2021-09-27T09:04:48-05:00 2020-12-31 410746749 CLIFTONLARSONALLEN LLP 220 S 6TH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2020-01-01 411426406 MINNEAPOLIS HEART INSTITUTE FOUNDATION MINN 6128633833 920 E 28TH STREET NO 100 MINNEAPOLIS MN 554071191 CHARLES ZAUGG CHIEF FINANCIAL OFFICER 6128633833 2021-09-23 1 CHARLES ZAUGG 999009999 JENNIFER TINGLEY P01485570 6123764500 2021-09-23 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z CHARLES ZAUGG 920 E 28TH STREET NO 100 MINNEAPOLIS MN 554071191 23787276 0 X WWW.MPLSHEART.ORG X 1982 MN TO IMPROVE THE CARDIOVASCULAR HEALTH OF COMMUNITIES THROUGH INNOVATIVE RESEARCH AND EDUCATION. 32 32 101 2285 0 0 11498816 13732545 6379019 4707411 687165 734920 -266026 0 18298974 19174876 29227 109573 0 0 7947570 8129288 27700 60000 1179350 4141824 3982085 12146321 12280946 6152653 6893930 41693830 51520170 4035613 4217096 37658217 47303074 X THE MISSION OF THE MINNEAPOLIS HEART INSTITUTE FOUNDATION IS TO IMPROVE THE CARDIOVASCULAR HEALTH OF INDIVIDUALS AND COMMUNITIES THROUGH INNOVATIVE RESEARCH AND EDUCATION. 0 0 7872371 109573 4670061 RESEARCHMHIF HAD MORE THAN 230 RESEARCH STUDIES UNDERWAY IN 2020 AND ACTIVATED MORE STUDIES DURING THAT YEAR THAN ANY OTHER YEAR. THE TEAM ALSO PUBLISHED 220 PEER-REVIEWED MANUSCRIPTS. MHIF RESEARCH PHYSICIANS, STAFF AND INTERNS PARTICIPATED IN EVERY MAJOR NATIONAL AND INTERNATIONAL CARDIOVASCULAR CONFERENCE (MOST OF WHICH WERE VIRTUAL IN 2020), INCLUDING 54 PODIUM PRESENTATIONS AND 94 ABSTRACTS. MHIF ACHIEVED GROWTH IN INDUSTRY-SPONSORED RESEARCH, INVESTIGATOR-INITIATED RESEARCH (DESIGNED AND LED BY LEADING PHYSICIANS), WITH REPRESENTATION ACROSS ALL SUBSPECIALTIES.MHIF ACTIVITIES IN 2020 INVOLVED RESEARCH ACROSS ALL AREAS OF CARDIOVASCULAR CARE AND ALSO FULFILLED ITS COMMITMENT TO SHARING LEARNINGS FROM THE RESEARCH. A SELECTION OF HIGHLIGHTS FROM 2020: NEW RESEARCH: OUTCOMES BEFORE AND AFTER THE RECALL OF A HEART FAILURE PACEMAKER - DR. JAY SENGUPTA, MINNEAPOLIS HEART INSTITUTE FOUNDATION (MHIF) RESEARCHER AND CLINICAL CARDIAC ELECTROPHYSIOLOGIST AT MINNEAPOLIS HEART INSTITUTE, WAS THE PRINCIPAL INVESTIGATOR ON A PACEMAKER RECALL STUDY PUBLISHED IN THE FEBRUARY 2020 ISSUE OF JAMA INTERNAL MEDICINE, "OUTCOMES BEFORE AND AFTER THE RECALL OF A HEART FAILURE PACEMAKER." NEW RESEARCH SHOWED ONLY SIX IN 10 PATIENTS ELIGIBLE FOR A STATIN WERE PRESCRIBED ONE - IN 2013, THE AMERICAN COLLEGE OF CARDIOLOGY AND AMERICAN HEART ASSOCIATION (ACC/AHA) RELEASED CHOLESTEROL