2018-11-15T00:25:35-06:00 2017-12-31 346565596 ERNST & YOUNG US LLP 560 MISSION STREET SUITE 1600 SAN FRANCISCO CA 94105 990 2017-01-01 954291515 JOHN WAYNE CANCER INSTITUTE JOHN 3108298411 2200 SANTA MONICA BLVD SANTA MONICA CA 90404 MARCEL LOH CEO 3108298411 2018-11-14 1 EVA NITTA P01286320 4158948000 198.134.52.73 2018-11-14 15:17:58 PS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 F9954457A230D2217538EB78B690AB1CFA3B7FEF 2017 2019-02-21 02:37:17Z MARCEL LOH 2200 SANTA MONICA BLVD SANTA MONICA CA 90404 11341512 0 X WWW.JWCI.ORG X 1992 CA SEE SCHEDULE OAS EXPRESSIONS OF GOD'S HEALING LOVE, WITNESSED THROUGH THE MINISTRY OF JESUS, WE ARE STEADFAST IN SERVING ALL, ESPECIALLY THOSE WHO ARE POOR AND VULNERABLE. 12 12 86 29 0 0 6858557 7606052 870195 3575914 -617 40684 250064 118862 7978199 11341512 4000 154467 0 0 6918302 6970099 0 0 0 6278234 7089243 13200536 14213809 -5222337 -2872297 6503813 7984777 15116690 18437569 -8612877 -10452792 X AS EXPRESSIONS OF GOD'S HEALING LOVE, WITNESSED THROUGH THE MINISTRY OF JESUS, WE ARE STEADFAST IN SERVING ALL, ESPECIALLY THOSE WHO ARE POOR AND VULNERABLE. 0 0 2910302 0 0 SEE SCHEDULE OPROVIDENCE ST. JOSEPH HEALTH SYSTEMON JULY 1, 2016, PROVIDENCE HEALTH & SERVICES (PHS) AND ST. JOSEPH HEALTH SYSTEM (SJHS) ENTERED INTO A BUSINESS COMBINATION AGREEMENT. BY COMING TOGETHER, PROVIDENCE ST. JOSEPH HEALTH SEEKS TO BETTER SERVE ITS COMMUNITIES THROUGH GREATER PATIENT AFFORDABILITY, OUTSTANDING CLINICAL CARE, IMPROVEMENTS TO THE PATIENT EXPERIENCE AND INTRODUCTION OF NEW SERVICES WHERE THEY ARE NEEDED MOST. TOGETHER, OUR CAREGIVERS SERVE IN 50 HOSPITALS, 829 CLINICS ACROSS ALASKA, CALIFORNIA, MONTANA, NEW MEXICO, OREGON, TEXAS AND WASHINGTON.THE FOUNDERS OF BOTH ORGANIZATIONS WERE COURAGEOUS WOMEN AHEAD OF THEIR TIME. THE SISTERS OF PROVIDENCE AND THE SISTERS OF ST. JOSEPH OF ORANGE BROUGHT HEALTH CARE AND OTHER SOCIAL SERVICES TO THE AMERICAN WEST WHEN IT WAS STILL A RUGGED, UNTAMED FRONTIER. NOW, AS WE FACE A DIFFERENT LANDSCAPE - A CHANGING HEALTH CARE ENVIRONMENT - WE DRAW UPON THEIR PIONEERING AND COMPASSIONATE SPIRIT TO PLAN FOR THE NEXT CENTURY OF HEALTH CARE.PROVIDENCE HEALTH & SERVICESIN 1856, MOTHER JOSEPH AND FOUR SISTERS OF PROVIDENCE ESTABLISHED HOSPITALS, SCHOOLS AND ORPHANAGES ACROSS THE NORTHWEST. OVER THE YEARS, OTHER CATHOLIC SISTERS TRANSFERRED SPONSORSHIP OF THEIR MINISTRIES TO PROVIDENCE, INCLUDING THE LITTLE COMPANY OF MARY, DOMINICANS AND CHARITY OF LEAVENWORTH. RECENTLY, SWEDISH HEALTH SERVICES, KADLEC REGIONAL MEDICAL CENTER AND PACIFIC MEDICAL CENTERS HAVE JOINED PROVIDENCE AS SECULAR PARTNERS WITH A COMMON COMMITMENT TO SERVING ALL MEMBERS OF THE COMMUNITY. TODAY, PROVIDENCE SERVES ALASKA, CALIFORNIA, MONTANA, OREGON AND WASHINGTON.ST. JOSEPH HEALTH SYSTEMIN 1912, A SMALL GROUP OF SISTERS OF ST. JOSEPH LANDED ON THE RUGGED SHORES OF EUREKA, CALIFORNIA TO PROVIDE EDUCATION AND HEALTH CARE. THEY LATER ESTABLISHED ROOTS IN ORANGE, CALIFORNIA, AND EXPANDED TO SERVE SOUTHERN CALIFORNIA, NORTHERN CALIFORNIA AND TEXAS. THE HEALTH SYSTEM ESTABLISHED MANY KEY