2012-07-12T09:31:23-05:00 2011-08-31 ERNST & YOUNG US LLP 111 MONUMENT CIRCLE SUITE 2600 INDIANAPOLIS IN 46204 990 2010-09-01 133971298 NYU HOSPITALS CENTER NYUH 2122633092 550 FIRST AVENUE NEW YORK NY 10016 MICHAEL T BURKE 2122637092 2012-07-16 0 ANGELA MOORE 3176817000 2010 2016-02-24 21:20:13Z MICHAEL T BURKE 550 FIRST AVENUE NEW YORK NY 10016 1766534025 0 X HTTP://WWW.MED.NYU.EDU X 1998 NY THS NYU HOSPITALS CENTER MISSION IS: COMMITTED TO MAKING WORLD-CLASS CONTRIBUTIONS THAT PLACE SERVICE TO HUMAN HEALTH AT THE CENTER OF AN ACADEMIC CULTURE DEVOTED TO EXCELLENCE IN RESEARCH, PATIENT CARE, AND EDUCATION. 66 56 9667 1102 3648167 0 47025766 57969991 1511866826 1651994693 10841686 6126549 18363626 39199430 1588097904 1755290663 50000000 84558186 0 0 702848784 766747264 0 0 6251680 672520299 734154736 1425369083 1585460186 162728821 169830477 1543420783 1928452352 1036272146 1234504514 507148637 693947838 X THE BOARD ADOPTED MISSION STATEMENT IS: TO PROVIDE ACCESS TO HEALTH CARE AND IMPROVE HEALTH IN OUR COMMUNITIES, THROUGH CHARITY CARE, AN EMERGENCY ROOM OPEN TO ALL PERSONS REGARDLESS OF ABILITY TO PAY; A MEDICAL STAFF WITH PRIVILEGES AVAILABLE TO ALL QUALIFIED PHYSICIANS; A GOVERNING BODY IN WHICH INDEPENDENT PERSONS REPRESENTATIVE OF THE COMMUNITY COMPRISE A MAJORITY; MEDICAL AND SCIENTIFIC RESEARCH THAT BENEFITS THE COMMUNITY; TRAINING AND EDUCATION OF HEALTH CARE PROFESSIONALS; PARTICIPATION IN MEDICAID, MEDICARE AND OTHER GOVERNMENT-SPONSORED HEALTH CARE PROGRAMS; AND ACTIVITIES DESIGNED TO RESPOND TO COMMUNITY HEALTH NEEDS. 0 0 1293248953 84558186 1675020401 THE CENTRAL COMPONENT OF THE HOSPITALS CENTER IS TISCH HOSPITAL, A 705 BED ACUTE CARE FACILITY AND A MAJOR CENTER FOR SPECIALIZED PROCEDURES IN CARDIOVASCULAR SERVICES, NEURO-SURGERY, CANCER TREATMENT, RECONSTRUCTIVE SURGERY, AND TRANSPLANTATION. THE RUSK INSTITUTE OF REHABILITATION MEDICINE, A 174 BED UNIT, PROVIDES TREATMENT FOR THE PHYSICALLY CHALLENGED. THE NYU HOSPITAL FOR JOINT DISEASES (HJD) DIVISION IS A 190 BED ACUTE CARE FACILITY SPECIALIZING IN ORTHOPAEDIC SERVICES. TISCH HOSPITAL AND HJD HAD 42,207 DISCHARGES AND PROVIDED 640,893 OUTPATIENT VISITS (CLINIC - 320,377, EMERGENCY ROOM - 45,776, CLINICAL CANCER CENTER VISITS - 198,284, CARDIAC CATHETERIZATIONS - 3,675, RUSK REHABILITATION CLINIC - 72,781) PLUS 25,984 AMBULATORY SURGERY PROCEDURES. 1293248953 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 0 1 0 1 1 0 0 0 1 0 1 1 1 0 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 1 0 0 1 461 0 9667 1 1 1 1 BD 0 0 0 1 1 0 0 0 0 X 66 56 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 NY NJ OH SC MD MS AL AK AZ CO DC FL GA IL KS KY MA MI MN NH ND OK OR UT WA WI X MICHAEL T BURKE CFO 2122633092 550 FIRST AVENUE NEW YORK NY 10016 X KENNETH G LANGONE 1.00 X X 0 0 0 LAURENCE D FINK 1.00 X X 0 0 0 DWIGHT ANDERSON 1.00 X 0 0 0 MARC H BELL 1.00 X 0 0 0 WILLIAM R BERKLEY 1.00 X 0 0 0 EDGAR M BRONFMAN JR 1.00 X 0 0 0 KENNETH I CHENAULT 1.00 X 0 0 0 GARY D COHN 1.00 X 0 0 0 WILLIAM J CONSTANTINE 1.00 X 0 0 0 ELIZABETH B DATER 1.00 X 0 0 0 JAMIE DIMON 1.00 X 0 0 0 FIONA DRUCKENMILLER 1.00 X 0 0 0 JAMES J DUNNE III 1.00 X 0 0 0 ALVIN H EINBENDER 1.00 X 0 0 0 LORI FINK 1.00 X 0 0 0 LOUIS P FRIEDMAN 1.00 X 0 0 0 JAY M FURMAN 1.00 X 0 0 0 MICHAEL GARDNER 1.00 X 0 0 0 STEVEN J GILBERT 1.00 X 0 0 0 GEORGE E HALL 1.00 X 0 0 0 JACKIE S HARRIS HOCHBERG 1.00 X 0 0 0 SYLVIA HASSENFELD 1.00 X 0 0 0 HELEN L KIMMEL 1.00 X 0 0 0 SIDNEY LAPIDUS 1.00 X 0 0 0 THOMAS H LEE 1.00 X 0 0 0 LAURENCE C LEEDS JR 1.00 X 0 0 0 MARTIN LIPTON 1.00 X 0 0 0 LOUIS MARX JR 1.00 X 0 0 0 DERYCK MAUGHAN 1.00 X 0 0 0 EDWARD H MEYER 1.00 X 0 0 0 SANDRA MEYER 1.00 X 0 0 0 EDWARD J MINSKOFF 1.00 X 0 0 0 DARLA MOORE 1.00 X 0 0 0 THOMAS S MURPHY 1.00 X 0 0 0 THOMAS S MURPHY JR 1.00 X 0 0 0 FRANK T NICKELL 1.00 X 0 0 0 MICHAEL E NOVOGRATZ 1.00 X 0 0 0 DEBRA PERELMAN 1.00 X 0 0 0 RONALD O PERELMAN 1.00 X 0 0 0 WILLIAM A PERLMUTH 1.00 X 0 0 0 LAURA PERLMUTTER 1.00 X 0 0 0 DOUGLAS A PHILLIPS 1.00 X 0 0 0 ROBERT W PITTMAN 1.00 X 0 0 0 ALAN RAPPAPORT 1.00 X 0 0 0 LINDA GOSDEN ROBINSON 1.00 X 0 0 0 E JOHN ROSENWALD JR 1.00 X 0 0 0 ALAN D SCHWARTZ 1.00 X 0 0 0 BERNARD L SCHWARTZ 1.00 X 0 0 0 STANLEY SHOPKORN 1.00 X 0 0 0 HENRY R SILVERMAN 1.00 X 0 0 0 LARRY A SILVERSTEIN 1.00 X 0 0 0 JOEL E SMILOW 1.00 X 0 0 0 NORMA SMITH 1.00 X 0 0 0 ROBIN L SMITH 1.00 X 0 0 0 CARLA SOLOMON PHD 1.00 X 0 0 0 WILLIAM C STEERE JR 1.00 X 0 0 0 JOHN M STEWART 1.00 X 0 0 0 ALICE M TISCH 1.00 X 0 0 0 THOMAS J TISCH 1.00 X 0 0 0 BRADLEY J WECHSLER 1.00 X 0 0 0 ALAN G WEILER 1.00 X 0 0 0 ANTHONY WELTERS 1.00 X 0 0 0 MICHAEL C ALFANO DMD PHD 1.00 X 0 562483 45377 ROBERT BERNE PHD 1.00 X 0 845826 34761 BONNIE BRIER 1.00 X 0 561739 35988 ROBERT I GROSSMAN MD 30.00 X X 1486390 1486390 516180 DAVID W MCLAUGHLIN 1.00 X 0 563785 34759 JOHN E SEXTON 1.00 X 0 1307650 168975 STEVEN B ABRAMSON MD 18.60 X 219866 489380 36951 BERNARD A BIRNBAUM MD 60.00 X 1223587 0 43982 ANDREW W BROTMAN MD 30.00 X 539064 539064 28660 VIVIAN S LEE MD PHD MBA 30.00 X 0 1125104 40647 DAFNA BAR-SAGI PHD 30.00 X 0 373718 0 VICKI MATCH SUNA AIA 30.00 X 318004 318004 44046 MICHAEL T BURKE 30.00 X 460374 460374 39312 ANNETTE JOHNSON JD 51.00 X 491100 86665 11808 PAUL CONOCENTI MBA 30.00 X 322090 322090 40988 NADER MHERABI 30.00 X 190780 190780 30748 NANCY SANCHEZ 30.00 X 298910 298910 36132 ANTHONY SHORRIS 30.00 X 116144 116144 13256 KEVIN HANNIFAN 60.00 X 671673 0 32198 DAVID DIBNER 60.00 X 540213 0 31874 ROBERT A PRESS MD PHD 60.00 X 535981 0 29465 NINA KATHRYN MCCLELLAN 60.00 X 419761 0 29837 MAUREEN T FITZPATRICK MSN RN 60.00 X 346743 0 29933 DEBRA BERGER 30.00 X 120758 120758 33714 RICHARD COHEN 30.00 X 129431 129431 33492 RICHARD DONOGHUE 42.00 X 499136 213915 30609 SHEILA EISENBERG 30.00 X 102352 102352 22272 THOMAS M FEUERSTEIN 30.00 X 238169 238169 32362 KIMBERLY GLASSMAN 60.00 X 396367 0 32363 KARIM HABIBI 60.00 X 433896 0 34874 AMY HORROCKS 60.00 X 254560 0 35851 KEVIN KIRCHEN 60.00 X 363799 0 20417 IRENE KREUSCHER 60.00 X 271125 0 27784 REGINALD A ODOM 30.00 X 113818 113818 35588 WESLEY SMITH 51.00 X 473447 83549 37812 GILDA VENTRESCA-ECROYD 30.00 X 141499 141499 38462 ROBERT GLICKMAN MD 0.00 X 0 199714 35629 ANDREW W LITT MD 0.00 X 1005171 1005171 46598 12724208 11996482 1853704 1079 1 1 0 APTIUM E NEW YORK 160 EAST 34TH STREET NEW YORK NY 10016 MANAGEMENT SERVICES 6355343 IBM CORPORATION 1 NEW ORCHARD ROAD ARMONK NY 105041722 CONSULTING SERVICES 4848610 WS THOMPSON ASSOCIATES INC 12500 FAIR LAKES CIRCLE SUITE 200 FAIRFAX VA 22033 CONSULTING SERVICES 2636520 BOVIS LEND LEASE LMB INC 200 PARK AVENUE NEW YORK NY 10166 CONSTRUCTION 2119234 ARUP LABORATORIES 500 CHIPETA WAY SALT LAKE CITY UT 841081221 LABORATORY SERVICES 767279 27 1989434 1798151 54182406 11702379 57969991 NET PATIENT SERVICE 622110 1644706090 1644706090 PHARMACY SALES 446110 7288603 4203306 3085297 1651994693 4621168 562870 4058298 197772 197772 231422 231422 2086812 2086812 2086812 2086812 12188628 10881019 1307609 1307609 1307609 568750 1989434 362343 206407 206407 AFFILIATION INCOME 621110 10069210 10069210 CAFETERIA REVENUE 722210 6003068 6003068 PROFESSIONAL REVENUE 621110 4160132 4160132 16442379 8796366 7646013 36674789 1755290663 1671935104 3648167 21737401 84558186 84558186 6127586 4982524 1145062 6064996 4931630 1133366 575521437 467973745 103805059 3742633 40757855 33141435 7616420 99978242 81295308 17824600 858334 38297148 31140560 7156588 589027 478956 110071 823660 823660 892284 892284 129228699 91211750 38016949 8887819 7226952 1660867 317905482 258498485 57756284 1650713 47426560 38563959 8862601 84257303 68512141 15745162 2530497 2057623 472874 654071 531845 122226 21128892 17180536 3948356 62570941 50878309 11692632 28389941 23084713 5305228 BAD DEBT 18866556 18866556 TAXES & FEES 3056250 2485129 571121 INDIRECT RATE 1818333 1478541 339792 ENVIRONMENTAL SERVICES 664917 540664 124253 TRAINEES & STUDENTS 648576 527377 121199 3814928 3102029 712899 1585460186 1293248953 285959553 6251680 199162 184859 249376429 517938836 114370744 123496236 182823158 228396341 21974517 26439061 17410462 21359053 1480027480 655798124 666370425 824229356 199118171 20845000 62782482 69797349 7256279 28995233 88509982 1543420783 1928452352 172197957 230005866 3593931 3094106 383507831 496226919 81239142 102650000 395733285 402527623 1036272146 1234504514 X 330653453 486926292 167748975 