GUIDELINES IDENTIFYING WHICH PATIENTS SHOULD BE CONSIDERED CANDIDATES FOR STATIN THERAPY. YET ACCORDING TO PUBLISHED FINDINGS IN CLINICAL CARDIOLOGY BY ALLINA HEALTH AND MINNEAPOLIS HEART INSTITUTE FOUNDATION (MHIF) RESEARCHERS, MORE THAN FOUR YEARS AFTER THE INITIAL RELEASE OF THE GUIDELINES, APPROXIMATELY FOUR IN 10 PATIENTS FOR WHOM A STATIN WOULD BE APPROPRIATE WERE STILL NOT BEING PRESCRIBED THE MEDICATION. DATA SHOWED REDUCTION IN U.S. HEART ATTACK ACTIVATIONS DURING COVID-19 PANDEMIC PUBLISHED IN JOURNAL OF THE AMERICAN COLLEGE OF CARDIOLOGY - MHIF ANNOUNCED THE PUBLICATION OF A REAL-TIME DATA ANALYSIS PULLED FROM ITS REGIONAL LEVEL ONE STEMI (ST-ELEVATION MYOCARDIAL INFARCTION, OR HEART ATTACK) PROGRAM THAT INCLUDED DATA REPORTED FROM NINE PARTICIPATING U.S. STEMI CENTERS. THE PRELIMINARY ANALYSIS DURING THE COVID-19 PANDEMIC SHOWED A 38-PERCENT REDUCTION IN U.S. CARDIAC CATHETERIZATION LABORATORY STEMI ACTIVATIONS, WHICH ARE THE STANDARD-OF-CARE TREATMENT FOR PATIENTS WITH HEART ATTACKS. THE ANALYSIS WAS PUBLISHED IN THE JOURNAL OF THE AMERICAN COLLEGE OF CARDIOLOGY (HTTP://WWW.ONLINEJACC.ORG/CONTENT/EARLY/RECENT). MHIF AND UC-SAN DIEGO RECEIVED FDA APPROVAL OF INVESTIGATIONAL NEW DRUG APPLICATION TO CONTINUE RESEARCH OF NOVEL HYDROGEL FOR CARDIAC TISSUE REPAIR - MHIF ANNOUNCED THAT IT WAS CONDUCTING ADDITIONAL RESEARCH ON A NOVEL HYDROGEL DESIGNED TO REPAIR CARDIAC TISSUE. IN APRIL 2020, THE FDA APPROVED AN INVESTIGATIONAL NEW DRUG (IND) APPLICATION TO INVESTIGATE THE SAFETY AND FEASIBILITY OF DELIVERING VENTRIGEL VIA CATHETER INTO AREAS OF THE HEART OF PATIENTS THAT CANNOT BE COMPLETELY REVASCULARIZED AT THE TIME OF CORONARY ARTERY BYPASS GRAFTING (CABG). MHIF PARTICIPATED IN RESEARCH TO EXPAND AVAILABILITY OF DONOR HEART TRANSPLANTS THROUGH USE OF NEW TECHNOLOGY - MHIF ANNOUNCED IT WAS ENROLLING PATIENTS AS A CLINICAL SITE FOR A STUDY THAT MAY EXPAND AVAILABILITY OF HEARTS FOR TRANSPLANT USING AN INVESTIGATIONAL ORGAN CARE SYSTEM (OCS) MANUFACTURED BY TRANSMEDICS. IN THE NEW CLINICAL STUDY, MHIF RESEARCHERS USED THE OCS SYSTEM TO RESUSCITATE A HEART THAT HAS STOPPED BEATING BY CIRCULATING OXYGENATED BLOOD THROUGH IT TO PREVENT ORGAN DAMAGE. THIS ALLOWS FOR THE USE OF A HEART FROM A DONOR WHOSE HEART HAS STOPPED BEATING, OR DONATION AFTER CIRCULATORY DEATH (DCD). MHIF RESEARCHERS PRESENTED AT ELSO 2020 MHIF RESEARCHERS WERE WELL REPRESENTED THE EXTRACORPOREAL LIFE SUPPORT ORGANIZATION (ELSO) ANNUAL MEETING HELD VIRTUALLY