2021-08-13T10:31:39-05:00 2020-09-30 135565207 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2019-10-01 061330992 NORTHEAST MEDICAL GROUP INC NORT 2036880580 99 HAWLEY LANE STRATFORD CT 06614 VINCENT TAMMARO EXECUTIVE VP & CFO 2036880580 2021-08-10 0 EVAN W SEEKAMP P01907071 2128727950 2019 2022-09-23 18:48:47Z VINCENT TAMMARO 789 HOWARD AVE NEW HAVEN CT 06519 477119584 0 X HTTPS://WWW.NORTHEASTMEDICALGROUP.ORG/ X 1991 CT TO RENDER AND PROMOTE A HIGH QUALITY OF MEDICAL CARE SERVICES. 11 7 2552 8 3455 0 0 619743 464458186 476232380 33974 224874 0 3455 464492160 477080452 0 1031 0 0 274065708 302207858 0 0 0 178035222 179988598 452100930 482197487 12391230 -5117035 73156354 125652099 57432349 119616914 15724005 6035185 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 422744296 1031 476232380 SCHEDULE ONORTHEAST MEDICAL GROUP (NEMG), ESTABLISHED IN 2010 AS PART OF THE YALE NEW HAVEN HEALTH SYSTEM (YNHHS), HAS GROWN TO INCLUDE MORE THAN 2,200 EMPLOYEES INCLUDING OVER 1,200 MEDICAL PROFESSIONALS. NEMG IS A SYSTEM-WIDE, NOT-FOR-PROFIT MULTISPECIALTY MEDICAL GROUP THAT INCLUDES PHYSICIANS AND ADVANCED PRACTICE CLINICIANS. DURING THE FIRST WAVE OF THE CORONAVIRUS PANDEMIC, NEMG REDUCED IN-PERSON PATIENT VISITS AS PART OF ITS INITIAL PREVENTIVE SAFETY MEASURE STRATEGY FOR PATIENTS AND STAFF. TO ENSURE PATIENTS RECEIVED THE CARE THEY NEEDED, NEMG COUNTERED BY INCREASING ACCESS TO TELEHEALTH SERVICES, WITH NEARLY ALL OF ITS 136 SITES PROVIDING PATIENTS WITH REMOTE ACCESS TO MEDICAL CARE. ANNUAL WELLNESS VISITS BY VIDEO STARTED IN APRIL, WHICH MARKED AN IMPORTANT STEP DURING THE PANDEMIC TO CONTINUE THE SCHEDULE OF PREVENTIVE HEALTH EXAMS. THIS ALLOWED NEMG PROVIDERS TO TRACK THE PROGRESS OF THESE PATIENTS IN CONJUNCTION WITH OTHER ANCILLARY VALUE PROGRAMS.AS OF MID-MAY, NEMG COMPLETED 85,810 VISITS, WITH VIDEO SURPASSING TELEPHONE ENCOUNTERS. PATIENTS REPORTED FEELING GREATER REASSURANCE IN BEING SEEN VIA VIDEO VISITS, AND CLINICIANS GAINED GREATER PERSPECTIVE ON THEIR PATIENTS' MEDICAL CONDITIONS.THE CARE COORDINATION TEAM BECAME INVOLVED IN MANAGING PRESUMED POSITIVE AND CONFIRMED POSITIVE COVID-19 PATIENTS IN THEIR HOMES THROUGH A SERIES OF OUTREACH PHONE CALLS AND VIDEO VISITS. THE POPULATIONS SERVED ARE THOSE THAT HAVE BEEN DIAGNOSED IN THE COMMUNITY THROUGH THEIR PRIMARY CARE PROVIDER, THE EMERGENCY DEPARTMENT OR POST-HOSPITALIZATION FOLLOW-UPS. NEMG CLINICIANS DEVELOPED PROTOCOLS FOR CLINICAL OUTREACH, RISK STRATIFICATION GUIDELINES TO ASSIGN THE PATIENT TO THE APPROPRIATE PATHWAY, AND STANDARDIZED PATIENT EDUCATION AND DOCUMENTATION. THE INITIATIVE PROVIDED PROACTIVE FOLLOW-UP TO CHECK ON PATIENT PROGRESS OR DETECT SIGNS OF EARLY DETERIORATION THAT COULD LEAD TO READMISSION. BY THE END OF APRIL, NEMG WAS MANAGING THE