2020-11-13T12:51:10-06:00 2019-12-31 990 2019-01-01 421477471 UNITYPOINT AT HOME UNIT 5152416161 1776 WEST LAKES PKWY SUITE 400 WEST DES MOINES IA 50266 MICHAEL WELSCH VP FINANCE 5155573176 2020-11-10 205.167.3.34 2020-11-10 12:55:49 CS P 7BA72CF2FC23A5EB6E597A73BA6EA537B1AB5705 F1604245A147518CBE08B3B38589C677CA2A5196 2019 2021-01-29 14:40:06Z DAVID WILLIAMS MD 1776 WEST LAKES PKWY SUITE 400 WEST DES MOINES IA 50266 219412500 0 X WWW.UNITYPOINT.ORG/HOMECARE X 1998 IA IMPROVE THE HEALTH OF THE PEOPLE AND COMMUNITIES WE SERVE. 13 7 1851 321 859582 299537 787346 827774 185524422 206944679 2264916 610530 1167131 1398861 189743815 209781844 15975 26484 0 0 102511673 104325304 0 0 120000 94557012 97382770 197084660 201734558 -7340845 8047286 69229634 87489703 21274450 30133969 47955184 57355734 X TO IMPROVE THE HEALTH OF OUR COMMUNITY THROUGH HEALING, CARING AND TEACHING. 0 0 158636924 26484 207505169 HEALTH CARE SERVICESUNITYPOINT AT HOME PROVIDES HOME HEALTH SERVICES FOR PEOPLE IN NEED WITH THE PURPOSE TO IMPROVE THE COMMUNITY'S OVERALL HEALTH AND ACCESS TO CARE. HIGHEST PRIORITY IS GIVEN TO LOW-INCOME INDIVIDUALS BUT SERVICES ARE AVAILABLE TO ALL RESIDENTS. ALL SERVICES ARE PROVIDED REGARDLESS OF AN INDIVIDUAL'S RACE, CREED, SEX, NATIONALITY, HANDICAP, AGE OR ABILITY TO COMPENSATE FOR SERVICES RENDERED. HOME HEALTH CARE SERVICES PROVIDED AND PEOPLE SERVED MAY INCLUDE BUT ARE NOT LIMITED TO: CASE MANAGEMENT, CERTIFIED NURSING, PRIVATE DUTY NURSING, PALLIATIVE CARE, HOSPICE, INFUSION SERVICES, HOME MEDICAL EQUIPMENT, MATERNAL HEALTH CLINICS, NURSING CARE, SUPPORT TO HIGH RISK NEW PARENTS AND NEWBORNS, PARENTING SUPPORT, CHILD HEALTH CLINICS, HEALTH MAINTENANCE VISITS AND SCREEENINGS, IMMUNIZATION CLINICS, SENIOR CITIZENS, DISABLED, ILL, HANDICAPPED AND TERMINALLY ILL. SERVICES MAY BE PROVIDED ON A ONE-TIME, INTERMITTENT, PART-TIME OR LONG-TERM BASIS. UNITYPOINT AT HOME MADE 349,324 HOME VISITS IN 2019. 158636924 1 1 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 X 0 0 1 1851 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 13 7 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 IL X X MARGARET VANOOSTEN PRESCCO 5155573100 1776 WEST LAKES PKWY SUITE 400 WEST DES MOINES IA 50266 KENNETH ANDERSON MD BOARD CHAIR 1.00 40.00 X X 0 178462 74950 DAVID BOYER BOARD SEC./TREAS. 1.00 1.00 X X 0 21500 0 KYLE CHRISTIASON MD BOARD MEMBER 1.00 40.00 X 0 406906 47529 STAN DANIELSON MD BOARD VICE CHAIR 1.00 40.00 X X 0 404410 43675 PAMELA DELAGARDELLE BOARD MEMBER 1.00 40.00 X 0 540522 229135 TATE FEATHERSTONE BOARD MEMBER 1.00 1.00 X 0 0 0 DEBRA JOHNSON BOARD MEMBER 1.00 1.00 X 0 12921 0 PRASAD NADKARNI MD BOARD MEMBER 1.00 40.00 X 0 584808 46993 BRIAN SCOTT BOARD MEMBER 1.00 1.00 X 0 0 0 JAN MILLER STRAUB BOARD MEMBER 1.00 1.00 X 0 0 0 KAREN STUMPE BOARD MEMBER 1.00 1.00 X 0 0 0 ANDREA WHITE MD BOARD MEMBER 1.00 40.00 X 0 364567 30302 BEVERLY ZENOR BOARD MEMBER 1.00 1.00 X 0 0 0 MARGARET VANOOSTEN PRES & CHIEF CLINICAL OFFI 40.00 1.00 X 479255 0 70619 MICHAEL WELSCH VP FINANCE 40.00 0.00 X 182011 0 32360 DAVID WILLIAMS