2013-05-15T09:53:20-05:00 2012-06-30 861065772 Deloitte Tax LLP 250 East Fifth Street Suite 1900 Cincinnati OH 45202 990 2011-07-01 630868066 St Vincent's Foundation of Alabama Inc STVI 2059397825 2800 University Boulevard No 304 Birmingham AL 35233 David Cauble 2059397825 2013-05-15 1 Rebecca Lyons P01487105 5137847100 2011 2016-02-25 16:41:14Z Bill Moran 2800 University Boulevard No 304 Birmingham AL 35233 15574685 0 0928 X www.stvhs.com X 1984 AL To administer charitable contributions for St. Vincent's Birmingham. 65 63 7 138 0 0 2273227 3031634 0 0 154473 447676 34527 150799 2462227 3630109 1670793 8251415 0 0 200040 816730 0 0 0 673474 393353 2544307 9461498 -82080 -5831389 13880948 19649766 985005 2028314 12895943 17621452 X Through philanthropy, St. Vincent's Foundation is an advocate for those in need, an ambassador for the benefit of St. Vincent's Health System and subsidiaries, and a steward of the resources entrusted to it. It is a cornerstone of Birmingham philanthropy serving St. Vincent's Health System patients, programs, and the community and reflecting the Catholic ministry of the Daughters of Charity. 1 1 5805655 5805655 Capital funding from contributions for construction costs for the replacement facility in St. Clair County, AL. 595285 595285 Relief disbursements to associates effected by tornado diasters in April 2011 and January 2012. 365433 365433 Capital funding for equipment for St. Vincent's Birmingham, St. Vincent's East, and St. Vincent's Blount. 2574117 1485042 The St. Vincent's Foundation of Alabama support various programs, education, purchase of equipment and technology, capital expansion, and addresses the special needs of patients and families of St. Vincent's Birmingham. 2574117 1485042 9340490 1 1 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 1 0 0 0 0 0 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 0 0 7 1 0 0 0 0 0 1 1 0 0 0 0 0 X 65 63 1 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 0 1 1 0 X David Cauble 2059397079 810 St Vincents Drive Birmingham AL 35205 X Roy Hiller 1.00 X 0 0 0 Virginia A Vinson 1.00 X 0 0 0 Justice Ralph D Cook 1.00 X 0 0 0 Bruce Akin 1.00 X 0 0 0 Harold Apolinksy 1.00 X 0 0 0 Bob Baker 1.00 X 0 0 0 Kevin Ball 1.00 X 0 0 0 Richard Bearden 1.00 X 0 0 0 William A Bowron Jr 1.00 X 0 0 0 Merrill N Bradley MD 1.00 X 0 0 0 Dennis M Brooks 1.00 X 0 0 0 Ronald G Bruno 1.00 X 0 0 0 Linda N Burns 1.00 X 0 0 0 Jack Carter MD 1.00 X 0 0 0 Russell W Chamblis 1.00 X 0 0 0 Robert C Chapman 1.00 X 0 0 0 Judy H Clark 1.00 X 0 0 0 Jane Cole 1.00 X 0 0 0 Milton Davis 1.00 X 0 0 0 Paul Doran Jr 1.00 X 0 0 0 Patsy Dreher 1.00 X 0 0 0 Jeffrey R Dugas MD 1.00 X 0 0 0 Marvin R Engel 1.00 X 0 0 0 Clarke Gillespy 1.00 X 0 0 0 Wayne Gillis 1.00 X 0 0 0 Brenda Hackney 1.00 X 0 0 0 Jon Hannah 1.00 X 0 0 0 John Hardin 1.00 X 0 0 0 Ronald Henderson MD 1.00 X 0 0 0 Bonnie B Hicks 1.00 X 0 0 0 Candice R Hill 1.00 X 0 0 0 Ira R Holt Jr 1.00 X 0 0 0 David Hoyle 1.00 X 0 0 0 Eleanor E Kidd 1.00 X 0 0 0 Sonya King 1.00 X 0 0 0 Wayne Killion 1.00 X 0 0 0 Clifton Lewis MD 1.00 X 0 0 0 Roy Long 1.00 X 0 0 0 Frank J Malensek MD 1.00 X 0 0 0 Connie McCallum 1.00 X 0 0 0 Walter C McCoy MD 1.00 X 0 0 0 James O McGowan 1.00 X 0 0 0 Hope Mehlman 1.00 X 0 0 0 Kathy Miller 1.00 X 0 0 0 Liz Moore 1.00 X 0 0 0 Reginald Murchison 1.00 X 0 0 0 Alex W Newton 1.00 X 0 0 0 Stephen H Pak DDS 1.00 X 0 0 0 John A Pettry 1.00 X 0 0 0 Brian S Plant 1.00 X 0 0 0 Minnie Rast 1.00 X 0 0 0 Henry B Ray Jr 1.00 X 0 0 0 Paul Salter III MD 1.00 X 0 0 0 Sr Mary Cecilia Schlebecker 1.00 X 0 0 0 Darren Smith 1.00 X 0 0 0 Melissa Strange 1.00 X 0 0 0 Alan Taylor 1.00 X 0 0 0 Hubert G Taylor 1.00 X 0 0 0 Tom Thagard 1.00 X 0 0 0 Samuel M Tortorici 1.00 X 0 0 0 Michael E Turnbough 1.00 X 0 0 0 Jose Antonio Valencia 1.00 X 0 0 0 George P West 1.00 X 0 0 0 John D O'Neil Sch O 40.00 X X 0 1107013 22435 William M Moran Sch O 40.00 X X 216808 0 18840 216808 1107013 41275 1 0 