2017-07-13T08:04:16-05:00 2016-12-31 131517563 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2016-01-01 362883000 AMERICAN LIVER FOUNDATION AMER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 DAVID TICKER EVP & CFO 2126681000 2017-07-12 1 AARON SHAPIRO P01333816 2128674000 38.98.118.70 2017-07-12 15:39:06 ED P 73A2BDB4DEE3E1301F7FB9DCBA9193E2BC5F7900 73A2BDB4DEE3E1301F7FB9DCBA9193E2BC5F7900 2016 2021-01-29 14:40:06Z DAVID TICKER 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 11136100 0 X WWW.LIVERFOUNDATION.ORG X 1976 IL THE MISSION OF AMERICAN LIVER FOUNDATION (ALF) IS TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 24 23 94 2000 0 0 1318021 7306322 0 0 68401 128520 -40929 2241730 1345493 9676572 0 287500 0 0 1014807 4943416 0 0 886310 642036 3284858 1656843 8515774 -311350 1160798 3840769 5158077 1778969 1952324 2061800 3205753 X TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 0 0 2019894 287500 PUBLIC AND PATIENT EDUCATION - SEE SCHEDULE OPUBLIC AND PATIENT EDUCATION INFORMATION SPECIALISTS ARE AVAILABLE TO ANSWER QUESTIONS ABOUT LIVER DISEASE AND LIVER WELLNESS, INCLUDING RISK FACTORS, PREVENTION, SYMPTOMS, EARLY DETECTION, DIAGNOSIS AND TREATMENT OPTIONS. ALF CAN DIRECT CALLERS TO LOCAL SERVICES IN THEIR AREA, HELP THEM LEARN ABOUT CLINICAL TRIALS AND HELP THEM FIND A PHYSICIAN. INTERPRETATION SERVICES ARE AVAILABLE FOR NON-ENGLISH SPEAKERS. WE ALSO HOST A VIBRANT ONLINE COMMUNITY ACROSS NUMEROUS SOCIAL MEDIA PLATFORMS, AND THREE WEBSITES, INCLUDING 2 DISEASE SPECIFIC MICRO-SITES.THE LIVER LOWDOWN E-NEWSLETTER IS DISSEMINATED TO PROVIDE INFORMATION ABOUT THE PREVENTION, TREATMENT AND CURE OF LIVER DISEASE, AS WELL AS THE ORGANIZATION'S RESEARCH AND ADVOCACY ENDEAVORS. CONTENT INCLUDES UPDATES ABOUT THE FOUNDATION'S EDUCATIONAL AND SIGNATURE PROGRAMS; AN IN-DEPTH FOCUS ON SPECIFIC TYPES OF LIVER DISEASE, AND PROFILES OF LIVER PATIENTS AND CAREGIVERS' PERSONAL EXPERIENCES. IN 2016, APPROXIMATELY 100,000 PEOPLE RECEIVED EACH OF OUR SIX ISSUES.IN CY 2016, DUE LARGELY TO THE CHAT FEATURE (SEE BELOW) AND THE PAN FOUNDATION COLLABORATION, OUR HELPLINE ANSWERED 11,299 REQUESTS FOR INFORMATION VIA PHONE, EMAIL AND "SNAIL MAIL," NEARLY DOUBLING THE NUMBER OF PEOPLE SERVED IN CY 2015.IN CY 2016, ALF'S WEBSITES RECORDED A COMBINED TOTAL OF NEARLY 1.95 MILLION UNIQUE VISITORS. AT THE END OF THE YEAR, WE HAD 122,800 FACEBOOK FANS AND 5,100 TWITTER FOLLOWERS. OUR SUPPORT COMMUNITY ON THE INSPIRE PLATFORM HAD OVER 12,000 MEMBERS.IN CY 2016, WE CONTINUED OUR SERIES OF PATIENT EDUCATION WEBINARS. NATIONAL WEBINARS ON LAL-D (210 LIVE PARTICIPANTS) AND ON THE IMPACT OF HEPATITIS C ON BOTH THE KIDNEYS AND THE LIVER (218 LIVE PARTICIPANTS) AND AN ADDITIONAL 721 (COMBINED) VIEWS ON THE ALF YOUTUBE PAGE. WEBINARS SPONSORED BY OUR DIVISIONS INCLUDE FEATURES ON NUTRITION AND THE LIVER, PREVENTION OF FATTY