PARTNERSHIPS, INCLUDING A MERGER BETWEEN LUBBOCK METHODIST HOSPITAL SYSTEM AND ST. MARY HOSPITAL TO FORM COVENANT HEALTH IN LUBBOCK TEXAS. RECENTLY, AN AFFILIATION WAS ESTABLISHED WITH HOAG HEALTH TO INCREASE ACCESS TO SERVICES IN ORANGE COUNTY, CALIFORNIA.MOLECULAR ONCOLOGY: THE DEPARTMENT OF MOLECULAR ONCOLOGY (MO) IS A LARGE RESEARCH PROGRAM AT JOHN WAYNE CANCER INSTITUTE (JWCI) (22 MEMBERS INCLUDING 3 ASSISTANT PROFESSORS). THE MOLECULAR ONCOLOGY PROGRAM IS INTERNATIONALLY RECOGNIZED BECAUSE OF MULTIPLE DISCOVERIES PARTICULARLY IN THE FIELD OF MOLECULAR BIOMARKERS. THE PROGRAM HAS BEEN FUNDED THROUGH FEDERAL GRANTS, PHILANTHROPY AND FOUNDATIONS. THE MAJOR FOCUS IS ON SOLID TUMORS INCLUDING MELANOMA, BREAST, BRAIN, AND GASTROINTESTINAL CANCERS. IN RECENT YEARS EMPHASIS HAS BEEN ON MOLECULAR PROGNOSTIC/DIAGNOSTIC BIOMARKERS AND EPIGENETICS REGULATORY AND THERAPEUTIC TARGETS. SOME OF THE MAJOR PIONEERING STUDIES ACCREDITED TO THE DEPARTMENT ADDRESS THE PROGNOSTIC UTILITY IN CANCER PATIENTS (PHASE II AND III CLINICAL TRIALS) OF CIRCULATING TUMOR CELLS (CTC) AND CIRCULATING DNA (GENOMIC, MUTATION, METHYLATION), THE MOLECULAR STAGING OF SENTINEL LYMPH NODES AND EPIGENETICS. THE DEPARTMENT RECENTLY RECEIVED FUNDING FROM THE NIH TCGA PROGRAM IN SEVERAL TYPES OF SOLID TUMORS FOR GENOMIC, METHYLATION, AND RNA SEQUENCING. THESE TRANSLATIONAL RESEARCH EFFORTS HAVE BEEN CONDUCTED THROUGH CLOSE COLLABORATION BETWEEN JWCI ONCOLOGISTS AND OTHER CENTERS. THE MO DEPARTMENT HAS COLLECTED WELL ANNOTATED BLOOD AND TUMOR SPECIMENS FOR MOLECULAR STUDIES FROM OVER 75 CENTERS AROUND THE WORLD AND HAS SIGNIFICANT EXPERIENCE IN LARGE SCALE PHASE II AND III STUDIES. THE DEPARTMENT THEREFORE OFFERS A WELL-ORGANIZED RESEARCH PROGRAM THAT CAN OFFER COLLABORATIVE SUPPORT TO THE PROVIDENCE HEALTH SYSTEM AND INTELLECTUAL PROPERTY DEVELOPMENT.THE DEPARTMENT OF MO TRAINS ON AVERAGE 10 RESEARCH POSTDOCTORAL FELLOWS PER YEAR AND HAS A STRONG HISTORY OF TRAINING FOREIGN SURGICAL ONCOLOGY MD AND MD/PHD FELLOWS (>60) FROM MAJOR ELITE UNIVERSITIES IN JAPAN,(TOKYO, KEIO, OSAKA), THE NETHERLANDS (LEIDEN UNIVERSITY), AND CHINA (FUDAN UNIVERSITY, HUASHAN).GENE SEQUENCING CENTER: THE GENE SEQUENCING CENTER WAS ESTABLISHED AT THE JWCI IN DECEMBER 2013. USING STATE OF THE ART EQUIPMENT THE CENTER CAN PERFORM ANY POTENTIALLY USEFUL TYPE OF GENE SEQUENCING, INCLUDING WHOLE GENOME SEQUENCING. TO DATE, OVER 200 TUMORS HAVE BEEN SEQUENCED. A MAJOR PROJECT UNDERWAY THAT HAS TAKEN ADVANTAGE OF THE UNIQUE MELANOMA TUMOR REPOSITORY IS WHOLE GENOME SEQUENCING ON PAIRED MELANOMA TUMORS AND LYMPHOCYTES. THE FORMIDABLE REQUIREMENTS FOR DATA STORAGE, DATA TRANSFER AND BIOINFORMATICS ARE PROVIDED THROUGH CONTRACTS WITH THE NATIONAL LAMBDA RAILROAD (NLR; NANTWORKS) A HIGH SPEED (40TB/SEC) NETWORK CONNECTING JWCI TO OTHER CANCER INSTITUTES. FUNDING FOR THE SEQUENCING CENTER IS PROVIDED BY MAJOR CORPORATE GRANTS. 