MD CEO 1.00 40.00 X 0 743388 227859 LEANNE BURRACK VP HOSPICE 40.00 0.00 X 161898 0 16536 RUTH COADY VP SPECIALTY PHARMACY & INFUSION 40.00 0.00 X 142223 12365 8154 JESSICA MEISNER VP HUMAN RESOURCES 1.00 40.00 X 0 341207 53575 JENN OFELT VP HOME HEALTH & OPERATION 40.00 0.00 X 189200 0 31345 PATRICK REEVES VP HOME MEDICAL EQUIPMENT 40.00 0.00 X 169939 0 26936 TODD RICHARD VP PATIENT ACCESS 40.00 0.00 X 198969 0 25106 MARISSA SMITH CHIEF COMPLIANCE OFFICER 40.00 0.00 X 166981 0 32530 PAULA GEISE TO 0719 DIR OPERATIONAL INITIATIVES 40.00 0.00 X 140869 0 24822 NICOLE GROETKEN EXEC DIRECTOR OPERATIONS 40.00 0.00 X 131826 0 32792 AMY LEISTER EXEC DIRECTION CLINICAL ED 40.00 0.00 X 135126 2043 25377 STACEY MILLER EXEC DIRECTOR HOME CARE 40.00 0.00 X 133106 0 23689 PATRICK WALTER PHARMACY REVENUE ANALYST 40.00 0.00 X 130949 0 18145 CRAIG FLANAGAN TO 918 FORMER VP/CFO 0.00 0.00 X 224036 0 3543 MELLISSA WOOD TO 1217 CHIEF NURSING EXECUTIVE (QC) 0.00 40.00 X 0 255259 8820 JANE ARNOLD TO 1218 VP OPERATIONS 0.00 40.00 X 0 230586 37283 2586388 4098944 1172075 39 1 1 0 BLACKTREE HEALTHCARE CONSULTING 1030 CONTINENTAL DRIVE KING OF PRUSSIA PA 19406 CONSULTING SERVICES 2852256 PUTNAM INC 7050 W 107TH ST OVERLAND PARK KS 66212 STAFFING AGENCY 1766947 OPTUM HOSPICE PHARMACY SERVICE 4525 EXECUTIVE PARK DR STE 100 MONTGOMERY AL 36116 PHARMACY SERVICES 1202203 AT HOME WITH WESTERN HOME 420 EAST 11TH ST CEDAR FALLS IA 50613 STAFFING AGENCY 833917 SIMIONE HEALTHCARE CONSULTANTS 4130 WHITNEY AVE HAMDEN CT 06518 CONSULTING SERVICES 666043 33 650109 177665 827774 HOME HEALTH CARE SERV 621610 203907280 203193053 714227 MGMT & SUPPORT SVCS 561000 2478012 2478012 SUBS & JOINT VENTURES 900099 551562 406207 145355 RENTAL INCOME 531390 7800 7800 PUBLIC HEALTH PROGRAMS 900099 25 25 206944679 590015 21211 568804 9651171 9608973 21683 42198 -21683 20515 20515 SHARED SAVINGS REVENUE 900099 1188009 1188009 MISCELLANEOUS 900099 210852 210852 1398861 209781844 207505169 859582 589319 26484 26484 2129182 2129182 227579 227579 80475896 55218357 25257539 2996843 2056277 940566 13029107 8939893 4089214 5466697 3750962 1715735 9880250 9880250 56149 775 55374 259378 221142 38236 6324176 2162903 4041273 120000 201916 139519 62397 21921413 21388310 533103 287930 287930 5284836 2440264 2844572 2771291 2498408 272883 61341 -5010 66351 1465541 1023034 442507 277769 277689 80 MEDICAL SUPPLIES 48314008 48289930 24078 MISCELLANEOUS EXPENSE 201195 45145 156050 INCOME TAXES 75577 -5338 80915 201734558 158636924 42977634 120000 3812393 14999439 180815 893146 33625383 30641422 3198212 2844690 7493868 8367642 484490 410731 18515738 11989408 7544583 6526330 9784549 12342591 3109764 3308872 -4423 -4423 0 7159263 69229634 87489703 14921043 15161352 13027 170760 505782 6182647 14453808 21274450 30133969 X 45191049 54443052 2764135 2912682 47955184 57355734 69229634 87489703 X 8047286 1204717 148547 X 0 1 X 1 0 X 1275742 1095713 1190692 787346 827775 5177268 119002980 148815932 171288413 184841232 206085097 830033654 214275 91715 772778 1167131 1398861 3644760 120492997 150003360 