2011-11-15T16:02:45-06:00 2010-12-31 ERNST & YOUNG US LLP 18111 VON KARMAN AVENUE SUITE 1000 IRVINE CA 92612 990 2010-01-01 954772979 CALIFORNIA HEART CENTER FOUNDATION CALI 3102488327 8536 WILSHIRE BOULEVARD 3RD FLOOR BEVERLY HILLS CA 90211 THOMAS D GORDON 3102488327 2011-11-15 1 KARA ADAMS 9497942300 2010 2016-02-24 21:20:13Z ERIC N MARTON 8536 WILSHIRE BOULEVARD 3RD FLOOR BEVERLY HILLS CA 90211 2397116 0 X WWW.CALIFORNIAHEARTCENTER.ORG X 2000 CA PROMOTE & DEVELOP EDUCATIONAL & SCIENTIFIC RESEARCH TO ADVANCE THE FIELD OF CARDIOVASCULAR MEDICINE. 18 13 0 19 0 0 1202798 2355777 27380 27000 -109770 12029 0 2310 1120408 2397116 0 0 0 0 796650 1243501 0 0 0 572581 673594 1369231 1917095 -248823 480021 752522 1223690 101406 77487 651116 1146203 X THE MISSION OF THE CALIFORNIA HEART CENTER FOUNDATION IS TO ADVANCE THE FIELD OF CARDIOVASCULAR MEDICINE THROUGH CLINICAL RESEARCH INITIATIVES AND EDUCATIONAL INITIATIVES. 0 0 1277607 29310 THE MISSION OF THE CALIFORNIA HEART CENTER FOUNDATION IS TO ADVANCE THE FIELD OF CARDIOVASCULAR MEDICINE THROUGH CLINICAL RESEARCH INITIATIVES AND EDUCATIONAL INITIATIVES. OUR EFFORTS INCLUDE THE PURSUIT OF COLLABORATIVE RESEARCH PROJECTS WHICH PROMOTE A DEEPER UNDERSTANDING OF DISEASE PROGRESSION AND TEST THE EFFICACY OF NEW STRATEGIES FOR DIAGNOSIS AND TREATMENT. AREAS OF RESEARCH CURRENTLY BEING PURSUED INCLUDE NON-INVASIVE METHODS TO DETECT ORGAN REJECTION, NOVEL IMMUNOSUPPRESSIVE AGENTS, IMMUNE MONITORING STRATEGIES, AND LONG-TERM COMPLICATIONS SUCH AS CARDIAC ALLOGRAFT VASCULOPATHY. (CONTINUED ON SCHEDULE O)(CONTINUATION FROM FORM 990, PAGE 2)THE ORGANIZATION ALSO SUPPORTS IMPORTANT SCIENTIFIC SYMPOSIA, WHICH ALLOW FOR THE EXCHANGE OF IDEAS AMONG LEADERS IN THE FIELD AND PROVIDE A FORUM FOR EXPERTS TO SHARE THEIR EXPERIENCE AND KNOWLEDGE WITH OTHER PRACTITIONERS. THE ORGANIZATION RESOURCES ARE ALSO LEVERAGED TO SUPPORT A SUMMER RESEARCH INTERNSHIP PROGRAM FOR UNDERGRADUATE STUDENTS WITH AN INTEREST IN MEDICINE AND/OR ACADEMIC RESEARCH.FOLLOWING IS A SUMMARY OF PROJECTS AND PROGRAMS IMPLEMENTED IN 2010:CONSENSUS CONFERENCE ON THE TREATMENT OF ANTIBODY MEDIATED REJECTION IN HEART TRANSPLANTATION:IN COLLABORATION WITH THE INTERNATIONAL SOCIETY OF HEART & LUNG TRANSPLANTATION, A CONSENSUS CONFERENCE ON THE TREATMENT OF ANTIBODY MEDIATED REJECTION WAS HELD ON APRIL 20, 2010 IN CHICAGO, WITH JON KOBASHIGAWA SERVING AS THE CONFERENCE ORGANIZER AND CHAIR. THE CONFERENCE CONVENED 102 LEADING EXPERTS IN THE FIELD OF TRANSPLANTATION FROM AROUND THE WORLD, INCLUDING CLINICIANS, SURGEONS, IMMUNOLOGISTS AND PATHOLOGISTS WITH THE GOAL OF DEVELOPING MUCH-NEEDED GUIDELINES FOR THE DIAGNOSIS AND TREATMENT OF ANTIBODY MEDIATED REJECTION. THE CONFERENCE WAS WELL-RECEIVED AND HIGHLY PRODUCTIVE. A CONSENSUS STATEMENT IS CURRENTLY IN PROGRESS, WITH PUBLICATION EXPECTED THIS FALL.HEART TRANSPLANTATION AND ADVANCED HEART FAILURE: AN EXPERT UPDATE OF DIAGNOSIS AND TREATMENT OPTIONS:THIS TWO DAY COURSE, SPONSORED BY THE ORGANIZATION AND CEDARS-SINAI HEART INSTITUTE AND CHAIRED BY JON KOBASHIGAWA, FEATURED EXPERT PRESENTERS ON SUBJECT AREAS IDENTIFIED AS PART OF THE NEW AMERICAN BOARD OF INTERNAL MEDICINE CERTIFICATION EXAM IN HEART FAILURE AND TRANSPLANTATION. HELD