2011-10-17T07:37:24-04:00 2010-11-30 BOND BEEBE 4600 EAST-WEST HIGHWAY SUITE 900 BETHESDA MD 208143423 990 2009-12-01 133467049 AFTRA HEALTH FUND AFTR 2124994800 261 MADISON AVE 8TH FL NEW YORK NY 100162312 CHRISTINE DUBOIS 2011-10-12 SCOTT PRICE 3012726000 2009 2016-03-07 17:11:31Z CHRISTINE DUBOIS 261 MADISON AVENUE NEW YORK NY 10016 670379949 false X WWW.AFTRAHR.COM X 1954 NY THE AFTRA HEALTH FUND IS THE MULTIEMPLOYER TRUST FOR A WELFARE BENEFIT PLAN. 20 20 147 0 0 0 0 0 91159314 112686488 20118 10313415 80788 117938 91260220 123117841 0 0 73545921 77480840 6303330 6812033 0 0 0 11057688 11846812 90906939 96139685 353281 26978156 156762671 183586294 14136985 12678685 142625686 170907609 THE AFTRA HEALTH FUND IS THE MULTIEMPLOYER TRUST FOR A WELFARE BENEFIT PLAN. false false SERVED AS THE TRUST FOR A MULTIEMPLOYER WELFARE BENEFIT PLAN THAT PROVIDED HEALTH BENEFITS (MAJOR MEDICAL, HOSPITAL, SURGICAL, PRESCRIPTION DRUGS, MENTAL HEALTH, AND DENTAL) AND VARIOUS INSURANCE BENEFITS TO PARTICIPANTS, AND CERTAIN BENEFITS TO THE ELIGIBLE DEPENDENTS AND BENEFICIARIES OF PARTICIPANTS. false false false false false false false false true true false false false false false false false false false false false false true false false false false false false false false false false false true false false true 79 0 true 147 true false false false false false 20 20 false false false false false true false true true false false true true true true true true false false false X BD TRUSTEES AFTRA HEALTH FUND 2124994800 261 MADISON AVE FL 8 NEW YORK NY 100162312 MARION PRESTON 3.0 X 0 0 0 TED BIRD 2.0 X 0 0 0 HARRY ISAACS 1.0 X 0 0 0 DEAN FERRIS 1.0 X X 0 0 0 J KEITH GORHAM 1.0 X 0 0 0 JEAN BONINI 1.0 X 0 0 0 HANK LACHMUND 1.0 X 0 0 0 MARC SANDMAN 1.0 X 0 0 0 SHELBY SCOTT 2.0 X X 0 0 0 DAVID HARTLEY-MARGOLIN 1.0 X 0 0 0 LYNNE LAMBERT 2.0 X 0 0 0 DAVID BROWDE 1.0 X 0 0 0 JOYCE REEHLING 1.0 X 0 0 0 SALLY STEVENS 1.0 X 0 0 0 DENNY DELK 2.0 X 0 0 0 MATTHEW KIMBROUGH 1.0 X 0 0 0 KIM ROBERTS HEDGEPETH 1.0 X 0 0 0 STEPHEN BURROW 1.0 X 0 0 0 JOHN FITZGERALD 1.0 X 0 0 0 JAMES SIRMONS 1.0 X 0 0 0 RON WILCOX 1.0 X 0 0 0 STEPHEN MIRANTE 1.0 X 0 0 0 CHRISTINE DUBOIS 28.0 X 227843 89837 17830 STEWART ADAMS 28.0 X 25056 9879 5195 JUDY PENA 29.0 X 100565 39206 7114 BERNARD PERLMUTTER 29.0 X 90991 35473 10785 DONALD FAUGHNAN 29.0 X 104204 40624 25198 ALETHEA PRATT 29.0 X 109586 42722 9671 RICK RUBANO 29.0 X 97665 38075 2059 CHARLES TARAMINA 0.0 X 88153 34758 16158 844063 330574 94010 5 true true false CIGNA HEALTH CARE ONE LIBERTY PLACE PHILADELPHIA PA 19192 BENEFIT PLAN MGMT 1315881 SALIBELLO BRODER LLP 633 THIRD AVENUE NEW YORK NY 10017 COMPLIANCE AUDIT 813993 BLUE CROSS OF CALIFORNIA 2155 OXNARD STREET WOODLAND HILLS CA 91367 BENEFIT PLAN MGMT 467628 VALUE OPTIONS 441 9TH AVENUE 6TH FLOOR NEW YORK NY 10001 BENEFIT PLAN MGMT 318333 COHEN WEISS SIMON LLP 330 WEST 42ND STREET NEW YORK NY 100366976 LEGAL FEES 303543 16 0 PRODUCERS 525100 90886539 90886539 PARTICIPANTS 525100 21799949 21799949 112686488 4060782 4060782 0 0 553514741 547262108 6252633 6252633 6252633 0 0 0 COMMISSION RECAPTURE 