198275231 8746209 8746315 507148637 693947838 1543420783 1928452352 X 169830477 16968724 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 1 200 0 1 427122 1 464962 0 0 892284 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: GRANTS TO OTHER ORGANIZATIONS FOR LOBBYING PURPOSES: SCHEDULE C, PART II, LINE 1D, 1F, AND 1G: SCHEDULE C, PART II, LINE 1D: NYU HOSPITALS CENTER SENT LETTERS TO VARIOUS FEDERAL, STATE AND CITY OFFICIALS WITH RESPECT TO VARIOUS MATTERS THAT WERE REPORTED AS LOBBYING EFFORTS. SCHEDULE C, PART II, LINE 1F: NYU HOSPITALS CENTER PAID DUES TO THE ASSOCIATION OF AMERICAN MEDICAL COLLEGES, GREATER NEW YORK HOSPITAL ASSOCIATION, HEALTHCARE ASSOCIATION OF NEW YORK STATE, AMERICAN HOSPITAL ASSOCIATION, AND ASSOCIATION OF AMERICAN MEDICAL COLLEGES, A PERCENTAGE OF WHICH WERE ALLOCATED TO LOBBYING FOR A TOTAL OF $427,122. SCHEDULE C, PART II, LINE 1G: NYU HOSPITALS CENTER PAID CERTAIN EMPLOYEES WHO HAD CONTACT WITH ELECTED OFFICIALS IN A LOBBYING CAPACITY. ADDITIONALLY, THERE ARE SEVERAL LOBBYISTS ON RETAINER AT NYU HOSPITALS CENTER WITH RESPECT TO FEDERAL, STATE AND CITY AFFAIRS. THE LOBBYISTS ENGAGED IN DIRECT CONTACT WITH ELECTED OFFICIALS ON BEHALF OF NYU HOSPITALS CENTER. THE TOTAL AMOUNT OF FEES PAID TO CONSULTANTS FOR LOBBYING PURPOSES WAS $464,962. 23328450 168612 3191120 1414114 56802 25217266 20448235 2781906 1611726 1513417 23328450 47558164 100 -7976263 19095860 37906 20448235 0.14590 0.85410 0 1 1 39025156 39025156 763811213 391144317 372666896 445594028 264653807 180940221 231597083 231597083 824229356 ACCRUED PENSION LIABILITIES 73266983 ACCRUED POSTRETIREMENT LIABILITIES 55809000 OTHER PAYABLES & ACCRUED LIABILITIES 73814421 MALPRACTICE RESERVE 129161267 RATE ACCOUNTS 27605762 OTHER RESERVES 42870190 402527623 1755290663 1585460186 169830477 5879219 11089505 16968724 186799201 1712000636 5879219 362343 6241562 1705759074 49531589 49531589 1755290663 1579322529 362343 362343 1578960186 6500000 6500000 1585460186 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE ENDOWMENT IS AVAILABLE TO SUPPORT THE CHARITABLE, PATIENT CARE, EDUCATIONAL AND RESEARCH MISSIONS OF THE NYU HOSPITALS CENTER, INCLUDING BUT NOT LIMITED TO CHARITY CARE, COMMUNITY BUILDING, PROGRAM SUPPORT, RESARCH, BUILDINGS AND EQUIPMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: FIN 48 (ASC 740) FOOTNOTE: THE MEDICAL CENTER HAS ADOPTED A PROVISION FOR ACCOUNTING FOR UNCERTAINTIES IN INCOME TAXES RECOGNIZED, WHICH PRESCRIBES A RECOGNITION THRESHOLD AND MEASUREMENT APPROACH FOR THE FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. THERE WAS NO SIGNIFICANT EFFECT ON THE MEDICAL CENTER'S COMBINED FINANCIAL STATEMENT AS A RESULT OF THE ADOPTION OF THIS PROVISION. FORM 990, SCHEDULE D, PART XI, LINE 8: DESCRIPTION OF OTHER ADJUSTMENTS IN NET ASSETS: CHANGES IN PENSION & POSTRETIREMENT OBLIGATIONS = 15,014,748 TRANSFER OF EQUITY = (3,925,243) TOTAL OTHER ADJUSTMENTS TO NET ASSETS: 11,089,505 FORM 990, SCHEDULE D, PART XII, LINE 2D: DESCRIPTION OF OTHER REVENUE NOT INCLUDED ON FORM 990: SPECIAL EVENTS EXPENSES NETTED WITH REVENUES = $362,343. FORM 990, SCHEDULE D, PART XII, LINE 4B: DESCRIPTION OF OTHER REVENUES INCLUDED ON FORM 990: TEMPORARILY RESTRICTED GIFTS & BEQUESTS = $49,531,589. FORM 990, SCHEDULE D, PART XIII, LINE 2D: DESCRIPTION OF OTHER EXPENSES NOT INCLUDED ON FORM 990: SPECIAL EVENTS EXPENSES NETTED WITH REVENUES = $362,343. FORM 990, SCHEDULE D, PART XIII, LINE 4B: DESCRIPTION OF OTHER EXPENSES INCLUDED ON FORM 990: GRANT TO 34TH STREET CANCER CENTER = $6,500,000. CENTRAL AMERICA/CARIBBEAN PROGRAM SERVICES INSURANCE 28389941 0 0 0 0 0 0 28389941 0 28389941 1 0 1 0 0 0 NYUHJD FNDRS' GALA 1852130 1395380 456750 118688 142537 HASSENFELD TOYLAND 706054 594054 112000 35238 65880 2558184 1989434 568750 153926 208417 362343 206407 1 1 1 X 400.000000000000 1 X 800.000000000000 1 1 0 1 1 15641839 6820204 8821635 0.00560 194865736 133668941 61196795 0.03910 210507575 140489145 70018430 0.04470 6743882 0 6743882 0.00430 132200091 27896180 104303911 0.06660 43620904 0 43620904 0.02780 182564877 27896180 154668697 0.09870 393072452 168385325 224687127 0.14340 1 6446168 292145894 375933411 -83787517 X 1 1 1 1 NYU HOSPITALS CENTER

550 FIRST AVENUE NEW YORK NY 10016

X X X X NYU HOSPITALS CENTER 1 1 1 400.000000000000 1 800.000000000000 1 X X X X X X 1 1 X X X X X X 1 X X X 1 X X X X X X 1 X 0 1 PART I, LINE 7: THE COST-TO-CHARGES RATIO METHODOLOGY WAS UTILIZED TO CALCULATE THE AMOUNTS INCLUDED ON PART I, LINES 7A AND B. THE CALCULATION OF THE RATIO WAS DERIVED FROM THE OPTIONAL WORKSHEET, RATIO OF PATIENT CARE COST-TO-CHARGES. THE RATIO REPRESENTS THE PERCENTAGE OF NET COMMUNITY BENEFIT EXPENSES AS A PERCENTAGE OF TOTAL HOSPITAL EXPENSES EXCLUDING BAD DEBT EXPENSES.THE AMOUNT REPORTED ON LINE 7F INCLUDES AMOUNTS FROM THE INSTITUTIONAL COST REPORT AND THE ORGANIZATION'S ACTUAL EXPENSE. THE AMOUNT REPORTED ON LINE 7H REPRESENTS THE ORGANIZATION'S ACTUAL EXPENSE. PART I, LINE 7, COLUMN (F): THE BAD DEBT EXPENSE INCLUDED ON FORM 990, PART IX, LINE 25, COLUMN (A), BUT SUBTRACTED FOR PURPOSES OF CALCULATING THE PERCENTAGE IN THIS COLUMN IS $ 18866556. PART III, LINE 4: UNCOMPENSATED CARE: AS A MATTER OF POLICY, THE MEDICAL CENTER PROVIDES SIGNIFICANT AMOUNTS OF PARTIALLY OR TOTALLY UNCOMPENSATED PATIENT CARE. FOR ACCOUNTING PURPOSES, SUCH UNCOMPENSATED CARE IS TREATED EITHER AS CHARITY CARE OR BAD DEBT EXPENSE.THE MEDICAL CENTER'S CHARITY CARE POLICY, IN ACCORDANCE WITH NEW YORK STATE DEPARTMENT OF HEALTH'S GUIDELINES, ENSURES THE PROVISION OF QUALITY HEALTH CARE TO THE COMMUNITY SERVED WHILE CAREFULLY CONSIDERING THE ABILITY OF THE PATIENT TO PAY. THE POLICY HAS SLIDING FEE SCHEDULES FOR INPATIENT, AMBULATORY AND EMERGNECY SERVICES PROVIDED TO THE UNINSURED AND UNDER-INSURED PATIENTS THAT QUALIFY. PATIENTS ARE ELIGIBLE FOR THE CHARITY CARE FEE SCHEDULE IF THEY MEET CERTAIN INCOME AND LIQUID ASSET TESTS. FOR ACCOUNTING AND DISCLOSURE PURPOSES, CHARITY CARE IS CONSIDERED TO BE THE DIFFERENCE BETWEEN THE HOSPITALS CENTER'S CUSTOMARY CHARGES AND THE SLIDING CHARITY CARE FEE SCHEDULE RATES. SINCE PAYMENT OF THIS DIFFERENCE IS NOT SOUGHT, CHARITY CARE ALLOWANCES ARE NOT REPORTED AS REVENUE. PATIENTS WHO DO NOT QUALIFY FOR SLIDING SCALE FEES AND ALL UNINSURED INPATIENTS WHO DO NOT QUALIFY FOR MEDICAID ASSISTANCE ARE BILLED AT THE HOSPITALS CENTER'S FULL RATES. UNCOLLECTED BALANCES FOR THESE PATIENTS ARE CATEGORIZED AS BAD DEBTS.THE COST-TO-CHARGES RATIO METHODOLOGY WAS UTILIZED TO CALCULATE THE AMOUNT INCLUDED ON PART III, LINE 2. THE CALCULATION OF THE RATIO WAS DERIVED FROM THE OPTIONAL WORKSHEET, RATIO OF PATIENT CARE COST-TO-CHARGES. THE RATIO REPRESENTS THE PERCENTAGE OF NET COMMUNITY BENEFIT EXPENSES AS A PERCENTAGE OF TOTAL HOSPITAL EXPENSES EXCLUDING BAD DEBT EXPENSES. PART III, LINE 8: MEDICARE REVENUE AND ALLOWABLE COSTS REPORTED ON PART III, SECTION B, LINES 5 AND 6 ARE DERIVED FROM THE MEDICARE COST REPORTS FILED FOR THE CALENDAR YEARS ENDED DECEMBER 31, 2010 AND DECEMBER 31, 2011. PART III, LINE 9B: THE HOSPITAL IS COMMITTED TO FAIR BILLING AND COLLECTION PRACTICES. ACCORDINGLY, THE HOSPITAL AND/OR ITS EMPLOYEES, REPRESENTATIVES, AGENTS AND CONTRACTORS ARE NOT PERMITTED TO TAKE ANY OF THE FOLLOWING ACTIONS:- SEND AN ACCOUNT TO COLLECTION WHILE AN APPLICATION FOR FINANCIAL ASSISTANCE (WHICH IS COMPLETE AND WITH ALL REQUIRED DOCUMENTATION) IS PENDING;- SEND AN ACCOUNT TO COLLECTION FOR A PATIENT WHO IS DETERMINED TO BE ELIGIBLE FOR MEDICAID AT THE TIME SERVICES WERE RENDERED AND FOR WHICH SERVICES MEDICAID PAYMENT IS AVAILABLE; OR- PURSUE ANY ACTION WHICH WOULD CAUSE OR PREVENT THE PATIENT FROM PAYING HIS/HER NORMAL MONTHLY RENT, UTILITY OR FOOD EXPENSES.ALL COLLECTION AGENTS ENGAGED BY THE HOSPITAL WILL BE REQUIRED TO COMPLY WITH THIS POLICY; SEEK THE HOSPITAL'S WRITTEN CONSENT PRIOR TO INSTITUTING A LEGAL ACTION FOR COLLECTION; AND ADVISE PATIENTS ON HOW TO APPLY FOR FINANCIAL ASSISTANCE. IF A LAWSUIT HAS BEEN INSTITUTED AND DECIDED IN FAVOR OF THE HOSPITAL, THE HOSPITAL WILL NOT SEEK FORECLOSURE OF THE PATIENT'S PRIMARY RESIDENCE (ALTHOUGH IT MAY FILE A LIEN) OR SEEK TO FREEZE A PATIENT'S BANK ACCOUNT OR GARNISH A PATIENT'S WAGES UNLESS EXPRESSLY AUTHORIZED BY SENIOR ADMINISTRATION. NYU HOSPITALS CENTER PART V, SECTION B, LINE 11H: DETERMINATION OF ELIGIBILITY FOR FINANCIAL ASSISTANCE IS BASED ON THE FOLLOWING