2023-06-19T07:20:32-05:00 2022-09-30 882730877 CHERRY BEKAERT ADVISORY LLC 200 SOUTH 10TH ST STE 900 RICHMOND VA 23219 990 2021-10-01 541327878 UNITED NETWORK FOR ORGAN SHARING UNIT 8047824800 700 N 4TH STREET RICHMOND VA 23219 DALE SMITH CHIEF FINANCIAL OFFICER 8047824880 2023-05-17 1 DALE SMITH XXX-XX-XXXX AMANDA ADAMS P00748038 8046735700 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z DALE SMITH 700 N 4TH STREET RICHMOND VA 23219 95286509 0 X WWW.UNOS.ORG X 1984 VA TO ADVANCE ORGAN AVAILABILITY AND TRANSPLANTATION BY UNITING AND SUPPORTING ITS COMMUNITIES FOR THE BENEFIT OF PATIENTS THROUGH EDUCATION, TECHNOLOGY AND POLICY DEVELOPMENT. 42 42 555 1110 118150 56884 7085048 10997986 60245503 63824151 3685275 2551043 299507 327503 71315333 77700683 0 0 0 0 47199512 51855590 0 0 665146 16799867 22338966 63999379 74194556 7315954 3506127 120949460 116064598 52690259 49940159 68259201 66124439 UNOS' MISSION IS TO ADVANCE ORGAN AVAILABILITY AND TRANSPLANTATION BY UNITING AND SUPPORTING ITS COMMUNITIES FOR THE BENEFIT OF PATIENTS THROUGH EDUCATION, TECHNOLOGY AND POLICY DEVELOPMENT. 0 0 61723619 60991330 ADMINISTERED THE ORGAN PROCUREMENT AND TRANSPLANTATION NETWORK (OPTN) WHICH PERFORMS THE MATCHING AND FACILITATES THE DISTRIBUTION OF DONATED HUMAN ORGANS WITH POTENTIAL RECIPIENTS. A COMPUTER DATABASE IS MAINTAINED AT UNOS THAT INCLUDES THE RELEVANT MEDICAL INFORMATION OF ALL INDIVIDUALS IN THE NATION WHO ARE LISTED FOR A TRANSPLANT. AS ORGANS BECOME AVAILABLE, THE DATABASE IS USED TO MATCH THE ORGANS WITH THE BEST POTENTIAL RECIPIENT. THERE ARE TWO FEES TOTALING $990 THAT ARE INCURRED BY TRANSPLANT CENTERS. ONE IS THE OPTN PATIENT REGISTRATION FEE OF $868 AND THE OTHER IS THE UNOS FEE OF $122. AS OF 9/30/2022, THERE WERE 105,982 REGISTRANTS/PATIENTS ON THE WAITING LIST. DURING FISCAL YEAR 2022, 41,705 TRANSPLANTS WERE PERFORMED FOR 40,398 UNIQUE PATIENTS/RECIPIENTS. 1976513 1953064 PERFORMED DATA ANALYSIS, INCLUDING PROVIDING MEMBER SERVICES (WHICH INCREASES THE EFFICIENCY AND ACCURACY OF DATA COLLECTION AND ANALYSIS) AND FACILITATING CONSENSUS BUILDING FOR UNOS POLICY DEVELOPMENT. 890320 879757 PROVIDED TRANSPLANTATION AND DONATION INFORMATION AND EDUCATION TO THE GENERAL PUBLIC, POTENTIAL DONORS AND MEDICAL PROFESSIONALS. THIS IS DONE THROUGH VARIOUS FORUMS AND EDUCATIONAL OFFERINGS, AND INFORMATION CAN BE REQUESTED ON TOPICS SUCH AS THE TRANSPLANTATION AND DONATION PROCESS, LIVING DONATION, AND VARIOUS NATIONAL, REGIONAL, STATE AND CENTER-SPECIFIC DATA REPORTS. 