2022-08-12T10:03:26-05:00 2021-09-30 135565207 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2020-10-01 061330992 NORTHEAST MEDICAL GROUP INC NORT 2036880580 99 HAWLEY LANE STRATFORD CT 06614 MICHAEL ANGELINI SR. VP & INTRIM CFO 2036880580 2022-08-12 0 MICHAEL ANGELINI 999009999 EVAN W SEEKAMP P01907071 2128727950 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z MICHAEL ANGELINI 789 HOWARD AVE NEW HAVEN CT 06519 520258163 0 X HTTPS://WWW.NORTHEASTMEDICALGROUP.ORG/ X 1991 CT TO RENDER AND PROMOTE A HIGH QUALITY OF MEDICAL CARE SERVICES. 10 6 2484 6 7570 0 619743 0 476232380 520129915 224874 -18681 3455 7570 477080452 520118804 1031 0 0 0 302207858 320723690 0 0 0 179988598 189927820 482197487 510651510 -5117035 9467294 125652099 99889150 119616914 86463969 6035185 13425181 X TO RENDER MEDICAL TREATMENT TO PATIENTS WITHOUT REGARD TO ABILITY TO PAY FOR SUCH TREATMENT, AND TO PROMOTE A HIGH QUALITY OF MEDICAL CARE AND OTHER SERVICES FOR THE BENEFIT OF ALL PERSONS IN THE COMMUNITIES IT SERVES. 0 0 413870543 520129915 SCHEDULE ONORTHEAST MEDICAL GROUP (NEMG), ESTABLISHED IN 2010 AS PART OF THE YALE NEW HAVEN HEALTH SYSTEM (YNHHS), HAS GROWN TO INCLUDE MORE THAN 2,000 EMPLOYEES INCLUDING OVER 1,100 MEDICAL PROFESSIONALS. NEMG IS A SYSTEM-WIDE, NOT-FOR-PROFIT MULTISPECIALTY MEDICAL GROUP THAT INCLUDES PHYSICIANS AND ADVANCED PRACTICE CLINICIANS, AS WELL AS SOME YNHHS HOSPITAL-EMPLOYED PHYSICIANS AT GREENWICH, BRIDGEPORT, YALE NEW HAVEN, LAWRENCE + MEMORIAL AND WESTERLY HOSPITALS. IN FY21, NEMG EXTENDED CLINICAL SERVICES OFFERED TO THE COMMUNITY BY RECRUITING INTO ORTHOPEDICS FOR THE FIRST TIME. NEMG ALSO SIGNIFICANTLY EXPANDED ITS UROLOGY SERVICE LINE.ALL NEMG PRACTICES PARTICIPATE IN DAILY SAFETY HUDDLES, SIMILAR TO THOSE CONDUCTED AT EACH OF THE HEALTH SYSTEM'S HOSPITALS, TO INCREASE COMMUNICATION ABOUT POTENTIAL SAFETY CONCERNS. THE SAFETY EFFORTS INCLUDE AMBULATORY PRACTICE EDUCATION AND TRAINING DESIGNED TO INCREASE THE REPORTING OF SAFETY CONCERNS THROUGH AN ONLINE TOOLS. ADDITIONAL TRAINING IS ALSO UNDERWAY TO ENSURING NEMG REMAINS A HIGH RELIABILITY ORGANIZATION.SPECIFIC INITIATIVES CONTINUE TO BE INTRODUCED, IN FY21, TO ADDRESS THE PATIENCE EXPERIENCE ACROSS ALL NEMG PRACTICES, WITH PRACTICES IMPLEMENTING INITIATIVES THAT ADDRESSED PATIENT SATISFACTION AND SERVICE. ONE SUCH INITIATIVE, CONTINUAL IMPROVEMENT TO OUR TELEHEALTH SERVICES; LISTENING TO THE FEEDBACK OF PATIENTS TO ENSURE A SEAMLESS SOLUTION OUTSIDE OF THE OFFICE ENVIRONMENT.TO FURTHER IMPROVE BOTH THE PATIENT AND PROVIDER EXPERIENCE, NEMG'S MEDICAL GROUP PRACTICES CONTINUED TO USE VIRTUAL SCRIBES, TAP AND GO TECHNOLOGY AND ADVANCED DICTATION SOFTWARE. ALL INITIATIVES WERE DESIGNED TO INCREASE DIRECT COMMUNICATION BETWEEN PATIENT AND PROVIDER, INCREASE DOCUMENTATION ACCURACY AND REDUCE THE AMOUNT OF TIME PROVIDERS SPEND IN THE ELECTRONIC MEDICAL RECORD.NEMG PRACTICES SUCCESSFULLY IMPLEMENTED POPULATION-BASED HEALTH EFFORTS FOR IMPROVED OUTCOMES IN ANNUAL WELLNESS VISITS, DIABETIC EYE EXAMS AND DEPRESSION SCREENINGS.TO BETTER REFLECT THE DIVERSITY OF OUR PATIENTS AND OUR COMMUNITIES, NEMG, AS PART OF YALE NEW HAVEN HEALTH SYSTEM, CONTINUES TO EXPAND PROGRAMMING THAT ADDRESSES UNCONSCIOUS BIAS, SOCIETAL STIGMA AND LGBTQ AWARENESS. NEMG HAS A DIVERSITY AND INCLUSION COUNCIL THAT FOCUSES ON EDUCATION AND AWARENESS, COMMUNITY OUTREACH AND TALENT MANAGEMENT. 