2012-06-25T13:21:19-05:00 2011-09-30 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2010-10-01 362883000 AMERICAN LIVER FOUNDATION AMER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 DAVID TICKER 2126681000 2012-06-21 1 FREDERICK H ROTHMAN 2128674000 2010 2016-02-24 21:20:13Z DAVID TICKER 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 9664817 0 X WWW.LIVERFOUNDATION.ORG X 1976 IL TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 20 17 100 1000 0 0 7970124 8477266 0 0 229784 163870 142906 -58390 8342814 8582746 400000 956250 0 0 5029012 4527871 73737 41301 843595 3023861 2691322 8526610 8216744 -183796 366002 4692833 5096471 3633300 3717491 1059533 1378980 X TO FACILITATE, ADVOCATE AND PROMOTE EDUCATION, SUPPORT AND RESEARCH FOR THE PREVENTION, TREATMENT AND CURE FOR LIVER DISEASE. 0 0 2424048 956250 RESEARCH:AWARDING SCHOLARSHIPS AND GRANTS TO STIMULATE RESEARCH INTO THE CAUSE, TREATMENT, PREVENTION AND CURE OF LIVER DISEASE. ALF CONDUCTED 713 LOVE YOUR LIVER PROGRAMS THAT REACHED 37,632 ELEMENTARY, MIDDLE AND HIGH SCHOOL STUDENTS NATIONWIDE IN FY 2011. THERE WAS A 115% AVERAGE INCREASE IN KNOWLEDGE AMONG STUDENTS WHO PARTICIPATED IN LYL PROGRAMS. MORE SPECIFICALLY, THE AVERAGE CHANGE IN KNOWLEDGE WAS 111% AMONG YOUNGER ELEMENTARY SCHOOL STUDENTS, 119% AMONG OLDER ELEMENTARY SCHOOL STUDENTS, 83% AMONG MIDDLE SCHOOL STUDENTS, AND 117% AMONG HIGH SCHOOL STUDENTS. THE MAJORITY OF STUDENTS (83%) DESCRIBED THE OVERALL PROGRAM CONTENT AS EITHER "EXCELLENT" OR "VERY GOOD". 1757488 PATIENT SUPPORT: IN FY 2011, ALF CONDUCTED 137 TCI PROGRAMS FOR 2,676 HEPATITIS C POSITIVE OR HIGH RISK AUDIENCE PARTICIPANTS. THERE WAS A 60% AVERAGE INCREASE IN KNOWLEDGE AMONG PARTICIPANTS. TCI PROGRAM PARTICIPANTS RELY ON THE PROGRAM TO OBTAIN COMPREHENSIVE AND ACCURATE INFORMATION ABOUT HEPATITIS C, ITS TREATMENT AND MANAGEMENT, HAVE A HIGHER BASELINE KNOWLEDGE OF THE LIVER AND HEPATITIS C COMPARED TO THE AVERAGE PUBLIC PARTICIPANTS, THEREBY RESULTING IN A LOWER AVERAGE CHANGE IN KNOWLEDGE, COMPARED TO LOVE YOUR LIVER. NEARLY ALL (90%) ATTENDEES DESCRIBED THE PROGRAM CONTENT AND ORGANIZATION AS EITHER "EXCELLENT" OR "VERY GOOD". SIMILARLY, 85% OF PROGRAM PARTICIPANTS INDICATED THE PROGRAM MATERIALS AND AUDIO VISUALS WERE "EXCELLENT" OR "VERY GOOD". 984192 COMMUNITY SERVICE:DURING FY 2011, ALF FULLY IMPLEMENTED ITS THIRD CORE PROGRAM, FLIP (FATTY LIVER INFORMATION PROGRAM), A NATIONAL EDUCATION PROGRAM TARGETED TO THE GENERAL PUBLIC, AS WELL AS LIVER DISEASE PATIENTS. FLIP FACILITATES A GREATER UNDERSTANDING OF THE LIVER AND ITS FUNCTIONS, DISCUSSES THE DEVELOPMENT AND PROGRESSION OF NON-ALCOHOLIC FATTY LIVER DISEASE (NAFLD) AND OFFERS A MULTI-DISCIPLINARY APPROACH FOR MAXIMIZING LIVER HEALTH. IN THE FY 2011, FLIP REACHED 729 INDIVIDUALS THROUGH 40 PROGRAMS, WITH AN AVERAGE PARTICIPANT INCREASE IN KNOWLEDGE AT 67%. ADDITIONALLY, ALF ALSO PARTICIPATED IN LOCAL, STATE AND FEDERAL ADVOCACY EFFORTS TO INCREASE THE SUPPORT FOR POLICIES AND SERVICES THAT HELP TO IMPROVE THE LIVES OF PEOPLE AFFECTED BY LIVER DISEASE. 