IN LOS ANGELES ON OCTOBER 15-16, 2010, THIS EDUCATIONAL ACTIVITY OFFERED 14 HOURS OF INTENSIVE TEACHING FOCUSED ON CORE COMPETENCIES OF ADVANCED HEART FAILURE, MECHANICAL CIRCULATORY SUPPORT, PULMONARY HYPERTENSION AND TRANSPLANT CARDIOLOGY. THE COURSE INCLUDED A COMBINATION OF DIDACTIC LECTURES AND CASE BASED PRESENTATIONS WITH EMPHASIS ON GUIDELINES, KNOWLEDGE, AND PRACTICE MANAGEMENT AND IS EXPECTED TO DRAW PARTICIPATION FROM ACROSS THE COUNTRY.SUMMER RESEARCH INTERNSHIPS: UNDER THE SUPERVISION AND MENTORSHIP OF JON KOBASHIGAWA, SUMMER HEART TRANSPLANT RESEARCH INTERNSHIPS WERE OFFERED TO SIX STUDENTS IN MAY 2010. THESE INTERNSHIPS PROVIDE STUDENTS AT ALL LEVELS OF TRAINING AN OPPORTUNITY TO LEARN THE CLINICAL RESEARCH PROCESS, INCLUDING MEDICAL LITERATURE REVIEW, STUDY DESIGN, CHART REVIEW/DATA COLLECTION, DATA ANALYSIS, AND ABSTRACT DEVELOPMENT AND SUBMISSION. COMPLETED ABSTRACTS WERE SUBMITTED TO THE AMERICAN FEDERATION OF MEDICAL RESEARCH, A FORUM FOR JUNIOR INVESTIGATORS. THIS YEARS GROUP INCLUDED A FIRST YEAR MEDICAL STUDENT FROM CASE WESTERN UNIVERSITY AND UNDERGRADUATE STUDENTS FROM UC BERKELEY, UC SAN DIEGO, UCLA AND USC.RESEARCH PROJECTS:STUDY TITLE: EARLY INVASIVE MONITORING ATTENUATION THROUGH GENE EXPRESSION (EIMAGE)SPONSOR: EXPRESSION DIAGNOSTICS INC.PROJECT SUMMARY: THE PURPOSE OF THIS STUDY IS TO COMPARE THE SAFETY AND EFFECTIVENESS OF GENE EXPRESSION BLOOD TESTS TO THE COMMONLY USED METHOD OF HEART BIOPSIES FOR MONITORING ACUTE REJECTION IN PATIENTS WHO HAVE HAD A HEART TRANSPLANT. REJECTION IS PART OF THE BODY'S NATURAL DEFENSE AGAINST DISEASE AND IT IS A NORMAL RESPONSE BY THE BODY'S IMMUNE SYSTEM TO A TRANSPLANTED ORGAN. HISTORICALLY, THE STANDARD METHOD TO DETERMINE REJECTION HAS BEEN THROUGH ROUTINE HEART BIOPSIES. HOWEVER, A HEART BIOPSY IS AN INVASIVE PROCEDURE THAT REQUIRES PUTTING A SMALL TUBE THROUGH THE NECK OR GROIN INTO THE HEART; A VERY SMALL PIECE OF THE HEART TISSUE IS REMOVED AND EXAMINED FOR SIGNS OF REJECTION. BECAUSE OF THIS, THERE IS A GREAT DEAL OF INTEREST IN USING NON-INVASIVE METHODS TO DIAGNOSE REJECTION IN HEART TRANSPLANT PATIENTS. THE STUDY AIMS TO DEMONSTRATE THAT ACUTE REJECTION OF THE TRANSPLANTED HEART CAN BE SAFELY MONITORED USING THIS BLOOD TEST, FIRST COMMERCIALLY INTRODUCED IN 2005, SO THAT REPEATED HEART BIOPSIES CAN BE AVOIDED. THIS BLOOD TEST, CALLED GENE EXPRESSION PROFILING (GEP), BRAND NAMED ALLOMAP, IDENTIFIES THE EXPRESSION OF GENES ON WHITE BLOOD CELLS THAT CIRCULATE IN THE BLOOD AND CAUSE THE HEART TO BE REJECTED.STUDY TITLE: CLINICAL TRIALS IN ORGAN TRANSPLANTATION (CTOT): INDIVIDUALIZING THERAPY FOR KIDNEY AND HEART TRANSPLANT RECIPIENTSSPONSOR: NIHPROJECT SUMMARY: TRANSPLANTATION IS THE IDEAL THERAPY FOR END STAGE HEART AND END STAGE KIDNEY FAILURE, BUT ALLOGRAFT SURVIVAL AND FUNCTION REMAIN SUBOPTIMAL. THIS CTOT RENEWAL APPLICATION WILL BUILD UPON THE FINDINGS RESULTING FROM THE PREVIOUS 4 YEARS OF STUDYING BIOMARKERS AND MECHANISMS OF INJURY IN HEART AND KIDNEY TRANSPLANT RECIPIENTS IN AN EFFORT TO DEVELOP THERAPIES TAILORED TO INDIVIDUAL PATIENTS. THE OVERRIDING CLINICAL HYPOTHESIS IS THAT SPECIFICALLY DESIGNED THERAPIES GUIDED BY RATIONALLY CHOSEN NONINVASIVE IMMUNE MONITORING WILL