2013-05-14T15:46:48-05:00 2012-06-30 205991824 SC&H TAX & ADVISORY SERVICES LLC 910 RIDGEBROOK ROAD SPARKS MD 21152 990 2011-07-01 521388935 SHEPPARD PRATT INVESTMENT INC SHEP 4109383344 PO BOX 6815 BALTIMORE MD 21285 PATRICIA PINKERTON 4109383337 2013-05-09 1 LORI S BURGHAUSER P00370694 4104031500 2013-04-12 2011 2016-02-24 21:20:13Z PATRICIA PINKERTON PO BOX 6815 BALTIMORE MD 21285 45565096 0 X N/A X 1985 MD TO HOLD AND MANAGE ENDOWMENT FUNDS OF RELATED NONPROFIT ENTITIES. 7 7 0 7 12793 11793 0 0 0 0 5602007 4344618 247124 242503 5849131 4587121 0 0 0 0 0 0 0 0 0 889451 820858 889451 820858 4959680 3766263 105316197 102670374 1736062 1762357 103580135 100908017 TO FULFILL THE GOALS AND OBJECTIVES OF SHEPPARD PRATT HEALTH SYSTEM THROUGH THE MANAGEMENT AND INVESTMENT OF FUNDS OF SHEPPARD AND ENOCH PRATT FOUNDATION, INC. AND ITS RELATED ORGANIZATIONS INCLUDING THE MANAGEMENT AND INVESTMENT OF ITS ENDOWMENT. 0 0 HOLD AND MANAGE ENDOWMENT FUNDS OF RELATED NONPROFIT ENTITIES 1 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0 0 X 7 7 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 X DONNA CORBETT 4109383344 6501 N CHARLES ST TOWSON MD 21285 X CHARLES E KNUDSEN 1.00 X X 0 0 0 CHARLES COLE 1.00 X 0 0 0 SUSAN FENIMORE 1.00 X 0 0 0 DR W BYRON FORBUSH 1.00 X 0 0 0 DANIEL B HIRSCHHORN 1.00 X 0 0 0 H THOMAS HOWELL 1.00 X 0 0 0 JENNIFER W REYNOLDS 1.00 X 0 0 0 STEVEN S SHARFSTEIN MD 1.00 X 0 765452 60746 PATRICIA PINKERTON 1.00 X 0 386791 67689 EILEEN EICH 1.00 X 0 53310 14401 0 1205553 142836 0 0 1 0 STATE STREET CORPORATION ONE LINCOLN STREET BOSTON MA 02111 FUND CUSTODIAN 280933 1 3355276 12793 3342483 22665 7041 15624 15624 15624 41960276 40970934 989342 989342 989342 INTERCORPORATE INTERES 900099 226879 226879 226879 4587121 0 12793 4574328 490088 490088 EXPENSES FROM PASSTHROU 305715 305715 TAX EXPENSE 25055 25055 820858 0 820858 0 981163 501880 2668212 2536449 3164169 139840 3031370 3024329 77766364 75748965 16124511 16399091 4744577 4459660 105316197 102670374 1370160 1412078 365902 350279 1736062 1762357 X 103580135 100908017 103580135 100908017 105316197 102670374 X 3766263 -6438381 X X 0 1 1 X 0 X X 0 0 0 SHEPPARD AND ENOCH PRATT FOUNDATION AND SUBSIDIARIES 521357109 501(C)(3) 1 2184000 1 2184000 103580136 -488118 2184000 100908018 90592142 16914730 3926737 103580135 82245839 11000983 2654680 90592142 97499752 -12510896 2743017 82245839 1.00000 0 0 3008709 3008709 155460 139840 15620 3024329 INVESTMENTS IN PARTNERSHIPS 16046785 F INVESTMENTS IN NONPROFIT JVS 352306 C 16399091 4587121 820858 3766263 -4381885 -2056496 -6438381 -2672118 -488119 -4381885 -4381885 3893766 693355 693355 4587121 0 0 0 820858 820858 820858 PART XII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 490,088. TAX EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 25,055. BOOK/TAX DIFFERENCE FROM PASSTHROUGH