173251883 186795709 208311733 838855682 0 0 0 838855682 906669 485853 493240 419412 590015 2895189 906669 485853 493240 419412 590015 2895189 393491 436733 152833 204214 299537 1486808 121793157 150925946 173897956 187419335 209201285 843237679 0.99480 0.99240 0.00340 0.00560 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 2764135 827301 148547 827301 2912682 996135 661491 1768001 661492 2764135 1117386 714688 835939 996135 370854 1168611 422079 1117386 357953 414653 401752 370854 0.00000 0.07030 0.92970 0 1 1 160000 160000 5793424 2669606 3123818 12697282 9304445 3392837 -134968 15357 -150325 6526330 OPERATING LEASE ASSETS 7159263 7159263 DUE TO AFFILIATES 3667899 SELF-INSURANCE RESERVE 2126562 HEALTH AND WELFARE BENEFITS RESERVE 1239700 LONG-TERM RETENTION INCENTIVES 236711 MISCELLANEOUS LIABILITY 23673 OPERATING LEASE LIABILITY 7159263 14453808 X 210784000 1204717 12 1204729 209579271 38504 164069 202573 209781844 201276000 234 234 201275766 38504 420288 458792 201734558 PART V, LINE 4: THE ORGANIZATION RETAINS FUNDS FOR INTENDED FUTURE USES, INCLUDING PURCHASE OF EQUIPMENT, INDIGENT CARE, FUNDING OF MISSION RELATED OPERATIONS, AND HEALTH EDUCATION. IN ADDITION, SOME FUNDS ARE HELD FOR INVESTMENT IN PERPETUITY. PART X, LINE 2: UNITYPOINT HEALTH AND MOST OF ITS SUBSIDIARIES ARE CLASSIFIED AS TAX-EXEMPT ORGANIZATIONS AS DESCRIBED IN SECTIONS 501(C)(3) AND 501(C)(2) OF THE INTERNAL REVENUE CODE (THE CODE). TAX-EXEMPT ORGANIZATIONS ARE NOT SUBJECT TO FEDERAL AND STATE INCOME TAXES ON RELATED INCOME, PURSUANT TO SECTION 501(A) OF THE CODE. THESE ORGANIZATIONS ARE SUBJECT TO FEDERAL AND STATE INCOME TAXES TO THE EXTENT THEY HAVE UNRELATED BUSINESS INCOME AS DESCRIBED UNDER PROVISIONS OF SECTION 511 OF THE CODE. THE SYSTEM FILES FORM 990 FOR SUBSTANTIALLY ALL OF ITS OPERATING ENTITIES IN THE U.S. FEDERAL JURISDICTION AND IS NO LONGER SUBJECT TO EXAMINATION BY TAX AUTHORITIES FOR THE YEARS BEFORE 2016. THE SYSTEM HAS NO MATERIAL UNCERTAIN TAX POSITIONS. CERTAIN SUBSIDIARIES ARE SUBJECT TO FEDERAL AND STATE INCOME TAXES. SOME OF THESE CORPORATIONS HAVE ACCUMULATED NET OPERATING LOSS CARRYFORWARDS THAT ARE AVAILABLE TO OFFSET FUTURE TAXABLE INCOME, IF ANY, DURING THE CARRYFORWARD PERIOD. DEFERRED TAX ASSETS AND LIABILITIES RELATED TO THESE SUBSIDIARIES WERE NOT MATERIAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: ROUNDING 12. PART XI, LINE 4B - OTHER ADJUSTMENTS: REVENUES IN NET ASSETS WITHOUT RESTRICTION 164,069. PART XII, LINE 2D - OTHER ADJUSTMENTS: ROUNDING 234. PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES IN NET ASSETS WITHOUT RESTRICTION 420,288. 1 IOWA HEALTH FOUNDATION 1415 WOODLAND AVE DES MOINES IA 50309 421467682 501(C)(3) 15000 PROGRAM SUPPORT 1 0 PART I, LINE 2: UNITYPOINT AT HOME REQUIRES EACH RECIPIENT OF THE GRANTS MENTIONED IN PARTS II & III (OTHER THAN ASSISTANCE TO RELATED ORGANIZATIONS IN THE FORM OF WORKING CAPITAL) TO APPLY FOR THE GRANT AND OUTLINES A SERIES OF ELIGIBILITY STANDARDS THAT ARE REQUIRED TO BE MET. ST. LUKE'S METHODIST HOSPITAL THEN REVIEWS THESE APPLICATIONS AND, BASED ON NEED AND ELIGIBILITY, A COMMITTEE MAKES THE FINAL DECISION ON ALL GRANT RECIPIENTS. 