IMPROVE OUTCOMES IN HEART AND KIDNEY TRANSPLANT RECIPIENTS. THE STUDY WILL INVOLVE IDENTIFYING HEART TRANSPLANT CANDIDATES AT HIGH RISK FOR ANTIBODY MEDIATED INJURY (HIGH PRA) AND PERFORMING A PILOT STUDY TO DETERMINE THE SAFETY AND EFFICACY OF DESENSITIZATION USING A COMBINATION OF B CELL DEPLETION (RITUXIMAB), IVIG PLASMAPHERESIS. THE STUDY WILL TEST THE HYPOTHESIS THAT DESENSITIZATION WILL LOWER PRA, DIMINISH THE WAITING TIME TO HEART TRANSPLANTATION AND RESULT IN ACCEPTABLE 1 YEAR GRAFT SURVIVAL AND FUNCTION. PATIENTS WILL BE ENROLLED FROM WITHIN A POWERFUL CONSORTIUM OF 22 NORTH AMERICAN HEART TRANSPLANT CENTERS THAT WAS DEVELOPED FOR THE ONGOING HEART TRANSPLANTATION CTOT05 STUDY. ASSOCIATED MECHANISTIC STUDIES WILL DETERMINE HOW THE DESENSITIZATION PROTOCOL IMPACTS PREFORMED ALLOREACTIVE T AND B CELL IMMUNITY AND WILL TEST THE HYPOTHESIS THAT RESIDUAL B AND T CELL IMMUNE MEMORY WITH REACTIVITY TO DONOR ANTIGENS MEDIATES POST-TRANSPLANT ALLOGRAFT INJURY.STUDY TITLE: RISK FACTORS AND OUTCOMES POST HEART TRANSPLANTATIONSPONSOR: INTERNALPROJECT SUMMARY: THE PURPOSE OF THIS CLINICAL RESEARCH IS TO RETROSPECTIVELY REVIEW DATA ON PATIENTS TRANSPLANTED AT OUR CENTER TO ASSESS A VARIETY OF FACTORS AND THEIR IMPACT ON BOTH SHORT-TERM AND LONG-TERM SURVIVAL POST HEART TRANSPLANTATION. THE DATA THAT WILL BE COLLECTED AND ANALYZED WILL BE EXTRACTED FROM MEDICAL RECORDS, AND THIS DATA WILL CONSIST OF DEMOGRAPHICS AND OUTCOMES FOR HEART TRANSPLANT RECIPIENTS. DEMOGRAPHICS WILL CONSIST OF BOTH RECIPIENT AND DONOR CHARACTERISTICS. OUTCOMES MAY CONSIST OF LABORATORY RESULTS, PROCEDURAL RESULTS, CLINICAL DIAGNOSES, HOSPITALIZATION INFORMATION, LIST OF MEDICATIONS, HOSPITALIZATIONS, LABORATORY RESULTS, AS WELL AS ANY OTHER ADDITIONAL RELEVANT DATA. WITH SUCH AN EXTENSIVE HEART TRANSPLANT PROGRAM WITH A LARGE COHORT OF PATIENTS, DATA FROM OUR CENTER WOULD GREATLY ENHANCE AND BENEFIT THE FIELD OF HEART TRANSPLANTATION. BY EVALUATING THE DATA OF ALL OF OUR HEART TRANSPLANT PATIENTS IN ONE COMPREHENSIVE DATABASE STUDY, WE MAY BE ABLE TO IMPROVE OUR UNDERSTANDING OF HEART TRANSPLANTATION AS WELL AS THE QUALITY OF LIFE OF HEART TRANSPLANT PATIENTS.FULL PROPOSAL TITLE: CERTICAN SUB-STUDY (EFFECT OF EVEROLIMUS IMMUNOTHERAPY ON ANTI-HLA ANTIBODY MEDIATED ACTIVATION OF ENDOTHELIAL CELLS. A RETROSPECTIVE MECHANISTIC SUBSTUDY OF THE NOVARTIS SPONSORED TRIAL "A 24-MONTH, MULTI-CENTER, RANDOMIZED, OPEN-LABEL STUDY OF EFFICACY AND SAFETY COMPARING TWO EXPOSURES OF CONCENTRATION-CONTROLLED EVEROLIMUS WITH REDUCED NEORAL VERSUS 3.0 G MMF WITH STANDARD DOSE NEORAL IN DE NOVO HEART TRANSPLANT RECIPIENTS".)SPONSOR: NOVARTIS PROJECT SUMMARY: THIS STUDY IS A MECHANISTIC SUBSTUDY OF THE NOVARTIS SPONSORED TRIAL "A 24-MONTH, MULTI-CENTER, RANDOMIZED, OPEN-LABEL NON-INFERIORITY STUDY OF EFFICACY AND SAFETY COMPARING TWO EXPOSURES OF CONCENTRATION-CONTROLLED CERTICAN WITH REDUCED NEORAL VERSUS 3.0 G MMF WITH STANDARD DOSE NEORAL IN DE NOVO HEART TRANSPLANT RECIPIENTS." THE PARENT STUDY IS A PROSPECTIVE, RANDOMIZED STUDY TO ASSESS THE EFFICACY OF CERTICAN IN 660 RECIPIENTS OF CARDIAC ALLOGRAFTS. 