2019-11-15T21:57:33-06:00 2018-12-31 990 2018-01-01 362167779 ADVOCATE HEALTH CARE NETWORK ADVO 6309295543 3075 HIGHLAND PARKWAY NO 600 DOWNERS GROVE IL 60515 RACHEL HALVERSON VP TAX & ACCTG SVCS 6309295543 2019-11-15 168.235.62.145 2019-11-15 19:45:27 CS P 7E530C01EC0DBF1FFF79A5BAD1379F9D370DED1E 934115C41A372782CAA2C37E99928821B09BF6A8 2018 2020-04-17 16:48:07Z JAMES SKOGSBERGH 3075 HIGHLAND PARKWAY NO 600 DOWNERS GROVE IL 60515 140770201 0 9395 X WWW.ADVOCATEHEALTH.COM X 1923 IL THE MISSION OF ADVOCATE HEALTH CARE IS TO SERVE THE HEALTH NEEDS OF INDIVIDUALS, FAMILIES AND COMMUNITIES THROUGH A PHILOSOPHY ROOTED IN OUR FUNDAMENTAL UNDERSTANDING OF HUMAN BEINGS AS CREATED IN THE IMAGE OF GOD. 14 12 0 0 0 0 0 0 0 0 21306694 12044558 2315 800 21309009 12045358 11000000 85885882 0 0 8843 10618 0 0 0 1863317 12605335 12872160 98501835 8436849 -86456477 567941963 477028870 154180 350680 567787783 476678190 THE MISSION OF ADVOCATE HEALTH CARE IS TO SERVE THE HEALTH NEEDS OF INDIVIDUALS, FAMILIES AND COMMUNITIES THROUGH A WHOLISTIC PHILOSOPHY ROOTED IN OUR FUNDAMENTAL UNDERSTANDING OF HUMAN BEINGS AS CREATED IN THE IMAGE OF GOD. 0 0 97386645 85885882 ADVOCATE HEALTH CARE NETWORK PROVIDES LEADERSHIP CONTROL AND SUPPORT TO ADVOCATE HEALTH AND HOSPITALS CORPORATION, ADVOCATE HOME HEALTH SERVICES, INC., ADVOCATE CHARITABLE FOUNDATION, ADVOCATE NORTH SIDE HEALTH NETWORK, MERIDIAN HOSPICE, ADVOCATE CONDELL MEDICAL CENTER, ADVOCATE SHERMAN HOSPITAL AND SHERMAN WEST COURT. 97386645 1 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 14 12 1 0 0 0 0 0 1 1 1 0 0 1 1 1 1 1 1 0 0 0 X ADVOCATE AURORA HEALTH 6309296057 3075 HIGHLAND PARKWAY SUITE 600 DOWNERS GROVE IL 60515 CLARENCE NIXON JR PHD DIRECTOR 1.00 1.00 X 0 10000 0 DAVID ANDERSON DIRECTOR 1.00 1.00 X 0 84966 0 GAIL D HASBROUCK DIRECTOR 1.00 1.00 X 0 430963 46 GARY STUCK DO DIRECTOR 1.00 55.00 X X 0 218973 21996 JAMES SKOGSBERGH PRESIDENT & CEO, DIRECTOR 1.00 55.00 X X 0 8463174 48481 JOHN TIMMER DIRECTOR 1.00 1.00 X 0 74966 0 JOSE ARMARIO DIRECTOR 1.00 1.00 X 0 0 0 LYNN CRUMP-CAINE DIRECTOR 1.00 1.00 X 0 62300 0 MARK HARRIS DIRECTOR 1.00 1.00 X 0 42700 0 MICHELE BAKER RICHARDSON CHAIRPERSON, DIRECTOR 1.00 1.00 X X 0 90966 0 REV DR JORGE MORALES DIRECTOR 1.00 0.00 X 0 0 0 REV DR NATHANIEL EDMOND DIRECTOR 1.00 1.00 X 0 4000 0 REV JUSTO GONZALEZ II DIRECTOR 1.00 0.00 X 0 0 0 REV WAYNE MILLER DIRECTOR 1.00 0.00 X 0 0 0 K RICHARD JAKLE VICE CHAIRPERSON, DIRECTOR 1.00 1.00 X X 0 78966 0 RON GREENE DIRECTOR 1.00 1.00 X 0 11500 0 RONALD MALLICOAT JR DIRECTOR 1.00 1.00 X 0 0 0 BARBARA BYRNE MD SVP, CHIEF INFORMATION OFFICER 1.00 55.00 X 0 971920 120421 DOMINIC J NAKIS SVP, CFO & TREASURER 1.00 55.00 X 0 2635976 53865 EARL J BARNES II SVP, GENERAL COUNSEL & SECRETARY 1.00 55.00 X 0 1960426 152541 JAMES