64590452 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 59 0 1 555 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 42 42 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X DALE SMITH CPA 8047824800 700 NORTH 4TH STREET RICHMOND VA 23219 JERRY MCCAULEY PRESIDENT 5.00 0.00 X X 0 0 0 DIANNE LAPOINTE RUDOW VICE PRESIDENT 5.00 0.00 X X 0 0 0 VALINDA JONES VICE PRESIDENT FOR PATIENT/DONOR AFFAIRS 3.00 0.00 X X 0 0 0 LINDA CENDALES SECRETARY 3.00 0.00 X X 0 0 0 BRADLEY KORNFELD TREASURER 3.00 0.00 X X 0 0 0 MATTHEW COOPER IMMEDIATE PAST PRESIDENT 5.00 0.00 X X 0 0 0 LAUREL AVERY DIRECTOR 2.00 0.00 X 0 0 0 MARK BARR DIRECTOR 2.00 0.00 X 0 0 0 EARNEST DAVIS DIRECTOR 2.00 0.00 X 0 0 0 MARYJANE FARR DIRECTOR 2.00 0.00 X 0 0 0 JAN FINN DIRECTOR 2.00 0.00 X 0 0 0 RICHARD FORMICA DIRECTOR 2.00 0.00 X 0 0 0 ADAM FRANK DIRECTOR 2.00 0.00 X 0 0 0 JONATHAN FRIDELL DIRECTOR 2.00 0.00 X 0 0 0 MANISH GANDHI DIRECTOR 2.00 0.00 X 0 0 0 WENDY GARRISON DIRECTOR 2.00 0.00 X 0 0 0 DAVID GERBER DIRECTOR 2.00 0.00 X 0 0 0 ROBERT GOODMAN DIRECTOR 2.00 0.00 X 0 0 0 NICOLE HAYDE DIRECTOR 2.00 0.00 X 0 0 0 KELLEY HITCHMAN DIRECTOR 2.00 0.00 X 0 0 0 EDWARD HOLLINGER DIRECTOR 2.00 0.00 X 0 0 0 EVELYN HSU DIRECTOR 2.00 0.00 X 0 0 0 HEATHER HUNT DIRECTOR 2.00 0.00 X 0 0 0 ANNETTE JACKSON DIRECTOR 2.00 0.00 X 0 0 0 IRENE KIM DIRECTOR 3.00 0.00 X 0 0 0 ALAN LANGNAS DIRECTOR 2.00 0.00 X 0 0 0 BARRY MASSA DIRECTOR 2.00 0.00 X 0 0 0 VIRGINIAGINNY MCBRIDE DIRECTOR 2.00 0.00 X 0 0 0 MELISSA MCQUEEN DIRECTOR 2.00 0.00 X 0 0 0 CLIFFORD MILES DIRECTOR 2.00 0.00 X 0 0 0 WILLSCOTT NAUGLER DIRECTOR 2.00 0.00 X 0 0 0 JEFFREY ORLOWSKI DIRECTOR 2.00 0.00 X 0 0 0 LLOYD RATNER DIRECTOR 2.00 0.00 X 0 0 0 MEG ROGERS DIRECTOR 2.00 0.00 X 0 0 0 DEANNA SANTANA DIRECTOR 2.00 0.00 X 0 0 0 JAMES SHARROCK DIRECTOR 2.00 0.00 X 0 0 0 GAIL STENDAHL DIRECTOR 2.00 0.00 X 0 0 0 STUART SWEET DIRECTOR 2.00 0.00 X 0 0 0 ANDREA TIETJEN DIRECTOR 2.00 0.00 X 0 0 0 BRYAN WHITSON DIRECTOR 2.00 0.00 X 0 0 0 CHRISTOPHER WOODY DIRECTOR 2.00 0.00 X 0 0 0 DANIEL YIP DIRECTOR 2.00 0.00 X 0 0 0 BRIAN SHEPARD CEO 40.00 0.00 X 575847 0 64540 STEVE HARMS CAO 40.00 0.00 X 264718 0 30516 MAUREEN MCBRIDE COO 40.00 0.00 X 376629 0 175313 ALEX TULCHINSKY CTO 40.00 0.00 X 414563 0 141780 DAVID KLASSEN CMO 40.00 0.00 X 375928 0 120363 RYAN EHRENSBERGER CGO 40.00 0.00 X 281720 0 