1277607 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 11 0 1 0 0 0 0 0 0 0 0 0 0 0 X 18 13 1 0 1 0 1 1 1 1 1 0 0 0 1 1 1 0 0 0 1 0 CA X ERIC MARTON 3102488327 8536 WILSHIRE BOULEVARD 3RD FLOOR BEVERLY HILLS CA 90211 X JON KOBASHIGAWA MD 2.00 X X 0 0 0 KEENAN BEHRLE 2.00 X X 0 0 0 JAMES HAMILTON 2.00 X X 0 0 0 KAY DILLARD 2.00 X 0 0 0 THOMAS D GORDON 1.00 X X 0 837302 105709 RUSSELL FAUCETT 2.00 X 0 0 0 IRENE FURLONG 2.00 X 0 0 0 MICHELE HAMILTON MD 2.00 X 0 0 0 RICHARD B JACOBS 1.00 X 0 846897 164569 E ERIC JOHNSON 2.00 X 0 0 0 JOSEPH O LAMPE 2.00 X 0 0 0 EDUARDO MARBAN MD 1.00 X 0 1957819 134517 LAURENCE MARTON MD 2.00 X 0 0 0 ARTHUR J OCHOA 1.00 X 0 607628 75411 WILLIAM OUCHI PHD 2.00 X 0 0 0 EDWARD PRUNCHUNAS 1.00 X 0 1110832 191591 LAWRENCE SOUZA PHD 2.00 X 0 0 0 PHILLIP L WILLIAMS 2.00 X 0 0 0 ERIC N MARTON 60.00 X 0 326801 24554 CHRISTINE SUMBI 40.00 X 0 107037 6421 0 5794316 702772 0 0 1 0 0 2099398 256379 2355777 EDUCATIONAL PROGRAMS 611430 27000 27000 27000 12029 12029 OTHER INCOME 900099 2310 2310 2310 2397116 29310 0 12029 433838 433838 547788 547788 50177 50177 152706 152706 58992 58992 34622 34622 13000 13000 2830 2830 140939 78634 62305 8015 7850 165 242572 242572 3234 3234 79694 79694 2435 2435 43421 43421 80239 80239 STORAGE 7353 7353 BANK/CREDIT CARD FEES 4147 4147 LICENSES & TAXES 3729 3729 DUES & SUBSCRIPTIONS 2100 367 1733 5264 1839 3425 1917095 1277607 639488 0 27511 71431 96383 137417 7098 461008 107608 396821 353400 218696 641233 2550 2550 10561 10561 752522 1223690 101406 77487 101406 77487 X 651116 1146203 651116 1146203 752522 1223690 X 480021 15066 X 0 0 0 X 385750 393819 1380752 1202798 2355777 5718896 385750 393819 1380752 1202798 2355777 5718896 3274459 2444437 39778 28302 11200 7427 12029 98736 66694 21443 25 88162 5905794 276480 0.41390 0.26230 X DURING 2008 ABD 2009, THE ECONOMIC DOWNTURN CAUSED THE CALIFORNIA HEART CENTER FOUNDATION TO ACCEPT ADDITIONAL CONTRIBUTIONS FROM ITS SUPPORTING ORGANIZATION GIFT OF THE HEART FOUNDATION AND IN 2010 FROM CEDARS-SINAI MEDICAL CENTER, A RELATED ENTITY. THESE ADDITIONAL CONTRIBUTIONS CAUSED CALIFORNIA HEART CENTER FOUNDATION TO NOT MEET THE 33 1/3% PUBLIC SUPPORT TEST.CALIFORNIA HEART CENTER FOUNDATION DOES MEET THE 10% FACTS AND CIRCUMSTANCES TEST AS CALIFORNIA HEART CENTER FOUNDATION MAINTAINS CONTINUOUS AND BONA FIDE PROGRAM FOR SOLICITATION OF FUNDS FROM THE GENERAL PUBLIC AND OTHER PUBLIC CHARITIES. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 346762 57802 288960 77162 36561 40601 37084 13245 23839 353400 0 1 0 0 0 0 0 0 0 THOMAS D GORDON 0 450176 0 197751 0 189375 0 74550 0 31159 0 943011 0 0 RICHARD B JACOBS 0 481780 0 225162 0 139955 0 149131 0 15438 0 1011466 0 0 EDUARDO MARBAN MD 0 1130120 0 281474 0 546225 0 89700 0 44817 0 2092336 0 249606 ARTHUR J OCHOA 0 364150 0 197149 0 46329 0 39601 0 35810 0 683039 0 0 EDWARD PRUNCHUNAS 0 594407 0 284455 0 231970 0 153834 0 37757 0 1302423 0 0 ERIC N MARTON 0 261940 0 54125 0 10736 0 0 0 24554 0 351355 0 0 PART I, LINE 1B PART I, LINE 4B THE PLAN, A SUPPLEMENTAL RETIREMENT ALLOWANCE, IS A NON-QUALIFIED DEFINED CONTRIBUTION PLAN. THE BENEFIT FORMULA FOR THIS PLAN HAS ANNUAL CONTRIBUTIONS THAT ARE EITHER A PERCENTAGE OF SALARY, OR ARE DESIGNED TO FUND A PERCENTAGE OF THE ESTIMATED FINAL 5-YEAR AVERAGE SALARY. THE FOLLOWING OFFICERS, DIRECTORS, KEY