413870543 1 0 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 203 0 2484 1 1 1 0 0 0 0 0 0 0 0 0 1 0 X 10 6 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 X VERNETTE D GRAY 2036889585 789 HOWARD AVENUE NEW HAVEN CT 06519 CHRISTOPHER O'CONNOR SECRETARY/TRUSTEE 1.00 39.00 X X 0 1687615 758246 ELLIOT SUSSMAN CHAIRMAN/TRUSTEE 1.00 1.00 X X 0 0 0 GARY DESIR TRUSTEE 1.00 0.00 X 0 0 0 LISA LATTANZA TRUSTEE 1.00 0.00 X 0 0 0 MONIQUE MISRA TRUSTEE 1.00 39.00 X 423987 0 25360 NICHOLAS BERTINI TRUSTEE 1.00 1.00 X 0 0 0 PATRICK GREEN TRUSTEE 1.00 39.00 X 0 1003878 460264 PAULA SANTRACH TRUSTEE 1.00 0.00 X 0 0 0 PRATHIBHA VARKEY PRESIDENT & CEO/TRUSTEE 32.00 8.00 X X 901128 225281 477354 RICHARD GOLDSTEIN INTERIM PRESIDENT/TRUSTEE 1.00 39.00 X X 0 731685 38768 STEPHANIE SPANGLER TRUSTEE 1.00 0.00 X 0 0 0 ELLEN LIQUINDOLI TREASURER 40.00 0.00 X 295227 0 8274 JENNIFER WILLCOX ASSISTANT SECRETARY 1.00 39.00 X 5487 543171 40842 DAVID BRILL PHYSICIAN 40.00 0.00 X 785251 0 39306 GREGORY BULLER PHYSICIAN 40.00 0.00 X 791443 0 82144 NABIL ATWEH PHYSICIAN 40.00 0.00 X 978046 0 62945 PAUL BOURGUIGNON PHYSICIAN 40.00 0.00 X 763293 0 38234 STEVEN KARDOS PHYSICIAN 40.00 0.00 X 1002679 0 36838 5946541 4191630 2068575 832 0 1 0 PRIMED LLC 24881 NETWORK PLACE CHICAGO IL 606731248 MEDICAL SERVICE 33496776 CARDIAC SPECIALISTS OF FFLD 1305 POST ROAD FAIRFIELD CT 06430 MEDICAL SERVICE 18756835 CONNECTICUT MEDICAL GROUP 9 WASHINGTON AVENUE HAMDEN CT 06518 MEDICAL SERVICE 13056606 NEW LONDON OB-GYN MIDWIFERY LLC 148 RIMMON ROAD WOODBRIDGE CT 06525 MEDICAL SERVICE 3767814 WEATHERBY LOCUMS INC PO BOX 972633 DALLAS TX 753972633 STAFFING SERVICE 2458787 33 NET PATIENT REVENUE 621400 262014392 262014392 CONTRACT REVENUE 621300 258093023 258093023 OTHER ACUTE CARE 621300 22500 22500 520129915 5579 5579 122669 115099 7570 7570 7570 24260 -24260 -24260 -24260 520118804 520129915 7570 -18681 X 1288917 128892 1160025 267902500 213793394 54109106 11489992 9174819 2315173 25130340 20050827 5079513 14911941 11846465 3065476 506104 403807 102297 5616 5273 343 42966 42966 131478410 105393290 26085120 349970 279232 70738 2245148 1873639 371509 19831258 15932717 3898541 392714 313336 79378 1739808 1388261 351547 12118982 12026781 92201 MEDICAL & SURGICAL SUPP 19365977 19365977 MEDICAL EDUCATION 1420807 1420807 DUES, MEMBERSHIP & SUB 430060 430060 510651510 413870543 96780967 0 26830000 29920168 16013766 7397279 34561268 16204151 16924281 18357117 266975 266975 65617077 43947611 125652099 99889150 82251717 61232045 1771553 78589 35593644 25153335 119616914 86463969 X 6035185 13425181 6035185 13425181 125652099 99889150 X 9467294 -2077298 X 0 1 X 1 0 X 619743 619743 398048986 422633292 464458186 476107406 520129915 2281377785 398048986 422633292 464458186 476727149 520129915 2281997528 0 170180676 175648165 181002528 142456815 204616750 873904934 170180676 175648165 181002528 142456815 204616750 873904934 1408092594 33974 224874 5579 264427 33974 224874 5579 264427 3455 7570 11025 398048986 422633292 464492160 476955478 520143064 2282272980 0.61700 0.60360 0.00010 0.00010 X 0 1 0 1 500 0 0 1 34903 0 1 7563 42966 0 PART II-B, LINE 1: THE HEALTH SYSTEM OFFICIALS HAD MEETINGS AND CONTACTS WITH STATE GOVERNMENT OFFICIALS, INCLUDING STATE LEGISLATORS