2016-11-14T10:21:00-06:00 2016-06-30 611064249 DEMING MALONE LIVESAY & OSTROFF PSC 9300 SHELBYVILLE RD STE 1100 LOUISVILLE KY 402225187 990 2015-07-01 310986103 THE THIRD AND OAK CORPORATION DBA TREYTON OAK TOWERS THIR 5025893211 211 WEST OAK STREET LOUISVILLE KY 40203 ANNE CIEMINSKI CHIEF FINANCIAL OFFICER 5025893211 2016-11-10 1 JEFFREY K MCCAFFREY P00938853 5024269660 2015 2017-02-10 21:41:12Z ANNE CIEMINSKI 211 WEST OAK STREET LOUISVILLE KY 40203 13659447 0 X TREYTONOAKTOWERS.COM X 1980 KY TO PROVIDE A CONTINUUM OF CARE FOR SENIORS INCLUDING INDEPENDENT LIVING, PERSONAL CARE, AND SKILLED NURSING SERVICES. 15 15 376 0 0 0 231249 111546 13354940 13543182 -44561 -80060 0 0 13541628 13574668 0 0 0 0 6115244 6850741 0 0 0 6756470 6294208 12871714 13144949 669914 429719 16418135 18003870 26553672 27709688 -10135537 -9705818 TO PROVIDE A CONTINUUM OF CARE FOR SENIORS INCLUDING INDEPENDENT LIVING, PERSONAL CARE, AND SKILLED NURSING SERVICES. 0 0 10991604 13543182 TO PROVIDE A CONTINUUM OF CARE FOR SENIORS INCLUDING INDEPENDENT LIVING, PERSONAL CARE, AND SKILLED NURSING SERVICES. 10991604 1 1 0 1 0 0 0 0 0 0 1 1 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 12 0 1 376 1 0 0 0 0 0 0 0 0 0 0 X 15 15 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 1 1 0 KY X THE THIRD AND OAK CORPORATION 5025893211 211 WEST OAK STREET LOUISVILLE KY 40203 JAMES GARY MEMBER 0.30 X 0 0 0 KATHY EVITTS VICE-PRESIDENT 0.30 X X 0 0 0 JOYCE HOLMES MEMBER 0.30 X 0 0 0 CHARLES J JENKINS MEMBER 0.30 X 0 0 0 A THOMAS HARDY PRESIDENT 0.30 X X 0 0 0 JOE RILEY MEMBER 0.30 X 0 0 0 STANLEY CRAIG MEMBER 0.30 X 0 0 0 DEE DEE RAGLAND MEMBER 0.30 X 0 0 0 SUSAN BARNETT MEMBER 0.30 X 0 0 0 DR PHIL PARTENHEIMER MEMBER 0.30 X 0 0 0 PATRICIA WHEELER MEMBER 0.30 X 0 0 0 JOHN SMITH SECRETARY/TRESURER 0.30 X X 0 0 0 ALBERT FEKETE MEMBER 0.30 X 0 0 0 ROBERT MCCARTER MEMBER 0.30 X 0 0 0 JESSICA WILLIAMS MEMBER 0.30 X 0 0 0 ANNE CIEMINSKI CHIEF FINANCIAL OFFICER 40.00 X 112992 0 3218 RICHARD FLOWERS EXECUTIVE DIRECTOR 40.00 X 128167 0 26263 RHONDA HARDING MARKETING DIRECTOR 40.00 X 126827 0 11002 367986 0 40483 3 0 0 0 MURPHY ELEVATOR CO INC 128 E MAIN ST LOUISVILLE KY 40202 PROFESSIONAL SERVICES 394556 ROB GILL CONTRACTING 2413 BLEVINS GAP ROAD LOUISVILLE KY 40272 PAINT/FLOOR CONTRACTOR 366900 HERITAGE HEALTHCARE 536 OLD HOWELL RD GREENVILLE SC 29615 THERAPY SERVICES 348005 SPRINGHURST HEALTH & REHAB 3001 N HURSTBOURNE PKWY LOUISVILLE KY 40241 NURSING/THERAPY SERVICES 174096 BAPTIST HOMES MANAGEMENT 3101 N HURSTBOURNE PKWY LOUISVILLE KY 40241 NURSING/THERAPY SERVICES 174000 6 111546 111546 MONTHLY SVC/ANCILLARY 623000 7873273 7873273 HEALTH CARE 623000 5062095 5062095 AMORT DEFERRED ENDOW 525990 607814 607814 13543182 393 393 4326 5489 79290 -1163 -79290 -80453 -80453 13574668 13543182 0 -80060 271972 69655 202317 5586990 4966520 620470 41288 33620 7668 497977 420437 77540 452514 396813 55701 69659 69659 32535 32535 36328 16202 20126 1374185 1161337 212848 18455 16374 2081 4355 4080 275 714973 679224 35749 609241 578779 30462 CONTRACT LABOR 873384 816344 57040 FOOD PURCHASES 731613 731613 SUPPLIES 651876 612060 39816 MARKETING 250867 2460 248407 926737 486086 440651 13144949 10991604 2153345 0 1191613 1513601 692926 478736 37248 36714 58925 84018 22628681 18167582 3647357 4461099 5490 4326 3172971 3813771 7611605 7611605 16418135 18003870 982373 1160246 17000219 16948202 170000 170000 1688365 1958278 6712715 7472962 26553672 27709688 X -10251813 -9805820 116276 100002 -10135537 -9705818 16418135 18003870 429719 0 X X 0 1 X 1 0 X 231249 111546 342795 11570637 11849726 12277744 13354940 13543182 62596229 11570637 11849726 12277744 13586189 13654728 62939024 0 0 0 62939024 11329 2395 1055 393 15172 11329 2395 1055 393 15172 11581966 11852121 12278799 13586189 13655121 62954196 0.99980 0.99940 0.00020 0.00060 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 1 1701 0 0 0 1701 0 PART II-B, LINE 1: THE ORGANIZATION PAYS DUES TO KENTUCKY ASSOCIATION OF HEALTH CARE FACILITIES AND AMERICAN HEALTH CARE ASSOCIATION. A PERCENTAGE OF THE DUES IS CONSIDERED LOBBYING EXPENSES. 700000 700000 18396043 17152098 1243945 2928395 1015484 1912911 604243 604243 4461099 RESTRICTED INVESTMENTS 3713409 F RESTRICTED CASH 100362 C 3813771 PREPAID SERIES 1995B BONDS 7611605 7611605 DEFERRED ENDOWMENT FEES, NET OF AMORTIZATION 3035363 REFUNDABLE ENDOWMENT FEES, NET OF AMORTIZATION 4424349 DEPOSITS UNDER OCCUPANCY AGREEMENTS 13250 7472962 X 13574668 0 13574668 0 13574668 13144949 0 13144949 0 13144949 PART X, LINE 2: THE CORPORATION IS EXEMPT FROM FEDERAL, STATE AND LOCAL INCOME TAXES AS A NOT-FOR-PROFIT CORPORATION AS DESCRIBED UNDER INTERNAL REVENUE CODE SECTION 501(C)(3). THE CORPORATION FILES INFORMATIONAL TAX RETURNS IN THE U.S. FEDERAL JURISDICTION AND WITH THE KENTUCKY OFFICE OF THE ATTORNEY GENERAL. HOWEVER, INCOME FROM CERTAIN ACTIVITIES NOT DIRECTLY RELATED TO THE CORPORATION'S TAX-EXEMPT PURPOSE MAY BE SUBJECT TO TAXATION AS UNRELATED BUSINESS INCOME. AS OF JUNE 30, 2016 AND 2015, THE CORPORATION DID NOT HAVE ANY ACCRUED INTEREST OR PENALTIES RELATED TO INCOME TAX LIABILITIES, AND NO INTEREST OR PENALTIES HAVE BEEN CHARGED TO OPERATIONS FOR THE YEARS THEN ENDED. DAVID ESAREY REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 12000 12000 0 1 1 KENTON HAYES REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 65000 65000 0 1 1 CHARLES SCHMIDT REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 17000 17000 0 1 1 LOLA REGISTER REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 