2018-08-13T14:43:20-05:00 2017-09-30 135565207 KPMG LLP 1601 MARKET STREET PHILADELPHIA PA 19103 990 2016-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORPORATION YALE 2036886088 789 HOWARD AVENUE NEW HAVEN CT 06519 VINCENT TAMMARO EXECUTIVE VP & CFO 2036886088 2018-08-13 0 PHILLIP E GROFF P01247783 2672561756 2016 2022-09-23 18:48:47Z MARNA BORGSTROM 789 HOWARD AVE NEW HAVEN CT 06519 564732855 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 20 18 2675 19 3259969 -1276701 0 0 503368906 550654643 618521 -360423 11059363 5994328 515046790 556288548 496122 434015 0 0 254461742 293292890 0 0 0 238664336 258416710 493622200 552143615 21424590 4144933 1600675101 1519773517 1146369896 1060994713 454305205 458778804 X TO FURTHER INNOVATION AND EXCELLENCE IN PATIENT CARE, TEACHING, RESEARCH AND SERVICE TO ITS COMMUNITIES AND SUPPORT ITS MEMBER HEALTHCARE ORGANIZATIONS. 0 0 430546315 434015 553389137 SEE SCHEDULE O 430546315 1 0 0 0 0 0 0 0 0 0 1 0 1 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 492 0 0 2675 1 1 1 1 CJ 0 0 0 0 0 0 0 0 X 20 18 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X DENIS DONEGAN 2036886088 789 HOWARD AVE NEW HAVEN CT 06519 MARNA BORGSTROM CEO/TRUSTEE 16.00 24.00 X X 1086325 1629487 942078 VINCENT CALARCO CHAIRMAN/TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO SECRETARY/TRUSTEE 1.00 1.00 X X 0 0 0 JOHN FALCONI - EFF 10116 TRUSTEE 1.00 1.00 X 0 0 0 MARY FARRELL TRUSTEE 1.00 1.00 X 0 0 0 CARLTON HIGHSMITH TRUSTEE 1.00 0.00 X 0 0 0 R ALAN HUNTER TRUSTEE 1.00 6.00 X 0 0 0 THOMAS KETCHUM TRUSTEE 1.00 1.00 X 0 0 0 JOHN LAHEY TRUSTEE 1.00 1.00 X 0 0 0 MARVIN LENDER TRUSTEE 1.00 1.00 X 0 0 0 NEWMAN MARSILIUS III TRUSTEE 1.00 2.00 X 0 0 0 JULIA MCNAMARA VICE CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 BARBARA MILLER TRUSTEE 1.00 1.00 X 0 0 0 STEPHEN MURPHY - EFF 10116 TRUSTEE 1.00 1.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 X 0 0 0 MEREDITH REUBEN TRUSTEE 1.00 1.00 X 0 0 0 PETER SALOVEY TRUSTEE 1.00 1.00 X 0 0 0 ELLIOT SUSSMAN TRUSTEE 1.00 0.00 X 0 0 0 JAMES TORGERSON TRUSTEE 1.00 1.00 X 0 0 0 JOHN TOWNSEND III TRUSTEE 1.00 3.00 X 0 0 0 STEPHEN ALLEGRETTO VP 1.00 39.00 X 16865 545305 197150 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 192936 822516 314827 THOMAS BALCEZAK - EFF 10116 SR. VP 1.00 39.00 X 0 909366 299263 GAYLE CAPOZZALO EXECUTIVE VP 37.00 3.00 X 1276780 0 115932 EUGENE COLUCCI VP (CURRENT YEAR COMP) 4.00 36.00 X 62417 561751 102391 EUGENE COLUCCI VP (VESTED DEFERRED COMP) 4.00 36.00 X 243528 2191748 0 BRUCE CUMMINGS - END 52717 EXECUTIVE VP 1.00 39.00 X 0 1752901 48773 RICHARD D'AQUILA PRESIDENT (CURRENT YEAR COMP) 8.00 32.00 X 413482 1653929 209613 RICHARD D'AQUILA PRESIDENT (VESTED DEFERRED COMP) 8.00 32.00 X 1001003 4004014 0 MICHAEL DIMENSTEIN VP 2.00 38.00 X 28605 600077 85981 PATRICK GREEN - EFF 6517 EXECUTIVE VP 1.00 39.00 X 0 0 0 WILLIAM JENNINGS EXECUTIVE VP 8.00 32.00 X 231187 924749 356718 NANCY LEVITT-ROSENTHAL VP (CURRENT YEAR COMP)-END 12/31/16 8.00 32.00 X 92790 371160 78007 NANCY LEVITT-ROSENTHAL VP(VESTED DEFERRED COMP)END 12/31/16 8.00 32.00 X 372997 1491988 0 PATRICK MCCABE SR. VP 28.00 12.00 X 503192 215653 256481 JAMES MORRIS VP 2.00 38.00 X 15137 393950 152062 KEVIN MYATT SR. VP 16.00 24.00 X 335724 503587 278672 CHRISTOPHER O'CONNOR EXECUTIVE VP/COO 34.00 6.00 X 1244457 0 435873 VINCENT PETRINI SR. VP 1.00 39.00 X 0 649977 216662 NORMAN ROTH EXECUTIVE VP 8.00 32.00 X 301620 1206479 159782 CAROLYN SALSGIVER VP 1.00 39.00 X 0 439458 159683 PAMELA SCAGLIARINI SR. VP 1.00 39.00 X 0 632697 238652 JOHN SKELLY VP 4.00 36.00 X 62220 559981 215984 LISA STUMP - EFF 10116 SR. VP 8.00 32.00 X 115219 460878 101994 VINCENT TAMMARO EXECUTIVE VP/CFO/TREASURER 16.00 24.00 X 401160 601741 305189 MELISSA TURNER VP 1.00 39.00 X 0 428518 152294 PRATHIBHA VARKEY SR. VP 8.00 32.00 X 103311 413244 129108 DAVID WURCEL VP 1.00 39.00 X 0 599521 110060 JOSEPH BISSON VP 40.00 0.00 X 514023 0 88521 STEPHEN CARBERY VP 40.00 0.00 X 422097 0 87453 MATTHEW COMERFORD VP 40.00 0.00 X 556602 0 100970 ALAN KLIGER SR. VP 40.00 0.00 X 850386 0 104319 MICHAEL LOFTUS VP 40.00 0.00 X 535440 0 94991 DANIEL BARCHI FORMER OFFICER 0.00 0.00 X 289941 0 0 FRANK CORVINO FORMER OFFICER 0.00 0.00 X 1016250 139574 0 WILLIAM GEDGE FORMER OFFICER 0.00 0.00 X 1024329 0 90761 PETER HERBERT FORMER OFFICER 0.00 0.00 X 247850 78071 0 ROBERT NORDGREN FORMER OFFICER 0.00 0.00 X 216732 0 0 JAMES STATEN FORMER OFFICER 0.00 0.00 X 904824 0 2820 14679429 24782320 6233064 624 1 1 0 EPIC SYSTEMS CORPORATION 1979 MILKY WAY VERONA WI 53593 CONSULTING 12274257 ALLEGIS GROUP HOLDINGS INC PO BOX 198568 30384-8568 ATLANTA GA 303848568 CONSULTING 2471758 CENTURY FINANCIAL SERVICES 860 N MAIN STREET EXT WALLINGFORD CT 06492 COLLECTIONS 2334303 TOWERS WATSON DELAWARE INC 901 NORTH GLEBE ROAD SUITE 600 ARLINGTON VA 22203 CONSULTING 2303917 TOBIN CARBERRY O'MALLEY 43 BROAD STREET NEW LONDON CT 06320 CONSULTING 2222638 150 MANAGEMENT SERVICES 900099 407081212 407081212 SYSTEM SUPPORT SERVICES 900099 52024326 52024326 INSURANCE PREMIUMS 900099 44362124 44362124 MANAGEMENT SERVICES-EPIC 621990 29166316 29166316 EMERGENCY PREPAREDNESS PROGRAM 900099 18020665 18020665 550654643 68027 135 67892 8015857 8444307 -428450 -428450 -428450 CORPORATE CONTRACTING 621990 3259834 3259834 OTHER ANCILLARY INCOME 900099 2734494 2734494 5994328 556288548 553389137 3259969 -360558 X 434015 434015 9761722 976172 8785550 219411952 177493107 41918845 10638828 8239684 2399144 38334342 29689629 8644713 15146046 11730487 3415559 7094069 7094069 2330821 2330821 69256479 53638568 15617911 1765928 1367696 