AND THEIR STAFF TO DISCUSS VARIOUS HEALTH CARE REFORM PROPOSALS. NORTHEAST MEDICAL GROUP INC IS PART OF A CONTROLLED GROUP WITH THE FOLLOWING LOBBYING EXPENSES: YALE NEW HAVEN HOSPITAL EIN 06-0646652 $ 762,113 BRIDGEPORT HOSPITAL EIN 06-0646554 $ 169,869 GREENWICH HOSPITAL EIN 06-0646659 $ 120,788 LAWRENCE + MEMORIAL HOSPITAL EIN 06-0646704 $ 117,914 LMW HEALTHCARE, INC. EIN 46-0543230 $ 27,911 10781634 372745 10408889 23180895 15831406 7349489 598739 598739 18357117 DUE FROM AFFILIATES 22938903 OTHER ASSETS 64108 RIGHT OF USE ASSETS 20944600 43947611 DUE TO AFFILIATES 3909998 LEASE LIABILITY LTO 21243337 25153335 X PART X, LINE 2: NORTHEAST MEDICAL GROUP INC IS INCLUDED IN THE CONSOLIDATED YALE NEW HAVEN HEALTH SYSTEM AND SUBSIDIARIES AUDITED FINANCIAL STATEMENTS. FOLLOWING IS THE FOOTNOTE FROM THE CONSOLIDATED FINANCIAL STATEMENTS: MOST ENTITIES WITHIN THE SYSTEM ARE NOT FOR PROFIT CORPORATIONS AS DESCRIBED IN SECTION 501(C)(3) OF THE CODE, AND ARE GENERALLY EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. PROVISIONS FOR INCOME TAXES AND DEFERRED TAXES, WHERE APPLICABLE, HAVE BEEN MADE FOR THE TAXABLE ENTITIES LISTED ABOVE UNDER THE DESCRIPTION OF THE SYSTEM. U.S. GAAP REQUIRES THE SYSTEM TO EVALUATE TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN THE COURSE OF PREPARING THE SYSTEM'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE "MORE LIKELY THAN NOT" OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY BASED UPON THE TECHNICAL MERITS OF THE POSITION. THE SYSTEM RECOGNIZES THE EFFECT OF TAX POSITIONS ONLY IF THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. THIS EVALUATION HAD NO IMPACT ON THE OPERATIONS OF THE SYSTEM AS OF AND FOR THE YEARS ENDED SEPTEMBER 30, 2021 AND 2020. 0 1 0 0 0 0 0 1 0 CHRISTOPHER O'CONNOR SECRETARY/TRUSTEE 0 1172437 0 384720 0 130458 0 737057 0 21189 0 2445861 0 0 PRATHIBHA VARKEY PRESIDENT & CEO/TRUSTEE 630453 157613 205626 51406 65049 16262 375102 93775 6782 1695 1283012 320751 0 0 PATRICK GREEN TRUSTEE 0 702053 0 219438 0 82387 0 438939 0 21325 0 1464142 0 0 NABIL ATWEH PHYSICIAN 872824 0 42088 0 63134 0 46703 0 16242 0 1040991 0 0 0 STEVEN KARDOS PHYSICIAN 999431 0 2500 0 748 0 16133 0 20705 0 1039517 0 0 0 GREGORY BULLER PHYSICIAN 750118 0 32845 0 8480 0 66633 0 15511 0 873587 0 0 0 DAVID BRILL PHYSICIAN 777387 0 2500 0 5364 0 16950 0 22356 0 824557 0 0 0 PAUL BOURGUIGNON PHYSICIAN 758314 0 2500 0 2479 0 16462 0 21772 0 801527 0 0 0 RICHARD GOLDSTEIN INTERIM PRESIDENT/TRUSTEE 0 548128 0 150773 0 32784 0 16950 0 21818 0 770453 0 0 JENNIFER WILLCOX ASSISTANT SECRETARY 3957 391716 1186 117412 344 34043 188 18576 221 21857 5896 583604 0 0 MONIQUE MISRA TRUSTEE 406149 0 5625 0 12213 0 17577 0 7783 0 449347 0 0 0 ELLEN LIQUINDOLI TREASURER 288061 0 0 0 7166 0 6577 0 1697 0 303501 0 0 0 PART I, LINE 3 THE FILING ORGANIZATION DOES NOT HAVE AND/OR COMPENSATE ITS OWN CEO/EXECUTIVE DIRECTOR. THESE POSITIONS ARE FILLED BY EMPLOYEES OF A RELATED ORGANIZATION(S) AND COMPENSATED THROUGH THE RESPECTIVE RELATED ORGANIZATION(S). THE METHOD(S) USED BY THE RELATED ORGANIZATION(S) FOR DETERMINING COMPENSATION FOR THESE INDIVIDUALS ARE: -COMPENSATION COMMITTEE -INDEPENDENT COMPENSATION CONSULTANT -COMPENSATION SURVEY OR STUDY -APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE PART I, LINE 4B THE INDIVIDUALS