CARE OF APPROXIMATELY 350 COVID-19 PATIENTS THROUGH THIS EFFORT. FACED WITH A WORLDWIDE SHORTAGE OF PERSONAL PROTECTIVE EQUIPMENT THROUGHOUT THE PANDEMIC, NEMG INTRODUCED A RECYCLING PROCESS FOR SURGICAL MASKS, N95 RESPIRATORS AND FACE SHIELDS BY PARTNERING WITH MEDICAL-SURGICAL DISTRIBUTORS. THE PROCESS HELPED CONSERVE RESOURCES IN GOOD STEWARDSHIP OF SCARCE EQUIPMENT.RECOGNIZING THE EMOTIONAL AND ISOLATING EFFECTS OF COVID-19 ON PATIENTS, NEMG CONDUCTED A VIRTUAL TOWN HALL VIA ZOOM FOR PATIENTS TO DISCUSS COPING MECHANISMS AND SUPPORT SERVICES, INCLUDING TELEPSYCHIATRY AND GROUP THERAPY SESSIONS. AS NEMG TRANSITIONED INTO PHASED RE-OPENING OF SERVICES, THE MULTISPECIALTY GROUP REPORTED THAT APPROXIMATELY 25 PERCENT OF BEHAVIORAL HEALTH VISITS WERE BEING CONDUCTED IN-PERSON AGAIN.NEMG, WITH BRIDGEPORT HOSPITAL (A MEMBER OF YALE NEW HAVEN HEALTH SYSTEM), EXPANDED THE PALLIATIVE CARE PROGRAM FOR CANCER PATIENTS TO MEET THE GROWING NEED OF SUPPORT FOR THIS PATIENT POPULATION AND THEIR FAMILIES. THE PROGRAM FOCUSES ON IMPROVING QUALITY OF LIFE FOR THE PATIENT AND FAMILY BY RELIEVING THE PAIN, STRESS, PHYSICAL AND EMOTIONAL SYMPTOMS CAUSED BY SERIOUS ILLNESS.EXTENDING CARE INTO THE COMMUNITIES SERVED, NEMG OPENED A 25,000-SQUARE-FOOT MULTISPECIALTY CENTER IN FAIRFIELD THAT INCLUDES 45 EXAM ROOMS AND THREE PROCEDURE ROOMS FOR 30 MEDICAL SPECIALISTS. THE CENTER ALSO HOUSES A BLOOD DRAW STATION AND X-RAY SERVICES.THROUGH A PARTNERSHIP WITH THE UNIVERSITY OF NEW HAVEN, NEMG AND YALE NEW HAVEN HEALTH CREATED A CAMPUS HEALTH SERVICES PROGRAM FOR STUDENTS AND EMPLOYEES OF THE UNIVERSITY. THE PARTNERSHIP PROVIDES CARE ON CAMPUS, VIA TELEHEALTH, AND AT ITS FACILITIES FOR PRIMARY CARE, COVID-19 TESTING, STUDENT HEALTH, AND URGENT AND EMERGENT MEDICAL CARE.COMMUNITY OUTREACH EFFORTS FOCUSED ON HEALTH EDUCATION, FOOD DRIVES, DIAPER DRIVES AND FREE HEALTH SCREENINGS HIGHLIGHTING VARIOUS HEALTH TOPICS. NEMG ALSO CONDUCTED SUCCESSFUL DRIVE-THROUGH FLU VACCINATION CLINICS IN THE FALL USING A STRONG DIRECT-TO-PATIENT COMMUNICATIONS STRATEGY THAT INCLUDED DIRECT MAIL, EMAIL AND MYCHART MESSAGING THROUGH EPIC, THE ELECTRONIC HEALTH RECORD SYSTEM. 422744296 1 1 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 1 244 0 2552 1 1 1 0 0 0 0 0 0 0 0 0 1 0 X 11 7 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 1565405 555321 PRATHIBHA VARKEY CEO/TRUSTEE 32.00 8.00 X X 904843 226211 368603 PATRICK GREEN TRUSTEE 1.00 39.00 X 0 890303 346308 STEVEN KARDOS PHYSICIAN 40.00 0.00 X 956699 0 40879 NABIL ATWEH PHYSICIAN 40.00 0.00 X 915537 0 44886 DAVID BRILL PHYSICIAN 40.00 0.00 X 869151 0 40883 HAROLD SAUER PHYSICIAN 40.00 0.00 X 741316 0 53791 GREGORY BULLER PHYSICIAN 40.00 0.00 X 760320 0 28971 KEITH TANDLER TREASURER 2.00 38.00 X 23281 531026 96785 