LIVER DISEASE, AND LIVER TRANSPLANTATION.ALF EXPANDED ITS EDUCATIONAL RESOURCE LIBRARY BY CREATING UPDATED AND NEW RESOURCES ON HEPATITIS B AND HEPATITIS C, LIVER CANCER, ALCOHOL RELATED LIVER DISEASE, LAL-D, AND PBC (INCLUDING MANY IN ENGLISH, CHINESE, AND SPANISH). ALL BROCHURES ARE AVAILABLE FOR DOWNLOAD FROM OUR WEBSITE AT WWW.LIVERFOUNDATION.ORG/EDUCATION/DOWNLOADS.ALF'S NATIONAL PATIENT ADVISORY COMMITTEE, MADE UP OF PATIENT ADVOCATES FROM ACROSS THE COUNTRY, WAS EXPANDED TO INCLUDE PATIENTS WITH PRIMARY BILIARY CHOLANGITIS AND NON-ALCOHOLIC FATTY LIVER DISEASE, AS WELL AS ADDITIONAL PATIENTS FOR THE HEPATITIS C COHORT.ALF'S 3RD ANNUAL LIVER CANCER AWARENESS CAMPAIGN REACHED MILLIONS IN TARGETED ADVERTISING IN SAN FRANCISCO, LOS ANGELES, CHICAGO AND NEW YORK, AND NATIONWIDE VIA SOCIAL MEDIA DURING OCTOBER (LIVER CANCER AWARENESS MONTH).NEW IN 2016: A LIVE CHAT FEATURE WAS ADDED ON THE ALF WEBSITE (WWW.LIVERFOUNDATION.ORG), ALLOWING PEOPLE TO RECEIVE REAL-TIME SUPPORT FROM THEIR COMPUTER OR MOBILE DEVICE DURING HELPLINE HOURS, SUBSTANTIALLY INCREASING THE TOTAL NUMBER OF PEOPLE HELPED.NEW IN 2016: ALF LAUNCHED A COLLABORATIVE PARTNERSHIP WITH THE PATIENT ACCESS NETWORK (PAN) FOUNDATION THROUGH WHICH ALF PROVIDES SUPPORT SERVICE FOR PEOPLE RECEIVING FINANCIAL AID FOR HEPATITIS C TREATMENT THROUGH PAN'S FINANCIAL ASSISTANCE PROGRAM. IN 2016, WE PROVIDED PERSONAL SUPPORT FOR 2,420 INDIVIDUALS.NEW IN 2016: ALF LAUNCHED A NEW EFFORT HOSTING TWITTER CHATS ON TWO TOPICS: THE IMPORTANCE OF TESTING FOR HEPATITIS C (ON NATIONAL HCV TESTING DAY), AND LIVING WITH LIVER DISEASE IN SEPTEMBER. NEW IN 2016: ALF LAUNCHED A PATIENT EDUCATION AND SUPPORT PROGRAM FOR PRIMARY BILIARY CHOLANGITIS (PBC) UTILIZING TEXT MESSAGING TO PROVIDE A SERIES OF TARGETED MESSAGES TO HELP IMPROVE PATIENT PERCEPTION AND KNOWLEDGE OF THEIR CONDITION.NEW IN 2016: OUR GREAT LAKES DIVISION EMBARKED ON A MAJOR INITIATIVE TO PROVIDE HEPATITIS C TESTING AND LINKAGE TO CARE TO UNDERSERVED POPULATIONS IN THE CHICAGO AREA. OVER 7,000 PEOPLE WERE TESTED IN 2016, WITH ALL THAT TESTED POSITIVE LINKED TO SERVICES TO ASSIST THEM IN OBTAINING TREATMENT. 1635176 PATIENT SUPPORT - SEE SCHEDULE OPATIENT SUPPORTALF'S VIRAL HEPATITIS COMMUNITY EDUCATION PROGRAM PROVIDES COMPREHENSIVE AND ACCURATE INFORMATION ABOUT HEPATITIS (A, B, AND C), INCLUDING RISK FACTORS, TRANSMISSION AND PREVENTION, AND AN OVERVIEW OF TREATMENT OPTIONSIN CY 2016, ALF REACHED 7,440 PEOPLE THROUGH THIS IMPORTANT PROGRAM. 