2020-07-14T14:52:30-05:00 2019-08-31 ERNST & YOUNG US LLP 155 N Wacker Drive Chicago IL 60606 990 2018-09-01 363357005 Stanley Manne Childrens Research Institute % RON BLAUSTEIN STAN 3122277133 225 E CHICAGO AVE BOX 282 CHICAGO IL 606112991 RON BLAUSTEIN CFO 3122277133 2020-07-13 true JESS WAGENER P01622613 3128792000 99.46.67.29 36964520201965000168 2020-07-14 P 01BAD6EA115B3605BA35E275C310E82CC2CC369C 01BAD6EA115B3605BA35E275C310E82CC2CC369C 2018 2020-09-22 18:59:49Z MATTHEW DAVIS MD 225 E CHICAGO AVE BOX 282 Chicago IL 606112991 89404788 false X www.luriechildrens.org X 1984 IL Stanley Manne Children's Research Institute strives to generate new knowledge & advance the prevention, diagnosis, and treatment of pediatric diseases. 23 19 0 19 0 0 88160744 71526180 119323 330 0 4933849 0 0 88280067 76460359 0 0 0 0 19155856 24387785 0 0 0 11807778 19146780 30963634 43534565 57316433 32925794 156043452 190566988 2314221 3911963 153729231 186655025 X THE MISSION OF STANLEY MANNE CHILDREN'S RESEARCH INSTITUTE IS TO GENERATE NEW KNOWLEDGE LEADING TO ADVANCEMENTS IN THE PREVENTION, DIAGNOSIS, AND TREATMENT OF DISEASES THAT AFFECT CHILDREN'S HEALTH THROUGH ADOLESCENCE AND ADULTHOOD. ITS MULTIDISCIPLINARY TEAMS OF PHYSICIANS, SCIENTISTS, TECHNICIANS, NURSES AND TRAINEES ARE COMMITTED TO MAKING DISCOVERIES THAT WILL IMPROVE THE LIVES OF CHILDREN AND THEIR FAMILIES. false false 26046021 0 330 THE MISSION OF STANLEY MANNE CHILDREN'S RESEARCH INSTITUTE AT ANN & ROBERT H. LURIE CHILDRENS HOSPITAL OF CHICAGO IS TO GENERATE NEW KNOWLEDGE AND TRANSLATE ADVANCEMENTS IN THE PREVENTION, DIAGNOSIS AND TREATMENT OF DISEASES THAT AFFECT CHILDRENS HEALTH THROUGH ADOLESCENCE AND ADULTHOOD. OUR MULTIDISCIPLINARY TEAMS OF PHYSICIANS, SCIENTISTS, TECHNICIANS, NURSES AND TRAINEES ARE COMMITTED TO MAKING DISCOVERIES THAT WILL IMPROVE THE LIVES OF CHILDREN AND THEIR FAMILIES. MANNE RESEARCH INSTITUTE FACULTY MEMBERS INVESTIGATE A BROAD SPECTRUM OF CHILDRENS HEALTH AND DISEASES ACROSS THE TRANSLATIONAL SCIENCE SPECTRUM. BASIC RESEARCHERS STUDY THE MECHANISMS UNDERLYING FUNDAMENTAL PROCESSES AND RELATED DISEASES, INCLUDING HUMAN DEVELOPMENT, GENETICS OR BRAIN CIRCUITRY. OUR TRANSLATIONAL RESEARCH CONNECTS OUR BASIC SCIENCE FINDINGS TO HUMAN MEDICINE. CLINICAL RESEARCH FOCUSES ON TREATING OR CURING DISEASES AND IMPROVING THERAPIES, PROCEDURES OR DEVICES. OTHER FACULTY MEMBERS ENGAGE IN OUTCOMES, CLINICAL IMPLEMENTATION, AND COMMUNITY AND POPULATION-BASED RESEARCH TO BENEFIT CHILDREN, THEIR FAMILIES AND THEIR COMMUNITIES. RESEARCHERS INCLUDE PHYSICIANS, LABORATORY SCIENTISTS, NURSES, CHEMISTS AND OTHERS WHO SHARE THEIR EXPERTISE. OUR PEDIATRICIANS AND SCIENTISTS ROUTINELY COLLABORATE WITH OUR ACADEMIC PARTNER, NORTHWESTERN UNIVERSITY, OTHER MEDICAL CENTERS AND ACADEMIC INSTITUTIONS ACROSS THE GLOBE, AS WELL AS WITH COMMUNITY PARTNERS SUCH AS SCHOOLS AND GOVERNMENTS. MANNE RESEARCH INSTITUTE INCLUDES MORE THAN 200 INVESTIGATORS AND MORE THAN $48M IN EXTERNAL FUNDING ANNUALLY FOR RESEARCH, TWO-THIRDS OF THAT FROM THE NATIONAL INSTITUTES OF HEALTH (NIH) AND OTHER FEDERAL AGENCIES. IT IS ONE OF THE NATIONS PREMIER INSTITUTES FOR PEDIATRIC RESEARCH, INVESTING MORE DOLLARS AND RESOURCES IN PEDIATRIC RESEARCH THAN ANY OTHER AREA HOSPITAL. THE INSTITUTE HAS APPROXIMATELY 125,000 SQUARE FEET OF STATE-OF-THE-ART LABORATORY SPACE. IN THE SUMMER OF 2019, MANNE RESEARCH INSTITUTE WET-LAB RESEARCH WILL BE MOVING FROM ITS CURRENT SITE TO THE LOUIS A. SIMPSON & KIMBERLY K. QUERREY BIOMEDICAL RESEARCH BUILDING LOCATED ON THE NORTHWESTERN UNIVERSITY CHICAGO CAMPUS. THIS NEW TWO-PHASE, 22-STORY BUILDING WILL INCLUDE A WET-BENCH LABORATORY; ANIMAL FACILITY; CONFERENCE, EDUCATIONAL, OFFICE AND COLLABORATIVE SPACE; AND WILL BE IMMEDIATELY ADJACENT TO NORTHWESTERN UNIVERSITY RESEARCH RESOURCES AND JUST ONE CITY BLOCK