2018-08-14T09:10:22-05:00 2017-09-30 346565596 Ernst & Young US LLP 200 Clarendon Street 44th Floor Boston MA 02116 990 2016-10-01 222672834 Hartford HealthCare Corporation HART 8606966200 One State Street Suite 19 Hartford CT 06103 MARK KEISE SVP, Financial Operations 8606966200 2018-08-14 0 Jeanne Schuster P00743154 6172262000 2016 2022-09-23 18:48:47Z Elliot T Joseph One State St Ste 19 Hartford CT 06103 361334240 0 X www.hartfordhealthcare.org X 1985 CT Hartford HealthCare's mission is to improve the health and healing of the people and communities it serves. 12 11 2826 11 337747 -59222 0 0 368901013 360695234 134370444 366927 856008 169867 504127465 361232028 0 10150 0 0 217008348 204161742 0 0 0 197627700 157703139 414636048 361875031 89491417 -643003 1711631274 1666603905 956477058 914132526 755154216 752471379 X Hartford HealthCare's mission is to improve the health and healing of the people and communities it serves. 0 0 350896918 10150 360695234 Hartford HealthCare Corporation (HHC) serves as the supporting organization of an integrated health care delivery system (the "System") that includes, but is not limited to, the following entities: Hartford Hospital, Midstate Medical Center, Natchaug Hospital, Inc., Rushford Center, Inc., The Hospital of Central Connecticut at New Britain General and Bradley Memorial, Windham Community Memorial Hospital, Inc., and The William W. Backus Hospital, each of which are Connecticut nonstock corporations that qualify as tax-exempt organizations under 501(c)(3) of the Code and as public charities under 509(a)(1) of the Code (collectively, the "Supported Organizations"). The purposes for which the Corporation is organized and operated are to promote and support, directly or indirectly, the interests and purposes of the Supported Organizations.HHC is a fully integrated health system that includes a tertiary-care teaching hospital, an acute-care community teaching hospital, an acute-care hospital and trauma center, three community hospitals, the state's most extensive behavioral health network, a large multispecialty physician group, a regional home care system, an array of senior care services, a large physical therapy and rehabilitation network and an accountable care organization. Through its institute model, the HHC system offers high standards of care for cancer, heart and vascular services, neuroscience, orthopedics and urology.HHC collaborates with its Supported Organizations to develop and implement programs to improve the future of health care in Southern New England. This includes initiatives to improve the quality and accessibility of health care; create efficiency in internal operations; and provide patients with the most technically advanced and compassionate, coordinated care. Through its supported organizations (hospitals), the Corporation was designed to provide patients with more convenience to healthcare access in their local communities. The hospitals provide these needed medical services to all patients regardless of their abilities to pay.HHC is further integrating care, and increasing access to high-quality services, through its institute model. The Corporation has established the Hartford HealthCare Cancer Institute, the first in the nation to be named a member of the Memorial Sloan Kettering Cancer Alliance; the Bone and Joint Institute; the Neuroscience Institute, with a renowned Headache Center and Movement Disorders Center; the Heart and Vascular Institute; the Tallwood Urology and Kidney Institute; and the Behavioral Health Network. Our institutes provide clinical support, research, and education for our patients, physicians and communities.Through Hartford Hospital, we provide the state's first critical air helicopter service, called LIFE STAR. Our LIFE STAR program has been an integral service for more than 30 years. With nearly 32,000 flights and more than 20,000 patients served, we take pride in knowing countless lives have been saved thanks to our talented crew and extraordinary capabilities.Hartford HealthCare is an economic engine for the state of Connecticut. We are the third-largest employer in the state, and our ongoing investment in capital programs and projects provides jobs, enhances access to care and improves the quality of life for all state residents.In all, Hartford HealthCare proudly serves 101 of Connecticut's 169 cities and towns. The Corporation was designed to provide a high degree of access to quality services, offering patients, customers and clients with compassionate, coordinated care, close to home. 350896918 1 0 0 1 0 0 0 0 0 0 1 0 1 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 447 0 1 2826 1 1 1 1 BD 0 0 0 0 0 0 0 0 X 12 11 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 CT X Carol Wardell 8606966200 One State Street Suite 19 Hartford CT 06103 Ramani Ayer Director 2.00 X 0 0 0 William Conway MD Director (Thru Sept. 2017) 2.00 X 0 0 0 Greg Deavens Director 2.00 X 0 0 0 Laura Estes Director 2.00 X 0 0 0 David Hyman DDS Director 2.00 X 0 0 0 Brian MacLean Director 2.00 X 0 0 0 Lawrence McGoldrick Director 2.00 X 0 0 0 William Trachsel Director 2.00 X 0 0 0 James Kaskie Director 2.00 X 0 0 0 Joanne Berger-Sweeney Director 2.00 X 0 0 0 David Hess Chair 3.00 X X 0 0 0 John Patrick Jr Vice Chair 3.00 X X 0 0 0 Elliot Joseph Director & CEO 40.00 20.00 X X 2633867 0 144518 Jeffrey