SEPT. 25 26, 2020, WITH 16 PRESENTATIONS, POSTERS OR BREAKOUT SESSIONS. AT MHIF, RESEARCHERS HAVE PURSUED VARIOUS PHYSICIAN-INITIATED STUDIES RELATED TO THE USE OF ECMO AND VENOUS-ARTERIAL EXTRACORPOREAL MEMBRANE OXYGENATION (VA-ECMO) FOR HEART PATIENTS. MHIF RESEARCHERS AT TRANSCATHETER THERAPEUTICS (TCT) CONFERENCE - THANKS TO MORE THAN 30 MHIF/MHI PHYSICIANS, FELLOWS AND STAFF, MHIF FULFILLED ITS ONGOING COMMITMENT TO SHARE THE RESULTS OF MHIF RESEARCH THROUGH:- 2 LATE-BREAKING CLINICAL TRIAL SESSIONS- 2 LIVE CASES- 8 PODIUM PRESENTATIONS- 20+ VIRTUAL POSTER PRESENTATIONS MHIF BEGAN STUDY OF A NEW APPROACH TO TREATING DANGEROUSLY FAST HEART RHYTHMS - MHIF WAS AMONG THE FIRST CLINICAL RESEARCH SITES IN THE WORLD TO USE A NEW, INVESTIGATIONAL MEDICAL TECHNOLOGY TO TREAT DANGEROUSLY FAST HEART RHYTHMS. AS PART OF THE WORLDWIDE EXTRAVASCULAR IMPLANTABLE CARDIOVERTER DEFIBRILLATOR (EV ICD) PIVOTAL STUDY, CHARLES GORNICK, MD, ELECTROPHYSIOLOGIST AND RESEARCHER AT MHIF AND DIRECTOR OF ELECTROPHYSIOLOGY AT MINNEAPOLIS HEART INSTITUTE AND BASSAM SHUKRALLAH, MD, CARDIAC SURGEON AND RESEARCHER, MHIF, IMPLANTED THE NOVEL EV ICD SYSTEM IN A PATIENT WHO IS AT RISK OF SUDDEN CARDIAC ARREST. 479409 0 37350 EDUCATIONEQUAL TO OUR COMMITMENT TO RESEARCH IS OUR DEDICATION TO SHARE THE LEARNINGS FROM RESEARCH THROUGH EDUCATION, ALLOWING FOR LOCAL, NATIONAL AND INTERNATIONAL IMPACT AS WE CHALLENGE AND ADVANCE THE STANDARD OF CARE FOR ALL PATIENTS. WE PROUDLY SHARED THE DETAILS OF THE RESEARCH THROUGH 54 PRESENTATIONS AND 94 ABSTRACTS PUBLISHED AT NATIONAL AND INTERNATIONAL CONFERENCES. WE PUBLISHED MORE THAN 220 MANUSCRIPTS SHARING LEARNING FROM WORLD-CLASS CARDIOVASCULAR RESEARCH IN LEADING JOURNALS. WE ALSO OFFERED VARIOUS PUBLIC AND PROFESSIONAL EVENTS (MANY OF WHICH SWITCHED TO VIRTUAL IN 2020) TO INCREASE AWARENESS, UNDERSTANDING AND MANAGEMENT OF VARIOUS HEART CONDITIONS.OUR CARDIOVASCULAR GRAND ROUNDS PROGRAM ENSURES ATTENDEES ARE WELL-VERSED IN THE LATEST RESEARCH OUTCOMES AND EVIDENCE-BASED GUIDELINES. THROUGH 31 SESSIONS, MHIF PROVIDED PROFESSIONAL EDUCATION TO 2,591 LEARNERS AND ACHIEVED 100 PERCENT PARTICIPANT SATISFACTION.MHIF'S 2020 RESEARCH INTERN PROGRAM WAS VERY DIFFERENT FROM YEARS PAST AND BECAUSE OF THE GLOBAL PANDEMIC, WE WERE ONLY ABLE TO SELECT THREE INTERNS WHO WERE LOCAL RESIDENTS TO WORK WITH OUR RESEARCH TEAM THROUGHOUT THE 12-WEEK SUMMER PROGRAM. THESE INTERNS WORKED WITH A PHYSICIAN MENTOR ON A VARIETY OF INVESTIGATOR-INITIATED CARDIOVASCULAR RESEARCH PROJECTS. SINCE THIS PROGRAM BEGAN, THERE HAVE BEEN 204 INTERN ALUMNI, 55 PERCENT ARE NOW PRACTICING PHYSICIANS, 19 PERCENT ARE IN MEDICAL SCHOOL, 7 PERCENT ARE PREMED STUDENTS, 14 PERCENT ARE IN OTHER MEDICAL PROFESSIONS, AND 5 PERCENT ARE IN NON-HEALTH OR UNKNOWN CAREERS. 