3753800 0 1975050 SEE SCHEDULE OMELANOMA RESEARCH: JWCI HAS ONE THE LARGEST MELANOMA PROGRAMS IN THE WORLD. RESEARCH HAS INVOLVED INTERNATIONAL MULTICENTER CLINICAL TRIALS, INDUSTRY SPONSORED CLINICAL TRIALS, AND BASIC SCIENCE RESEARCH. RESULTS OF THESE STUDIES HAVE BEEN PUBLISHED IN NUMEROUS PEER-REVIEW JOURNALS INCLUDING THE NEW ENGLAND JOURNAL OF MEDICINE. THERE ARE ONGOING POTENTIALLY PRACTICE-CHANGING CLINICAL TRIALS IN MELANOMA. BASIC SCIENCE RESEARCH INCLUDES GENOMICS, TRANSLATIONAL IMMUNOLOGY AND THE DEVELOPMENT OF NOVEL IMMUNOTHERAPIES. 3471730 0 1464217 SEE SCHEDULE OTRANSLATIONAL IMMUNOLOGY: THE DEPARTMENT OF TRANSLATIONAL NEURO-ONCOLOGY AND NEUROTHERAPEUTICS (TNON) WAS ESTABLISHED AT JWCI IN AUGUST 2015. TNON'S RESEARCH AREAS INCLUDE DISCOVERY AND DEVELOPMENT OF NOVEL DRUG CANDIDATES FOR CLINICALLY VALIDATED MOLECULAR TARGETS, BIOMARKER-BASED DRUG DEVELOPMENT FOR PRECISION MEDICINE, NANOTECHNOLOGY-BASED APPROACHES TO DELIVER DRUGS ACROSS THE BLOOD BRAIN BARRIER, NEW IMMUNOLOGICAL APPROACHES TO DIAGNOSE AND TREAT CANCER AND CNS DISEASES, AND INTEGRATED INFORMATION TECHNOLOGY, BIG DATA AND NOVEL BIOSENSOR/DEVICE DEVELOPMENT. THIS IS ACCOMPLISHED THROUGH BASIC SCIENCE RESEARCH, PRECLINICAL RESEARCH, TRANSLATIONAL RESEARCH, AND CLINICAL RESEARCH.TNON'S BASIC SCIENCE RESEARCH EXPLORES SPECIFIC ASPECTS OF HOW BRAIN CANCER INITIATES AND PROGRESSES. ACTIVE INITIATIVES INCLUDE TUMOR CELL METABOLISM, MOLECULAR SIGNALING PATHWAYS AND NANOTECHNOLOGY IN DRUG DELIVERY. TNON'S PRECLINICAL RESEARCH EVALUATES DISCOVERIES FROM BASIC RESEARCH IN PRECLINICAL ANIMAL MODELS. PATIENT DERIVED XENOGRAFT (PDX) AND ORTHOTOPIC ANIMAL MODELS ARE EMPLOYED FOR TESTING OF NOVEL THERAPEUTIC AGENTS TARGETING BRAIN TUMORS. A MAJOR FOCUS IS EVALUATING TARGETED THERAPIES (SMALL MOLECULES/BIOLOGICS) AND IMMUNOTHERAPIES AS A SINGLE OR COMBINATION DOSE WITH STANDARD OF CARE. TNON'S TRANSLATIONAL RESEARCH INITIATIVES INCLUDE COMPUTATIONAL MODELING AND NETWORK PHARMACOLOGY, BIOMARKER DEVELOPMENT, GENOMICS-PROTEOMICS, CANCER STEM CELLS, AND IMMUNOTHERAPY. TNON'S CLINICAL RESEARCH COMBINES CLINICAL EXPERTISE WITH LEADING-EDGE RESEARCH TO GAIN AN IN-DEPTH UNDERSTANDING OF EACH PATIENT'S INDIVIDUAL TUMOR. CLINICAL TRIALS OFFER MORE TREATMENT OPTIONS TO ELIGIBLE PATIENTS. 2263018 0 136647 SURGICAL ONCOLOGY FELLOWSHIP TRAINING PROGRAM AND OTHER RESEARCH PROGRAMS: SURGICAL ONCOLOGY FELLOWSHIP PROGRAM - JWCI HAS A LONG HISTORY OF TRAINING LEADING CLINICIANS, RESEARCHERS AND EDUCATORS THROUGH ITS FELLOWSHIP TRAINING PROGRAMS. CURRENTLY JWCI HAS CLINICAL TRAINING PROGRAMS IN SURGICAL ONCOLOGY (ACGME-ACCREDITED), BREAST ONCOLOGY AND NEUROSURGERY. GRADUATES OF THESE PROGRAMS ARE CURRENTLY IN LEADERSHIP POSITIONS AT LEADING ACADEMIC MEDICAL CENTERS THROUGHOUT THE COUNTRY. IN THE SOUTHERN CALIFORNIA AREA, THE JWCI HAS SEVERAL ALUMNI ON THE FACULTIES OF CEDARS SINAI (EXECUTIVE VICE-CHAIR, FELLOWSHIP PROGRAM DIRECTOR AND ASSOCIATE PROGRAM DIRECTOR), CITY OF HOPE (FELLOWSHIP PROGRAM DIRECTOR, CO-DIRECTOR BREAST PROGRAM), KAISER (CHIEF OF SURGERY), AND HARBOR-UCLA (CHIEF OF SURGICAL ONCOLOGY). OTHER RESEARCH PROGRAMS - JWCI ALSO OPERATES SEVERAL SMALLER RESEARCH PROGRAMS INCLUDING BREAST CANCER, PROSTATE CANCER, THORACIC CANCER, GASTROINTESTINAL