Flaks President & COO 40.00 20.00 X 1747704 0 56687 Margaret Marchak Secretary & CLO 40.00 20.00 X 676177 0 131333 Charles Johnson Board Treasurer, EVP & CFO 40.00 20.00 X 868701 0 137241 David Whitehead EVP 60.00 X 885620 0 56363 Tracy Church EVP 60.00 X 898904 0 51653 James Cardon MD EVP 40.00 20.00 X 739683 0 122233 Rocco Orlando III MD SVP 60.00 X 936263 0 74228 Bimal Patel SVP 20.00 40.00 X 648140 0 103527 Stuart Markowitz MD SVP 10.00 50.00 X 802711 0 131045 Karen Goyette SVP 60.00 X 287623 0 55548 Gerald Boisvert SVP 50.00 10.00 X 613557 0 111609 Richard Shirey SVP 60.00 X 604591 0 133839 Richard Stys SVP 60.00 X 688074 0 48741 Rita Parisi SVP 20.00 40.00 X 464411 0 71938 Lucille Janatka SVP 20.00 40.00 X 844005 0 64007 Patricia Rehmer SVP 60.00 X 429052 0 74316 Vincent DiBattista SVP 60.00 X 489385 0 100582 Peter Yu MD SVP & Physician-in-Chief 60.00 X 333809 0 82111 Sabet Hashim MD SVP & Co-Physician in Chief 1.00 60.00 X 0 705594 46165 Paul Thompson MD Co-Physician in Chief 1.00 60.00 X 0 560045 65238 James Fantus VP 60.00 X 1035136 0 33270 John Greene MD VP 60.00 X 660969 0 66715 Harold Schwartz MD VP 30.00 30.00 X 626947 0 78920 Barry Stein VP 60.00 X 620300 0 54551 Daniel Lohr VP 10.00 50.00 X 582635 0 128453 19118264 1265639 2224831 450 0 1 0 PCS Corporation 71 Oxford Street Hartford CT 06107 Software Support Services 10725423 AllScripts HealthCare LLC 24630 Network Place Chicago IL 60673 Software Support Services 10055836 Mintz & Hoke Inc 40 Tower Lane Avon CT 06001 Public Relations & Advertising Services 7413736 Optimum Healthcare IT LLC 1300 Marsh Landing Pkwy Jacksonville Beach FL 32250 Professional Services 6785163 Oracle America Inc PO Box 203448 Dallas TX 75320 Software Support Services 4460951 188 System Support Svcs 541990 358979653 358979653 Income From JV's 900003 1377834 1377834 Information Technology Services 541512 337747 337747 360695234 469139 469139 169867 0 169867 169867 169867 102212 -102212 -102212 -102212 361232028 360357487 337747 536794 10150 10150 17448627 13139282 4309345 139219837 139219837 17176340 16703885 472455 19451641 18916601 535040 10865297 10535632 329665 2519366 2519366 2354552 2354552 457690 457690 2151299 2151299 10210308 10210308 10565859 10565859 27772379 27772379 5388177 5388177 956410 956410 726935 726935 3669192 3669192 28366179 28366179 722232 722232 Purchased Services 46847090 46847090 Repairs & Maintenance 7529143 7529143 Dues & Licenses 3506143 3506143 Medical Supplies 3035382 3035382 924803 924803 361875031 350896918 10978113 0 5493425 8878528 60585740 49887323 3150104 800703 798071 11623093 12034833 373715625 86798677 279296933 286916948 39095373 6313093 8523163 563908801 563908801 2302100 2302100 778159914 694256133 1711631274 1666603905 96681120 77740281 746310043 730998923 113485895 105393322 956477058 914132526 X 704798216 702115379 20916000 20916000 29440000 29440000 755154216 752471379 1711631274 1666603905 X -643003 -2039834 X X 0 1 X 1 1 1 X X 7 Hartford Hospital 060646668 3 1 0 155962018 The Hospital of Central Connecticut 060646768 3 1 0 48973740 MidState Medical Center 060646715 3 1 0 32599412 The William W Backus Hospital 060250773 3 1 0 30660357 Windham Community Memorial Hospital 060646966 3 1 0 9494031 Natchaug Hospital 060966963 3 1 0 5578005 Rushford Center Inc 060932875 7 1 0 3293369 7 0 286560932 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 X 1 1 FORM 990 SCH A PART I, LINE 12G COL. (V1) Hartford HealthCare Corporation (HHC) is organized as a supporting organization that was established to carry out the purposes of and provide support services to its related tax exempt member organizations. During FY2017, HHC provided employees and support services to its member organizations including but not limited to the following: Legal, Treasury, Finance, Revenue Cycle, Information Technology Services (IT), Marketing, Strategic Planning and Human Resources (HR). The total non-monetary support provided was $286,560,932. FORM 990 SCH A PART IV, SECTION A LINE 1 Hartford HealthCare Corporation ("HHC") is the parent organization of an integrated health care delivery system. In addition to those charitable organizations specifically named in HHC's Bylaws, the organization provides services to other organizations that are a part of the HHC System, and that directly further the charitable purposes of the supported organizations as required by IRS Reg. 1.509(a)-4(d)(2)(i). FORM 990 SCH A PART IV, SECTION A, LINE 6 Hartford HealthCare Corporation ("HHC"), a Connecticut nonprofit corporation headquartered in Hartford, Connecticut is the parent organization of a number of affiliated entities (collectively, the "System") that offer comprehensive health care services to residents of Central, Eastern, and Northern Connecticut. The System's objective is to be an integrated health System with a strong patient focus and consistent quality performance. With those goals, the Systems' management emphasizes increased efficiencies and an open collaborative sharing of best practices across all System affiliates. One of the System guiding principles is to provide patients greater access to health care close to their homes and across a wide spectrum of providers from a tertiary care medical center, to community hospitals, behavioral health, home care, ambulatory care centers, rehabilitation and senior care. The corporation