SHEIKH HOQ TRUSTEE 27.00 13.00 X 347622 161050 108212 JENNIFER WILLCOX ASSISTANT SECRETARY 1.00 39.00 X 5226 517389 37786 BRIAN DORAN VESTED DEFERRED FORMER TRUSTEE 0.00 0.00 X 0 110147 0 ELLIOT SUSSMAN CHAIRMAN/TRUSTEE 1.00 1.00 X X 0 0 0 ELLEN LIQUINDOLI TREASURER 40.00 0.00 X 0 0 0 NICHOLAS BERTINI TRUSTEE 1.00 1.00 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 PAULA SANTRACH TRUSTEE 1.00 0.00 X 0 0 0 JOHN E SCHMELTZER TRUSTEE 1.00 0.00 X 0 0 0 PETER SCHULAM TRUSTEE 1.00 0.00 X 0 0 0 STEPHANIE SPANGLER TRUSTEE 1.00 0.00 X 0 0 0 5523995 4001531 1722425 765 1 1 0 PRIMED LLC 24881 NETWORK PLACE CHICAGO IL 606731248 MEDICAL 34774500 CARDIAC SPECIALISTS OF FFLD 1305 POST ROAD FAIRFIELD CT 06430 MEDICAL 18051823 CONNECTICUT MEDICAL GROUP 9 WASHINGTON AVENUE HAMDEN CT 06518 MEDICAL 13855155 NEW LONDON OB-GYN MIDWIFERY LLC 148 RIMMON ROAD WOODBRIDGE CT 06525 MEDICAL 3968018 WEATHERBY LOCUMS INC 6451 N FEDERAL HWY STE 700 FORT LAUDERDALE FL 33308 STAFFING SERVICE 3913140 40 619743 619743 CONTRACT REVENUE 621300 260067943 260067943 NET PATIENT REVENUE 621400 216141937 216141937 OTHER ACUTE CARE 621300 22500 22500 476232380 224874 224874 42587 39132 3455 3455 3455 477080452 476232380 3455 224874 X 1031 1031 1688510 168851 1519659 252835042 220691757 32143285 3944065 3516498 427567 29372885 23604181 5768704 14367356 12515404 1851952 1441 1255 186 5616 4693 923 32337 32337 127944009 112917921 15026088 506503 442066 64437 2816514 2600407 216107 17871253 15788983 2082270 575495 501314 74181 1558900 1359586 199314 10737135 10658617 78518 MEDICAL & SURGICAL SUPP 16070651 16070651 MEDICAL EDUCATION 1384381 1384381 DUES, MEMBERSHIP & SUB 484363 484363 482197487 422744296 59453191 0 27031383 26830000 5968340 16013766 31539060 14614779 8414528 16924281 266975 266975 31475128 65617077 73156354 125652099 48775909 82251717 1771553 8656440 35593644 57432349 119616914 X 15724005 6035185 15724005 6035185 73156354 125652099 X -5117035 -4571784 X 0 1 X 1 0 X 619743 619743 306943203 398048986 422633292 464458186 476107406 2068191073 306943203 398048986 422633292 464458186 476727149 2068810816 0 150623182 170180676 175648165 181002528 142456815 819911366 150623182 170180676 175648165 181002528 142456815 819911366 1248899450 33974 224874 258848 33974 224874 258848 3455 3455 306943203 398048986 422633292 464492160 476955478 2069073119 0.60360 0.57360 0.00010 0.00000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 1 500 0 0 1 31837 0 0 32337 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: BRIDGEPORT HOSPITAL EIN 06-0646554 $ 98,002 GREENWICH HOSPITAL EIN 06-0646659 $ 68,805 LAWRENCE + MEMORIAL HOSPITAL EIN 06-0646704 $ 65,560 LMW HEALTHCARE, INC. EIN 46-0543230 $ 24,657 YALE NEW HAVEN HOSPITAL EIN 06-0646652 $ 453,814 7798499 160914 7637585 21238480 14453865 6784615 2502081 2502081 16924281 DUE FROM AFFILIATES 43270112 OTHER ASSETS 64108 RIGHT OF USE ASSETS 22282857 65617077 DUE TO AFFILIATES 12996650 LEASE LIABILITY LTO 22596994 35593644 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, WHICH ARE NOT MATERIAL TO THE CONSOLIDATED FINANCIAL STATEMENTS, 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, 2020 AND 2019. 