CANCER, AND ENDOCRINE AND BONE DISEASE. TO FACILITATE ALL RESEARCH, JWCI PROVIDES CLINICAL TRIAL SUPPORT, STATISTICAL SUPPORT, AND OTHER BUSINESS AND ADMINISTRATIVE SUPPORT. GENITOURINARY (GU) ONCOLOGY PROGRAM: JWCI HAS 2 GU SURGICAL ONCOLOGISTS, AND 1 GU MEDICAL ONCOLOGIST. THE JWCI GU ONCOLOGY PROGRAM PARTICIPATES IN CUTTING EDGE PHARMA SPONSORED MEDICAL AND DEVICE CLINICAL TRIALS AS WELL AS COLLABORATES WITH THE DEPARTMENT OF MOLECULAR ONCOLOGY ON GU RELATED TRANSLATIONAL RESEARCH. 154467 154467 0 GRANTS AND ALLOCATIONS - COMMUNITY SUPPORT 2390485 154467 136647 12526317 1 1 0 0 0 0 0 0 0 0 1 0 1 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 0 1 1 1 0 0 1 X 35 0 1 86 1 0 0 0 0 0 0 0 0 0 0 X 12 12 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 0 0 0 CA X JO ANN ESCASA-HAIGH 9493814000 3345 MICHELSON DRIVE SUITE 100 IRVINE CA 92612 X MARIA ARECHAEDERRA DIRECTOR 2.00 0.00 X 0 0 0 MARK BAKER TREASURER 2.00 0.00 X 0 0 0 NORRIS BISHTON DIRECTOR 2.00 0.00 X 0 0 0 MARC EZRALOW DIRECTOR 2.00 0.00 X 0 0 0 MARK FARIES MD DIRECTOR, RESIGNED 2/17 2.00 0.00 X 122020 0 11307 SEAN FISCHER MD DIRECTOR 2.00 0.00 X 0 0 0 DOUG MANCINO DIRECTOR 2.00 0.00 X 0 0 0 DOMINIC ORNATO DIRECTOR 2.00 0.00 X 0 0 0 CAROLE SCHWARTZ DIRECTOR 2.00 0.00 X 0 0 0 ROGER WACKER DIRECTOR 2.00 0.00 X 0 0 0 PATRICK WAYNE CHAIR 2.00 0.00 X X 0 0 0 MICHAEL WAYNE VICE CHAIR 2.00 0.00 X X 0 0 0 TIM WILSON MD DIRECTOR 2.00 0.00 X 0 0 0 MARCEL LOH CEO 40.00 0.00 X 0 1364710 768684 JAMES ULI CFO/SJHC 2.00 48.00 X 0 316579 24095 DAVE HOON SR. LAB CHIEF 40.00 0.00 X 294329 0 25964 SANTOSH KESARI MED.DIR TRANS-NEURO 40.00 0.00 X 184604 0 10308 CAROLINE MOSESSIAN CHIEF ADMIN OFFICER 40.00 0.00 X 267657 0 23188 STACEY STERN DIR. DATA MANAGEMENT 40.00 0.00 X 164177 0 18483 LISA VAN KREUNINGEN DIR. CLINICAL RES 40.00 0.00 X 158529 0 17572 1191316 1681289 899601 6 0 1 0 HURON CONSULTING GROUP INC PO BOX 71223 CHICAGO IL 60694 FINANCIAL CONSULTING 371339 UNIVERSITY OF CALIFORNIA LOS ANGELES 405 HILGARD AVENUE LOS ANGELES CA 90095 PHYSICIANS SERVICES 224078 MELONOMA INSTITUTE AUSTRALIA 40 ROCKLANDS ROAD NORTH NSW 2060 SYDNEY AS LAB 134016 WESTERN INSTITUTIONAL REVIEW PO BOX 150434 HARTFORD CT 06115 RESEARCH 130967 4 4198092 3384410 23550 7606052 CLINICAL TRIALS 900099 3575914 3575914 3575914 5684 5684 920 920 37500 0 37500 37500 37500 35000 0 35000 35000 35000 PATENT LIC. AGREEMENT 900099 68913 68913 MISCELLANEOUS REVENUE 900099 7362 7362 NON INVEST. INTEREST 900099 4060 4060 107 107 80442 11341512 3575914 0 159546 X 154467 154467 6301024 5639293 661731 232421 208012 24409 436654 390797 45857 31851 31851 150 150 3493450 3197018 296432 7186 7186 187680 31906 155774 25975 25975 1624729 1299783 324946 182529 175366 7163 60802 54722 6080 94885 94885 291903 233522 58381 184241 121599 62642 MEDICAL SUPPLIES 871190 871190 DUES & SUBSCRIPTIONS 19340 19280 60 TAX AND LICENSE 9272 4442 4830 BAD DEBTS 4060 4060 14213809 12526317 1687492 0 500 0 2864844 2870378 731364 457918 91170 3662 3398583 1085306 1132918 2313277 1636946 2224811 46071 114731 6503813 7984777 