ADDITIONAL CRITERIA:1. THE PATIENT'S STATE OF RESIDENCE2. FOR NON-NEW YORK RESIDENTS, NATURE OF THE ADMISSION (EMERGENCY SERVICES, ELECTIVE, ETC.)3. FAMILY SIZE, WHICH IS CALCULATED FOR ADULT PATIENTS, BY ADDING THE PATIENT, THE PATIENT'S SPOUSE (IF ANY AND IF HE/SHE RESIDES WITH THE PATIENT) AND ANY DEPENDENTS OF THE PATIENT OR THE PATIENT'S SPOUSE, AND FOR MINOR PATIENTS, BY ADDING THE PATIENT, THE PATIENT'S PARENT/S AND/OR LEGAL GUARDIAN/S WITH WHICH THE PATIENT RESIDES, AND ANY DEPENDENTS OF THE PATIENT'S PARENT/S AND/OR LEGAL GUARDIAN/S WITH WHICH THE PATIENT RESIDES (OTHER THAN THE PATIENT).FOR PATIENTS WITH UNPAID BALANCES WHO DO NOT APPLY FOR FINANCIAL ASSISTANCE OR ASSIST IN THE APPLICATION PROCESS, THE HOSPITAL MAY SUBMIT THE PATIENT'S DEMOGRAPHICS TO A CREDIT BUREAU TO UTILIZE CREDIT SCORING SOFTWARE FOR PURPOSES OF ESTABLISHING INCOME ELIGIBILITY. THE SCORING WILL NOT NEGATIVELY IMPACT THE PATIENT'S FICO. NYU HOSPITALS CENTER PART V, SECTION B, LINE 13G: ALL HOSPITAL BILLS AND STATEMENTS INCLUDE A STATEMENT THAT IF THE PATIENT IS UNABLE TO PAY THE BILL, HE OR SHE MIGHT BE ELIGIBLE FOR FINANCIAL ASSISTANCE AND HOW TO OBTAIN FURTHER INFORMATION. APPLICATIONS FOR FINANCIAL ASSISTANCE ARE AVAILABLE IN ENGLISH, CHINESE, RUSSIAN AND SPANISH, AND TRANSLATION SERVICES ARE MADE AVAILABLE FOR PATIENTS NEEDING SUCH SERVICES. NYU HOSPITALS CENTER PART V, SECTION B, LINE 15E: THE HOSPITAL IS COMMITTED TO FAIR BILLING AND COLLECTION PRACTICES. ACCORDINGLY, THE HOSPITAL AND/OR ITS EMPLOYEES, REPRESENTATIVES, AGENTS AND CONTRACTORS ARE NOT PERMITTED TO TAKE ANY OF THE FOLLOWING ACTIONS:- SEND AN ACCOUNT TO COLLECTION WHILE AN APPLCIATION FOR FINANCIAL ASSISTANCE (WHICH IS COMPLETE AND WITH ALL REQUIRED DOCUMENTATION) IS PENDING;- SEND AN ACCOUNT TO COLLECTION FOR A PATIENT WHO IS DETERMINED TO BE ELIGIBLE FOR MEDICAID AT THE TIME SERVICES WERE RENDERED AND FOR WHICH SERVICES MEDICAID PAYMENT IS AVAILABLE; OR- PURSUE ANY ACTION WHICH WOULD CAUSE OR PREVENT THE PATIENT FROM PAYING HIS/HER NORMAL MONTHLY RENT, UTILITY OR FOOD EXPENSES.ALL COLLECTION AGENTS ENGAGED BY THE HOSPITAL WILL BE REQUIRED TO COMPLY WITH THIS POLICY; SEEK THE HOSPITAL'S WRITTEN CONSENT PRIOR TO INSTITUTING A LEGAL ACTION FOR COLLECTION; AND ADVISE PATIENTS ON HOW TO APPLY FOR FINANCIAL ASSISTANCE. IF A LAWSUIT HAS BEEN INSTITUTED AND DECIDED IN FAVOR OF THE HOSPITAL, THE HOSPITAL WILL NOT SEEK FORECLOSURE OF THE PATIENT'S PRIMARY RESIDENCE (ALTHOUGH IT MAY FILE A LIEN) OR SEEK TO FREEZE A PATIENT'S BANK ACCOUNT OR GARNISH A PATIENT'S WAGES UNLESS EXPRESSLY AUTHORIZED BY SENIOR ADMINISTRATION. NYU HOSPITALS CENTER PART V, SECTION B, LINE 19D: INDIVIDUALS WHO DID NOT HAVE INSURANCE COVERING EMERGENCY OR OTHER MEDICALLY NECESSARY CARE ARE CLASSIFIED AS FOLLOWS:1. SELF PAY PATIENTS WITH INCOME LEVELS BELOW LEVELS SPECIFIED IN THE CHARITY CARE POLICY2. SELF PAY PATIENTS WITH NO INSURANCE IN THE MARKET3. SELF PAY PATIENTS WITH INSURANCE SEEKING SERVICES AT NYUHC THAT ARE CONSIDERED "OUT OF NETWORK"FOR OTHER THAN THOSE SELF PAY PATIENTS COVERED BY THE CHARITY CARE POLICY, HOSPITAL CHARGES ARE DISCOUNTED BY A PERCENTAGE TO EQUATE TO A PAYMENT EQUAL TO THE AVERAGE PAYMENT OF THE TOP FIVE COMMERCIAL INSURERS. THE DISCOUNT IS EVALUATED ANNUALLY TO REFLECT CHANGES IN MANAGED CARE CONTRACT RATES AND CHARGE MASTER. NYU HOSPITALS CENTER PART V, SECTION B, LINE 21: INTERNATIONAL SELF PAY PATIENTS ARE BILLED AT PRICING NEAR FULL CHARGE LEVEL. PART VI, LINE 2: THE PUBLIC HEALTH PRIORITIES THAT WERE IDENTIFIED IN THE 2009 COMMUNITY SERVICE PLAN SUBMISSION INCLUDED THE FOLLOWING:CHRONIC DISEASEHEART FAILURE - ENHANCING SELF CARE ADVOCACY PROGRAM EDUCATION IN HEART FAILURE (ESCAPE HF) - HEART FAILURE PREVALENCE INCREASES WITH INCREASING AGE AND AFFECTS ABOUT 1 IN 6 PEOPLE OVER THE AGE OF 80 YEARS. OUR PROGRAM IS DESIGNED TO IMPLEMENT COMMUNITY BASED EDUCATIONAL PROGRAMS IN ORDER TO INFORM SENIOR CITIZENS ON THE MOST COMMON SYMPTOMS OF HEART FAILURE AND THE STEPS THEY CAN TAKE TO REDUCE THE RISK OF DEVELOPING HEART FAILURE, OR IF HEART FAILURE IS ALREADY PRESENT, STEPS THEY CAN TAKE TO IMPROVE QUALITY OF LIFE. THE EDUCATIONAL SESSIONS OF ESCAPE HF ARE CONDUCTED IN SENIOR CENTERS BELOW 59TH STREET IN MANHATTAN UNDER THE SUPERVISION OF STUART KATZ, MD, DIRECTOR OF HEART FAILURE PROGRAMS AT NYULMC. THE EDUCATION INTERVENTION PROGRAM IS ADMINISTERED IN THE COMMUNITY BY LAURA SARA R'BIBO, NYU HOSPITALS CENTER'S HEART FAILURE COMMUNITY HEALTH CARE WORKER, IN CONJUNCTION WITH NURSING SCHOOL FACULTY VICTORIA DICKSON AND DEBBIE CHYUN, AND WITH THE ASSISTANCE OF NYULMC'S HEART FAILURE STAFF NURSE PRACTITIONERS JUDITH SCHIPPER AND GRACE DOMINGO AND OTHER STAFF WITH RELEVANT EXPERTISE. THE GOALS OF ESCAPE HF ARE TO INCREASE KNOWLEDGE ABOUT HEART FAILURE AND CARDIOVASCULAR WELLNESS IN THE COMMUNITY, IMPROVE QUALITY OF LIFE, AND REDUCE LONG-TERM RISK OF HOSPITALIZATION IN SENIORS LIVING IN NYC SOUTH OF 59TH STREET.PHYSICAL ACTIVITY AND NUTRITIONHYPERTENSION - THE NYULMC'S CENTER FOR HEALTHFUL BEHAVIORAL CHANGE TARGETS IMPROVEMENT IN CONTROL OF BEHAVIORS IN PERSONS DIAGNOSED WITH HYPERTENSION USING A COUNSELING APPROACH THAT TRAINS TEAMS OF OLDER ADULTS LIVING IN NORCS AND AFFILIATED NURSES TO TAKE BLOOD PRESSURE AND DELIVER LIFESTYLE COUNSELING TO NORC RESIDENTS WITH UNCONTROLLED HYPERTENSION. THIS EFFORT FOCUSES ON PROVIDING SUSTAINABLE SKILLS SO THE TRAINED NORC RESIDENTS AND NURSES CAN CONTINUE TO PROVIDE THIS SERVICE TO NORC RESIDENTS. THE PROGRAM EVALUATES THE EFFECT OF BP SCREENING AND LIFESTYLE COUNSELING DELIVERED BY TRAINED TEAMS OF NORC RESIDENTS AND NURSES IN IMPROVING BP, WEIGHT, DIET AND PHYSICAL ACTIVITY HABITS. THREE NORC COMMUNITIES BELOW 59TH STREET IN MANHATTAN ARE PARTICIPATING IN THIS EFFORT. THE PROGRAM IS NOW OFFERED IN SPANISH OR ENGLISH DEPENDING ON THE DEMOGRAPHIC MAKEUP OF THE PARTICIPATING NORC. RESULTS FROM THIS PROGRAM WILL HELP DETERMINE THE FEASIBILITY AND EFFECTIVENESS OF TRAINING TEAMS OF NORC RESIDENTS AND NURSES TO MEASURE BP AND DELIVER LIFESTYLE COUNSELING IN REDUCING BP AND IMPROVING LIFESTYLE BEHAVIORS IN NORC RESIDENTS WITH UNCONTROLLED HYPERTENSION. IF OUR PROGRAM SHOWS PROMISING RESULTS, THE NEXT STEP WILL BE TO EXPAND THIS MODEL WITHIN THE NORC SETTING TO PROVIDE A GREATER IMPACT ON THE LARGER COMMUNITY.CHILDHOOD OBESITY - THE AIM OF THIS INITIATIVE IS TO TARGET BOTH ENDS OF THE CHILDHOOD AGE SPECTRUM. THE NYU CHILD STUDY CENTER'S HARRIS OBESITY PREVENTION EFFORT (HOPE) THROUGH ITS PARENTCORPS PROGRAM TARGETS CHILDREN ENROLLED IN NEW YORK CITY'S UNIVERSAL PRE-KINDERGARTEN PROGRAMS AND DEVELOPS, EVALUATES AND DISSEMINATES EVIDENCE-BASED PRACTICES FOR FAMILIES AND EDUCATORS TO ASSIST YOUNG CHILDREN TO ESTABLISH HEALTHY BEHAVIORS AROUND EATING, PHYSICAL ACTIVITY, AND SLEEP. THE NYULMC BANISHING OBESITY AND DIABETES IN YOUTH (BODY) PROJECT PROVIDES ADOLESCENTS AND THEIR FAMILIES WITH PERSONALLY RELEVANT MEDICAL INFORMATION AND THE TOOLS TO ACT SO AS TO EMPOWER THEM TO PREVENT THE PROGRESSION OF OBESITY-RELATED ILLNESS.INFECTIOUS DISEASEHEPATITIS B - NYULMC'S CENTER FOR THE STUDY OF ASIAN AMERICAN HEALTH HAS ESTABLISHED THE B FREE CENTER OF EXCELLENCE IN THE ELIMINATION OF HEPATITIS B DISPARITIES (B FREE CEED) AND WAS TO WORK CLOSELY WITH ST. VINCENT'S MEDICAL CENTER TO DEVELOP, EVALUATE, AND DISSEMINATE EVIDENCE-BASED PRACTICES TO BE APPLIED TO THE PREDOMINANTLY CHINESE POPULATION THAT UTILIZED ST. VINCENT'S CHINATOWN HEALTH SERVICES, A HEALTH CARE CLINIC LOCATED AT 25 ELIZABETH STREET IN LOWER MANHATTAN. SINCE ST. VINCENT'S MEDICAL CENTER CLOSED, NYULMC'S HEPATITIS B EFFORT WAS MODIFIED TO TARGET THE 5-YEAR CLINICAL, MORBIDITY AND MORTALITY AVERAGE FOLLOW-UP OF CHINESE AMERICANS WHO WERE SCREENED IN 2006-7 AND WERE FOUND TO BE HEPATITIS B POSITIVE. THIS GROUP OF PATIENTS WAS REFERRED FOR CARE TO THREE DIFFERENT AREAS: CHINESE PHYSICIANS IN THE CHINESE COMMUNITY, THE NEWLY-ESTABLISHED HEPATITIS B CLINIC AT BELLEVUE HOSPITAL AND THE CHARLES B. WANG CLINIC ON CANAL STREET IN MANHATTAN. PART VI, LINE 3: PATIENTS WILL BE INFORMED OF THE HOSPITAL'S CHARITY CARE AND FINANCIAL ASSISTANCE POLICY BY APPROPRIATE SIGNAGE IN THE REGISTRATION AND INTAKE AREAS; INFORMATION DISTRIBUTED IN THE ADMISSION PACKAGE; AND RESPONSES TO DIRECT INQUIRIES. ALL HOSPITAL BILLS AND STATEMENTS WILL INCLUDE A STATEMENT THAT IF THE PATIENT WAS UNABLE TO PAY THE BILL, HE OR SHE