provides support as described below for the following supported organizations including other key system affiliates. The System includes: * Hartford Hospital ("Hartford Hospital") - a tertiary-care teaching hospital that includes the operating departments/divisions of Institute of Living (behavioral health), Jefferson House (nursing facility) and Cedar Mountain Commons (assisted living); * Hospital of Central Connecticut at New Britain General and Bradley Memorial (the "Hospital Of Central Connecticut") - a community teaching hospital with two hospital campuses; * Three community hospitals - MidState Medical Center ("MidState"), Windham Community Memorial Hospital Inc. ("Windham Hospital") and The William W. Backus Hospital ("Backus Hospital"); Other Key System Affiliates include: - One inpatient behavioral health hospital and one center; - A multi-specialty group of employed physicians in a medical foundation; - Home care and hospice services; - A physical therapy and rehabilitation network - A clinical integration organization. Hartford Healthcare has focused on disciplined strategic growth and development to facilitate the System's objective of delivering integrated, high quality care. Day-to-day management of System affiliates is provided by regional senior vice presidents through a regional management structure. Hartford HealthCare's regional management structure supports coordinated care at the individual hospital level and throughout the System. The regionalization structure aims to enhance the System's ability to provide consistent quality, which is intended to improve patient experience and to control costs. The System's operating and financial decision making is centralized at Hartford HealthCare with each of HHC supported hospitals having a significant voice in HHC's operations. With ongoing guidance from each of its supported hospitals, Hartford HealthCare has centralized logistics and day-to-day operation in the following areas: Finance, Human Resources, Supply Chain, Revenue Cycle, Information Systems, Legal, Strategy and Transformation, Risk Management, Compliance, Privacy, Business and System Development, Planning, Marketing, Government Relations, Managed Care, Debt and Asset Management, Insurance and Internal Audit. Centralized system services are designed to reduce variation, to control costs through efficiencies and economies of scale and to improve the System's delivery of coordinated and integrated care. FORM 990 SCH A PART IV SECTION D LINE 3 There are significant and ongoing relationships between HHC and its supported hospitals that demonstrate the close and continuous working relationship between HHC and the supported organizations. For example, supported organizations' board members are members of key HHC Board committees that have been delegated the authority for significant functions of HHC. A significant portion of the authority of the HHC Board has been delegated to and is performed through its committees. These Committees include the Finance Committee; Quality and Safety Committee; and Strategic Planning and Community Benefit Committee. Through the presence of their board members on these key committees, the supported organizations have a significant voice in the operations of HHC. In addition to the above, HHC receives significant input from and works with all of the supported hospitals to develop community health needs assessments (CHNA) and community health improvement plans. The CHNA work is started in the HHC Board Committee called Strategic Planning and Community Benefit, then developed by the hospitals and approved by the hospital boards. The Hospital Presidents are HHC employees. HHC is responsive to the needs and demands of its supported hospitals and the supported hospitals have significant influence in directing the use of income or assets of HHC. The Hospital Presidents are responsible to prepare and manage their budgets and they participate in developing their strategic plans. HHC's Chief Operating Officer participates in board meetings of the supported hospitals to discuss system activity and be responsive to the hospitals' needs. The highest executive at each supported hospital (The "President") is employed by HHC. The Regional President meets with all executives of HHC leadership weekly throughout the course of the year to discuss matters related to HHC and make decisions about the services and operations of the supported hospitals through capital and operating budget discussions, strategic planning, and operational activities reviews. As a result of these close and continuous interactions, the supported organizations and their officers and directors and other leadership provide significant advice and input to HHC and its leadership on important matters such as: (a) operating budgets, including routine and strategic capital expenditures; (b) strategic plans and other key initiatives; and (c) population healthcare planning needs, including areas of deficiency, oversupply, and expected future need. This level of interaction generates an ongoing dialogue that affords the supported hospitals and their leadership a significant voice in HHC decision making on matters of strategic and operational importance. Directors of new supported hospitals that join the system serve on the board of HHC thereby providing additional means for the supporting