1625379 PUBLIC EDUCATION: IN FY11, ALF CONDUCTED 931 EDUCATION PROGRAMS: 769 PUBLIC (83%), 150 PATIENT (16%) AND 12 PROFESSIONAL EDUCATION (1%). ALF REACHED 42,316 PARTICIPANTS, AN INCREASE OF 72% IN PARTICIPANTS REACHED, COMPARED TO FY10. CHANGE IN KNOWLEDGE IS A KEY OUTCOME MEASURING THE IMPACT OF ALF EDUCATION PROGRAMS. THE MEASURE QUANTIFIES KNOWLEDGE GAIN BASED ON PROGRAM PARTICIPANTS' REPORTED KNOWLEDGE PRIOR TO AN AS A RESULT OF AN ALF EDUCATION PROGRAM. IN FY11, THERE WAS A 107% AVERAGE INCREASE IN KNOWLEDGE AMONG EDUCATION PROGRAM PARTICIPANTS, AN INCREASE OF 24% COMPARED TO FY10. PROFESSIONAL EDUCATION: PROVIDING EDUCATION TO HEALTHCARE PROFESSIONALS CONCERNING CURRENT MEDICAL KNOWLEDGE AND PROCEDURES USED TO PREVENT, TREAT AND CURE LIVER DISEASE. SUPPORT SERVICES: ALF PROVIDES SUPPORT SERVICES FOR THOSE AFFECTED BY LIVER DISEASE. THESE SERVICES INCLUDE A NATIONAL HELPLINE WHICH RESPONDS TO CALLS, EMAILS AND LETTERS, AS WELL AS SUPPORT GROUPS ACROSS THE US. IN FY 2011, ALF RESPONDED TO 7,747 REQUESTS FOR INFORMATION (5,885 CALLS, 1,655 EMAILS, AND 207 LETTERS). OF THE CALLS THAT CAME TO THE NATIONAL HELPLINE, 63% WERE ABOUT LIVER WELLNESS AND LIVER DISEASE, 14% WERE ABOUT DIVISION PROGRAMS, 12% WERE MATERIAL REQUESTS AND 11% WERE FOR FINANCIAL ASSISTANCE. ADDITIONALLY, THERE WERE 112 IN-PERSON SUPPORT GROUP MEETINGS REACHING 1,683 INDIVIDUALS. OUTREACH ACTIVITIES: ALF CONDUCTS OUTREACH ACTIVITIES THAT RAISE LIVER AWARENESS TO LARGER AUDIENCES AND THOSE ACTIVITIES INCLUDE: PARTICIPATION IN HEALTH FAIRS, COMMUNITY MEETINGS, CONFERENCES, STREET OUTREACH AND VOLUNTEER TRAININGS. IN FY 2011, ALF OUTREACH ACTIVITIES REACHED 147,338 PEOPLE. APPROXIMATELY 51% OF OUTREACH PARTICIPANTS WERE FAMILY MEMBERS AND FRIENDS OF STUDENTS WHO PARTICIPATED IN THE LOVE YOUR LIVER PROGRAM. ON AVERAGE, EACH STUDENT SHARED INFORMATION WITH TWO FRIENDS OR FAMILY MEMBERS. 1625379 6791107 1 1 0 1 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 75 0 1 100 1 0 0 0 0 0 1 1 0 0 0 0 X 20 17 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 DE DC 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 WI WY X X DAVID TICKER 2126681000 39 BROADWAY SUITE 2700 NEW YORK NY 100063003 LOUIE NEWTON GUERIN 35.00 X X 180816 0 10428 THOMAS NEALON III 0.30 X X 0 0 0 DONNA CRYER JD 0.30 X X 0 0 0 DANIEL WEIL 0.30 X X 0 0 0 REX SMITH JR 35.00 X X 260998 0 2765 MICHAEL KERR 0.30 X 0 0 0 FREDERICK SUCHY MD 0.30 X 0 0 0 DOUG WATSON 0.30 X 0 0 0 RICHARD COLTON 0.30 X 0 0 0 ALLAN WOLKOFF MD 0.30 X 0 0 0 GEORGE JAMIESON 0.30 X 0 0 0 RONALD SOKOL MD 0.30 X 0 0 0 BRUCE SCHARSCHMIDT MD 0.30 X 0 0 0 NICHOLAS DEROMA 0.30 X 0 0 0 SUSAN STONE 0.30 X 0 0 0 FRANK DZVONIK 0.30 X 0 0 0 IRA JACOBSON MD 0.30 X 0 0 0 ALLAN DOERR 0.30 X 0 0 0 MIKE BRAUNSTEIN 0.30 X 0 0 0 NANCY REAU MD 0.30 X 0 0 0 BECKY FRANK 35.00 X 155318 0 6020 DAVID TICKER 35.00 X 136005 0 5005 SUSAN ROBINSON 35.00 X 120822 0 7032 CYNTHIA GARDNER 35.00 X 140395 0 4866 994354 0 36116 6 0 1 0 0 25804 5216858 86373 3148231 1566 8477266 95839 95839 304387 236356 68031 68031 68031 787325 5216858 845715 -58390 -58390 8582746 0 0 105480 768750 768750 125000 125000 62500 62500 707516 562562 59687 85267 3259230 2726204 141658 391368 2343 1945 117 281 234159 197986 8700 27473 324623 269437 