN FRANCE FR N/A C CENTER FOR THE FORMATION OF NYU SHANGHAI 3663 ZHONGSHAN RD N SHANGHAI CH 200062 SUPPORT NYU'S PROGRAM IN CHINA CH N/A C 0 1 1 0 0 0 0 0 1 1 1 1 0 1 1 0 1 1 CCC550 INSURANCE SCC L 25615860 FAIR MARKET VALUE