1 X X X X X 1 1 0 0 0 0 0 0 0 KENNETH ANDERSON MD BOARD CHAIR 0 155298 0 20701 0 2463 0 54117 0 20833 0 253412 0 0 KYLE CHRISTIASON MD BOARD MEMBER 0 362747 0 42855 0 1304 0 23192 0 24337 0 454435 0 0 STAN DANIELSON MD BOARD VICE CHAIR 0 362220 0 32400 0 9790 0 33180 0 10495 0 448085 0 0 PAMELA DELAGARDELLE BOARD MEMBER 0 417574 0 73270 0 49678 0 202207 0 26928 0 769657 0 0 PRASAD NADKARNI MD BOARD MEMBER 0 544097 0 34375 0 6336 0 34437 0 12556 0 631801 0 0 ANDREA WHITE MD BOARD MEMBER 0 326706 0 37150 0 711 0 20617 0 9685 0 394869 0 0 MARGARET VANOOSTEN PRES & CHIEF CLINICAL OFFI 365030 0 81131 0 33094 0 61484 0 9135 0 549874 0 0 0 MICHAEL WELSCH VP FINANCE 152043 0 24837 0 5131 0 9999 0 22361 0 214371 0 0 0 DAVID WILLIAMS MD CEO 0 566648 0 108178 0 68562 0 205537 0 22322 0 971247 0 0 LEANNE BURRACK VP HOSPICE 136421 0 13081 0 12396 0 7282 0 9254 0 178434 0 0 0 RUTH COADY VP SPECIALTY PHARMACY & INFUSION 126925 12365 12161 0 3137 0 6786 625 682 61 149691 13051 0 0 JESSICA MEISNER VP HUMAN RESOURCES 0 258853 0 70150 0 12204 0 32414 0 21161 0 394782 0 0 JENN OFELT VP HOME HEALTH & OPERATION 157749 0 19397 0 12054 0 9227 0 22118 0 220545 0 0 0 PATRICK REEVES VP HOME MEDICAL EQUIPMENT 132371 0 12778 0 24790 0 7850 0 19086 0 196875 0 0 0 TODD RICHARD VP PATIENT ACCESS 173471 0 16908 0 8590 0 11675 0 13431 0 224075 0 0 0 MARISSA SMITH CHIEF COMPLIANCE OFFICER 151769 0 15059 0 153 0 12410 0 20120 0 199511 0 0 0 PAULA GEISE TO 0719 DIR OPERATIONAL INITIATIVES 55995 0 14203 0 70671 0 4751 0 20071 0 165691 0 0 0 NICOLE GROETKEN EXEC DIRECTOR OPERATIONS 126326 0 1717 0 3783 0 6903 0 25889 0 164618 0 0 0 AMY LEISTER EXEC DIRECTION CLINICAL ED 125823 2043 9135 0 168 0 6829 101 18182 265 160137 2409 0 0 STACEY MILLER EXEC DIRECTOR HOME CARE 124344 0 8692 0 70 0 6873 0 16816 0 156795 0 0 0 CRAIG FLANAGAN TO 918 FORMER VP/CFO 0 0 29482 0 194554 0 -2738 0 6281 0 227579 0 0 0 MELLISSA WOOD TO 1217 CHIEF NURSING EXECUTIVE (QC) 0 221167 0 22032 0 12060 0 7099 0 1721 0 264079 0 0 JANE ARNOLD TO 1218 VP OPERATIONS 0 182431 0 29639 0 18516 0 13594 0 23689 0 267869 0 0 PART I, LINES 4A-B SEVERANCE PAYMENTS: THE FOLLOWING INDIVIDUAL(S) RECEIVED SEVERANCE PAYMENTS DURING THE YEAR THAT WERE INCLUDED IN THEIR TAXABLE INCOME: CRAIG FLANAGAN $207,846 AND PAULA GEISE $60,016. NONQUALIFIED RETIREMENT PLAN EARNINGS: THE FOLLOWING INDIVIDUAL(S) PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN WITH THE FOLLOWING CHANGES TO THEIR ACCOUNTS: KENNETH ANDERSON, MD $16,583; KYLE CHRISTIASON, MD $9,192; STAN DANIELSON, MD $19,180; PAMELA DELAGARDELLE $176,254; MARGARET VANOOSTEN $42,119; ANDREA WHITE $6,617; AND DAVID WILLIAMS, MD $182,012. FORM 990, PART V, LINES 1A & 1B CASH DISBURSEMENTS ARE CENTRALIZED THROUGH THE PARENT ORGANIZATION, IOWA HEALTH SYSTEM (D/B/A UNITYPOINT HEALTH). THE PARENT MAKES THE PAYMENTS AND FILES THE RELATED FORMS 1099 AND 1096 ON BEHALF OF ALL UNITYPOINT HEALTH SYSTEM RELATED ORGANIZATIONS. FORM 990, PART VI, SECTION A, LINE 