99689 JASON LIVINGSTON GENERAL COUNSEL 40.00 0.00 X 318671 0 109818 MARY BETH MURPHY CCO 40.00 0.00 X 266271 0 86108 ANTHONY PONSIGLIONE DIRECTOR, HUMAN RESOURCES 40.00 0.00 X 245096 0 93707 DALE SMITH DIRECTOR, FINANCE 40.00 0.00 X 231400 0 81688 ROGER BROWN DIRECTOR, POLICY & COMMUNITY RELATIONS 40.00 0.00 X 200504 0 51082 TERRI HELFRICH DIRECTOR, INFORMATION SECURITY 40.00 0.00 X 198476 0 43179 JACQUELINE O'KEEFE DIRECTOR, MEMBER QUALITY 40.00 0.00 X 182370 0 49888 3932193 0 1147671 132 0 1 0 WINSTON & STRAWN LLP PO BOX 36235 CHICAGO IL 606946235 LEGAL SERVICES 2039241 MCGUIRE WOODS LLP 800 E CANAL STREET RICHMOND VA 23219 LEGAL SERVICES 937737 ACCENTURE FEDERAL SERVICES LLP 800 N GLEBE RD SUITE 300 ARLINGTON VA 22203 CONSULTING 884727 SALUBRIA LLC 2607 WESTERN AVE UNIT 902 SEATTLE WA 98121 CONSULTING 157560 MAXX POTENTIAL LLC 201 W 7TH ST RICHMOND VA 23224 CONSULTING 128583 6 9428621 1569365 138808 10997986 PROGRAM REGISTRATION FEES 541900 60990020 60990020 SCIENTIFIC AND DATA ANALYSIS 541900 1953064 1953064 REGIONAL AND TRANSPLANT FORUMS 541900 879757 879757 1310 1310 63824151 155597 155597 544004 340404 203600 203600 203600 19640868 17245422 2395446 2395446 2395446 TRAVEL SERVICES 561500 105500 105500 ADVERTISING 541800 12650 12650 5753 5753 123903 77700683 63824151 118150 2760396 2874347 2270734 603613 32318220 28947995 2923569 446656 4488666 3925649 525855 37162 9304371 8137315 1090024 77032 2869986 2510001 336224 23761 2046998 2046998 44799 44799 288479 288479 135936 135936 6664295 6336209 310842 17244 1559410 633989 904067 21354 3460231 3460231 1898115 1501529 393598 2988 207562 196488 8304 2770 2074148 1963488 82983 27677 87129 87129 2280388 1382163 898225 326291 193188 129374 3729 RECRUITING/TRAINING 417645 247276 165596 4773 PROF EDUCATION PROGRAMS 20221 20221 UBI TAX 10341 10341 816978 816978 74194556 64590452 8938958 665146 786752 85078 47733700 50629170 13193488 12162807 2541464 4278566 52030410 30697803 22572433 21332607 33422340 26987029 699283 589341 120949460 116064598 4567371 6143144 7250000 4085000 3460000 36787888 40337015 52690259 49940159 X 68177967 65848049 81234 276390 68259201 66124439 120949460 116064598 X 3506127 -5570096 -70793 X 0 1 X 1 1 1 X 6114940 5873006 6438911 7085048 10997986 36509891 6114940 5873006 6438911 7085048 10997986 36509891 36509891 490076 585415 601567 987694 699601 3364353 177986 145067 101820 32904 57884 515661 345 10146 5753 16244 40406149 294925751 0.90360 0.89470 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 288479 0 0 288479 0 PART II-B, LINE 1: CONTACT WITH LEGISLATORS WAS CONDUCTED BY AN OUTSIDE FIRM IN ORDER TO ENCOURAGE LAWS THAT BENEFIT THE GENERAL PUBLIC AS IT RELATES TO ORGAN DONATION. 