organizations to have a significant voice in the operations of HHC. FORM 990 SCH A PART IV, SECTION E LINES 3A & 3B While the supported organizations maintain significant voices in the operations of HHC, HHC is the parent organization of the overall health system and, both through its ability to appoint and remove the directors of the supported organizations and certain reserved powers over the operations of the supported organizations, exercises a substantial degree of control over the policies, programs and activities of each supported organization. In addition, HHC exclusively engages in activities that further the charitable purposes of the supported organizations that would be carried on by the supported hospitals directly were it not for the existence of HHC. To that end, and far beyond the revenues and expenses of the Form 990, HHC provides significant oversight to the supported organizations to ensure that the entire health care system is operated in a charitable manner that best serves the health needs of the communities serviced by the HHC health care system while reducing costs, improving quality and increasing patient satisfaction. 1 1 0 0 0 0 1 130900 0 1 326790 457690 0 Part II-B, Line 1: Hartford HealthCare Corporation incurred $457,690 of lobbying expenditures for FY17. Kenneth Przybysz, LLC provided lobbying services on behalf of the organization during the fiscal year. Efforts mainly include the lobbying of Connecticut State Legislators in the interest of tax exempt hospitals in the State of Connecticut, while Coalition to Protect America's Health Care and McDermott Consulting concentrated on federal issues. In addition, the Organization occasionally asks its employees to volunteer their time to contact their legislators and also utilizes management time to lobby on its behalf at the Federal and State levels. 7174941 1126163 6048778 15463205 5355393 10107812 259978194 80317121 179661073 91099285 91099285 286916948 Longterm Investments in Affiliates 563908801 C 563908801 Intercompany Allocation - Bond Debt 682702487 Due From/To Affiliates 4909486 Deferred Liability 5402833 SERP Assets 1156693 Bond Billing 84634 694256133 Program Related Liabilities 18024043 SERP Liability 6061363 TD Bank - Line of Credit 72081305 Accrued Malpractice 3775381 Bond Accrued Liabilities 5451230 105393322 Central America/Caribbean 1 2 Program Service - Captive Insurance Insurance Premiums 34970975 Central America/Caribbean 1 2 Investment In Captive 88560251 East Asia and the Pacific 0 0 Program Service Marketing 39378 2 4 0 0 2 4 123570604 0 123570604 1 0 1 0 0 0 Sch F, Part I, Line 3 The Audited Financial Statements for the Investment in Captive were prepared according to US Generally Accepted Accounting Principles (GAAP). Insurance Premiums are being reported on an cash basis. X X 0 0 X X X X X X 1 1 0 0 0 0 0 1 0 Elliot Joseph Director & CEO 1252602 0 828567 0 552698 0 26500 0 118018 0 2778385 0 0 0 Jeffrey Flaks President & COO 824819 0 659551 0 263334 0 21200 0 35487 0 1804391 0 80266 0 Margaret Marchak Secretary & CLO 453679 0 186949 0 35549 0 90285 0 41048 0 807510 0 0 0 Charles Johnson Board Treasurer, EVP & CFO 596488 0 258353 0 13860 0 101698 0 35543 0 1005942 0 0 0 David Whitehead EVP 578564 0 222671 0 84385 0 18550 0 37813 0 941983 0 0 0 Tracy Church EVP 423528 0 174765 0 300611 0 18550 0 33103 0 950557 0 189038 0 James Cardon MD EVP 488979 0 214349 0 36355 0 84047 0 38186 0 861916 0 0 0 Rocco Orlando III MD SVP 557951 0 210173 0 168139 0 34450 0 39778 0 1010491 0 0 0 Bimal Patel SVP 445964 0 185926 0 16250 0 91278 0 12249 0 751667 0 0 0 Stuart Markowitz MD SVP 549957 0 208864 0 43890 0 90196 0 40849 0 933756 0 0 0 Karen Goyette SVP 212930 0 72840 0 1853 0 20616 0 34932 0 343171 0 0 0 Gerald Boisvert SVP 421729 0 162087 0 29741 0 74588 0 37021 0 725166 0 0 0 Richard Shirey SVP 407181 0 172677 0 24733 0 90091 0 43748 0 738430 0 0 0 Richard Stys SVP 432815 0 169095 0 86164 0 18550 0 30191 0 736815 0 0 0 Rita Parisi SVP 305901 0 99794 0 58716 0 44161 0 27777 0 536349 0 0 0 Lucille Janatka SVP 583444 0 234623 0 25938 0 18550 0 45457 0 908012 0 0 0 Patricia Rehmer SVP 309407 0 115166 0 4479 0 59625 0 14691 0 503368 0 0 0 Vincent DiBattista SVP 363372 0 120698 0 5315 0 65956 0 34626 0 589967 0 0 0 Peter Yu MD SVP & Physician-in-Chief 255850 0 73000 0 4959 0 44747 0 37364 0 415920 0 0 0 Sabet Hashim MD SVP & Co-Physician in Chief 0 704733 0 0 0 861 0 16600 0 29565 0 751759 0 0 Paul Thompson MD Co-Physician in Chief 0 558323 0 0 0 1722 0 34450 0 30788 0 625283 0 0 James Fantus VP 175221 0 0 0 859915 0 12140 0 21130 0 1068406 0 0 0 John Greene MD VP 475784 0 132165 0 53020 0 18550 0 48165 0 727684 0 0 0 Harold Schwartz MD VP 476878 0 117198 0 32871 0 34450 0 44470 0 705867 0 0 0 Barry Stein VP 496798 0 121382 0 2120 0 18550 0 36001 0 674851 0 0 0 Daniel Lohr VP 362354 0 114851 0 105430 0 92550 0 35903 0 711088 0 0 0 Part I, Line 1a Starting in 2013, the organization implemented a written Tax Gross Up policy which restricts the use of future gross ups. The box related to health or social club dues or initiation fees is checked. Hartford HealthCare Corporation maintains a membership at the Hartford Club. The Hartford Club does not allow for corporate membership, therefore, the membership fee is paid directly to the Club, but the account is assigned to an individual executive. This executive