DOHENY VP, CONTROLLER & ASST TREASUER 1.00 55.00 X 0 518656 53917 JAMES SLINKMAN ASSISTANT SECRETARY 1.00 55.00 X 0 393448 59213 KELLY JO GOLSON SVP, CHIEF MARKETING OFFICER 1.00 55.00 X 0 1186912 28087 KEVIN BRADY SVP, CHIEF HUMAN RESOURCES OFFICER 1.00 55.00 X 0 1795883 63605 LAURA MERTEN INTERIM CHEIF COMPLICANCE OFFICER 1.00 55.00 X 0 186184 32182 LEE B SACKS MD EVP, CHIEF MEDICAL OFFICER 1.00 55.00 X 0 3488609 50288 LESLIE LENZO ASSISTANT SECRETARY 1.00 55.00 X 0 646273 41758 MICHAEL GREBE ASSISTANT SECRETARY 1.00 55.00 X 0 995402 90670 MICHAEL KERNS ASSISTANT SECRETARY 1.00 55.00 X 0 420969 60895 MIKE LAPPIN SECRETARY 1.00 55.00 X 0 1927178 143340 NAN NELSON ASSISTANT SECRETARY 1.00 55.00 X 0 920042 84115 RACHELLE HART ASSISTANT SECRETARY 1.00 55.00 X 0 626395 40485 REV KATHIE BENDER SCHWICH SVP, MISSION & SPIRITUAL CARE 1.00 55.00 X 0 824646 101437 SCOTT POWDER SVP, CHIEF STRATEGY OFFICER 1.00 55.00 X 0 1379724 50432 STEVE HUSER ASSISTANT SECRETARY 1.00 55.00 X 0 337534 44422 SUSAN CAMPBELL SVP OF PATIENT CARE, CHIEF NURSING OFFICER 1.00 55.00 X 0 2064210 83508 VINCENT BUFALINO MD PRESIDENT OF PHYS & AMB SVCS/ AMG 1.00 55.00 X 0 1886580 52227 WILLIAM P SANTULLI EVP, CHEIF OPERATING OFFICER 1.00 55.00 X 0 3965389 50170 BRUCE D SMITH SVP, FORMER CHIEF INFORMATION OFFICER 0.00 0.00 X 0 508520 46 0 39214350 1528147 0 1 1 0 0 6340259 6340259 134429142 128724843 5704299 5704299 5704299 MISCELLANEOUS 900099 800 800 800 12045358 0 0 12045358 85885882 85885882 10618 10618 1115190 1115190 OTHER INTERCOMPANY 11490145 11490145 98501835 97386645 1115190 0 3922776 3964559 72785000 66360000 306099965 221627211 184196490 184196490 937732 880610 567941963 477028870 0 185882 154180 164798 154180 350680 X 567787783 476678190 567787783 476678190 567941963 477028870 -86456477 -4653116 0 X 0 1 X 1 0 X X 9 ADV HEALTH & HOSP CORP 362169147 3 1 0 0 ADV HOME HLTH SVCS INC 362913108 10 0 0 0 ADV CHARITABLE FOUND 363297360 7 0 10885882 0 ADV NORTH SIDE HLTH NTWK 363196629 3 0 0 0 MERIDIAN HOSPICE 363158667 10 0 0 0 ADV CONDELL MED CTR 262525968 3 0 0 0 ADV SHERMAN HOSPITAL 362167920 3 0 0 0 SHERMAN WEST COURT 363725580 10 0 0 0 EVANGELICAL SERVICES CORP 363208101 10 0 75000000 0 9 85885882 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 X 1 1 PART I, LINE 12G AHCN PROVIDES MANAGEMENT AND OVERSIGHT TO ITS SUPPORTED ORGANIZATIONS THROUGH ITS VARIOUS COMMITTEES. AHCN PROVIDES LEADERSHIP AND CONTROL BY REVIEWING AND APPROVING STRATEGIC PLANS AND OPERATING BUDGETS OF ITS SUPPORTED ORGANIZATIONS SO THAT THOSE ORGANIZATIONS CAN CARRY OUT THEIR MISSION TO SERVE THE HEALTH NEEDS OF INDIVIDUALS AND COMMUNITIES WITH A HIGH QUALITY, COORDINATED HEALTH CARE DELIVERY SYSTEM. PART IV, SECTION A, LINE 1: NOT ALL OF THE ORGANIZATIONS SUPPORTED BY AHCN ARE LISTED BY NAME, BUT