0 1 0 0 0 0 0 1 0 CHRISTOPHER O'CONNOR SECRETARY/TRUSTEE 0 1055702 0 388377 0 121326 0 535266 0 20055 0 2120726 0 0 PRATHIBHA VARKEY CEO/TRUSTEE 608112 152028 225523 56381 71208 17802 288471 72118 6411 1603 1199725 299932 0 0 PATRICK GREEN TRUSTEE 0 627040 0 209106 0 54157 0 326253 0 20055 0 1236611 0 0 STEVEN KARDOS PHYSICIAN 832474 0 123531 0 694 0 16492 0 24387 0 997578 0 0 0 NABIL ATWEH PHYSICIAN 837882 0 37718 0 39937 0 29858 0 15028 0 960423 0 0 0 DAVID BRILL PHYSICIAN 780731 0 11862 0 76558 0 16650 0 24233 0 910034 0 0 0 HAROLD SAUER PHYSICIAN 663869 0 29893 0 47554 0 38831 0 14960 0 795107 0 0 0 GREGORY BULLER PHYSICIAN 720966 0 30958 0 8396 0 13919 0 15052 0 789291 0 2782 0 KEITH TANDLER TREASURER 17223 392842 4460 101740 1598 36444 3240 73910 825 18810 27346 623746 0 0 SHEIKH HOQ TRUSTEE 323840 160826 23308 0 474 224 87197 0 21015 0 455834 161050 0 0 JENNIFER WILLCOX ASSISTANT SECRETARY 3735 369796 1159 114751 332 32842 170 16849 208 20559 5604 554797 0 0 BRIAN DORAN VESTED DEFERRED FORMER TRUSTEE 0 0 0 0 0 110147 0 0 0 0 0 110147 0 110147 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 $ 354,075 0 PRATHIBHA VARKEY 0 249,939 0 PATRICK GREEN 0 206,307 0 THE INDIVIDUALS LISTED BELOW BECAME VESTED IN BENEFITS VALUED AT THE AMOUNTS RESPECTIVELY REPORTED DURING THE REPORTING YEAR. INCLUDED IN SECTION II, COLUMN B (III) ARE AMOUNTS VESTED DURING THE 2019 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2019 CALENDAR YEAR FORM W-2S. BRIAN DORAN $ 110,147 TWO FORMER TRUSTEES, FRANK CORVINO AND PETER HERBERT, RECEIVED PAYMENTS FROM THE NONQUALIFIED PLAN. THE FOLLOWING PAYMENTS WERE MADE DIRECTLY TO THEM FROM THE RABBI TRUST AND REPORTED IN THE INDIVIDUALS' 2019 CALENDAR YEAR FORM W-2S FROM THE RABBI TRUST. FRANK CORVINO $ 139,574 PETER HERBERT 78,071 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 788,519. MANAGEMENT AND GENERAL EXPENSES 162,444. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 950,963. PHYSICIAN FEES: PROGRAM SERVICE EXPENSES 11,681,610. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 11,681,610. PURCHASE SERVICES: PROGRAM SERVICE EXPENSES 100,447,792. MANAGEMENT AND GENERAL EXPENSES 14,863,644. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 115,311,436. FORM 990, PART XI, LINE 9: TRANSFER TO NORTHEAST MEDICAL GROUP, PLLC -4,571,784. 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