does not derive any personal benefit from the use of the Club, and any use is for business purposes such as meetings/lunches/dinners etc. The executive is not taxed, and is required to sign an annual attestation that he does not derive any personal benefit from the use of this membership. The membership resides at Hartford HealthCare Corporation and can be reassigned at will. Part I, Line 1b Tax indemnification and gross-up payments to individuals for benefits were included as taxable income on their 2016 Form W-2. Part I, Line 3 The Independent Executive Compensation Committee (Committee) of the Board of Directors of Hartford HealthCare, hires an outside consultant, Integrated Healthcare Strategies, a division of Gallagher Benefit Services, Inc., to determine best practices in governing executive compensation. Please refer to compensation narrative reported on Schedule O. Part I, Lines 4a-b In 2016, James Fantus (Key Employee) received a lump sum severance payment in the amount of $843,082. Hartford Healthcare Corporation maintains a 457(f) Supplemental Executive Retirement Plan (SERP). Participants include certain officers and key employees at the CEO, President, Executive Vice President, Senior Vice President and Vice President levels. Contributions are made by Hartford Healthcare Corporation to the plan based on a percentage of the participant's compensation. Participants vest in the plan at the earlier of reaching age 55 and having 5 years of service, death, disability, involuntary separation without reasonable cause, upon reaching age 65 or the occurrence of a change in control. Each participant ceases to be eligible for further contributions by Hartford Healthcare Corporation on the date of the participant's separation from service. Participants receive a one-time lump sum payment of the accumulated amount during the 30-day period following the participant's separation from service. 2016 SERP Accruals were made on behalf of the following individuals: Bimal Patel $58,694 Charles Johnson $83,148 David Whitehead $75,587 Elliot Joseph $431,545 Gerald Boisvert $56,038 James Cardon $65,497 Jeffrey Flaks $200,435 Margaret Marchak $60,847 Patricia Rehmer $41,075 Peter Yu $26,471 Richard Shirey $56,249 Richard Stys $56,672 Rita Parisi $37,936 Rocco Orlando $72,449 Stuart Markowitz $71,646 Tracy Church $272,183 Vincent DiBattista $47,406 2016 SERP Payouts were made on behalf of the following individuals: James Fantus $8,899 Daniel Lohr $74,000 Elliot Joseph $261,141* David Whitehead $34,339* Richard Stys $23,423* Tracy Church $130,674* Rita Parisi $16,782* Rocco Orlando $33,648* Jeffrey Flaks $98,710* *For these individuals, vesting occurred, causing taxable income. A portion of the vested amount was used to pay the associated tax liability. The remaining balance was deposited into the employee SERP account. Part I, Line 7 Hartford HealthCare Corporation has a Compensation At Risk Plan that encourages and rewards achievements of significant functional goals. These goals contribute to the organization's strategic and financial direction. The plan utilizes market practice alignment to ensure competitive recruitment and retention. Awards are based on CEO and/or Hartford HealthCare Corporation's Compensation Committee discretionary assessment of overall organization performance and individual contribution to results. A State of Connecticut Health & Education Facilities Authority 060806186 20774YCZ8 2011-09-29 330863039 Refund portions of existing debt and obtain funds for future capital needs. 0 0 1 B State of Connecticut Health & Education Facilities Authority 060806186 20774YQK6 2014-03-26 85958709 Refund portions of existing debt and obtain funds for future capital needs. 0 0 1 C State of Connecticut Health & Education Facilities Authority 060806186 20774YVKO 2015-05-12 126868188 Funding for future capital needs 0 0 1 A 332472552 19572000 4652264 5147010 302296499 2012 0 1 1 1 B 85962914 1438989 1066082 83582874 2014 0 0 1 1 C 126925969 1868188 55615619 61425344 7962366 2015 0 0 0 1 A 0 1 1 1 1 1 0.01830 0.01830 0 0 0 B 0 1 1 1 1 1 0 0 0 C 0 1 1 1 1 1 0 0 0 A 0 0 0 1 1 0 0 0 0 B 0 1 0 0 1 0 0 0 0 C 0 1 0 0 1 0 0 0 0 A 1 B 1 C 1 Date Rebate Computation Performed Issuer Name: State of Connecticut Health & Education Facilities Authority. Date the Rebate Computation was Performed: 10/01/2017 Form 990, Schedule K On September 29, 2011 Hartford HealthCare Corporation (Corporation) issued approximately $330,863,000 of CHEFA Revenue Bonds Series A & B. In conjunction with the issuance of the HHC 2011 Bonds, an obligated group was formed. The members of the obligated group are the Corporation, Hartford Hospital, The Hospital of Central Connecticut, Windham Community Memorial Hospital and MidState Medical Center (collectively referred to as the Obligated Group). The Obligated Group members are identified as either an obligated group member or a designated affiliate. Obligated Group members are jointly and severally liable under a Master Trust Indenture (MTI) to make all payments required with respect to obligations under the MTI. The Corporation does have the right to name designated affiliates, although presently none exist. Though designated affiliates are not obligated to make debt service payments on the obligations under the MTI, each designated affiliate would have an independent designated