1 0 0 28981 3002653 24270 3031634 387284 387284 49800 2977 46823 46823 46823 11994202 11933810 60392 60392 60392 8496 28981 7789 707 707 Vending Income 900099 67136 67136 Heart Day Income 900099 32960 32960 O' Henry's Income 900099 3000 3000 173 173 103269 3630109 0 0 598475 7681263 7681263 570152 570152 250437 225393 25044 454988 409489 45499 9221 8299 922 57690 51921 5769 44394 39955 4439 14000 12600 1400 71201 64081 7120 1267 1140 127 164742 148268 16474 9700 8730 970 18842 16958 1884 77 69 8 Dues and Subscriptions 33020 29718 3302 0 Renovations and Repairs 32982 29684 3298 0 Meals and Entertainment 17083 15375 1708 0 Sponsorships 13500 12150 1350 0 16939 15245 1694 9461498 9340490 121008 0 326005 930038 3109328 4009157 1385036 336875 839003 1048161 8598957 12466672 1007655 1195738 13880948 19649766 7728 7728 977277 2020586 985005 2028314 X 2571502 4125699 9562289 12121115 762152 1374638 12895943 17621452 13880948 19649766 X -5831389 10556898 X 0 1 1 X 0 X 2809502 3019675 2825175 2273227 3031634 13959213 2809502 3019675 2825175 2273227 3031634 13959213 5129617 8829596 492783 151661 457802 211519 434107 1747872 6365 3 6368 15713453 0.56190 0.65560 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 762152 612486 0 1374638 764563 -2411 762152 669150 95413 764563 1297780 38201 666831 669150 1.00000 0 0 568272 568272 532585 65464 467121 284179 271411 12768 1048161 Temporary Investments (Marketable Securities) 694263 F U.S. Government Obligations 1262200 F Corporate Obligations 1161185 F Asset Backed Securities 569398 F Equity Securities 8779626 F 12466672 Planned Giving Receivable (Donor Restricted) 184046 Rent Receivable 5185 Charitable Remainder Trust 1006507 1195738 Intercompany Payables 1447913 Annuities Payables 572673 2020586 3630109 9461498 -5831389 -391977 10948875 10556898 4725509 3248901 -391975 -391975 3640876 -10767 -10767 3630109 9113507 0 9113507 347991 347991 9461498 Description of Intended Use of Endowment Funds: Part V, Line 4: The investment earnings on endowment funds are used for awards and scholarships, as well as support for several programs at St. Vincent's Birmingham. Description of Uncertain Tax Positions Under FIN 48: Part X: St. Vincent's Foundation of Alabama is a not-for-profit organization that is exempt from federal income taxes under Section 501(c)(3) of the Internal Revenue Code. Therefore, no provision for federal income taxes has been made in the financial statements. In June 2006, the FASB issued Interpretation No. 48, Accounting for Uncertainty in Income Taxes (FIN 48), which clarifies the Accounting for Uncertainty in Income Tax Positions recognized in the financial statements in accordance with FASB Statement No. 109, Accounting for Income Taxes. FIN 48 prescribes a recognition threshold and measurement for the financial statement recognition threshold and measurement for the financial statement recognition and measurement of a tax position taken or expected to be taken in a tax return. Effective June 30, 2009, St. Vincent's Foundation of Alabama adopted FIN 48. The adoption of FIN 48 did not have a material impact on the Foundation's financial position or results of operation. FIN 48 and FASB 109 were incorporated into FASB Accounting Standards Codification (ASC) 740. Part XI, Line 8 - Other Adjustments: Transfers from Eastern Health Foundation 10,948,875. Part XII, Line 4b - Other Adjustments: Rental expenses -2,977. Fundraising expenses -7,789. Misc rounding -1. Part XIII, Line 4b - Other Adjustments: Rental expenses -2,977. Transfers to affliates (net asset transfer) 358,758. Fundraising expenses -7,789. Misc rounding -1. Golf Tournament 34497 28981 5516 6905 884 3 2980 2980 37477 28981 8496 6905 884 7789 707 1 St Vincent's Health System 810 St Vincents Drive Birmingham AL 35205 630931008 501(c)(3) 5907635 Capital funding for replacement facility and relocation of office space St Vincent's East 50 Medical Park East Drive Birmingham AL 35235 