1113000 1113000 25240504 10261327 14979177 16064275 13591915 2472360 9612631 6844561 2768070 21332607 HEALTH INSURANCE LIABILITY 1109412 DUE TO NATIONAL ORGAN PROCUREMENT TRANSPLANTATION NETWORK 39227603 40337015 72335055 -5570096 340404 -5229692 77564747 135936 135936 77700683 74469817 411197 411197 74058620 135936 135936 74194556 PART XI, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED NET OF REVENUES 340,404. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED NET OF REVENUES 340,404. CHANGE IN VALUE OF LIFE INSURANCE POLICIES 70,793. X X X 0 1 0 0 0 0 0 1 0 BRIAN SHEPARD CEO 404007 0 171840 0 0 0 51894 0 12646 0 640387 0 0 0 ALEX TULCHINSKY CTO 352413 0 62150 0 0 0 124919 0 16861 0 556343 0 0 0 MAUREEN MCBRIDE COO 312493 0 64136 0 0 0 167406 0 7907 0 551942 0 0 0 DAVID KLASSEN CMO 320105 0 55823 0 0 0 120363 0 0 0 496291 0 0 0 JASON LIVINGSTON GENERAL COUNSEL 270471 0 48200 0 0 0 98541 0 11277 0 428489 0 0 0 RYAN EHRENSBERGER CGO 234285 0 47435 0 0 0 90615 0 9074 0 381409 0 0 0 MARY BETH MURPHY CCO 217771 0 48500 0 0 0 78116 0 7992 0 352379 0 0 0 ANTHONY PONSIGLIONE DIRECTOR, HUMAN RESOURCES 231546 0 13550 0 0 0 80897 0 12810 0 338803 0 0 0 DALE SMITH DIRECTOR, FINANCE 218600 0 12800 0 0 0 73696 0 7992 0 313088 0 0 0 STEVE HARMS CAO 215083 0 49635 0 0 0 21060 0 9456 0 295234 0 0 0 ROGER BROWN DIRECTOR, POLICY & COMMUNITY RELATIO 188904 0 11600 0 0 0 39805 0 11277 0 251586 0 0 0 TERRI HELFRICH DIRECTOR, INFORMATION SECURITY 187468 0 11008 0 0 0 36185 0 6994 0 241655 0 0 0 JACQUELINE O'KEEFE DIRECTOR, MEMBER QUALITY 172945 0 9425 0 0 0 42894 0 6994 0 232258 0 0 0 PART I, LINE 4B DURING THE FISCAL YEAR ENDING IN 2022, THE ORGANIZATION BEGAN OFFERING A NEW NON-QUALIFIED DEFERRED COMPENSATION PLAN THAT COMPLIES WITH SECTION 457(F) OF THE INTERNAL REVENUE CODE (THE "CODE"), AND THE SHORT-TERM DEFERRAL PROVISIONS OF SECTION 409A OF THE CODE. THE PLAN IS INTENDED TO BE AN UNFUNDED PLAN MAINTAINED PRIMARILY FOR THE PURPOSE OF PROVIDING DEFERRED COMPENSATION BENEFITS FOR A SELECT GROUP OF EMPLOYEES AND INDEPENDENT CONTRACTORS. VESTING. A PARTICIPANT SHALL BECOME FULLY VESTED IN THE PORTION OF HIS DEFERRED