FROM LURIE CHILDRENS. BASIC SCIENCE RESEARCH AT THE MANNE RESEARCH INSTITUTE, OUR SCIENTISTS CONDUCT BENCH RESEARCH IN LABORATORIES USING A VARIETY OF MODEL SYSTEMS AND TECHNIQUES WITH OVER 50 WET-BASED LABORATORIES. THIS TYPE OF RESEARCH SEEKS TO ANSWER FUNDAMENTAL QUESTIONS ABOUT HEALTH AND DISEASE, INCLUDING MEDICAL CONDITIONS, HUMAN DEVELOPMENT AND GENETICS, SO THAT THE RESULTS WILL LEAD TO BETTER THERAPIES, DEVICES OR CURES FOR PATIENTS. CLINICAL RESEARCH CLINICAL RESEARCH USES BOTH OBSERVATIONAL AND INTERVENTIONAL DESIGNS, ALLOWS DESCRIPTION OF DISEASES AND DISEASE OUTCOMES, IDENTIFIES RISK FACTORS THAT MAY AFFECT TREATMENT OR PROGNOSIS, AND ALLOWS STUDY OF NEW TREATMENTS. OUR RESEARCH MAY BE CONDUCTED ONLY AT LURIE CHILDRENS, OR AT MULTIPLE INSTITUTIONS THAT COLLABORATE, SHARE RESULTS AND PUBLISH FINDINGS TOGETHER. ALL RESEARCH INVOLVING HUMAN SUBJECTS IS REVIEWED BY THE INSTITUTIONAL REVIEW BOARD. OBSERVATIONAL STUDIES MAY USE EXISTING DATA FROM MEDICAL RECORDS, OR COLLECT DATA FROM VOLUNTEERS. STUDIES OF THERAPEUTIC INTERVENTIONS ARE AVAILABLE ON CLINICALTRIALS.GOV, THE LARGEST AND MOST COMPREHENSIVE LIST OF CLINICAL STUDIES BEING CONDUCTED IN THE UNITED STATES. CLINICAL & TRANSLATIONAL RESEARCH IS A PARTNER OF THE NORTHWESTERN UNIVERSITY CLINICAL AND TRANSLATIONAL SCIENCES (NUCATS) INSTITUTE, WHICH IS A MEMBER OF THE CLINICAL AND TRANSLATIONAL SCIENCE AWARDS (CTSA) CONSORTIUM, AN INITIATIVE LED BY THE NATIONAL INSTITUTES OF HEALTH (NIH). HEALTH SERVICES AND POLICY RESEARCH THE MARY ANN & J. MILBURN SMITH CHILD HEALTH RESEARCH, OUTREACH AND ADVOCACY CENTER ADDRESSES IMPORTANT CLINICAL AND PUBLIC HEALTH PROBLEMS OF CHILDREN THROUGH STATE-OF-THE-ART INTERDISCIPLINARY METHODS AND COLLABORATIONS. THE CENTER ENGAGES IN CLINICAL, COMMUNITY AND POPULATION-BASED RESEARCH TO ADVANCE KNOWLEDGE ABOUT THE NATURAL HISTORY, BIOLOGICAL, PSYCHOLOGICAL, SOCIAL AND ENVIRONMENTAL CAUSES OF COMMON AND IMPORTANT CHILD HEALTH PROBLEMS. THE CENTER ALSO PARTNERS WITH COMMUNITIES AND POLICY MAKERS TO TRANSLATE THIS KNOWLEDGE INTO EFFECTIVE CLINICAL AND PUBLIC HEALTH INTERVENTIONS AND POLICY. ADDITIONALLY, THE CENTER TRAINS A NEW GENERATION OF CHILD HEALTH PROFESSIONALS AND RESEARCHERS WITH ITS INTERDISCIPLINARY, COLLABORATIVE PUBLIC HEALTH APPROACH TO RESEARCH. STANLEY MANNE CHILDRENS RESEARCH INSTITUTE RESEARCH NEIGHBORHOODS AND PRIORITY RESEARCH INITIATIVES THE LABORATORY-BASED PROGRAMS OF MANNE RESEARCH INSTITUTE, CENTRALLY LOCATED IN THE NEW SIMPSON-QUERREY BIOMEDICAL RESEARCH CENTER (SQBRC), ARE ORGANIZED INTO SCIENTIFIC NEIGHBORHOODS. THESE VIRTUAL NEIGHBORHOODS INCORPORATE INVESTIGATORS, STAFF AND TRAINEES FROM THROUGHOUT THE RESEARCH INSTITUTE, INCLUDING TRANSLATIONAL, CLINICAL, OUTCOMES, AND PUBLIC HEALTH AND POLICY RESEARCHERS, AS WELL AS EXTERNAL RESEARCH COLLABORATORS. A PRIMARY GOAL OF THE RESEARCH INSTITUTE IS TO FACILITATE RESEARCH LEADING TO THE MOST ADVANCED PEDIATRIC HEALTHCARE. NEIGHBORHOODS *HUMAN MOLECULAR GENETICS *ENGINEERED SOLUTIONS FOR HEALTH AND PHYSIOLOGY *INJURY, REPAIR, AND REGENERATION *MOLECULAR AND TRANSLATIONAL *IMMUNE DEVIATION AND DISEASE CANCER BIOLOGY *PERINATAL ORIGINS OF DISEASE *DEVELOPMENTAL BIOLOGY *HOST-MICROBIAL INTERACTIONS, INFLAMMATION, AND IMMUNITY (HMI3) *NEUROBIOLOGY *FERTILITY AND HORMONE PRESERVATION AND RESTORATION PRIORITY RESEARCH INITIATIVES *PRECISION MEDICINE ENCOMPASSES THE CONCEPT THAT EVERY PATIENT SHOULD BE TREATED BASED UPON THE UNIQUE UNDERLYING CAUSE OF THEIR DISEASE, AND UPON THE UNIQUE BIOLOGIC CHARACTERISTICS THAT DETERMINE BOTH THEIR RESPONSE TO THEIR DISEASE AND TO THE THERAPY PROVIDED. *FERTILITY AND HORMONE PRESERVATION AND RESTORATION FOCUSES ON DEVELOPING IMMEDIATE IMPROVEMENTS IN CLINICAL PRACTICE, ESTABLISHING THE NEXT SET OF TRANSLATIONAL RESEARCH, AND SUPPORTING FUTURE FERTILITY AND ENDOCRINE