affiliate agreement and promissory note with the Corporation with stipulated repayment terms and conditions, each subject to the governing law of the obligated groups' state of incorporation. In addition, the Corporation may cause each designated affiliate to transfer such amounts as necessary to enable the obligated group members to comply with the term of the MTI, including payment of the outstanding obligations. Effective January 2014, The William W. Backus Hospital became part of the Obligated Group. On March 26, 2014, the Corporation issued approximately $83,790,000 of CHEFA Revenue Bonds Series E. The 2011 and 2014 Bonds were issued to refund portions of existing debt under Corporation and to obtain funds for future capital needs. Effective May 12, 2015 the Corporation issued approximately $126,860,000 of CHEFA Revenue Bonds Series F & G. The 2015 Bonds were issued to obtain funding for future capital needs. Schedule K, Part III, Line 4 HHC monitors and calculates percent of private business use on an annual basis or if a significant event occurs during the year. Form 990, Part VI, Section B, line 11b The Form 990 was prepared by Hartford HealthCare's Tax Department. It was then reviewed by an independent accounting firm. It was then forwarded to the organization's top management including the SVP of Financial Operations for review. The final Form was provided to the entire Board prior to submission to the Internal Revenue Services (IRS). Once the entire review process was completed, the Form was signed by the SVP of Financial Operations and then filed with the IRS. Form 990, Part VI, Section B, line 12c HHC's Conflict of Interest Policy (Policy) requires all covered individuals, including board members and officers, to provide a disclosure of relationships that create or have the appearance of creating a conflict of interest or commitment. The Policy requires updates if changes in circumstances arise during the year that either (a) create a new potential conflict of interest or commitment or (b) change or eliminate a conflict of interest or commitment previously disclosed. Conflict of interest disclosure statements are maintained by the HHC Office of Compliance and Integrity (OCI). Employee disclosures are reviewed by OCI in collaboration with the Covered Individuals' supervisor when deemed appropriate, to determine if there is a potential conflict. Oversight review of employee disclosures is provided by the Executive Compliance Steering Committee ("ECSC") (the Committee) which includes representation from the Medical Staff, the Legal Department, Human Services, Supply Chain Management and Compliance. The Committee assesses and may recommend the conflicting interest either be (a) eliminated for continued relationship with HHC, or, (b) managed through a management plan. Board member disclosures are reported to the HHC Nominating and Governance Committee for determinations of conflicts and the management of them, where applicable. Form 990, Part VI, Section B, line 15 The Independent Executive Compensation Committee (Committee) of the Board of Directors of Hartford HealthCare hires an outside consultant, Integrated Healthcare Strategies, a division of Gallagher Benefit Services, Inc., to determine best practices in governing executive compensation for the CEO and Senior Executives of Hartford HealthCare Corporation. All compensation reported on this tax return follows Hartford HealthCare's compensation policy as outlined below: -The use of Independent Executive Compensation Committee (Committee) of the Board of Directors of Hartford HealthCare established and regularly reviews Executive Compensation Philosophy; -The Committee regularly reviews scope and depth of positions taking into account complexity and the financial impact and accountability of all "disqualified persons; - National peer group are selected for comparative purpose based on organizational size, operating revenue, geography and other relevant factors; - Analysis of current total compensation versus market performed by independent third party compensation consulting firm, reviewed by the committee; - Recommendations are made based on market data analysis to ensure appropriate competitive positioning within parameters of compensation philosophy; - CEO compensation determined by Committee is based on comparative market information and organizational performance and is approved by the HHC Board; - All changes are reviewed and approved by Executive Compensation Committee; The compensation determination process for the CEO and other Senior Executives is reviewed on an annual basis. Form 990, Part VI, Section C, line 18 The Organization's Form 990, 990T and Form 1023 and its attachments are available upon request. Form 990, Part VI, Section C, line 19 The Organization's Financial Statements, Governing Documents and the Conflict of Interest Policy are available for inspection upon request at the Organization's address. Form 990, Part XI, line 9: Transfers To Affiliates -2,035,000. True Up of K-1 Income -4,150. Rounding -684. Form 990, Part XII, Line 3a & b The Organization itself is not required to undergo the audit, however, the Organization is a parent to several acute care hospitals. The individual hospitals were required to undergo OMB Circular A-133 Audit. The audit itself was performed on a parent level with