8351780 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 1 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 38 0 1 101 1 0 0 0 0 0 0 1 1 0 0 1 0 0 0 X 32 32 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MN FL IL NJ NY ND WI DC X X X CHARLES ZAUGG 6128631658 920 E 28TH STREET SUITE 100 MINNEAPOLIS MN 554071191 JEFFREY STEINLE CHAIR 1.00 X X 0 0 0 THOMAS GUNDERSON PAST CHAIR 8.00 X X 0 0 0 GREG GRAVES TREASURER 1.00 X X 0 0 0 PETER QUIMBY SECRETARY 1.00 X X 0 0 0 JASON ALEXANDER MD DIRECTOR 1.00 X 0 0 0 BEN BACHE-WIIG MD DIRECTOR 1.00 X 0 0 0 MOSI BENNETT MD DIRECTOR 1.00 X 0 0 0 DANIEL BERANEK DIRECTOR 1.00 X 0 0 0 CONLEY BROOKS JR DIRECTOR 1.00 X 0 0 0 M NICHOLAS BURKE MD DIRECTOR 1.00 X 0 0 0 ALAN CARLSON DIRECTOR 1.00 X 0 0 0 JULEEN CHRISTOPHER PHD DIRECTOR 1.00 X 0 0 0 CHRISTOPHER DAHL DIRECTOR 1.00 X 0 0 0 CRAIG EVANICH DIRECTOR 1.00 X 0 0 0 LARRY GETLIN DIRECTOR 0.50 X 0 0 0 SHARON HAWKINS DIRECTOR 1.00 X 0 0 0 DAVID HURRELL MD DIRECTOR 1.00 X 0 0 0 CAROL HUTTNER DIRECTOR 1.00 X 0 0 0 JERRY JOHNSON DIRECTOR 2.00 X 0 0 0 WILLIAM KATSIYIANNIS MD DIRECTOR 1.00 X 0 0 0 PATRICE KLOSS DIRECTOR 1.00 X 0 0 0 TED LOFTNESS MD DIRECTOR 1.00 X 0 0 0 JIM MELLOR DIRECTOR 1.00 X 0 0 0 RICHARD MEYER DIRECTOR 1.00 X 0 0 0 LORI MILBRANDT DIRECTOR 2.00 X 0 0 0 DAVID MILBRATH DDS DIRECTOR 1.00 X 0 0 0 MARC NEWELL MD DIRECTOR 1.00 X 0 0 0 HUGH NIERENGARTEN JD DIRECTOR 1.00 X 0 0 0 CHERI ROLNICK PHD DIRECTOR 1.00 X 0 0 0 RETU SAXENA MD DIRECTOR 1.00 X 0 0 0 SCOTT SHARKEY MD DIRECTOR 1.00 X 0 0 0 TIMOTHY SIELAFF MD DIRECTOR 1.00 X 0 0 0 DON SMITHMIER DIRECTOR 1.00 X 0 0 0 BENJAMIN SUN MD DIRECTOR 1.00 X 0 0 0 JAY TRAVERSE MD DIRECTOR 1.00 X 0 0 0 CARMEN VOLKART DIRECTOR 1.00 X 0 0 0 RAYMOND YU EDD DIRECTOR 1.00 X 0 0 0 KRISTINE FORTMAN CHIEF EXECUTIVE OFFICER 40.00 X 427852 0 96966 CHARLES ZAUGG CHIEF FINANCIAL OFFICER 40.00 X 182079 0 49689 LISA TINDELL VICE PRESIDENT - RESEARCH OPERATIONS 40.00 X 175723 0 28665 JESSE HICKS VICE PRESIDENT-ADVANCEMENT 40.00 X 209979 0 44497 TAMARA O'BLACK SENIOR DIRECTOR, QUALITY & 40.00 X 172046 0 37898 ROSS GARBERICH DIRECTOR OF SCIENTIFIC SERVICES 40.00 X 143267 0 35528 NANCY WILSON DIRECTOR OF ADVANCEMENT 