INNOVATIONS. *PERINATAL ORIGINS OF DISEASE IS AIMED AT PREVENTION OF EARLY CHILDHOOD DISEASES THAT IMPACT LONG-TERM HEALTH OUTCOMES WITH A MULTIDISCIPLINARY PROGRAM, WHICH LINKS CHILDHOOD DISORDERS TO DISRUPTIONS IN THE FETAL ENVIRONMENT, AND A PLATFORM FOR SHIFTING THE PARADIGM FROM TREATMENT OF ESTABLISHED DISEASE TO PRENATAL/FETAL INTERVENTIONS TO MODIFY RISK FACTORS BEFORE THEY MANIFEST. *HOST-MICROBIAL INTERACTIONS, INFLAMMATION AND IMMUNITY (HMI3) TRANSLATES PATIENT-SPECIFIC MICROBIOMICS AND IMMUNOLOGY INTO NOVEL DISEASE DIAGNOSTICS AND THERAPEUTICS. *NEUROSCIENCES AND NEURODEVELOPMENTAL OUTCOMES FOCUSES ON IMPROVING OUTCOMES FOR HIGH-RISK NICU GRADUATES AND COMPLEX HEART DISEASE SURVIVORS WITH BRAIN INJURY AND DISORDERS OF BRAIN DEVELOPMENT. *NEUROSCIENTIFIC ASPECTS OF PAIN FOCUSES ON PILOTING AND INTEGRATION OF PATIENT-REPORTED OUTCOMES (PROS) AND PEDIATRIC PAIN RESEARCH AND CARE. *FOOD ALLERGY IS ENGAGED IN RESEARCH PROJECTS RELATED TO EARLY IMMUNE DEVELOPMENT, COMMUNITY EDUCATION AND TRANSLATIONAL INVESTIGATION OF CHILDHOOD FOOD ALLERGY AND ASTHMA. *GENDER AND SEX DEVELOPMENT CONCENTRATES ON IMPROVING EVIDENCE- BASED CLINICAL CARE FOR THE CLINICAL POPULATIONS SERVED BY OUR GENDER AND SEX DEVELOPMENT PROGRAM: TRANSGENDER AND GENDER-NONCONFORMING CHILDREN, ADOLESCENTS AND YOUNG ADULTS AND YOUTH AFFECTED BY DIFFERENCES OF SEX DEVELOPMENT. 0 0 0 26046021 true true false false false false false false false false true false false false false false false true false false false false false false false false false false false true false false false false false false false false false false false false false true false false false true X 0 0 0 false false false false false false false false false false false false X 23 19 false false false false true true true true true false false true true true true true true false false false IL X RON BLAUSTEIN 3122277133 225 ECHICAGO AVE Chicago IL 606112991 X Andrew R Gelman Director 1.0 0.0 X 0 0 0 Anthony K Kesman Director 1.0 2.0 X 0 0 0 David Mchugh Director 1.0 1.0 X 0 0 0 Donna G Drescher Ex-Officio Director,Until 2/19 1.0 3.0 X 0 0 0 Elizabeth J Perlman MD Ex-Officio Director 1.0 42.0 X 0 647805 318464 Elizabeth Q Betten Director 1.0 1.0 X 0 0 0 Eric G Neilson MD Ex-Officio Director 1.0 2.0 X 0 0 0 H Scott Silverman Dphil Director & Vice Chair 1.0 0.0 X 0 0 0 H Thomas Watkins III Director 1.0 2.0 X 0 0 0 James L Katz Director (until 12/6/18) 1.0 0.0 X 0 0 0 James Malackowski Director 1.0 0.0 X 0 0 0 James R Ferguson Director 1.0 0.0 X 0 0 0 Jennifer Grumhaus Director 1.0 0.0 X 0 0 0 Kirk B Johnson Director 1.0 3.0 X 0 0 0 Kristi L Stathis Ex-Officio Director (beg 2/19) 1.0 3.0 X 0 0 0 Lesli Falk Director 1.0 1.0 X 0 0 0 Malcolm S Kamin Director 1.0 1.0 X 0 0 0 Margaret Stineman Director 1.0 0.0 X 0 0 0 Marleta Reynolds MD Ex-Officio Director 1.0 44.0 X 0 0 0 Mohan P Rao Phd Director 1.0 2.0 X 0 0 0 Patrick M Magoon Ex-Officio Dir (& System CEO) 1.0 46.0 X 0 1653234 93348 Peter B Bensinger Jr Director & Chair 1.0 2.0 X 0 0 0 Prananatha Jha Director 1.0 1.0 X 0 0 0 Robin Zafirovski Director 1.0 0.0 X 0 0 0 Thomas P Shanley MD Ex-Offc Dir/Pres,Cro/Chair Pff 1.0 44.0 X X 0 1007314 146716 Nancy M Borders Gen Counsel & Corp Secretary 1.0 46.0 X 0 559969 130710 Ron Blaustein Chief Financial Officer 1.0 46.0 X 0 684157 123936 Cassandra L Lucas Chf Adm Officer Research Inst 40.0 0.0 X 0 340405 22530 0 4892884 835704 0 false true false IMPACT ADVISORS LLC 400 E DIEHL RD NAPERVILLE IL 60563 Consulting Services 232393 TWIN EAGLE RESOURCE 75 Executive Dr Suite 323 AURORA IL 60504 Marketing 221783 LIFE TECHNOLOGIES 4301 Emperor Blvd DURHAM NC 27703 RESEARCH SERVICES 185728 3 71526180 71526180 MISC OPERATING INCOME 541700 330 330 330 0 0 0 0 0 0 17878278 12944429 4933849 4933849 4933849 0 0 0 0 0 0 0 0 0 0 76460359 330 4933849 