630578923 501(c)(3) 244086 Funding of hospital programs and continuting education St Vincent's Blount 150 Gilbreath Drive Oneonta AL 35212 630909073 501(c)(3) 270613 Capital and non capital equipment funding St Vincent's Birmingham 810 St Vincents Drive Birmingham AL 35205 630288864 501(c)(3) 1189727 Capital and non capital equipment funding, hospital programs, and continuing education Our Lady of Lourdes Memorial Hospital Inc 169 Riverside Drive Binghamton NY 13905 150532221 501(c)(3) 10000 Tropical storm relief Holy Family Cristo Rey High School PO Box 8070 Ensley AL 35218 134341859 501(c)(3) 21500 Student internship program funding Universal Health Services 810 St Vincents Drive Birmingham AL 35205 630932323 501(c)(3) 34236 Clinic space relocation/furniture funding 7 0 Associate Disaster Relief 54 428986 Associate Assistance 1 7000 Schedule I, Part I, Line 2 The Allocations Committee is comprised of members of the St. Vincent's Foundation Board of Directors. The Committee meets quarterly to review and fund grant submissions within the Health Ministry and external agencies. External agencies requesting support must demonstrate a relationship and cooperative arrangement for the funded project to be considered. The fiscal year budget determines the availability of funding for various programs and projects. The program or agency is notified if the request is approved, tabled, or declined. X 1 1 1 1 0 0 0 0 0 0 0 John D O'Neil Sch O 0 573221 0 455586 0 78206 0 4900 0 17535 0 1129448 0 17180 William M Moran Sch O 160432 0 0 0 56376 0 5039 0 13801 0 235648 0 13337 0 Part I, Line 1a St. Vincent's Health System provided membership to The Summit Club for the Executive team, as well as, Rotary and Kiwanis club memberships for various members of the management team to facilitate networking and community benefit related to St. Vincent's Health System. Part I, Line 3 The following are used by St. Vincent's Health System to establish the compensation of the organization's CEO/Executive Director: -Compensation Committee -Independent Compensation Consultant -Written Employment Contract -Compensation Survey or Study -Approval by the Board or Compensation Committee Part I, Lines 4a-b Eligible executives participate in a program that provides for supplemental retirement benefits. The payment of benefits under the program, if any, is entirely dependent upon the facts and circumstances under which the executive terminates employment with the organization. Benefits under the program are unfunded and non-vested. Due to the substantial risk of forfeiture provision, there is no guarantee that these executives will ever receive any benefit under the program. Any amount ultimately paid under the program to the executive is reported as compensation on Form 990, Schedule J, Part II, Column B in the year paid. A related organization that paid the salaries of the individuals listed in Schedule J, Part II, paid out of the supplemental nonqualified retirement plan in the amounts as noted: William M. Moran - $13,337 John D. O'Neil - $17,180 A related organization that paid the salaries of the individuals listed in Schedule J, Part II, contributed to the supplemental nonqualified retirement plan in the amounts as noted: William M. Moran - $32,543 Supplemental Information Part III Part II: Description of Compensation: Executive compensation, in keeping with Ascension Health's philosophy, is in line with the national average. Compensation may include short or long term incentive pay, deferred compensation, PTO (vacation/holiday) converted to cash, etc. New Program Services Form 990, Part III, line 2 St. Vincent's Foundation of Alabama had three new program service events in the current year. These events include: capital funding from contributions for construction costs for the replacement facility in St. Clair County, AL; relief disbursements to associates effected by tornado disasters in April 2011 and January 