ENTITIES 178,212. PART XIII, LINE 4B - OTHER ADJUSTMENTS: INVESTMENT EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 490,088. TAX EXPENSE NETTED TOGETHER WITH REVENUE ON FINANCIAL STATEMENTS 25,055. EXPENSES FROM PASSTHROUGH ENTITIES 305,715. PARTS XI, XII, AND XIII RECONCILE TO SEPARATE COMPANY FINANCIAL STATEMENTS OF SHEPPARD PRATT INVESTMENT, INC. 0 1 0 0 0 0 0 0 0 STEVEN S SHARFSTEIN MD 0 742206 0 0 0 23246 0 55005 0 5741 0 826198 0 0 PATRICIA PINKERTON 0 383271 0 0 0 3520 0 50951 0 16738 0 454480 0 0 PART I, LINE 4B LINE 4B: THE FOLLOWING PARTICIPATED IN SHEPPARD PRATT'S 457(F) PLAN: PATRICIA PINKERTON $25,000 THE TOP MANAGEMENT AND OFFICERS WERE NOT COMPENSATED BY THE ORGANIZATION. THEY WERE COMPENSATED BY A RELATED ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION IS A WHOLLY-OWNED SUBSIDIARY OF THE SHEPPARD AND ENOCH PRATT FOUNDATION, INC. FORM 990, PART VI, SECTION A, LINE 7A SHEPPARD AND ENOCH PRATT FOUNDATION, INC. HOLDS RESERVED RIGHTS WHICH INCLUDE THE POWERS TO APPOINT BOARD MEMBERS. FORM 990, PART VI, SECTION A, LINE 7B SHEPPARD AND ENOCH PRATT FOUNDATION, INC. HOLDS RESERVED RIGHTS WHICH INCLUDE THE POWERS TO APPOINT AND REMOVE BOARD MEMBERS. THE FOUNDATION ALSO HOLDS THE RIGHT TO APPROVE CERTAIN SELECT TRANSACTIONS OF ITS SUBSIDIARIES. FORM 990, PART VI, SECTION B, LINE 11 THE FINANCE COMMITTEE OF THE BOARD OF TRUSTEES WILL REVIEW AND APPROVE THE 990. FOLLOWING FINANCE COMMITTEE APPROVAL OF THE 990 ON 4/16/13, THE CFO WILL MAKE COPIES AVAILABLE TO BOARD MEMBERS PRIOR TO FILING THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION REQUIRES ALL TRUSTEES AND KEY EXECUTIVE PERSONNEL TO COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. THE COMPLETED QUESTIONNAIRES ARE REVIEWED BY THE CFO WHO SUMMARIZES THE REPORTED CONFLICTS. THIS INFORMATION IS THEN PRESENTED TO THE CEO AND TO THE CHAIRMAN OF THE BOARD FOR REVIEW. CONFLICTS ARE REPORTED AT BOARD MEETINGS AS APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 SALARIES OF THE CEO AND TOP MANAGEMENT ARE REVIEWED BY THE EMPLOYEE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. THIS COMMITTEE IS COMPRISED OF INDEPENDENT TRUSTEES. THE TRUSTEES REVIEW COMPENSATION FOR REASONABLENESS. THEY USE COMPARATIVE INDUSTRY DATA IN THEIR REVIEW PROCESS. THE PROCESS FOR EMPLOYEE COMPENSATION INCLUDES DEVELOPMENT OF COMPENSATION RECOMMENDATIONS BASED ON MARKET SURVEYS AND OTHER COMPARATIVE INDUSTRY DATA. THE SALARY INFORMATION FOR THIS GROUP IS OBTAINED BY A CONSULTANT THAT IS EMPLOYED BY THE EXECUTIVE COMPENSATION COMMITTEE. THIS CONSULTANT USES CURRENT MARKET COMPENSATION SURVEYS AND OTHER COMPARATIVE INDUSTRY DATA TO MAKE RECOMMENDATIONS. THE RECOMMENDATIONS ARE THEN PRESENTED TO THE EXECUTIVE COMPENSATION COMMITTEE FOR APPROVAL. THE EXECUTIVE COMPENSATION COMMITTEE REPORTS THAT COMPENSATION WAS APPROVED TO THE FULL