MIGHT BE ELIGIBLE FOR FINANCIAL ASSISTANCE AND HOW TO OBTAIN FURTHER INFORMATION. APPLICATIONS FOR FINANCIAL ASSISTANCE WILL BE AVAILABLE IN ENGLISH, CHINESE, RUSSIAN, AND SPANISH, AND TRANSLATION SERVICES WILL BE MADE AVAILABLE FOR PATIENTS NEEDING SUCH SERVICES. PART VI, LINE 4: IN ITS 2009 COMMUNITY SERVICE PLAN SUBMISSION, NYU HOSPITALS CENTER FOCUSED ITS COMMUNITY HEALTH AGENDA ON THE POPULATION RESIDING SOUTH OF 42ND STREET IN MANHATTAN AS DEFINED BY RESPECTIVE ZIP CODES. RESIDENTS OF THIS AREA ACCOUNTED FOR 18% OF NYU HOSPITALS CENTER'S DISCHARGES AND NYU HOSPITALS CENTER WAS THE ONLY MAJOR ACADEMIC MEDICAL CENTER LOCATED WITHIN THIS AREA.THE CLOSING OF SAINT VINCENT'S MEDICAL CENTER CAUSED NYU HOSPITALS CENTER TO REEVALUATE THE DEFINITION OF ITS LOCAL COMMUNITY. AS A RESULT, WE HAVE EXPANDED OUR COMMUNITY TO INCLUDE ALL OF LOWER MANHATTAN TO 59TH STREET AS THE NORTHERN BOUNDARY. NYU HOSPITALS CENTER'S LOCAL COMMUNITY NOW INCLUDES BOTH THE RESIDENTIAL POPULATION AND THOSE WHOSE PLACE OF EMPLOYMENT ARE LOCATED WITHIN THIS AREA. RESIDENTS OF THESE ZIP CODES ACCOUNTED FOR 19% OF NYU HOSPITALS CENTER'S DISCHARGES DURING 2010. PART VI, LINE 6: EACH OF THE NYU HOSPITALS CENTER COMMUNITY INITIATIVES IDENTIFIED IN THE 2009 COMMUNITY SERVICE PLAN SUBMISSION HAS CONTINUED TO ESTABLISH RELATIONSHIPS WITH COMMUNITY PARTNERS AND INCORPORATES COMMUNITY INPUT IN THE IMPLEMENTATION OF THEIR VARIOUS EFFORTS.FOR EXAMPLE, THE ENHANCING SELF CARE ADVOCACY PROGRAM EDUCATION IN HEART FAILURE (ESCAPE HF) WORKS CLOSELY WITH SENIOR CENTERS AND NATURALLY OCCURRING RETIREMENT COMMUNITIES (NORCS) IN THE TARGET AREA; THE HYPERTENSION SCREENING AND CONTROL PROGRAM WORKS CLOSELY WITH THE NEW YORK CITY DEPARTMENT FOR THE AGING (DFTA), THE UNITED HOSPITAL FUND, AND STAFF AT THE NORCS LOCATED SOUTH OF 59TH STREET; THE BANISHING OBESITY AND DIABETES IN YOUTH (BODY) PROJECT WORKS CLOSELY WITH THE NYC BOARD OF EDUCATION AND THE SCHOOL-BASED HEALTH CENTER AT THE NORMAN THOMAS HIGH SCHOOL LOCATED ON PARK AVENUE AND 33RD STREET IN MANHATTAN AND THE PARENTCORPS PROGRAM CONTINUES TO WORK CLOSELY WITH MR. RECY DUNN, EXECUTIVE DIRECTOR OF THE NEW YORK CITY DEPARTMENT OF EDUCATION'S OFFICE OF EARLY CHILDHOOD EDUCATION AND HIS STAFF ON ALL ASPECTS OF DESIGN AND INITIATION OF THE DISSEMINATION MODEL. IN ADDITION, DURING THE PAST YEAR A PARTNERSHIP WAS INITIATED WITH MS. CATHY NONAS, DIRECTOR OF THE DEPARTMENT OF HEALTH AND MENTAL HEALTH PHYSICAL ACTIVITY AND NUTRITION PROGRAM. ALSO, AS PART OF OUR EFFORTS TO UNDERSTAND THE NEEDS OF THE ASIAN AND LATINO EARLY CHILDHOOD COMMUNITIES IN THE CATCHMENT AREA, WE HAVE CONTINUED PARTNERSHIPS WITH AGENCIES SERVING ASIAN AND LATINO COMMUNITIES IN LOWER MANHATTAN, INCLUDING CHINATOWN CHILDCARE AND CHARLES B. WANG. REPORTS FILED WITH STATES PART VI, LINE 7 NY UPDATE ON PLAN OF ACTION: PART VI, LINE 5 - PROMOTION OF COMMUNITY HEALTH SINCE NYU HOSPITALS CENTER'S COMMUNITY SERVICE PLAN WAS SUBMITTED IN 2009, MUCH PROGRESS HAS BEEN MADE ON EACH OF THE INITIATIVES INCLUDED IN THE PLAN WITH THE EXCEPTION OF THE HEPATITIS B PROGRAM WHICH WAS TO BE CONDUCTED IN CONJUNCTION WITH ST. VINCENT'S MEDICAL CENTER. THE FOLLOWING SUMMARIZES THE ACTIVITIES TO DATE:CHRONIC DISEASEHEART FAILURE - IN COLLABORATION WITH FACULTY VICTORIA DICKSON AND GAIL MELKUS AT THE NYU COLLEGE OF NURSING, NYU LANGONE MEDICAL CENTER'S ENHANCING SELF CARE ADVOCACY PROGRAM EDUCATION IN HEART FAILURE (ESCAPE HF) HAS BEEN ESTABLISHED AT THE SIROVICH SENIOR CENTER LOCATED ON 12TH STREET IN THE EAST VILLAGE. PARTICIPANTS ARE INVITED TO ATTEND TWICE WEEKLY SESSIONS WHERE THEY RECEIVE A GROUP SKILL-BUILDING INTERVENTION ON HEART FAILURE SELF-CARE CONDUCTED BY LAURA SARA R'BIBO, THE COMMUNITY HEALTH WORKER. SIXTEEN SESSIONS HAVE BEEN HELD TO DATE. FEEDBACK FROM THE PARTICIPANTS HAS BEEN POSITIVE AND PARTICIPATION IN THE COMMUNITY SETTING HAS BEEN WELL RECEIVED. ESCAPE HF WILL BE EXPANDED THIS SUMMER TO TWO ADDITIONAL SETTINGS - THE WHITTAKER NORC LOCATED AT EAST BROADWAY AND GRANT STREET AND THE VILLAGE VIEW NORC LOCATED ON EAST 4TH STREET. BOTH OF THESE LOCATIONS ARE INCLUDED IN NYULMC'S SERVICE AREA AND COLLECTIVELY HAVE MORE THAN 3,000 OLDER ADULTS (AGED 60+) RESIDING IN THEM. THEY ALSO HAVE ONSITE NURSING PERSONNEL WHO WILL COLLABORATE WITH NYULMC STAFF TO IDENTIFY PARTICIPANTS FOR THE INTERVENTION. COLLABORATING WITH NYULMC'S NURSING ADMINISTRATION AND THE VISITING NURSE SERVICE, LAURA SARA R'BIBO IS ALSO ACTIVELY PARTICIPATING AS A HEART FAILURE EDUCATOR IN NYUHC'S TRANSITION TO DISCHARGE PROGRAM.IN ADDITION, 3 GENERAL HEART HEALTH SESSIONS HAVE BEEN CONDUCTED AT THE SIROVICH SENIOR CENTER AND TWO MORE ARE PLANNED AT THE WHITTAKER AND VILLAGE VIEW NORC LATER THIS SUMMER. EXPANSION OF ESCAPE HF TO A LARGER STUDY IS EXPECTED AFTER DATA COLLECTION AND ANALYSIS IS COMPLETED NEXT YEAR. ESCAPE HF WAS RECENTLY FEATURED IN THE NYU LANGONE MEDICAL CENTER'S APRIL NEWS & VIEWS AND WILL BE INCLUDED IN THE DEPARTMENT FOR THE AGING'S REPORT TO THE MAYOR'S OFFICE.PHYSICAL ACTIVITY AND NUTRITIONHYPERTENSIONPRIOR TO IDENTIFYING NORC RESIDENTS TO BE TRAINED TO DELIVER THE LIFESTYLE COUNSELING, A TRAINING CURRICULUM WAS DEVELOPED ALONG WITH A SUBSTANTIAL RESOURCE MANUAL PROVIDED TO EACH TRAINED NORC RESIDENT. THE RESOURCE MANUAL CONTAINS THE COUNSELING PROTOCOL AND ALL THE RELEVANT INFORMATION ABOUT BLOOD PRESSURE AND LIFESTYLE CHANGES THAT NORC RESIDENTS NEED TO COMPLETE. THE ORIGINAL PREMISE WAS THAT THE TRAINED NORC RESIDENT - AS PLANNED IN THE 2010 AGENDA FOR THIS PROGRAM, IN DECEMBER OF 2010, NYULMC'S CENTER FOR HEALTHFUL BEHAVIORAL CHANGE PROGRAM STAFF BEGAN WORKING WITH THE PHIPPS COMMUNITY NORC; THE FIRST OF THREE NORC SITES ORIGINALLY INTENDED FOR THE OVERALL EXECUTION OF THIS PROGRAM. AT THIS SITE, SENIORS FROM VARIOUS ETHNIC BACKGROUNDS MEET DAILY TO ENJOY AND PARTICIPATE IN THE NUMEROUS ACTIVITIES OFFERED. THEREFORE, IT WAS NOT SURPRISING THAT THE BLOOD PRESSURE INITIATIVE WAS FAVORABLY ACCEPTED AMONG THE ACTIVELY ATTENDING PARTICIPANTS. NORC SENIOR RESIDENTS FELT EAGER TO EMBARK ON THE OPPORTUNITY TO DO SOMETHING CONSTRUCTIVE IN THEIR COMMUNITY AND DEVELOP LEADERSHIP SKILLS FOR PRACTICAL SITUATIONS. THEY EVEN CREATED A NAME FOR PARTICIPANTS IN THE PROGRAM (HEALTH CRUSADERS) BEFORE THE PROGRAM EVER BEGAN.PRIOR TO IDENTIFYING NORC RESIDENTS TO BE TRAINED TO DELIVER THE LIFESTYLE COUNSELING, A TRAINING CURRICULUM WAS DEVELOPED ALONG WITH A SUBSTANTIAL RESOURCE MANUAL PROVIDED TO EACH TRAINED NORC RESIDENT. THE RESOURCE MANUAL CONTAINS THE COUNSELING PROTOCOL AND ALL THE RELEVANT INFORMATION ABOUT BLOOD PRESSURE AND LIFESTYLE CHANGES THAT NORC RESIDENTS NEED TO COMPLETE. THE ORIGINAL PREMISE WAS THAT THE TRAINED NORC RESIDENT WOULD MEET WITH PROGRAM PARTICIPANTS INDIVIDUALLY WEEKLY TO TAKE BLOOD PRESSURE READINGS AND DISCUSS LIFESTYLE CHANGES THEY CAN MAKE TO IMPROVE THEIR BLOOD PRESSURE. WITH THIS IN MIND, NORC RESIDENTS WERE IDENTIFIED WHO WERE INTERESTED IN BEING TRAINED TO TAKE BLOOD PRESSURE MEASUREMENTS AND TO DELIVER THE BRIEF INDIVIDUAL LIFESTYLE COUNSELING SESSIONS. FOUR NORC RESIDENTS (HEALTH CRUSADERS) VOLUNTARILY PARTICIPATED IN THREE HOURS OF TRAINING DURING THREE DAYS. INDIVIDUAL TRAINING SESSIONS WERE HELD AS NEEDED TO ADDRESS THE DIVERSE INFORMATION NEEDS; INCLUDING THOSE RELATED TO CULTURAL DIFFERENCES, LANGUAGE, AGE, ABILITY, AND LITERACY SKILLS THAT MAY HAVE AFFECTED NORC RESIDENTS' ABILITY TO OBTAIN, PROCESS, AND UNDERSTAND THE HEALTH INFORMATION PROVIDED. IN ADDITION, BASED ON THE TRAINING FEEDBACK, SUPPORT DOCUMENTS WERE CREATED TO FACILITATE THE DELIVERY AND IMPROVE FIDELITY OF SESSIONS.UPON COMPLETION OF THE TRAINING, WEEKLY BLOOD PRESSURE SCREENING SESSIONS WERE HELD TO ENROLL NORC RESIDENTS IN THE PROGRAM. IT QUICKLY BECAME APPARENT THAT SPANISH VERSIONS OF ALL STUDY MATERIALS AND DATA COLLECTION FORMS WOULD BE REQUIRED. UP TO THAT POINT, ONLY MATERIALS IN ENGLISH WERE DEVELOPED. RECRUITMENT WAS TEMPORARILY SUSPENDED WHILE MATERIALS WERE TRANSLATED INTO SPANISH AND INSTITUTIONAL REVIEW BOARD (IRB) APPROVAL WAS OBTAINED.WHEN THE EFFORT RESTARTED, ADDITIONAL NORC RESIDENTS WERE TRAINED, PARTICIPANTS WERE RECRUITED FOR THE CLASSES AND THEY ASSISTED IN RECRUITING OTHER RESIDENTS TO PARTICIPATE AS WELL. AS A RESULT, AN ADDITIONAL 13 RESIDENTS WERE ENROLLED.NYULMC'S CENTER FOR HEALTHFUL BEHAVIORAL CHANGE PROGRAM TARGETING HYPERTENSION HAS SERVED AS