2016-04-18T10:29:15-05:00 2015-06-30 363168081 SIKICH LLP 3201 W WHITE OAKS DR STE 102 SPRINGFIELD IL 62704 990 2014-07-01 131632524 AMERICAN LUNG ASSOCIATION AMER 2177875864 55 W WACKER DRIVE CHICAGO IL 60601 LAURA SCOTT CFO 2177875864 2016-03-21 1 RICHARD LYNCH P01514704 2177933363 2016-03-21 2014 2016-08-17 19:52:53Z HAROLD WIMMER 55 W WACKER DRIVE CHICAGO IL 60601 51156651 0 X WWW.LUNG.ORG X 1918 ME THE MISSION OF THE AMERICAN LUNG ASSOCIATION IS TO SAVE LIVES BY IMPROVING LUNG HEALTH AND PREVENTING LUNG DISEASE. 24 24 74 142827 0 0 6082938 9782765 38549037 33065987 819330 523511 2050217 1441612 47501522 44813875 8932506 6778417 0 0 5738754 7177613 2206462 1776225 351410 27126245 25839076 44003967 41571331 3497555 3242544 35148082 38036463 22709085 24418940 12438997 13617523 X SEE ATTACHMENT 1 - SCHEDULE O. 0 0 19572458 255220 17116299 LUNG CANCER, ASTHMA, LUNG DISEASE AND TOBACCO CONTROL:LUNG CANCER IS AN URGENT HEALTH CRISIS IN AMERICA, KILLING MORE PEOPLE THAN ANY OTHER CANCER. THE AMERICAN LUNG ASSOCIATION IS DEDICATED TO REDUCING LUNG CANCER'S TERRIBLE TOLL. IN ITS SECOND YEAR, OUR LUNG FORCE INITIATIVE, TO MAKE LUNG CANCER A NATIONAL PRIORITY, CONTINUED TO RAISE AWARENESS, OFFER PATIENT SUPPORT AND RAISE FUNDS FOR RESEARCH. THE LUNG ASSOCIATION INCREASED OUR INVESTMENT TO $1.6 MILLION IN LUNG CANCER RESEARCH - WITH ANOTHER $9 MILLION COMMITTED IN THE NEXT FEW YEARS. WITH OUR LUNG FORCE LUNG CANCER CALL-IN DAY, WE SUCCESSFULLY ADVOCATED FOR AN INCREASE IN FEDERAL LUNG CANCER RESEARCH FUNDING. OUR LUNG FORCE EVENTS GREW IN NUMBER AND PARTICIPANTS IN OUR SECOND YEAR. THIS WAS THE INAUGURAL YEAR FOR LUNG FORCE EXPOS, EVENTS THAT ALLOW PATIENTS, CAREGIVERS AND HEALTHCARE PROVIDERS TO CONNECT AND LEARN THE LATEST TRENDS, RESOURCES AND RESEARCH AROUND LUNG CANCER, COPD, ASTHMA AND TUBERCULOSIS. IN OUR FIRST YEAR, 14 EXPOS REACHED OVER 2,000 PARTICIPANTS ACROSS THE COUNTRY. WE ALSO HELD EIGHT LUNG FORCE PATIENT PANELS IN BOSTON AND FT. LAUDERDALE, SPENDING MORE THAN 130 HOURS TALKING WITH PATIENTS AND CAREGIVERS ABOUT THEIR EXPERIENCES WITH LUNG CANCER. WE ARE USING WHAT WE LEARNED TO DRIVE POSITIVE CHANGE IN THE CONVERSATION WITH THE PUBLIC AND CLINICIANS ABOUT WOMEN AND LUNG CANCER.EVERY YEAR THE AMERICAN LUNG ASSOCIATION HELPS PEOPLE MANAGE THEIR LUNG DISEASE, OVERCOME THEIR NICOTINE ADDICTION AND LIVE HEALTHIER LIVES. LAST YEAR WE CONTINUED TO EXPAND OUR SUITE OF EDUCATION AND SUPPORT TOOLS FOR PATIENTS WITH LUNG DISEASE AND THEIR CAREGIVERS. TO HELP EASE THE BURDEN OF LUNG CANCER, WE CREATED UNIQUE VIDEOS AND DOWNLOADABLE WORKSHEETS COVERING WHAT PATIENTS CAN EXPECT FOLLOWING DIAGNOSIS. OUR NEW LUNG CANCER ACTION GUIDE SITE ALLOWS USERS TO SELECT WHERE THEY ARE IN THEIR LUNG CANCER JOURNEY AND BE CONNECTED WITH TARGETED LUNG ASSOCIATION RESOURCES. OUR LUNG HELPLINE, STAFFED BY REGISTERED NURSES, RESPIRATORY THERAPISTS, CERTIFIED TOBACCO TREATMENT SPECIALISTS AND COUNSELORS CONTINUED TO PROVIDE FREE ASSISTANCE WITH SMOKING CESSATION SUPPORT AND LUNG HEALTH QUESTIONS. WITH SUPPORT FROM THE CDC, THE LUNG ASSOCIATION HAS DEVELOPED A NUMBER OF TOOLS TO ENSURE THAT STUDENTS WITH ASTHMA HAVE ACCESS TO THEIR MEDICATION IN SCHOOL. THROUGH THESE TOOLS, THE LUNG ASSOCIATION IS HELPING TO REDUCE THE NUMBER OF ASTHMA EMERGENCIES AT SCHOOL. WE HAVE ALSO BEEN WORKING TO HELP ADULTS BETTER MANAGE THEIR ASTHMA WHILE AT WORK THROUGH TOOLS SUCH AS ASTHMA BASICS, AN INTERACTIVE, ONLINE LEARNING MODULE. THE EXPANDING SMOKEFREE COMMUNITIES PROJECT, FUNDED BY THE CDC'S COMMUNITY TRANSFORMATION GRANTS PROJECT ENABLED THE LUNG ASSOCIATION TO FUND PROGRAMS IN 11 COMMUNITIES FOCUSING ON STRATEGIES LIKE SMOKEFREE MULTI-UNIT HOUSING AND CESSATION SYSTEM CHANGES IN CLINICS AND MENTAL HEALTH FACILITIES. IN PARTNERSHIP WITH THE CHARTERED LUNG ASSOCIATIONS, WE WERE ABLE TO PROTECT OVER 415,000 PEOPLE FROM THE IMPACT OF TOBACCO USE. THIS YEAR, THE LUNG ASSOCIATION PARTNERED WITH PFIZER TO LAUNCH QUITTER'S CIRCLE: AN ONLINE COMMUNITY AND MOBILE APP DESIGNED TO HELP SMOKERS FACE COMMON OBSTACLES ASSOCIATED WITH QUITTING THROUGH EDUCATIONAL, SOCIAL AND FINANCIAL SUPPORT. 6895878 6025503 6030511 RESEARCH:FUNDING RESEARCH HAS BEEN A CORNERSTONE OF THE LUNG ASSOCIATION'S FIGHT AGAINST LUNG DISEASE FOR MORE THAN A CENTURY. IN 2014 - 2015, OUR DONORS AGAIN MADE IT POSSIBLE TO FUND $9 MILLION FOR EXCEPTIONAL RESEARCHERS SEEKING TREATMENTS AND CURES FOR LUNG DISEASES, INCLUDING ASTHMA, COPD, AND LUNG CANCER.THE AMERICAN LUNG ASSOCIATION NATIONWIDE RESEARCH PROGRAM CONSISTS OF TWO PROGRAMS: THE AWARDS AND GRANTS PROGRAM AND THE AIRWAYS CLINICAL RESEARCH CENTERS. WE FUNDED 85 NOVEL AND INNOVATIVE RESEARCH PROJECTS THROUGH OUR AWARDS PROGRAMS. THE AWARDS AND GRANTS PROGRAM FOSTERS LABORATORY AND PATIENT-CENTERED AND SOCIAL BEHAVIOR RESEARCH TO PREVENT, TREAT AND HOPEFULLY FIND A CURE FOR ALL LUNG DISEASES. IN CONNECTION WITH OUR LUNG FORCE INITIATIVE TO FIGHT LUNG CANCER, WE DEDICATED $1.6 MILLION TO LUNG CANCER RESEARCH. THIS REPRESENTS A 50 PERCENT INCREASE IN RESEARCH SPENDING OVER THE PRIOR YEAR, AND