2022-11-15T13:47:29-06:00 2021-12-31 131578842 BUCHBINDER TUNICK & CO LLP ONE PENN PLAZA - SUITE 3200 NEW YORK NY 101190002 990 2021-01-01 133800331 1199SEIU LABOR MANAGEMENT INITIATIVES INC 1199 6464736336 PO BOX 842 NEW YORK NY 10108 MERCEDES MAMBRU CHIEF FINANCIAL OFFICER 6464736336 2022-11-14 1 MERCEDES MAMBRU 999009999 MATTHEW SIMON CPA P00293700 2126955003 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z MERCEDES MAMBRU 498 SEVENTH AVENUE 5TH FLOOR NEW YORK NY 10018 18732737 0 X HTTP://1199SEIUBENEFITS.ORG X 1995 NY TO IMPROVE LABOR-MANGEMENT RELATIONSHIPS AND TO ACHIEVE BETTER WORKING CONDITIONS FOR EMPLOYEES, A MORE QUALIFIED AND SATISFIED WORKFORCE AND TO MAXIMIZE JOB SECURITY. 22 22 230 22 0 0 58399 0 34779703 18580857 0 0 2758459 51596 37596561 18632453 0 0 21815133 21218136 0 0 0 0 0 7559074 5308654 29374207 26526790 8222354 -7894337 17334003 9531850 5119285 5211469 12214718 4320381 THE FUND WAS ESTABLISHED TO IMPROVE LABOR-MANGEMENT RELATIONSHIPS AND TO ACHIEVE BETTER WORKING CONDITIONS FOR EMPLOYEES, A MORE QUALIFIED AND SATISFIED WORKFORCE AND TO MAXIMIZE JOB SECURITY. 0 0 THOUGH THE FUND DOES NOT UNDERTAKE PROGRAM SERVICES AND DOES NOT REPORT ANY EXPENSES ON FORM 990, COL (B), THE FUND HAS CREATED A LABOR MANAGEMENT PARTICIPATION PROJECT, A JOINT EMPLOYMENT SERVICE, A RESEARCH PROJECT, A MEDIA PROJECT AND A GRANT PROJECT FOR EMPLOYEES AND EMPLOYERS IN THE HEALTH CARE INDUSTRY. 0 0 0 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 52 0 1 230 1 0 0 0 0 0 0 0 0 0 0 X 22 22 1 0 0 0 0 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X MERCEDES MAMBRU CFO 6464736336 498 SEVENTH AVENUE 9TH FLOOR NEW YORK NY 10018 X DAVID BRODSKY EMPLOYER TRUSTEE 1.00 2.00 X 0 0 0 JEFFREY COHEN EMPLOYER TRUSTEE 1.00 7.00 X 0 0 0 REBECCA GORDON EMPLOYER TRUSTEE 1.00 7.00 X 0 0 0 BARBARA GREEN PDD EMPLOYER TRUSTEE 1.00 3.00 X 0 0 0 PAUL STUART EMPLOYER TRUSTEE 1.00 0.00 X 0 0 0 BARBARA LOGAN EMPLOYER TRUSTEE 1.00 3.00 X 0 0 0 HUGO PIZARRO EMPLOYER TRUSTEE 1.00 3.00 X 0 0 0 TANYA ISAACS EMPLOYER TRUSTEE 1.00 1.00 X 0 0 0 ROBERT L OLIVER EMPLOYER TRUSTEE 1.00 4.00 X 0 0 0 AUDREY WATHEN FORMER EMPLOYER TRUSTEE 1.00 3.00 X 0 0 0 STACIE WILLIAMS FORMER EMPLOYER TRUSTEE 1.00 6.00 X 0 0 0 MARC KRAMER EMPLOYER TRUSTEE 1.00 6.00 X 0 0 0 JACQUELINE ALLEYNE UNION TRUSTEE 1.00 5.00 X 0 0 0 SEAN MOORE UNION TRUSTEE 1.00 5.00 X 0 0 0 YVONNE ARMSTRONG UNION TRUSTEE 1.00 5.00 X 0 0 0 GERARD CADET UNION TRUSTEE 1.00 0.00 X 0 0 0 MARIA CASTANEDA UNION TRUSTEE 1.00 7.00 X 0 0 0 GEORGE GRESHAM UNION TRUSTEE 1.00 6.00 X 0 0 0 MARIA KERCADO UNION TRUSTEE 1.00 3.00 X 0 0 0 STEVE KRAMER UNION TRUSTEE 1.00 5.00 X 0 0 0 GREG SPELLER UNION TRUSTEE 1.00 1.00 X 0 0 0 VERONICA TURNER UNION TRUSTEE 1.00 5.00 X 0 0 0 MARGARET WEST-ALLEN UNION TRUSTEE 1.00 0.00 X 0 0 0 JANICE REYES TUTIVEN UNION TRUSTEE 1.00 6.00 X 0 0 0 SANDI VITO EXECUTIVE OFFICER 7.00 2.00 X 79195 259821 152983 VILMA LINARES VAUGHN DEPUTY EXECUTIVE DIRECTOR 7.00 3.00 X 50827 166752 95300 MITRA BEHROOZI CROSS