40.00 X 149262 0 56822 JANET DICK CHIEF TALENT AND STRATEGY OFFICER 40.00 X 166075 0 50424 BAVANA RANGAN PROGRAM DIRECTOR - CCAD 40.00 X 161981 0 33717 1788264 0 434206 21 0 1 0 ALLINA HEALTH SYSTEM 2925 CHICAGO AVENUE MINNEAPOLIS MN 55407 PHYSICIAN/CARDIOLOGISTS & RESEARCH SUPPO 877573 EMERSON TECHNOLOGIES 13365 CORPORATE CENTER CURVE SUITE EAGAN MN 55121 I.T. SERVICES 254431 GARDNER BUILDERS 730 2ND AVENUE SOUTH MINNEAPOLIS MN 55402 CONSTRUCTION SERVICES 175158 POINT FORWARD COMMUNICATIONS 7701 NARCISSUS LANE NORTH MAPLE GROVE MN 55311 MARKETING SERVICES 156305 MERCER INVESTMENT MANAGEMENT 99 HIGH STREET BOSTON MA 02110 INVESTMENT MANAGEMENT SERVICES 143198 5 18075 210512 13503958 245373 13732545 RESEARCH STUDY REVENUE 541900 4462851 4462851 MISC PROGRAM REVENUE 541900 244560 244560 4707411 655272 655272 4692048 4612400 79648 79648 79648 19174876 4707411 0 734920 X 35000 35000 74573 74573 1074212 188888 619879 265445 5707968 4413638 850979 443351 367489 295317 47458 24714 515920 414398 46751 54771 463699 329267 90393 44039 44059 17569 26490 42901 8801 34100 60000 60000 78992 78992 1905417 1301316 582467 21634 10436 1028 402 9006 269152 171133 17924 80095 268120 210240 27009 30871 639230 495276 79727 64227 112094 50712 24178 37204 20835 20835 256095 197969 33107 25019 86152 50335 35817 MISCELLANEOUS 110269 48508 48692 13069 COMMUNITY RELATIONS 59352 3088 53839 2425 EMPLOYEE SEMINAR FEES 26927 24036 849 2042 EQUIPMENT/MAINTENANCE 16360 13232 1915 1213 35694 7456 28013 225 12280946 8351780 2749816 1179350 740618 515780 3116020 7730503 5962120 10266999 3950731 2359265 184245 179085 2966995 976010 1979114 1990985 24353324 27384987 1407658 1092566 41693830 51520170 2147199 1858395 830042 314026 0 1000000 1058372 1044675 4035613 4217096 X 6671847 8726938 30986370 38576136 37658217 47303074 41693830 51520170 6893930 2750927 0 X X 0 1 X 1 0 X ABBOTT NORTHWESTERN HOSPITAL MINNEAPOLIS MN 5999968 6025597 6677838 11498816 13732545 43934764 5999968 6025597 6677838 11498816 13732545 43934764 12296346 31638418 302207 599466 787077 683142 655272 3027164 1030301 1013161 2043462 49005390 22338446 0.64560 0.71200 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: LICENSING FEES - 2016 AMOUNT: $ 851,422. 2017 AMOUNT: $ 851,422. INSURANCE PROCEEDS - 2016 AMOUNT: $ 178,879. 2017 AMOUNT: $ 161,739. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 19894833 20000 2720319 734998 21900155 16808398 20000 3776792 710357 19894833 18697836 19900 -1225590 683748 16808398 16544347 5612 2812897 665020 18697836 16360589 -155621 1065312 725933 16544347 0.00000 0.59950 0.40050 0 0 1706973 234342 1472631 1092975 741668 351307 167047 167047 1990985 DEFERRED RENT 1044675 1044675 X 21846811 2750927 2750927 19095884 78992 78992 19174876 12201954 0 12201954 78992 78992 12280946 PART V, LINE 4: THE FOUNDATION'S ENDOWMENT FUNDS ARE USED FOR EDUCATION, CARDIOLOGY RESEARCH, CARDIAC SURGERY RESEARCH AND TO SUPPORT RESEARCH CHAIRS AND PHYSICIAN RESEARCH. PART X, LINE 2: THE FOUNDATION HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING IT IS CLASSIFIED AS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) AND IS NOT A PRIVATE FOUNDATION UNDER SECTIONS 509(A)(1) AND 170(B)(1)(A)(III) OF THE INTERNAL REVENUE CODE. THE FOUNDATION IS ALSO EXEMPT FROM MINNESOTA INCOME TAXES UNDER MINNESOTA STATUTE CHAPTER 290.05. THE FOUNDATION IS SUBJECT TO FEDERAL AND STATE INCOME TAXES ONLY ON ANY UNRELATED BUSINESS INCOME UNDER THE PROVISIONS OF SECTION 511 OF THE INTERNAL REVENUE CODE. THE FOUNDATION FOLLOWS ACCOUNTING STANDARDS FOR UNCERTAIN TAX POSITIONS AND FILES AS A TAX-EXEMPT ORGANIZATION. THE FOUNDATION HAS NO UNCERTAIN INCOME TAX POSITIONS AND NO LIABILITY HAS BEEN RECOGNIZED BY THE FOUNDATION UNDER THIS STANDARD. 1 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECEIPIENTS N/A 74573 0 0 0 0 0 0 74573 0 74573 SUB-SAHARAN AFRICA TO ESTABLISH A RHD TRAINING CENTER 74573 WIRE TRANSFER 0 N/A N/A 0 3 0 0 0 0 0 0 PART I, LINE 2: THE FOUNDATION MONITORS THE USE OF THESE INTERNATIONAL GRANTS BY REQUESTING AND RECEIVING SIGNED LETTERS FROM GRANTEE ORGANIZATIONS ATTESTING TO THE APPROPRIATE USE OF THESE FUNDS. ADDITIONAL DUE DILIGENCE INCLUDES FOLLOWING THE GUIDELINES REGARDING BEST PRACTICES PUBLISHED BY THE DEPARTMENT OF THE TREASURY. PART III ACCOUNTING METHOD: X X X X X X X 1 CHRISTINE EICHERS 22066 LONE PINE LANE MADISON LAKE MN 56063 GALA CONSULTING AND FUNDRAISING 0 0 60000 0 60000 MN FL IL NJ NY ND WI DC 1 THE CHRIST HOSPITAL 2139 AUBURN AVENUE CINCINNATI OH 45219 310538525 501(C)(3) 15000 N/A N/A RESEARCH STUDY PARTICIPATION PRAIRIE EDUCATION AND RESEARCH COOPERATIVE 800 E CARPENTER STREET 62 SPRINGFIELD IL 62769 371157915 501(C)(3) 10000 N/A N/A RESEARCH STUDY PARTICIPATION CATHOLIC HEALTH INITIATIVES - IOWA CORP 5880 UNIVERSITY AVENUE WEST DES MOINES IA 50266 420680448 501(C)(3) 10000 N/A N/A RESEARCH STUDY PARTICIPATION 3 0 PART I, LINE 2: THE FOUNDATION MONITORS THE USE OF THESE DOMESTIC GRANTS BY