0 0 0 0 0 0 18566630 13345310 5221320 900229 843457 56772 4228813 3242622 986191 692113 377699 314414 0 34446 34446 0 0 0 0 4300982 3461338 839644 0 517792 472694 45098 197616 54944 142672 0 2890210 2890210 150110 106294 43816 0 15825 12713 3112 0 0 5683276 5683276 50004 50004 RESEARCH PROJECT EXPENSES 3323210 3323210 REPAIRS & MAINTENANCE 444808 110923 333885 RECRUITMENT 233881 232254 1627 GRAD STUDENT EXP 147894 147894 1156726 314669 842057 43534565 26046021 17488544 0 0 0 0 0 0 0 50239 106248 0 0 0 0 0 0 0 0 235779 130200 209428484 19097944 155757434 190330540 0 0 0 0 0 0 0 0 0 0 156043452 190566988 2314221 3911963 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2314221 3911963 X 153729231 186655025 0 0 0 0 153729231 186655025 156043452 190566988 32925794 X false true X true false X ANN & ROBERT H LURIE CHILDRENS HOSPITAL OF CHICAGO CHICAGO IL RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 162735737 5572804 157162933 10378564 355409 10023155 25110219 13169731 11940488 11203964 11203964 190330540 false true false false true false false Cassandra L Lucas Chf Adm Officer Research Inst 0 270999 0 68999 0 407 0 13750 0 8780 0 362935 0 0 Elizabeth J Perlman MD Ex-Officio Director 0 534086 0 109783 0 3936 0 304009 0 14455 0 966269 0 0 Nancy M Borders Gen Counsel & Corp Secretary 0 372191 0 185236 0 2542 0 99196 0 31514 0 690679 0 0 Patrick M Magoon Ex-Officio Dir (& System CEO) 0 937068 0 566118 0 150048 0 52559 0 40789 0 1746582 0 0 Ron Blaustein Chief Financial Officer 0 452355 0 231058 0 744 0 94470 0 29466 0 808093 0 0 Thomas P Shanley MD Ex-Offc Dir/Pres,Cro/Chair Pff 0 887353 0 119445 0 516 0 118545 0 28171 0 1154030 0 0 FORM 990, SCHEDULE J, PART I, LINE 3 PURSUANT TO THE BYLAWS OF CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER ("MEDICAL CENTER") AND THE ORGANIZATION, THE GOVERNANCE COMMITTEE OF THE ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO ("LURIE CHILDREN'S") AND MEDICAL CENTER, SERVES AS THE COMPENSATION COMMITTEE OF LURIE CHILDREN'S AND THE ORGANIZATION. THE GOVERNANCE COMMITTEE IS CHARGED TO REVIEW AND APPROVE SENIOR EXECUTIVE COMPENSATION FOR THE MEDICAL CENTER AND ITS AFFILIATES AND THE COMPENSATION FOR ANY PHYSICIAN WHO SERVES IN A SENIOR EXECUTIVE POSITION. THE GOVERNANCE COMMITTEE HAS ADOPTED A WRITTEN EXECUTIVE COMPENSATION PHILOSOPHY WHICH IT FOLLOWS WHEN IT REVIEWS AND APPROVES THE COMPENSATION AND BENEFITS OF THE ORGANIZATION'S SENIOR MANAGEMENT, INCLUDING THE PRESIDENT. THE GOVERNANCE COMMITTEE HAS ALSO APPROVED THE COMPENSATION PLAN AND COMPENSATION PHILOSOPHY FOR THE ORGANIZATION. THESE COMPENSATION PLANS AND PHILOSOPHIES ARE SUBJECT TO PERIODIC REVIEW BY THE GOVERNANCE COMMITTEE FOR CONTINUED APPROPRIATENESS IN THE CURRENT MARKET. WITH THE ASSISTANCE OF INDEPENDENT COMPENSATION CONSULTANTS AND INFORMATION FROM A VARIETY OF SOURCES (SPECIFIED ON SCHEDULE J), THE GOVERNANCE COMMITTEE CONFIRMED THE TOTAL AMOUNTS TO BE PAID WERE REASONABLE AND COMPARABLE TO AMOUNTS PAID BY SIMILARLY SITUATED ORGANIZATIONS. OUTSIDE LEGAL COUNSEL PERIODICALLY ADVISES THE GOVERNANCE COMMITTEE WITH RESPECT TO FEDERAL TAX REQUIREMENTS IN SETTING COMPENSATION AND THE ESTABLISHMENT OF THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER THE FEDERAL TAX LAW INTERMEDIATE SANCTIONS RULES. THE PROCESS FOLLOWED BY THE GOVERNANCE COMMITTEE, INCLUDING A DESCRIPTION OF THE DATA RELIED UPON AND THE GOVERNANCE COMMITTEE'S DECISIONS, WAS THOROUGHLY AND CONTEMPORANEOUSLY DOCUMENTED. THE GOVERNANCE COMMITTEE HAS EXPRESSLY REVIEWED THE REASONABLENESS OF ALL SUCH PAYMENTS, AND HAS CONCLUDED, AS THE RESULT OF A PROCESS THAT IS DESIGNED TO QUALIFY FOR THE REBUTTABLE PRESUMPTION OF REASONABLENESS, THAT ALL SUCH AMOUNTS ARE REASONABLE AND DO NOT EXCEED FAIR MARKET VALUE FOR THE SERVICES PROVIDED. THE GOVERNANCE COMMITTEE WAS COMPRISED OF MEMBERS