FUNDS EXECUTIVE OFFI 1.00 33.00 X 0 680041 355309 DONNA S REY CROSS FUNDS EXECUTIVE OFFI 2.00 21.00 X 41950 637010 359920 MERCEDES MAMBRU CHIEF FINANCIAL OFFICER 2.00 21.00 X 14527 220602 145901 LORRAINE MONCHAK CHIEF INVESTMENT OFFICER 1.00 21.00 X 0 1062784 579111 JEFFREY STEIN FUND COUNSEL 1.00 21.00 X 0 579309 304805 BRANDY D SHILOH CHIEF OF ADMINISTRATION 2.00 3.00 X 32306 490569 287180 STACEY MILLMAN CHIEF COMMUNICATIONS OFFIC 1.00 21.00 X 0 427004 225309 VAN DUNN CHIEF MEDICAL OFFICER 1.00 21.00 X 0 466687 253000 218805 4990579 2758818 0 0 1 0 BETTYANDSMITH LLC 1818 N STREET NW SUITE 515 WASHINGTON DC 20036 OTHER SERVICES 2865242 SKDKNICKERBOCKER LLC 1818 N STREET NW SUITE 40 WASHINGTON DC 20036 OTHER SERVICES 2817928 STG LLC 818 CONNECTICUT AVENUE NW STE 200 WASHINGTON DC 20006 OTHER SERVICES 630000 MILLIMAN INC 1 PENN PLAZA 38TH FLOOR NEW YORK NY 10119 OTHER SERVICES 492297 3BF PARTNERS LLC 498 SEVENTH AVENUE 9TH FLOOR NEW YORK NY 10018 OTHER SERVICES 380754 17 EMPLOYER CONTRIBUTIONS 900099 18580857 18580857 18580857 1300 100284 -98984 -98984 OTHER INCOME 900099 150580 150580 150580 18632453 18731437 0 -98984 21218136 5148 32300 621988 307981 189052 SHARED EXPENSES 3725863 ADMINISTRATION WAGES, T 426322 26526790 769779 544924 7256871 2920103 4277867 601784 18105 19006 1337536 1006807 412381 330729 4599000 5115304 17334003 9531850 2491862 2638777 2627423 2572692 5119285 5211469 X 12214718 4320381 12214718 4320381 17334003 9531850 -7894337 0 X X 0 1 X 1 0 302647 232196 70451 993845 734978 258867 41044 39633 1411 330729 DUE FROM RELATED ENTITIES 5115304 5115304 DUE TO RELATED ENTITIES 2572692 2572692 X 18732737 100284 100284 18632453 0 18632453 26627074 100284 100284 26526790 0 26526790 PART X, LINE 2: FORM 990, PART IV, LINE 11F: US GAAP REQUIRE PLAN MANAGEMENT TO EVALUATE TAX POSITIONS TAKEN BY THE FUND AND RECOGNIZE A TAX LIABILITY (OR ASSET) IF THE ORGANIZATION HAS TAKEN AN UNCERTAIN POSITION THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE INTERNAL REVENUE SERVICE. THE PLAN ADMINISTRATOR HAS ANALYZED THE TAX POSITIONS TAKEN BY THE PLAN, AND HAS CONCLUDED THAT AS OF DECEMBER 31, 2021, THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF LIABILITY (OR ASSET) OR DISCLOSURE IN FINANCIAL STATEMENTS. THE PLAN IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. THE PLAN ADMINISTRATOR BELIEVES IT IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS FOR YEARS PRIOR TO 2018. PART XI, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT RECLASS 100,284. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT RECLASS 100,284. X X X 0 1 0 LORRAINE MONCHAK CHIEF INVESTMENT OFFICER 0 976632 0 0 0 86152 0 223819 0 355292 0 1641895 0 0 DONNA S REY CROSS FUNDS EXECUTIVE OFFI 36789 558636 0 0 5161 78374 4518 140315 13289 201798 59757 979123 0 0 MITRA BEHROOZI CROSS FUNDS EXECUTIVE OFFI 0 568281 0 0 0 111760 0 148924 0 206385 0 1035350 0 0 JEFFREY STEIN FUND COUNSEL 0 500398 0 0 0 78911 0 116337 0 188468 0 884114 0 0 BRANDY D SHILOH CHIEF OF