6 IOWA HEALTH SYSTEM, A TAX-EXEMPT IOWA NONPROFIT CORPORATION, IS THE SOLE MEMBER. FORM 990, PART VI, SECTION A, LINE 7A THE SOLE MEMBER, IOWA HEALTH SYSTEM, HAS THE POWER TO NOMINATE AND APPOINT BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B THE SOLE MEMBER, IOWA HEALTH SYSTEM, HAS THE POWER TO APPROVE CHANGES IN ARTICLES AND BYLAWS, DISSOLUTIONS OR MERGERS, AND APPOINT BOARD OF DIRECTORS. AFFILIATE ORGANIZATIONS THAT HAVE TRANSFERRED HOME HEALTH OPERATIONS TO THE ORGANIZATION HAVE THE RIGHT TO NOMINATE AT LEAST ONE BOARD MEMBER, SUBJECT TO APPROVAL BY IOWA HEALTH SYSTEM. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED INTERNALLY BY THE IOWA HEALTH SYSTEM TAX DEPARTMENT USING INFORMATION GATHERED FROM VARIOUS FUNCTIONAL AREAS OF THE ORGANIZATION. EACH SECTION OF THE RETURN IS REVIEWED BY THE RESPONSIBLE FUNCTIONAL AREA ALONG WITH THE TAX DEPARTMENT. A DRAFT COPY OF THE RETURN IS PROVIDED TO THE PRESIDENT AND CCO FOR REVIEW. A FULL COPY OF THE FORM 990 IS PROVIDED TO THE BOARD OF DIRECTORS PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS A CONFLICT OF INTEREST POLICY. ANNUALLY ALL OFFICERS, DIRECTORS, KEY EMPLOYEES AND REPORTING PHYSICIANS ARE REQUESTED TO COMPLETE A QUESTIONNAIRE TO REPORT POTENTIAL CONFLICTS OF INTEREST. PERSONS WHO HAVE NOT RETURNED QUESTIONNAIRES ARE CONTACTED ADDITIONAL TIMES IN AN EFFORT TO RECEIVE COMPLETE AND ACCURATE RESPONSES FROM ALL PERSONS. THE ANNUAL QUESTIONNAIRES INCLUDE AN ACKNOWLEDGEMENT THAT THE OFFICER, DIRECTOR, KEY EMPLOYEE OR REPORTING PHYSICIAN: 1) HAS ACCESS TO A COPY OF THE CONFLICT OF INTEREST POLICY; 2) HAS READ AND UNDERSTANDS THE POLICY; 3) AGREES TO COMPLY WITH THE POLICY; 4) UNDERSTANDS THAT THE POLICY APPLIES TO ALL COMMITTEES AND SUBCOMMITTEES HAVING BOARD-DELEGATED POWERS; AND 5) UNDERSTANDS THAT THE ORGANIZATION IS A CHARITABLE ORGANIZATION AND THAT IN ORDER TO MAINTAIN ITS TAX-EXEMPT STATUS, IT MUST CONTINUOUSLY ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. SENIOR ADMINISTRATIVE STAFF AT ALL RELATED ORGANIZATIONS PROVIDE INFORMATION TO A CENTRAL COORDINATOR RELATED TO THE IDENTIFICATION OF WHICH INDIVIDUALS SHOULD RECEIVE THE QUESTIONNAIRE FOR COMPLETION. THE RESULTS ARE COMPILED CENTRALLY AND REVIEWED BY THE IOWA HEALTH SYSTEM COMPLIANCE OFFICER AND DIRECTOR OF INTERNAL AUDIT. THE DETAIL RESULTS ARE REPORTED TO A COMMITTEE OF THE SYSTEM BOARD. THE RESULTS RELATED TO SPECIFIC REGIONAL PARENT COMPANIES, THEIR HOSPITALS AND RELATED ORGANIZATIONS, ARE DISTRIBUTED IN DETAIL TO THE CHAIRPERSON OF THE REGIONAL PARENT ORGANIZATION, THE CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER AND COMPLIANCE MANAGER. THESE INDIVIDUALS ARE ALSO REMINDED OF THE APPROPRIATE PROCESS TO BE FOLLOWED DURING THE YEAR TO ADDRESS POTENTIAL CONFLICTS OF INTEREST THAT RELATE TO MATTERS THAT ARE BROUGHT TO THE BOARD OF DIRECTORS FOR ACTION. THE INFORMATION DISCLOSED IS USED TO IDENTIFY POTENTIAL CONFLICTS OF INTEREST AND TO ASSIST IN COMPLETING IRS AND MEDICAID QUESTIONNAIRES. ANY DUALITY OF INTEREST OR POSSIBLE CONFLICT OF INTEREST ON THE PART OF ANY