COMBATS THE LEADING CAUSE OF CANCER-RELATED DEATH IN THE UNITED STATES.THIS PAST YEAR, OUR AIRWAYS CLINICAL RESEARCH CENTERS NETWORK (ACRC) EXPANDED ITS RESEARCH TO INCLUDE COPD. THE ACRC IS THE NATION'S LARGEST NETWORK CONDUCTING ASTHMA AND COPD CLINICAL TRIALS OUTSIDE THE PHARMACEUTICAL INDUSTRY. IN FY15, THE ACRC LAUNCHED TWO NEW INITIAL COPD STUDIES: ANXIETY AND COPD EVALUATION (ACE) AND RESISTANT AIRWAY OBSTRUCTION IN CHILDREN (REACH).THE RESULTS OF THE NHLBI SUPPORTED STUDY OF SOY ISOFLAVONES IN ASTHMA (SOYA) WERE REPORTED IN THE JOURNAL OF THE AMERICAN MEDICAL ASSOCIATION. OUR STUDY DID NOT FIND EVIDENCE OF SYMPTOM IMPROVEMENT IN PATIENTS TAKING SOY ISOFLAVONES, SUGGESTING THAT PATIENTS MAY BE BUYING AND TAKING AN UNNECESSARY AND INEFFECTIVE SUPPLEMENT. WE PUBLISHED "PROVIDING GUIDANCE ON LUNG CANCER SCREENING TO PATIENTS, AND PHYSICIANS," WHICH CONTAINS UPDATED RECOMMENDATIONS ABOUT LOW-DOSE CT SCREENING FOR LUNG CANCER AND RECOMMENDATIONS THAT ASSESSMENT OF SMOKING HISTORY AND PROVISION OF SMOKING CESSATION SERVICES BE PART OF ANY LUNG CANCER SCREENING PROGRAM. WE ALSO SIGNED AN AGREEMENT WITH THE FOUNDATION FOR THE NATIONAL INSTITUTES OF HEALTH TO HELP SUPPORT THE LUNG-MAP PROJECT, A GROUNDBREAKING, COLLABORATIVE APPROACH TO CLINICAL TRIALS IN SQUAMOUS CELL LUNG CANCER. 9494082 508 8302664 SUPPORT OF AMERICAN LUNG ASSOCIATION CHARTERED ASSOCIATIONS:THE AMERICAN LUNG ASSOCIATION NATIONAL HEADQUARTERS SUPPORTS ITS 8 CHARTERED ASSOCIATIONS THROUGH COACHING, TRAINING, MARKETING, CONSULTATION AND TECHNICAL ASSISTANCE. AMERICAN LUNG ASSOCIATION STAFF AND VOLUNTEERS THROUGHOUT THE COUNTRY ARE PROVIDED SKILL-BUILDING AND OTHER LEARNING OPPORTUNITIES TO HELP THEM SUCCESSFULLY DELIVER THE AMERICAN LUNG ASSOCIATION'S MISSION. THROUGH IMPLEMENTATION OF THESE STAFF LEARNING AND VOLUNTEER DEVELOPMENT OFFERINGS, CHARTERED ASSOCIATIONS ARE KEPT CURRENT ON BEST PRACTICES IN LUNG HEALTH PROGRAMS AND DELIVERY, ADVOCACY, FINANCIAL MANAGEMENT, FUNDRAISING, LEADERSHIP DEVELOPMENT, PROGRAM AND EVENT MARKETING AND VOLUNTEER MANAGEMENT. ONE-ON-ONE COACHING AND CONSULTATION BY NATIONAL HEADQUARTERS STAFF IS OFFERED AS NEEDED OR REQUESTED. INDIVIDUAL DISCIPLINE GROUPS (E.G. CHIEF EXECUTIVE OFFICERS, CHIEF FINANCIAL OFFICERS, CHIEF DEVELOPMENT OFFICERS, PROGRAM MANAGERS, ETC.) MEET REGULARLY WITH NATIONAL HEADQUARTERS PEERS TO SHARE IDEAS, PROBLEM-SOLVE, AND NETWORK.THE AMERICAN LUNG ASSOCIATION CONDUCTS A NATIONWIDE VOLUNTEER AND STAFF RECOGNITION PROGRAM. VOLUNTEERS AND STAFF ARE RECOGNIZED ON AN ONGOING BASIS FOR OUTSTANDING PERFORMANCE. AN ANNUAL RECOGNITION CEREMONY IS HELD AT A MEETING OF THE AMERICAN LUNG ASSOCIATION BOARD OF DIRECTORS AND NATIONWIDE ASSEMBLY WHERE AWARDS FOR HIGHEST ACHIEVEMENT ARE GIVEN IN SPECIFIC CATEGORIES.THE AMERICAN LUNG ASSOCIATION BOARD OF DIRECTORS PROVIDES STRATEGIC DIRECTION FOR THE NATIONAL HEADQUARTERS AND ITS CHARTERED ASSOCIATIONS. COORDINATION AND MONITORING OF NATIONAL AND CHARTERED ASSOCIATION STRATEGIC ALIGNMENT IS PROVIDED THROUGH A BOARD-APPROVED METRIC-BASED PERFORMANCE MANAGEMENT SYSTEM. THE AMERICAN LUNG ASSOCIATION BOARD OF DIRECTORS IS RESPONSIBLE FOR OVERSIGHT OF CHARTERED ASSOCIATION COMPLIANCE TO POLICIES AND PERFORMANCE STANDARDS. ASSISTANCE IS PROVIDED BY THE NATIONAL HEADQUARTERS TO THOSE CHARTERED ASSOCIATIONS THAT DO NOT MEET REQUIREMENTS AND/OR STANDARDS.A VARIETY OF NATIONAL STAFF PROVIDE SPECIAL EVENTS SUPPORT TO THE ALA CHARTERED REGIONAL ASSOCIATIONS. THIS SUPPORT IS DESIGNED TO ASSIST IN THE DEVELOPMENT, MARKETING AND IMPLEMENTATION OF EVENTS AND PROMOTIONS STRATEGIES. AMONG THE ASSISTANCE PROVIDED ARE PLANNING (GOAL SETTING, STRATEGIC REVIEW, DEVELOPMENT OF TEMPLATE MATERIAL, FEASIBILITY STUDIES); TRAINING (MONTHLY CONFERENCE CALLS, BEST PRACTICE STAFF TRAINING, LISTSERV BASED MATERIALS, STAFF TRAINING WEBINARS, ETC.); IMPLEMENTATION (SPONSORSHIP CALLS, RECRUITMENT, EVENT ATTENDANCE/PARTICIPATION); COACHING (STAFF, LEADERSHIP, VOLUNTEERS); COORDINATION OF BRANDED MARKETING COLLATERAL; SOLICITATION OF NATIONAL SPONSORS/TEAMS; BUILDING, FACILITATING AND INTEGRATING E-COMMERCE PLATFORMS; AND EVALUATION OF NEW EVENTS. THE PRIMARY FOCUS IS TO INCREASE THE CHARTERED ASSOCIATIONS NET REVENUE AND FULLY INTEGRATE BEST PRACTICE STRATEGIES INTO THE OVERALL WORK PLAN.THE DIRECT RESPONSE TEAM DEVELOPS AND IMPLEMENTS CAMPAIGN PLANS FOR ALL DIRECT MAIL APPEALS, TELEMARKETING CAMPAIGNS AND THE RESIDENTIAL PROGRAM IN CONJUNCTION WITH OUR DIRECT RESPONSE CONSULTING AGENCY. ALL FUNDS GENERATED ARE DEPOSITED DIRECTLY INTO LOCAL ASSOCIATION ACCOUNTS ON A REGULAR (WEEKLY OR BI-WEEKLY) BASIS WITH DETAILED REPORTS BY CAMPAIGN FOR THE CURRENT PERIOD AND YEAR-TO-DATE. LOCAL ASSOCIATIONS ARE BILLED MONTHLY FOR DIRECT RESPONSE EXPENSES AND QUARTERLY FOR A 30% SHARE OF THE NET INCOME GENERATED BY THE PROGRAMS. ASSOCIATIONS ARE PROVIDED WITH A BUDGET FOR EACH PROGRAM ALONG WITH CASH FLOW AND BILLING SCHEDULES, AS WELL AS QUARTERLY UPDATES ON ACTUAL PERFORMANCE. BILLED EXPENSES ARE RECONCILED TO ACTUAL COSTS AT THE END OF THE FISCAL YEAR. IMAGES OF ALL ROLLOUT MAILING PACKAGES ARE AVAILABLE FOR REFERENCE BY LOCAL ASSOCIATIONS. DIRECT RESPONSE CALLS OR MEETINGS ARE CONDUCTED TO WHICH ALL LOCAL CEOS ARE INVITED TO PARTICIPATE FOR UPDATES ON THE PROGRAM AND ANY ISSUES OR QUESTIONS THAT ARISE. 