THEY ARE REFERENCED IN THE ORGANIZATION'S BY-LAWS BY TYPE. THE BY-LAWS STATE THAT AHCN'S PURPOSE IS "TO PROMOTE, SUPPORT, BENEFIT, DEVELOP AND PERFORM THE FUNCTIONS OF ADVOCATE HEALTH AND HOSPITALS CORPORATION, ITS SUCCESSOR(S) AND OTHER ORGANIZATIONS DESCRIBED IN SECTIONS 509(A)(1) OR 509(A)(2) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE "CODE") (SUCH CORPORATIONS, THEIR SUCCESSORS AND OTHER ORGANIZATIONS ARE COLLECTIVELY REFERRED TO HEREIN AS THE ORGANIZATIONS"), BY OPERATING AND PROVIDING LEADERSHIP, CONTROL AND SUPPORT IN THE PROVISION OF A HIGH QUALITY, COMPREHENSIVE, COORDINATED HEALTH DELIVERY SYSTEM FOR THE BENEFIT OF THE ORGANIZATIONS." THIS ORGANIZATION HAS A HISTORIC AND CONTINUING RELATIONSHIP WITH 509(A)(1) AND 509(A)(2) ORGANIZATIONS THAT ARE PART OF THE ADVOCATE SYSTEM. PART IV, SECTION D, LINE 3: THE SUBSIDIARY SUPPORTED ORGANIZATIONS HAVE A SIGNIFICANT VOICE IN DIRECTING THE USE OF AHCN'S RESOURCES THROUGH THE BUDGETING AND FINANCIAL PLANNING PROCESS. THE OPERATING AND CAPITAL BUDGETS FOR THE SUBSIDIARIES ARE CREATED AT A SUBSIDIARY LEVEL AND ARE THEN CONSOLIDATED INTO THE SYSTEM BUDGET. THE FINAL SYSTEM BUDGET TAKES INTO ACCOUNT THE NEEDS AND PRIORITIES OF THE VARIOUS SUBSIDIARIES IN CARRYING OUT THEIR HEALTH CARE MINISTRY. THROUGH THIS BUDGETING AND MANAGEMENT PROCESS, AHCN OBTAINS THE INPUT NECESSARY TO APPROPRIATELY ALLOCATE THE SYSTEM'S RESOURCES. THE INVESTMENT POLICY OF THE ORGANIZATION IS STRUCTURED TO ALLOW THE SYSTEM TO INVEST ITS RESOURCES TO PROVIDE THE FUNDS NECESSARY TO FUND THE NEEDS AND PRIORITIES OF THE SYSTEM. PART IV, SECTION E, LINE 3A: AHCN HAS DIRECT RIGHTS TO APPOINT THE BOARD MEMBERS OF 3 OUT OF THE 8 ORGANIZATIONS LISTED AS SUPPORTED ORGANIZATIONS ON SCHEDULE A, PART I, LINE 12G. THESE THREE ORGANIZATIONS ARE THE SOLE CORPORATE MEMBERS OF THE REMAINING LIVE ORGANIZATIONS LISTED AS SUPPORTED ORGANIZATIONS ON SCHEDULE A, PART I, LINE 11G, AND THEREFORE HAVE THE RIGHT TO APPOINT THE BOARD MEMBERS OF THEIR RESPECTIVE SUBSIDIARIES. CONSEQUENTLY, AHCN HAS INDIRECT RIGHTS TO APPOINT THE BOARD MEMBERS OF THESE 5 ORGANIZATIONS. PART IV, SECTION E, LINE 3B: THROUGH ITS VARIOUS COMMITTEES, AHCN EXERCISES A SUBSTANTIAL DEGREE OF DIRECTION OVER THE POLICIES, PROGRAMS AND ACTIVITIES OF ITS SUPPORTED ORGANIZATIONS. FOR EXAMPLE, THE PLANNING COMMITTEE APPROVES STRATEGIC PLANS AND DIRECTIONS FOR EACH SUPPORTED ORGANIZATION, THE FINANCE COMMITTEE REVIEWS AND APPROVES BUDGET AND PROCESS FOR EACH SUPPORTED ORGANIZATION, AND THE COMPENSATION COMMITTEE APPROVES ALL EXECUTIVE COMPENSATION FOR EACH SUPPORTED ORGANIZATION. IN ADDITION, THE ORGANIZATION HAS CENTRAL CONFLICT OF INTEREST AND WHISTLEBLOWER POLICIES AND PROCEDURES. 