ORGANIZATIONAL OFFICER, DIRECTOR, KEY EMPLOYEE OR REPORTING PHYSICIAN TOGETHER WITH ALL MATERIAL FACTS, SHOULD BE DISCLOSED TO THE BOARD OF DIRECTORS AND MADE A MATTER OF RECORD, EITHER THROUGH AN ANNUAL PROCEDURE OR WHEN THE INTEREST OCCURS OR BECOMES A MATTER OF BOARD ACTION. ANY ORGANIZATIONAL OFFICER, DIRECTOR, KEY EMPLOYEE OR REPORTING PHYSICIAN HAVING A CONFLICT OF INTEREST IN ANY MATTER SHOULD NOT BE PRESENT DURING GENERAL DISCUSSION NOR VOTE OR USE HIS OR HER PERSONAL INFLUENCE ON THE MATTER, AND HE OR SHE SHOULD NOT BE COUNTED IN DETERMINING THE EXISTENCE OF A QUORUM FOR PURPOSES OF THE MATTER OR ITEM AS TO WHICH A CONFLICT EXISTS. THE BOARD SHOULD EXCLUDE THE INDIVIDUAL FROM ANY DISCUSSION OR VOTE IN WHICH THE BOARD DECIDES WHETHER OR NOT A CONFLICT OF INTEREST EXISTS. IN CASES IN WHICH AN OFFICER, DIRECTOR, KEY EMPLOYEE, REPORTING PHYSICIAN OR THE INDIVIDUAL'S HOUSEHOLD MEMBER HAS A CONFLICT OF INTEREST IN AN ARRANGEMENT OR TRANSACTION, THE FOLLOWING ADDITIONAL STEPS MAY BE TAKEN AT THE DIRECTION OF THE BOARD OF DIRECTORS: 1) AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE SHALL LEAVE THE BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL 1) DECIDE IF A CONFLICT OF INTEREST EXISTS, 2) A DISINTERESTED PERSON OR COMMITTEE MAY BE APPOINTED TO INVESTIGATE ALTERNATIVES TO THE PROPOSED ARRANGEMENT OR TRANSACTION; 3) IN ORDER TO APPROVE THE ARRANGEMENT OR TRANSACTION, THE BOARD MUST FIRST FIND, BY MAJORITY VOTE OF DISINTERESTED MEMBERS, THAT THE ARRANGEMENT OR TRANSACTION IS IN THE ORGANIZATION'S BEST INTEREST, IS FAIR AND REASONABLE TO THE ORGANIZATION, AND, AFTER REASONABLE INVESTIGATION, THE DISINTERESTED MEMBERS HAVE DETERMINED THAT A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT CANNOT BE OBTAINED WITH REASONABLE EFFORTS UNDER THE CIRCUMSTANCES; THE MINUTES OF THE BOARD AND ALL COMMITTEES WITH BOARD-DELEGATED POWERS SHALL CONTAIN: 1) THE NAMES OF THE PERSONS WHO DISCLOSED OR OTHERWISE WERE FOUND TO HAVE A FINANCIAL INTEREST IN CONNECTION WITH AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, THE NATURE OF THE FINANCIAL INTEREST, ANY ACTION TAKEN TO DETERMINE WHETHER A CONFLICT OF INTEREST WAS PRESENT, AND THE BOARD'S OR COMMITTEE'S DECISION AS TO WHETHER A CONFLICT OF INTEREST IN FACT EXISTED; 2) THE NAMES OF THE PERSONS WHO WERE PRESENT FOR DISCUSSIONS AND VOTES RELATING TO THE TRANSACTION OR ARRANGEMENT, THE CONTENT OF THE DISCUSSION, INCLUDING ANY ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT, AND A RECORD OF ANY VOTES TAKEN IN CONNECTION THEREWITH; IN ORDER TO PROTECT THE ORGANIZATION'S BEST INTERESTS, APPROPRIATE DISCIPLINARY ACTION MAY BE TAKEN WITH RESPECT TO AN OFFICER, DIRECTOR, KEY EMPLOYEE OR REPORTING PHYSICIAN WHO VIOLATES THE CONFLICT OF INTEREST POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE IOWA HEALTH SYSTEM BOARD OF DIRECTORS ("COMMITTEE") CONDUCTS A COMPREHENSIVE REVIEW OF ALL COMPENSATION AND BENEFITS PROVIDED TO THE ORGANIZATION'S OFFICERS AND KEY EMPLOYEES, INCLUDING THE IHS CHIEF EXECUTIVE OFFICER (THE "CEO"). THIS REVIEW COMPARES THE TOTAL