16231 38955 15430 12807 1080 1543 39400 39400 41301 41301 6072 6072 283532 283532 299449 248542 14973 35934 339229 165894 150384 22951 296408 246019 14820 35569 620020 514617 31001 74402 598330 496612 29962 71756 62487 62487 84179 69869 4209 10101 46786 38831 1261 6694 8216744 6791107 582042 843595 515223 604999 12493 137205 1004626 1362730 281526 236642 1463725 955210 433378 508515 2445587 2246380 4692833 5096471 1073053 954525 609820 875000 868088 842764 1082339 1045202 3633300 3717491 X -1899629 -1639941 1967127 2026886 992035 992035 1059533 1378980 4692833 5096471 X 366002 -46555 X X 0 1 1 X 0 X 10614986 8926605 9008874 7970124 8477266 44997855 10614986 8926605 9008874 7970124 8477266 44997855 720723 44277132 252403 167383 249854 110807 95839 876286 200575 39873 240448 46114589 42736 0.96020 0.83640 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER REVENUE RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 0 0 0 1 3000 0 0 3000 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: STAFF AND VOLUNTEERS GATHERED IN WASHINGTON, D.C. TO LOBBY CONGRESS TO INCREASE NIH FUNDING FOR LIVER RESEARCH. THE LOBBYING TOOK PLACE ON A SINGLE DAY THAT WE CALL HILL DAY. 992035 51960 51960 992035 992035 119915 119915 992035 1012422 9235 29622 992035 1.00000 0 0 456782 249571 207211 81589 64319 17270 519910 374283 145627 405444 267037 138407 508515 TRANSPLANT TRUST LIABILITY 1045202 1045202 8582746 8216744 366002 -52627 6072 -46555 319447 8515556 -52627 -52627 8568183 6072 8491 14563 8582746 8202181 0 8202181 6072 8491 14563 8216744 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS HAS BEEN SPECIFIED BY THE DONOR. ALL FUNDS ON HAND ARE USED TO GENERATE INTEREST/DIVIDEND INCOME AND CAPITAL GAINS TO SUPPORT VARIOUS RESEARCH INITIATIVES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PERIODS ENDING SEPTEMBER 30, 2008 AND SUBSEQUENT REMAIN SUBJECT TO REVIEW BY APPLICABLE TAXING AUTHORITIES. PART XII, LINE 4B - OTHER ADJUSTMENTS: FORFEITURE OF GRANTS 8,491. PART XIII, LINE 4B - OTHER ADJUSTMENTS: FORFEITURE OF GRANTS 8,491. 0 NORTH AMERICA GRANTS TO RECIPIENT LOCATED IN REGION 62500 0 0 0 62500 0 62500 RESEARCH NORTH AMERICA 1 62500 CHECK 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ALL RELEVANT DOCUMENTATION RELATED TO THE GRANT IS CONTAINED IN A FILE FOR EACH RECIPIENT. DOCUMENTATION INCLUDES; TAX INFORMATION; SIGNED GUIDELINES NOTING TO WHOM THE FUNDS IS SENT; DOCUMENTATION SENT TO THE RECIPIENT; AND SCIENTIFIC REPORTS PRODUCED BY THE RECIPIENT. THE RECIPIENT MUST NOTIFY THE AMERICAN LIVER FOUNDATION REGARDING ANY CHANGE IN HIS/HER STATUS OR RECEIPT OF ADDITIONAL SALARY AND/OR RESEARCH SUPPORT DURING THE TERM OF THE AWARD. SCIENTIFIC REPORTS ARE DUE AT YEARLY INTERVALS DURING THE GRANT PERIOD, INCLUDING THE END OF THE GRANT TERM. X X X X X 1 MINDSET DIRECT LLC 1700 N JEFFERSON STREET STE 200 ARLINGTON VA 22205 DIRECT MAIL CONSULTANT 0 97789 41301 56488 97789 41301 56488 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 MARATHON 1218485 1218485 31387 14076 1760 15440 FLAVORS 307453 148935 158518 26173 94135 3245 34965 69 4478245 3849708 628537 359718 141367 63267 60182 6004183 5217128 787055 