EMPLOYEES AND HIGHEST-COMPENSATED EMPLOYEES RECEIVED PAYMENTS DURING THE YEAR ENDED DECEMBER 31, 2010. THOMAS D. GORDON 131,268 RICHARD B. JACOBS 93,552 EDUARDO MARBAN, MD 437,589 ERIC N. MARTON 9,814 ARTHUR J. OCHOA 26,506 EDWARD PRUNCHUNAS 175,875 SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART I, LINE 3: THE PRESIDENT IS COMPENSATED BY A RELATED ORGANIZATION. PLEASE SEE SCHEDULE O NARRATIVE FOR PART VI, LINE 15. PROGRAM SERVICE STATEMENT THE PROPOSED MECHANISTIC STUDY WILL ENTAIL OBTAINING SERIAL SAMPLES OF BLOOD FROM APPROXIMATELY 250 STUDY SUBJECTS ENROLLED AT US TRANSPLANT CENTERS (4 TIME POINTS), PERFORMING TESTING FOR ANTI-HLA CLASS I AND CLASS II ANTIBODY BY LUMINEX, PERFORMING EVALUATION OF SIGNALING PATHWAYS IN CARDIAC BIOPSIES (5 TIMEPOINTS) AND CORRELATING THE RESULTS WITH THE CLINICAL ENDPOINTS (ACUTE REJECTION, HEMODYNAMIC COMPROMISE, CARDIAC ALLOGRAFT VASCULOPATHY, GRAFT LOSS, RE-TRANSPLANT). OUR STUDY WILL TEST THE HYPOTHESIS THAT DONOR REACTIVE ALLOANTIBODIES ARE IMMUNE MEDIATORS OF ACUTE AND/OR CHRONIC INJURY TO HUMAN CARDIAC ALLOGRAFTS BY TRANSDUCING SIGNALS THAT ELICIT CELL PROLIFERATION. WE PREDICT THAT THE DETECTION OF ANTI DONOR ALLOANTIBODY IN THE PERIPHERAL BLOOD WILL OCCUR PRIOR TO THE CLINICAL DETECTION OF GRAFT INJURY, PROVIDING MECHANISTIC INSIGHT INTO GRAFT INJURY AND PROVIDING A RISK ASSESSMENT FOR POOR OUTCOME. BECAUSE PATIENTS WILL BE RANDOMIZED TO CERTICAN-REDUCED NEORAL VERSUS MMF-NEORAL STANDARD DOSE, THE MECHANISTIC STUDIES WILL ALSO PERMIT US TO ASSESS WHETHER CERTICAN CAN INHIBIT ANTI-HLA ANTIBODY INDUCED SIGNALING BETWEEN THE STUDY GROUPS. FINALLY, WE WILL TEST THE HYPOTHESIS THAT THE CAPACITY OF SERA FROM HEART ALLOGRAFT RECIPIENTS TO MEDIATE PROLIFERATIVE AND/OR CELL SURVIVAL SIGNALS IS DEPENDENT UPON THE SPECIFICITY AND TITER OF THE ANTI-HLA ANTIBODY. FORM 990, PART IV, LINE 12 THE ORGANIZATION WAS INCLUDED IN A CONSOLIDATED, INDEPENDENT AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEARS ENDED 6/30/10 AND 6/30/11 DUE TO THE FACT THAT THE TAX YEAR OF ITS TAX-EXEMPT PARENT ORGANIZATION, CEDARS-SINAI MEDICAL CENTER, ENDS ON 6/30. THERE ARE NO AUDITED FINANCIAL STATMENTS FOR THE YEAR ENDED 12/31/10. FORM 990, PART VI, SECTION A, LINE 2 LAURENCE MARTON, MD, DIRECTOR AND ERIC MARTON, PRESIDENT HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 4 IN DECEMBER 2009, THE ORGANIZATION'S BY-LAWS WERE RESTATED WHEN CEDARS-SINAI MEDICAL CENTER BECAME THE SOLE MEMBER OF CALIFORNIA HEART CENTER FOUNDATION. FORM 990, PART VI, SECTION A, LINE 6 CEDARS-SINAI MEDICAL CENTER IS THE SOLE CORPORATE MEMBER OF CALIFORNIA HEART CENTER FOUNDATION. FORM 990, PART VI, SECTION A, LINE 7A CEDARS-SINAI MEDICAL CENTER AS THE SOLE CORPORATE MEMBER, CAN ELECT BOARD OF DIRECTORS TO CALIFORNIA HEART CENTER FOUNDATION. FORM 990, PART VI, SECTION A, LINE 7B RESERVED RIGHTS OF CEDARS-SINAI MEDICAL CENTER, THE SOLE CORPORATE MEMBER OF THE ORGANIZATION. THE FOLLOWING ACTIONS MUST BE APPROVED OR ACTED UPON BY CEDARS-SINAI MEDICAL CENTER BEFORE BECOMING EFFECTIVE: (A) ANY SALE OR OTHER DISPOSITION OF ALL OR A SUBSTANTIAL PORTION OF THE ASSETS OF THE ORGANIZATION; (B) ANY MERGER OR AFFILIATION OF THE ORGANIZATION WITH ANY PERSON OR