consolidation of affiliated hospitals and subsidiaries. Hartford HealthCare Laboratories LLC 80 Seymour Street Hartford CT 06102 061525596 Laboratory Services CT 11558000 5736000 Hartford HealthCare Corporation Practice Central LLC 85 Seymour Street Hartford CT 06102 364692507 Health Care & Health Delivery CT 0 0 Hartford HealthCare Corporation Integrated Care Partners LLC One State Street Suite 19 Hartford CT 06103 371740267 Integration of Electronic Health System & Data Sharing Services CT 7891000 11241000 Hartford HealthCare Corporation Hartford Hospital 80 Seymour Street Hartford CT 06102 060646668 Healthcare Services CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Windham Community Memorial Hospital Inc 112 Mansfield Ave Willimantic CT 06226 060646966 Healthcare Services CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Windham Hospital Foundation Inc 112 Mansfield Ave Willimantic CT 06226 562546632 Supporting Organization CT 501(C)(3) 12(a) Windham Community Memorial Hospital 1 Connecticut Health System Inc 80 Seymour Street Hartford CT 06102 222779421 Coordination of Health Delivery CT 501(C)(3) 12(c) Hartford HealthCare Corporation 1 1 Natchaug Hospital Inc 189 Storrs Road Mansfield Ctr CT 06226 060966963 Behavioral Health CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Hartford HealthCare At Home Inc 1290 Silas Deane Hwy Suite 4B Wethersfield CT 06109 060646938 Home Healthcare CT 501(C)(3) 7 Hartford HealthCare Corporation 1 Rushford Center Inc 883 Paddock Avenue Meriden CT 06450 060932875 Substance Abuse Healthcare Services CT 501(C)(3) 7 Hartford HealthCare Corporation 1 MidState Medical Center 435 Lewis Avenue Meriden CT 06451 060646715 Healthcare Services CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Hartford Hospital Auxiliary co Hartford Hospital 80 Seymour Street Hartford CT 06115 066040747 Fundraising CT 501(C)(3) 12(b) Hartford Hospital 1 Hartford HealthCare Independence at Home Inc 1290 Silas Deane Hy Suite 4B Wethersfield CT 06109 061161422 Home Healthcare CT 501(C)(3) 10 Hartford HealthCare at Home Inc 1 WCMH Women's Auxiliary Inc 112 Mansfield Ave Willimantic CT 06226 060677728 Fundraising CT 501(C)(3) 12(a) Windham Community Memorial Hospital 1 The Hospital of Central CT and Bradley Memorial 100 Grand Street New Britain CT 06050 060646768 Healthcare Services CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Hartford HealthCare Senior Services Inc 45 Meriden Avenue Southington CT 06489 222635676 Sub-Acute & Long Term Healthcare CT 501(C)(3) 10 Hartford HealthCare Corporation 1 1 The Orchards of Southington 34 Hobart Street Southington CT 06489 061490803 Residential Services for Senior Citizens CT 501(C)(3) 10 Hartford HealthCare Senior Services Inc 1 Mulberry Gardens of Southington LLC 58 Mulberry Street Plantsville CT 06479 820586577 Assisted Living & Adult Day Care Facility CT 501(C)(3) 10 Hartford HealthCare Senior Services Inc 1 MidState Medical Center Auxiliary 435 Lewis Avenue Meriden CT 06451 066063082 Fundraising CT 501(C)(3) 12(a) Midstate Medical Center 1 Hartford HealthCare Medical Group Inc 1290 Silas Deane Highway 2nd Floor Wethersfield CT 06109 454456939 Medical Services CT 501(C)(3) 10 Hartford HealthCare Corporation 1 Hartford HealthCare ACO Inc 1290 Silas Deane Highway 2nd Floor Wethersfield CT 06109 460886367 Government Contracts CT 501(C)(3) 7 Hartford HealthCare Medical Group Inc 1 Backus Corporation 326 Washington Street Norwich CT 06360 222757608 Support Organization CT 501(C)(3) 12(b) Hartford HealthCare Corporation 1 The William W Backus Hospital 326 Washington Street Norwich CT 06360 060250773 Hospital CT 501(C)(3) 3 Hartford HealthCare Corporation 1 Backus HealthCare Inc 326 Washington Street Norwich CT 06360 222481794 Support Organization CT 501(C)(3) 12(a) Hartford HealthCare Corporation 1 Rushford Foundation Inc 883 Paddock Avenue Meriden CT 06450 061432692 Support Organization CT 501(C)(3) 12(a) Rushford Center Inc 1 Hartford HealthCare Endowment LLC 80 Seymour Street Hartford CT 06102 454181103 Investment Management CT 501(C)(3) 12(a) Hartford HealthCare Corporation 1 Caring for Colleagues Employee Crisis Fund 100 Grand Street New Britain CT 06052 264469178 Employee Fund CT 501(C)(3) 7 Hartford HealthCare Corporation 1 New Britain MRI Limited Partnership 100 Grand Street New Britain CT 06050 061271349 Magnetic Resonance Imaging CT N/A Ambulance Service of Manchester LLC PO Box 300 Manchester CT 06450 061557358 Ambulatory Service CT N/A Related 1742215 4241592 0 0 0.50000 Glastonbury Surgery Center LLC 195 Eastern Boulevard Glastonbury CT 06033 262600828 Surgery Services CT N/A Hartford - Middlesex Clinical System LLC 80 Seymour Street Hartford CT 06110 061543605 Affiliate Support Services CT N/A Med East Association LLC 1703 West Main Street Willimantic CT 06226 061469575 Outpatient Care Clinic CT N/A Connecticut Imaging Partners LLC 111 Founders Plaza East Hartford CT 06108 134298940 Imaging Services CT N/A Glastonbury Endoscopy Center LLC 300 Western Blvd Suite B Glastonbury CT 06033 261721234 Endoscopy Services CT N/A Omni Home Health Svcs E CT LLC dba Backus Home Health Care 12 Case Street - 317 Norwich CT 06360 061458837 Home Health Care Services CT N/A HHC Southington Surgery Center LLC 100 Avon Meadow Lane Avon CT 06001 465500829 Surgery Services CT N/A Constitution Surgery Center East LLC 174 