2860386 497186 2501435 ADVOCACY AND ENVIRONMENTAL:IN 2014 - 2015 WE MADE SIGNIFICANT HEADWAY IN OUR EFFORTS TO ADVOCATE FOR HEALTHY LUNGS AND HEALTHY AIR. THE AMERICAN LUNG ASSOCIATION WORKS TO DEFEND THE CLEAN AIR ACT AND THE FAMILY SMOKING PREVENTION AND TOBACCO CONTROL ACT, SUPPORTS LEGISLATION THAT PROTECTS OUR CHILDREN FROM DEADLY AIR POLLUTION AND TOBACCO PRODUCTS, AND SUPPORTS FUNDING FOR CRITICAL LUNG DISEASE RESEARCH AND HEALTH PROGRAMS AT THE FEDERAL LEVEL - AND MUCH MORE. THIS PAST YEAR, WE ADVOCATED FOR THE U.S. ENVIRONMENTAL PROTECTION AGENCY (EPA) TO ADOPT A STRONG FINAL CLEAN POWER PLAN TO REDUCE CARBON POLLUTION FROM NEW AND EXISTING POWER PLANTS. TO HIGHLIGHT THE HEALTH IMPACTS OF CLIMATE CHANGE, WE HOSTED EPA ADMINISTRATOR GINA MCCARTHY AT A ROUNDTABLE IN CHICAGO THIS APRIL AND PARTICIPATED IN THE WHITE HOUSE SUMMIT ON CLIMATE CHANGE AND HEALTH IN JUNE IN WASHINGTON, DC. OUR 16TH ANNUAL "STATE OF THE AIR" REPORT SHOWED THAT MORE THAN FOUR IN 10 AMERICANS LIVE IN COUNTIES WHERE OZONE OR PARTICLE POLLUTION LEVELS MAKE THE AIR UNHEALTHY TO BREATHE. THE REPORT FINDINGS WERE CITED IN TESTIMONY BEFORE CONGRESS AND IN EDITORIALS NATIONWIDE WITH MORE THAN 1.67 BILLION EARNED MEDIA IMPRESSIONS.THANKS IN PART TO LUNG ASSOCIATION LEGAL ACTION, THE EPA PROPOSED TO STRENGTHEN THE NATIONAL STANDARD FOR OZONE POLLUTION. FOLLOWING THE PROPOSAL, THE LUNG ASSOCIATION HELPED ORGANIZE MORE THAN 30 HEALTH PROFESSIONALS AND VOLUNTEERS TO TESTIFY AT EPA PUBLIC HEARINGS IN TEXAS, CALIFORNIA, AND WASHINGTON, DC. WE ALSO, ALONG WITH 12 OTHER NATIONAL HEALTH ORGANIZATIONS, SUBMITTED COMMENTS TO EPA AND HELPED RECRUIT MORE THAN 1,000 HEALTH PROFESSIONALS TO JOIN THE FIGHT URGING EPA TO SET THE MOST HEALTH-PROTECTIVE STANDARDS.PRESIDENT OBAMA, U.S. SURGEON GENERAL VIVEK MURTHY, MD, AND EPA ADMINISTRATOR GINA MCCARTHY JOINED A ROUNDTABLE AT HOWARD UNIVERSITY WHERE LUNG ASSOCIATION VOLUNTEER TYRA BRYANT-STEPHENS, MD, SHARED HER CONCERNS ABOUT THE HEALTH IMPACTS OF CLIMATE CHANGE ON CHILDREN WITH ASTHMA, INCLUDING THOSE SHE SERVES THROUGH HER WORK AT THE CHILDREN'S HOSPITAL OF PHILADELPHIA. OUR 13TH ANNUAL "STATE OF TOBACCO CONTROL" REPORT RELEASED IN JANUARY 2015, FOUND THAT STATES AND THE FEDERAL GOVERNMENT ARE NOT DOING ENOUGH TO ELIMINATE TOBACCO-CAUSED DEATH AND DISEASE. THIS YEAR, WE ALSO URGED THE OBAMA ADMINISTRATION TO MOVE QUICKLY AND PROTECT PUBLIC HEALTH AND THE HEALTH OF THE NATION'S YOUTH BY GIVING THE FOOD AND DRUG ADMINISTRATION OVERSIGHT AUTHORITY OVER ALL TOBACCO PRODUCTS, INCLUDING E-CIGARETTES, CIGARS AND HOOKAH. NEW ORLEANS WENT SMOKEFREE IN ALL PUBLIC PLACES AND WORKPLACES, INCLUDING BARS AND CASINOS. THE LUNG ASSOCIATION PLAYED A PIVOTAL ROLE IN PASSAGE OF THE LAW AND DEFENDING IT AGAINST ATTACKS FROM OPPONENTS. 2860386 497186 2501435 38822804 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 68 0 74 1 0 0 0 0 0 1 1 0 0 0 0 X 24 24 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 DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN VA WA WV WI X X LAURA SCOTT CFO 2177875864 3000 KELLY LANE SPRINGFIELD IL 62711 KATHRYN A FORBES CPA BOARD CHAIR 2.00 X X 0 0 0 JOHN F EMANUEL JD BOARD VICE-CHAIR 2.00 X X 0 0 0 PENNY J SIEWERT SECRETARY/TREASURER 2.00 X X 0 0 0 ROSS P LANZAFAME ESQ PAST CHAIR 2.00 X X 0 0 0 LINN P BILLINGSLEY BSN DIRECTOR 2.00 X 0 0 0 MICHAEL F BUSK MD MPH DIRECTOR 2.00 X 0 0 0 CHERYL A CALHOUN BA MBA DIRECTOR 2.00 X 0 0 0 CHRISTOPHER CARNEY DIRECTOR 2.00 X 0 0 0 MICHAEL V CARSTENS DIRECTOR 2.00 X 0 0 0 MARIO CASTRO MD MPH DIRECTOR 2.00 X 0 0 0 ARTHUR A CERULLO JD DIRECTOR 2.00 X 0 0 0 PAULINE GRANT MS MBA FACHE DIRECTOR 2.00 X 0 0 0 SUMITA B KHATRI MD MS DIRECTOR 2.00 X 0 0 0 ANGELA V MASTROFRANCESCO DIRECTOR 2.00 X 0 0 0 ROBERT K MERCHANT MD MS DIRECTOR 2.00 X 0 0 0 STEPHEN J NOLAN ESQ DIRECTOR 2.00 X 0 0 0 STEPHEN R O'KANE DIRECTOR 2.00 X 0 0 0 HARRY PERLSTADT PHD MPH DIRECTOR 2.00 X 0 0 0 AUSTIN K PUGH DIRECTOR 2.00 X 0 0 0 JANE Z REARDON MSN APRN CS AE-C DIRECTOR 2.00 X 0 0 0 AL ROWE DIRECTOR 2.00 X 0 0 0 JEFFREY T STEIN CFP CRPS DIRECTOR 2.00 X 0 0 0 KARIN A TOLLEFSON PHARMD DIRECTOR 2.00 X 0 0 0 LETICIA W TOWNS DIRECTOR 2.00 X 0 0 0 HAROLD WIMMER PRESIDENT & CEO 40.00 X 382514 0 52047 LAURA SCOTT CHIEF FINANCIAL OFFICER 40.00 X 184476 0 9431 PAUL BILLINGS VP NATIONAL POLICY & ADVOCACY 40.00 X 188636 0 20363 SUSAN RAPPAPORT VP RESEARCH & PROGRAM 40.00 X 175189 0 51617 ALANA BURNS VP SIGNATURE CAUSE CAMPAIGN 40.00 X 180624 0 10907 RUSSELL BURWELL VP GOVERNANCE 40.00 X 153027 0 26313 CRAIG FINSTAD AVP DIRECT RESPONSE OPERATION 40.00 X 137861 0 24142 CHAUNDA ROSEBOROUGH VP MARKETING & COMMUNICATIONS 40.00 X 119731 0 33883 JANICE NOLEN AVP NATIONAL POLICY 40.00 X 103689 0 34926 1625747 0 263629 16 0 1 0 ALANIZ METROGROUP 425 N IRIS ST MT PLEASEANT IA 52641 MARKETING 5118349 RR DONNELLEY 