COMPENSATION AND VALUE OF BENEFITS PROVIDED TO EACH EXECUTIVE, ON A POSITION BY POSITION BASIS, TO THAT PROVIDED TO FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED ORGANIZATIONS. THIS REVIEW IS CONDUCTED BY THE COMMITTEE WITH THE ASSISTANCE OF A NATIONAL, INDEPENDENT COMPENSATION CONSULTANT REPORTING DIRECTLY TO THE COMMITTEE. THE COMMITTEE HAS BEEN DELEGATED THE RESPONSIBILITY FOR OVERSIGHT OF EXECUTIVE COMPENSATION AND IS MADE UP ENTIRELY OF INDEPENDENT DIRECTORS WITHIN THE MEANING OF THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER THE FEDERAL INCOME TAX INTERMEDIATE SANCTIONS RULES. THE COMPENSATION CONSULTANT HOLDS ITSELF OUT TO THE PUBLIC AS A COMPENSATION CONSULTANT, PERFORMS THESE VALUATIONS ON A REGULAR BASIS, IS QUALIFIED TO MAKE THE VALUATIONS OF THE SERVICES INVOLVED, AND HAS SO INDICATED IN A WRITTEN CERTIFICATION TO THE COMMITTEE. BASED UPON THE ADVICE OF THE COMPENSATION CONSULTANT, AND APPLYING THE BOARD'S COMPENSATION PHILOSOPHY, THE COMMITTEE ESTABLISHES THE OVERALL ADJUSTMENT IN COMPENSATION AND BENEFITS FOR THE TOP EXECUTIVES IN THE ENTIRE HEALTH SYSTEM (SEVERAL OF WHICH ARE EMPLOYEES OF THE FILING ORGANIZATION) AND DELEGATES TO THE CEO THE AUTHORITY TO MAKE ADJUSTMENTS, CONSISTENT WITH THE COMMITTEE'S DIRECTION, FOR THE OTHER EXECUTIVES. THE COMMITTEE DETERMINES ALL ASPECTS OF THE COMPENSATION AND BENEFITS OF THE CEO. THE COMMITTEE INTENTIONALLY TAKES ALL THE STEPS NECESSARY TO QUALIFY FOR THE REBUTTABLE PRESUMPTION OF REASONABLENESS UNDER THE FEDERAL INCOME TAX LAW INTERMEDIATE SANCTIONS RULES, INCLUDING CONTEMPORANEOUS SUBSTANTIATION OF ALL COMMITTEE MEETINGS AND ACTIONS. THE ORGANIZATION BELIEVES IT IS IN FULL COMPLIANCE WITH SECTION 4958 OF THE IRC, PROVIDES NO MORE THAN REASONABLE AND FAIR MARKET VALUE COMPENSATION AND BENEFITS FOR ITS EMPLOYEES AND DOES NOT PROVIDE ANY EXCESS COMPENSATION OR BENEFITS AS PROHIBITED BY SECTION 4958. THE REVIEW OF COMPENSATION AND BENEFITS WAS LAST PERFORMED IN DECEMBER 2019 FOR THE FOLLOWING INDIVIDUALS: JANE ARNOLD, LEANNE BURRACK, RUTH COADY, PAMELA DELAGARDELLE, JESSICA MEISNER, JENNIFER OFELT, PATRICK REEVES, TODD RICHARD, MARISSA SMITH, MICHAEL WELSCH, DAVID WILLIAMS, AND MELLISSA WOOD. THE COMPENSATION AND BENEFITS OF THE OTHER PERSONS LISTED ON FORM 990, PART VII WAS ESTABLISHED BY AN INDEPENDENT PERSON/COMMITTEE USING AN INDEPENDENT COMPENSATION CONSULTANT AND/OR COMPENSATION SURVEY OR STUDY FOR SIMILARLY QUALIFED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS. COMPENSATION AND BENEFITS ARE BASED ON THE FAIR MARKET VALUE OF THE SERVICES PROVIDED TO THE ORGANIZATION. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS ARE AVAILABLE UPON REQUEST THROUGH THE IOWA HEALTH SYSTEM, OUR PARENT ORGANIZATION, LEGAL DEPARTMENT. THE ORGANIZATION'S CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE PUBLICLY AVAILABLE ON THE IOWA HEALTH SYSTEM WEBSITE, WWW.UNITYPOINT.ORG. FORM 990, PART XI, LINE 9: CHANGE IN BENEFICIAL INTEREST 148,547. ABBE CENTER FOR COMMUNITY MENTAL HEALTH INC 740 N 15TH AVE NO A HIAWATHA IA 52233 421045257 