OF THE MEDICAL CENTER AND LURIE CHILDREN'S BOARDS OF DIRECTORS WHO WERE DETERMINED TO BE DISINTERESTED (WHICH MEANS NO COMMITTEE MEMBER HAS A CONFLICT OF INTEREST) FOR THESE PURPOSES. THE GOVERNANCE COMMITTEE CONDUCTS AN ONGOING, REGULAR REVIEW OF THE DISINTERESTED STATUS OF ITS MEMBERS, AND WILL TAKE APPROPRIATE ACTION WITH RESPECT TO ANYONE HAVING AN INTEREST WITH RESPECT TO ONE OR MORE EXECUTIVES SO AS TO PRESERVE THE DISINTERESTED STATUS OF THE COMMITTEE AND, AS A RESULT, THE APPLICATION OF THE REBUTTABLE PRESUMPTION OF REASONABLENESS. FORM 990, SCHEDULE J, PART I, QUESTION 4B THE SUPPLEMENTAL EXECUTIVE PLAN ("SERP") WHICH WAS EFFECTIVE ON JANUARY 1, 2001 IS A DEFERRED COMPENSATION PLAN THAT ASSISTS IN PROVIDING COMPETITIVE TOTAL RETIREMENT BENEFITS TO A VERY LIMITED GROUP OF EXECUTIVE-LEVEL EMPLOYEES OF ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO ("LURIE CHILDREN'S") (INCLUDING ONE OR MORE PERSONS LISTED IN THIS FORM 990). THESE BENEFITS ARE PROVIDED IN EXCHANGE FOR ALL OF THE EMPLOYEE'S YEARS OF SERVICE TO THE ORGANIZATION, AND THE COST OF THE BENEFITS WILL VARY FROM YEAR TO YEAR BASED ON INTEREST RATES, AGE, AND MANY OTHER FACTORS. THE AMOUNTS ARE AT RISK AND WILL NOT BE PAID UNLESS AND UNTIL THE EMPLOYEE HAS PROVIDED SUBSTANTIAL FUTURE SERVICES TO THE ORGANIZATION. BENEFITS UNDER THE SERP VEST AT AGE 62, AND ARE FORFEITED IF THE EMPLOYEE LEAVES THE ORGANIZATION VOLUNTARILY BEFORE AGE 62 (EXCEPT UPON THE SOLE DISCRETION OF THE LURIE CHILDRENS BOARD, AND ONLY IF THE PARTICIPANT HAS REACHED AT LEAST AGE 55 WITH AT LEAST 10 YEARS OF SERVICE). PARTICIPANTS WHO VOLUNTARILY LEAVE THE ORGANIZATION BEFORE AGE 55 FORFEIT THEIR ENTIRE SERP BENEFIT UPON TERMINATION. THE FOLLOWING INDIVIDUAL PARTICIPATED IN THE SERP AND RECEIVED A VESTED PAYMENT DURING 2018 WHICH IS REPORTED IN COLUMN B(III): PATRICK M. MAGOON $141,666. THE PAYMENT WAS ACCRUED AND RECEIVED IN 2018. AN ADDITIONAL SERP WAS CREATED IN 2017, IN THE FORM OF A NONQUALIFIED DEFERRED COMPENSATION PLAN FOR CERTAIN EMPLOYEES IN LEADERSHIP POSITIONS, AND WHO ARE NOT PARTICIPANTS IN THE 2001 SERP. THE BENEFITS UNDER THE 2017 SERP ARE IN THE FORM OF A FIXED ANNUAL CONTRIBUTION RATE AND AN EARNINGS CREDIT. EACH YEARS CONTRIBUTION AND EARNINGS ARE AT RISK FOR A SUBSTANTIAL PERIOD, AND WILL BECOME FULLY VESTED AND TAXABLE ONLY AFTER FOUR YEARS OF FUTURE EMPLOYMENT SERVICE, OR UPON REACHING AGE 62 WITH AT LEAST THREE YEARS OF SERVICE. SEVERAL LISTED PERSONS IN THIS FORM 990 PARTICIPATE IN THE 2017 SERP, AND THE UNVESTED CONTRIBUTIONS MADE FOR THEM ARE INCLUDED IN SCHEDULE J, PART II, COLUMN (C). SCHEDULE J, PART I, QUESTION 5B ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO ("LURIE CHILDREN'S"), A RELATED ORGANIZATION TO THE ORGANIZATION, ALSO PROVIDES ANNUAL INCENTIVE COMPENSATION TO SENIOR MANAGEMENT UNDER A SENIOR MANAGEMENT INCENTIVE COMPENSATION PLAN. THESE AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B (II). THE PLAN IS DESIGNED TO OFFER OPPORTUNITIES FOR ADDITIONAL COMPENSATION TIED TO PERFORMANCE AGAINST PRE-DETERMINED FINANCIAL, PATIENT SATISFACTION, PATIENT SAFETY AND INDIVIDUAL GOALS APPROVED IN ADVANCE BY THE GOVERNANCE COMMITTEE. THE GOVERNANCE COMMITTEE HAS EXPRESSLY REVIEWED THE REASONABLENESS OF ALL SUCH PAYMENTS AND HAS CONCLUDED, AS THE RESULT OF A PROCESS THAT IS DESIGNED TO QUALIFY FOR THE REBUTTABLE PRESUMPTION OF REASONABLENESS UNDER FEDERAL TAX LAW, THAT ALL SUCH AMOUNTS ARE REASONABLE AND DO NOT EXCEED FAIR MARKET VALUE FOR THE SERVICES PROVIDED. FORM 990, SCHEDULE J, PART II THE FOLLOWING INDIVIDUALS ARE NOT COMPENSATED BY THE REPORTING ORGANIZATION FOR HIS OR HER SERVICE AS A DIRECTOR OR OFFICER. RATHER, THE COMPENSATION REPORTED ON FORM 990, PART VII AND ON SCHEDULE J, PART II REFLECTS COMPENSATION PAID BY PEDIATRIC FACULTY FOUNDATION FOR THE INDIVIDUAL'S