LISTED BELOW ARE PARTICIPANTS IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN. THESE ACCRUALS ARE INCLUDED IN THE AMOUNTS REPORTED IN PART II, COLUMN C (DEFERRED COMPENSATION) AND REPRESENTS BOTH THE REPORTING ENTITY'S AND RELATED ENTITY'S COMBINED AMOUNTS CONSISTENT WITH THE COMPENSATION REPORTING PER IRS INSTRUCTIONS. SEVERANCE NONQUALIFIED EQUITY-BASED CHRISTOPHER O'CONNOR 0 534,307 0 PRATHIBHA VARKEY 0 358,006 0 PATRICK GREEN 0 317,989 0 THE SUPPLEMENTAL RETIREMENT INCOME PLAN (SRIP) / EXECUTIVE DEFERRED COMPENSATION ACCOUNT PLAN (EDCAP) ARE DESIGNED TO ENSURE THE PAYMENT OF A COMPETITIVE LEVEL OF RETIREMENT INCOME WHEN ADDED TO OTHER SOURCES OF RETIREMENT INCOME IN ORDER TO ATTRACT AND RETAIN KEY MANAGEMENT EMPLOYEES SERVING AS CORPORATE OFFICERS. THE PLAN PROVIDES SUPPLEMENTAL RETIREMENT INCOME THROUGH AN UNFUNDED, NONQUALIFIED DEFERRED COMPENSATION ARRANGEMENT UNDER SECTION 457(F) AND THROUGH A DEFERRED COMPENSATION PLAN UNDER SECTION 409A OF THE INTERNAL REVENUE CODE AND A MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES' PLAN UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA). PART I, LINE 7 THE SHORT TERM INCENTIVE PLAN IS A VARIABLE COMPENSATION PLAN WHICH PROVIDES ONE-TIME PAYMENTS TO ELIGIBLE MEMBERS OF MANAGEMENT IN RECOGNITION OF THE ACCOMPLISHMENT OF KEY ORGANIZATIONAL AND INDIVIDUAL PERFORMANCE OBJECTIVES. PERFORMANCE LEVELS ARE ESTABLISHED AND REVIEWED ANNUALLY AT THRESHOLD, TARGET AND MAXIMUM LEVELS, ACCORDING TO PLANNED "STRETCH" GOALS AND OBJECTIVES. INCENTIVE AWARD OPPORTUNITIES ARE ESTABLISHED ACCORDING TO MARKET PRACTICES BASED ON EACH ELIGIBLE POSITION'S RESPONSIBILITIES, PERFORMANCE AND LEVEL OF AUTHORITY. PERFORMANCE RELATIVE TO STIP AWARD OPPORTUNITIES INCORPORATES A BROAD SPECTRUM OF PRE-DEFINED FINANCIAL AND NON-FINANCIAL METRICS THAT ARE ALIGNED WITH ORGANIZATIONAL MISSION AND VALUES. FORM 990, PART VI PART I, LINE 4 & PART VI, LINE 1B NUMBER OF INDEPENDENT VOTING MEMBERS OF THE GOVERNING BODY THE ORGANIZATION SOUGHT TO CONFIRM THE INDEPENDENCE OF EACH VOTING MEMBER OF ITS GOVERNING BODY BY REQUESTING THAT EACH SUCH VOTING MEMBER RESPOND TO A QUESTIONNAIRE CONTAINING THE PERTINENT INSTRUCTIONS AND DEFINITIONS AND DESIGNED TO ELICIT THE INFORMATION NECESSARY TO DETERMINE INDEPENDENCE. IN THE EVENT THAT THE ORGANIZATION DOES NOT RECEIVE A RESPONSE FROM ANY SUCH VOTING MEMBER, THE ORGANIZATION REVIEWS OTHER INFORMATION KNOWN TO IT REGARDING THE VOTING MEMBER AND MAKES A REASONABLE ASSESSMENT OF INDEPENDENCE BASED ON THAT INFORMATION. FORM 990, PART VI, SECTION A, LINE 2 BUSINESS RELATIONSHIPS BETWEEN OFFICERS, DIRECTORS, TRUSTEES, OR KEY EMPLOYEES CERTAIN OF THE ORGANIZATION'S CURRENT OFFICERS AND/OR TRUSTEES MAY SERVE AS OFFICERS AND/OR DIRECTORS OF TAX-EXEMPT AND TAXABLE AFFILIATES WITHIN THE ORGANIZATION'S CORPORATE SYSTEM OR JOINT VENTURES IN WHICH THE ORGANIZATION'S CORPORATE SYSTEM HAS AN OWNERSHIP INTEREST. THE INDIVIDUAL OFFICERS AND/OR TRUSTEES DO NOT HAVE PERSONAL FINANCIAL INTERESTS IN SUCH AFFILIATES AND SERVE ONLY AS A FUNCTION OF THEIR ROLES WITH THE ORGANIZATION OR WITHIN THE ORGANIZATION'S CORPORATE SYSTEM. FORM 990, PART VI, SECTION A, LINE 6 THE ENTITY IS A CONNECTICUT NON-STOCK CORPORATION. THE SOLE MEMBER OF NORTHEAST MEDICAL GROUP, INC. IS YALE NEW HAVEN HEALTH SERVICES CORPORATION ("YNHHS"), ITSELF