1333 SCHEURING RD DE PERE WI 54115 SUPPLY CHAIN MANAGEMENT 4024462 DANIEL EDLEMAN INC 200 E RANDOLPH ST FLR 63 CHICAGO IL 60601 PUBLIC RELATIONS 3168031 BRICKMILL MARKETING SERVICES 24 MILL BROOK RD WILTON NH 03086 MARKETING 1932661 INFOCISION MANAGEMENT CORP 325 SPRINGSIDE DR AKRON OH 44333 MARKETING 1528192 69 X 1372903 8409862 277584 9782765 PROGRAM REIMBURSEMENTS 900099 22339931 22339931 CHART. ASSOC. ASSESSME 900099 4808700 4808700 PROGRAM SERVICE CONTRA 900099 3609416 3609416 DIRECT RESP. ACTIVITY 900099 2244215 2244215 MEMBERSHIP DUES 900099 63725 63725 33065987 429578 429578 556690 556690 6436709 6342776 93933 93933 93933 RESEARCH GRANT SERVICE 900099 494705 494705 PROGRAM PARTICIPANT FE 900099 236168 236168 TRUST INCOME 900099 134248 134248 19801 19801 884922 44813875 33065987 0 1965123 X 6778417 6778417 2531049 2222775 278465 29809 2890165 2538153 317974 34038 1367601 1174289 173646 19666 388798 333841 49366 5591 104062 95217 7805 1040 221973 221973 1776225 1776225 57645 57645 6236598 6072825 140016 23757 15173177 14228531 758659 185987 792595 585835 189731 17029 322006 291878 27156 2972 281900 252409 26561 2930 129119 115001 12715 1403 128897 99709 26288 2900 RESIDENTIAL CAMPAIGN 1967726 1869340 98386 PROCESSING FEES 1278626 1107420 154120 17086 OFFICE SUPPLIES & EQUIP 530349 498968 28263 3118 MISCELLANEOUS 178847 178847 -1564444 157376 50321 -1772141 41571331 38822804 2397117 351410 X 599959 377974 35998 185987 300 550 9318297 13137880 3543192 3617193 1007824 1030940 1380491 1194849 215805 185642 15324523 14669182 5738141 5395076 35148082 38036463 3275212 2033125 3443045 3790814 6988384 9155191 9002444 9439810 22709085 24418940 X 6970520 8515889 1415412 1211570 4053065 3890064 12438997 13617523 35148082 38036463 X 3242544 -1048224 -1015794 X 0 1 X 1 1 1 X 11915758 10546204 8618848 6082938 9782765 46946513 11915758 10546204 8618848 6082938 9782765 46946513 46946513 1419418 1592243 952391 1178134 986268 6128454 1024657 556293 517426 1339034 884922 4322332 57397299 174349284 0.81790 0.81100 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 1 1 26152 1 12600 1 16750 1 164781 1 1690 1 221973 0 PART II-B, LINE 1: THE AMERICAN LUNG ASSOCIATION VOLUNTEERS AND STAFF ENGAGE IN A WIDE RANGE OF ADVOCACY ACTIVITIES TO FURTHER OUR MISSION TO SAVE LIVES BY IMPROVING LUNG HEALTH AND PREVENTING LUNG DISEASE. OUR WORK INCLUDES EFFORTS TO EDUCATE MEMBERS OF CONGRESS, THEIR STAFF AND THE PUBLIC ON LUNG HEALTH ISSUES AND ACCESS TO HEALTHCARE. WE ADVOCATE FOR CLEAN, HEALTHY AIR TO REDUCE THE HEALTH IMPACTS OF AIR POLLUTION. WE FOCUS ON SUPPORTING THE IMPLEMENTATION AND STRENGTHENING OF THE NATION'S CLEAN AIR LAWS. WE STRONGLY SUPPORT THE PUBLIC HEALTH INFRASTRUCTURE AND LUNG HEALTH RESEARCH FUNDING INCLUDING FUNDING FOR LUNG CANCER, CHRONIC OBSTRUCTIVE PULMONARY DESEASE (COPD), ASTHMA, TUBERCULOSIS AND OTHER LUNG DISEASES. FURTHERMORE, THE AMERICAN LUNG ASSOCIATION VOLUNTEERS AND STAFF ACTIVELY ADVOCATE IN WASHINGTON, D.C. AND IN THE STATES FOR TOBACCO CONTROL LAWS, INCLUDING EFFORTS TO REGULATE TOBACCO PRODUCTS, PROMOTE TOBACCO CESSATION AND ELIMINATE EXPOSURE TO SECOND HAND SMOKE. 1405053 -59489 98509 9385 1237670 1201259 304334 95089 5451 1405053 1030809 259407 77218 11739 1201259 1099684 -23972 34318 10585 1030809 980525 201713 72000 10554 1099684 0.40400 0.59600 0 0 186357 151799 34558 742716 595543 147173 451418 447507 3911 185642 BENEFICIAL INTEREST IN PERPETUAL TRUSTS 3715880 AMOUNTS HELD ON BEHALF OF OTHERS 1679196 5395076 PENSION & LIFE INSURANCE BENEFITS 4869463 DUE TO CHARTERED ASSOC. 1002166 AMOUNTS HELD ON BEHALF OF OTHERS 1679196 ANNUITY FUND INVESTMENTS 82247 OTHER LIABILITIES 1806738 9439810 X 58985274 -1048224 16235417 -1015794 14171399 44813875 0 44813875 57806748 16235417 16235417 41571331 0 41571331 PART IV, LINE 2B: PERMANENTLY RESTRICTED NET ASSETS ARE PRIMARILY DEDICATED TO SUPPORTING RESEARCH SCHOLARS IN INTERSTITIAL RELATED LUNG DISEASES. DALSEMER ENDOWMENT: IN 1983, LEONARD DALSEMER, THE JOHN A. HARTFORD FOUNDATION, AND THE WHEELABRATOR FOUNDATION ENDOWED THE NATIONAL OFFICE WITH $500,000 (THE CORPUS) TO FUND RESEARCH TO FIND A CURE FOR INTERSTITIAL LUNG DISEASE. THE EARNINGS FROM THE CORPUS ARE TO FUND AN ANNUAL RESEARCH AWARD IN A MINIMAL AMOUNT OF $30,000. THE TERM OF EACH AWARD IS THREE YEARS. ANNUAL EXPENDITURES ARE LIMITED TO 6% OF THE FAIR MARKET VALUE OF THE ENDOWMENT. THE AMERICAN LUNG ASSOCIATION IS TO STRIVE TO GROW THE ENDOWMENT BY SOLICITING ADDITIONAL DONOR CONTRIBUTIONS. THE AWARD IS ONLY TO BE CONFERRED WHEN THE REVIEW COMMITTEE DEEMS THE PROPOSED RESEARCH MERITORIOUS. MARY FULLER RUSSELL RESEARCH FUND: IN A SETTLEMENT ENTERED BY AMERICAN LUNG ASSOCIATION OF NEW HAMPSHIRE (ALANH) AND NATIONAL OFFICE (ALA)ON JULY 9, 2003, ALANH AGREED TO SET ASIDE, AS A SEGREGATED FUND, WITHIN ITS ENDOWMENT FUND, THE SUM OF $1,297,643 REPRESENTING ALA'S 10% SHARE, AND TO MAINTAIN SUCH SEGREGATED FUND INTACT FOR THE PURPOSE OF PAYING TO AND ALLOWING ALA TO USE ALL THE INCOME AND THE ANNUAL NET APPRECIATION, IF ANY, IN THE FAIR VALUE OF THE SEGREGATED