900099 3357 3357 SECURITY LENDING 900099 11077 11077 SECURITY LITIGATION 900099 103504 103504 117938 123117841 112686488 10431353 0 0 0 77480840 347815 0 5721449 101043 101880 539846 0 685460 965576 0 0 612682 3294693 20446 843120 951323 0 2200905 43275 0 133972 0 0 1871598 162020 DUES AND SUBSCRIPTIONS 30810 MISCELLANEOUS 30932 96139685 0 1800 11535022 26044900 9663837 13780801 1545172 163545 10380231 2975230 7380050 7405001 117900517 128632655 8738073 7557592 156762671 183586294 3241357 3778667 3572782 3113971 7322846 5786047 14136985 12678685 X 142625686 170907609 142625686 170907609 156762671 183586294 X false true true X 3220177 284012 2936165 5869838 2160204 3709634 1290216 531014 759202 7405001 0 DUE TO AFFILIATED FUNDS 37893 DUE TO BROKERS - PURCHASES 4274899 DEFERRED RENT 1473255 5786047 123117841 96139685 26978156 1303767 1303767 28281923 123808926 1303767 1303767 122505159 612682 612682 123117841 95527003 95527003 612682 612682 96139685 FIN 48 FOOTNOTE PART X, LINE 2 ACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OF AMERICA REQUIRE MANAGEMENT OF AN ORGANIZATION TO EVALUATE TAX POSITIONS TAKEN BY THE ORGANIZATION AND RECOGNIZE AN INCOME TAX LIABILITY IF THE ORGANIZATION HAS TAKEN AN UNCERTAIN POSITION THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE INTERNAL REVENUE SERVICE. MANAGEMENT HAS EVALUATED THE TAX POSITIONS TAKEN BY THE PLAN AND CONCLUDED THAT AS OF NOVEMBER 30, 2010 THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF A LIABILITY OR DISCLOSURE IN THE FINANCIAL STATEMENTS. X true true X X false false false CHRISTINE DUBOIS 206857 81562 20986 8275 0 0 12788 5042 0 0 240631 94879 0 0 DONALD FAUGHNAN 100343 39119 3861 1505 0 0 18130 7068 0 0 122334 47692 0 0 CHARLES TARAMINA 88153 34758 0 0 0 0 11589 4569 0 0 99742 39327 0 0 ALETHEA PRATT 104605 40780 4981 1942 0 0 6958 2713 0 0 116544 45435 0 0 DEFERRED COMPENSATION PART II, COLUMN C $41,064 OF THE AMOUNT IN THIS COLUMN REPRESENTS THE ANNUAL INCREASE IN ACTUARIAL VALUE OF A QUALIFIED DEFINED BENEFIT PLAN, AS CALCULATED BY THE PLAN ACTUARY. NONE OF THIS INCREASE REPRESENTS AN ACTUAL OUTLAY. FIRST-CLASS TRAVEL PART I, LINE 1A UNDER A TRAVEL REIMBURSEMENT PLAN, THE ORGANIZATION REIMBURSES THE TRUSTEES FOR FIRST-CLASS TRAVEL EXPENSES INCURRED FOR BUSINESS RELATED TO THE ORGANIZATION. NO PART OF THE REIMBURSEMENT IS TREATED AS TAXABLE COMPENSATION TO THE TRUSTEES. REVIEW PROCESS OF FORM 990 FORM 990, PART VI, SECTION A, LINE 11A THE FORM 990 IS REVIEWED BY THE CHIEF FINANCIAL OFFICER OF THE HEALTH FUND PRIOR TO ITS SUBMISSION FOR FILING. IN ADDITION, A COPY OF THE FORM 990 IS PROVIDED TO THE ENTIRE BOARD OF TRUSTEES PRIOR TO THE FILING OF THE RETURN. PUBLIC AVAILABILITY OF GOVERNING DOCUMENTS, POLICIES AND FINANCIALS FORM 990, PART VI, SECTION C, LINE 19 THE HEALTH FUND DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. MONITOR AND COMPLIANCE OF CONFLICT OF INTEREST POLICY FORM 990, PART VI, SECTION B, LINE 12C PROCEDURES ----------------------------------- 1. DUTY TO DISCLOSE IN CONNECTION WITH ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS TO THE BOARD (OR A DESIGNATED COMMITTEE OF TRUSTEES) FOR CONSIDERATION OF THE PROPOSED TRANSACTION OR ARRANGEMENT. IN ADDITION, TRUSTEES MUST DISCLOSE TO THE BOARD (AND UPDATE ANNUALLY) THEIR INTERESTS THAT ARE REASONABLY LIKELY TO GIVE RISE TO CONFLICTS OF INTEREST, SUCH AS A LIST OF FAMILY MEMBERS, SUBSTANTIAL BUSINESS OR INVESTMENT HOLDINGS, OWNERSHIP OR INVESTMENT INTERESTS AND OTHER TRANSACTIONS WITH BUSINESS AND OTHER ORGANIZATIONS AND THOSE OF FAMILY MEMBERS. 2. DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, THE INTERESTED PERSON SHALL LEAVE THE BOARD (OR COMMITTEE) MEETING WHILE THE REMAINING MEMBERS OF THE BOARD (OR COMMITTEE) DETERMINE AND VOTE ON THE ISSUE OF WHETHER A CONFLICT OF INTEREST EXISTS. 3. PROCEDURES FOR ADDRESSING THE CONFLICT OF INTEREST A. IF A CONFLICT OF INTEREST IS FOUND TO EXIST, THE INTERESTED PERSON MAY MAKE A PRESENTATION AT THE BOARD (OR COMMITTEE) MEETING CONCERNING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER SUCH PRESENTATION, HE OR SHE SHALL LEAVE THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION OR ARRANGEMENT. B. THE CHAIRPERSON OF THE BOARD (OR COMMITTEE) SHALL, IF APPROPRIATE, APPOINT A DISINTERESTED PERSON OR COMMITTEE TO INVESTIGATE ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT. C. AFTER EXERCISING DUE DILIGENCE, THE BOARD (OR COMMITTEE) SHALL DETERMINE WHETHER THE FUND CAN OBTAIN, WITH REASONABLE EFFORTS, A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. D. IF (I) A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY ATTAINABLE UNDER CIRCUMSTANCES THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST, AND (II) THE TRANSACTION OR ARRANGEMENT DOES NOT VIOLATE THE PROHIBITED TRANSACTION PROVISIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974, AS AMENDED ("ERISA"), THE INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE "CODE"), OR OTHER APPLICABLE LAW, THEN THE BOARD (OR COMMITTEE) SHALL DETERMINE WITH ONLY THE DISINTERESTED TRUSTEES (OR COMMITTEE MEMBERS) VOTING WHETHER THE TRANSACTION OR ARRANGEMENT IS IN THE FUND'S BEST INTEREST AND FOR THE FUND'S OWN BENEFIT AND WHETHER THE TRANSACTION IS FAIR AND REASONABLE TO THE FUND, AND SHALL MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE TRANSACTION OR ARRANGEMENT IN CONFORMITY WITH SUCH DETERMINATION. 4. VIOLATIONS OF THE CONFLICTS OF INTEREST POLICY A. IF THE BOARD (OR COMMITTEE) HAS REASONABLE CAUSE TO BELIEVE THAT A TRUSTEE OR THE CEO HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT SHALL INFORM THE PERSON OF THE BASIS FOR SUCH BELIEF AND AFFORD THE PERSON AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. B. IF, AFTER HEARING THE RESPONSE OF THE PERSON AND MAKING SUCH FURTHER INVESTIGATION AS MAY BE WARRANTED UNDER THE CIRCUMSTANCES, THE BOARD (OR COMMITTEE) DETERMINES THAT THE PERSON HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE ACTIONS THAT IT DEEMS APPROPRIATE. ACKNOWLEDGEMENT OF POLICY ------------------------------------ EACH TRUSTEE AND ALL EMPLOYEES OF THE FUND SHALL SIGN A STATEMENT WHICH AFFIRMS THAT SUCH PERSON - A. HAS RECEIVED A COPY OF THIS POLICY; B. HAS READ AND UNDERSTANDS