COMPENSATION ACCOUNT ATTRIBUTABLE TO EMPLOYER CREDITS, AND INCOME, GAINS AND LOSSES ATTRIBUTABLE THERETO, IF HE REMAINS IN SERVICE WITH THE EMPLOYER UNTIL THE FIRST TO OCCUR OF THE FOLLOWING EVENTS: (I) THE DEATH OF THE PARTICIPANT (II) THE DISABILITY OF THE PARTICIPANT; OR (III) IN ACCORDANCE WITH THE VESTING SCHEDULE AND PROVISIONS DESIGNATED BY THE EMPLOYER IN THE ADOPTION AGREEMENT. UPON VESTING, THE DEFERRED COMPENSATION ACCOUNT WILL BE INCLUDIBLE IN THE GROSS INCOME OF THE PARTICIPANT PURSUANT TO CODE SECTION 457(F). CONTRIBUTIONS TO THE PLAN DURING THE FISCAL YEAR ENDING IN 2022 WERE APPROXIMATELY $237,000. PART I, LINE 7 BONUSES TO EXECUTIVES AND DIRECTORS ARE BASED UPON CORPORATE AND PERSONAL GOALS. THESE GOALS ARE NOT RELATED DIRECTLY TO REVENUE OR NET EARNINGS. EXAMPLES OF CORPORATE AND PERSONAL GOALS WOULD BE GROWING REGISTRATIONS, DELIVERING CORPORATE PROJECTS WITHIN CERTAIN RESULT CRITERIA, SURVEY RESULTS FROM MEMBERS AND PERSONAL PERFORMANCE RATING SCORES. A VIRGINIA BIOTECH RESEARCH PARTNERSHIP AUTHORITY 541726850 000000000 2010-12-30 9720000 REFUND SERIES 2002 BONDS ISSUED APRIL 9, 2002 0 0 0 A 6260000 9720000 2002 1 0 1 1 A 0 1 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 1 1 WELLS FARGO BANK NA 7.000000000000 0 0 0 0 1 A 1 X 2 138808 FMV 0 0 1 0 PART I, COLUMN (B): THE AMOUNT REPORTED IN COLUMN B REPRESENTS THE NUMBER OF GIFTS OF PUBLICLY-TRADED SECURITIES DURING THE YEAR. FORM 990, PART VI, SECTION A, LINE 6 UNOS HAS FIVE CLASSES OF MEMBERS OF THE CORPORATION: INSTITUTIONAL MEMBERS, MEDICAL/SCIENTIFIC MEMBERS, PUBLIC ORGANIZATION MEMBERS, BUSINESS MEMBERS AND INDIVIDUAL MEMBERS. REFERENCES IN THESE BY LAWS TO "MEMBERS" SHALL INCLUDE THESE CLASSES UNLESS OTHERWISE NOTED. BY AMENDMENT TO THE BYLAWS, THE BOARD OF DIRECTORS MAY ESTABLISH ADDITIONAL CATEGORIES OF MEMBERS TO CONFORM TO REQUIREMENTS OF LAW AND REGULATIONS APPLICABLE TO THE NATIONAL ORGAN PROCUREMENT AND TRANSPLANTATION NETWORK OR THE CORPORATION. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS OF THE BOARD OF DIRECTORS SHALL BE ELECTED BY MAJORITY VOTE OF TRANSPLANT HOSPITAL MEMBERS, OPO MEMBERS, HISTOCOMPATIBILITY LABORATORY MEMBERS, PUBLIC ORGANIZATION MEMBER ELECTORS, MEDICAL/SCIENTIFIC MEMBERS, AND INDIVIDUAL MEMBER ELECTORS REPRESENTED IN PERSON OR BY PROXY AT EACH ANNUAL METTING OF THE MEMBERS AT WHICH A QUORUM IS PRESENT. DIRECTORS MAY ALSO BE ELECTED AT ANY SPECIAL MEETING OF THE MEMBERS