THOROUGHLY VETTING THE ORGANIZATIONS THAT RECEIVE GRANTS AND REVIEWING GRANT BUDGETS TO ENSURE FUNDS ARE SPENT ON APPROPRIATE EXPENSES. X 1 1 X X X X 0 0 0 0 0 0 0 0 0 KRISTINE FORTMAN CHIEF EXECUTIVE OFFICER 346714 0 81000 0 138 0 96462 0 504 0 524818 0 81000 0 JESSE HICKS VICE PRESIDENT-ADVANCEMENT 176919 0 33000 0 60 0 44497 0 0 0 254476 0 33000 0 CHARLES ZAUGG CHIEF FINANCIAL OFFICER 165659 0 16162 0 258 0 30848 0 18841 0 231768 0 16162 0 JANET DICK CHIEF TALENT AND STRATEGY OFFICER 151672 0 14007 0 396 0 28617 0 21807 0 216499 0 14007 0 TAMARA O'BLACK SENIOR DIRECTOR, QUALITY & 157173 0 14783 0 90 0 28219 0 9679 0 209944 0 14783 0 NANCY WILSON DIRECTOR OF ADVANCEMENT 123411 0 25455 0 396 0 31810 0 25012 0 206084 0 25455 0 LISA TINDELL VICE PRESIDENT - RESEARCH OPERATIONS 161123 0 14462 0 138 0 28665 0 0 0 204388 0 14462 0 BAVANA RANGAN PROGRAM DIRECTOR - CCAD 151827 0 10094 0 60 0 22747 0 10970 0 195698 0 10094 0 ROSS GARBERICH DIRECTOR OF SCIENTIFIC SERVICES 131713 0 11500 0 54 0 23984 0 11544 0 178795 0 11500 0 X 1 10000 FMV X 12 235373 MARKET VALUE AT TRADE 0 0 0 0 PART I, COLUMN (B): PART I, COLUMN (B) REPORTS THE TOTAL NUMBER OF CONTRIBUTORS. FORM 990, PART VI, SECTION A, LINE 1 THE FOUNDATION'S EXECUTIVE COMMITTEE CONSISTS OF THE BOARD OFFICERS, CHAIRS OF EACH COMMITTEE OF THE BOARD AND ANY OTHER SUCH MEMBERS AS DIRECTED BY THE CHAIR. THE CHAIR OF THE BOARD SHALL BE THE CHAIR OF THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE HAS ALL THE POWERS OF THE BOARD BETWEEN MEETINGS OF THE BOARD, EXCEPT THAT IT SHALL NOT HAVE THE POWER TO FILL VACANCIES OF ITS OWN MEMBERSHIP NOR VACANCIES IN THE MEMBERSHIP OF THE BOARD OF DIRECTORS, THE POWER TO FILL SUCH VACANCIES BEING VESTED IN THE BOARD. IN ADDITION, UNLESS OTHERWISE DIRECTED BY THE BOARD, THE EXECUTIVE COMMITTEE SHALL FUNCTION AS THE PERSONNEL, FINANCE AND AUDIT COMMITTEES. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED BY AN INDEPENDENT ACCOUNTING FIRM. THE FORM 990 IS REVIEWED BY THE FINANCE AND AUDIT COMMITTEE WHO THEN PASSES IT ALONG TO THE BOARD OF DIRECTORS. THE FORM 990 IS PROVIDED TO THE BOARD OF DIRECTORS IN ADVANCE OF THE MEETING WHERE ACTION IS TAKEN TO APPROVE OR MODIFY THE FORM 990. UPON APPROVAL, THE FORM 990 IS FILED WITH GOVERNMENT AGENCIES. FORM 990, PART VI, SECTION B, LINE 12C ALL BOARD MEMBERS, MANAGEMENT, PHYSICIANS AND EMPLOYEES CONDUCTING RESEARCH ARE COVERED BY THE CONFLICT OF INTEREST POLICY. CONFLICT OF INTEREST DISCLOSURE STATEMENTS ARE