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ObjectId: 201511349349306901 - Submission: 2015-05-14
TIN: 52-1465301
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" to Form 990, Part IV, line 23.
Attach to Form 990.
See separate instructions.
Information about Schedule J (Form 990) and its instructions is at
www.irs.gov/form990
.
OMB No. 1545-0047
20
13
Open to Public Inspection
Name of the organization
JOHNS HOPKINS HEALTH SYSTEM CORPORATION
Employer identification number
52-1465301
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain
1b
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a?
..
2
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment?
................
4a
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan?
.........
4b
Yes
c
Participate in, or receive payment from, an equity-based compensation arrangement?
.........
4c
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization?
...........................
5a
No
b
Any related organization?
5b
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization?
6a
No
b
Any related organization?
6b
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
Yes
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III
.............................
8
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
.........................
9
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013
Page 2
Schedule J (Form 990) 2013
Page
2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees.
Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note.
The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A)
Name and Title
(B)
Breakdown of W-2 and/or 1099-MISC compensation
(C)
Retirement and other deferred compensation
(D)
Nontaxable
benefits
(E)
Total of columns
(B)(i)-(D)
(F)
Compensation
reported as deferred
in prior Form 990
(i)
Base compensation
(ii)
Bonus & incentive compensation
(iii)
Other reportable compensation
1
RONALD R PETERSON
PRESIDENT
(i)
(ii)
1,296,286
0
504,543
0
179,997
0
1,394,743
0
23,954
0
3,399,523
0
0
0
2
JOHN M COLMERS
VP HEALTH CARE TRANSFORMAT
(i)
(ii)
348,126
0
104,175
0
20,014
0
115,484
0
21,944
0
609,743
0
0
0
3
BRIAN A GRAGNOLATI
SR VP COMMUNITY DIVISION
(i)
(ii)
720,501
0
229,526
0
464,391
0
27,555
0
27,622
0
1,469,595
0
0
0
4
KENNETH GRANT
VP SUPPLY CHAIN
(i)
(ii)
314,154
0
60,962
0
78,359
0
142,292
0
26,368
0
622,135
0
54,835
0
5
DALAL J HALDEMAN PHD
VP MARKETING & COMMUNICATI
(i)
(ii)
311,061
0
81,238
0
69,537
0
55,391
0
20,803
0
538,030
0
0
0
6
SALLY W MACCONNELL
VICE PRESIDENT FACILITIES
(i)
(ii)
371,388
0
91,043
0
208,086
0
300,822
0
15,276
0
986,615
0
0
0
7
PAMELA D PAULK
SR VP HUMAN RESOURCES
(i)
(ii)
461,125
0
136,907
0
150,113
0
216,953
0
11,453
0
976,551
0
0
0
8
JOANNE E POLLAK
SR VP, HIPPA & INTERNAL AUDIT
(i)
(ii)
613,598
0
203,629
0
298,961
0
443,983
0
28,989
0
1,589,160
0
0
0
9
JUDY A REITZ
VP/OPERATIONS INTEGR
(i)
(ii)
604,510
0
159,623
0
445,574
0
623,848
0
23,554
0
1,857,109
0
0
0
10
G DANIEL SHEALER JR
VP/GENERAL COUNSEL & CORP
(i)
(ii)
472,555
0
117,318
0
235,453
0
243,945
0
12,580
0
1,081,851
0
0
0
11
RONALD J WERTHMAN
SENIOR VP/FINANCE & TREAS.