ENTITY OTHER THAN THE MEMBER; (C) ANY AMENDMENT TO THE ARTICLES OF INCORPORATION OR BYLAWS OF THE ORGANIZATION; (D) ANY ACT OR OMISSION WHICH CREATES ANY MATERIAL RISK TO THE MEMBER'S TAX EXEMPT STATUS, OR CREATES ANY MATERIAL RISK OF A VIOLATION OF ANY STATE OR FEDERAL LAWS; (E) DISSOLUTION OF THE ORGANIZATION OR THE FILING OF ANY BANKRUPTCY PETITION; (F) CREATION OF ANY NEW CORPORATION, PARTNERSHIP OR ASSOCIATION; (G) ACQUISITION OF OR THE INVESTMENT IN A NEW OPERATING BUSINESS; (H) ENTERING INTO ANY PARTNERSHIPS OR JOINT VENTURES; (I) ADOPTION OF OR CHANGES TO OPERATING OR CAPITAL BUDGETS; (J) ADOPTION OF THIS CORPORATION'S POLICIES AND PROCEDURES; (K) EXECUTION AND DELIVERY OF ANY NEW AFFILIATION AGREEMENTS AND OTHER RELATIONSHIPS WITH THE UCLA SCHOOL OF MEDICINE AND OTHER INSTITUTIONS OF MEDICAL LEARNING; (L) UNBUDGETED CAPITAL EXPENDITURES OVER $100,000; (M) LOANS, BORROWINGS OR GUARANTEES IN EXCESS OF $100,000, UNLESS APPROVED IN THE BUDGET; (N) ANY SECURITY INTERESTS OR MORTGAGES ON THE PROPERTY OF ORGANIZATION; (O) OPERATING OR CAPITAL LEASES WHERE THE TERM IS OVER FIVE YEARS OR THE TOTAL OBLIGATION UNDER THE LEASE EXCEEDS $100,000, UNLESS APPROVED IN THE BUDGET; (P) TERMINATION OR SELECTION OF THE AUDITORS OF THE ORGANIZATION; (Q) SUBJECT TO SECTION 5.08, APPOINTMENT OR REMOVAL OF ANY MEMBER OF THE BOARD (OTHER THAN EX-OFFICIO DIRECTORS); (R) APPOINTMENT OF REMOVAL OF ANY OFFICERS; (S) EXECUTION AND DELIVERY OF ANY PROFESSIONAL SERVICE AGREEMENTS; (T) RELOCATION OF PRINCIPAL OFFICE; (U) FIXING THE NUMBER OF DIRECTORS OF THE ORGANIZATION FORM 990, PART VI, SECTION B, LINE 11 THE ORGANIZATION'S FORM 990 UNDERGOES AN INTENSE AND HIGHLY COMPREHENSIVE REVIEW PROCESS. THE REVIEW INVOLVES VARIOUS MANAGEMENT PERSONNEL AND A BIG FOUR ACCOUNTING FIRM. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY ANNUAL STATEMENTS: EACH DIRECTOR, OFFICER, MEMBER OF A COMMITTEE WITH BOARD-DELEGATED POWERS AND ANY OTHER INTERESTED PERSON AS DETERMINED BY THE BOARD OR COMMITTEE SHALL AT LEAST ANNUALLY SIGN A COPY OF THE "STATEMENT PERTAINING TO CONFLICT OF INTEREST." IF A DIRECTOR, OFFICER, OR COMMITTEE MEMBER, OR DESIGNATED INTERESTED PERSON BECOMES AWARE THAT A POTENTIAL OR APPARENT CONFLICT MAY EXIST WHICH IS NOT DISCLOSED ON SUCH A STATEMENT, IT SHALL BE THE RESPONSIBILITY OF THE INTERESTED PERSON TO DISCLOSE THE POTENTIAL CONFLICT TO THE PRESIDENT AND TO THE BOARD OR APPROPRIATE COMMITTEE AND AS SET FORTH ABOVE, PRIOR TO ANY BOARD OR COMMITTEE DISCUSSIONS OR ACTION WITH RESPECT TO THE RELEVANT TRANSACTION OR ARRANGEMENT, AND, IF RELEVANT, TO LEAVE THE MEETING DURING THE DISCUSSION AND VOTE ON THE TRANSACTION OR ARRANGEMENT. DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS: IF CONSIDERATION OF THE TRANSACTION OR ARRANGEMENT AT ISSUE IS A MATTER WITHIN THE SCOPE OF AUTHORITY OF THE BOARD OF DIRECTORS OR A COMMITTEE, AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, THE RELEVANT CHCF OFFICER OR ADMINISTRATOR SHALL DETERMINE WHETHER A CONFLICT OF INTEREST EXISTS. IF IT IS DETERMINED THAT A CONFLICT OF INTEREST EXISTS AND, NOTWITHSTANDING THE CONFLICT, THE CHCF OFFICER OR ADMINISTRATOR DETERMINES THAT IT CONTINUES TO BE IN THE BEST INTERESTS OF CHCF TO PROCEED WITH