Cross Road Waterford CT 06385 061574704 Surgery Services CT N/A CT GI Endoscopy Center LLC (Bloomfield) 4 Northwestern Drive Bloomfield CT 06002 061573358 GI Services CT N/A HHC Hartford Surgery Center LLC 100 Avon Meadow Lane Avon CT 06001 812637261 Surgery Services CT N/A HHC Urgent Care Go Health LLC 2711 Centerville Road Suite 400 Willington DE 19808 815112698 Urgent Care Services DE N/A Related 1 0 0.50000 Wallingford Endoscopy Center LLC 85 Seymour Street Suite 1000 Hartford CT 06106 824601730 Endoscopy Services CT N/A HHMOB Corporation 80 Seymour Street Hartford CT 06102 061140244 Real Estate & Parking CT Hartford HealthCare Corporation C 36844000 34995000 1.00000 1 Hartford HealthCare Indemnity Services Ltd 40 Church Street Hamilton BD Captive Insurance BD Hartford HealthCare Corporation C 46429000 236661000 1.00000 1 CenConn Services Inc 100 Grand Street New Britain CT 06050 222836001 Holding Company CT N/A C 1 MidState Medical Group PC 435 Lewis Street Meriden CT 06450 204327968 Medical Services CT N/A C 1 Hartford Physician Services PC 80 Seymour Street Hartford CT 06102 061254082 Medical Services CT N/A C 1 Meriden Imaging Center 101 North Plains Industrial Road Meriden CT 06429 061541468 Imaging CT N/A S 1 Hartford Physician Hospital Organization Inc 80 Seymour Street Hartford CT 06102 222785918 Physician & Hospital Support CT N/A C 1 Aetna Ambulance Service Inc PO Box 1150 Manchester CT 06045 060795431 Ambulance Services CT N/A C 6341490 2493871 0.50000 1 Metro Wheelchair Service Inc PO Box 300 Manchester CT 06045 060878432 Wheelchair Services CT N/A C 6 18716 0.50000 1 WWB Corporation 326 Washington Street Norwich CT 06360 061094836 Holding Company CT N/A C 1 ConnCare Inc 326 Washington Street Norwich CT 06360 061387598 Health Care Services CT N/A C 1 Backus Medical Center Condo Assoc Inc 330 Washington Street Norwich CT 06360 061542647 Condo Association CT N/A C 1 Windham Professional Office Condominium Association Inc 112 Mansfield Avenue Willimantic CT 06226 061090041 Condo Association CT N/A C 1 1 0 0 0 0 0 0 0 0 0 0 0 1 0 1 1 1 1 1 Southington Care Center O 3104451 FMV Southington Care Center S 4472938 FMV The Hospital of Central Connecticut A 219997 FMV The Hospital of Central Connecticut M 946490 FMV The Hospital of Central Connecticut O 37958115 FMV The Hospital of Central Connecticut P 559619 FMV The Hospital of Central Connecticut Q 50373981 FMV The Hospital of Central Connecticut R 4665345 FMV The Hospital of Central Connecticut S 68383662 FMV MidState Medical Center M 851370 FMV MidState Medical Center O 17409193 FMV MidState Medical Center P 420044 FMV MidState Medical Center Q 74300338 FMV MidState Medical Center R 12468107 FMV MidState Medical Center S 51101542 FMV Hartford HealthCare Medical Group Inc M 922738 FMV Hartford HealthCare Medical Group Inc O 29288725 FMV Hartford HealthCare Medical Group Inc P 785406 FMV Hartford HealthCare Medical Group Inc Q 38713218 FMV Hartford HealthCare Medical Group Inc R 103028063 FMV Hartford HealthCare Medical Group Inc S 40466332 FMV Hartford HealthCare at Home Inc O 8335634 FMV Hartford HealthCare at Home Inc Q 5209204 FMV Hartford HealthCare at Home Inc R 159292 FMV Hartford HealthCare at Home Inc S 10351489 FMV Mulberry Gardens at Southington O 1233464 FMV Mulberry Gardens at Southington S 73327 FMV The William Backus Hospital O 25947801 FMV The William Backus Hospital Q 208587 FMV The William Backus Hospital R 2443534 FMV The William Backus Hospital S 91902124 FMV Windham Community Memorial Hospital M 203090 FMV Windham Community Memorial Hospital O 9063617 FMV Windham Community Memorial Hospital P 256316 FMV Windham Community Memorial Hospital Q 27079084 FMV Windham Community Memorial Hospital R 11658233 FMV Windham Community Memorial Hospital S 20383225 FMV Natchaug Hospital O 4977132 FMV Natchaug Hospital P 142092 FMV Natchaug Hospital Q 7028128 FMV Natchaug Hospital R 144415 FMV Natchaug Hospital S 6790203 FMV HHMOB Corporation A 245389 FMV HHMOB Corporation O 342654 FMV HHMOB Corporation Q 5553769 FMV HHMOB Corporation R 100138 FMV HHMOB Corporation S 969188 FMV Rushford Center Inc O 4706068 FMV Rushford Center Inc P 114549 FMV Rushford Center Inc Q 4537237 FMV Rushford Center Inc S 3929331 FMV Backus Health Care Inc S 1391759 FMV Hartford HealthCare Rehabilitation Network LLC O 466807 FMV Hartford HealthCare Rehabilitation Network LLC Q 404050 FMV Hartford HealthCare Rehabilitation Network LLC R 125200 FMV Hartford HealthCare Rehabilitation Network LLC S 864920 FMV Hartford HealthCare Independence at Home Inc Q 576361 FMV The Orchards at Southington O 405208 FMV The Orchards at Southington S 102629 FMV Southington Care Center (Mgmt Group) O 108459 FMV Hartford HealthCare Indemnity Services Ltd R 34970975 FMV Hartford Hospital M 6232958 FMV Hartford Hospital O 121714447 FMV Hartford Hospital P 4096732 FMV Hartford Hospital Q 489489229 FMV Hartford Hospital R 45452234 FMV Hartford Hospital S 249213017 FMV Integrated Care Partners O 5906594 FMV Integrated Care Partners P 4276833 FMV Integrated Care Partners Q 10741660 FMV Integrated Care Partners S 1771086 FMV Hartford HealthCare Laboratories LLC O 2415092 FMV Hartford HealthCare Laboratories LLC P 115984 FMV Hartford HealthCare Laboratories LLC Q 7134493 FMV Hartford HealthCare Laboratories LLC R 461615 FMV Hartford HealthCare Laboratories LLC S 481330 FMV