2011-11-01T15:30:28-07:00 2010-12-31 990 2010-01-01 042103543 AUSTEN RIGGS CENTER INC AUST 4132985511 25 Main Street PO Box 962 Stockbridge MA 01262 Chauncey Collins 4132985511 2011-08-15 2010 2016-03-07 17:11:31Z Chauncey Collins PO Box 962 25 Main Street Stockbridge MA 01262 21581429 0 X www.austenriggs.org X 1919 MA Psychiatric hospital and residential treatment center 22 21 147 0 0 0 1007070 2537305 15745722 16156567 -398044 293844 17175 24763 16371923 19012479 0 0 0 0 10864288 10839601 4400 11300 230624 5233375 4955102 16102063 15806003 269860 3206476 33676977 35180392 13098546 10638390 20578431 24542002 Psychiatric hospital and residential treatment center 0 0 13211956 0 16181330 Mental Health Treatment Programs, General/Other: Patient Care 90% 23,044 Patient Program Days. Research and Training - 10% (0 Patient Days) 0 0 0 13211956 1 1 0 0 0 0 0 0 0 1 1 1 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 124 0 1 147 1 0 0 0 0 0 0 X 22 21 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MA X Chauncey T Collins 4132985511 Austen Riggs Center 25 Main St Stockbridge MA 01262 Lisa Raskin PhD 0 X X 0 0 0 Aso O Tavitian 0 X X 0 0 0 Lansing Crane 0 X 0 0 0 Robert A DeNoble 0 X 0 0 0 Jeffrey L Diamond 0 X 0 0 0 Margot T Egan CSW 0 X 0 0 0 Joan D Goodrich 0 X 0 0 0 Laurie J Hall 0 X 0 0 0 Richard Honig MD 0 X 0 0 0 Dwight Jewson PhD 0 X 0 0 0 Daniel S Kaufman 0 X 0 0 0 Katherine G Kennedy MD 0 X 0 0 0 Thomas A Kohut PhD 0 X 0 0 0 John Maynard 0 X 0 0 0 Julia Moore 0 X 0 0 0 Jerome I Rosenberg 0 X 0 0 0 Jean J Rousseau 0 X 0 0 0 Steven Sharfstein MD 0 X 0 0 0 Ileene Smith 0 X 0 0 0 W Mason Smith III 0 X 0 0 0 Samuel A Waterston 0 X 0 0 0 Edward R Shapiro MD 40 X X 629769 0 43196 Chauncey T Collins 40 X 176451 0 29399 Todd R Morin 40 X 78621 0 21638 Doreen S Barcsz 40 X 47868 0 10293 James L Sacksteder MD 40 X 231271 0 30109 Eric M Plakun MD 40 X 212600 0 37998 M Gerard Fromm Phd 40 X 186586 0 30312 John Muller PhD 40 X 148238 0 26201 Barri Belnap MD 40 X 135971 0 17185 1847375 0 246331 13 0 1 0 Hartford Technology Srvs Co Inc 55 Farmington Avenue 5th Floor Hartford CT 06105 Software Development 242171 Marois Construction Co Inc 260 Old Lyman Rd South Hadley MA 01075 Construction 822558 2 0 0 0 0 0 2537305 1195129 2537305 Net Patient Service Revenue 622000 16156567 16156567 0 0 0 0 0 0 16156567 157659 0 0 157659 0 0 0 0 0 0 0 0 0 0 2705135 0 2568950 0 136185 0 136185 0 0 136185 0 24763 24763 0 0 24763 19012479 16181330 0 293844 0 0 0 0 0 0 0 0 957623 370612 546581 40430 0 0 0 0 7320909 6268967 936742 115200 899299 721259 168824 9216 1095537 931613 147343 16581 566233 469166 89744 7323 0 0 0 0 46382 0 46382 0 52080 0 52080 0 0 0 0 0 11300 11300 0 0 0 0 808343 727509 80834 0 66290 66290 0 0 156205 115459 34746 6000 43268 38941 4327 0 0 0 0 0 284267 255840 28427 0 117486 101237 11249 5000 0 0 0 0 14440 12996 1444 0 227073 227073 0 0 0 0 0 0 1388107 1388107 0 0 331375 278355 53020 0 Maintenance & Equipment Rental 136056 122450 13606 0 Supplies 1259404 1091756 148074 19574 Bad Debt 24326 24326 0 0 15806003 13211956 2363423 230624 0 0 843019 500084 3173200 213200 1253181 1028885 0 0 0 0 357380 349380 0 0 323810 448717 26594160 11180453 15066771 15413707 6972997 10247448 2587503 4645979 3099116 2332992 33676977 35180392 2115947 1860625 0 0 225685 178817 7271073 5454566 3485841 3144382 13098546 10638390 X 15960272 17693713 627474 615185 3990685 6233104 20578431 24542002 33676977 35180392 X 3206476 757095 X 0 1 1 X 0 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 10023745 2242419 709480 0 330000 0 12645644 8343662 331552 1698531 0 350000 0 10023745 11831065 181200 -3453907 0 214696 0 8343662 0.47 0.53 0 0 0 1479151 0 1479151 16053811 0 5709334 10344477 0 0 0 0 7375565 0 5471119 1904446 1685633 0 0 1685633 15413707 0 Money Market Funds 3455979 F Rental Property 1190000 F 4645979 Restricted Cash 2332992 2332992 Defined Benefits Plan Liability 3144382 3144382 19012479 15806003 3206476 415636 0 0 0 341459 757095 3963571 19769574 415636 0 0 341459 757095 19012479 0 0 0 19012479 15806003 0 0 0 0 0 15806003 0 0 0 15806003 SchD_P05_S00_L04 Schedule D, Part V, Line 4 Board Designated Funds: Investments allocated for future capital expansion, educational programs and research. Permanently Endowed: Returns from investments are used for specific purposes, patient aid, research, education and the Fellowship Program. SchD_P11_S00_L08 Schedule D, Part XI, Line 8 Change in Defined Benefit Plan Pension Liability SchD_P12_S00_L02d Schedule D, Part XII, Line 2d Pension related changes other than net periodic pension cost. 1 1 0 0 1 1 0 0 435286 0 435286 0.0275 0 0 435286 0 435286 0.0275 452678 14740 437938 0.0277 354667 116638 238029 0.0151 42755 0 42755 0.0027 0 0 850100 131378 718722 0.0455 0 0 1285386 131378 1154008 0.0730 0 24326 6811 0 0 0 X 0 1 1 Austen Riggs Center

