2012-12-14T12:57:07-06:00 2012-06-30 611064249 DEMING MALONE LIVESAY & OSTROFF PSC 9300 SHELBYVILLE RD STE 1100 LOUISVILLE KY 402225187 990 2011-07-01 310986103 THE THIRD AND OAK CORPORATION DBA TREYTON OAK TOWERS THIR 5025893211 211 WEST OAK STREET LOUISVILLE KY 40203 ANN GEORGE 5025893211 2012-11-29 1 DARRELL L MORRIS P00942600 5024269660 2011 2016-02-24 21:20:13Z ANN GEORGE 211 WEST OAK STREET LOUISVILLE KY 40203 11581966 0 X TREYTONOAKTOWERS.COM X 1980 KY OPERATE A CONTINUING CARE RETIREMENT COMMUNITY. SERVICES INCLUDE SKILLED NURSING CARE, PERSONAL CARE, AND INDEPENDENT LIVING. 14 14 264 0 0 0 0 0 11032748 11570637 3427 -5039 0 0 11036175 11565598 0 0 0 0 4914303 5261762 0 0 0 6429128 6741584 11343431 12003346 -307256 -437748 15403295 15413718 25052671 25500842 -9649376 -10087124 OPERATE A CONTINUING CARE RETIREMENT COMMUNITY. SERVICES INCLUDE SKILLED NURSING CARE, PERSONAL CARE, AND INDEPENDENT LIVING. 0 0 9976846 11570637 OPERATE A CONTINUING CARE RETIREMENT COMMUNITY. SERVICES INCLUDE SKILLED NURSING CARE, PERSONAL CARE, AND INDEPENDENT LIVING. 9976846 1 0 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 1 1 1 0 0 0 0 0 1 1 0 0 0 1 0 0 264 1 0 0 0 0 0 0 0 0 0 0 X 14 14 0 1 0 0 0 0 0 1 1 0 0 1 0 0 1 1 1 0 KY X THE THIRD AND OAK CORPORATION 5025893211 211 WEST OAK STREET LOUISVILLE KY 40203 X ROBERT E MCCARTER 2.00 X X 0 0 0 JOHN SMITH 0.30 X X 0 0 0 DR RICHARD HOUZE 0.30 X X 0 0 0 JAMES GARY 0.30 X 0 0 0 KATHY EVITS 0.30 X 0 0 0 DALE HYERS 0.30 X 0 0 0 JOYCE HOLMES 0.30 X 0 0 0 DR SUSAN BARNETT 0.30 X 0 0 0 CHARLES J JENKINS 0.30 X 0 0 0 TOM HARDY 0.30 X 0 0 0 ALLEN ROSE 0.30 X 0 0 0 JOE RILEY 0.30 X 0 0 0 STANLEY CRAIG 0.30 X 0 0 0 DEE DEE RAGLAND 0.30 X 0 0 0 ANN GEORGE 30.00 X 88021 0 0 DERRICK MOORE - PAID THROUGH MGMT F 40.00 X 102000 0 0 190021 0 0 1 0 0 0 REHAB CARE PO BOX 503534 ST LOUIS MO 63150 THERAPY SERVICES 680994 SYSCO PO BOX 32470 LOUISVILLE KY 40232 FOOD SERVICES 528751 SENIOR LIFESTYLES MANAGEMENT 111 E WACKER SUITE 2200 CHICAGO IL 60601 MANAGEMENT CO. 264000 HERITAGE HEALTHCARE PO BOX 823424 PHILADELPHIA PA 19182 THERAPY SERVICES 255650 MED CARE PHARMACY 11420 WATTERSON CT SUITE 600 JEFFERSONTOWN KY 40299 PHARMACEUTICALS 159960 5 MONTHLY SVC/ANCILLARY 623000 6477530 6477530 HEALTH CARE 623000 4786904 4786904 AMORT DEFERRED ENDOW 525990 306203 306203 11570637 11329 11329 16368 -16368 -16368 -16368 11565598 11570637 0 -5039 190021 13203 176818 4213720 3840258 373462 26330 23286 3044 477342 422140 55202 354349 330714 23635 152158 152158 46275 46275 30983 12396 18587 1754165 1380576 373589 22486 18557 3929 14361 118 14243 587893 558498 29395 901283 856219 45064 CONTRACT LABOR 1000327 929996 70331 FOOD PURCHASES 652578 652578 SUPPLIES 389971 353303 36668 LICENSES & TAXES 207064 206999 65 982040 378005 604035 12003346 9976846 2026500 0 839969 101419 1969952 1568062 25260 43783 68513 83487 23302341 20049022 3857699 3253319 2329297 4051043 6312605 6312605 15403295 15413718 1024494 1295975 16824932 16898211 168000 1547107 1423788 5656138 5714868 25052671 25500842 X -9649376 -10087124 -9649376 -10087124 15403295 15413718 -437748 0 X X 0 1 1 X 0 X 10216368 10794440 10902215 11336239 11570637 54819899 10216368 10794440 10902215 11336239 11570637 54819899 0 0 0 54819899 78945 28235 8065 22305 11329 148879 78945 28235 8065 22305 11329 148879 10295313 10822675 10910280 11358544 11581966 54968778 0.99730 0.99500 0.00270 0.00500 X 0 0 0 0 0 1 1737 0 0 0 1737 0 EXPLANATION OF LOBBYING ACTIVITIES: 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 18701630 16893948 1807682 3888173 3155074 