1218951 1331887 1720698 1214873 12177041 15890809 15116690 18437569 X -14048522 -15482758 4438425 3032746 997220 1997220 -8612877 -10452792 6503813 7984777 X -2872297 1032382 X X 0 1 X 1 1 1 X PROVIDENCE SAINT JOHN'S HEALTH CENTER SANTA MONICA CA 259284 18044 241240 4200 4200 0 3135099 1063062 2072037 2313277 BENEFICIAL INTEREST IN FOUNDATION 2224811 F 2224811 DUE TO AFFILIATES 15890809 15890809 EAST ASIA AND THE PACIFIC Program Services0 MULTICENTER SELECTIVE LYMPHADENECTOMY TRIALS IN AUSTRALIA (PACIFIC). 82575 NORTH AMERICA Program Services MULTICENTER SELECTIVE LYMPHADENECTOMY TRIALS IN CANADA. 10000 EUROPE (INCLUDING ICELAND AND GREENLAND) Program Services MULTICENTER SELECTIVE LYMPHADENECTOMY TRIALS IN EUROPE. 114400 MIDDLE EAST AND NORTH AFRICA Program Services MULTICENTER SELECTIVE LYMPHADENECTOMY TRIALS IN ISRAEL. 1600 0 0 0 0 0 0 208575 0 208575 0 0 0 0 0 0 Part I, line 3: SIGNED CONTRACTUAL AGREEMENT 1 AVON PRODUCTS FOUNDATION INC 777 3RD AVE NEW YORK NY 10017 136128447 501 (C) (3) 154467 SUPPORT PROGRAM. 1 PART I, LINE 2 JOHN WAYNE CANCER INSTITUTE MONITORS THE USE OF GRANT FUNDS THROUGH REGULAR MEETINGS WITH AGENCY REPRESENTATIVES TO DISCUSS THEIR PROGRAMS. 1 1 0 0 0 0 0 0 0 MARCEL LOH CEO 0 546332 0 210183 0 608195 0 742649 0 26035 0 2133394 0 336641 JAMES ULI CFO/SJHC 0 266195 0 23979 0 26405 0 15430 0 8665 0 340674 0 0 DAVE HOON SR. LAB CHIEF 287937 0 2221 0 4171 0 16200 0 9764 0 320293 0 0 0 SANTOSH KESARI MED.DIR TRANS-NEURO 181845 0 0 0 2759 0 3713 0 6595 0 194912 0 0 0 CAROLINE MOSESSIAN CHIEF ADMIN OFFICER 256733 0 9647 0 1277 0 13500 0 9688 0 290845 0 0 0 STACEY STERN DIR. DATA MANAGEMENT 162085 0 1643 0 449 0 9927 0 8556 0 182660 0 0 0 LISA VAN KREUNINGEN DIR. CLINICAL RES 112567 0 9518 0 36444 0 9544 0 8028 0 176101 0 0 0 Part I, Line 3 THE ORGANIZATION'S CHIEF EXECUTIVE OFFICER/TOP MANAGEMENT OFFICIAL IS PAID BY ITS TAX EXEMPT PARENT, PROVIDENCE HEALTH SYSTEM - SOUTHERN CALIFORNIA, AND IS DISCLOSED AS A PERSON PAID BY A RELATED ORGANIZATION. SEE SCHEDULE O, PART VI, LINE 15A FOR THE PROCESS USED BY PROVIDENCE HEALTH SYSTEM SOUTHERN CALIFORNIA. Part I, Lines 4a-b BEGINNING IN JULY 2015, NEW EXECUTIVES PARTICIPATE IN A NON-QUALIFIED SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN. THE PLAN PROVIDES FOR EMPLOYER CONTRIBUTIONS BASED ON A PERCENTAGE OF EXECUTIVE BASE SALARY AND ARE SUBJECT TO A THREE YEAR OR AGE 65 VESTING SCHEDULE. Schedule J, Part II, Column B, II THE PROVIDENCE EXECUTIVE INCENTIVE PROGRAM PROVIDES A LUMP SUM AWARD ANNUALLY AS A PERCENT OF THE EXECUTIVE'S BASE PAY. PERCENT OPPORTUNITIES ARE ALIGNED WITH OUR TOTAL COMPENSATION PHILOSOPHY AS OUTLINED IN PART VI, SECTION B, LINE 15 (PROCESS FOR DETERMINING COMPENSATION OF TOP MANAGEMENT, OFFICERS & KEY EMPLOYEES). FOR PROVIDENCE LEADERS, THE PERFORMANCE AWARD IS BASED ON THE LEVEL OF ACCOMPLISHMENT OF ANNUAL SYSTEM AND FUNCTIONAL (OR MARKET) OBJECTIVES. IN 2016, 60 PERCENT OF THE PARTICIPANT AWARDS WERE BASED ON PRE-DETERMINED ORGANIZATIONAL GOALS CONSISTENT WITH PROVIDENCE'S STRATEGIC PRIORITIES. IN 2017 THE PERCENT ALLOCATION