2012; capital funding for equipment for St. Vincent's Birmingham, St. Vincent's East, and St. Vincent's Blount. Changes in Program Services Form 990, Part III, line 3 St. Vincent's Foundation of Alabama program services change from year to year based on the needs of St. Vincent's Health System or its affiliates. Form 990, Part VI, Section A, line 2 Roy Hiller, David Hoyle, and Reginald Murchison have a busines relationship. Form 990, Part VI, Section A, line 4 Effective July 2011, Eastern Health Foundation merged into St. Vincent's Foundation of Alabama, Inc. Form 990, Part VI, Section A, line 6 St. Vincent's Foundation of Alabama, Inc. has a single corporate member, St. Vincent's Health System. Form 990, Part VI, Section A, line 7a St. Vincent's Foundation of Alabama, Inc. has a single corporate member, St. Vincent's Health Sytem, who has the ability to elect members of the governing body of St. Vincent's Foundation of Alabama, Inc. Form 990, Part VI, Section A, line 7b All decisions that have a material impact to St. Vincent's Foundation of Alabama financial information or corporation as a whole are subject to approval by its sole corporate member, St. Vincent's Health System. Form 990, Part VI, Section B, line 11 Management, including certain Officers, works diligently to complete the Form 990 and attached schedules in a thorough manner. Management presents the Form to the Board, or designated committee, to review. Prior to filing the return, all Board Members are provided the Form 990 and management team members are available to answer Board Member questions. Form 990, Part VI, Section B, line 12c The organization regularly and consistently monitors and enforces compliance with the conflict of interest policy in that any director, principal officer, or member of a committee with governing board delegated powers, who has a direct or indirect financial interest, must disclose the existence of the financial interest and be given the opportunity to disclose all material facts to the directors and members of the committees with governing board delegated powers considering the proposed transaction or arrangement. The remaining individuals on the governing board or committee meeting will decide if conflicts of interest exist. Each director, principal officer, and member of a committee with governing board delegated powers annually signs a statement which affirms such person has received a copy of the conflict of interest policy, has read and understands the policy, has agreed to comply with the policy, and understands that the organization is charitable and in order to maintain its federal tax exemption it must engate primarily in activities which accomplish its tax-exempt status. Form 990, Part VI, Section B, line 15 In determining compensation of the organization's top managment official, the process, performed by a related organization, included a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision. The Health System compensation committee reviewed and approved the compensation with the faciliation by the SVP of HR and the Director of Compensation. In the review of the compensation, the top managment official was compared to individuals at other organizations in the area who hold the same title. During the review and approval of the compensation, documentation of the decision was recorded in the board minutes. The individual was not present when his compensation was decided. In determining compensation of other officers of the organization, the process, performed by a related organization, included a review and approval by independent persons, comparability data, and contemporaneous substatntion of the deliberation and decision. The Health System compensation committee reviewed and approved the compensation. In the review of the compensations, the other officers of the organization were compared to individuals at other organizations in the area who hold the same title. During