A CONNECTICUT NON-STOCK CORPORATION EXEMPT FROM FEDERAL INCOME TAX AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. FORM 990, PART VI, SECTION A, LINE 7A YNHHS HAS THE AUTHORITY TO ELECT THE TRUSTEES OF NEMG, AND CERTAIN EXECUTIVES SERVE AS EX OFFICIO TRUSTEES OF NEMG. FORM 990, PART VI, SECTION A, LINE 7B THE YALE NEW HAVEN HEALTH SERVICES CORPORATION, AS THE ENTITY'S SOLE MEMBER, HAS THE RIGHTS, POWERS AND PRIVILEGES SET FORTH IN THE ENTITY'S BYLAWS, INCLUDING, IN PART, THE AUTHORITY TO APPROVE THE NOMINEES TO THE ENTITY'S BOARD OF TRUSTEES, AMENDMENTS TO THE GOVERNING DOCUMENTS, OPERATING AND CAPITAL BUDGETS, INITIATION OF MAJOR NEW PROGRAMS AND CLINICAL SERVICES OR THE DISCONTINUATION OR CONSOLIDATION OF SUCH PROGRAMS, CERTAIN FUNDAMENTAL CORPORATION TRANSACTIONS, AND THE ISSUANCE AND INCURRENCE OF INDEBTEDNESS. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 TAX RETURN AND ATTACHED SCHEDULES WERE PREPARED BY EMPLOYEES OF THE YNHHS TAX DEPARTMENT. THE RETURN IS INITIALLY REVIEWED BY THE EXECUTIVE DIRECTOR OF CORPORATE FINANCE. SUBSEQUENTLY, IT IS SENT TO KPMG LLP FOR THEIR INITIAL REVIEW. AFTER ALL COMMENTS FROM THE ABOVE GROUPS ARE RECEIVED AND REVIEWED, THE RETURN IS THEN REVIEWED BY THE CHIEF FINANCIAL OFFICER OF YNHHS, THE SOLE MEMBER OF NORTHEAST MEDICAL GROUP, INC. A FINAL VERSION OF THE RETURN IS SENT BACK TO KPMG LLP FOR FINAL REVIEW. PRIOR TO FILING, THE ORGANIZATION MADE AVAILABLE A COMPLETE COPY OF THE RETURN TO ITS BOARD OF TRUSTEES BY WEB PORTAL. FORM 990, PART VI, SECTION B, LINE 12C NORTHEAST MEDICAL GROUP IS COVERED UNDER THE YNHHS CONFLICT OF INTEREST POLICY APPROVED AND ADOPTED BY THE SYSTEM COMPLIANCE COMMITTEE, WHICH HAS BEEN DELEGATED THE AUTHORITY TO APPROVE AND ADOPT COMPLIANCE POLICIES ON BEHALF OF THE ENTITIES IN THE SYSTEM. THE YALE NEW HAVEN HEALTH SYSTEM CONFLICT OF INTEREST POLICY AND INDIVIDUAL ANNUAL DISCLOSURE FORM APPLIES TO A POOL OF EMPLOYEES, BOARD MEMBERS AND NON-BOARD MEMBERS SERVING ON BOARD COMMITTEES. THESE "COVERED INDIVIDUALS" ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT, UPON BEGINNING EMPLOYMENT OR OTHERWISE BECOMING A COVERED INDIVIDUAL AND ANNUALLY THEREAFTER. COVERED INDIVIDUALS ARE ALSO REQUIRED TO PROMPTLY REPORT CHANGES TO THEIR MOST RECENTLY COMPLETED DISCLOSURE STATEMENT. THESE DISCLOSURE STATEMENTS AND REPORTS ARE REVIEWED BY THE OFFICE OF PRIVACY AND CORPORATE COMPLIANCE AND/OR THE LEGAL AND RISK SERVICES DEPARTMENT TO ENSURE COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY. IF A POTENTIAL CONFLICT ARISES, THE PRESIDENT AND CEO WOULD CONSULT WITH THE BOARD CHAIRPERSON AND THE LEGAL AND RISK SERVICES DEPARTMENT TO DEVELOP A PLAN TO MITIGATE ANY ACTUAL CONFLICT OF INTEREST. FOR EXAMPLE, A VOTING BOARD OR COMMITTEE MEMBER WOULD BE REQUIRED TO RECUSE HIMSELF OR HERSELF FROM VOTING ON MATTERS WITH WHICH SHE OR HE HAD AN ACTUAL OR POTENTIAL CONFLICT AND THE ACTUAL OR POTENTIAL CONFLICT WOULD BE DISCLOSED TO OTHER VOTING MEMBERS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION PROCESS FOR TOP OFFICIALS: THE TOP OFFICIAL IS AN EMPLOYEE OF YNHHS. YNHHSC COMPENSATION COMMITTEE STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE COMPENSATION COMMITTEE IS RESPONSIBLE FOR (1) DETERMINING THE OVERALL TOTAL COMPENSATION STRATEGY FOR THEIR RESPECTIVE CORPORATE OFFICERS, (2) APPROVING