0 0 INVESTMENT IN ESC 184196490 F 184196490 DEFERRED COMPENSATION - LGBG 112002 ACCRUED INT DEF COMP 52796 164798 EUROPE (INCLUDING ICELAND AND GREENLAND) INVESTMENTS 4623 0 0 0 0 0 0 4623 0 4623 1 0 1 1 1 0 1 ADVOCATE CHARITABLE FOUNDATION 3075 HIGHLAND PARKWAY DOWNERS GROVE IL 60515 363297360 501(C)(3) 10885882 SUPPORT EXEMPT MISSION EVANGELICAL SERVICES CORPORATION 3075 HIGHLAND PARKWAY DOWNERS GROVE IL 60515 363208101 N/A 75000000 ORGANIZATION SUPPORT 2 X 0 0 X X X X X 1 1 0 0 0 0 0 0 0 GAIL D HASBROUCK DIRECTOR 0 0 0 420963 0 10000 0 0 0 46 0 431009 0 0 GARY STUCK DO DIRECTOR 0 201923 0 0 0 17050 0 18342 0 3654 0 240969 0 0 JAMES SKOGSBERGH PRESIDENT & CEO, DIRECTOR 0 1755408 0 4987464 0 1720302 0 25167 0 23314 0 8511655 0 0 BARBARA BYRNE MD SVP, CHIEF INFORMATION OFFICER 0 543138 0 392739 0 36043 0 104100 0 16321 0 1092341 0 0 DOMINIC J NAKIS SVP, CFO & TREASURER 0 786099 0 1330444 0 519433 0 25167 0 28698 0 2689841 0 0 EARL J BARNES II SVP, GENERAL COUNSEL & SECRETARY 0 222375 0 921732 0 816319 0 116930 0 35611 0 2112967 0 0 JAMES DOHENY VP, CONTROLLER & ASST TREASUER 0 376465 0 105297 0 36894 0 25167 0 28750 0 572573 0 0 JAMES SLINKMAN ASSISTANT SECRETARY 0 292415 0 49932 0 51101 0 25167 0 34046 0 452661 0 0 KELLY JO GOLSON SVP, CHIEF MARKETING OFFICER 0 453198 0 498224 0 235490 0 25167 0 2920 0 1214999 0 0 KEVIN BRADY SVP, CHIEF HUMAN RESOURCES OFFICER 0 557230 0 893542 0 345111 0 25167 0 38438 0 1859488 0 0 LAURA MERTEN INTERIM CHEIF COMPLICANCE OFFICER 0 146336 0 24088 0 15760 0 16741 0 15441 0 218366 0 0 LEE B SACKS MD EVP, CHIEF MEDICAL OFFICER 0 536909 0 1344960 0 1606740 0 33417 0 16871 0 3538897 0 0 LESLIE LENZO ASSISTANT SECRETARY 0 525002 0 105297 0 15974 0 22417 0 19341 0 688031 0 0 MICHAEL GREBE ASSISTANT SECRETARY 0 534832 0 279350 0 181220 0 90670 0 0 0 1086072 0 39171 MICHAEL KERNS ASSISTANT SECRETARY 0 324582 0 70419 0 25968 0 25167 0 35728 0 481864 0 0 MIKE LAPPIN SECRETARY 0 724919 0 856997 0 345262 0 123330 0 20010 0 2070518 0 106199 NAN NELSON ASSISTANT SECRETARY 0 456961 0 346675 0 116406 0 83023 0 1092 0 1004157 0 62829 RACHELLE HART ASSISTANT SECRETARY 0 475246 0 147547 0 3602 0 20475 0 20010 0 666880 0 0 REV KATHIE BENDER SCHWICH SVP, MISSION & SPIRITUAL CARE 0 265612 0 390634 0 168400 0 25167 0 76270 0 926083 0 0 SCOTT POWDER SVP, CHIEF STRATEGY OFFICER 0 503510 0 610805 0 265409 0 25167 0 25265 0 1430156 0 0 STEVE HUSER ASSISTANT SECRETARY 0 289104 0 45426 0 3004 0 31275 0 13147 0 381956 0 0 SUSAN CAMPBELL SVP OF PATIENT CARE, CHIEF NURSING O 0 202493 0 803366 0 1058351 0 67400 0 16108 0 2147718 0 0 VINCENT BUFALINO MD PRESIDENT OF PHYS & AMB SVCS/ AMG 0 581015 0 931954 0 373611 0 25167 0 27060 0 1938807 0 0 WILLIAM P SANTULLI EVP, CHEIF OPERATING OFFICER 0 1073245 0 2114312 0 777832 0 25167 0 25003 0 4015559 0 0 BRUCE D SMITH SVP, FORMER CHIEF INFORMATION OFFICE 0 0 0 508520 0 0 0 0 0 46 