the review and approval of the compensation, documentation of the decision was recorded in the board minutes. Form 990, Part VI, Section C, line 19 The organization will provide any documents open to public inspection upon written request. Document Retention and Destruction Policy: Form 990, Part VI,Section B, Line 14: St. Vincent's Health System, the parent organization of St. Vincent's Foundation of Alabama, Inc. has drafted a document retention and destruction policy to be approved by the board of directors or designated committee. The policy was drafted but not approved prior to the close of the current fiscal year; however, St. Vincent's Health System plans to have the policy in place prior to June 30, 2013. Avg Hours Devoted to Related Organization(s) when Related Comp is Reported: Form 990, Part VII, Section A: Officers (as noted with a "Sch O" reference) for St. Vincent's Foundation of Alabama, Inc. provide services to St. Vincent Health System and its subsidiaries. Hours worked are not tracked on an entity by entity basis. Therefore, officers hours reported on Form 990, Part VII, Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors represent aggregate hours worked per week for all entities. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized losses on investments: -391,977. Transfers from Eastern Health Foundation 10,948,875. Total to Form 990, Part XI, Line 5: 10,556,898. MCS LLC 810 St Vincents Drive Birmingham AL 35205 260649586 Rental Property AL 49000 985329 St Vincent's Foundation of Alabama Inc Ascension Health PO Box 45998 St Louis MO 63145 311662309 National Health System MO Section 501(c)(3) Schedule A, Line 11a Ascension Health Alliance 0 St Vincent's Health System 810 St Vincents Drive Birmingham AL 35205 630931008 Health System Parent AL Section 501(c)(3) Schedule A, Line 11c Ascension Health 0 St Vincent's Birmingham 810 St Vincents Drive Birmingham AL 35205 630288864 Hospital AL Section 501(c)(3) Schedule A, Line 3 St Vincent's Health System 1 St Vincent's Blount 150 Gilbreath Drive Oneonta AL 35121 630909073 Hospital AL Section 501(c)(3) Schedule A, Line 3 St Vincent's Health System 1 St Vincent's East 50 Medical Park East Drive Birmingham AL 35235 630578923 Hospital AL Section 501(c)(3) Schedule A, Line 3 St Vincent's Health System 1 American Sports Medicine Institute 2660 10th Avenue South No 505 Birmingham AL 35205 630952490 Sports Medicine AL Section 501(c)(3) Schedule A, Line 7 St Vincent's Birmingham 1 Universal Health Services 810 St Vincents Drive Birmingham AL 35205 630932323 Physician Group AL Section 501(c)(3) Schedule A, Line 11b St Vincent's Health System 1 Eastern Health Foundation 50 Medical Park East Drive Birmingham AL 35235 630909071 Fundraising AL Section 501(c)(3) Schedule A, Line 7 St Vincent's Health System 1 Seton Property Corporation of North Alabama 810 St Vincents Drive Birmingham AL 35205 237326976 Real Estate AL Section 501(c)(2) N/A St Vincent's Health System 1 St Vincent's Outpatient Surgery Services LLC 810 St Vincents Drive Birmingham AL 35205 200708162 Outpatient Surgery AL N/A St Vincent's Sleep Disorder Center LLC 810 St Vincents Drive Birmingham AL 35205 631282288 Sleep Disorder Center AL N/A Vincentian Ventures of North Alabama Inc 810 St Vincents Drive Birmingham AL 35205 630965456 Misc Healthcare Services AL N/A C Ascension Ventures Corporation 810 St Vincents Drive Birmingham AL 35205 631217059 Misc Healthcare Services AL N/A C Eastside Ventures Inc 810 St Vincents Drive Birmingham AL 35205 630846221 Misc Healthcare Services AL N/A C 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 1 St Vincent's Birmingham B 685217 Capital and Operations St Vincent's Blount B 270613 Capital and Operations St Vincent's Health System B 5779953 Capital Invoices St Vincent's East B 58981 Capital and Operations St Vincent's Health System O 156908 Operating Expenses Eastern Health Foundation R 10948875 Journal Entry Transaction