ALL COMPENSATION AND BENEFITS DECISIONS FOR RESPECTIVE CORPORATE OFFICERS, AND (3) REPORTING SUCH ACTIONS TO THE FULL NORTHEAST MEDICAL GROUP AND YNHHS BOARDS ON AN ANNUAL BASIS. IN ADDITION, THE COMPENSATION COMMITTEE EXPRESSLY DETERMINES THE REASONABLENESS OF TOTAL COMPENSATION AND BENEFITS FOR ALL CORPORATE OFFICERS, AND ASSURES THAT ALL OFFICER COMPENSATION DECISIONS ARE MADE AFTER THOROUGH CONSIDERATION OF AND COMPARISON TO THE MARKET PRACTICES OF OTHER SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE EXECUTIVES IN COMPARABLE ORGANIZATIONS. THE COMPENSATION COMMITTEE CONSISTS OF BOARD MEMBERS WHO DO NOT HAVE MATERIAL FINANCIAL INTERESTS THAT COULD BE AFFECTED BY THE OFFICER COMPENSATION DECISIONS MADE BY THE COMMITTEE. THE COMPARABILITY DATA USED TO ASSIST THE COMPENSATION COMMITTEE IN THEIR COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE COMPENSATION COMMITTEE. THE DATA COLLECTED BY THE CONSULTANT CONSISTS OF MARKET INFORMATION FOR EXECUTIVES IN FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE ORGANIZATIONS. THE DELIBERATIONS AND DECISIONS OF THE COMPENSATION COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE, AND PROVIDED TO THE BOARDS OF YNHHS AND THE ORGANIZATION. COMPENSATION PROCESS FOR OFFICERS: CERTAIN OFFICERS ARE EMPLOYEES OF YNHHS, OTHER OFFICERS ARE EMPLOYED DIRECTLY BY THE ORGANIZATION. COMPENSATION DETERMINATIONS OF YNHHSC EMPLOYEES ARE MADE BY THE YNHHSC COMPENSATION COMMITTEE. COMPENSATION DETERMINATIONS OF PHYSICIANS EMPLOYED BY THE ORGANIZATION ARE MADE BY THE ORGANIZATION'S PHYSICIAN COMPENSATION COMMITTEE, WHICH REPORTS TO THE ORGANIZATION'S BOARD. YNHHSC COMPENSATION COMMITTEE STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE COMPENSATION COMMITTEE IS RESPONSIBLE FOR (1) DETERMINING THE OVERALL TOTAL COMPENSATION STRATEGY FOR ALL THEIR RESPECTIVE CORPORATE OFFICERS, (2) APPROVING ALL COMPENSATION AND BENEFITS DECISIONS FOR CORPORATE OFFICERS, AND (3) REPORTING SUCH ACTIONS TO THE FULL NORTHEAST MEDICAL GROUP AND YNHHS BOARD ON AN ANNUAL BASIS, AS APPLICABLE. IN ADDITION, THE COMPENSATION COMMITTEE, AS APPLICABLE, EXPRESSLY DETERMINES THE REASONABLENESS OF TOTAL COMPENSATION AND BENEFITS FOR ALL CORPORATE OFFICERS, AND ASSURES THAT ALL OFFICER COMPENSATION DECISIONS ARE MADE AFTER THOROUGH CONSIDERATION OF AND COMPARISON TO THE MARKET PRACTICES OF OTHER SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE EXECUTIVES IN COMPARABLE ORGANIZATIONS. THE COMPENSATION COMMITTEE CONSISTS OF BOARD MEMBERS WHO DO NOT HAVE MATERIAL FINANCIAL INTERESTS THAT COULD BE AFFECTED BY THE OFFICER COMPENSATION DECISIONS MADE BY THE COMMITTEE. THE COMPARABILITY DATA USED TO ASSIST THE COMPENSATION COMMITTEE IN THEIR COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE COMPENSATION COMMITTEE. THE DATA COLLECTED BY THE CONSULTANT CONSISTS OF MARKET INFORMATION FOR EXECUTIVES IN FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE ORGANIZATIONS. THE DELIBERATIONS AND DECISIONS OF THE COMPENSATION COMMITTEE IS CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE, AND PROVIDED TO THE BOARDS OF YNHHS AND/OR THE ORGANIZATION, AS APPLICABLE. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF ALL DOCUMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 19,401,600. MANAGEMENT AND GENERAL EXPENSES 4,915,044. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 24,316,644. PHYSICIAN FEES: PROGRAM SERVICE EXPENSES 2,723,028. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,723,028. PURCHASE SERVICES: PROGRAM SERVICE EXPENSES 83,268,662. MANAGEMENT AND GENERAL EXPENSES 21,170,076. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 104,438,738. FORM 990, PART XI, LINE 9: TRANSFER TO NORTHEAST MEDICAL GROUP, PLLC -2,077,298. NORTHEAST MEDICAL GROUP ACO LLC 99 HAWLEY LANE FL 3 STRATFORD CT 06614 470970286 HEALTHCARE ADMINISTRATION CT 0 5000 NORTHEAST MEDICAL GROUP INC NEMG GASTROENTEROLOGY LLC 99 HAWLEY LANE FL 3 STRATFORD CT 06614 473578382 HEALTHCARE CT 4497925 798094 NORTHEAST MEDICAL GROUP INC BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 1 BRIDGEPORT HOSPITAL FOUNDATION INC 267 GRANT STREET BRIDGEPORT CT 06610 222908698 SYSTEM SUPPORT SERVICES CT 501C3 LINE 7 BRIDGEPORT HOSPITAL 1 BRIDGEPORT HOSPITAL FRIENDS OF PEDIATRICS INC 120 COLUMBINE DRIVE TRUMBULL CT 06611 066048427 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12A, I YALE NEW HAVEN HOSPITAL 1 GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646659 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 1 HOME CARE PLUS INC 789 HOWARD AVE NEW HAVEN CT 06519 061044331 HOME HEALTHCARE SERVICES CT 501C3 LINE 10 YALE NEW HAVEN CARE CONTINUUM CORP 1 LAWRENCE MEMORIAL CORPORATION 365 MONTAUK AVENUE NEW LONDON CT 06320 222553028 PROMOTE HEALTHCARE CT 501C3 LINE 12A, I YALE NEW HAVEN HEALTH SERVICES CORP 1 LAWRENCE MEMORIAL HOSPITAL INC 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 HEALTHCARE SERVICES CT 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 LMW HEALTHCARE INC 365 MONTAUK AVENUE NEW LONDON CT 06320 460543230 HEALTHCARE SERVICES RI 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 NORTHEAST MEDICAL GROUP PLLC 99 HAWLEY LANE STRATFORD CT 06614 352380180 HEALTHCARE SERVICES NY 501C3 LINE 12A, I NORTHEAST MEDICAL GROUP INC 1 PERRYRIDGE CORPORATION 5 PERRYRIDGE ROAD GREENWICH CT 06830 061207316 SYSTEM SUPPORT SERVICES CT 501C3 LINE 10 GREENWICH HOSPITAL 1 SOUTHERN CONNECTICUT HEALTH SYSTEM PROPERTIES INC 267 GRANT STREET BRIDGEPORT CT 06610 061297708 TITLE HOLDING CT 501C2 BRIDGEPORT HOSPITAL 1 THE WESTERLY HOSPITAL FOUNDATION INC 25 WELLS STREET WESTERLY RI 02891 050508064 FUNDRAISING SERVICES RI 501C3 LINE 12A, I LMW HEALTHCARE INC 1 VISITING NURSE ASSOCIATION OF SOUTHEASTERN CONNECTICUT INC 403 NORTH FRONTAGE ROAD WATERFORD CT 06385 060646616 HOME HEALTHCARE SERVICES CT 501C3 LINE 10 LAWRENCE MEMORIAL CORPORATION 1 WESTERLY HOSPITAL AUXILIARY INC 25 WELLS STREET WESTERLY RI 02891 222507181 FUNDRAISING ACTIVITIES RI 501C3 LINE 12A, I LMW HEALTHCARE INC 1 YALE NEW HAVEN CARE CONTINUUM CORP 789 HOWARD AVE NEW HAVEN CT 06519 455235566 NURSING HOME CT 501C3 LINE 3 YALE NEW HAVEN HOSPITAL 1 YALE NEW HAVEN HEALTH SERVICES CORP 789 HOWARD AVE NEW HAVEN CT 06519 222529464 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12A, I N/A 0 YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06504 060646652 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 1 THE GREENWICH HOSPITAL ENDOWMENT FUND INC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061526642 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12C, III-FI GREENWICH HOSPITAL 1 SHORELINE ENDOSCOPY CENTER LLC 