FUND FOR RESEARCH PURPOSES DETERMINED BY ALA. UNDER THE SETTLEMENT, SUCH SEGREGATED FUND IS TO BE HELD FOR ALA'S BENEFIT IN PERPETUITY. ALANH AND ALA AGREED THAT DISTRIBUTIONS FROM THE MARY FULLER RUSSELL RESEARCH FUND SHALL BE USED TO SUPPORT RESEARCH INTO LUNG HEALTH ISSUES, AND THAT RESEARCH GRANTS TO RECIPIENTS SHALL BE MADE UNDER THE NAME MARY FULLER RUSSELL RESEARCH FUND. PART X, LINE 2: GUIDANCE IN THE AREA OF ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES UNDER THE FINANCIAL ACCOUNTING STANDARDS BOARD (FASB) ACCOUNTING STANDARDS CODIFICATION CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS STANDARD PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION CAN BE RECOGNIZED IN THE FINANCIAL STATEMENTS ONLY IF THE POSITION IS MORE-LIKELY-THAN-NOT TO BE SUSTAINED, IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE STANDARD ALSO PROVIDES GUIDANCE ON MEASUREMENT, CLASSIFICATION, INTEREST AND PENALTIES, AND DISCLOSURE. THE FISCAL YEARS ENDED 2012, 2013 AND 2014 ARE STILL OPEN TO AUDIT FOR BOTH FEDERAL AND STATE PURPOSES. NATIONAL OFFICE HAS PROCESSES PRESENTLY IN PLACE TO ENSURE THE MAINENANCE OF ITS TAX-EXEMPT STATUS; TO IDENTIFY AND REPORT UNRELATED INCOME; TO DETERMINE ITS FILING AND TAX OBLIGATIONS IN JURISDICTIONS FOR WHICH IT HAS NEXUS; AND, TO IDENTIFY AND EVALUATE OTHER MATTERS THAT MAY BE CONSIDERED TAX POSITIONS. NATIONAL OFFICE INCURRED NO INTEREST OR PENALTIES RELATED TO TAX LIABILITIES FOR THE YEAR ENDED JUNE 30, 2015. PART XI, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN FAIR VALUE OF BENEFICIAL INTEREST IN TRUSTS -199,461. CHANGE IN VALUE OF SPLIT INTEREST TRUSTS -23,221. PENSION AND POST RETIREMENT PLAN CHANGES -793,112. X X X 1 THOMPSON HABIB & DENISON 80 HAYDEN LEXINGTON MA 02421 DIRECT MAIL 0 23167913 300000 22867913 INFOCISION MANAGEMENT CORP 325 SPRINGSIDE DR AKRON OH 44333 RESIDENTIAL 0 1749994 1244467 505527 SFI NONPROFIT 7800 3RD ST N SUITE 900 ST PAUL MN 55128 TELEMARKETING 0 373889 231758 142131 25291796 1776225 23515571 AL AK AZ AR CA CO CT DE 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 WV WI WY DC SCHEDULE G, PART I, LINE 2B, COLUMN (V) THE AMERICAN LUNG ASSOCIATION'S NATIONAL OFFICE PROVIDES SUPPORT FOR CHARTERED AMERICAN LUNG ASSOCIATIONS' DIRECT MAIL, RESIDENTIAL CAMPAIGNS, AND TELEMARKETING. AS PART OF THIS SUPPORT, THE AMERICAN LUNG ASSOCIATION (NATIONAL) CONTRACTS WITH PROFESSIONAL FUNDRAISERS TO DEVELOP FUNDRAISING STRATEGIES ON THESE INITIATIVES. REVENUES FROM DIRECT RESPONSE, RESIDENTIAL CAMPAIGN AND TELEMARKETING CAMPAIGNS ARE DISTRIBUTED TO THE CHARTERED AMERICAN LUNG ASSOCIATIONS, AND EACH RESPECTIVE CHARTER REIMBURSES NATIONAL FOR THEIR ALLOCABLE PORTION OF EXPENSES RELATED TO EACH FUNDRAISING CAMPAIGN. 1 ALA OF MID-ATLANTIC 3001 OLD GETTYSBURG RD CAMP HILL PA 17011 251825116 501(C)(3) 226250 FED. & PROG. GRANTS ALA OF MIDLAND STATES 1950 ARLINGATE LANE COLUMBUS OH 43228 314379531 501(C)(3) 110585 FED. & PROG. GRANTS ALA OF MOUNTAIN PACIFIC 7420 S BRIDGEPORT RD SUITE 200 TIGARD OR 97224 930386887 501(C)(3) 51875 FED. & PROG. GRANTS ALA OF CALIFORNIA 333 HEGENBERGER RD SUITE 450 OAKLAND CA 94621 940362650 501(C)(3) 5800 FED. & PROG. GRANTS ALA OF THE NORTHEAST 21 WEST 38TH ST NEW YORK NY 10018 060646594 501(C)(3) 104400 FED. & PROG. GRANTS ALA OF THE SOUTHEAST 6852 BELFORT OAKS PLACE JACKSONVILLE FL 32216 590662271 501(C)(3) 52229 FED. & PROG. GRANTS ALA OF THE SOUTHWEST 5600 GREENWOOD PLAZA BLVD SUITE 100 100 GREENWOOD VILLAGE CO 80111 860111676 501(C)(3) 143092 FED. & PROG. GRANTS ALA OF THE UPPER MIDWEST 3000 KELLY LANE SPRINGFIELD IL 62707 204392201 501(C)(3) 79969 FED. & PROG. GRANTS ALBANY MEDICAL COLLEGE 47 NEW SCOTLAND AVE ALBANY NY 12208 141338310 501(C)(3) 40000 RESEARCH BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA HOUSTON TX 77030 741613878 501(C)(3) 122300 RESEARCH CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVE CLEVELAND OH 44106 341018992 501(C)(3) 40000 RESEARCH CHILDREN'S HOSPITAL MEDICAL CENTER - CINCINNATI 3333 BURNET AVE CINCINNATI OH 45229 310833936 501(C)(3) 40000 RESEARCH COLUMBIA UNIVERSITY 722 W 168TH ST 4TH FLOOR NEW YORK NY 10032 155598093 501(C)(3) 159500 RESEARCH CORNELL UNIVERSITY 575 LEXINGTON AVE NEW YORK NY 10022 131623978 501(C)(3) 40000 RESEARCH DUKE UNIVERSITY BOX 104132 DURHAM NC 27708 560532129 501(C)(3) 169900 RESEARCH GEORGIA REGENTS UNIVERSITY 1120 15TH ST AUGUSTA GA 30912 586002053 501(C)(3) 40000 RESEARCH INDIANA UNIVERSITY PO BOX 78000 DETROIT MI 48278 356001673 501(C)(3) 65000 RESEARCH JOHNS HOPKINS UNIVERSITY 1101 E 33RD ST D200 BALTIMORE MD 21218 520595110 501(C)(3) 998500 RESEARCH LOUISIANA STATE UNIVERSITY HEALTH SCIENCES CENTER 433 BOLIVAR ST NEW ORLEANS LA 70112 726087770 501(C)(3) 76025 RESEARCH LOVELACE RESPIRATORY RESEARCH INSTITUTE 2425 RIDGECREST DR ALBUQUERQUE NM 87108 850110669 501(C)(3) 40000 RESEARCH MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT ST BOSTON MA 02114 041564655 501(C)(3) 205000 RESEARCH NATIONAL JEWISH MEDICAL AND RESEARCH CENTER 1400 JACKSON ST DENVER CO 80206 742044647 501(C)(3) 