FOR EACH OF THESE STRATEGIC PRIORITIES WAS AS OUTLINED BELOW: SYSTEM GOALS: FIRST-YEAR TURNOVER - 10% INPATIENT EXPERIENCE - 5% PATIENT EXPERIENCE - 5% MEDICAL GROUP PATIENT EXPERIENCE - 5% COMMUNITY BENEFIT - 10% CLINICAL EXCELLENCE - 15% FREE CASH FLOW - 10% THE REMAINING 40% WAS BASED ON A ROBUST SET OF FUNCTION SPECIFIC GOALS DESIGNED TO ALIGN CRITICAL MISSION AND BUSINESS DRIVERS. Form 990, Part I, Line 6, Total number of volunteers In 2017, 29 volunteers donated a total of 3,536 hours supporting the John Wayne Cancer Institute. Volunteers helped in the following ways: - Supporting staff with clerical tasks and providing peer support to patients in the Cancer Clinics - Leading free yoga classes for breast cancer patients - Supporting research of doctors in the John Wayne Cancer Institute Research Center - Providing clerical support to the Brain Tumor Center and John Wayne Cancer Institute Research Center Form 990, Part VI, Section A, line 2 PATRICK WAYNE & MICHAEL WAYNE HAVE A FAMILY RELATIONSHIP. Form 990, Part VI, Section A, line 6 PROVIDENCE SAINT JOHN'S HEALTH CENTER IS THE SOLE CORPORATE MEMBER OF JOHN WAYNE CANCER INSTITUTE. Form 990, Part VI, Section A, line 7a JOHN WAYNE CANCER INSTITUTE HAS A TIERED GOVERNANCE IN WHICH THE CORPORATE MEMBERS RESERVE THE RIGHT TO APPOINT DIRECTORS TO THE JOHN WAYNE CANCER INSTITUTE BOARD. Form 990, Part VI, Section A, line 7b POWERS OF THE CORPORATE MEMBER INCLUDE THE POWER TO: 1) CHANGE THE MISSION AND PHILOSOPHY. 2) ADOPT, AMEND OR REPEAL THE ARTICLES OF INCORPORATION OR BYLAWS. 3) IMPLEMENT CORPORATE GOALS, POLICIES AND PROCEDURES. 4) APPROVE THE ACQUISITION OF ASSETS, INCURRENCE OF INDEBTEDNESS OR THE LEASE, SALE, TRANSFER, ASSUMPTION, OR ENCUMBERING OF ASSETS. 5) APPROVE THE MERGER, DISSOLUTION OR CORPORATE RESTRUCTURING. 6) APPROVE ALL LONG-RANGE AND STRATEGIC PLANS AND OPERATING AND CAPITAL BUDGETS AND DEVIATIONS THERETO. 7) APPROVE ANY CAPITAL EXPENDITURE OF UNRESTRICTED FUNDS NOT CONTAINED IN THE BUDGET AND IN EXCESS OF A $100,000 THRESHOLD. 8) APPOINT THE AUDITORS. Form 990, Part VI, Section B, line 11b THE FORM 990 WAS PREPARED BY THE TAX DEPARTMENT BASED ON INFORMATION RECEIVED FROM VARIOUS DEPARTMENTS OF THE ORGANIZATION AND WAS REVIEWED BY AN OFFICER OF THE ORGANIZATION. A COPY OF THE FORM 990 WAS DISTRIBUTED TO ALL VOTING MEMBERS OF THE BOARD. DURING THE AUDIT COMMITTEE MEETING, MANAGEMENT PRESENTED AND DISCUSSED CERTAIN DISCLOSURES AND INFORMATION INCLUDED IN THE FORM 990. THE AUDIT COMMITTEE CHAIR THEN PROVIDED A SUMMARY AT THE FULL BOARD MEETING. Form 990, Part VI, Section B, line 12c BOARD MEMBERS, SPONSORS, SENIOR LEADERS AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE ANY REAL OR POTENTIAL CONFLICT OF INTEREST IN ACCORDANCE WITH THE PSJH COI POLICY AND IN CONNECTION WITH THAT INDIVIDUAL SATISFYING HIS OR HER FIDUCIARY OBLIGATIONS TO THE ORGANIZATION. DISCLOSURES ARE MADE ANNUALLY AND/OR IF AT ANY TIME AN ACTUAL, REAL OR POTENTIAL CONFLICT OF INTEREST ARISES. PSJH CHIEF LEGAL OFFICER AND/OR THE PSJH CHIEF RISK OFFICER, REVIEW ALL DISCLOSURES. WHERE