800 BOSTON POST ROAD GUILFORD CT 06437 900110459 HEALTHCARE SERVICES CT N/A 0 0 YALE NEW HAVEN HEALTH SYSTEM INVESTMENT TRUST 20 YORK STREET NEW HAVEN CT 06510 271374301 INVESTMENT DE N/A 0 0 YNHHSCUSP SURGERY CENTERS LLC 15305 DALLAS PKWY STE 1600 ADDISON TX 75001 384021595 HEALTHCARE SERVICES CT N/A 0 0 TOTAL HEALTH CONNECTICUT LLC - DISSOLVED 122220 789 HOWARD AVE NEW HAVEN CT 06519 474070024 HEALTHCARE SERVICES CT N/A 0 0 CENTURY FINANCIAL SERVICES INC 23 MAIDEN LANE NORTH HAVEN CT 06473 061110797 DEBT COLLECTION SERVICES CT N/A C 0 CORPORATE PROFESSIONAL BUSINESS SERVICESINC 789 HOWARD AVE NEW HAVEN CT 06519 061467717 MANAGEMENT SERVICES CT N/A C 0 GREENWICH FERTILITY & IVF PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 300145464 HEALTHCARE SERVICES CT N/A C 0 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NEW JERSEY 5 PERRYRIDGE ROAD GREENWICH CT 06830 453833883 HEALTHCARE SERVICES NJ N/A C 0 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NY PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061540101 HEALTHCARE SERVICES NY N/A C 0 L & M SYSTEMS INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553037 HEALTHCARE RELATED SERVICES CT N/A C 0 L&M HOME CARE SERVICES INC 365 MONTAUK AVENUE NEW LONDON CT 06320 061389272 HOME THERAPY CT N/A C 0 MEDICAL CENTER PHARMACY AND HOME CARE CENTER INC 50 YORK STREET NEW HAVEN CT 06511 061087673 PHARMACY CT N/A C 0 YALE NEW HAVEN AMBULATORY SERVICES 40 TEMPLE STREET NEW HAVEN CT 06510 061398526 HEALTHCARE SERVICES CT N/A C 0 YNHH-PHYSICIANS CORP 789 HOWARD AVE NEW HAVEN CT 06519 061202305 ADMINISTRATIVE SERVICES CT N/A C 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 1 1 1 1 1 NORTHEAST MEDICAL GROUP PLLC R 2077298 CASH BRIDGEPORT HOSPITAL P 29135756 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL L 15238844 TRANSACTION REVIEW BRIDGEPORT HOSPITAL S 41366501 CASH BRIDGEPORT HOSPITAL Q 3117210 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL K 2020238 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL Q 35737293 TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL P 371707 TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL L 46780211 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL S 2218293 CASH/TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL R 479041 CASH/TRANSACTION REVIEW YALE NEW HAVEN HEALTH SERVICES CORP M 95954276 COMPARABLE MARKET VALUE YALE NEW HAVEN HEALTH SERVICES CORP R 73125363 CASH YALE NEW HAVEN HEALTH SERVICES CORP P 6345384 TRANSACTION REVIEW YALE NEW HAVEN HEALTH SERVICES CORP J 187820 COMPARABLE MARKET VALUE YALE NEW HAVEN HEALTH SERVICES CORP P 244402 TRANSACTION REVIEW YALE NEW HAVEN HEALTH SERVICES CORP L 131649526 COMPARABLE MARKET VALUE YALE NEW HAVEN HEALTH SERVICES CORP S 96066387 TRANSACTION REVIEW YALE NEW HAVEN HEALTH SERVICES CORP O 84095 TRANSACTION REVIEW GREENWICH HOSPITAL S 3206623 FAIR MARKET VALUE GREENWICH HOSPITAL K 2196957 CASH GREENWICH HOSPITAL Q 2284787 FAIR MARKET VALUE GREENWICH HOSPITAL P 7550659 FAIR MARKET VALUE LAWRENCE MEMORIAL HOSPITAL INC S 10792119 CASH/TRANSACTION REVIEW LAWRENCE MEMORIAL HOSPITAL INC M 9319886 COMPARABLE MARKET VALUE LAWRENCE MEMORIAL HOSPITAL INC P 5035245 TRANSACTION REVIEW LAWRENCE MEMORIAL HOSPITAL INC K 2293918 COMPARABLE MARKET VALUE LMW HEALTHCARE INC K 159881 TRANSACTION REVIEW