398232 71688187 55521905 16166282 2593927 2008975 584952 54219687 41992697 12226990 40535644 40535644 TELEPHONE & DATA COMMUN 7259035 5622062 1636973 DUES, FEES & MEMBERSHIP 1648411 1276681 371730 BOOKS & SUBSCRIPTIONS 24522 18993 5529 552143615 430546315 121597300 0 47364273 57260232 945789133 892875321 28877477 27330809 392641236 286558673 110655373 106082563 48866348 8443072 367072392 375731415 52050105 52050105 1600675101 1519773517 103938861 92166113 102374499 74831478 810532314 798002585 129524222 95994537 1146369896 1060994713 X 454305205 458778804 454305205 458778804 1600675101 1519773517 4144933 328666 0 X 0 1 X 1 1 1 X X 5 YALE NEW HAVEN HOSPITALINC 060646652 3 1 0 0 BRIDGEPORT HOSPITAL 060646554 3 1 0 0 GREENWICH HOSPITAL 060646659 3 1 0 0 NORTHEAST MEDICAL GROUP INC 061330992 10 1 64354491 0 LAWRENCE MEMORIAL HOSPITAL INC 060646704 3 1 0 0 5 64354491 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 PART IV, SECTION A, LINE 1 IN ADDITION TO THE ORGANIZATIONS EXPRESSLY NAMED IN ITS CERTIFICATE OF INCORPORATION, THE ORGANIZATION'S CERTIFICATE OF INCORPORATION PROVIDES THAT IT SHALL SUPPORT SUCH OTHER ORGANIZATIONS AS MAY FROM TIME TO TIME BECOME AFFILIATED WITH THE ORGANIZATION. PART IV, SECTION B, LINE 1 AS THE PARENT ORGANIZATION OF AN INTEGRATED HEALTH CARE DELIVERY SYSTEM, THE ORGANIZATION IS RESPONSIVE TO THE NEEDS AND DEMANDS OF ITS MEMBER HOSPITALS AND OTHER HEALTH CARE PROVIDERS (REFERRED TO AS DELIVERY NETWORKS). THE ORGANIZATION CREATES VALUE FOR THE DELIVERY NETWORKS AND SUPPORTS THEIR OPERATIONS BY CENTRALIZING CERTAIN ADMINISTRATIVE SERVICES WITHIN THE ORGANIZATION AND SPREADING THE COSTS OF THESE SERVICES ACROSS ALL OF THE DELIVERY NETWORKS. IN THIS WAY, THE DELIVERY NETWORKS OBTAIN THE SERVICES, EXPERTISE, INFRASTRUCTURE AND ECONOMIES OF SCALE OF A MUCH LARGER HEALTH SYSTEM. SYSTEM-WIDE SERVICES INCLUDE, IN PART, POPULATION HEALTH TECHNOLOGY, BILLING, INFORMATION TECHNOLOGY INFRASTRUCTURE, COMPLIANCE AND LEGAL AND RISK MANAGEMENT. SUPPORTING THESE "BACK OFFICE" SERVICES AND OTHER VALUE-CREATING ATTRIBUTES ALLOW THE DELIVERY NETWORKS TO FREE UP MEASURABLE RESOURCES, GENERATE NEW REVENUE FOR INVESTMENT IN THEIR RESPECTIVE LOCAL AND REGIONAL MISSIONS AND FOCUS ON PATIENT OUTCOMES AND THE HEALTH OF THE COMMUNITIES THEY SERVE. THE CHAIRS OF YALE NEW HAVEN HOSPITAL, BRIDGEPORT HOSPITAL, GREENWICH HOSPITAL AND LAWRENCE + MEMORIAL HOSPITAL SERVE, EX-OFFICIO, AS VOTING MEMBERS OF THE ORGANIZATION'S BOARD OF TRUSTEES. FURTHER, A NUMBER OF THE ORGANIZATION'S SENIOR EXECUTIVES HAVE DELIVERY NETWORK SPECIFIC ROLES AND RESPONSIBILITIES AND REPRESENT THE INTERESTS OF THOSE DELIVERY NETWORKS. THE DELIVERY NETWORKS HAVE APPROVAL RIGHTS WITH RESPECT TO, IN PART, ARTICULATING THE LOCAL DIMENSIONS OF THE SYSTEM MISSION, VISION AND VALUES AND STRATEGY, OVERSEEING AND ASSURING PERFORMANCE IN CLINICAL QUALITY AND PATIENT SAFETY, DEVELOPING THE OPERATING AND CAPITAL BUDGETS AND OVERSEEING THEM IN THE CONTEXT OF THE OVERALL SYSTEM BUDGET, OVERSEEING PUBLIC RELATIONS, COMMUNITY ENGAGEMENT, AND LOCAL GOVERNMENT RELATIONS AND APPROVING THE LOCAL COMMUNITY HEALTH NEEDS ASSESSMENT AND IMPLEMENTATION PLAN. 7980000 7980000 5129769 1172301 3957468 365552364 285386372 80165992 13979103 13979103 106082563 INVEST. IN L+M CORP 277307150 C INVEST. IN NEPC/VHA 212272 C INVEST. IN TOTAL HEALTH 765186 C INVEST. IN PATIENT WISDOM 324000 C INVEST. IN MCIC VERMONT 1000000 C INVEST. IN N. SHORE LIJ 542111 C MCIC EQUITY 81519114 C MCIC INVESTMENT 10811582 C INVEST. IN PHYSICIAN ONE URGENT CARE 3000000 C INVEST. IN SILVER HILL URGENT CARE 250000 C 375731415 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 25229951 RETRO INSURANCE CREDIT 17269316 INTEREST RATE SWAP 41720095 95994537 X PART X, LINE 2: YALE NEW HAVEN HEALTH SERVICES CORPORATION IS INCLUDED IN THE CONSOLIDATED YALE NEW HAVEN HEALTH SYSTEM AND SUBSIDIARIES AUDITED FINANCIAL STATEMENTS. FOLLOWING IS THE FOOTNOTE FROM THE CONSOLIDATED FINANCIAL STATEMENTS: MOST ENTITIES WITHIN THE SYSTEM ARE NOT FOR PROFIT CORPORATIONS AS DESCRIBED IN SECTION 501(C)(3) OF THE CODE, AND ARE GENERALLY EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. PROVISIONS FOR INCOME TAXES AND DEFERRED TAXES, WHICH ARE NOT MATERIAL TO THE CONSOLIDATED FINANCIAL STATEMENTS, HAVE BEEN MADE FOR THE TAXABLE ENTITIES LISTED ABOVE UNDER THE DESCRIPTION OF THE SYSTEM. U.S. GAAP REQUIRES THE SYSTEM TO EVALUATE TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN THE COURSE OF PREPARING THE SYSTEM'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE "MORE LIKELY THAN NOT" OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY BASED UPON THE TECHNICAL MERITS OF THE POSITION. THE SYSTEM RECOGNIZES THE EFFECT OF TAX POSITIONS ONLY IF THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. THIS EVALUATION HAD NO IMPACT ON THE OPERATIONS OF THE SYSTEM AS OF AND FOR THE YEAR ENDED SEPTEMBER 30, 2017 AND 2016. 