0 508566 0 0 SCHEDULE J, PART I, LINE 1A KATHIE S. BENDER SCHWICH RECEIVED A HOUSING ALLOWANCE IN THE AMOUNT OF $50,000. SCHEDULE J, PART I, LINE 4A EARL J. BARNES II, FORMER ASSISTANT SECRETARY, RECEIVED A SERVERANCE PAYMENT IN THE AMOUNT OF $116,346 AND A LUMP SUM SEVERANCE PAYMENT OF $507,308. SUSAN CAMPBELL, FORMER DIRECTOR, RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $95,192 AND A LUMP SUM SEVERANCE PAYMENT OF $273,658. LEE B. SACKS, FORMER CHIEF MEDICAL OFFICER, RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $52,885 AND A LUMP SUM SEVERANCE PAYMENT OF $1,037,706. THESE PAYMENTS HAVE ALL BEEN REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III). SCHEDULE J, PART I, LINE 4B ADVOCATE PROVIDES A TARGET REPLACEMENT SENIOR EXECUTIVE RETIREMENT PLAN. THE CONTRIBUTIONS TO THIS PLAN ARE VESTED AND TAXABLE AFTER FIVE YEARS OF SERVICE. THE FOLLOWING EMPLOYEES ARE VESTED IN THE PLAN AND THEREFORE THE CONTRIBUTIONS ARE REPORTED AS COMPENSATION ON THE W-2: EARL J. BARNES II $161,281, KATHIE S. BENDER SCHWICH $96,607, KEVIN R. BRADY $193,428, VINCENT J. BUFALINO $201,425, BARBARA P. BYRNE $104,100, SUSAN CAMPBELL 524,114, KELLY JO GOLSON $129,294, DOMINIC NAKIS $281,176, SCOTT A. POWDER $149,513, LEE B. SACKS 266,143, WILLIAM P. SANTULLI $417,996, JAMES H. SKOGSBERGH $888,730. THE FOLLOWING EMPLOYEES HAVE NOT YET VESTED AND THEREFORE THE CONTRIBUTIONS ARE REPORTED AS DEFERRED COMPENSATION: EARL J. BARNES II $108,830, SUSAN CAMPBELL, $36,733, AND GARY D. STUCK $18,342. FORM 990, PART VI, SECTION A, LINE 1 THE ORGANIZATION'S BYLAWS PROVIDE THAT THE EXECUTIVE COMMITTEE HAS AUTHORITY TO ACT ON BEHALF OF THE BOARD. THE EXECUTIVE COMMITTEE IS ACCOUNTABLE AS A BODY TO THE BOARD OF DIRECTORS. THE EXECUTIVE COMMITTEE SHALL HAVE NINE MEMBERS, CONSISTING OF THE CHAIRPERSON, THE VICE CHAIRPERSON, THE PRESIDENT, THE CHAIRPERSONS OF THE FINANCE, PLANNING, HEALTH OUTCOMES AND MISSION AND SPIRITUAL CARE COMMITTEES, AND TWO OTHER DIRECTORS. THE PAST CHAIRPERSON OF THE BOARD OF DIRECTORS MAY SERVE AS AN EX-OFFICIO MEMBER OF THE COMMITTEE, WITH VOTE. EACH OF THE EXECUTIVE COMMITTEE'S MEMBERS IS ON THE BOARD. THE SCOPE OF THE EXECUTIVE COMMITTEE'S AUTHORITY INCLUDES: (A) NOMINATE CANDIDATES FOR ELECTION AS THE CHAIRPERSON AND VICE CHAIRPERSON OF THE BOARD; (B) BE RESPONSIBLE FOR PLANNING EDUCATIONAL PROGRAMS FOR THE BOARD OF DIRECTORS; (C) CONDUCT AN EVALUATION OF THE MEMBERS OF THE BOARD OF DIRECTORS; (D) HAVE SUCH AUTHORITY AS SHALL BE DELEGATED BY THE BOARD OF DIRECTORS; AND (E) ACT ON BEHALF OF THE BOARD OF DIRECTORS BETWEEN MEETINGS. FORM 990, PART VI, SECTION A, LINE 2 AS JAMES DAN, M.D., VINCENT BUFALINO, M.D., GAIL HASBROUCK, EARL BARNES II, JAMES DOHENY, AND DOMINIC NAKIS ARE EITHER DIRECTORS OR OFFICERS OF WHOLLY OWNED ADVOCATE