139525 RESEARCH NEMOURS CHILDREN CLINC 10140 CENTURION PARKWAY NORTH JACKSONVILLE FL 32256 590634433 501(C)(3) 75050 RESEARCH NEW YORK MEDICAL COLLEGE WORMEN'S AND CHILDREN CENTER 40 SUNSHINE COTTAGE RD VALHALLA NY 10595 131099420 501(C)(3) 75425 RESEARCH NORTH DAKOTA STATE UNIVERSITY PO BOX 6050 FARGO ND 58108 456002439 501(C)(3) 40000 RESEARCH NORTH SHORE LONG ISLAND JEWISH 300 COMMUNITY DR MANHASSET NY 11030 111562701 501(C)(3) 76875 RESEARCH NORTHWESTERN UNIVERSITY 619 CLARK ST EVANSTON IL 60208 362167817 501(C)(3) 140000 RESEARCH NYU SCHOOL OF MEDICINE 545 FIRST AVE NEW YORK NY 10016 135562308 501(C)(3) 59400 RESEARCH OREGON HEALTH & SCIENCE UNIVERSITY 3181 W SAM JACKSON PARK RD PORTLAND OR 97239 931176109 501(C)(3) 132500 RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA BERKLEY 2195 HEARST AVE BERKLEY CA 94704 946002123 501(C)(3) 32500 RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA IRVINE 1400 BIOLOGICAL SCIENCES III IRVINE CA 92697 952226406 501(C)(3) 100000 RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA SAN FRANCISCO 3333 CALIFORNIA ST SUITE 315 BOX 0962 SAN FRANCISCO CA 94118 946036493 501(C)(3) 200000 RESEARCH REGENTS OF UNIVERSITY OF MINNESOTA PO BOX 1450 MINNEAPOLIS MN 55485 416007513 501(C)(3) 80000 RESEARCH ROSALIND FRANKLIN UNIVERSITY 333 GREEN BAY RD NORTH CHICAGO IL 60046 362181973 501(C)(3) 40000 RESEARCH RUTGERS UNIVERSITY SCHOOL OF PUBLIC HEALTH 7 COLLEGE AVE WINANT HALL NEW BRUNSWICK NJ 08901 226001086 501(C)(3) 32500 RESEARCH SLOAN-KETTERING INSTITUTE FOR CANCER RESEARCH 1275 YORK AVE BOX 070 NEW YORK NY 10065 131924236 501(C)(3) 100000 RESEARCH ST VINCENT OF INDIANA 1 HOSPITAL DR INDIANAPOLIS IN 46260 350869066 501(C)(3) 78100 RESEARCH STANFORD UNIVERSITY CORTE MADERA CREEK BLDG STE 142 3145 PORTER DR PALO ALTO CA 94304 941156365 501(C)(3) 200000 RESEARCH THE OHIO STATE UNIVERSITY RESEARCH FOUNDATION 1960 KENNY RD COLUMBUS OH 43210 316401599 501(C)(3) 188475 RESEARCH THOMAS JEFFERSON UNIVERSITY 1020 WALNUT ST PHILADELPHIA PA 19107 231352651 501(C)(3) 40000 RESEARCH TRUDEAU INSTITUTE 154 ALGONQUIN AVE SARANAC LAKE NY 12983 141401413 501(C)(3) 40000 RESEARCH TRUSTEES OF DARTMOUTH COLLEGE 11 ROPE FERRY RD HANOVER NH 03755 020222111 501(C)(3) 99962 RESEARCH TUFTS UNIVERSITY 169 HOLLAND ST MEDFORD MA 02144 042103634 501(C)(3) 40000 RESEARCH UNIVERSITY MEDICAL OF SOUTH FLORIDA - TAMPA 3802 SPECTRUM BLVD TAMPA FL 33612 592959590 501(C)(3) 37725 RESEARCH UNIVERSITY OF ALABAMA AT BIRMINGHAM UNIVERSITY STATION BIRMINGHAM AL 35294 636005396 501(C)(3) 40000 RESEARCH UNIVERSITY OF ARIZONA PO BOX 3308 TUCSON AZ 85922 742652689 501(C)(3) 192811 RESEARCH UNIVERSITY OF FLORIDA PO BOX 113001 GAINESVILLE FL 32611 596002052 501(C)(3) 39891 RESEARCH UNIVERSITY OF ILLINOIS PO BOX 20787 SPRINGFIELD IL 62708 376000511 501(C)(3) 40000 RESEARCH UNIVERSITY OF IOWA 85 JESSUP HALL IOWA CITY IA 52242 426004603 501(C)(3) 75000 RESEARCH UNIVERSITY OF MARYLAND PO BOX 41428 BALTIMORE MD 21203 526002033 501(C)(3) 40000 RESEARCH UNIVERSITY OF MIAMI PO BOX 025405 MIAMI FL 33102 590624458 501(C)(3) 45525 RESEARCH UNIVERSITY OF MISSOURI - KANSAS CITY 5100 ROCKHILL RD AC 202 KANSAS CITY MO 64110 436003859 501(C)(3) 91625 RESEARCH UNIVERSITY OF PITTSBURGH OFFICE OF FINANCIAL INFORMATION PITTSBURGH PA 15260 250965591 501(C)(3) 40000 RESEARCH UNIVERSITY OF ROCHESTER 910 GENESEE ST 200 ROCHESTER NY 14611 160743209 501(C)(3) 40000 RESEARCH UNIVERSITY OF SOUTH ALABAMA 307 UNIVERSITY BLVD MOBILE AL 36688 630477348 501(C)(3) 40000 RESEARCH UNIVERSITY OF TENNESSEE HEALTH SCIENCE CENTER 62 S DUNLAP SUITE 300 MEMPHIS TN 38163 626001636 501(C)(3) 40000 RESEARCH UNIVERSITY OF TEXAS - MD ANDERSON CANCER CENTER 1515 HOLCOMBE BLVD HOUSTON TX 77030 746001118 501(C)(3) 100000 RESEARCH UNIVERSITY OF TEXAS - MEDICAL BRANCH AT GALVESTON PO BOX 4786-750 HOUSTON TX 77210 746000949 501(C)(3) 115000 RESEARCH UNIVERSITY OF TEXAS - SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BLVD DALLAS TX 75390 753175630 501(C)(3) 32500 RESEARCH UNIVERSITY OF VERMONT 85 SOUTH PROSPECT ST BURLINGTON VT 05405 030179440 501(C)(3) 77675 RESEARCH UNIVERSITY OF VIRGINIA PO BOX 400202 CHARLOTTESVILLE VA 22904 546001796 501(C)(3) 176825 RESEARCH UNIVERSITY OF WASHINGTON 3917 UNIVERSITY WAY SEATTLE WA 98105 916001537 501(C)(3) 100000 RESEARCH UNIVERSITY OF WISCONSIN 600 HIGHLAND AVE MADISON WI 53792 390743975 501(C)(3) 40000 RESEARCH VANDERBILT UNIVERSITY 2301 VANDERBILT PL NASHVILLE TN 37240 620476822 501(C)(3) 32500 RESEARCH WASHINGTON UNIVERSITY SCHOOL OF MEDICINE 902 YALEM BOX 8052 660 S EUCLID AVE AVE ST LOUIS MO 63110 430653611 501(C)(3) 161350 RESEARCH YALE UNIVERSITY 2 WHITNEY AVE 6TH FL NEW HAVEN CT 06510 060646973 501(C)(3) 212500 RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DR LA JOLLA CA 92093 956006144 501(C)(3) 91350 RESEARCH 67 PART I, LINE 2: AWARD RECIPIENTS ARE REQUIRED TO SUBMIT A RENEWAL APPLICATION AFTER THEIR FIRST YEAR OF FUNDING. RENEWAL APPLICATIONS ARE THEN REVIEWED BY OUR RESEARCH COMMITTEE CHAIRS FOR APPROVAL OF SECOND YEAR FUNDING. AT THE TIME OF TERMINATION (AFTER