AN OPPORTUNITY TO EXPERIENCE FIRSTHAND THE IMPORTANCE OF IMPLEMENTING COMMUNITY HEALTH PROGRAMS THAT ACTIVELY ENGAGE COMMUNITY MEMBERS IN ACTIVITIES THAT ELEVATE THEIR SELF-ESTEEM AND SELF-SUFFICIENCY. BY WORKING CLOSELY WITH NORC RESIDENTS, WE HAVE LEARNED A GREAT DEAL ABOUT WHAT IS REQUIRED TO TRAIN GROUPS OF COMMUNITY MEMBERS TO PERFORM BLOOD PRESSURE SCREENINGS AND CONDUCT LIFESTYLE COUNSELING WHICH WILL BE USED IN FUTURE ENDEAVORS. IN THE NEXT YEAR, THIS PROGRAM WILL BE IMPLEMENTED IN TWO ADDITIONAL NORCS AND A TOTAL OF 75 NORC RESIDENTS WILL BE TRAINED AS HEALTH CRUSADERS.CHILDHOOD OBESITY - DURING THE PAST YEAR, PARENTCORPS HAS TRANSLATED BEST PRACTICES FOR HEALTHY DEVELOPMENT INTO SPANISH, MANDARIN AND KOREAN AND HAS POSTED THESE MATERIALS ON THEIR WEBSITE AS PART OF NATIONAL OBESITY PREVENTION MONTH (WWW.HOPENYU.ORG). IN ADDITION, THE PARENTCORPS LEADER'S GUIDE AND SUPPORTING MATERIALS (E.G., CHILDREN'S PLACEMAT TO SUPPORT HEALTHY EATING HABITS) WERE ALSO TRANSLATED INTO SPANISH.PARENTCORPS STAFF HAVE DEVELOPED A BOOK FOR PARENTS USING VISUAL REPRESENTATIONS TO PORTRAY EFFECTIVE PARENTING PRACTICES FOR YOUNG CHILDREN AND THIS HAS ALSO BEEN TRANSLATED INTO SPANISH. DURING 2010, NEW WEBSITE CONTENT TO SUPPORT PARENTS AND TEACHERS IN COMMUNICATING EFFECTIVELY TO PROMOTE HEALTHY HABITS IN YOUNG CHILDREN WAS DEVELOPED AS PART OF OUTREACH DURING NATIONAL OBESITY PREVENTION MONTH. ALSO DURING THIS YEAR, HEALTH FAIRS FOR PARENTS AND CHILDREN PROMOTING HEALTHY EATING AND ACTIVITY HABITS WERE IMPLEMENTED AT 14 ELEMENTARY SCHOOLS THROUGHOUT NYC THAT SERVE PRIMARILY LATINO STUDENTS.DURING THIS TIME, FOUR FULL-DAY TRAINING SESSIONS WERE CONDUCTED WITH ALL 85 NEW YORK CITY DEPARTMENT OF EDUCATION PRE-K SOCIAL WORKERS ON BEST PRACTICES RELATED TO MENTAL HEALTH AND HEALTH PROMOTION, INCLUDING THOSE WHO SERVE AT SCHOOLS ON MANHATTAN SOUTH OF 59TH STREET. ALSO, A NUMBER OF PRESENTATIONS WERE MADE TO PRE-K TEACHERS, SOCIAL WORKERS AND INSTRUCTIONAL COORDINATORS FROM DISTRICTS 1 AND 2 IN MANHATTAN. FINALLY, E-LEARNING MODULES ON ROUTINES TO SUPPORT HEALTHY EATING, ACTIVITY AND SLEEP WERE DEVELOPED AND WILL BE USED FOR PARENTS, TEACHERS AND HEALTH PROFESSIONALS. ALL OF THESE ACTIVITIES WERE CARRIED OUT AS PLANNED AND HAVE BEEN EXTREMELY WELL RECEIVED BY CHILDREN, PARENTS, TEACHERS, HEALTH PROFESSIONALS, ADMINISTRATORS AND POLICY MAKERS. ALTHOUGH THE TRANSLATION OF MATERIALS HAS ALLOWED PARENTCORPS TO REACH NEW COMMUNITIES OF PARENTS, THE PROGRAM HAS BEEN LIMITED BY NOT HAVING BILINGUAL HEALTH PROFESSIONALS ON THEIR TEAM. IN FY 2012, PARENTCORPS PLANS TO ADDRESS THIS BARRIER WITH A NEW HIRE.NYULMC'S BANISHING OBESITY AND DIABETES IN YOUTH (BODY) PROJECT IS IN ITS FOURTH YEAR OF OPERATION AND HAS CONTINUED TO BE EXTREMELY SUCCESSFUL IN CONDUCTING LARGE NUMBERS OF MEDICAL SCREENINGS OF OVERWEIGHT AND OBESE INNER CITY HIGH SCHOOL YOUTH WITH THE GOAL OF IDENTIFYING STUDENTS AT RISK FOR CARDIO-METABOLIC DISEASE FROM EXCESS BODY WEIGHT. THE NYULMC BODY PROJECT HAS EXPERIENCED TREMENDOUS COMMITMENT FROM PUBLIC HIGH SCHOOL ADMINISTRATORS AND TERRIFIC YOUTH REPRESENTATION. MOST IMPORTANT, PARTICIPANTS' PARENTS/CAREGIVERS HAVE DEMONSTRATED REMARKABLE RESPONSE TO THE PERSONALIZED, EASY-TO-UNDERSTAND REPORT OF THE MEDICAL RESULTS OF THEIR CHILDREN. UPDATE ON PLAN OF ACTION (CONTINUED) PART VI, LINE 5 - PROMOTION OF COMMUNITY HEALTH WE ARE MAKING SIGNIFICANT INROADS WITH FAMILIES BY EDUCATING THEM ABOUT THE MEDICAL RISKS ASSOCIATED WITH OBESITY, BY OFFERING ALTERNATIVE TO REDUCE SUCH RISKS, AND BY CONNECTING AT-RISK YOUTH TO HEALTHCARE PRACTITIONERS.IN THE FALL OF 2010, NYULMC BODY PROJECT STAFF COLLECTED HEIGHT, WEIGHT AND WAIST CIRCUMFERENCE MEASUREMENTS ON 2,128 HIGH SCHOOL STUDENTS TO CALCULATE BODY MASS INDEX (BMI). ALL OVERWEIGHT AND OBESE STUDENTS AND RANDOMLY SELECTED LEAN ADOLESCENTS WERE INDIVIDUALLY APPROACHED FOR PARTICIPATION IN THE BODY PROJECT. PARTICIPATION INCLUDED OBTAINING A FASTING BLOOD SAMPLE (TO MEASURE GLUCOSE, INSULIN, HEMOGLOBIN A1C, CHOLESTEROL PROFILE, AND CRP), BLOOD PRESSURE, AND QUESTIONNAIRES TO ASSESS EATING HABITS, PHYSICAL ACTIVITY, AND PSYCHOSOCIAL FUNCTIONING. UPON COMPLETION OF THE MEDICAL SCREEN, A PERSONALIZED, EASY-TO-UNDERSTAND REPORT WAS PREPARED FOR EACH PARTICIPANT. THIS REPORT, PRINTED IN ENGLISH AND SPANISH, WAS MAILED TO EACH PARTICIPANT'S HOME. NYULMC BODY PROJECT STAFF FOLLOWED-UP WITH EACH PARENT/CAREGIVER TO ENSURE RECEIPT OF THE REPORT AND TO PROVIDE CLARIFYING INFORMATION AND TO REFERRALS TO MEDICAL PRACTITIONERS, IF INDICATED.IN THE FIRST HALF OF 2011, 655 STUDENTS RETURNED PARENTAL CONSENTS AND COMPLETED MEDICAL SCREENS AND SURVEYS. DATA COLLECTION ON THIS GROUP IS UNDERWAY AND MEDICAL SCREENS ARE BEING COMPLETED ON ANOTHER 150 STUDENTS FOR A TOTAL OF 800 CHILDREN AND THEIR FAMILIES.ALL STUDENTS THAT HAVE ABNORMALITIES ARE CONTACTED AND CONNECTED TO EITHER A HEALTHCARE PROVIDER IN THE COMMUNITY OR TO THE SCHOOL-BASED HEALTH CENTER. THE FALL OF 2011 MARKS THE BEGINNING OF THE FIFTH YEAR OF THE BODY PROJECT PROVIDING PERSONALIZED MEDICAL SCREENINGS TO UNDERSERVED, AT-RISK YOUTH IN NYC. THERE ARE PLANS TO EXPAND THE PROGRAM TO REACH EVEN MORE YOUTH IN THE NYU LANGONE MEDICAL CENTER SERVICE AREA.INFECTIOUS DISEASESHEPATITIS B - AS DEVELOPED IN THE PRIOR COMMUNITY SERVICE PLAN, THE NYU SCHOOL OF MEDICINE'S CENTER FOR IMMIGRANT HEALTH'S CENTER FOR ASIAN AMERICAN HEALTH IN CONJUNCTION WITH THE NYU HOSPITALS CENTER AND ST. VINCENT'S MEDICAL CENTER WAS TO DEVELOP, EVALUATE AND DISSEMINATE EVIDENCE-BASED PRACTICES IN PROVIDING THE PREDOMINANTLY CHINESE POPULATION UTILIZING ST. VINCENT'S CHINATOWN HEALTH SERVICES WITH HEPATITIS B SCREENING, TREATMENT, AND A VACCINATION PROGRAM. AS CONCEIVED, THIS PROGRAM DID NOT OCCUR OWING TO ST. VINCENT'S MEDICAL CENTER'S SERIOUS FINANCIAL TROUBLES AND EVENTUAL CLOSING. DURING THE PAST YEAR, DR. MARIANO REY AND HIS TEAM WORKED CLOSELY WITH THE CHINESE AMERICAN COMMUNITY RESIDING IN THE DEFINED CATCHMENT AREA SOUTH OF 59TH STREET. IN FACT, MOST OF THE PARTICIPANTS OF HIS PROGRAM RESIDE SOUTH OF HOUSTON STREET. ALL THE INDIVIDUALS WERE ETHNIC HAN CHINESE. THERE WERE A TOTAL OF 114 UNIQUE PATIENT ENCOUNTERS BY DR. VINH TRAM. RESULTS FROM THIS PATIENT COHORT INDICATED THAT AFTER A MEAN FOLLOW-UP PERIOD OF FIVE YEARS, THIS POPULATION EXPERIENCED LITTLE MORTALITY AND MORBIDITY. ONLY ABOUT HALF OF THE HEPATITIS B POSITIVE PATIENTS REQUIRED DRUG THERAPY. A FUTURE UPDATE WILL HELP DETERMINE IF THESE FAVORABLE RESULTS ARE INDEED ACCURATE AND PREVALENT AMONG PATIENTS WHO RECEIVED EARLY SCREENING AND TREATMENT. COMPARISONS WILL BE MADE WITH OTHER PATIENTS WHO WERE NOT PART OF THE ORIGINAL NYULMC EFFORT AND WHO WERE FIRST DIAGNOSED LATER THAN THIS COHORT. ALSO, A COMPARISON WILL BE MADE TO OTHER MEMBERS OF THE CHINESE AMERICAN COHORT TO DETERMINE IF THE FINDINGS IN THE CURRENT SAMPLE ARE TYPICAL. 0 NEW YORK UNIVERSITY - SCHOOL OF MEDICINE 726 BROADWAY 9TH FLOOR NEW YORK NY 10003 135562308 501(C)(3) 78058186 SUPPORT CLINICAL, EDUCATIONAL, AND RESEARCH ACTIVITIES OF NYU SCHOOL OF MEDICINE. 34TH STREET CANCER CENTER INC 550 FIRST AVENUE NEW YORK NY 10016 300262470 501(C)(3) 6500000 SUPPORT THE DEVELOPMENT OF PROTON BEAM THERAPY SERVICES IN NEW YORK FOR THE TREATMENT OF CANCER. 