THE TRANSACTION OR ARRANGEMENT AT ISSUE, THE CHCF OFFICER OR ADMINISTRATOR SHALL REFER THE TRANSACTION OR ARRANGEMENT TO THE BOARD OR THE APPROPRIATE BOARD-DESIGNATED COMMITTEE FOR EVALUATION. ALTERNATIVELY IF CONSIDERATION OF THE TRANSACTION OR ARRANGEMENT AT ISSUE IS A MATTER WITHIN THE SCOPE OF THE AUTHORITY OF THE BOARD OF DIRECTORS OR A COMMITTEE, THE INTERESTED PERSON SHALL LEAVE THE BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF THE EXISTENCE OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL DECIDE, BY MAJORITY VOTE, IF A CONFLICT OF INTEREST EXISTS. PROCEDURES FOR ADDRESSING THE CONFLICT OF INTEREST: A. AN INTERESTED PERSON MAY MAKE A PRESENTATION TO THE BOARD OR COMMITTEE REGARDING THE TRANSACTION OR ARRANGEMENT. AFTER SUCH PRESENTATION THE INTERESTED PERSON MUST LEAVE THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON THE TRANSACTION OR ARRANGEMENT. B. THE CHAIR OF THE BOARD OR COMMITTEE SHALL, IF DEEMED APPROPRIATE BY THE BOARD OR COMMITTEE, 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 CHCF CAN OBTAIN A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT WITH REASONABLE EFFORTS FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. D. IF A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY ATTAINABLE UNDER CIRCUMSTANCES THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST, THE BOARD OR COMMITTEE SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE TRANSACTION OR ARRANGEMENT IS IN CHCF'S BEST INTEREST AND FOR ITS OWN BENEFIT AND WHETHER THE TRANSACTION IS FAIR AND REASONABLE TO CHCF AND SHALL MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE TRANSACTION OR ARRANGEMENT IN CONFORMITY WITH SUCH DETERMINATION. VIOLATIONS OF THE CONFLICTS POLICY: A. IF THE BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE THAT A MEMBER OF THE BOARD OR COMMITTEE OR AN OFFICER OR OTHER INTERESTED PERSON HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL INFORM THE MEMBER OR OFFICER OR INTERESTED PERSON OF THE BASIS FOR SUCH BELIEF AND AFFORD SUCH PERSON AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. B. IF, AFTER HEARING THE RESPONSE OF SUCH PERSON AND MAKING SUCH FURTHER INVESTIGATION AS MAY BE WARRANTED IN THE CIRCUMSTANCES, THE BOARD OR COMMITTEE DETERMINES THAT SUCH PERSON HAS IN FACT FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. FORM 990, PART VI, SECTION B, LINE 15B THE EXECUTIVE PERSONNEL COMMITTEE (THE COMMITTEE) OF THE TAX-EXEMPT PARENT OF THE ORGANIZATION, CEDARS-SINAI MEDICAL CENTER, IS A STANDING COMMITTEE OF THE BOARD OF DIRECTORS. THE COMMITTEE ADDRESSES COMPENSATION AND BENEFITS REGARDING THE ORGANIZATION'S CHIEF FINANCIAL OFFICER AND BOARD MEMBERS WHO ARE ALSO EXECUTIVE EMPLOYEES AND CONTRACTUALLY ENGAGED FACULTY OF THE MEDICAL CENTER, AND IS AUTHORIZED BY THE BOARD OF DIRECTORS TO ACT ON BEHALF OF THE BOARD WITH RESPECT TO SUCH ISSUES, AND OTHER GOVERNANCE ISSUES AS REQUESTED BY THE BOARD OF DIRECTORS, THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS, THE CHAIR OF THE BOARD OF DIRECTORS, OR THE CEO, ALL SUBJECT TO THE COMMITTEE'S ONGOING REPORTING OBLIGATION TO THE BOARD OF DIRECTORS OR THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS. SPECIFICALLY, THE COMMITTEE