ADMINISTRATION 29523 448305 0 0 2783 42264 3625 111821 10611 161123 46542 763513 0 0 VAN DUNN CHIEF MEDICAL OFFICER 0 402707 0 0 0 63980 0 103173 0 149827 0 719687 0 0 STACEY MILLMAN CHIEF COMMUNICATIONS OFFIC 0 366728 0 0 0 60276 0 94020 0 131289 0 652313 0 0 SANDI VITO EXECUTIVE OFFICER 75236 246834 0 0 3959 12987 9239 30311 26498 86935 114932 377067 0 0 MERCEDES MAMBRU CHIEF FINANCIAL OFFICER 13866 210559 0 0 661 10043 1703 61353 5118 77727 21348 359682 0 0 VILMA LINARES VAUGHN DEPUTY EXECUTIVE DIRECTOR 46868 153765 0 0 3959 12987 5755 18882 16507 54156 73089 239790 0 0 FORM 990, SCHEDULE J, PART III ALL OFFICERS AND KEY EMPLOYEES ARE PAID BY 1199SEIU LEAGUE TRAINING AND UPGRADING FUND FOR THEIR SERVICES PERFORMED FOR ALL 1199SEIU FUNDS. THEIR SALARY IS THEN ALLOCATED TO EACH FUND BASED ON THE AMOUNT OF SERVICES PROVIDED TO EACH FUND AND IS REPORTED AS IF PAID BY THE FILING ORGANIZATION. THE AMOUNT REPORTED IN SCHEDULE J, PART II LINE (I) REPRESENTS THE AMOUNT ALLOCATED TO 1199SEIU LABOR MANAGEMENT INITIATIVES, INC. AND THE AMOUNTS REPORTED ON LINE (II) REPRESENT THE TOTAL SALARY AND BENEFITS RECEIEVED FOR SERVICES PROVIDED BY ALL OTHER 1199 SEIU FUNDS. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE FOLLOWING INDIVIDUALS PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN AND RECEIVED TAXABLE DISTRIBUTIONS DURING 2021: MITRA BEHROOZI $89,967 LORRAINE MONCHAK $86,039 DONNA S. REY $61,769 JEFFREY STEIN $52,672 BRANDY D. SHILOH $50,741 VAN DUNN $51,551 STACEY MILLMAN $46,412 THE ABOVE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN B (III). THE FOLLOWING INDIVIDUALS PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN AND RECEIVED DEFERRED CONTRIBUTIONS DURING 2021: MITRA BEHROOZI $79,139 LORRAINE MONCHAK $103,888 DONNA S. REY $71,715 MERCEDES MAMBRU $35,496 JEFFREY STEIN $54,888 BRANDY D. SHILOH $56,769 STACEY MILLMAN $48,986 THE ABOVE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN C. FORM 990, PART VI, SECTION A, LINE 2 ALL OF THE UNION DIRECTORS ARE ALSO EMPLOYEES OF 1199SEIU (THE UNION) AND THEREFORE HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. FORM 990, PART VI, SECTION A, LINE 7A THE UNION DIRECTORS ARE APPOINTED BY 1199SEIU UNITED HEALTHCARE WORKERS EAST, AND THE EMPLOYER DIRECTORS ARE APPOINTED BY THE LEAGUE OF VOLUNTARY HOSPITALS AND HOMES OF NEW YORK. FORM 990, PART VI, SECTION B, LINE 11B THE CHIEF FINANCIAL OFFICER AND FINANCE TEAM REVIEWS THE DRAFT FORM 990 AND CONFER WITH THE ACCOUNTANTS AND LEGAL COUNSEL TO ENSURE THE ACCURACY OF THE RETURN. ANY CONCERNS ARE NOTED AND ADDRESSED AND MANAGEMENT ENSURES THAT THE CHANGES ARE INCORPORATED IN THE FORM 990. THE COMPLETED FORM 990 IS THEN SIGNED BY THE EXECUTIVE DIRECTOR. FORM 990, PART VI, SECTION B, LINE 12C AS OF DECEMBER, 2008, DIRECTORS AND EMPLOYEES ARE REQUIRED TO ANNUALLY DISCLOSE OR UPDATE TO THE EXECUTIVE DIRECTOR, OR DESIGNEE, THEIR INTERESTS THAT COULD GIVE RISE TO CONFLICTS OF INTERESTS. FOR EACH INTEREST DISCLOSED BY A TRUSTEE, THE EXECUTIVE DIRECTOR OR DESIGNEE WILL DETERMINE WHETHER TO (A) TAKE NO ACTION (B) ASSURE FULL DISCLOSURE TO THE TRUSTEE (C) ASK THE TRUSTEE TO BE RECUSED FROM PARTICIPATION IN RELATED DISCUSSIONS OR DECISIONS; AND OR (D) ASK THE TRUSTEE TO RESIGN. REGARDING EMPLOYEES, COMPLETED CONFLICTS OF INTEREST DISCLOSURE FORMS WILL BE REVIEWED BY THE HUMAN RESOURCES DEPARTMENT AND DISCLOSED CONFLICTS WILL BE REVIEWED BY HUMAN RESOURCES MANAGEMENT. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR ALL DIRECTORS, OFFICERS AND KEY EMPLOYEES OF THE FUND IS DETERMINED BY THE CROSS FUNDS COMPENSATION COMMITTEE (THE "COMMITTEE"), COMPRISED OF INDEPENDENT MEMBERS. THE COMMITTEE UTILIZES APPROPRIATE DATA AS TO COMPARABILITY IN ITS DETERMINATIONS, INCLUDING INFORMATION PROVIDED BY INDEPENDENT COMPENSATION CONSULTANTS. THE COMMITTEE DOCUMENTS THE BASIS FOR ANY COMPENSATION DETERMINATIONS CONTEMPORANEOUSLY IN THE MINUTES OF THE COMMITTEE. THE COMMITTEE DETERMINES COMPENSATION PERIODICALLY AS IT DEEMS APPROPRIATE. FORM 990, PART VI, SECTION C, LINE 18 UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 SPD AND FINANCIAL REPORTS ARE MADE PUBLIC PURSUANT TO IRS FILING REQUIREMENTS. WRITTEN REQUESTS FOR OTHER INFORMATION WILL BE FORWARDED TO GENERAL COUNSEL'S OFFICE FOR CONSIDERATION. FORM 990, PART VII, SECTION A: ALL OFFICERS AND KEY EMPLOYEES ARE PAID BY THE LEAGUE TRAINING AND UPGRADING FUND FOR THEIR SERVICES PERFORMED FOR THE 1199SEIU FUNDS. THEIR SALARIES ARE THEN ALLOCATED TO EACH FUND BASED ON THE AMOUNT OF SERVICES PROVIDED TO EACH FUND AND IS REPORTED AS IF PAID BY THE FILING ORGANIZATION. FORM 990, PART XII, LINE 2C THE FUND'S AUDIT COMMITTEE ASSUMES RESPONSIBILITY FOR THE OVERSIGHT OF THE AUDIT AND THE SELECTION OF THE INDEPENDENT ACCOUNTANT. THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. FORM 990, PART V, LINE 2A: W-2'S ARE ISSUED TO PARTICIPANTS OF THE PLAN WHO RECEIVE DIRECT PAYMENT BENEFITS. 1199SEIU NBF HEALTH AND HUMAN SERV EMPL 498 SEVENTH AVENUE NEW YORK NY 10018 131628401 BENEFIT FUND NY 501(C)(9) N/A 0 1199SEIU HEALTH CARE EMPL PENSION FUND 498 SEVENTH AVENUE NEW YORK NY 10018 133604862 PENSION FUND NY 401(A) N/A 0 1199SEIU TRAINING AND UPGRADING FUND 498 SEVENTH AVENUE NEW YORK NY 10018 132637580 EDUC/TRAINING NY 501(C)(3) 10 N/A 0 1199SEIU JOB SECURITY FUND 498 SEVENTH AVENUE NEW YORK NY 10018 133712851 BENEFIT FUND NY 501(C)(9) N/A 0 1199SEIU LEAGUE RN TRAINING & JSF 498 SEVENTH AVENUE NEW YORK NY 10018 133946135 EDUC/TRAINING NY 501(C)(9) N/A 0 LOCAL EMPLOYER CHILD CARE FUND 498 SEVENTH AVENUE NEW YORK NY 10018 133641466 CHILDCARE NY 501(C)(9) N/A 0 1199SEIU HEALTH CARE INDUSTRY GRANT CORP 498 SEVENTH AVENUE NEW YORK NY 10018 134197609 HEALTHCARE NY 501(C)(3) 10 N/A 0 1199SEIU LICENSED PRACTICAL NURSE WF 498 SEVENTH AVENUE NEW YORK NY 10018 132623987 BENEFIT FUND NY 501(C)(9) N/A 0 1199SEIU EMPLOYEE CHILD CARE CORP 498 SEVENTH AVENUE NEW YORK NY 10018 134063281 DAY CARE CNTR NY 501(C)(3) 7 N/A 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 1 1 1 1 1