IF THE BOARD OF DIRECTORS IS BEING EXPANDED. DIRECTORS SHALL SERVE FOR A TERM OF TWO YEARS, WITH THE EXCEPTIONS NOTED BELOW, WHICH SHALL BEGIN IMMEDIATELY FOLLOWING THE CONCLUSION OF THE LAST REGULAR MEETING OF THE BOARD OF DIRECTORS PRIOR TO JULY 1 OF EACH CALENDAR YEAR. MEMBERS OF THE BOARD WHO ARE TRANSPLANT CANDIDATES, TRANSPLANT RECIPIENTS, ORGAN DONORS, OR FAMILY MEMBERS, OR REPRESENTATIVES OF VOLUNTARY HEALTH ORGANIZATIONS OR THE GENERAL PUBLIC SHALL SERVE FOR A TERM OF THREE YEARS, WITH THE EXCEPTION OF ANY SUCH MEMBER(S) IN THIS CATEGORY WHOSE TERM(S) ARE EXTENDED BY RESOLUTION OF THE BOARD OF DIRECTORS FOR ONE YEAR, NOT TO EXCEED A TWO-YEAR EXTENSION. BOARD MEMBERS WHO ALSO HOLD POSITIONS AS OFFICERS SERVE ONE YEAR TERMS AND THE VICE PRESIDENT OF PATIENT & DONOR AFFAIRS SHALL SERVE FOR A TERM OF TWO YEARS. EACH VOTING TRANSPLANT HOSPITAL MEMBER, OPO MEMBER, HISTOCOMPATIBILITY LABORATORY MEMBER, PUBLIC ORGANIZATION MEMBER ELECTOR, MEDICAL/SCIENTIFIC MEMBERS, AND INDIVIDUAL MEMBER ELECTOR IS ENTITLED TO ONE VOTE FOR AS MANY PERSONS AS THERE ARE DIRECTORS TO BE ELECTED. THERE SHALL BE NO CUMULATIVE VOTING. FORM 990, PART VI, SECTION B, LINE 11B IRS FORM 990 IS REVIEWED BY MANAGEMENT AND THEN MADE AVAILABLE TO THE UNOS FINANCE COMMITTEE AND THE BOARD PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C MEMBERS OF THE BOARD OF DIRECTORS ARE REQUIRED TO SIGN CONFLICTS OF INTEREST DISCLOSURES AND CERTIFICATIONS PRIOR TO BEGINNING SERVICE ON THE BOARD. THE PRESIDENT AND EXECUTIVE COMMITTEE REVIEWS EACH MEETING AGENDA ITEM FOR POTENTIAL CONFLICTS OF INTERESTS WITH ANY CURRENT BOARD MEMBER, INCLUDING OFFICERS, AND IF A CONFLICT IS IDENTIFIED, THE AFFECTED DIRECTOR IS ASKED TO LEAVE THE ROOM FOR THE CONSIDERATION AND VOTE ON ANY OF THOSE SPECIFIC ISSUES FOR WHICH THEY MAY HAVE A CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 CEO COMPENSATION IS DETERMINED BY A COMPENSATION COMMITTEE COMPRISED OF THREE PRIOR CHAIRS OF THE BOARD OF DIRECTORS. AN OUTSIDE AGENCY IS USED TO DETERMINE COMPARABLE SALARIES IN THE INDUSTRY AND LOCAL AREA FOR BOTH EXECUTIVE AND KEY EMPLOYEE POSITIONS, AND OTHER KEY MANAGEMENT POSITIONS ARE APPROVED AT THE EXECUTIVE LEVEL. FORM 990, PART VI, SECTION C, LINE 19 UNOS POLICIES AND BYLAWS, FINANCIAL STATEMENTS, AND IRS FORM 990 ARE AVAILABLE ON THE CORPORATE WEBSITE OR BY REQUEST. FORM 990, PART XI, LINE 9: CHANGE IN VALUE OF LIFE INSURANCE POLICIES -70,793.