THE SECOND YEAR OF FUNDING), AWARD RECIPIENTS ARE REQUIRED TO SUBMIT A SUMMARY OF THEIR ACTIVITIES, COPIES OF PRESENTATIONS AND/OR PUBLICATIONS, AND A CASH DISBURSEMENT REPORT FOR THE ENTIRE GRANT TIME. X X X X X 0 0 0 0 0 0 0 0 0 HAROLD WIMMER PRESIDENT & CEO 357514 0 25000 0 0 0 26586 0 25461 0 434561 0 0 0 LAURA SCOTT CHIEF FINANCIAL OFFICER 174476 0 10000 0 0 0 8197 0 1234 0 193907 0 0 0 PAUL BILLINGS VP NATIONAL POLICY & ADVOCACY 183636 0 5000 0 0 0 18806 0 1557 0 208999 0 0 0 SUSAN RAPPAPORT VP RESEARCH & PROGRAM 170189 0 5000 0 0 0 18950 0 32667 0 226806 0 0 0 ALANA BURNS VP SIGNATURE CAUSE CAMPAIGN 155624 0 25000 0 0 0 9752 0 1155 0 191531 0 0 0 RUSSELL BURWELL VP GOVERNANCE 148027 0 5000 0 0 0 15233 0 11080 0 179340 0 0 0 CRAIG FINSTAD AVP DIRECT RESPONSE OPERATION 134861 0 3000 0 0 0 13592 0 10550 0 162003 0 0 0 CHAUNDA ROSEBOROUGH VP MARKETING & COMMUNICATIONS 119731 0 0 0 0 0 4814 0 29069 0 153614 0 0 0 X 3 277584 0 0 0 ATTACHMENT 1: FORM 990, PART III, LINE 1 - ORGANIZATION'S MISSION THE AMERICAN LUNG ASSOCIATION'S MISSION IS TO SAVE LIVES BY IMPROVING LUNG HEALTH AND PREVENTING LUNG DISEASE, WITH THE ULTIMATE VISION OF A WORLD FREE OF LUNG DISEASE. THE NATIONAL HEADQUARTERS OF THE AMERICAN LUNG ASSOCIATION FIGHTS LUNG DISEASE THROUGH ITS OWN ACTIVITIES AND BY SERVICING, SUPPORTING AND LEADING ITS LOCAL LUNG ASSOCIATIONS. AMONG ITS VARIED RESPONSIBILITIES, THE NATIONAL HEADQUARTERS: - FUNDS RESEARCH INTO THE CAUSES, PREVENTION AND CURES OF LUNG DISEASE. - ADVOCATES FOR POLICIES THAT PROTECT LUNG HEALTH, INCLUDING FIGHTING FOR HEALTHY AIR. - PROVIDES A BROAD ARRAY OF HEALTH EDUCATIONAL PROGRAMS AND SERVICES TO SUPPORT SMOKING CESSATION, HELP PREVENT LUNG DISEASE AND TO ASSIST PEOPLE WITH LUNG DISEASE IN BETTER MANAGING THEIR CONDITION. - SUPPORTS LOCAL LUNG ASSOCIATIONS' IMPLEMENTATION OF HEALTH EDUCATIONAL PROGRAMS AND DISSEMINATION OF EDUCATIONAL MATERIAL. - PROVIDES AN ARRAY OF LEARNING OPPORTUNITIES AND TOOLS TO DEVELOP NATIONWIDE VOLUNTEER AND STAFF LEADERS. - PROVIDES EPIDEMIOLOGICAL DATA, MEDICAL AND SCIENTIFIC ADVICE AND COUNSEL TO THE PUBLIC AND LUNG ASSOCIATIONS. - PROVIDES THE PUBLIC WITH THE LATEST INFORMATION ON LUNG DISEASE, AND NATIONAL AND LOCAL LUNG ASSOCIATION ACTIVITIES THROUGH THE AMERICAN LUNG ASSOCIATION WEBSITE, WWW.LUNG.ORG. - ENSURES THAT ALL PROGRAMS AND SERVICES ARE CULTURALLY SENSITIVE AND THAT THEY RESPOND TO THE LUNG HEALTH NEEDS OF ALL COMMUNITIES. THE PROGRAM SERVICES OF THE AMERICAN LUNG ASSOCIATION NATIONAL HEADQUARTERS CAN BE BROKEN DOWN INTO FOUR BROAD CATEGORIES: LUNG CANCER, ASTHMA, LUNG DISEASE AND TOBACCO CONTROL, RESEARCH, FIELD DEVELOPMENT AND SUPPORT, AND ADVOCACY AND ENVIRONMENTAL. FORM 990, PART VI, SECTION A, LINE 1 EXECUTIVE COMMITTEE: THE EXECUTIVE COMMITTEE SHALL ACT IN PLACE OF AND WITH THE FULL AUTHORITY OF THE BOARD OF DIRECTORS WHEN THE BOARD OF DIRECTORS IS NOT IN SESSION, SUBJECT TO THE BOARD'S POWER TO AMEND OR CHANGE THOSE ACTIONS WHICH HAVE NOT BEEN IMPLEMENTED PRIOR TO THE BOARD MEETING OR MEETINGS FOLLOWING THE EXECUTIVE MEETING AT WHICH SUCH ACTION WAS TAKEN. THE BOARD OF DIRECTORS HAS THE POWER TO AUTHORIZE AND DELEGATE TO THE EXECUTIVE COMMITTEE TO THE EXTENT PERMITTED BY THE ASSOCIATION'S BYLAWS AND APPLICABLE LAW. THE EXECUTIVE COMMITTEE SHALL NOT HAVE THE AUTHORITY TO APPOINT OFFICERS EXCEPT ON AN INTERIM BASIS TO FILL A VACANCY, ENTER INTO OR AMEND CONTRACTS WITH OFFICERS, AMEND THE POLICIES MANUAL, OR BORROW MONEY IN EXCESS OF THE AMOUNTS EXPRESSLY AUTHORIZED BY THE BOARD. THE EXECUTIVE COMMITTEE SHALL HAVE NO AUTHORITY TO AMEND THE ARTICLES OF INCORPORATION, ADOPT A PLAN OF MERGER OR CONSOLIDATION, AUTHORIZE THE SALE OR OTHER DISPOSITION OF ALL OR SUBSTANTAILLY ALL OF THE PROPERTY AND ASSETS OF THE ASSOCIATION, AUTHORIZE THE VOLUNTARY DISSOLUTION OF THE ASSOCIATION OR REVOCATION OF SUCH DISSOLUTION, OR AMEND THE BYLAWS OF THE ASSOCIATION. THE EXECUTIVE COMMITTEE MAY ESTABLISH A LEADERSHIP SUBCOMMITTEE CONSISTING OF THE CHAIR, VICE-CHAIR, AND PAST-CHAIR, WHICH SHALL SERVE AS THE EXECUTIVE COMMITTEE'S LIAISON TO THE PRESIDENT AND CEO. FORM 990, PART VI, SECTION A, LINE 1 THE GOVERNANCE COMMITTEE, TAKING INTO ACCOUNT GEOGRAPHY, EXPERTISE, RACE, ETHNICITY, GENDER, AGE AND OTHER DIVERSITY FACTORS, SHALL PRESENT ANNUALLY TO THE BOARD OF DIRECTORS ITS RECOMMENDED NOMINEES FOR MEMBERS OF THE BOARD OF DIRECTORS, MEMBERS OF THE GOVERNANCE COMMITTEE AND OFFICERS (OTHER THAN THE PRESIDENT AND CHIEF EXECUTIVE OFFICER) OF THE ASSOCIATION (INCLUDING A RECOMMENDATION WHERE APPROPRIATE, FOR THE DESIGNATION OF THE VICE-CHAIR AS CHAIR-ELECT). OTHER NOMINATIONS MAY NOT BE MADE AT THE MEETING OF THE BOARD OF DIRECTORS FROM THE FLOOR. FORM 990, PART VI, SECTION B, LINE 11 AMERICAN LUNG ASSOCIATION HAS ESTABLISHED THE FOLLOWING REVIEW PROCESS TO ENSURE THAT THE INFORMATION REPORTED IS COMPLETE AND ACCURATE. FORM 990 IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM AND REVIEWED BY THE CFO. PRIOR TO ELECTRONIC SUBMISSION, IT IS REVIEWED BY THE ORGANIZATION'S DELEGATED RESPONSIBLE BODY, THE AUDIT AND