2 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ORGANIZATION'S PROCEDURE FOR MONITORING THE USE OF GRANT FUNDS TO OTHER 501(C)(3) ORGANIZATIONS IN THE UNITED STATES: ALL GRANTS WERE MADE TO RELATED TAX-EXEMPT 501(C)(3) ORGANIZATIONS, THEREFORE NO MONITORING OF THE USE OF FUNDS IS REQUIRED. X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 MICHAEL C ALFANO DMD PHD 0 562483 0 0 0 0 0 35500 0 9877 0 607860 0 0 ROBERT BERNE PHD 0 845826 0 0 0 0 0 24500 0 10261 0 880587 0 0 BONNIE BRIER 0 561739 0 0 0 0 0 24500 0 11488 0 597727 0 0 ROBERT I GROSSMAN MD 940768 940768 239406 239406 306216 306216 250642 250642 7448 7448 1744480 1744480 211987 211987 DAVID W MCLAUGHLIN 0 563785 0 0 0 0 0 24500 0 10259 0 598544 0 0 JOHN E SEXTON 0 1242806 0 0 0 64844 0 101700 0 67275 0 1476625 0 0 STEVEN B ABRAMSON MD 172388 383702 47478 105678 0 0 7595 16905 3860 8591 231321 514876 0 0 BERNARD A BIRNBAUM MD 933587 0 290000 0 0 0 24500 0 19482 0 1267569 0 0 0 ANDREW W BROTMAN MD 421559 421559 115000 115000 2505 2505 12250 12250 2080 2080 553394 553394 0 0 VIVIAN S LEE MD PHD MBA 0 935104 0 190000 0 0 0 24500 0 16147 0 1165751 0 0 DAFNA BAR-SAGI PHD 0 373718 0 0 0 0 0 0 0 0 0 373718 0 0 VICKI MATCH SUNA AIA 257241 257241 60000 60000 763 763 12250 12250 9773 9773 340027 340027 0 0 MICHAEL T BURKE 410374 410374 37500 37500 12500 12500 12250 12250 7406 7406 480030 480030 0 0 ANNETTE JOHNSON JD 340381 60067 150719 26598 0 0 6262 1105 3775 666 501137 88436 0 0 PAUL CONOCENTI MBA 286166 286166 24727 24727 11197 11197 9800 9800 10694 10694 342584 342584 0 0 NADER MHERABI 185215 185215 0 0 5565 5565 9800 9800 5574 5574 206154 206154 0 0 NANCY SANCHEZ 217910 217910 81000 81000 0 0 12250 12250 5816 5816 316976 316976 0 0 ANTHONY SHORRIS 115844 115844 0 0 300 300 4083 4083 2545 2545 122772 122772 0 0 KEVIN HANNIFAN 531150 0 97250 0 43273 0 19600 0 12598 0 703871 0 0 0 DAVID DIBNER 468593 0 47500 0 24120 0 19600 0 12274 0 572087 0 0 0 ROBERT A PRESS MD PHD 519481 0 16500 0 0 0 24500 0 4965 0 565446 0 0 0 NINA KATHRYN MCCLELLAN 359761 0 60000 0 0 0 19600 0 10237 0 449598 0 0 0 MAUREEN T FITZPATRICK MSN RN 294633 0 40000 0 12110 0 19600 0 10333 0 376676 0 0 0 DEBRA BERGER 115758 115758 5000 5000 0 0 9599 9599 7258 7258 137615 137615 0 0 RICHARD COHEN 109148 109148 11457 11457 8826 8826 9165 9165 7581 7581 146177 146177 0 0 RICHARD DONOGHUE 448037 192016 35000 15000 16099 6899 13720 5880 7706 3303 520562 223098 0 0 SHEILA EISENBERG 102352 102352 0 0 0 0 8121 8121 3015 3015 113488 113488 0 0 THOMAS M FEUERSTEIN 209496 209496 16035 16035 12638 12638 9800 9800 6381 6381 254350 254350 0 0 KIMBERLY GLASSMAN 360302 0 22913 0 13152 0 19600 0 12763 0 428730 0 0 0 KARIM HABIBI 397781 0 25000 0 11115 0 19600 0 15274 0 468770 0 0 0 AMY HORROCKS 254560 0 0 0 0 0 19600 0 16251 0 290411 0 0 0 KEVIN KIRCHEN 331639 0 25000 0 7160 0 19600 0 817 0 384216 0 0 0 IRENE KREUSCHER 248607 0 0 0 22518 0 19600 0 8184 0 298909 0 0 0 REGINALD A ODOM 108818 108818 5000 5000 0 0 9200 9200 8594 8594 131612 131612 0 0 WESLEY SMITH 393318 69409 80129 14140 0 0 16660 2940 15480 2732 505587 89221 0 0 GILDA VENTRESCA-ECROYD 141499 141499 0 0 0 0 12250 12250 6981 6981 160730 160730 0 0 ROBERT GLICKMAN MD 0 199714 0 0 0 0 0 20577 0 15052 0 235343 0 0 ANDREW W LITT MD 453465 453465 50000 50000 501706 501706 12250 12250 11049 11049 1028470 1028470 0 0 PART I, LINE 1A FOUR OFFICERS HAVE A CAR AND DRIVER AT THEIR DISPOSAL. THEY PAY TAXES ON THE IMPUTED VALUE OF THE PERSONAL USE OF THE VEHICLE AND DRIVER. TWO OFFICERS ARE PROVIDED WITH A HOUSING ALLOWANCE, WHICH IS INCLUDED IN THEIR TAXABLE INCOME. ONE OFFICER RECEIVED A TAX GROSS-UP PAYMENT. PART I, LINES 4A-B DURING THE REPORTING PERIOD, THE FOLLOWING INDIVIDUAL RECEIVED A SEVERANCE PAYMENT: ANDREW W. LITT, MD. SEE SCHEDULE J PART II FOR THE AMOUNT REPORTED. THE SEVERANCE PAYMENT WAS PAID PURSUANT TO A NEGOTIATED AGREEMENT WITH THE LISTED INDIVIDUAL. LINE 4B: DR. GROSSMAN PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN DURING CALENDAR YEAR 2010. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $476,784 FOR CALENDAR YEAR 2010. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYUHC AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. NEW YORK UNIVERSITY PRESIDENT JOHN SEXTON IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15, 2015, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES AS DEAN OF THE SCHOOL OF LAW AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE TO CALENDAR YEAR 2010 IS INCLUDED IN PART II, ABOVE, IN COLUMN C(II). IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT TO A SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, PRESIDENT SEXTON WILL BE ENTITLED TO RECEIVE PAYMENTS FOR THE REMAINDER OF HIS LIFE (THE "SERP ANNUAL PAYMENTS") EQUAL TO $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2008, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION TO MAKE THE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON NEW YORK UNIVERSITY'S FORMS 990. PRESIDENT SEXTON'S SALARY - WHILE PRESIDENT OR IN ANY POST-PRESIDENT EMPLOYMENT WITH NYU - IS REDUCED BY THE SERP ANNUAL PAYMENTS. FOR EXAMPLE, SO LONG AS PRESIDENT SEXTON REMAINS AS PRESIDENT, HE WILL NOT RECEIVE ANY ECONOMIC BENEFIT FROM THE SERP ANNUAL PAYMENTS BECAUSE EVERY DOLLAR HE RECEIVES FROM THE SERP ANNUAL PAYMENTS WILL REDUCE HIS SALARY AS PRESIDENT. NEW YORK UNIVERSITY EXECUTIVE VICE PRESIDENT ALFANO IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15, 2013, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $11,000 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU COLLEGE OF DENTISTRY (INCLUDING HIS SERVICES AS DEAN OF THE NYU COLLEGE OF DENTISTRY, A MEMBER OF THE FACULTY OF THE NYU COLLEGE OF DENTISTRY, AND/OR EVP OF NYU). THE $11,000 ALLOCABLE TO CALENDAR YEAR 2010 IS INCLUDED IN PART II, ABOVE, IN COLUMN C (II). PART I, LINE 7 TWO OFFICERS RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE. SUPPLEMENTAL INFORMATION PART III FORM 990, SCHEDULE J, PART II, COL. (F): DR. GROSSMAN'S OTHER REPORTABLE COMPENSATION (COL. (B)(III)) INCLUDES AMOUNTS THAT WERE REPORTED AS DEFERRED COMPENSATION IN A PRIOR FORM 990. DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 64983QY86 2006-10-04 97290705 SERIES 2006A/SEE SCHEDULE K, PART V 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903DA6 2007-02-06 169685043 SERIES 2007A/SEE SCHEDULE K, PART V 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 649903WS6 2007-12-05 91005523 SERIES 2007B/SEE SCHEDULE K, PART V 0 0 0 DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 2009-09-30 46141845 TELP/SEE SCHEDULE K, PART V 0 0 0 98349744 10508243 1941074 82140683 2006 0 0 1 1 12540000 172513630 14586061 1811234 2620827 130263344 27865098 7171558 2009 0 0 0 1 4780000 98918072 7999772 1776326 74227662 11600604 8321734 2009 0 0 0 1 8695354 49141845 142000 33113067 12886778 2011 0 0 0 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 1 0 0 1 0.01000 0.00000 0.01000 1 0 1 0 0 1 0.00400 0.00000 0.00400 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 FORM 990, SCHEDULE K, PART I DESCRIPTION OF PURPOSE SERIES 2006A - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2006A - TO REFINANCE SERIES 2000A (ISSUED ON MAY 18, 2000), CREATE A DEBT SERVICE FUND FOR SERIES 2006A, AND PAY FOR THE SERIES 2006A ISSUANCE COSTS. SERIES 2007A - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2007A - TO REFINANCE SERIES 2000B (ISSUED ON NOVEMBER 13, 2002), FINANCE THE: ACQUISITION OF NYUHC'S 34TH STREET CANCER CENTER; REFINANCE A LOAN INCURRED BY NYUHC TO FINANCE CERTAIN TENANT IMPROVEMENTS AT THE CANCER CENTER; REPLACEMENT OF THE TWO AIR HANDLING UNITS AT TISCH HOSPITAL, INCLUDING RELATED WORK NECESSARY TO REDISTRIBUTE ELECTRICAL LOADS; RENOVATION AND REPLACEMENT OF THE CHILLER PLANT THAT SERVICES TISCH HOSPITAL, INCLUDING THE PURCHASE AND INSTALLATION OF STEAM TURBINES AND PIPING UPGRADES; RENOVATION AND EXPANSION OF THE POST ANESTHESIA CARE UNIT AT TISCH HOSPITAL, INCLUDING RELOCATION OF SERVICES AND MECHANICAL SYSTEMS; CREATE A DEBT SERVICE FUND FOR SERIES 2007A; AND PAY FOR THE SERIES 2007A ISSUANCE COSTS. SERIES 2007B - DASNY, NYU HOSPITALS CENTER REVENUE BONDS, 2007B - TO FINANCE THE: ACQUISITION & INSTALLATION OF NEW EMERGENCY GENERATORS AT TISCH HOSPITAL; RELOCATION, CONSTRUCTION, RENOVATION, EXPANSION AND EQUIPPING OF THE INTENSIVE CARE UNITS AT TISCH HOSPITAL; CONSTRUCTION, RENOVATION AND EQUIPPING OF LEASED SPACE IN AN EXISTING FACILITY LOCATED AT 333 EAST 38TH STREET, TO CREATE A NEW AMBULATORY SURGERY CENTER, CONSISTING OF OPERATING SUITES, PRE-OPERATION/RECOVERY BEDS, AND A PATHOLOGY LABORATORY; CONSTRUCTION AND RENOVATION OF A FLOOR OF THE SCHWARTZ HEALTH CARE CENTER, INCLUDING HVAC SYSTEM UPGRADES, TO ACCOMMODATE THE RELOCATION OF A SHORT-STAY UNIT FROM TISCH HOSPITAL AND POST-SURGICAL OBSERVATION BEDS; CONSTRUCTION, RENOVATION, AND EQUIPPING OF A CARDIAC AND VASCULAR CENTER WITHIN THE SCHWARTZ HEALTH CARE CENTER; CREATE A DEBT SERVICE FUND FOR SERIES 2007B; AND PAY FOR THE SERIES 2007B ISSUANCE COSTS. TELP - DASNY - TAX-EXEMPT LEASING PROGRAM TO FINANCE THE ACQUISITION AND IMPLEMENTATION OF EPIC HARDWARE & SOFTWARE. SERIES 2011A - DASNY - NYU HOSPITALS CENTER REVENUE BONDS, 2011A - FOR THE FOLLOWING CAPITAL IMPROVEMENTS: RENOVATION AND EQUIPPING OF THE EMERGENCY DEPARTMENT, INCLUDING RENOVATION OF EXISTING SPACE AND RECONFIGURATION OF SPACE ADJACENT TO THE EXISTING EMERGENCY DEPARTMENT FOR EMERGENCY DEPARTMENT USE; RENOVATION AND EQUIPPING OF A NEW MUSCULOSKELETAL CENTER TO CONSOLIDATE NYUHC'S OUPTATIENT MUSCULOSKELETAL SERVICES; AND ROUTINE CAPITAL IMPROVEMENTS. FORM 990, SCHEDULE K, PART II, LINE 3 TOTAL PROCEEDS OF ISSUE THE TOTAL PROCEEDS DO NOT AGREE TO THE ISSUE PRICE IN PART I, COLUMN (E) DUE TO THE ADDITION OF INVESTMENT EARNINGS. DORMITORY AUTHORITY OF THE STATE OF NEW YORK 146000293 6499058G4 2011-01-25 130930047 SERIES 2011A/SEE SCHEDULE K, PART V 0 0 0 2425000 131029161 10313081 2043104 28366847 89416015 0 0 0 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 AMERICAN EXPRESS COMPANY TRUSTEE OF NYUHC AND CHAIRMAN & CEO OF AMERICAN EXPRESS COMPANY KENNETH I. CHENAULT, TRUSTEE, IS CHAIRMAN & CEO OF AMERICAN EXPRESS COMPANY. NYU HOSPITALS CENTER HAS A BUSINESS RELATIONSHIP WITH AMERICAN EXPRESS THAT INCLUDES AN EXTENSION OF CREDIT FROM AMERICAN EXPRESS TO NYU HOSPITALS CENTER FOR THE PURCHASE OF CERTAIN SUPPLIES AND SERVICES. AMERICAN EXPRESS RECEIVES A FEE FOR THE USE OF THE CREDIT EXTENDED TO NYU HOSPITALS CENTER. THE CONTRACT BETWEEN NYU HOSPITALS CENTER AND AMERICAN EXPRESS WAS NEGOTIATED ON AN ARM-LENGTH BASIS. 