APPROPRIATE, THE CEO AND/OR THE BOARD CHAIR CONSIDER MATTERS THAT INVOLVE SENIOR LEADERSHIP OR A BOARD MEMBER. PSJH CHIEF LEGAL OFFICER AND/OR CHIEF RISK OFFICER REVIEW MATTERS WHERE CONFLICT IS DIFFICULT OR CANNOT BE RESOLVED AND PRESENT RECOMMENDATIONS TO THE APPROPRIATE BOARD COMMITTEE OR THE CEO, FOR DISCUSSION AND RESOLUTION. WHEN APPROPRIATE, THE INDIVIDUAL WITH THE REAL/POTENTIAL CONFLICT THAT IS BEING REVIEWED MAY PARTICIPATE IN THE DISCUSSION BUT IS EXCUSED FROM THE MEETING WHEN ACTION IS DECIDED. WHERE APPROPRIATE, THE CHIEF RISK OFFICER OR CHIEF LEGAL OFFICER WILL PROVIDE PLAN TO MANAGE CONFLICTS. AUDITING AND MONITORING OF THIS PROCESS IS DONE PERIODICALLY. ALL DOCUMENTATION OF COI DISCLOSURES IS RETAINED PER ORGANIZATION RETENTION POLICY. Form 990, Part VI, Section B, line 15 THE ORGANIZATION'S CHIEF EXECUTIVE OFFICER/PRESIDENT/EXECUTIVE DIRECTOR IS PAID BY ITS TAX EXEMPT PARENT, PROVIDENCE HEALTH SYSTEM - SOUTHERN CALIFORNIA AND IS DISCLOSED AS A PERSON PAID BY A RELATED ORGANIZATION. IT IS PROVIDENCE ST. JOSEPH HEALTH'S INTENTION TO MAKE FINANCIAL INFORMATION ACCESSIBLE AND TRANSPARENT. ALTHOUGH THE FILING OF FORM 990 PROVIDES INSIGHT INTO HOW PROVIDENCE ST. JOSEPH HEALTH ACHIEVES ITS MISSION, DELIVERS ITS PROGRAMS AND STEWARDS ITS FINANCES, DECIPHERING THE INFORMATION DIRECTLY FROM FORM 990 CAN BE CHALLENGING. THE FOLLOWING PARAGRAPHS PROVIDE FURTHER INFORMATION ABOUT THE PROCESS WE USE TO DETERMINE COMPENSATION FOR TOP MANAGEMENT, OFFICERS AND KEY EMPLOYEES. PROVIDENCE ST. JOSEPH HEALTH HAS A SINGLE FIDUCIARY BOARD, WITH RESPONSIBILITY FOR FINANCIAL OVERSIGHT ASSOCIATED WITH FULFILLMENT OF THE PROVIDENCE ST. JOSEPH HEALTH MISSION, DEVELOPING SYSTEM POLICIES, PROTECTING THE ASSETS ENTRUSTED TO THE ORGANIZATION AND OVERSEEING THE STRATEGIC AND OPERATIONAL AFFAIRS OF PROVIDENCE ST. JOSEPH HEALTH'S LEGAL ENTITIES. PROVIDENCE ST. JOSEPH HEALTH ALSO MAINTAINS A NETWORK OF COMMUNITY ENTITY BOARDS WITH RESPONSIBILITY FOR QUALITY OF CARE OVERSIGHT, COMMUNITY RELATIONS, ADVOCACY AND COMMUNITY NEEDS ASSESSMENTS. PROVIDENCE ST. JOSEPH HEALTH HAS A CONSISTENT COMPENSATION PHILOSOPHY FOR ALL OF ITS OFFICERS, INCLUDING OUR SENIOR EXECUTIVES. SALARIES FOR SENIOR EXECUTIVES ARE REVIEWED BY THE PROVIDENCE ST. JOSEPH HEALTH COMMITTEE. THE BOARD RETAINS AN INDEPENDENT CONSULTANT EACH YEAR TO REVIEW SALARIES OF THOSE IN THE MOST SIGNIFICANT LEADERSHIP ROLES IN THE ORGANIZATION. PART OF THE CONSULTANT'S ROLE IS TO REVIEW AN EXTENSIVE ARRAY OF COMPENSATION SURVEYS OF LARGE, NOT-FOR-PROFIT HEALTH CARE SYSTEMS IN THE UNITED STATES. PROVIDENCE ST. JOSEPH HEALTH IS ONE OF THE LARGER HEALTH SYSTEMS IN THE COUNTRY, AND AS SUCH, THE BOARD BENCHMARKS EXECUTIVE COMPENSATION AGAINST OTHER LARGE, NOT-FOR-PROFIT HEALTH SYSTEMS WHOSE REVENUE IS SIMILAR TO THAT OF PROVIDENCE ST. JOSEPH HEALTH. ADDITIONALLY, PROVIDENCE ST. JOSEPH HEALTH'S LABOR MARKET CONTINUES TO SPREAD ACROSS HEALTH CARE AND INTO GENERAL INDUSTRY. BECAUSE OF THIS, PROVIDENCE ST. JOSEPH HEALTH ALSO TAKES INTO CONSIDERATION GENERAL INDUSTRY FOR-PROFIT MARKET DATA, WHERE