EVALUATES THE PERFORMANCE AND APPROVES THE COMPENSATION AND BENEFITS FOR THE ORGANIZATION'S CHIEF FINANCIAL OFFICER AND BOARD MEMBERS WHO ARE ALSO EXECUTIVE EMPLOYEES AND CONTRACTUALLY ENGAGED FACULTY OF THE MEDICAL CENTER. THE MEMBERS OF THE COMMITTEE ARE APPOINTED ANNUALLY BY THE CHAIR OF THE MEDICAL CENTER'S BOARD OF DIRECTORS. APPOINTMENTS ARE FOR A ONE YEAR TERM. EACH YEAR, THE COMMITTEE FOLLOWS A PROCESS THAT ENSURES THAT THE COMPENSATION AND BENEFITS IS REASONABLE AND IN COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS. THE MEDICAL CENTER'S SVP OF HR PROVIDES STAFF SUPPORT TO THE COMMITTEE. THE COMMITTEE MAY INCLUDE MEMBERS OF THE MEDICAL CENTER'S MANAGEMENT TEAM OR ANY OTHER PERSON WHOSE PRESENCE THE COMMITTEE BELIEVES TO BE DESIRABLE OR APPROPRIATE. THE COMMITTEE MAY ENGAGE AN INDEPENDENT COMPENSATION AND BENEFITS CONSULTANT AND ANY OTHER ADVISORS THEY DEEM NECESSARY. THE COMMITTEE MAY ALSO ENGAGE INDEPENDENT COUNSEL. THE MEDICAL CENTER WILL PROVIDE FOR APPROPRIATE FUNDING FOR PAYMENT OF COSTS TO ANY SUCH PERSONS RETAINED BY THE COMMITTEE. ANNUALLY, AT THE COMMITTEE'S DIRECTION, THE INDEPENDENT COMPENSATION CONSULTANT SHALL PREPARE SUCH REPORTS AS THE COMMITTEE REASONABLY DEEMS NECESSARY. AT A MINIMUM, SUCH REPORTS WILL INCLUDE MARKET SURVEY DATA FROM A PEER GROUP DESIGNATED BY THE COMMITTEE, WHICH SHALL BE CONSIDERED BY THE COMMITTEE PRIOR TO MAKING DECISIONS. THE COMMITTEE MEETS AS FREQUENTLY AS THE COMMITTEE DEEMS NECESSARY AND WILL MAINTAIN WRITTEN MINUTES OF ITS MEETING. THE COMPENSATION AND BENEFITS OF THE PRESIDENT AND VICE-PRESIDENT ARE DETERMINED BY THE CHIEF FINANCIAL OFFICER OF THE ORGANIZATION WITH ASSISTANCE FROM HR WHICH PROVIDES AN INDEPENDENT REVIEW OF COMPARABLES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND ITS TAX-EXEMPT PARENT'S AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON WRITTEN REQUEST. FORM 990 PART VII - AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS THOMAS D. GORDON 65 HOURS RICHARD B. JACOBS 61 HOURS EDUARDO MARBAN, MD 60 HOURS ARTHUR J. OCHOA 65 HOURS EDWARD PRUNCHUNAS 65 HOURS CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS (LOSSES) ON INVESTMENTS CEDARS-SINAI MEDICAL CENTER 8700 BEVERLY BOULEVARD LOS ANGELES CA 90048 951644600 HEALTHCARE CA 501(C)(3) LINE 3 N/A 0 CEDARS-SINAI MEDICAL CARE FOUNDATION 200 N ROBERTSON BOULEVARD 101 BEVERLY HILLS CA 90211 954457756 PROVISION OF MEDICAL CARE, TEACHING AND RESEARCH CA 501(C)(3) LINE 11A, I CEDARS-SINAI MEDICAL CENTER 1 GIFT OF THE HEART SUPPORT FOUNDATION 8536 WILSHIRE BOULEVARD 3RD FLOOR BEVERLY HILLS CA 90211 061690016 SUPPORTING ORGANIZATION OF CALIFORNIA HEART CENTER FOUNDATION CA 501(C)(3) LINE 11A, I CALIFORNIA HEART CENTER FOUNDATION 1 GREATER VALLEY MANAGEMENT SERVICES ORGANIZATION INC 6500 WILSHIRE BLVD 8TH FLOOR LOS ANGELES CA 90048 954439758 MANAGEMENT FUNCTIONS CA N/A C OPTIMATRIX HEALTH SOLUTIONS INC 6500 WILSHIRE BLVD 9TH FLOOR LOS ANGELES CA 90048 954522779 INFORMATION SYSTEMS CA N/A C 0 0 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 CEDARS-SINAI MEDICAL CARE FOUNDATION GREATER VALLEY MANAGEMENT SERVICES ORGANIZATION INC OPTIMATRIX HEALTH SOLUTIONS INC GIFT OF THE HEART SUPPORT FOUNDATION C 795011 FAIR MARKET VALUE