RETURNED TO THE CEO OR CFO ANNUALLY. THE CFO AND CEO REVIEW EACH DISCLOSURE STATEMENT AND CONFER WITH THE BOARD CHAIR TO ADDRESS ANY CONFLICTS. THOSE INDIVIDUALS WITH CONFLICTS ARE EXCUSED FROM THE PORTION OF ANY MEETING WHERE A DECISION IS MADE REGARDING A TRANSACTION THAT GIVES RISE TO THE CONFLICT. ALL PROCEEDINGS RELATED TO CONFLICTS OF INTEREST ARE DOCUMENTED IN THE MEETING MINUTES. FORM 990, PART VI, SECTION B, LINE 15 A SUBCOMMITTEE OF THE EXECUTIVE COMMITTEE SERVES AS THE COMPENSATION COMMITTEE FOR THE CEO AND EXECUTIVE TEAM (VP OF ADVANCEMENT, MARKETING, AND COMMUNICATIONS; CHIEF TALENT, EDUCATION AND STRATEGY OFFICER; CHIEF FINANCIAL OFFICER; VP, CLINICAL RESEARCH OPERATIONS; SENIOR DIRECTOR, COMPLIANCE, QUALITY & REGULATORY AFFAIRS). EXECUTIVE COMMITTEE OBTAINS COMPARABLE COMPENSATION DATA FROM SURVEYS AND/OR CONSULTANTS TO ASSIST THEM IN THEIR DELIBERATIONS. ALL MEMBERS OF THE EXECUTIVE COMMITTEE ARE INDEPENDENT OF THE CEO AND EXECUTIVE TEAM. THE DELIBERATION AND DECISION PROCESS IS CONTEMPORANEOUSLY SUBSTANTIATED IN THE EXECUTIVE COMMITTEE MEETING MINUTES. THIS PROCESS WAS MOST RECENTLY UNDERTAKEN IN 2020. COMPENSATION PACKAGES FOR THE EXECUTIVE TEAM WERE DETERMINED THROUGH A COMBINATION OF PERFORMANCE REVIEWS, COMPARABILITY DATA FROM AN OUTSIDE CONSULTANT, AND THROUGH DISCUSSIONS WITH THE CHIEF TALENT, EDUCATION AND STRATEGY OFFICER, THE CEO, AND EXECUTIVE COMMITTEE. THIS PROCESS WAS MOST RECENTLY UNDERTAKEN IN 2020. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE AT THE FOUNDATION'S OFFICES. IF REQUESTED, COPIES ARE AVAILABLE BY MAIL. THE AUDITED FINANCIAL STATEMENTS AND ANNUAL REPORT ARE AVAILABLE ON THE FOUNDATION'S WEBSITE. THE FORM 990 AND ALL ACCOMPANYING SCHEDULES ARE AVAILABLE ON-LINE THROUGH GUIDESTAR. FORM 990, PART IX, LINE 11G RESEARCH STUDY - IRB FEES: PROGRAM SERVICE EXPENSES 149,695. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 149,695. MEDICAL CONSULTING/TESTING FEES: PROGRAM SERVICE EXPENSES 524,585. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 524,585. OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 627,036. MANAGEMENT AND GENERAL EXPENSES 313,992. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 941,028. MARKETING CONSULTING: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 268,475. FUNDRAISING EXPENSES 21,634. TOTAL EXPENSES 290,109. FORM 990, PART XII, LINE 2C: THE PROCESS FOR OVERSIGHT AND SELECTION OF AN INDEPENDENT ACCOUNTANT HAS NOT CHANGED FROM THE PRIOR YEAR.