1 ACHIEVEMENT FIRST 495 BLAKE STREET NEW HAVEN CT 06515 651203744 501(C)(3) 10800 SUPPORT MISSION ANTI-DEFAMATION LEAGUE 605 THIRD AVENUE NEW YORK NY 10158 131818723 501(C)(3) 9000 SUPPORT MISSION BEULAH HEIGHTS CHURCH 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 8000 SPONSORSHIP BRISTOL HOSPITAL DEVELOPMENT FOUNDATION BREWSTER ROAD BRISTOL CT 06011 222577740 501(C)(3) 12600 SUPPORT MISSION CHAPEL WEST SPECIAL SERVICES 1205 CHAPEL STREET NEW HAVEN CT 06511 061205893 GOVERNMENT 9000 SUPPORT MISSION EASTERN CONNECTICUT SYMPHONY 289 STATE STREET NEW LONDON CT 06320 066068892 501(C)(3) 9300 SPONSORSHIP FIRST CALVARY BAPTISIT CHURCH 605 DIXWELL AVENUE NEW HAVEN CT 06511 061173497 501(C)(3) 20000 SUPPORT MISSION GATEWAY COMMUNITY COLLEGE FOUNDATION 20 CHURCH STREET NEW HAVEN CT 06510 223135128 501(C)(3) 5450 SUPPORT MISSION GREATER NEW HAVEN CLERGY ASSOC 280 STARR STREET NEW HAVEN CT 06511 061450663 501(C)(3) 5340 SUPPORT MISSION GREATER NEW HAVEN NAACP 545 WHALLEY AVENUE NEW HAVEN CT 06511 066099313 501(C)(3) 25000 SUPPORT MISSION GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646059 501(C)(3) 19700 SPONSORSHIP JUVENILE DIABETES RESEARCH (JDRF INTERNATIONAL) 26 BROADWAY 15TH FLOOR NEW YORK NY 10004 231907729 501(C)(3) 10000 SUPPORT MISSION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS & IDEAS 195 CHRCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 26350 SPONSORSHIP LAWRENCE MEMORIAL HOSPITAL 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 501(C)(3) 7500 SPONSORSHIP NEW HAVEN SYMPHONY ORCHESTRA 4 HAMILTON STREET NEW HAVEN CT 06511 066000592 501(C)(3) 7000 SPONSORSHIP PLANNED PARENTHOOD OF SOUTHERN NEW ENGLAND 345 WHITNEY AVENUE NEW HAVEN CT 06511 060263565 501(C)(3) 10000 SUPPORT MISSION SICKLE CELL DISEASE ASSOCIATION 545 WHALLEY AVENUE NEW HAVEN CT 06511 222699876 501(C)(3) 15000 SUPPORT MISSION SPECIAL OLYMPICS CONNECTICUT 2666 STATE STREET 1 HAMDEN CT 06517 237099756 501(C)(3) 10000 SPONSORSHIP THE TENNIS FOUNDATION 900 CHAPEL ST STE 622 NEW HAVEN CT 06510 061287098 501(C)(3) 140600 SPONSORSHIP VISITING NURSE ASSOCIATION OF SOUTH CENTRAL CONNECTICUT 1 LONG WHARF DRIVE NEW HAVEN CT 06511 060646941 501(C)(3) 11500 SPONSORSHIP VIZIENT FOUNDATION 290 E JOHN CARPENTER FWY IRVING TX 75062 222710552 501(C)(3) 50000 SUPPORT MISSION YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06510 060646652 501(C)(3) 11875 SPONSORSHIP 22 0 PART I, LINE 2: NONE OF THE AMOUNTS REPORTED ON SCHEDULE I, PART II ARE GRANTS. THESE AMOUNTS ARE DONATIONS AND SPONSORSHIPS GIVEN TO ORGANIZATIONS TO ASSIST IN THE FURTHERANCE OF THEIR CHARITABLE MISSION. YALE NEW HAVEN HEALTHCARE SERVICES CORPORATION ("HSC") CARRIES OUT DUE DILIGENCE IN PROVIDING MONETARY ASSISTANCE ONLY TO QUALIFYING 501(C)(3) ORGANIZATIONS THAT COMPLEMENT ITS MISSION OR SUPPORT THE GREATER GOOD IN THE COMMUNITIES SERVED. HSC VERIFIES EACH ORGANIZATION'S EIN AS LISTED ON IRS FORM W-9 THAT HAS BEEN SUBMITTED TO HSC. ASSISTANCE DONATED BY HSC TO THESE QUALIFYING ORGANIZATIONS IS NOT OUTCOMES-BASED AND IS GIVEN IN SUPPORT OF AN INDIVIDUAL ORGANIZATION'S FUNDRAISING EVENTS OR IN SUPPORT OF DIRECT SERVICES. HSC MAINTAINS FULL AND COMPLETE RECORDS OF ALL MONETARY ASSISTANCE PROVIDED, HOWEVER DOES NOT MONITOR SPECIFIC FUNDS. X X X X X 1 1 0 0 0 0 0 1 0 MARNA BORGSTROM CEO/TRUSTEE 738807 1108211 319260 478890 28258 42386 371436 557154 5395 8093 1463156 2194734 0 0 STEPHEN ALLEGRETTO VP 12690 410314 3045 98453 1130 36538 5491 177532 424 13703 22780 736540 956 30911 WILLIAM ASELTYNE SR. VP 128331 547095 38130 162554 26475 112867 56129 239288 3688 15722 252753 1077526 0 0 THOMAS BALCEZAK - EFF 10116 SR. VP 0 639992 0 154755 0 114619 0 278082 0 21181 0 1208629 0 23172 GAYLE CAPOZZALO EXECUTIVE VP 709171 0 252160 0 315449 0 101053 0 14879 0 1392712 0 0 0 EUGENE COLUCCI VP (CURRENT YEAR COMP) 44258 398324 10921 98285 7238 65142 8875 79878 1364 12274 72656 653903 0 0 EUGENE COLUCCI VP (VESTED DEFERRED COMP) 0 0 0 0 243528 2191748 0 0 0 0 243528 2191748 104184 937652 BRUCE CUMMINGS - END 52717 EXECUTIVE VP 0 631803 0 183387 0 937711 0 30351 0 18422 0 1801674 0 826713 RICHARD D'AQUILA PRESIDENT (CURRENT YEAR COMP) 286600 1146400 76032 304128 50850 203401 38240 152960 3683 14730 455405 1821619 2718 10873 RICHARD D'AQUILA PRESIDENT (VESTED DEFERRED COMP) 0 0 0 0 1001003 4004014 0 0 0 0 1001003 4004014 423108 1692433 MICHAEL DIMENSTEIN VP 15687 329085 3645 76467 9273 194525 3253 68240 659 13829 32517 682146 0 0 WILLIAM JENNINGS EXECUTIVE VP 153250 612999 51585 206340 26352 105410 66904 267615 4440 17759 302531 1210123 0 0 NANCY LEVITT-ROSENTHAL VP (CURRENT YEAR COMP)-END 12/31/16 66283 265131 16554 66217 9953 39812 15121 60485 480 1921 108391 433566 0 0 NANCY LEVITT-ROSENTHAL VP(VESTED DEFERRED COMP)END 12/31/16 0 0 0 0 372997 1491988 0 0 0 0 372997 1491988 151841 607362 PATRICK MCCABE SR. VP 374008 160289 108197 46370 20987 8994 169990 72853 9547 4091 682729 292597 2912 1248 JAMES MORRIS VP 10495 273141 2305 59995 2337 60814 4940 128585 686 17851 20763 540386 0 0 KEVIN MYATT SR. VP 234485 351727 66518 99778 34721 52082 105248 157872 6221 9331 447193 670790 2743 4115 CHRISTOPHER O'CONNOR EXECUTIVE VP/COO 873909 0 274428 0 96120 0 416036 0 19837 0 1680330 0 0 0 VINCENT PETRINI SR. VP 0 425566 0 142208 0 82203 0 198046 0 18616 0 866639 0 1676 NORMAN ROTH EXECUTIVE VP 140169 560677 51825 207300 109626 438502 29230 116920 2726 10906 333576 1334305 1509 6037 CAROLYN SALSGIVER VP 0 307697 0 77703 0 54058 0 140626 0 19057 0 599141 0 1822 PAMELA SCAGLIARINI SR. VP 0 432971 0 125412 0 74314 0 219448 0 19204 0 871349 0 0 JOHN SKELLY VP 42853 385681 9913 89215 9454 85085 19705 177342 1894 17043 83819 754366 1762 15859 LISA STUMP - EFF 10116 SR. VP 91340 365362 14663 58652 9216 36864 16493 65973 3906 15622 135618 542473 9636 0 VINCENT TAMMARO EXECUTIVE VP/CFO/TREASURER 283651 425477 65631 98447 51878 77817 113995 170993 8080 12121 523235 784855 0 0 MELISSA TURNER VP 0 311908 0 75000 0 41610 0 133517 0 18777 0 580812 0 0 PRATHIBHA VARKEY SR. VP 85143 340574 16277 65107 1891 7563 23992 95969 1829 7318 129132 516531 0 0 DAVID WURCEL VP 0 442973 0 103095 0 53453 0 96428 0 13632 0 709581 0 0 JOSEPH BISSON VP 370374 0 89233 0 54416 0 66900 0 21621 0 602544 0 7234 0 STEPHEN CARBERY VP 305164 0 73950 0 42983 0 72683 0 14770 0 509550 0 0 0 MATTHEW COMERFORD VP 403932 