ENTITIES, THEY ARE DEEMED TO HAVE A BUSINESS RELATIONSHIP PURSUANT TO THE INSTRUCTIONS FOR FORM 990. AS JAMES DAN, M.D., VINCENT BUFALINO, M.D., AND LEE SACKS, M.D. ARE EITHER DIRECTORS OR OFFICERS OF WHOLLY OWNED ADVOCATE ENTITIES, THEY ARE DEEMED TO HAVE A BUSINESS RELATIONSHIP PURSUANT TO THE INSTRUCTIONS FOR FORM 990. AS JAMES DAN, M.D., VINCENT BUFALINO, M.D., GAIL HASBROUCK, EARL BARNES II, JAMES DOHENY, SCOTT POWDER, AND WILLIAM SANTULL ARE EITHER DIRECTORS OR OFFICERS OF WHOLLY OWNED ADVOCATE ENTITIES, THEY ARE DEEMED TO HAVE A BUSINESS RELATIONSHIP PURSUANT TO THE INSTRUCTIONS FOR FORM 990. FORM 990, PART VI, SECTION A, LINE 7B ANY PROPOSED AMENDMENT TO CERTAIN SECTIONS OF THE BYLAWS SHALL REQURE THE BISHOP OF THE CHICAGO METROPOLITAN SYNOD AND THE ILLINOIS CONFERENCE MINISTER OF THE UNITED CHURCH OF CHRIST ("UCC") TO PROVIDE APPROVAL PRIOR TO RATIFICATION BY A MAJORITY VOTE OF THE UCC AND EVANGELICAL LUTHERAN CHURCH IN AMERICA ("ELCA") DIRECTORS THEN IN OFFICE VOTING FOR SUCH CHANGE. FURTHER, PRIOR TO THE BOARD'S CONSIDERATION OF SUCH AMENDMENTS, THE APPROVAL OF THE ELCA AND THE ILLINOIS UCC CONFERENCE COUNCIL SHALL BE OBTAINED. FORM 990, PART VI, SECTION B, LINE 11B ADVOCATE'S TAX PREPARATION PROCESS INCLUDES ONGOING CONSULTATION WITH ITS OUTSIDE TAX CONSULTING FIRM AND TAX LEGAL COUNSEL, BOTH OF WHICH POSSESS EXPERTISE IN HEALTH CARE AND TAX-EXEMPT RETURN PREPARATION, TO ADVISE AND ASSIST WITH PREPARATION OF THE FORM 990. THESE ADVISORS WORKED CLOSELY WITH THE ORGANIZATION'S FINANCE, TAX, AND LEGAL ASSOCIATES AND OTHER MEMBERS OF THE ORGANIZATION'S TEAM ASSEMBLED TO PARTICIPATE IN THE PREPARATION OF THE FORM 990. THE FORM 990 IS REVIEWED BY FINANCE MANAGEMENT, THE TAX MANAGER, THE VP OF FINANCE/CORPORATE CONTROLLER, THE CHIEF FINANCIAL OFFICER, AND ADVOCATE'S OUTSIDE TAX CONSULTING FIRM AND TAX LEGAL COUNSEL. PRIOR TO PRESENTING THE FORM 990 TO THE BOARD OF DIRECTOR'S AUDIT COMMITTEE IN NOVEMBER, THE ORGANIZATION'S TEAM, INCLUDING ITS ADVISORS, MET FREQUENTLY TO DISCUSS AND REVIEW DRAFTS OF THE FORM 990. AT THE NOVEMBER AUDIT COMMITTEE MEETING, THE VP OF FINANCE/CORPORATE CONTROLLER AND CHIEF FINANCIAL OFFICER COORDINATED A REVIEW OF THE FORM 990 WITH COMMITTEE MEMBERS, AS THE AUDIT COMMITTEE IS THE COMMITTEE OF THE BOARD OF DIRECTORS CHARGED WITH OVERSIGHT OF AUDIT AND TAX MATTERS. THE VP OF FINANCE/CORPORATE CONTROLLER AND CHIEF FINANCIAL OFFICER RESPONDED TO THE AUDIT COMMITTEE MEMBERS' QUESTIONS AND PROVIDED THE OPPORTUNITY FOR DETAILED DISCUSSION OF THE FORM 990. THE CHANGES IDENTIFIED WERE INCORPORATED, AND THEN A COMPLETE COPY OF THE FINAL FORM 990 WAS PROVIDED TO EACH MEMBER OF THE ORGANIZATION'S BOARD OF DIRECTORS BEFORE THE FORM 990 WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION'S CONFLICT OF INTEREST POLICY APPLIES