APPLICABLE. BASE SALARIES FOR PROVIDENCE ST. JOSEPH HEALTH EXECUTIVES ARE GENERALLY TARGETED TO THE MEDIAN LEVEL OF THE MARKET, AS IDENTIFIED BY THE INDEPENDENT CONSULTANT AND REVIEWED WITH THE EXECUTIVE COMPENSATION COMMITTEE. THE PRESIDENT/CEO UTILIZES THE MARKET INFORMATION PROVIDED BY THE CONSULTANT ALONG WITH FORMAL PERFORMANCE EVALUATIONS, TO DETERMINE SALARY RECOMMENDATIONS FOR OTHER SENIOR EXECUTIVES. THIS PROCESS INCLUDES A RIGOROUS ANALYSIS OF THOSE RECOMMENDATIONS WITH THE EXECUTIVE COMPENSATION COMMITTEE AS A PART OF THE REVIEW AND APPROVAL PROCESS. PERFORMANCE INCENTIVES ALLOW EXECUTIVES TO EARN ADDITIONAL COMPENSATION IF THEY ACHIEVE SPECIFIC ORGANIZATIONAL GOALS FOR FURTHERING PROVIDENCE ST. JOSEPH HEALTH OPERATING COMMITMENTS AND STRATEGIC OBJECTIVES. THE BOARD OF DIRECTORS CONDUCTS A THOROUGH REVIEW PROCESS TO ENSURE PERFORMANCE INCENTIVES ARE ALIGNED WITH APPROPRIATE MARKET PRACTICES. THE BOARD'S PROCESS FOR EXECUTIVE COMPENSATION FULLY COMPLIES WITH IRS STANDARDS AND MIRRORS BEST PRACTICES. THE PROCESS TO REVIEW COMPENSATION WAS LAST COMPLETED MARCH 2018. Form 990, Part VI, Section C, line 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. THE PSJH COMMUNITY BENEFIT REPORTS, FINANCIAL REPORTS, AND PHILANTHROPY REPORTS ARE ALSO AVAILABLE ON THE PSJH INTERNET SITE. Form 990, Part IX, line 11g CONSULTING: Program service expenses 0. Management and general expenses 58,158. Fundraising expenses 0. Total expenses 58,158. MEDICAL SERVICES: Program service expenses 2,801,783. Management and general expenses 0. Fundraising expenses 0. Total expenses 2,801,783. OTHER SERVICES: Program service expenses 0. Management and general expenses 13,277. Fundraising expenses 0. Total expenses 13,277. PARKING & SECURITY SERVICES: Program service expenses 0. Management and general expenses 111,054. Fundraising expenses 0. Total expenses 111,054. REPAIRS & MAINTENANCE: Program service expenses 395,235. Management and general expenses 113,943. Fundraising expenses 0. Total expenses 509,178. Form 990, Part XI, line 9: FAS 136 ADJUSTMENT RECLASSIFIED TO CHANGE IN NET ASSETS -928,111. FAS 136 IN NET ASSETS 1,515,976. ROUNDING 2. COVENANT ACO 3615 19TH STREET LUBBOCK TX 79410 611573313 HEALTHCARE TX 501(c)(3) 12,I CHS 1 COVENANT HEALTH NETWORK INC 3345 MICHELSON DRIVE SUITE 100 IRVINE CA 92612 461259908 HEALTHCARE CA 501(c)(3) 12,III SJHS 1 COVENANT HEALTH PARTNERS 3615 19TH STREET LUBBOCK TX 79410 463516417 HEALTHCARE TX 501(c)(3) 12,I CHS 1 COVENANT HEALTH SYSTEM 3615 19TH STREET LUBBOCK TX 79410 752765566 HEALTHCARE TX 501(c)(3) 3 SJHS 1 COVENANT HEALTH SYSTEM FOUNDATION 3623 22ND PLACE LUBBOCK TX 79410 752897026 HEALTHCARE TX 501(c)(3) 7 CHS 1 COVENANT MEDICAL GROUP 3420 22ND PLACE LUBBOCK TX 79410 752743883 HEALTHCARE TX 501(c)(3) 3 CHS 1 E WA & MT UNEMPLOYMENT COMPENSATION INSURANCE TRUST 1801 LIND AVENUE SW 9016 RENTON WA 980579016 911082119 UNEMPLOYMENT WA 501(c)(3) 12,I PHS WA 1 EVERETT TRANSITIONAL CARE SERVICES PO BOX 5128 EVERETT WA 982065128 943264605 TRANS. 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