1367682 COMMUNITY SERVICES - SEE SCHEDULE OCOMMUNITY SERVICESALF OFFERS SEVERAL COMMUNITY EDUCATION PROGRAMS ON LIVER HEALTH AND LIVER DISEASE THAT ARE INTERACTIVE AND AGE APPROPRIATE. THESE POPULAR PROGRAMS INCLUDE: LOVE YOUR LIVER, LIVER WELLNESS - WHAT EVERYBODY NEEDS TO KNOW AND TEENS TO TWENTIES - LIVER WELLNESS GUIDE. IN ADDITION, ALF PARTICIPATES IN COMMUNITY HEALTH FAIRS AND COALITION MEETINGS TO RAISE AWARENESS OF LIVER DISEASE.IN CY 2016, COMMUNITY EDUCATION PROGRAMS REACHED A COMBINED TOTAL OF 6,347 PEOPLE NATIONWIDE, AND HEALTH FAIRS/OUTREACH REACHED 19,604 PEOPLE.ALF PARTICIPATES IN FEDERAL, STATE AND LOCAL ADVOCACY EFFORTS TO ADDRESS THE NEEDS OF PEOPLE AFFECTED BY LIVER DISEASE AND THAT FOCUS ON LARGER HEALTHCARE ISSUES TO IMPROVE LIVER HEALTH AND INCREASE RESEARCH FUNDING.IN CY 2016, ALF LENT ITS NAME TO COMMUNITY SIGN-ON LETTERS PROMOTING IMPROVEMENTS TO HEPATITIS TESTING POLICY AND ACCESS TO CARE; PARTICIPATED IN COALITIONS WITH VARIOUS OTHER PATIENT ADVOCACY GROUPS TO URGE INCREASED FUNDING FOR THE NIH, CDC, VA, AND DOD; DISTRIBUTED "CALLS TO ACTION" FOR OUR COMMUNITY TO CONTACT THEIR ELECTED OFFICIALS REGARDING A VARIETY OF ISSUES RELATING TO LIVER DISEASE; HOSTED AND EDUCATION AND ADVOCACY DAY IN WASHINGTON, DC THAT INCLUDED 40 PATIENT ADVOCATES REPRESENTING MULTIPLE DISEASE STATES; AND BROUGHT PATIENT ADVOCATES TO LIVER HILL DAY WITH THE AMERICAN ASSOCIATION FOR THE STUDY OF LIVER DISEASE AND THE DIGESTIVE DISEASES NATIONAL COALITION. IN SEPTEMBER 2016, A NEW NATIONAL PROGRAM MANAGER WAS BROUGHT ON, 50% OF WHOSE TIME IS DEDICATED TO ADVOCACY. 1696588 RESEARCH AND PROFESSIONAL EDUCATION. 1696588 6719340 1 1 0 0 0 0 0 0 1 1 1 0 0 0 1 1 1 0 0 0 0 0 1 0 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 229 0 94 1 0 0 0 0 0 1 1 0 0 0 0 X 24 23 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WI WY X X DAVID TICKER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 THOMAS F NEALON III CHAIRMAN AND CEO 20.00 X X 50200 0 0 DANIEL E WEIL TREASURER 0.30 X X 0 0 0 NICHOLAS J DEROMA SECRETARY 0.30 X X 0 0 0 JUSTIN TODD ALLEN BOARD MEMBER 0.30 X 0 0 0 HAMILTON BAIDEN BOARD MEMBER 0.30 X 0 0 0 JODI BOHR BOARD MEMBER 0.30 X 0 0 0 MIKE BRAUNSTEIN BOARD MEMBER 0.30 X 0 0 0 ROBERT BRICKMAN BOARD MEMBER 0.30 X 0 0 0 EUGENE CAUTILLO BOARD MEMBER 0.30 X 0 0 0 BRIAN CHRISTIE BOARD MEMBER 0.30 X 0 0 0 EDGAR DELGADO BOARD MEMBER 0.30 X 0 0 0 ALLAN J DOERR BOARD MEMBER 0.30 X 0 0 0 T CLARK GAMBLIN MD MS BOARD MEMBER 0.30 X 0 0 0 MICHAEL KERR BOARD MEMBER 0.30 X 0 0 0 ELIZABETH LEESMANN BOARD MEMBER 0.30 X 0 0 0 ROBERT LEVENTHAL MD FACP AGAF BOARD MEMBER 0.30 X 0 0 0 ROHIT LOOMBA MD MH SC BOARD MEMBER 0.30 X 0 0 0 ROBERT MEROWITZ BOARD MEMBER 0.30 X 0 0 0 MARTIN MULLEN BOARD MEMBER 0.30 X 0 0 0 TINA SANDOVAL BOARD MEMBER 0.30 X 0 0 0 SUSAN SHERMAN STONE CPA MST BOARD MEMBER 0.30 X 0 0 0 GUY THOMAS BOARD MEMBER 0.30 X 0 0 0 HILLEL TOBIAS MD PHD BOARD MEMBER 0.30 X 0 0 0 ROCKY YAPP MD MPH AGAF BOARD MEMBER 0.30 X 0 0 0 DAVID TICKER EVP & CFO 35.00 X 176562 0 25953 LYNN SEIM EVP & COO 35.00 X 184332 0 5362 JOANN THOMPSON NATIONAL DIR OF DIVISIONS 35.00 X 145570 0 1351 ERIKA GOODMAN NATIONAL DIR OF DEVELOPMENT 35.00 X 131160 0 16808 FARRAH DOUGLAS EXECUTIVE DIRECTOR 35.00 X 122409 0 11457 GAIL