0 112600 0 40070 0 82933 0 18037 0 657572 0 0 0 ALAN KLIGER SR. VP 576836 0 159274 0 114276 0 95171 0 9148 0 954705 0 0 0 MICHAEL LOFTUS VP 408545 0 86474 0 40421 0 76058 0 18933 0 630431 0 781 0 DANIEL BARCHI FORMER OFFICER 0 0 183375 0 106566 0 0 0 0 0 289941 0 81034 0 FRANK CORVINO FORMER OFFICER 0 0 0 0 1016250 139574 0 0 0 0 1016250 139574 385500 0 WILLIAM GEDGE FORMER OFFICER 442895 0 172155 0 409279 0 77810 0 12951 0 1115090 0 99765 0 PETER HERBERT FORMER OFFICER 0 0 0 0 247850 78071 0 0 0 0 247850 78071 104100 0 ROBERT NORDGREN FORMER OFFICER 0 0 0 0 216732 0 0 0 0 0 216732 0 216493 0 JAMES STATEN FORMER OFFICER 19970 0 309915 0 574939 0 2820 0 0 0 907644 0 334935 0 PART I, LINES 4A-B LINE 4A, SEVERANCE: THE INDIVIDUAL LISTED BELOW RECEIVED SEVERANCE PAYMENTS VALUED AT THE AMOUNT SUBSEQUENTLY SHOWN DURING THE REPORTING YEAR. THE SEVERANCE PAYMENTS ARE INCLUDED IN THE FIGURE REPORTED IN PART II, COLUMN B(III). SEVERANCE NONQUALIFIED EQUITY-BASED WILLIAM GEDGE $68,077 - - LINE 4B, SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS: THE INDIVIDUALS LISTED BELOW ARE PARTICIPANTS IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN. THESE ACCRUALS ARE INCLUDED IN THE AMOUNTS REPORTED IN PART II, COLUMN C (DEFERRED COMPENSATION) AND REPRESENT BOTH THE REPORTING ENTITY'S AND RELATED ENTITY'S COMBINED AMOUNTS THAT HAVE NOT YET BEEN VESTED CONSISTENT WITH THE COMPENSATION REPORTING PER IRS. SEVERANCE NONQUALIFIED EQUITY-BASED MARNA P. BORGSTROM - $494,269 - CHRISTOPHER O'CONNOR - 219,224 - WILLIAM A.JENNINGS - 200,988 - WILLIAM J.ASELTYNE - 158,178 - THOMAS BALCEZAK - 148,932 - KEVIN A. MYATT - 144,789 - PATRICK MCCABE - 132,298 - VINCENT TAMMARO - 116,990 - VINCENT PETRINI - 106,846 - JOHN SKELLY - 104,152 - STEPHEN ALLEGRETTO - 102,928 - PAMELA SCAGLIARINI - 98,478 - MELISSA TURNER - 75,619 - CAROLYN SALSGIVER - 73,476 - JAMES B. MORRIS - 69,190 - PRATHIBHA VARKEY - 41,453 - LISA STUMP - 21,431 - THE INDIVIDUALS LISTED BELOW BECAME VESTED IN BENEFITS VALUED AT THE AMOUNTS RESPECTIVELY REPORTED BELOW DURING THE REPORTING YEAR. INCLUDED IN SECTION II, COLUMN B (III) ARE AMOUNTS VESTED DURING THE 2016 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2016 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED RICHARD D'AQUILA - $5,005,017 - EUGENE COLUCCI - 2,435,276 - NANCY LEVITT-ROSENTHAL - 1,864,985 - NORMAN ROTH - 454,012 - GAYLE CAPOZZALO - 245,603 - WILLIAM GEDGE - 180,480 - MICHAEL DIMENSTEIN - 141,097 - THE FORMER OFFICERS BELOW RECEIVED PAYMENTS THROUGHOUT THE YEAR FROM THE NONQUALIFIED PLAN. THE FOLLOWING PAYMENTS WERE MADE DIRECTLY TO THEM FROM THE RABBI TRUST: FRANK CORVINO $139,574 PETER HERBERT 78,071 THE SUPPLEMENTAL RETIREMENT INCOME PLAN (SRIP) IS DESIGNED TO ENSURE THE PAYMENT OF A COMPETITIVE LEVEL OF RETIREMENT INCOME WHEN ADDED TO OTHER SOURCES OF RETIREMENT INCOME IN ORDER TO ATTRACT AND RETAIN KEY MANAGEMENT EMPLOYEES SERVING AS CORPORATE OFFICERS. THE PLAN PROVIDES SUPPLEMENTAL RETIREMENT INCOME THROUGH AN UNFUNDED, NONQUALIFIED DEFERRED COMPENSATION ARRANGEMENT UNDER SECTION 457(F) AND THROUGH A DEFERRED COMPENSATION PLAN UNDER SECTION 409A OF THE INTERNAL REVENUE CODE AND A MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES' PLAN UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA). SEPARATELY, LAWRENCE & MEMORIAL HOSPITAL (A RELATED ORGANIZATION) ESTABLISHED A SECTION 457(F) SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN FOR THE HOSPITAL'S SENIOR MANAGEMENT. AMOUNT FOR BRUCE CUMMINGS IS CREDITED TO THE RETIREMENT ACCOUNTIN MONTHLY INSTALLMENTS THROUGHOUT EACH PLAN YEAR. PLAN AMOUNTS WILL BE PAID ONLY IF CERTAIN CONDITIONS ARE MET, INCLUDING REMAINING EMPLOYED BY THE HOSPITAL THROUGH AGE 65, AS OUTLINED IN THE PLAN AGREEMENT. SECTION 457(F) CONTRIBUTIONS ARE PAID OUT AND REPORTED ON HIS W-2. DURING 2016, THE REQUIRED SECTION 457(F) CONDITIONS WERE MET AND THE FOLLOWING INDIVIDUAL RECEIVED THEIR PAYOUT AS FOLLOWS: BRUCE CUMMINGS $913,658 PART I, LINE 7 THE SHORT TERM INCENTIVE PLAN (STIP) IS A VARIABLE COMPENSATION PLAN WHICH PROVIDES ONE-TIME PAYMENTS TO ELIGIBLE MEMBERS OF MANAGEMENT IN RECOGNITION OF THE ACCOMPLISHMENT OF KEY ORGANIZATIONAL AND INDIVIDUAL PERFORMANCE OBJECTIVES. PERFORMANCE LEVELS ARE ESTABLISHED AND REVIEWED ANNUALLY AT THRESHOLD, TARGET AND MAXIMUM LEVELS, ACCORDING TO PLANNED "STRETCH" GOALS AND OBJECTIVES. INCENTIVE AWARD OPPORTUNITIES ARE ESTABLISHED ACCORDING TO MARKET PRACTICES BASED ON EACH ELIGIBLE POSITION'S RESPONSIBILITIES, PERFORMANCE AND LEVEL OF AUTHORITY. PERFORMANCE RELATIVE TO STIP AWARD OPPORTUNITIES INCORPORATES A BROAD SPECTRUM OF PRE-DEFINED FINANCIAL AND NON-FINANCIAL METRICS THAT ARE ALIGNED WITH ORGANIZATIONAL MISSION AND VALUES. A CHEFA - SERIES A 060806186 20774YQY6 2014-06-23 102300000 REFUND - J-1 0 0 1 B CHEFA - SERIES B 060806186 20774YQP5 2014-06-23 168275000 REFUND - M 0 0 1 C CHEFA - SERIES C 060806186 20774YQM2 2014-06-23 83625000 REFUND - K-1,K-2 0 0 1 D CHEFA - SERIES D 060806186 20774YQN0 2014-06-23 108275000 REFUND - L-1,L-2 0 0 1 A 122999458 1465826 121533632 2014 0 1 1 1 B 176852421 1474421 175378000 2014 0 1 1 1 C 13445000 90442157 680898 36261 89725000 2014 1 0 1 1 D 109094865 771839 43739 108279287 2014 1 0 1 1 A 0 1 1 1 0 0.00030 0.00030 0 0 1 B 0 1 1 1 0 0.00000 0.00000 0 0 1 C 0 1 1 1 0 0.00230 0.00230 0 0 1 D 0 1 1 1 0 0.00030 0.00030 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 1 1 0 1 0 0 0 1 D 0 1 1 0 1 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CHEFA - SERIES A DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES B DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES E DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 PART II LINE 3 THE DIFFERENCE BETWEEN THE ISSUE PRICE REPORTED ON PART I, COLUMN (E) AND TOTAL PROCEEDS REPORTED ON PART II, LINE 3 IS DUE TO EITHER INVESTMENT EARNINGS OR PREMIUM RECEIVED FROM PURCHASER. PART III LINE 3B THE ORGANIZATION HAS IN-HOUSE LEGAL STAFF WHO PROVIDE ROUTINE REVIEW OF MANAGEMENT OR SERVICE CONTRACTS OR RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY TO ENSURE THAT SUCH AGREEMENTS ARE COMPLIANT WITH APPLICABLE SAFE HARBORS. IN-HOUSE COUNSEL CONSULT WITH THE HOSPITAL'S OUTSIDE BOND COUNSEL AS NEEDED, INCLUDING ON NON-ROUTINE ISSUES. PART III, LINE 9 & PART V THE ORGANIZATION HAS POLICIES AND PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH FEDERAL TAX LAW, AND TO TIMELY IDENTIFY NONCOMPLIANCE. IN THE EVENT OF NON-COMPLIANCE THE ORGANIZATION WOULD INVOLVE ITS LEGAL COUNSEL TO ADVISE REGARDING APPROPRIATE REMEDIATION. A CHEFA - SERIES E 060806186 20774YRV1 2014-06-23 80935000 CONSTRUCTION/EQUIP 0 0 1 A 2692000 92315918 1157121 91158797 2015 0 0 1 1 A 0 0 0 0 0.00580 0.00580 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 FORM 990, PART III, LINE 4A YALE NEW HAVEN HEALTH SERVICES CORPORATION, THE PARENT OF THE INTEGRATED HEALTHCARE DELIVERY SYSTEM KNOWN AS YALE NEW HAVEN HEALTH SYSTEM (YNHHS OR THE SYSTEM), CONSISTS OF FIVE DELIVERY NETWORKS; BRIDGEPORT, GREENWICH, NEW LONDON/WESTERLY, NEW HAVEN AND NORTHEAST MEDICAL GROUP. THE SYSTEM CONTINUED TO EXPAND ACCESS TO HEALTHCARE SERVICES ACROSS A BROAD GEOGRAPHIC REGION WHILE IMPROVING THE VALUE OF CARE THROUGH SAFETY, QUALITY AND OPERATIONAL INITIATIVES. THE INTEGRATION OF L+M HEALTHCARE AND L+M MEDICAL GROUP INTO THE SYSTEM BROUGHT INVESTMENTS IN CLINICAL SERVICES, INFRASTRUCTURE IMPROVEMENTS AND OPERATIONAL IMPROVEMENTS TO THE RESIDENTS OF SOUTHEASTERN CONNECTICUT AND SOUTHWESTERN RHODE ISLAND RESULTING IN GREATER ACCESS TO HEALTHCARE SERVICES AND PROVIDERS. THROUGH A COMMUNITY PARTNERSHIP WITH DAY KIMBALL HOSPITAL, PATIENTS IN THE PUTNAM-BASED HOSPITAL'S REGION RECEIVED INCREASED ACCESS TO SPECIALTY CARE, SUCH AS CARDIOLOGY, AND INTRODUCED YNHHS' TELE-ICU SERVICE AT THE 165-BED COMMUNITY HOSPITAL SO THAT ACUTELY ILL PATIENTS CAN BE REMOTELY MONITORED BY YNHHS INTENSIVISTS. THE PARTNERSHIP HELPED THE ORGANIZATION SAVE $300,000 IN PURCHASING COSTS. YNHHS BEGAN A PARTNERSHIP WITH PHYSICIANONE URGENT CARE, A PROVIDER OF URGENT CARE SERVICES IN THE REGION, TO OFFER BROADER ACCESS THROUGHOUT THE STATE. THE CENTERS ALSO HELP MITIGATE SOME OF THE WAIT TIMES AT THE HEALTH SYSTEM'S WALK-IN CENTERS AND EMERGENCY DEPARTMENTS TO BETTER ENSURE THAT PATIENTS RECEIVE THE RIGHT CARE, AT THE RIGHT TIME, AT THE RIGHT LEVEL OF CARE. THE Y ACCESS TRANSFER SERVICE COORDINATED 7,387 PATIENT TRANSFERS FROM OTHER HEALTHCARE FACILITIES - AN 8 PERCENT INCREASE. SKYHEALTH, THE SYSTEM'S CRITICAL CARE AIR TRANSPORT SERVICE, EXPERIENCED A 14 PERCENT INCREASE WITH 190 RECORDED FLIGHTS. ADDITIONALLY, YNHHS LAUNCHED A LIVER CANCER PROGRAM THROUGH SMILOW CANCER HOSPITAL AND YALE CANCER CENTER; DEVELOPED A PRECISION MEDICINE INITIATIVE BETWEEN YALE NEW HAVEN HEALTH AND THE YALE CENTER FOR GENOME ANALYSIS; INTRODUCED A VIRTUAL EXERCISE REHABILITATION PROGRAM TO HELP PATIENTS RECOVER AT HOME FROM JOINT REPLACEMENT OR SPINE SURGERY; EXPANDED PEDIATRIC EMERGENCY MEDICINE TO GREENWICH HOSPITAL; ESTABLISHED A NEW CENTER FOR LIVING ORGAN DONORS AT YALE NEW HAVEN TRANSPLANTATION CENTER; AND EXPANDED OUTPATIENT SPECIALTY PHARMACY SERVICES FOR ONCOLOGY, HEPATITIS C, HIV, CYSTIC FIBROSIS, MULTIPLE SCLEROSIS, RHEUMATOLOGY AND TRANSPLANT PATIENTS IN GREATER NEW HAVEN, NEW LONDON, WESTERLY, RI, AND NEW YORK. AS A HIGH RELIABILITY ORGANIZATION, THE HEALTH SYSTEM CONTINUED TO ADDRESS THE QUALITY AND SAFETY OF HEALTH CARE. THE SERIOUS SAFETY EVENT RATE WAS REDUCED AT EACH SYSTEM HOSPITAL: BRIDGEPORT HOSPITAL BY 72 PERCENT; GREENWICH HOSPITAL BY 82 PERCENT; AND YALE NEW HAVEN HOSPITAL BY 64 PERCENT. ALTHOUGH LAWRENCE + MEMORIAL HOSPITAL AND WESTERLY HOSPITALS USED DIFFERENT MEASUREMENT TOOLS, THE INSTITUTIONS REPORTED THREE AND ONE SERIOUS SAFETY EVENTS, RESPECTIVELY, WHICH WERE ALL-TIME LOWS FOR BOTH. A SAFETY CULTURE SURVEY WAS CONDUCTED AT ALL DELIVERY NETWORKS. THE RESULTS VALIDATED HIGH RELIABILITY PROGRESS IN NON-PUNITIVE RESPONSE TO ERROR, COMMUNICATION OPENNESS, FEEDBACK AND COMMUNICATION ABOUT ERROR AND FREQUENCY OF EVENTS REPORTS. IMPROVEMENT WAS NOTED IN ALL 12 DOMAINS REPORTED. OVERALL PARTICIPATION IN THE SURVEY WAS 55 PERCENT. MORE THAN 150 EFFICIENCY PROJECTS CREATED THROUGH THE CLINICAL REDESIGN PROCESS RESULTED IN IMPROVED QUALITY OUTCOMES AS WELL AS COST SAVINGS OF $9 MILLION. PROJECTS INCLUDED STANDARDIZING RESPIRATORY CARE FOR PEDIATRIC INTENSIVE CARE PATIENTS; CREATING VIRTUAL HOSPICE BEDS TO REDUCE THE NUMBER OF COMFORT MEASURE-ONLY DEATHS BY HALF; DECREASING DUPLICATE LABS, USE OF CT SCAN AND HOSPITAL LENGTH OF STAY TO PROVIDE BETTER, SAFER, MORE EFFICIENT CARE FOR PATIENTS. TO BETTER MANAGE THE COST OF CARING FOR CERTAIN POPULATIONS WHILE ALSO IMPROVING THEIR OUTCOMES THROUGH ENHANCED SERVICE AND QUALITY, YNHHS INTRODUCED A TOTAL COST OF CARE INITIATIVE WHICH FOCUSED ON CARE MANAGEMENT AND READMISSIONS, BUNDLES AND SPECIALTY CARE AND MEDICAID. THE SYSTEM ALSO ENABLED NON-LABOR COMMITTEES AND TASK FORCES TO COLLABORATE TO REDUCE VARIATION AND COST PER UNIT OF SERVICE WHILE ASSURING THAT DECISION-MAKING REMAIN VALUE BASED AND SUSTAINABLE BY FOCUSING ON PATIENT EXPERIENCE, SAFETY, CLINICAL QUALITY, OPERATIONAL EFFICIENCY AND COST. YNHHS REALIZED $38 MILLION IN NON-LABOR SAVINGS. AN ADDITIONAL $8.7 MILLION WAS ACHIEVED IN OPERATIONAL AND CAPITAL COST AVOIDANCE. TO HELP HEALTHCARE PROVIDERS SPEND MORE TIME IN DIRECT PATIENT CARE, YNHHS INTRODUCED MOBILE HEARTBEAT, A MOBILE COMMUNICATION TOOL THAT ALLOWS THEM TO TEXT AND SEND PHOTOS RELATED TO PATIENT CARE; M-MODAL DIRECT, WHICH CAPTURES DICTATED WORDS FASTER; AND A PILOT FOR VIRTUAL SCRIBES TO FREE PHYSICIANS FROM TRADITIONAL DATA ENTRY DUTIES. TO ENHANCE THE PATIENT EXPERIENCE, YNHHS STARTED USING OPENNOTES, WHICH PROVIDES PATIENTS WITH ACCESS TO THEIR CARE PROVIDERS NOTES IN THEIR ELECTRONIC HEALTH RECORD. THROUGH ENHANCEMENTS TO THE ELECTRONIC PATIENT PORTAL, MYCHART, PATIENTS COULD SCHEDULE APPOINTMENTS DIRECTLY, PAY THEIR BILLS AND CHECK IN FOR APPOINTMENTS. ENSURING THAT PERTINENT PATIENT INFORMATION IS AVAILABLE TO PATIENTS AND THEIR HEALTHCARE PROVIDERS, YNHHS CONTINUES TO PARTICIPATE IN THE LARGEST NATIONAL HEALTH DATA EXCHANGE IN THE COUNTRY. YNHHS EXCHANGED 1.2 MILLION PATIENT RECORDS ACROSS MORE THAN 1,200 U.S. HOSPITALS AND 32,000 CLINICS. CONTINUING GAINS MADE IN BRIDGING TRANSITIONS OF CARE, CLINICAL INTEGRATION WORKGROUPS SHARED CLINICAL PRACTICE GUIDELINES IN DIABETES, HEART DISEASE AND PULMONARY DISEASE FOR IMPLANTATION AMONG COMMUNITY MEDICAL PRACTICE GROUPS. YNHHS DEPLOYED EMMIENGAGE, AN INTERACTIVE, MULTI-MEDIA PATIENT EDUCATION PROGRAM THAT SENDS TARGETED PATIENTS HEALTH REMINDERS RELATED TO FLU VACCINES, ANNUAL WELLNESS VISITS AND EYE EXAMS. SEVENTY-FIVE PERCENT OF PATIENTS REPORTED THAT THE EMMI PROGRAMS MADE THEM MORE AWARE OF HOW THEIR LIFESTYLE IMPACTS THEIR HEALTH. THE YNHHS OFFICE OF DIVERSITY AND INCLUSION LAUNCHED A CULTURAL COMPETENCY CLASS TO HELP EMPLOYEES RESPOND TO RACIAL, ETHNIC AND SOCIO-CULTURAL DIVERSITY OF PATIENTS, COLLEAGUES AND STAFF. YNHHS WAS AGAIN RECOGNIZED AS A "LEADER IN LGBTQ HEALTHCARE EQUALITY" BY THE HUMAN RIGHTS CAMPAIGN FOUNDATION, EARNING TOP RATINGS IN ITS COMMITMENT TO EQUITABLE, INCLUSIVE CARE FOR LGBTQ PATIENTS AND THEIR FAMILIES. FORM 990, PART VI PART I, LINE 4 & PART VI, LINE 1B NUMBER OF INDEPENDENT VOTING MEMBERS OF THE GOVERNING BODY THE ORGANIZATION SOUGHT TO CONFIRM THE INDEPENDENCE OF EACH VOTING MEMBER OF ITS GOVERNING BODY BY REQUESTING THAT EACH SUCH VOTING MEMBER RESPOND TO A QUESTIONNAIRE CONTAINING THE PERTINENT INSTRUCTIONS AND DEFINITIONS AND DESIGNED TO ELICIT THE INFORMATION NECESSARY TO DETERMINE INDEPENDENCE. BASED ON RESPONSES TO THE QUESTIONNAIRES RECEIVED BY THE ORGANIZATION AND ANNUAL CONFLICTS OF INTEREST DISCLOSURES, THE ORGANIZATION WAS ABLE TO CONFIRM THAT EIGHTEEN (18) VOTING MEMBERS ARE INDEPENDENT. FORM 990, PART VI, SECTION A, LINE 2 PART VI, LINE 2 - BUSINESS RELATIONSHIPS BETWEEN OFFICERS, TRUSTEES, OR KEY EMPLOYEES OFFICERS GAYLE L. CAPOZZALO AND DAVID WURCEL ARE DIRECTORS AND/OR OFFICERS OF THE SAME BUSINESS ENTITY. OFFICERS EUGENE J. COLUCCI, PATRICK MCCABE, JOHN SKELLY AND DAVID WURCEL ARE DIRECTORS AND/OR OFFICERS OF THE SAME BUSINESS ENTITY. TRUSTEES JOHN L. LAHEY AND JAMES TORGERSON ARE DIRECTORS AND OFFICERS OF THE SAME BUSINESS ENTITY. THE ORGANIZATION'S CURRENT OFFICERS AND/OR TRUSTEES SERVE AS OFFICERS AND/OR DIRECTORS OF TAXABLE AFFILIATES WITHIN THE ORGANIZATION'S CORPORATE SYSTEM OR JOINT VENTURES IN WHICH THE ORGANIZATION'S CORPORATE SYSTEM HAS AN OWNERSHIP INTEREST. THE INDIVIDUAL OFFICERS DO NOT HAVE PERSONAL FINANCIAL INTERESTS IN THE TAXABLE AFFILIATE AND SERVE ONLY AS A FUNCTION OF THEIR ROLES WITH THE ORGANIZATION OR WITHIN THE ORGANIZATION'S CORPORATE SYSTEM. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 TAX RETURN AND ATTACHED SCHEDULES WERE PREPARED BY EMPLOYEES OF THE SYSTEM TAX DEPARTMENT. THE RETURN IS INITIALLY REVIEWED BY THE DIRECTOR AND VP OF CORPORATE FINANCE. SUBSEQUENTLY IT IS SENT TO KPMG LLP FOR THEIR INITIAL REVIEW. AFTER ALL COMMENTS FROM THE ABOVE GROUP ARE CLEARED, THE RETURN IS THEN REVIEWED BY THE CHIEF FINANCIAL OFFICER OF THE ENTITY AND A FINAL VERSION OF THE RETURN IS SENT BACK TO KPMG LLP FOR FINAL REVIEW. PRIOR TO FILING, THE ORGANIZATION MAKES AVAILABLE A COMPLETE COPY OF THE RETURN TO THE BOARD OF TRUSTEES. A SECURE WEB PORTAL IS AVAILABLE TO BOARD MEMBERS TO ACCESS THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C THE YALE NEW HAVEN HEALTH SYSTEM CONFLICT OF INTEREST POLICY AND INDIVIDUAL ANNUAL DISCLOSURE FORM APPLIES TO A POOL OF EMPLOYEES, BOARD MEMBERS AND NON-BOARD MEMBERS SERVING ON BOARD COMMITTEES. THESE "COVERED INDIVIDUALS" ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT, UPON BEGINNING EMPLOYMENT OR OTHERWISE BECOMING A COVERED INDIVIDUAL AND ANNUALLY THEREAFTER. COVERED INDIVIDUALS ARE ALSO REQUIRED TO IMMEDIATELY REPORT MATERIAL CHANGES TO THEIR MOST RECENTLY COMPLETED DISCLOSURE STATEMENT. THESE DISCLOSURE STATEMENTS AND REPORTS ARE REVIEWED BY THE OFFICE OF PRIVACY AND CORPORATE COMPLIANCE AND/OR THE LEGAL AND RISK SERVICES DEPARTMENT TO ENSURE COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY. IF A POTENTIAL CONFLICT ARISES, THE PRESIDENT AND CEO WOULD CONSULT WITH THE BOARD CHAIRPERSON AND THE LEGAL AND RISK SERVICES DEPARTMENT AND TAKE ANY ACTIONS THAT SHE DEEMS REQUIRED OR APPROPRIATE TO MANAGE OR RESOLVE A POTENTIAL CONFLICT OF INTEREST. FOR EXAMPLE, A VOTING BOARD OR COMMITTEE MEMBER WOULD BE REQUIRED TO RECUSE HIMSELF OR HERSELF FROM VOTING ON MATTERS RELATED TO THE POTENTIAL CONFLICT AND THE POTENTIAL CONFLICT WOULD BE DISCLOSED TO OTHER VOTING MEMBERS. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMPENSATION COMMITTEE OF THE YNHHS STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE EXECUTIVE COMPENSATION COMMITTEE IS AUTHORIZED UNDER THE YNHHS BYLAWS AND IS RESPONSIBLE FOR (1) DETERMINING THE OVERALL TOTAL COMPENSATION STRATEGY FOR ALL CORPORATE OFFICERS, (2) APPROVING ALL COMPENSATION AND BENEFITS DECISIONS FOR CORPORATE OFFICERS, AND (3) REPORTING SUCH ACTIONS TO THE FULL YNHHS BOARD ON AN ANNUAL BASIS. IN ADDITION, THE EXECUTIVE COMPENSATION COMMITTEE EXPRESSLY DETERMINES THE REASONABLENESS OF TOTAL COMPENSATION AND BENEFITS FOR ALL CORPORATE OFFICERS, AND ASSURES THAT ALL OFFICER COMPENSATION DECISIONS ARE MADE AFTER THOROUGH CONSIDERATION OF AND COMPARISON TO THE MARKET PRACTICES OF OTHER SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE EXECUTIVES IN COMPARABLE ORGANIZATIONS. THE EXECUTIVE COMPENSATION COMMITTEE CONSISTS OF BOARD MEMBERS WHO DO NOT HAVE MATERIAL FINANCIAL INTERESTS THAT COULD BE AFFECTED BY THE OFFICER COMPENSATION DECISIONS MADE BY THE COMMITTEE. THE COMPARABILITY DATA USED TO ASSIST THE EXECUTIVE COMPENSATION COMMITTEE IN ITS COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE EXECUTIVE COMPENSATION COMMITTEE. THE DATA COLLECTED BY THE CONSULTANT CONSISTS OF MARKET INFORMATION FOR EXECUTIVES IN FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE ORGANIZATIONS. THE DELIBERATIONS AND DECISIONS OF THE EXECUTIVE COMPENSATION COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE, AND PROVIDED TO THE BOARD. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF FORM 990, FORM 1023 (IF AVAILABLE) AND AUDITED FINANCIAL STATEMENTS ARE MAINTAINED IN THE SYSTEM TAX DEPARTMENT. OTHER CORPORATE GOVERNING DOCUMENTS ARE MAINTAINED BY THE LEGAL AND RISK SERVICES DEPARTMENT. THE CONFLICT OF INTEREST POLICY, WHISTLEBLOWER POLICY, AND DOCUMENT RETENTION POLICY ARE AVAILABLE TO ALL EMPLOYEES ON THE CORPORATE INTERNAL WEBSITE. COPIES OF ALL DOCUMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTING FEES: PROGRAM SERVICE EXPENSES 3,734,534. MANAGEMENT AND GENERAL EXPENSES 1,087,382. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 4,821,916. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 47,890,313. MANAGEMENT AND GENERAL EXPENSES 13,944,195. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 61,834,508. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 2,013,721. MANAGEMENT AND GENERAL EXPENSES 586,334. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,600,055. ASSOCIATED SPECIALISTS OF SOUTHEASTERN CONNECTICUT INC 365 MONTAUK AVENUE NEW LONDON CT 06320 208006123 HEALTHCARE SERVICES CT 501C3 LINE 12A, I LAWRENCE MEMORIAL HOSPITAL INC 1 BRIDGEPORT HOSPITAL 267 GRANT STREET BRIDGEPORT CT 06610 060646554 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 1 BRIDGEPORT HOSPITAL AUXILIARY INC 267 GRANT STREET BRIDGEPORT CT 06610 066042500 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12A, I BRIDGEPORT HOSPITAL 1 BRIDGEPORT HOSPITAL FOUNDATION INC 267 GRANT STREET BRIDGEPORT CT 06610 222908698 SYSTEM SUPPORT SERVICES CT 501C3 LINE 7 BRIDGEPORT HOSPITAL 1 BRIDGEPORT HOSPITAL FRIENDS OF PEDIATRICS INC 120 COLUMBINE DRIVE TRUMBULL CT 06611 066048427 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12A, I YALE NEW HAVEN HOSPITAL 1 GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646659 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORPORATION 1 LAWRENCE MEMORIAL CORPORATION 365 MONTAUK AVENUE NEW LONDON CT 06320 222553028 PROMOTE HEALTHCARE CT 501C3 LINE 10 YALE NEW HAVEN HEALTH SERVICES CORP 1 LAWRENCE AND MEMORIAL FOUNDATION INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553026 FUNDRAISING SERVICES CT 501C3 PF LAWRENCE MEMORIAL CORPORATION 1 LAWRENCE MEMORIAL HOSPITAL INC 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 HEALTHCARE SERVICES CT 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 LMW HEALTHCARE INC 365 MONTAUK AVENUE NEW HAVEN CT 06320 460543230 HEALTHCARE SERVICES RI 501C3 LINE 3 LAWRENCE MEMORIAL CORPORATION 1 NORTHEAST MEDICAL GROUP INC 99 HAWLEY LANE STRATFORD CT 06614 061330992 HEALTHCARE SERVICES CT 501C3 LINE 10 YALE NEW HAVEN HEALTH SERVICES CORP 1 NORTHEAST MEDICAL GROUP PLLC 99 HAWLEY LANE STRATFORD CT 06614 352380180 HEALTHCARE SERVICES NY 501C3 LINE 12A, I NORTHEAST MEDICAL GROUP INC 1 PERRYRIDGE CORPORATION 5 PERRYRIDGE ROAD GREENWICH CT 06830 061207316 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12B, II GREENWICH HOSPTIAL 1 SOUTHERN CONNECTICUT HEALTH SYSTEM PROPERTIES INC 267 GRANT STREET BRIDGEPORT CT 06610 061297708 TITLE HOLDING CT 501C2 BRIDGEPORT HOSPITAL 1 THE GREENWICH HOSPITAL ENDOWMENT FUND INC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061526642 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12B, II GREENWICH HOSPTIAL 1 THE WESTERLY HOSPITAL FOUNDATION INC 25 WELLS STREET WESTERLY RI 02891 050508064 FUNDRAISING SERVICES RI 501C3 LINE 12A, I LMW HEALTHCARE INC 1 VISITING NURSE ASSOCIATION OF SOUTHEASTERN CONNECTICUT INC 403 NORTH FRONTAGE ROAD WATERFORD CT 06385 060646616 HOME HEALTHCARE SERVICES CT 501C3 LINE 10 LAWRENCE MEMORIAL CORPORATION 1 WESTERLY HOSPITAL AUXILIARY INC 25 WELLS STREET WESTERLY RI 02891 222507181 FUNDRAISING ACTIVITIES RI 501C3 LINE 12C, III-FI LMW HEALTHCARE INC 1 YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06504 060646652 HEALTHCARE SERVICES CT 501C3 LINE 3 YALE NEW HAVEN HEALTH SERVICES CORP 1 YALE NEW HAVEN CARE CONTINUUM CORP 789 HOWARD AVE NEW HAVEN CT 06519 455235566 NURSING HOME CT 501C3 LINE 3 YALE NEW HAVEN HOSPITAL 1 L&M HEALTHCARE INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553031 SYSTEM SUPPORT SERVICES CT 501C3 LINE 12A, I LAWRENCE MEMORIAL CORPORATION 1 L&M PHYSICIAN ASSOCIATION INC- MERGED WITH NEMG INC 33117 365 MONTAUK AVENUE NEW LONDON CT 06320 271094375 