THE POLICY; C. HAS AGREED TO COMPLY WITH THE POLICY; AND D. UNDERSTANDS THAT THE FUND IS AN EMPLOYEE BENEFIT PLAN SUBJECT TO THE PROVISIONS OF ERISA, WHICH, IN ORDER TO MAINTAIN ITS FEDERAL TAX EXEMPTION, MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX EXEMPT PURPOSES AND THAT HE OR SHE MUST DISCHARGE HIS OR HER DUTIES WITH RESPECT TO THE FUND EXCLUSIVELY FOR THE BENEFIT OF THE FUND'S PARTICIPANTS AND ITS BENEFICIARIES. SELECTION OF GOVERNING BODY FORM 990, PART VI, SECTION A, LINE 7A SELECTION OF TRUSTEES ----------------------------------- THE GOVERNING BOARD SHALL CONSIST OF TEN (10) EMPLOYER TRUSTEES AND TEN (10) AFTRA TRUSTEES. IN THE EVENT THAT ANY EMPLOYER TRUSTEE SHALL DIE, BECOME INCAPABLE OF ACTING HEREUNDER, RESIGN, OR BE REMOVED, THE EMPLOYER TRUSTEES THEN IN OFFICE MAY, BY MAJORITY VOTE AND IN A WRITING SIGNED BY A MAJORITY OF THE EMPLOYER TRUSTEES AND DELIVERED TO THE BOARD, DESIGNATE A PERSON TO FILL THE POSITION OF EMPLOYER TRUSTEE THUS MADE AVAILABLE. IT IS THE INTENTION OF THE EMPLOYER TRUSTEES THAT THE COMPOSITION OF THE EMPLOYER TRUSTEES WILL BE GENERALLY REPRESENTATIVE OF THE VARIOUS SEGMENTS OF THE INDUSTRY FOR WHICH CONTRIBUTIONS HAVE HISTORICALLY BEEN REQUIRED TO BE MADE TO THE FUNDS. IN THE EVENT THAT ANY AFTRA TRUSTEE SHALL DIE, BECOME INCAPABLE OF ACTING HEREUNDER, RESIGN, OR BE REMOVED, AFTRA SHALL DESIGNATE A SUCCESSOR AFTRA TRUSTEE BY WRITTEN NOTICE FROM THE NATIONAL BOARD OF AFTRA DELIVERED TO THE BOARD, SUCH APPOINTMENT SHALL BECOME EFFECTIVE IMMEDIATELY UPON SUCH FILING. ALLOCATION OF HOURS WORKED BETWEEN RELATED ORGANIZATIONS FORM 990, PART VII, SECTION A, COLUMN E TRUSTEES -------------------- THE FOLLOWING TRUSTEES AVERAGED 1 HOUR PER WEEK AS TRUSTEES FOR AFTRA RETIREMENT PLAN: JAMES SIRMONS J KEITH GORHAM JEAN BONINI STEPHEN MIRANTE RON WILCOX LYNNE LAMBERT JOYCE REEHLING SALLY STEVENS MATT KIMBROUGH JOHN FITZGERALD STEPHEN BURROW THE FOLLOWING TRUSTEES AVERAGED 2 HOURS PER WEEK AS TRUSTEES FOR AFTRA RETIREMENT PLAN: TED BIRD HARRY ISAACS DEAN FERRIS HANK LACHMUND MARC SANDMAN SHELBY SCOTT DAVID HARTLEY-MARGOLIN DAVID BROWDE DENNY DELK KIM ROBERTS HEDGPETH THE FOLLOWING TRUSTEES AVERAGED 3 HOURS PER WEEK AS TRUSTEES FOR AFTRA RETIREMENT PLAN: MARION PRESTON OFFICERS AND HIGHLY COMPENSATED EMPLOYEES --------------------------------------------- THE FOLLOWING OFFICERS AND HIGHLY COMPENSATED EMPLOYEES AVERAGED 11 HOURS PER WEEK FOR AFTRA RETIREMENT PLAN: CHRISTINE DUBOIS STEWART ADAMS DONALD FAUGHNAN RICK RUBANO BERNARD PERLMUTTER ALETHEA PRATT JUDY PENA OTHER COMPENSATION FROM ORGANIZATION AND RELATED FORM 990, PART VII, SECTION A, COLUMN F $73,868 OF COLUMN F REPRESENTS AMOUNTS CALCULATED BY THE PLAN ACTUARY AS TO THE ANNUAL INCREASE IN ACTUARIAL VALUE OF QUALIFIED DEFINED BENEFITS. THESE AMOUNTS REPORTED ARE NOT ACTUAL OUTLAYS OF COMPENSATION TO THE OFFICERS AND HIGHLY COMPENSATED EMPLOYEES. AFTRA Retirement Plan 261 MADISON AVENUE 8TH FLOOR NEW YORK NY 100162312 136414972 PENSION FUND NY 401(A) NA false false false false false false false false false false false false true true false false false false