25 Main Street PO Box 962 Stockbridge MA 01262

X Austen Riggs Center 1 SchH_P01_S00_L03c Schedule H, Part I, Line 3c Fee reductions are offered by the Center based on need after a review of the financial resources available in the context of the patient's treatment plan. Patients submit an application for fee reduction that includes a letter describing their need, included with proof of income and net worth. The Center's Resource Management Committee reviews the application and may approve up to a 25% reduction of the program rate. SchH_P01_S00_L07 Schedule H, Part I, Line 7 Direct costs are derived from the general ledger. Payroll, benefits and overhead are based from cost accounting and percentages of staff time. SchH_P01_S00_L072f Schedule H, Part I, Line 7, Column f $24,326 SchH_P01_S00_L07g Schedule H, Part I, Line 7g not applicable SchH_P03_S0A_L04 Schedule H, Part III, Section A, Line 4 not applicable SchH_P03_S0B_L08 Schedule H, Part III, Section B, Line 8 not applicable SchH_P06_S00_L02 Schedule H, Part VI, Line 2 not applicable SchH_P06_S00_L03 Schedule H, Part VI, Line 3 Patients are informed during the pre admission screening and during the admission process that an application for a reduction of fees may be submitted. SchH_P06_S00_L04 Schedule H, Part VI, Line 4 The Austen Riggs Center is a long term treatement facility. Patients treated at the Center are predominately from throughout the United States, but also include international patients. SchH_P06_S00_L05 Schedule H, Part VI, Line 5 The Center hosts a variety of forums and seminars each year that are available to the psychiatric community. Center staff serve on community boards and councils that provide service to local mental health organizations and schools. X 1 1 X X X X X X 0 0 0 0 0 0 0 0 0 Edward R Shapiro MD 629769 0 0 0 0 0 0 0 43196 0 672965 0 0 0 Chauncey T Collins 176451 0 0 0 0 0 0 0 29399 0 205850 0 0 0 James L Sacksteder MD 231271 0 0 0 0 0 0 0 30109 0 261380 0 0 0 Eric M Plakun MD 212600 0 0 0 0 0 0 0 37998 0 250598 0 0 0 M Gerard Fromm Phd 186586 0 0 0 0 0 0 0 30312 0 216898 0 0 0 John Muller PhD 148238 0 0 0 0 0 0 0 26201 0 174439 0 0 0 Barri Belnap MD 135971 0 0 0 0 0 0 0 17185 0 153156 0 0 0 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a The Medical Director resides on the campus in a home owned by the Austen Riggs Center. Massachusetts Health and Educational Facilities Authority 2004-07-12 4000000 Expansion & Renovations 0 0 0 Massachusetts Health and Educational Facilities Authority 2008-06-05 4000000 Expansion & Renovations 0 0 0 0 0 4000000 0 0 0 0 0 0 4000000 0 0 2005 0 0 1 1 0 0 4000000 2332992 0 0 0 0 0 1667008 0 0 2011 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 X 1 5129 FMV X 1 1190000 FMV 0 0 0 0 F990_P06_S0A_L02 Form 990, Part VI, Section A, Line 2 The Medical Director/CEO had a business relationship with two board members. One is an attorney who provides estate planning services, the other has a consulting firm and periodically employs the Medical Director/CEO for consulting services. F990_P06_S0B_L11a Form 990, Part VI, Section B, Line 11a Management distributes the 990 to the Board for review prior to filing. The independant auditing firm also reviews the form for accuracy prior to filing. F990_P06_S0B_L12c Form 990, Part VI, Section B, Line 12c Annually all officers, trustees and key employees are required to disclose any potential conflict of interest. All interests that give rise to conflicts follow the guidelines of the Center by detailing their involvement which are reviewed by Board committee. F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 CEO compensation is determined by an executive committe of the Board. All compensation levels are determined by geographical comparable data and a review of industry peers. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 Corporate documents are available upon request. F990_P11_S00_L05 Form 990, Part XI, Line 5 Change in Defined Benefit Pension Plan Fund Liability $341,459 Unrealized Gain/Loss on Investments $415,636 Automatic 3 month extension submitted.