HEALTHCARE SERVICES CT 501C3 LINE 11 LAWRENCE MEMORIAL CORPORATION 1 SHORELINE SURGERY CENTER LLC 111 GOOSE LANE GUILFORD CT 06437 900110459 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 3972347 1273939 0 0 0.51000 SSC II LLC 111 GOOSE LANE GUILFORD CT 06437 261709382 HEALTHCARE SERVICES CT YALE NEW HAVEN AMBULATORY SERVICE CORP RELATED 2862629 1494616 0 0 0.51000 ORTHOPAEDIC & NEUROSURGERY CENTER 55 HOLLY HILL LANE GREENWICH CT 06830 273477197 HEALTHCARE SERVICES CT GREENWICH AMBULATORY SURGERY CENTER LLC RELATED 2533 0 0 0.35000 TOTAL HEALTH CONNECTICUT LLC 789 HOWARD AVENUE NEW HAVEN CT 06519 474070024 HEALTHCARE SERVICES CT YALE NEW HAVEN HEALTH SERVICES CORPORATION RELATED 0 0 0.60000 YALE NEW HAVEN HEALTH SYSTEM INVESTMENT TRUST 20 YORK STREET NEW HAVEN CT 06510 271374301 INVESTMENT DE YALE NEW HAVEN HEALTH SERVICES CORPORATION RELATED 3761890 0 0 0.21390 YNHHSCUSP SURGERY CENTERS LLC 15305 DALLAS PKWY STE 1600 ADDISON TX 75001 384021595 HEALTHCARE SERVICES CT YALE NEW HAVEN HEALTH SERVICES CORPORATION RELATED 0 0 0.51000 CORPORATE PROFESSIONAL BUSINESS SERVICESINC 789 HOWARD AVE NEW HAVEN CT 06519 061467717 MANAGEMENT SERVICES CT YALE NEW HAVEN HEALTH SERVICES CORP C 561659 552285 1.00000 1 YALE NEW HAVEN AMBULATORY SERVICES 40 TEMPLE STREET NEW HAVEN CT 06510 061398526 HEALTHCARE SERVICES CT YALE NEW HAVEN HOSPITAL C 1930387 13519498 1.00000 1 MEDICAL CENTER REALTY INC - DISSOLVED 10116 50 YORK STREET NEW HAVEN CT 06511 061110858 RENTAL SERVICES CT YORK ENTERPRISES INC - DISSOLVED 1012016 C 1.00000 1 GREENWICH FERTILITY & IVF PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 300145464 HEALTHCARE SERVICES CT GREENWICH HEALTH SERVICES INC C 6761144 4040705 1.00000 1 YORK ENTERPRISES INC - DISSOLVED 1012016 50 YORK STREET NEW HAVEN CT 06511 061110937 TITLE HOLDING CT YALE NEW HAVEN HOSPITAL C 1.00000 1 YNHH-PHYSICIANS CORP 789 HOWARD AVE NEW HAVEN CT 06519 061202305 ADMINISTRATIVE SERVICES CT N/A C 73592 1.00000 1 MEDICAL CENTER PHARMACY AND HOME CARE CENTER INC 50 YORK STREET NEW HAVEN CT 06511 061087673 PHARMACY CT SEE PART VII C 11288977 14407682 1.00000 1 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NY PC 5 PERRYRIDGE ROAD GREENWICH CT 06830 061540101 HEALTHCARE SERVICES NY GREENWICH HEALTH SERVICES INC C 364097 425434 1.00000 1 GREENWICH OCCUPATIONAL HEALTH SERVICES OF NEW JERSEY 5 PERRYRIDGE ROAD GREENWICH CT 06830 453833883 HEALTHCARE SERVICES NJ GREENWICH HOSPITAL C 178172 104931 1.00000 1 CENTURY FINANCIAL SERVICES INC 23 MAIDEN LANE NORTH HAVEN CT 06473 061110797 DEBT COLLECTION SERVICES CT YALE NEW HAVEN HOSPITAL C 6483240 4067471 1.00000 1 CENTURY MANAGEMENT SERVICES INC- MERGED 1012016 23 MAIDEN LANE NORTH HAVEN CT 06473 061303173 RECEIVABLE MANAGEMENT SERVICES CT YALE NEW HAVEN HOSPITAL C 1.00000 1 L & M SYSTEMS INC 365 MONTAUK AVENUE NEW LONDON CT 06320 222553037 HEALTHCARE RELATED SERVICES CT LAWRENCE MEMORIAL CORPORATION C 1.00000 1 L&M HOME CARE SERVICES INC 365 MONTAUK AVENUE NEW LONDON CT 06320 061389272 HOME THERAPY CT L & M SYSTEMS INC C 518299 3299352 1.00000 1 LAWRENCE & MEMORIAL INDEMNITY COMPANY LTD PO BOX 1159 KY1-1102 GRAND CAYMAN CJ 981021436 INSURANCE CJ LAWRENCE MEMORIAL CORPORATION C 2430808 1.00000 1 SOUND MEDICAL ASSOCIATES 365 MONTAUK AVENUE NEW LONDON CT 06320 061383924 MEDICAL SERVICES CT LAWRENCE MEMORIAL CORPORATION C 310496 113011 1.00000 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 1 1 1 1 BRIDGEPORT HOSPITAL L 75750040 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL M 4401839 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL P 5235015 TRANSACTION REVIEW BRIDGEPORT HOSPITAL Q 81789686 TRANSACTION REVIEW CENTURY FINANCIAL SERVICES INC L 102088 COMPARABLE MARKET VALUE GREENWICH HOSPITAL L 53079349 COMPARABLE MARKET VALUE GREENWICH HOSPITAL M 1150621 COMPARABLE MARKET VALUE GREENWICH HOSPITAL P 6142449 TRANSACTION REVIEW GREENWICH HOSPITAL Q 60847995 TRANSACTION REVIEW LAWRENCE MEMORIAL HOSPITAL L 10892024 COMPARABLE MARKET VALUE LAWRENCE MEMORIAL HOSPITAL M 6138627 COMPARABLE MARKET VALUE LMW HEALTHCARE INC L 321769 COMPARABLE MARKET VALUE MEDICAL CENTER PHARMACY & HOME CARE CENTER INC L 1699927 COMPARABLE MARKET VALUE NORTHEAST MEDICAL GROUP INC L 11205573 COMPARABLE MARKET VALUE YALE NEW HAVEN CARE CONTINUUM CORP L 287478 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL K 3604003 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL L 273364347 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL M 32329713 COMPARABLE MARKET VALUE YALE NEW HAVEN HOSPITAL P 25303646 TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL Q 289190229 TRANSACTION REVIEW YALE NEW HAVEN HOSPITAL S 6236952 CASH YALE NEW HAVEN HOSPITAL R 17175163 CASH YALE NEW HAVEN CARE CONTINUUM CORP O 92849 COMPARABLE MARKET VALUE BRIDGEPORT HOSPITAL R 1903248 CASH YALE NEW HAVEN HOSPITAL O 3044252 COMPARABLE MARKET VALUE YORK ENTERPRISES INC Q 1097241 TRANSACTION REVIEW LMW HEALTHCARE INC Q 82655 TRANSACTION REVIEW MEDICAL CENTER PHARMACY & HOME CARE CENTER INC P 108665 TRANSACTION REVIEW NORTHEAST MEDICAL GROUP INC Q 8692429 TRANSACTION REVIEW MEDICAL CENTER REALTY INC Q 437221 TRANSACTION REVIEW CORPORATE PROFESSSIONAL BUSINESS SERVICES INC P 1570330 TRANSACTION REVIEW LAWRENCE MEMORIAL CORPORATION P 1601809 TRANSACTION REVIEW PART II, COLUMN F - DIRECT CONTROLLING ENTITY OF TAX EXEMPTS ORGANIZATIONS: PART II (F), DIRECT CONTROLLING ENTITY OF TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATION: MEDICAL CENTER PHARMACY AND HOME CARE CENTER, INC. DIRECT CONTROLLING ENTITY: YORK ENTERPRISES, INC. THROUGH 10/1/2016. AFTER YALE NEW HAVEN HOSPITAL.