FAVREAU EXECUTIVE DIRECTOR 35.00 X 118357 0 9762 928590 0 70693 6 0 1 0 BLACKBAUD INC 2000 DANIEL ISLAND DR CHARLESTON SC 29492 SOFTWARE AND SERVICES 170025 1 19284 2754698 4532340 9060 7306322 52306 52306 552925 476711 76214 76214 76214 3209546 2754698 982817 2226729 2226729 RELINQUISHMENT OF GRANTS 900099 3125 3125 11876 11876 15001 9676572 0 0 2370250 175000 175000 100000 100000 12500 12500 392209 313767 31377 47065 3859514 3127735 430821 300958 19450 15560 1556 2334 344354 275483 27548 41323 327889 262311 26231 39347 1935 1935 33633 33633 9332 9332 738894 604718 68930 65246 266670 250390 719 15561 458893 189923 128893 140077 339918 278481 33280 28157 648803 524276 67920 56607 309856 268365 15810 25681 5371 5371 58934 47626 6170 5138 37294 30138 3904 3252 HOTEL AND CATERING EXPE 255049 175700 492 78857 120276 67367 16202 36707 8515774 6719340 910124 886310 835604 1344390 239376 229776 320731 857931 286144 244797 1297414 1135332 121239 162082 2037675 2319101 3840769 5158077 361770 515037 137500 137500 823689 808606 250000 300000 206010 191181 1778969 1952324 X -908182 -275929 1977947 2489647 992035 992035 2061800 3205753 3840769 5158077 1160798 -16845 0 X X 0 1 X 1 0 X 7219308 8029381 7402572 1318021 7306322 31275604 7219308 8029381 7402572 1318021 7306322 31275604 3057388 28218216 74659 47711 60575 28795 52306 264046 242554 242554 10762 711 15001 26474 31808678 3046 0.88710 0.94450 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2014 AMOUNT: $ 10,762. 2015 AMOUNT: $ 711. 2016 AMOUNT: $ 15,001. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 X 1095696 57727 50000 1103423 1073159 22537 1095696 1142761 5398 75000 1073159 1091429 84671 33339 1142761 1163404 -21441 50394 1091429 0.90000 0.10000 0 0 97448 85210 12238 453744 434497 19247 746222 615625 130597 162082 DEFERRED RENT 191181 191181 X 9647270 -16845 -3125 -19970 9667240 9332 9332 9676572 8503317 0 8503317 9332 3125 12457 8515774 PART IV, LINE 2B: FUNDS HELD ON BEHALF OF OTHERS - ALF ACTS AS AN ADMINISTRATOR FOR FUNDS COLLECTED ON BEHALF OF LIVER TRANSPLANT PATIENTS. ALF DISBURSES FUNDS TO COVER THE COST OF PROPERLY DOCUMENTED POST-SURGERY EXPENSES PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS HAS BEEN SPECIFIED BY THE DONOR. ALL FUNDS ON HAND ARE USED TO GENERATE INTEREST/DIVIDEND INCOME AND CAPITAL GAINS TO SUPPORT VARIOUS RESEARCH INITIATIVES. PART X, LINE 2: ALF HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PERIODS ENDING SEPTEMBER 30, 2013 AND SUBSEQUENT REMAIN SUBJECT TO REVIEW BY APPLICABLE TAXING AUTHORITIES. PART XII, LINE 4B - OTHER ADJUSTMENTS: RELINQUISHMENT OF PRIOR YEAR GRANTS 3,125. 