TO VARIOUS PEOPLE, INCLUDING MEMBERS OF ADVOCATE'S BOARD OF DIRECTORS, GOVERNING COUNCILS, OFFICERS, ASSOCIATES, VOLUNTEERS, AND MEDICAL STAFF MEMBERS WITH ADMINISTRATIVE RESPONSIBILITIES. ANNUALLY, THE COMPLIANCE DEPARTMENT SENDS THIS POLICY AND THE ADVOCATE CODE OF BUSINESS CONDUCT TO A RANGE OF INDIVIDUALS WHO MAY BE IN A POSITION TO EXERCISE SUBSTANTIAL INTEREST OVER A PARTICULAR MATTER (DEFINIED AS "INTERESTED PERSONS"). THEY ARE REQUIRED TO READ THE POLICIES AND PROVIDE A DISCLOSURE STATEMENT TO THE COMPLIANCE DEPARTMENT, WHICH IDENTIFIES ACTIVITIES AND RELATIONSHIPS THAT COULD POTENTIALLY GIVE RISE TO A CONFLICT OF INTEREST. THE CHIEF COMPLIANCE OFFICER REVIEWS THE DISCLOSURES AND PROVIDES A REPORT TO THE SYSTEM BUSINESS CONDUCT (COMPLIANCE) COMMITTEE, EXECUTIVE MANAGEMENT TEAM AND THE AUDIT COMMITTEE OF THE BOARD FOR REVIEW. THE REPORT IS THEN PROVIDED, IN RELEVANT PART, TO THE SITE CHIEF EXECUTIVE OFFICERS. POTENTIAL CONFLICTS ARE REVIEWED BY THE COMPLIANCE DEPARTMENT ON A CASE BY CASE BASIS. FOLLOW UP PROCEDURES CONDUCTED ARE UNIQUE TO THE GIVEN CIRCUMSTANCE, AND MAY INCLUDE REVIEWING THE POTENTIAL CONFLICT WITH THE INTERESTED PERSON, OR INVESTIGATING THE MATTER IN CONSULTATION WITH THE INTERESTED PERSON'S SUPERVISOR AND/OR SITE MANAGEMENT. IN CIRCUMSTANCES WHERE THE INTERESTED PERSON IS NOT A MEMBER OF THE BOARD, OR GOVERNING COUNCIL, OR A COMMITTEE THEREOF, OR A PERSON OF INTEREST, IF IT IS DETERMINED THAT THERE IS AN ACTUAL CONFLICT OF INTEREST, THE SUPERVISOR OF THE INDIVIDUAL IS RESPONSIBLE FOR MAKING AN APPROPRIATE RESPONSE, POTENTIALLY INCLUDING A RESTRICTION OF THE INDIVIDUAL'S JOB DUTIES WITH RESPECT TO THE MATTER GIVING RISE TO THE CONFLICT. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC THROUGH THE FOLLOWING WEBSITES: ADVOCATEHEALTH.COM, DACBOND.COM (DIGITAL ASSURANCE CERTIFICATION, LLC), EMMA.MSRB.ORG (ELECTRONIC MUNICIPAL MARKET ACCESS). THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS OR CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. ADVOCATE GROUP PURCHASING LLC 1900 SPRING ROAD OAK BROOK IL 60523 363786091 PURCHASING SVCS IL ADVOCATE CHARITABLE FOUNDATION 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363297360 FUNDRAISING IL 501(C)(3) LINE 7 AHCN 1 ADVOCATE HEALTH AND HOSPITALS CORPORATION 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 362169147 HEALTH CARE IL 501(C)(3) LINE 3 AHCN 1 EHS HOME HEALTH CARE SERVICE INC 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 362913108 HOME CARE IL 501(C)(3) LINE 10 AHHC 0 ADVOCATE NORTH SIDE HEALTH NETWORK 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363196629 HEALTH CARE IL 501(C)(3) LINE 3 AHHC 0 ADVOCATE CONDELL MEDICAL CENTER 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 262525968 HEALTH CARE IL 501(C)(3) LINE 