0 JP MORGAN CHASE COMPANY TRUSTEE OF NYUHC AND CHAIRMAN & CEO OF JP MORGAN CHASE & COMPANY JAMIE DIMON, TRUSTEE, IS CHAIRMAN & CHIEF EXECUTIVE OFFICER OF JP MORGAN CHASE & COMPANY. A PORTION OF NYU HOSPITALS CENTER'S ASSET PORTFOLIO IS INVESTED WITH AND MANAGED BY JP MORGAN CHASE & COMPANY. NYU HOSPITALS CENTER HAS A BUSINESS RELATIONSHIP WITH JP MORGAN CHASE & COMPANY THAT INCLUDES AN EXTENSION OF CREDIT FROM JP MORGAN CHASE & COMPANY TO NYU HOSPITALS CENTER FOR THE PURCHASE OF CERTAIN SUPPLIES AND SERVICES AND A LOAN AGREEMENT TO FUND THE HOSPITALS CENTER'S DEFINED BENEFIT PENSION PLAN. JP MORGAN CHASE & COMPANY RECEIVES QUARTERLY PRINCIPAL AND INTEREST PAYMENTS FOR THE LOAN AND FEE FOR THE USE OF THE CREDIT EXTENDED TO NYU HOSPITALS CENTER. THE CONTRACTS BETWEEN NYU HOSPITALS CENTER AND JP MORGAN CHASE & COMPANY WERE NEGOTIATED ON AN ARMS-LENGTH BASIS. 0 UNITEDHEALTH GROUP TRUSTEE OF NYUHC AND EXECUTIVE VICE PRESIDENT OF UNITEDHEALTH GROUP ANTHONY WELTERS, TRUSTEE, IS EXECUTIVE VICE PRESIDENT OF UNITEDHEALTH GROUP. NYU HOSPITALS CENTER CONTRACTED WITH UNITED HEALTHCARE, A DIVISION OF UNITEDHEALTH GROUP TO ADMINISTER ONE OF THE FIVE MEDICAL INSURANCE PLANS OFFERED BY NYU HOSPITALS CENTER TO ITS EMPLOYEES. UNITED HEALTHCARE RECEIVES A FEE FOR ADMINISTERING THE PLAN. THE CONTRACT BETWEEN NYU HOSPITALS CENTER AND UNITEDHEALTH GROUP WAS NEGOTIATED ON AN ARMS-LENGTH BASIS. 0 VAPORSTREAM INC TRUSTEE OF NYUHC AND CHAIRMAN OF VAPORSTREAM INC. WILLIAM R. BERKLEY, TRUSTEE, IS CHAIRMAN OF THE BOARD OF VAPORSTREAM INC. NYU HOSPITALS CENTER ("NYUHC") HAS A BUSINESS RELATIONSHIP WITH VAPORSTREAM, A PROVIDER OF ELECTRONIC MESSAGING SERVICES. THE CONTRACT BETWEEN NYUHC AND VAPORSTREAM WAS NEGOTIATED ON AN ARMS-LENGTH BASIS. VAPORSTREAM RECEIVES A FEE FOR THE SERVICES PROVIDED TO NYUHC. 0 X 8 11702379 MARKET VALUE 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 DESCRIPTION OF RELATIONSHIPS: LORI FINK, TRUSTEE, & LAURENCE D. FINK, CO-CHAIR, HAVE A FAMILY RELATIONSHIP. EDWARD H. MEYER AND SANDRA MEYER HAVE A FAMILY RELATIONSHIP. THOMAS S. MURPHY & THOMAS S. MURPHY JR., TRUSTEES, HAVE A FAMILY RELATIONSHIP. RONALD O. PERELMAN AND DEBRA PERELMAN, TRUSTEES, HAVE A FAMILY RELATIONSHIP. NORMA SMITH AND ROBIN L. SMITH, TRUSTEES, HAVE A FAMILY RELATIONSHIP. ALICE M. TISCH AND THOMAS J. TISCH, TRUSTEES, HAVE A FAMILY RELATIONSHIP. WILLIAM R. BERKLEY AND LARRY A. SILVERSTEIN HAVE A BUSINESS RELATIONSHIP. FRANK T. NICKELL AND LAURENCE D. FINK HAVE A BUSINESS RELATIONSHIP. LINDA ROBINSON AND LAURENCE D. FINK HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 6 DESCRIPTION OF CLASSES OF MEMBERS OR STOCKHOLDERS: THE SOLE MEMBER OF THE NYU HOSPITALS CENTER IS NEW YORK UNIVERSITY. FORM 990, PART VI, SECTION A, LINE 7A DESCRIPTION OF CLASSES OF PERSONS AND THE NATURE OF THEIR RIGHTS: WITH RESPECT TO THE ELECTION OF THE BOARD OF TRUSTEES OF NYU HOSPITALS CENTER, NEW YORK UNIVERSITY, AS THE SOLE MEMBER HAS THE POWER AND AUTHORITY: 1. TO ELECT THE TRUSTEES; 2. REMOVE A TRUSTEE; AND 3. FILL ANY VACANCIES IN THE BOARD. FORM 990, PART VI, SECTION A, LINE 7B DESCRIPTION OF CLASSES OF PERSONS, DECISIONS REQUIRING APPROVAL AND THE TYPE OF VOTING RIGHTS: WITH RESPECT TO THE DECISIONS OF THE BOARD OF TRUSTEES OF NYU HOSPITALS CENTER, NEW YORK UNIVERSITY AS THE SOLE MEMBER, HAS THE POWER AND AUTHORITY TO: 1. AMEND OR REPEAL THE BY-LAWS OR ADOPTING NEW BY-LAWS; 2. APPROVE THE CORPORATION'S MERGER OR CONSOLIDATION WITH ANOTHER ENTITY; 3. APPROVE THE SALE, LEASE, EXCHANGE OR OTHER DISPOSITION OF ALL, OR SUBSTANTIALLY ALL, THE ASSETS OF THE CORPORATION; 4. REVIEW THE VISION, MISSION AND STRATEGIC AND FINANCIAL PLANS OF THE CORPORATION; 5. APPROVE THE BOARD'S APPOINTMENT OF TRUSTEES TO SERVE AS MEMBERS OF THE OPERATING COMMITTEE; 6. REVIEW THE CORPORATION'S ANNUAL OPERATING AND CAPITAL BUDGETS, PROVIDED THAT FINAL APPROVAL OF THE BUDGETS SHALL REMAIN WITH THE CORPORATION; 7. APPROVE: (A) ANY TRANSACTION HAVING A VALUE IN EXCESS OF $25,000,000; (B) ANY TRANSACTION WHICH REQUIRES THE MEMBER'S GRANT OR PLEDGE OF SECURITY INTEREST IN ANY REALTY OR PERSONALTY CONSTITUTING A PART OF OR AFFIXED TO THE NYU MEDICAL CENTER CAMPUS WHICH THE MEMBER OWNS; OR (C) ANY BORROWING BY THE CORPORATION FOR WHICH THE MEMBER IS PROPOSED TO BE GUARANTOR, PROVIDED THAT WITH RESPECT TO ANY TRANSACTION OR BORROWING DESCRIBED IN THIS PARAGRAPH; 8. FINAL APPROVAL OF HOSPITAL DEBT NECESSARY TO FINANCE THE COST OF COMPLIANCE WITH OPERATIONAL OR PHYSICAL PLANT STANDARDS REQUIRED BY LAW, OR TO IMPLEMENT CERTIFICATE OF NEEDS APPLICATIONS, SHALL REMAIN WITH THE CORPORATION; AND 9. APPROVING THE CREATION AND/OR DISSOLUTION OF AN ENTITY IN WHICH THE CORPORATION IS PROPOSED TO BE, OR IS, THE CONTROLLING MEMBER. FORM 990, PART VI, SECTION B, LINE 11 DESCRIPTION OF THE PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW THE FORM 990: 1. THE FINANCE DEPARTMENT DRAFTS THE FORM 990 AND THE ACCOMPANYING SCHEDULES BASED ON THE FISCAL YEAR'S FINANCIAL ACTIVITY AND PRIOR YEAR REPORTING. 2. THE DRAFT IS PROVIDED TO THE ORGANIZATION'S EXTERNAL TAX ADVISOR FOR REVIEW. 3. THE DRAFT IS THEN REVIEWED BY THE CONTROLLER, VICE PRESIDENT OF FINANCE, AND CHIEF FINANCIAL OFFICER FOR COMPLETENESS AND ACCURACY. THIS IS AN ITERATIVE PROCESS WHICH MAY INVOLVE MORE THAN ONE REVIEW BY THE ORGANIZATION'S EXTERNAL TAX ADVISOR. 4. THE REVIEWED DRAFT IS PRESENTED TO THE BOARD OF TRUSTEES' AUDIT COMMITTEE, AS WELL AS CERTAIN OTHER OFFICERS FOR REVIEW. 5. ONCE APPROVED BY THE AUDIT COMMITTEE, THE FORM 990 IS MADE AVAILABLE TO THE FULL BOARD AND THEN IT IS FORWARDED TO THE IRS. FORM 990, PART VI, SECTION B, LINE 12C DESCRIPTION OF THE PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST: ALL TRUSTEES, EMPLOYEES OF THE CORPORATION, AND MEMBERS OF THE MEDICAL STAFF (VOLUNTARY AND FULL-TIME) MUST ACT SOLELY IN THE INTEREST OF THE CORPORATION WITHOUT REGARD TO PERSONAL INTERESTS. IN ACCORDANCE WITH THE CONFLICT OF INTEREST POLICY ADOPTED BY THE BOARD OF TRUSTEES AND IN EFFECT FROM TIME TO TIME, TRUSTEES AND MANAGERIAL LEVEL EMPLOYEES ARE REQUIRED TO DISCLOSE BI-ANNUALLY IN WRITING ANY KNOWN FINANCIAL INTEREST THAT THE INDIVIDUAL, OR MEMBERS OF THE INDIVIDUAL'S FAMILY, HAS IN ANY BUSINESS ENTITY THAT TRANSACTS WITH THE CORPORATION. THE BOARD OF TRUSTEES SHALL REGULARLY EVALUATE THE CONFLICT OF INTEREST POLICY AND ADOPT SUCH OTHER POLICIES AND PROCEDURES AS MAY BE NECESSARY OR APPROPRIATE WITH RESPECT TO DETERMINING WHETHER A RELATIONSHIP, FINANCIAL INTEREST OR BUSINESS AFFILIATION RESULTS IN A CONFLICT OF INTEREST, PRESCRIBING THE COURSES OF ACTION TO BE TAKEN IN THE EVENT A CONFLICT OF INTEREST IS IDENTIFIED AND PROMOTING COMPLIANCE WITH ETHICAL STANDARDS OF BEHAVIOR AND APPLICABLE LAWS AND REGULATIONS. FORM 990, PART VI, SECTION B, LINE 15 AND 15B: OFFICES AND POSITIONS FOR WHICH PROCESS WAS USED AND YEAR PROCESS WAS BEGUN: THE EXECUTIVE COMPENSATION PROCESS AT NYU HOSPITALS CENTER ("NYUHC") IS ADMINISTERED BY A COMMITTEE OF TRUSTEES THAT DID NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS AT ISSUE. THE COMMITTEE FOLLOWS A BOARD APPROVED CHARTER WHICH EMPOWERS THEM TO ADMINISTER THE EXECUTIVE COMPENSATION PROGRAM AND PROCESS ON BEHALF OF THE FULL BOARD OF TRUSTEES OF NYUHC. IN CARRYING OUT ITS RESPONSIBILITIES, THE COMMITTEE WILL: (1) ENSURE THE