0 0 0 0 0 0 0 0 0 0 POST DOCTORAL GRANT 1 12500 CHECK 0 0 0 0 0 0 CHALLENGE CAMPAIGN 874954 874954 1100 54469 2000 47403 GALA 367795 259045 108750 7460 76842 900 1618 8 4721495 1620699 3100796 162888 459557 22075 146505 5964244 2754698 3209546 171448 590868 24975 195526 982817 2226729 0 CEDARS-SINAI MEDICAL CENTER 8700 BEVERLY BLVD LOS ANGELES CA 90048 951644600 501C3 12500 RESEARCH GRANT TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 3451 WALNUT ST PHILADELPHIA PA 19104 231352685 501C3 75000 RESEARCH GRANT REGENTS OF UNIVERSITY OF CALIFORNIA-UC SAN DIEGO 9500 GILMAN DR LA JOLLA CA 92093 956006144 501C3 75000 RESEARCH GRANT BRIGHAM & WOMEN'S HEALTH CARE INC 75 FRANCIS ST BOSTON MA 02115 042921338 501C3 12500 RESEARCH GRANT 4 0 POST DOCTORATE AWARD 8 100000 X X X 0 0 0 0 0 0 0 0 0 DAVID TICKER EVP & CFO 176562 0 0 0 0 0 1839 0 24114 0 202515 0 0 0 LYNN SEIM EVP & COO 184332 0 0 0 0 0 1839 0 3523 0 189694 0 0 0 MICHAEL KERR BOARD MEMBER WORKING CAPITAL X 300000 300000 0 1 1 300000 FORM 990, PART VI, SECTION B, LINE 11B A DRAFT OF THE FORM 990 IS SENT TO THE FINANCE COMMITTEE FOR REVIEW AND COMMENTS IN THE MONTHLY MEETING PRIOR TO FILING. IN ADDITION, A DRAFT OF THE FORM 990 IS ALSO SENT TO EACH BOARD MEMBER FOR DISCUSSION. AFTER QUESTIONS AND COMMENTS ARE ADDRESSED AND THE FORM 990 IS APPROVED, IT IS READY FOR FILING. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, OUR CONFLICT OF INTEREST FORM IS COMPLETED BY OFFICERS AND DIRECTORS. THE FORM MUST INDICATE ANY POSSIBLE CONFLICTS OF INTEREST AND BE SIGNED BY ALL OFFICERS AND DIRECTORS. WHEN ANY SUCH CONFLICT OF INTEREST IS RELEVANT TO A MATTER REQUIRING ACTION BY THE BOARD, THE INTERESTED PERSON SHALL CALL IT TO THE ATTENTION OF THE BOARD AND SUCH PERSON SHALL NOT VOTE ON THE MATTER. MOREOVER, THE PERSON HAVING A CONFLICT SHALL RETIRE FROM THE ROOM IN WHICH THE BOARD IS MEETING AND SHALL NOT PARTICIPATE IN THE FINAL DELIBERATION OR DECISION REGARDING THE MATTER UNDER CONSIDERATION. HOWEVER, THAT PERSON SHALL PROVIDE THE BOARD WITH ANY AND ALL RELEVANT INFORMATION. THE MINUTES OF THE MEETING OF THE BOARD, SHALL REFLECT THAT THE CONFLICT OF INTEREST WAS DISCLOSED AND THAT THE INTERESTED PERSON WAS NOT PRESENT DURING THE FINAL DISCUSSION OR VOTE AND DID NOT VOTE. WHEN THERE IS A DOUBT AS TO WHETHER A CONFLICT OF INTEREST EXISTS, THE MATTER SHALL BE RESOLVED BY A VOTE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE REVIEWED TWO EXTERNAL SALARY SURVEYS SPECIFIC TO THE NEW YORK MARKET. FROM TIME TO TIME, ALF PARTICIPATES IN EXTERNAL SURVEYS, THE TWO MOST RECENT (2016), THE FOUNDATION CENTER SALARY SURVEY AND PROFESSIONALS FOR NON PROFIT SALARY SURVEY. THE BOARD OF DIRECTORS DETERMINED THE COMPENSATION AMOUNTS BASED ON REVIEW OF THESE SURVEY RESULTS AND THE OFFICERS AND KEY EMPLOYEES' PERFORMANCE FOR THE YEAR. THE COMPENSATION AMOUNTS WERE DISCUSSED AND APPROVED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION C, LINE 19 ALL OF THE ITEMS DESCRIBED ARE AVAILABLE ON OUR MAIN WEBSITE AT WWW.LIVERFOUNDATION.ORG FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT BEEN CHANGED SINCE PRIOR YEAR.