733099 12538 12538 3253319 RESTRICTED INVESTMENTS 4051043 F 4051043 PREPAID SERIES 1995B BONDS 6312605 6312605 DEFERRED ENDOWMENT FEES, NET OF AMORTIZATION 1655148 REFUNDABLE ENDOWMENT FEES, NET OF AMORTIZATION 4040655 DEPOSITS UNDER OCCUPANCY AGREEMENTS 19065 5714868 11565598 12003346 -437748 -437748 11565598 0 11565598 0 11565598 12003346 0 12003346 0 12003346 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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. ON JULY 1, 2009, THE CORPORATION ADOPTED NEW GUIDANCE FOR THE FINANCIAL STATEMENT RECOGNITION, MEASUREMENT AND DISCLOSURE OF UNCERTAIN TAX POSITIONS IN AN ORGANIZATION'S FINANCIAL STATEMENTS. INCOME TAX POSITIONS MUST MEET A MORE-LIKELY-THAN-NOT RECOGNITION THRESHOLD TO BE RECOGNIZED. THE ADOPTION OF THIS GUIDANCE DID NOT HAVE AN EFFECT ON THE ORGANIZATION'S FINANCIAL POSITION AND RESULTS OF OPERATIONS. AS OF JUNE 30, 2011 AND 2010, 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. TAX YEARS STILL OPEN UNDER FEDERAL AND STATE STATUTE OF LIMITATIONS REMAIN SUBJECT TO REVIEW AND CHANGE. PART XIII, LINE 2D - OTHER ADJUSTMENTS: UNCOLLECTIBLE CHARGES 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 DERRICK MOORE EXECUTIVE DIRECTOR 102000 DERRICK MOORE IS EMPLOYED BY THE MANAGEMENT COMPANY AND HIS SALARY IS PAID OUT OF THE MANAGEMENT FEE PAID BY THIRD AND OAK CORPORATION. 0 FORM 990, PART VI, SECTION A, LINE 3 THE ORGANIZATION'S EXECUTIVE DIRECTOR IS AN EMPLOYEE OF THE MANAGEMENT COMPANY AND ALL COMPENSATION DECISIONS REGARDING THIS POSITION ARE MADE BY THEM. FORM 990, PART VI, SECTION B, LINE 11 THE 990 WILL BE DELIVERED TO THE CORPORATION BY THE INDEPENDENT ACCOUNTING FIRM WHICH PREPARES IT. THE 990 WILL BE PRESENTED TO THE GOVERNING BODY FOR REVIEW AND SUBSEQUENT APPROVAL AT THE NEXT SCHEDULED GOVERNING BODY MEETING, AFTER IT IS RECEIVED. ONCE THE GOVERNING BODY HAS APPROVED THE 990 THE EXECUTIVE DIRECTOR WILL SIGN IT AND IT WILL BE MAILED TO THE IRS. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION'S EXECUTIVE DIRECTOR IS AN EMPLOYEE OF THE MANAGEMENT COMPANY AND ALL COMPENSATION DECISIONS REGARDING THIS POSITION ARE MADE BY THEM. FOR OTHER KEY EMPLOYEES AN EVALUATION FORM IS COMPLETED BY APPROPRIATE PERSONNEL. IT IS SUBMITTED TO THE HUMAN RESOURCES DIRECTOR WHO CHECKS RECOMMENDATIONS WITH INDUSTRY GUIDELINES AND AVERAGES FOR THE GEOGRAPHICAL AREA AND THEN IS SUBMITTED TO THE EXECUTIVE DIRECTOR FOR APPROVAL. FORM 990, PART VI, SECTION C, LINE 19 AVAILABLE UPON REQUEST VIA MAIL DERRICK MOORE'S SALARY FROM THE MANAGEMENT COMPANY FORM 990, PART VII, SECTION A DERRICK MOORE'S SALARY IS PAID THROUGH THE MANAGEMENT FEE. FORM 990, PART XI, LINE 2C THE FOLLOWING PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. THE ACCOUNTING FIRM SUBMITS AN ENGAGEMENT LETTER TO THE CORPORATION SEVERAL MONTHS BEFORE THE BEGINNING OF THE AUDIT ENGAGEMENT. THE AUDIT COMMITTEE REVIEWS THE ENGAGEMENT LETTER AND APPROVES IT TO BE TAKEN TO THE FULL GOVERNING BODY. THE GOVERNING BODY VOTES ON THE ACCEPTANCE OF THE AUDIT FIRM AT ITS NEXT REGULARLY SCHEDULED MEETING. 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 FULL GOVERNING BODY AT ITS ANNUAL MEETING. ANY QUESTIONS OR CONCERNS OF THE AUDIT COMMITTEE AND THE FULL GOVERNING BODY ARE ADDRESSED AT THIS TIME, SO THAT THE REPORTS CAN BE APPROVED. AFTER THIS MEETING, THE ACCOUNTING FIRM FINALIZES THE REPORTS AND DELIVERS THE AUDITED FINANCIAL STATEMENTS AND REPORT TO MANAGEMENT OF THE CORPORATION. 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 1 0 0 0 0 0 TREYTON OAK TOWERS FOUNDATION INC M