12000 12000 0 1 1 BETTY BAKER REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 12000 12000 0 1 1 DR RICHARD HOUZE REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 12000 12000 0 1 1 JIM MORRIS REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 11000 11000 0 1 1 FRANK MATHER REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 2000 2000 0 1 1 ED CARLISLE REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 6000 6000 0 1 1 CARL NUSSBAUM REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 1000 1000 0 1 1 DR WAYNE DEHONEY REIMBURSE EXPENSES PAID ON BEHALF OF THE ORG AS A FORMER BOARD MEMBER. X 20000 20000 0 1 1 170000 FORM 990, PART VI, SECTION A, LINE 3 THE CORPORATION UTILIZES THE SERVICES OF A MANAGEMENT COMPANY IN ADDITION TO HAVING AN EXECUTIVE DIRECTOR AND CHIEF FINANCIAL OFFICER AS EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 11 THE 990 IS REVIEWED BY SENIOR MANAGEMENT AND SHARED WITH THE PRESIDENT OF THE BOARD OF DIRECTORS. IF EITHER GROUP IDENTIFIES AN AREA WARRANTING FURTHER DISCUSSION WITH THE EXECUTIVE COMMITTEE OR THE ENTIRE GOVERNING BODY, THE 990 WILL BE PRESENTED AT THE NEXT SCHEDULED GOVERNING BODY MEETING AFTER IT IS RECEIVED. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION OF THE EXECUTIVE DIRECTOR IS DETERMINED BY THE BOARD PRESIDENT AND THE MANAGEMENT COMPANY REPRESENTATIVE BASED UPON INDUSTRY STANDARDS. OTHER KEY EMPLOYEES RECEIVE AN EVALUATION FORM COMPLETED BY APPROPRIATE PERSONNEL. MERIT INCREASES ARE IN LINE WITH THE ANNUAL OPERATING BUDGET APPROVED BY THE GOVERNING BODY. FORM 990, PART VI, SECTION C, LINE 19 AVAILABLE UPON REQUEST FORM 990, PART XI, LINE 2C THE ACCOUNTING FIRM SUBMITS AN ENGAGEMENT LETTER TO THE CORPORATION SEVERAL MONTHS BEFORE THE BEGINNING OF THE AUDIT ENGAGEMENT. THE BOARD PRESIDENT AND THE CFO REVIEW THE ENGAGEMENT LETTER AND SIGN IT IF ACCEPTABLE. THE ACCOUNTING DIRECTOR PROVIDES OVERSIGHT DURING THE AUDIT WORK AND REPORTS ANY CONCERNS TO THE HEAD OF THE AUDIT COMMITTEE. THE ACCOUNTING FIRM PRESENTS A DRAFT OF THE AUDITED FINANCIAL STATEMENTS AND THE REPORT TO MANAGEMENT TO THE AUDIT COMMITTEE. ANY CONCERNS ARE ADDRESSED AT THIS TIME. AFTER THIS MEETING, THE ACCOUNTING FIRM FINALIZES THE REPORTS AND DELIVERS THE AUDITED FINANCIAL STATEMENTS AND REPORT TO MANAGEMENT TO THE CORPORATION. AT THE NEXT SCHEDULED BOARD MEETING, THE HEAD OF THE AUDIT COMMITTEE PROVIDES COMMENTARY TO THE FULL BOARD AND SEEKS FORMAL APPROVAL FROM THE FULL BOARD. THE TREYTON OAK TOWERS FOUNDATION INC 211 WEST OAK STREET LOUISVILLE KY 40203 263794482 SUPPORT FOR RESIDENTS OF TREYTON OAK TOWERS KY 501(C)(3) 509(A)(3) THE THIRD AND OAK CORPORATION 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 TREYTON OAK TOWERS FOUNDATION INC N