RISK OVERSIGHT COMMITTEE, FOR APPROVAL. AFTER APPROVAL BY THE AROC COMMITTEE, THE MEMBERS OF THE GOVERNING BODY REVIEW THE FORM PRIOR TO SUBMISSION. ALL COMMENTS ARE DOCUMENTED, ADDRESSED AND FINALIZED BEFORE SUBMISSION. FORM 990, PART VI, SECTION B, LINE 12C ALA CURRENTLY HAS IN PLACE A CONFLICT OF INTEREST POLICY WHICH IT MONITORS AND ENFORCES ANNUALLY AND HAS A STANDING GOVERNANCE COMMITTEE THAT OVERSEES ITS EXECUTION. THE ORGANIZATION CURRENTLY MANDATES THAT ALL MEMBERS OF THE GOVERNING BODY, COMMITTEE MEMBERS AND ALL STAFF ANNUALLY SIGN A CONFLICT OF INTEREST POLICY AND DISCLOSE ANY POTENTIAL OR ACTUAL CONFLICTS THAT MAY EXIST. THE SIGNED CONFLICT OF INTEREST POLICY STATEMENTS ARE SUBMITTED TO THE GOVERNANCE COMMITTEE. THESE STATEMENTS ARE REVIEWED FOR POTENTIAL OR ACTUAL CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 THE AMERICAN LUNG ASSOCIATION HAS ESTABLISHED A COMPENSATION POLICY FOR ITS LEADERSHIP COMMITTEE TO FOLLOW IN ESTABLISHING THE COMPENSATION FOR ITS CEO, TOP MANAGEMENT OFFICAL, OTHER OFFICERS OR KEY EMPLOYEES. THE POLICY MANDATES THAT EXECUTIVE COMPENSATION BE PERIODICALLY REVIEWED BY THE COMMITTEE AND THAT THE COMMITTEE SHOULD BE FREE OF CONFLICTS OF INTEREST. IN ADDITION, THE APPROVING COMMITTEE NEEDS TO REVIEW APPROPRIATE AND ADEQUATE DATA TO DETERMINE THE REASONABLENESS OF THE COMPENSATION BEING CONSDERED. THE COMMITTEE MAY USE A VARIETY OF INFORMATION AND STUDIES THAT ARE AVAILABLE TO DETERMINE THAT THE APPROPRIATE LEVEL OF COMPENSATION IS BEING PAID TO ITS EXECUTIVES. THE COMMITTEE'S DECISION ON THE AMOUNT OF COMPENSATION PAID IS DOCUMENTED IN A CONTEMPORANEOUSLY WRITTEN FORMAT AND DOCUMENTS THE DATE OF THE DECISION, THE MEMBERS PRESENT DURING THE MEETING AND THOSE WHO VOTED ON IT, THE DETAILS OF THE TRANSACTION THAT WAS APPROVED AND THE COMPARABILITY DATA USED AND RELIED UPON TO MAKE THE DECISION. ALA DID A COMPENSATION REVIEW FOR THE CEO WHEN HE WAS HIRED IN JANUARY 2013. THE MOST RECENT COMPENSATION REVIEW PROCESS FOR ALL OTHER OFFICERS AND KEY EMPLOYEES WAS DONE IN DECEMBER 2010. FORM 990, PART VI, SECTION C, LINE 19 THE THREE MOST RECENT YEARS OF FORM 990 AND ANNUAL REPORTS ARE AVAILABLE ON AMERICAN LUNG ASSOCIATION'S WEBSITE, WWW.LUNG.ORG. GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST. OUR WEBSITE ALSO PROVIDES THE NAMES OF OUR BOARD OF DIRECTORS AND OUR ETHICS POLICY. FORM 990, PART VIII, LINE 2 REIMBURSEMENT FROM CHARTER ASSOCIATION: AT JUNE 30, 2015, THERE WERE EIGHT CHARTERED ORGANIZATIONS THAT HAVE JURISDICTION OVER SPECIFIC GEOGRAPHICAL AREAS. EACH CHARTERED ASSOCIATION IS REQUIRED TO REMIT A MONTHLY BUNDLED BILLING AMOUNT, WHICH INCLUDES A FEE FOR SOME SERVICES OR CONTRACTS HELD BY NATIONAL OFFICE. PART OF THESE FEES PERTAIN TO NATIONAL OFFICE DIRECT MARKETING AND THE ROI DATA PROGRAM WHICH PROVIDES INFORMATION ON DONORS AND FUNDRAISING EVENTS CONDUCTED BY AND FOR THE BENEFIT OF CHARTERED ASSOCIATIONS. DONATIONS RESULTING FROM THE DIRECT MAIL CAMPAIGN AND REVENUE RAISED BY THE DIRECT MARKETING PROGRAM ARE REMITTED TO THE CHARTERED ASSOCIATIONS BASED ON THE ZIP CODE OF THE DONOR. THE CHARTERED ASSOCIATIONS REIMBURSE NATIONAL OFFICE FOR COSTS REQUIRED TO OPERATE THIS PROGRAM. THESE REIMBURSEMENTS ARE SHOWN AS PROGRAM REIMBURSEMENT REVENUE FROM CHARTERED ASSOCIATIONS ON THE ACCOMPANYING STATEMENTS OF ACTIVITIES. THIS REVENUE IS RECOGNIZED AS EXPENSES ARE INCURRED. FOR THE YEARS ENDING JUNE 30, 2015 AND 2014, PROGRAM REIMBURSEMENTS APPROXIMATED $22,300,000 AND $21,100,000, RESPECTIVELY. EACH CHARTERED ASSOCIATION IS ALSO REQUIRED TO REMIT A MONTHLY ASSESSMENT, WHICH NATIONAL OFFICE USES IN A VARIETY OF WAYS INCLUDING, BUT NOT LIMITED TO, PROVIDING NATIONAL LEADERSHIP, ASSISTANCE AND GUIDANCE IN THE AREAS OF FIELD PROGRAM DEVELOPMENT, FIELD FUNDRAISING AND FIELD MANAGEMENT ADVISORY AND OTHER ACTIVITIES. THIS REVENUE IS RECOGNIZED OVER THE ASSESSMENT PERIOD. FOR THE YEARS ENDED JUNE 30, 2015 AND 2014, CHARTERED ASSOCIATIONS' ASSESSMENTS REVENUE APPROXIMATED $4,800,000 AND $4,700,000 RESPECTIVELY. ADDITIONALLY, PER NATIONAL OFFICE'S AGREEMENT WITH EACH CHARTERED ASSOCIATION, NATIONAL OFFICE RECEIVES 30% OF DIRECT RESPONSE REVENUES, LESS DIRECT RESPONSE EXPENSES AND 13% OF ALL UNRESTRICTED BEQUESTS IN THOSE INSTANCES WHEN THE DONOR DIED PRIOR TO JULY 1, 2009. THIS REVENUE IS RECOGNIZED IN THE PERIOD WHEN CONTRIBUTIONS ARE COLLECTED. FOR THE YEARS ENDED JUNE 30, 2015 AND 2014, THE ALLOCABLE SHARE OF DIRECT RESPONSE ACTIVITIES AND BEQUEST SHARE REVENUE FROM CHARTERED ASSOCIATIONS APPROXIMATED $2,200,000 AND $2,300,000 RESPECTIVELY. FORM 990, PART IX, LINE 11G OTHER: PROGRAM SERVICE EXPENSES 1,431,184. MANAGEMENT AND GENERAL EXPENSES 59,395. FUNDRAISING EXPENSES 14,905. TOTAL EXPENSES 1,505,484. PROGRAM CONSULTING: PROGRAM SERVICE EXPENSES 4,641,641. MANAGEMENT AND GENERAL EXPENSES 80,621. FUNDRAISING EXPENSES 8,852. TOTAL EXPENSES 4,731,114. FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF BENEFICIAL INTEREST IN TRUSTS -199,461. CHANGE IN VALUE OF SPLIT-INTEREST AGREEMENTS -23,221. BENEFIT RELATED CHANGES -793,112.