3 AHHC 0 MERIDIAN HOSPICE 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363158667 HOSPICE CARE IL 501(C)(3) LINE 10 EHSHHCS 0 HISPANO CARE INC 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363606486 HEALTH CARE IL 501(C)(3) LINE 10 ANSHN 0 ADVOCATE SHERMAN HOSPITAL 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 362167920 HEALTH CARE IL 501(C)(3) LINE 3 AHCN 1 SHERMAN WEST COURT 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363725580 NURSING CARE IL 501(C)(3) LINE 10 ASH 0 RAVENSWOOD HEALTH CARE FOUNDATION 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 363196628 FUNDRAISING IL 501(C)(3) LINE 12B, II N/A 0 MASONIC FAMILY HEALTH FOUNDATION INC 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 364397387 FUNDRAISING IL 501(C)(3) LINE 12A, I MFHS 0 ADVOCATE AURORA HEALTH INC 3075 HIGHLAND PKWY SUITE 600 DOWNERS GROVE IL 60515 824184596 SUPPORTING ORG DE 501(C)(3) LINE 12C, III-FI N/A 0 SEE PART VII IL 0 0 ADV HOME CARE PRODUCTS INC 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 363315416 HEALTH SERVICES IL N/A C 0 DREYER CLINIC INC 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 362690329 MEDICAL SERVICES IL N/A C 0 BROMENN PHYS MGMT CORP 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 371313150 MEDICAL SERVICES IL N/A C 0 EVANGELICAL SERVICES CORPORATION 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 363208101 MGMT SERVICES IL AHCN C -11794560 271110262 1.00000 1 HIGH TECHNOLOGY INC 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 363368224 MEDICAL SERVICES IL N/A C 0 PARKSIDE CENTER CONDO ASSOC 1775 W DEMPSTER ST PARK RIDGE IL 60068 363452486 PROP MGMT IL N/A C 0 ADVOCATE INSURANCE SPC 878 W BAY RD PO BOX 1159 GRAND CAYMAN CJ 980422925 INSURANCE CJ N/A C 0 ADVOCATE HPN NFP 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 810893878 HLTH IMPR. MGMT IL N/A C 0 THE DELPHI GROUP IV INC 1425 N RANDALL RD ELGIN IL 60123 364017279 HLTH COST MGMT IL N/A C 0 SHERMAN VENTURES INC 3075 HIGHLAND PKWY DOWNERS GROVE IL 60515 364292309 HOLDING CO IL N/A C 0 ADVOCATE HEALTH PARTNERS 1701 W GOLF RD ROLLING MEADOWS IL 60008 364032117 HEALTH CARE MGMT IL N/A C 775779 102522392 0.50000 1 ADV PHYS PTNR ACCT CARE 1701 W GOLF RD ROLLING MEADOWS IL 60008 455498384 HEALTH CARE MGMT IL N/A C 0 ADV PHYS PTNR RISK PURCH GR 1701 W GOLF RD ROLLING MEADOWS IL 60008 383914173 GROUP MALPRACTICE SERVICES IL N/A C 0 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 ADVOCATE SHERMAN HOSPITAL A 3318454 COST ADVOCATE CHARITABLE FOUNDATION B -10885882 COST ADVOCATE SHERMAN HOSPITAL E 6425000 COST ADVOCATE HEALTH & HOSPITALS CORP P 128482 COST SCHEDULE R, PART III, LINE 1 DREYER MERCY AMBULATORY SURGERY CENTER PARTNERSHIP, 36-3890298; 2357 SEQUOIA DRIVE, AURORA, IL 60506; PRIMARY ACTIVITY: MEDICAL SERVICES