417278 249578 68272 110587 845715 -58660 1 WASHINGTON UNIVERSITY SCHOOL OF MEDICINE 700 ROSEDALE AVENUE ST LOUIS MO 63112 430653611 501(C)(3) 75000 RESEARCH UNIVERSITY OF KANSAS MEDICAL CENTER RESEARCH INSTITUTE INC 3901 RAINBOW BOULEVARD KANSAS CITY KS 66160 481108830 501(C)(3) 75000 RESEARCH UT SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BLVD DALLAS TX 75390 756002668 501(C)(3) 75000 RESEARCH YALE UNIVERSITY 47 COLLEGE ST SUITE 216 NEW HAVEN CT 06510 060646973 501(C)(3) 75000 RESEARCH UNIVERISTY OF CALIFORNIA SAN DIEGO 9500 GILMAN DR MC 0857 LA JOLLA CA 92093 956006144 501(C)(3) 93750 RESEARCH UNIVERSITY OF PITTSBURGH PO BOX 37122 PITTSBURGH PA 15251 250965591 501(C)(3) 93750 RESEARCH CINCINNATI CHILDREN'S HOSPITAL MEDICAL CENTER 3333 BURNET CINCINNATI OH 45229 310833936 501(C)(3) 93750 RESEARCH THE CHILDREN'S HOSPITAL OF PHILADELPHIA UNIVERSITY OF PENNSYLVANIA LOCKBOX 1457 PO BOX 8500 PHILADELPHIA PA 19178 251352166 501(C)(3) 93750 RESEARCH UNIVERSITY OF WASHINGTON 1959 NE PACIFIC STREET BOX 357650 SEATTLE WA 98185 916001537 501(C)(3) 93750 RESEARCH 9 POSTDOCTORAL FELLOWSHIPS 10 125000 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL RELEVANT DOCUMENTATION RELATED TO THE GRANT IS CONTAINED IN A FILE FOR EACH RECIPIENT. DOCUMENTATION INCLUDES; TAX INFORMATION; SIGNED GUIDELINES NOTING TO WHOM THE FUNDS IS SENT; DOCUMENTATION SENT TO THE RECIPIENT; AND SCIENTIFIC REPORTS PRODUCED BY THE RECIPIENT. THE RECIPIENT MUST NOTIFY THE AMERICAN LIVER FOUNDATION REGARDING ANY CHANGE IN HIS/HER STATUS OR RECEIPT OF ADDITIONAL SALARY AND/OR RESEARCH SUPPORT DURING THE TERM OF THE AWARD. SCIENTIFIC REPORTS ARE DUE AT YEARLY INTERVALS DURING THE GRANT PERIOD, INCLUDING THE END OF THE GRANT TERM. X X X 0 0 0 0 0 0 0 0 0 LOUIE NEWTON GUERIN 180555 0 0 0 261 0 0 0 10428 0 191244 0 0 0 REX SMITH JR 260866 0 0 0 132 0 0 0 2765 0 263763 0 0 0 BECKY FRANK 155057 0 0 0 261 0 0 0 6020 0 161338 0 0 0 MICHAEL KERR RETIRE OUTSTANDING LINES OF CREDIT X 880000 842764 0 1 1 842764 FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE AND FINANCE COMMITTEE WITH MEMBERS THAT HAVE AN EXPERTISE IN ACCOUNTING. THE FORM 990 IS GIVEN TO THE ENTIRE BOARD. THEN IT IS PROVIDED TO THE EXECUTIVE COMMITTEE WITH COMMENTS BY THE BOARD MEMBERS. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, OUR CONFLICT OF INTEREST POLICY IS REVIEWED BY OFFICERS AND DIRECTORS AND MUST BE SIGNED BY ALL OFFICERS AND DIRECTORS. IF A CONFLICT IS DISCERNED BY THE BOARD, THE INDIVIDUAL WOULD BE ASKED TO ABSTAIN FROM ACTIVITIES OR VOTING ON THE PARTICULAR ISSUE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE REVIEWED TWO EXTERNAL SALARY SURVEYS SPECIFIC TO THE NEW YORK MARKET. FROM TIME TO TIME, THE ALF PARTICIPATES IN EXTERNAL SURVEYS, THE TWO MOST RECENT (2010), THE FOUNDATION CENTER SALARY SURVEY AND PROFESSIONALS FOR NON PROFIT SALARY SURVEY. FORM 990, PART VI, SECTION C, LINE 19 ALL POLICIES ARE POSTED ON LIVERFOUNDATION.ORG. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -52,627. INVESTMENT EXPENSES: 6,072. TOTAL TO FORM 990, PART XI, LINE 5: -46,555. FORM 990, PART XI, LINE 2C THE PROCESS HAS NOT CHANGED SINCE THE PRIOR YEAR.