ADOPTION OF AND MONITOR THE ADHERENCE TO POLICIES AND PROCEDURES FOR DETERMINING AND DOCUMENTING REASONABLE EMPLOYEE COMPENSATION; (2) ENSURE THE MAINTENANCE OF DOCUMENTATION CONFIRMING THAT ALL EMPLOYEE COMPENSATION IS REASONABLE IN NATURE, APPROVED IN ACCORDANCE WITH APPROVED POLICY, IS THE VALUE THAT WOULD ORDINARILY BE PAID FOR LIKE SERVICES BY A LIKE ENTERPRISE UNDER LIKE CIRCUMSTANCES AND GIVEN THE REQUIRED TAX TREATMENT; AND (3) MONITOR EMPLOYEE BENEFIT RETIREMENT PLANS THAT INVOLVE THE ESTABLISHMENT AND MANAGEMENT OF DESIGNATED FUNDS (EXCEPT INVESTMENT MANAGEMENT) FOR THE BENEFIT OF EMPLOYEES GENERALLY OR SPECIFIED GROUPS OF EMPLOYEES. IN REVIEWING AND APPROVING THE COMPENSATION OF HIGHLY COMPENSATED INDIVIDUALS AND OF INDIVIDUALS WHO ARE IN A POSITION TO INFLUENCE THE AFFAIRS OF NYUHC, THE COMMITTEE MAY RELY UPON APPROPRIATE DATA AS TO COMPARABILITY AND SHALL ADEQUATELY AND TIMELY DOCUMENT THE BASIS FOR ITS DETERMINATION CONCURRENTLY WITH MAKING THAT DETERMINATION. THE DOCUMENTATION SHALL INCLUDE THE TERMS OF THE TRANSACTIONS AND THE DATE OF ITS APPROVAL, THE MEMBERS OF THE COMPENSATION AND BENEFITS COMMITTEE PRESENT DURING THE DEBATE AND VOTE ON THE TRANSACTION, THE COMPARABILITY DATA OBTAINED AND RELIED UPON, THE ACTS OF ANY MEMBERS OF THE COMMITTEE HAVING A CONFLICT OF INTEREST AND DOCUMENTATION OF THE BASIS FOR THE DETERMINATION. THE COMMITTEE REVIEW TAKES PLACE ON THE FOLLOWING SCHEDULE: (1) ANNUALLY FOR ALL VICE PRESIDENT, VICE DEANS, CHAIRS AND ABOVE, I.E., KEY EXECUTIVES; (2) AT HIRE AND FOR ADJUSTMENT OF COMPENSATION FOR KEY EXECUTIVES AND COVERED INDIVIDUALS; (3) EVERY 3 YEARS A GLOBAL REVIEW ALL FACULTY SALARIES WILL BE PERFORMED AND SALARIES RELATED TO CHANGES IN RESPONSIBILITIES OR NEW HIRES WILL BE DONE ON A RETROACTIVE REVIEW BASIS. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS TO THE GENERAL PUBLIC: THE ORGANIZATION'S CONFLICT OF INTEREST POLICY IS AVAILABLE ON ITS WEBSITE AT: HTTP://WWW.MED.NYU.EDU/COMPLIANCE/POLICIES/INDEX.HTML. THE ORGANIZATION'S GOVERNING DOCUMENTS ARE NOT MADE PUBLICLY AVAILABLE. THE ORGANIZATION'S FINANCIAL STATEMENT IS MADE AVAILABLE TO THE PUBLIC AS PART OF ITS ANNUAL FILING WITH THE NYS ATTORNEY GENERAL'S OFFICE AND IS AVAILABLE THROUGH THEIR WEBSITE. ESTIMATED AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATION FORM 990, PART VII NAME/TITLE/HOURS MICHAEL C. ALFANO, DMD, PHD / EX-OFFICIO / 60.0 ROBERT BERNE, PHD / EX-OFFICIO / 60.0 BONNIE BRIER / EX-OFFICIO / 60.0 ROBERT I. GROSSMAN, MD / DEAN & CEO / 30.0 DAVID W. MCLAUGHLIN / EX-OFFICIO / 60.0 JOHN E. SEXTON / EX-OFFICIO / 60.0 STEVEN B. ABRAMSON, MD / SVP/VICE DEAN FOR EDUCATION / 41.4 ANDREW W. BROTMAN, MD / SVP/VICE DEAN, CHIEF CLINICAL OFFICER / 30.0 VIVIAN S. LEE, MD, PHD, MBA / SVP/VICE DEAN, CHIEF SCIENTIFIC OFFICER (FORMER) / 30.0 DAFNA BAR-SAGI, PHD / SVP/VICE DEAN SCIENCE, CHIEF SCIENTIFIC OFFICER / 30.0 VICKI MATCH SUNA, AIA / SVP/VICE DEAN FOR REAL ESTATE DEVELOP. AND FACIL. / 30.0 MICHAEL T. BURKE / SVP/VICE DEAN, CORPORATE CHIEF FINANCIAL OFFICER / 30.0 ANNETTE JOHNSON, JD / SVP/VICE DEAN, GENERAL COUNSEL / 9.0 PAUL CONOCENTI, MBA / SVP/VICE DEAN, CHIEF INFORMATION OFFICER (FORMER) / 30.0 NADER MHERABI / SVP/VICE DEAN, CHIEF INFORMATION OFFICER (INTERIM) / 30.0 NANCY SANCHEZ / SVP/VICE DEAN, HUMAN RESOURCES / 30.0 ANTHONY SHORRIS / SVP/VICE DEAN AND CHIEF OF STAFF / 30.0 DEBRA BERGER / VP, FACILITIES / 30.0 RICHARD COHEN / VP, FACILITIES / 30.0 RICHARD DONOGHUE / SVP, STRATEGIC PLANNING & BUSINESS DEVELOPMENT / 8.0 SHEILA EISENBERG / ASSISTANT SECRETARY / 30.0 THOMAS M. FEUERSTEIN / VP, FINANCE / 30.0 REGINALD A. ODOM / VP, HUMAN RESOURCES / 30.0 WESLEY SMITH / VP, PATIENT FINANCIAL SERVICES / 9.0 GILDA VENTRESCA-ECROYD / VP, GOVERNMENTAL AFFAIRS / 30.0 ROBERT GLICKMAN, MD / FORMER DEAN& CEO / 35.0 ANDREW W. LITT, MD / FORMER EVP, VICE DEAN AND CHIEF OF STAFF / 0.0 CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 5,879,219. CHANGES IN PENSION & POSTRETIREMENT OBLIGATIONS 15,014,748. TRANSFER OF EQUITY -3,925,243. TOTAL TO FORM 990, PART XI, LINE 5: 16,968,724. NEW YORK UNIVERSITY 726 BROADWAY NEW YORK NY 10003 135562308 UNIVERSITY NY 501(C)(3) LINE 2 N/A 0 34TH STREET CANCER CENTER INC C/O NYUHC 550 FIRST AVENUE NEW YORK NY 10016 300262470 CANCER CARE NY 501(C)(3) LINE 11C, III-FI NYU HOSPITALS CENTER 1 COURANT INSTITUTE FOUNDATION 251 MERCER STREET NEW YORK NY 10012 237277792 SUPP CIMS NY 501(C)(3) PF NEW YORK UNIVERSITY 1 HAROLD ACTON TRUST 726 BROADWAY 9TH FLOOR NEW YORK NY 10003 137050560 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 HORTENSE ACTON TRUST 70 WASHINGTON SQ S NEW YORK NY 10013 367110976 SUPPORT OF NYU'S CAMPUS IN FLORENCE, ITALY NY 501(C)(3) PF NEW YORK UNIVERSITY 1 INSTITUTE OF FINE ARTS FOUNDATION 1 EAST 78TH STREET NEW YORK NY 10021 237184242 SUPP NYU'S INSTITUTE OF FINE ARTS NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 INSTITUTE OF JUDICIAL ADMIN INC 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 135613508 SUPP NYU NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NATIONAL CENTER ON PHILANTHROPY AND THE LAW 110 WEST 3RD ST 2ND FL NEW YORK NY 10012 133954405 STUDY,RESEARCH, EDUCATION ON PHILANTHROPY & THE LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY IN ABU DHABI CORP 70 WASHINGTON SQ S NEW YORK NY 10013 262652713 SUPPORT NYU COLLEGE IN ABU DHABI NY 501(C)(3) LINE 2 NEW YORK UNIVERSITY 1 NEW YORK UNIV SCHOOL OF BUSINESS FDN 44 WEST 4TH ST STE 11-160 NEW YORK NY 10012 134168015 SUPPORTS NYU'S L.N. STERN SCHOOL OF BUSINESS NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU IMAGING INC 545 FIRST AVENUE NEW YORK NY 10016 134000622 SUPPORT NYU SCHOOL OF MEDICINE NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU MEDICAL CENTER FOUNDATION 550 FIRST AVENUE NEW YORK NY 10016 237268635 SUPP RESRCH NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU REAL ESTATE CORPORATION 70 WASHINGTON SQ S 11TH NEW YORK NY 10013 134141728 OWNS REAL PROPERTY NY 501(C)(25) NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW FOUNDATION 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 136161036 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NYU SCHOOL OF LAW HOUSING ASSISTANCE CO 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134043221 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RECRUITMENT ASSIST CO 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134043182 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 NYU SCHOOL OF LAW RETENTION ASSIST CORP 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 134047911 SUPPORT NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NYU'S SCHOOL OF LAW FOUNDATION 1 POLYTECHNIC INSTITUTE OF NEW YORK UNIVERSITY 6 METROTECH CENTER BROOKLYN NY 11201 111630820 ENGINEERING COLLEGE NY 501(C)(3) LINE 2 NEW YORK UNIVERSITY 1 WASHINGTON SQUARE LEGAL SERVICES INC 161 AVE OF THE AMERICAS 504 NEW YORK NY 10013 237392120 CERTAIN PUBLIC INTEREST ACTIVITIES OF NYU'S SCHOOL OF LAW NY 501(C)(3) LINE 11A, I NEW YORK UNIVERSITY 1 NEW YORK UNIVERSITY SCHOOL OF MEDICINE VEBA TRUST 550 FIRST AVENUE NEW YORK NY 10016 371592643 POSTRETIREMENT HEALTH CARE BENEFITS NY 501(C)(9) NEW YORK UNIVERSITY 1 JURODIN FUND PO BOX 6089 NEWARK DE 197146089 136169166 SILVER FUNDS DE 501(C)(3) PF NEW YORK UNIVERSITY 1 CCC 550 INSURANCE SCC 550 FIRST AVENUE NEW YORK NY 10016 PROF LIAB COVERAGE BB NYU HOSPITALS CENTER C 530376 305998911 1.00000 INTERNATIONAL ART FUND C/O NYU 726 BROADWAY NEW YORK NY 10003 HOLDS STOCK IN LA PIETRA CORP. PM N/A C LA PIETRA CORPORATION VIA BOLOGNESE 120 FLORENCE IT 50139 HOLDS PROPERTY COMPRISING NYU'S FLORENCE CAMPUS IT N/A C NYU IN FRANCE 56 RUE DE PASSY PARIS FR 75016 SUPPORT NYU'S PROGRAM IN FRANCE FR N/A C NIU DA ED INFOR CONSULTING CO LTD 3663 ZHONGSHAN RD N SHANGHAI CH 200062 SUPPORT NYU'S PROGRAM IN CHINA CH N/A C NYU IN LONDON 6 BEDFORD SQUARE LONDON UK WC1B 3RA SUPPORT NYU'S PROGRAM IN LONDON UK N/A C NYU IN TEL-AVIV LTD TUVAL 13 TEL AVIV IS 52522 SUPPORT NYU'S PROGRAM IN TEL-AVIV IS N/A C NYU TISCH INSTITUTE (LONDON) LTD SENATE HOUSE SOUTH BLOCK ROOM 26 LONDON UK WC1E 7HU SUPPORT NYU'S TSOA'S PROGRAM IN LONDON UK N/A C NYU TISCH SCH OF ARTS ASIA LTD 3 KAY SIANG ROAD SN 248923 SUPPORT NYU'S TSOA'S PROGRAM IN SINGAPORE SN N/A C 0 1 1 0 0 0 0 0 1 1 1 1 0 1 1 0 1 1 CCC550 INSURANCE SCC L 28389941 FAIR MARKET VALUE 34TH STREET CANCER CENTER B 6500000 FAIR MARKET VALUE