SUBSTANTIAL AND FULL-TIME SERVICES AS AN EMPLOYEE. FOR MORE DETAILS, PLEASE REFER TO THE 2018 FORM 990 OF PEDIATRIC FACULTY FOUNDATION, FEIN 36-3279680. THOMAS P. SHANLEY, MD THE FOLLOWING INDIVIDUALS ARE NOT COMPENSATED BY THE REPORTING ORGANIZATION FOR HIS OR HER SERVICE AS A DIRECTOR OR OFFICER. RATHER, THE COMPENSATION REPORTED ON FORM 990, PART VII AND ON SCHEDULE J, PART II REFLECTS COMPENSATION PAID BY CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER FOR THE INDIVIDUAL'S SUBSTANTIAL AND FULL-TIME SERVICES AS AN EMPLOYEE. FOR MORE DETAILS, PLEASE REFER TO THE 2018 FORM 990 OF CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER, FEIN 36-3357004. ELIZABETH J. PERLMAN, MD THE FOLLOWING INDIVIDUALS ARE NOT COMPENSATED BY THE REPORTING ORGANIZATION FOR HIS OR HER SERVICE AS A DIRECTOR OR OFFICER. RATHER, THE COMPENSATION REPORTED ON FORM 990, PART VII AND ON SCHEDULE J, PART II REFLECTS COMPENSATION PAID BY ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO ("LURIE CHILDREN'S") FOR THE INDIVIDUAL'S SUBSTANTIAL AND FULL-TIME SERVICES AS AN EMPLOYEE. FOR MORE DETAILS, PLEASE REFER TO THE 2018 FORM 990 OF LURIE CHILDREN'S, FEIN 36-2170833. NANCY M. BORDERS PATRICK M. MAGOON RON BLAUSTEIN. FORM 990, PART V, QUESTION 1A FORM 1099/1096 FILING VENDORS FOR THE FILING ORGANIZATION ARE PAID BY LURIE CHILDREN'S (EIN 36-2170833). AS SUCH, ALL REQUIRED FORM 1099 AND FORMS 1096 REPORTING IS FILED UNDER THE LURIE CHILDREN'S EIN. FORM 990, PART V, LINE 2A ALLOCATION OF SALARY EXPENSES ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO ("LURIE CHILDREN'S") PAYS AND ISSUES FORMS W-2 TO EMPLOYEES WHO WORK FOR STANLEY MANNE CHILDREN'S RESEARCH INSTITUTE. THE ALLOCATION OF THE SALARY COSTS ARE DISCLOSED ON FORM 990, PART IX, STATEMENT OF FUNCTIONAL EXPENSES. FORM 990, PART VI, QUESTION 6 DESCRIPTION OF CLASSES OF MEMBERS OR STOCKHOLDERS CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER ("MEDICAL CENTER") IS THE ORGANIZATION'S SOLE CORPORATE MEMBER. FORM 990, PART VI, QUESTION 7A DESCRIPTION OF CLASSES OF PERSONS AND THE NATURE OF THEIR RIGHTS THE ORGANIZATION'S SOLE CORPORATE MEMBER, THE MEDICAL CENTER, HAS CERTAIN RESERVED POWERS, INCLUDING THE POWER TO APPOINT AND REMOVE ALL DIRECTORS OF THE ORGANIZATION. FORM 990, PART VI, QUESTION 7B DESCR CLASSES OF PERSONS, DECISIONS REQUIRING APPR & TYPE OF VOTING RIGHTS THE MEDICAL CENTER, THROUGH ITS BOARD OF DIRECTORS OR DESIGNATED COMMITTEE, AS THE SOLE CORPORATE MEMBER OF THE ORGANIZATION, HAS CERTAIN RESERVED POWERS WITH RESPECT TO APPOINTMENT AND REMOVAL OF DIRECTORS, APPOINTMENT OF CERTAIN OFFICERS, APPROVAL OF AMENDMENTS TO GOVERNING DOCUMENTS, APPROVAL OF FINANCIAL MATTERS, AND APPROVAL OF SIGNIFICANT TRANSACTIONS INCLUDING, BUT NOT LIMITED TO, MERGER, DISSOLUTION, DISPOSITION OF ASSETS OTHER THAN IN THE ORDINARY COURSE OF BUSINESS, AND CREATION OF SUBSIDIARIES. FORM 990, PART VI, QUESTION 11B DESCRIPTION OF THE PROCESS USED BY MANAGEMENT OR THE GOVERNING BODY TO REVIEW THE FORM 990 THE ORGANIZATION'S FORM 990 WAS PROVIDED TO EACH MEMBER OF THE MEDICAL CENTER'S AND LURIE CHILDREN'S AUDIT COMMITTEE (OF THE BOARD) AS WELL AS THE FILING ORGANIZATIONS BOARD. THE AUDIT COMMITTEE IS THE COMMITTEE OF THE MEDICAL CENTER CHARGED WITH THE OVERSIGHT OF AUDIT AND TAX MATTERS FOR THE PARENT AND AFFILIATES. DURING A SPECIAL AUDIT COMMITTEE MEETING, AND BEFORE THE FORM 990 WAS FILED, THE AUDIT COMMITTEE WAS PROVIDED A REVIEW OF THE FORM 990 BY THE CHIEF FINANCIAL OFFICER ("CFO"). THE CFO AND OUTSIDE TAX ADVISOR ALSO RESPONDED TO THE AUDIT COMMITTEE MEMBERS' QUESTIONS AND AFFORDED THE OPPORTUNITY FOR DETAILED DISCUSSION OF THEFORM 990, PRIOR TO THE AUDIT COMMITTEE TAKING ACTION TO APPROVE THE FILING OF THE FORM 990. AS PART OF ITS ANNUAL RETURN PREPARATION PROCESS, THE ORGANIZATION, ON AN ONGOING BASIS, CONSULTED