MENTAL HEALTH CARE IA 501(C)(3) 509(A)(2) ABBEHEALTH INC 0 ABBEHEALTH INC 740 N 15TH AVE NO A HIAWATHA IA 52233 421373123 SUPPORT AFFILIATES' MISSION TO IMPROVE HEALTH CARE IA 501(C)(3) 509(A)(3), TYPE III ST LUKE'S HEALTHCARE 0 AGING SERVICES INC 740 N 15TH AVE NO A HIAWATHA IA 52233 237085316 SENIOR SERVICES IA 501(C)(3) 170(B)(1) (A)(VI) ABBEHEALTH INC 0 ALLEN COLLEGE 1825 LOGAN AVENUE WATERLOO IA 50703 421351526 EDUCATE AND DEVELOP HEALTHCARE PROFESSIONALS IA 501(C)(3) 170(B)(1) (A)(II) ALLEN HEALTH SYSTEMS INC 0 ALLEN HEALTH SYSTEMS INC 1825 LOGAN AVENUE WATERLOO IA 50703 421201924 SUPPORT AFFILIATES' MISSION TO IMPROVE HEALTH CARE IA 501(C)(3) 509(A)(3), TYPE II IOWA HEALTH SYSTEM 0 ALLEN MEMORIAL HOSPITAL CORPORATION 1825 LOGAN AVENUE WATERLOO IA 50703 420698265 HOSPITAL IA 501(C)(3) 170(B)(1) (A)(III) ALLEN HEALTH SYSTEMS INC 0 ANAMOSA AREA AMBULANCE SERVICE 101 GRANT WOOD DRIVE ANAMOSA 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PHYSICAL THERAPY SERVICES IA N/A CENTRAL IOWA SURGICAL SERVICES CO-MANAGEMENT CO LLC 1200 PLEASANT ST DES MOINES IA 50309 471608704 SURGICAL MANAGEMENT & ADMINISTRATIVE SERVICES IA N/A HEALTH CARE AFFILIATES OF THE TRI-STATES LLC 350 N GRANDVIEW AVE DUBUQUE IA 52001 421428503 PROVIDE ACCESS TO LICENSED SOFTWARE IA N/A IOWA DIAGNOSTIC IMAGING AND PROCEDURE CENTER LC 1200 PLEASANT STREET DES MOINES IA 50309 030482623 OUTPATIENT DIAGNOSTIC IMAGING IA N/A IOWA HEALTH SYSTEM CONTRACTING SERVICES LC 1776 WEST LAKES PKWY 400 WEST DES MOINES IA 50266 421511142 GROUP PURCHASING IA N/A LAKEVIEW SURGERY CENTER LC 1200 PLEASANT STREET DES MOINES IA 50309 421516120 SURGERY CENTER IA N/A MERITER UW PHYSICIANS CONTRACTING COMPANY LLC 202 SOUTH PARK STREET MADISON WI 53715 391998819 HEALTH SERVICES WI N/A MIDWEST ORTHOPAEDIC HOSPITAL AT UNITYPOINT HEALTH-PROCTOR LLC 5409 N KNOXVILLE AVE PEORIA IL 61614 843733879 OUTPATIENT ORTHOPEDIC SERVICE LINE MANAGEMENT IL N/A MISSISSIPPI VALLEY SLEEP DISORDER 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AS THE NATION'S 13TH LARGEST NONPROFIT HEALTH SYSTEM, UNITYPOINT HEALTH PROVIDES PROGRESSIVE AND HIGH QUALITY SERVICES ACROSS ITS 9 REGIONS WHICH SPAN IOWA, WESTERN ILLINOIS AND SOUTHERN WISCONSIN. THIS REGIONAL CARE MODEL HAS BEEN SUCCESSFUL IN ACHIEVING STANDARDIZED LEVELS OF PERFORMANCE AND KEEPING CARE LOCAL. WITH $4.6B IN TOTAL OPERATING REVENUE, UNITYPOINT HEALTH EMPLOYS APPROXIMATELY 33,000 TEAM MEMBERS AND OPERATES 20 REGIONAL HOSPITALS, 19 COMMUNITY NETWORK HOSPITALS AND OVER 400 CLINICS. AS A KEY COMPONENT OF UNITYPOINT HEALTH, UNITYPOINT CLINIC IS A 1,100 PROVIDER MULTISPECIALTY GROUP THAT IS BUILT ON THE FOUNDATION OF CARE DELIVERY, INNOVATION AND EXPERIENCE. REPRESENTED BY OVER 40 SPECIALTIES, UPC IS A FORWARD-THINKING DELIVERY PROVIDER AND IS ON THE LEADING EDGE OF CARE DELIVERY WITH ITS TELEHEALTH, AMBULATORY AND URGENT CARE PROGRAMS. THE DIVERSIFIED HEALTH SYSTEM ALSO INCLUDES UNITYPOINT ACCOUNTABLE CARE, UNITYPOINT HEALTH COLLEGES, UNITYPOINT AT HOME AND EXTENDS HEALTH COVERAGE THROUGH THE HEALTHPARTNERS UNITYPOINT INSURANCE PLAN.