BOARD. THE ORGANIZATION DOES NOT PAY ANY EMPLOYEES DIRECTLY, INSTEAD THEY ARE COMPENSATED BY A RELATED ORGANIZATION. FORM 990, PART VI, SECTION C, LINE 19 CONSOLIDATED FINANCIAL STATEMENTS AND OTHER POLICIES ARE AVAILABLE UPON REQUEST. FORM 990, PART VII, COLUMN B THE EXECUTIVE MANAGEMENT TEAM DEVOTE MORE THAN 40 HOURS PER WEEK TO THE FOLLOWING RELATED ORGANIZATIONS: SHEPPARD PRATT HEALTH SYSTEM, INC., SHEPPARD PRATT INVESTMENT, INC., SHEPPARD AND ENOCH PRATT FOUNDATION, INC., AND SHEPPARD PRATT PHYSICIAN'S P.A. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -4,381,885. INTERCORPORATE TRANSFERS -2,184,000. BOOK/TAX DIFFERENCE ON PARTNERSHIP INCOME AND EXPENSES 127,504. TOTAL TO FORM 990, PART XI, LINE 5: -6,438,381. PART XII, LINE 2C THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. SHEPPARD PRATT PHYSICIANS PA PO BOX 6815 BALTIMORE MD 21285 521392214 PROVIDE HEALTHCARE TO PATIENTS & RESIDENCY TRAINING TO MEDICAL PROF. MD 501(C)(3) 9 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 SHEPPARD PRATT HEALTH SYSTEM INC PO BOX 6815 BALTIMORE MD 21285 520591684 PROVIDES INPATIENT/OUTPATIENT CARE, EDUC. SVCS & RESID. SVCS MD 501(C)(3) 3 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 MOSAIC COMMUNITY SERVICES INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 521338141 PROVIDES THERAPEUTIC RESIDENTIAL, REHAB., & SUPPORT SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 WAY STATION INC PO BOX 6815 BALTIMORE MD 21285 521162749 PROVIDES REHABILITATION AND TREATMENT SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 FAMILY SERVICES INC 610 EAST DIAMOND AVE GAITHERSBURG MD 20877 520730225 FOSTER HEALTHY FAMILIES THROUGH EDUCATION, BEHAVIORAL HEALTH SERVICES MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 REVISIONS COMMUNITY DEVELOPMENT ORG INC 1925 GREENSPRING DRIVE BALTIMORE MD 21093 521849336 PROVIDE AFFORDABLE HOUSING TO CHRONICALLY MENTALLY DISABLED INDIVIDUALS MD 501(C)(3) 9 MOSAIC COMMUNITY SERVICES INC 0 DULANEY STATION COMMUNITY HOUSING DEVELOPMENT ORGANIZATION INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 020650286 CREATES AFFORDABLE HOUSING FOR LOW INCOME ADULTS W/ PSYCHIATRIC DISABILITIES MD 501(C)(3) 9 MOSAIC COMMUNITY SERVICES INC 0 TURNING POINT OF WASHINGTON COUNTY INC PO BOX 3826 FREDERICK MD 21705 521190659 OFFER EDUC., VOC., SOCIAL & RESIDENTIAL SUPPORT FOR MENTALLY ILL MD 501(C)(3) 7 SHEPPARD AND ENOCH PRATT FOUNDATION INC 0 SHEPPARD AND ENOCH PRATT FOUNDATION INC PO BOX 6815 BALTIMORE MD 21285 521357109 CONDUCT FUNDRAISING ACTIVITIES TO SUPPORT AFFILIATED ORGANIZATIONS MD 501(C)(3) 7 0 ATLANTIC RECYCLED PAPER COMPANY INC 1925 GREENSPRING DRIVE TIMONIUM MD 21093 521737872 INACTIVE MD N/A C SHEPPARD PRATT PREFERRED RESOURCES INC 6501 N CHARLES STREET TOWSON MD 21204 521757742 INACTIVE MD N/A C 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0