ITS TAX CONSULTING FIRM AND OUTSIDE TAX LEGAL COUNSEL, BOTH OF WHICH POSSESS EXPERTISE IN HEALTH CARE AND TAX-EXEMPT RETURN PREPARATION, TO ADVISE AND ASSIST IN THE PREPARATION OF THE FORM 990. THESE ADVISORS WORKED CLOSELY WITH THE ORGANIZATION'S FINANCE PERSONNEL AND OTHER MEMBERS OF THE ORGANIZATION'S TEAM ASSEMBLED TO PARTICIPATE IN THE PREPARATION OF THE FORM 990. PRIOR TO PRESENTING THE FORM 990 TO THE BOARD'S AUDIT COMMITTEE, THE ORGANIZATION'S TEAM, INCLUDING ITS ADVISORS, MET FREQUENTLY TO DISCUSS AND REVIEW DRAFTS OF THE FORM. SUBSEQUENT TO THE AUDIT COMMITTEE REVIEW AND APPROVAL, FORM 990 WAS PROVIDED TO THE FILING ORGANIZATIONS BOARD OF DIRECTORS. FORM 990, PART VI, QUESTION 12C DESCRIPTION OF THE PROCESS USED TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST ON AN ANNUAL BASIS, THE MEDICAL CENTER AND ITS AFFILIATES SUBMIT A COMPREHENSIVE QUESTIONNAIRE TO BOARD MEMBERS, SENIOR MANAGEMENT AND PURCHASING PERSONNEL REQUIRING DISCLOSURE OF ALL INTERESTS THAT COULD GIVE RISE TO ACTUAL OR POTENTIAL CONFLICTS OF INTEREST. THE MEDICAL CENTER INITIATES FOLLOW UP CONTACT WITH THOSE WHO DO NOT RESPOND AND TO CLARIFY RESPONSES, WHERE NECESSARY. THE MEDICAL CENTER REVIEWS EACH DISCLOSURE AND PROVIDES A SUMMARY OF RELEVANT DISCLOSURES FOR THE REVIEW AND APPROVAL OF ITS GOVERNANCE COMMITTEE. PURSUANT TO THE CONFLICTS OF INTEREST POLICY OF THE MEDICAL CENTER AND AFFILIATES ("CORPORATION"), DIRECTORS, OFFICERS, PHYSICIAN LEADERS, AND OTHERS WHO ARE SUBJECT TO THE POLICY ARE REQUIRED TO PROMPTLY AND FULLY DISCLOSE IN WRITING ANY ACTUAL, APPARENT OR POTENTIAL CONFLICT OF INTEREST TO THE PRESIDENT OF THE CORPORATION AND GENERAL COUNSEL. THIS DISCLOSURE SHALL BE PROVIDED TO THE GOVERNANCE COMMITTEE OF THE CORPORATION WHICH SHALL CONSIDER ALL CONFLICTS OF INTEREST ISSUES AND, IF APPROPRIATE, SHALL PROVIDE SUCH WRITTEN DISCLOSURE TO THE DIRECTORS, BOARD COMMITTEES CONSIDERING THE PROPOSED TRANSACTION OR OTHER APPROPRIATE PARTIES. IN ADDITION, ON AN ANNUAL BASIS, THE CORPORATION SURVEYS EACH INDIVIDUAL SUBJECT TO THE POLICY AS TO THE EXISTENCE OF ACTUAL OR POTENTIAL CONFLICTS OF INTEREST. THE CORPORATION WILL NOT ENTER INTO AN AGREEMENT, TRANSACTION OR OTHER ARRANGEMENT INVOLVING A CONFLICT OF INTEREST UNLESS THE DISINTERESTED MEMBERS OF THE GOVERNANCE COMMITTEE OF THE CORPORATION'S BOARD OF DIRECTORS DETERMINE BY A MAJORITY VOTE THAT APPROPRIATE SAFEGUARDS TO PROTECT THE CHARITABLE MISSION OF THE CORPORATION HAVE BEEN IMPLEMENTED. THE SUBJECT INTERESTED PERSON MAY NOT BE PRESENT WHEN THE VOTE IS TAKEN. IF IT IS DETERMINED THAT A CONFLICT OF INTEREST EXISTS, A DISINTERESTED PERSON OR COMMITTEE OF DISINTERESTED MEMBERS MAY BE ASSIGNED TO INVESTIGATE ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER EXERCISING DUE DILIGENCE, THE BOARD OR COMMITTEE SHALL DETERMINE WHETHER THE CORPORATION CAN OBTAIN A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT, WITH REASONABLE EFFORTS, FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. IF A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY ATTAINABLE UNDER CIRCUMSTANCES THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST, THE BOARD OR COMMITTEE SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE TRANSACTION IS IN THE CORPORATION'S BEST INTEREST AND FOR ITS OWN BENEFIT AND WHETHER THE TRANSACTION IS FAIR AND REASONABLE TO THE CORPORATION, AND SHALL MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE TRANSACTION OR ARRANGEMENT. FORM 990, PART VI, QUESTIONS 15A & 15B DESCRIPTION OF THE PROCESS BY WHICH THE COMPENSATION OF CERTAIN EXECUTIVES WAS DETERMINED THE AUTHORITY TO REVIEW AND APPROVE EXECUTIVE COMPENSATION HAS BEEN DELEGATED TO THE GOVERNANCE COMMITTEE OF CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER AND ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO BOARDS OF DIRECTORS ("GOVERNANCE COMMITTEE"). THE GOVERNANCE COMMITTEE HAS ADOPTED A WRITTEN EXECUTIVE COMPENSATION PHILOSOPHY WHICH IT FOLLOWS WHEN IT REVIEWS AND APPROVES THE COMPENSATION AND BENEFITS OF THE ORGANIZATION'S SENIOR MANAGEMENT, INCLUDING THE PRESIDENT. THE COMPENSATION PHILOSOPHY IS SUBJECT TO PERIODIC REVIEW FOR CONTINUED APPROPRIATENESS BY THE GOVERNANCE COMMITTEE. WITH THE ASSISTANCE OF A COMPENSATION CONSULTANT AND INFORMATION FROM A VARIETY OF EXTERNAL SOURCES (SPECIFIED ON SCHEDULE J), THE GOVERNANCE COMMITTEE CONFIRMED THE TOTAL AMOUNTS TO BE PAID WERE REASONABLE AND COMPARABLE TO AMOUNTS PAID BY SIMILARLY SITUATED ORGANIZATIONS FOR FUNCTIONALLY SIMILAR POSITIONS. OUTSIDE LEGAL COUNSEL ADVISES THE GOVERNANCE COMMITTEE WITH RESPECT TO FEDERAL TAX REQUIREMENTS IN SETTING COMPENSATION AND THE ESTABLISHMENT OF THE REBUTTABLE PRESUMPTION OF REASONABLENESS. THE PROCESS FOLLOWED BY THE GOVERNANCE COMMITTEE, INCLUDING A DESCRIPTION OF THE DATA RELIED UPON AND THE GOVERNANCE COMMITTEE'S DECISIONS, WAS THOROUGHLY AND CONTEMPORANEOUSLY DOCUMENTED. THE GOVERNANCE COMMITTEE HAS EXPRESSLY REVIEWED THE REASONABLENESS OF ALL SUCH PAYMENTS, AND HAS CONCLUDED, AS THE RESULT OF A PROCESS THAT IS DESIGNED TO QUALIFY FOR THE REBUTTABLE PRESUMPTION OF REASONABLENESS UNDER FEDERAL TAX LAW, THAT ALL SUCH AMOUNTS ARE REASONABLE AND DO NOT EXCEED FAIR MARKET VALUE FOR THE SERVICES PROVIDED.THE GOVERNANCE COMMITTEE WAS COMPRISED OF MEMBERS OF CHILDREN'S HOSPITAL OF CHICAGO MEDICAL CENTER AND ANN & ROBERT H. LURIE CHILDREN'S HOSPITAL OF CHICAGO BOARDS OF DIRECTORS WHO WERE DETERMINED DISINTERESTED FOR THESE PURPOSES. THE GOVERNANCE COMMITTEE CONDUCTS AN ONGOING AND PERIODIC REVIEW OF THE DISINTERESTED STATUS OF ITS MEMBERS, AND WILL TAKE APPROPRIATE ACTION WITH RESPECT TO ANYONE HAVING AN INTEREST WITH RESPECT TO ONE OR MORE EXECUTIVES SO AS TO PRESERVE THE APPLICATION OF THE REBUTTABLE PRESUMPTION OF REASONABLENESS. FORM 990, PART VI, QUESTION 19 AVAIL OF GOV DOCS, CONFLICT OF INTEREST POLICY, & FIN STMTS TO GEN PUBLIC THE ORGANIZATION'S FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ONLINE AT WWW.DACBOND.COM. THE ORGANIZATION'S ARTICLES OF INCORPORATION AND ANNUAL REPORTS ARE AVAILABLE THROUGH THE ILLINOIS SECRETARY OF STATE. THE ORGANIZATION ALSO MAKES ITS GENERAL GOVERNING DOCUMENTS AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST. ALMOST HOME KIDS 7 S 721 ROUTE 53 NAPERVILLE IL 60540 363822010 TRANSITION CR IL 501(C)(3) 10 Medical Ctr false LURIE CHILDREN'S HOSPITAL OF CHICAGO FDN 225 E CHICAGO AVE Chicago IL 60611 363357006 FUNDRAISING IL 501(C)(3) 7 Medical Ctr false CHILDREN'S HOSPITAL OF CHICAGO MED CTR 225 E CHICAGO AVE Chicago IL 60611 363357004 HEALTH CARE IL 501(C)(3) 10 NA false PEDIATRIC FACULTY FOUNDATION INC 225 E CHICAGO AVE Chicago IL 60611 363279680 HLTH CRE/RSCH IL 501(C)(3) 10 Medical Ctr false LURIE CHILDRENS LIABILITY PROTECTION PRG 225 E CHICAGO AVE Chicago IL 60611 366638400 INSURANCE IL 501(C)(3) 12 III-FI MEDICAL CTR false LURIE CHILDREN'S 225 E CHICAGO AVE CHICAGO IL 60611 362170833 HOSPITAL IL 501(C)(3) 3 MEDICAL CTR false CHILDREN'S HOSPITAL OF CHICAGO FPP 737 NORTH MICHIGAN AVE 2040 CHICAGO IL 60611 363393780 HEALTH CARE IL 501(C)(3) 12 TYPE I MEDICAL CTR false LURIE CHILDREN'S PEDIATRIC ANESTHESIA AS 225 E CHICAGO AVE Chicago IL 60611 371838535 HEALTH CARE IL 501(C)(3) 3 MEDICAL CTR false LURIE CHILDREN'S SURGICAL FOUNDATION 2300 CHILDRENS PLAZA STE 114 Chicago IL 60614 831650513 HLTH CRE/RSCH IL 501(C)(3) 10 MEDICAL CTR false Lurie Childrens CIN LLC 225 E CHICAGO AVE CHICAGO IL 60606 901025439 CONTRACTING SVCS IL NA CMMC INSURANCE CO LTD 225 E CHICAGO AVE CHICAGO IL 60611 981049532 SELF INSURANCE CJ MEDICAL CTR CORPORATION 0 0 false false true false false false false false false false false false false false false true false false false