(i)
(ii)
619,578
0
179,690
0
346,314
0
352,306
0
25,733
0
1,523,621
0
0
0
12
SAMUEL H CLARK JR
ASSISTANT SECRETARY
(i)
(ii)
243,264
0
61,703
0
82,667
0
88,498
0
20,842
0
496,974
0
0
0
13
STUART ERDMAN
ASSISTANT TREASURER
(i)
(ii)
301,904
0
76,943
0
133,732
0
144,509
0
21,819
0
678,907
0
108,519
0
14
MARTIN BASSO
VP FINANCE COMMUNITY DIVISION
(i)
(ii)
298,540
0
436,288
0
76,625
0
29,114
0
21,946
0
862,513
0
0
0
15
KEITH HILL
VP CORPORATE SECURITY
(i)
(ii)
176,672
0
23,599
0
7,108
0
27,261
0
1,020
0
235,660
0
0
0
16
CHRISTOPHER TIMBERS
VP FOR IT, COMMUNITY DIVISION
(i)
(ii)
196,823
0
31,525
0
28,533
0
60,442
0
23,541
0
340,864
0
0
0
17
PETER MANCINO
ASSISTANT TREASURER
(i)
(ii)
238,941
0
44,537
0
754
0
29,002
0
19,766
0
333,000
0
0
0
18
ROBERT NEALL
EXECUTIVE
(i)
(ii)
280,257
0
77,940
0
253,193
0
129,884
0
6,357
0
747,631
0
0
0
19
PATRICIA MC BROWN
EXECUTIVE
(i)
(ii)
446,770
0
161,397
0
139,326
0
169,202
0
13,675
0
930,370
0
0
0
20
MARY COOKE
EXECUTIVE
(i)
(ii)
241,113
0
58,164
0
75,624
0
86,064
0
9,133
0
470,098
0
0
0
21
MICHAEL LARSON
CONTROLLER
(i)
(ii)
310,289
0
74,520
0
113,545
0
104,797
0
24,395
0
627,546
0
0
0
22
STEVEN THOMPSON
EXECUTIVE
(i)
(ii)
537,042
0
161,389
0
16,734
0
245,473
0
23,342
0
983,980
0
0
0
23
STEVEN KRAVET
EXECUTIVE
(i)
(ii)
428,378
0
103,499
0
88,723
0
22,374
0
22,930
0
665,904
0
0
0
24
LINDA KLINE
EXECUTIVE
(i)
(ii)
258,021
0
35,315
0
22,442
0
66,533
0
24,008
0
406,319
0
0
0
25
LINDA GILLIGAN
EXECUTIVE
(i)
(ii)
270,829
0
75,283
0
36,576
0
133,160
0
24,468
0
540,316
0
0
0
26
ANNETTE FRIES
SR. COUNSEL REG & CORP
(i)
(ii)
187,339
0
32,156
0
43,548
0
74,428
0
20,771
0
358,242
0
0
0
27
JACQUELINE SCHULTZ
EXECUTIVE
(i)
(ii)
309,603
0
90,416
0
381,573
0
113,867
0
9,898
0
905,357
0
0
0
28
GENE GREEN
EXECUTIVE
(i)
(ii)
377,115
0
68,765
0
39,592
0
84,817
0
22,232
0
592,521
0
0
0
29
LOUIS KOKKINAKOS
EMH PHYSICIAN
(i)
(ii)
221,694
0
123,361
0
7,951
0
36,673
0
22,179
0
411,858
0
0
0
30
ROBERT ROTHSTEIN
EXECUTIVE
(i)
(ii)
317,091
0
60,339
0
43,255
0
156,102
0
22,359
0
599,146
0
0
0
31
DENNIS PARNELL
EXECUTIVE
(i)
(ii)
241,565
0
39,413
0
349,807
0
43,699
0
20,770
0
695,254
0
0
0
32
RICHARD O DAVIS PHD
FORMER OFFICER
(i)
(ii)
452,662
0
189,169
0
271,261
0
235,648
0
20,510
0
1,169,250
0
141,119
0
33
DANIEL SMITH
FORMER KEY EMPLOYEE
(i)
(ii)
330,968
0
110,620
0
104,674
0
137,876
0
28,994
0
713,132
0
0
0
34
REBECCA ZUCCARELLI
FORMER KEY EMPLOYEE
(i)
(ii)
225,159
0
32,757
0
10,790
0
50,593
0
21,164
0
340,463
0
3,764
0
35
MARY MYERS
FORMER KEY EMPLOYEE
(i)
(ii)
189,078
0
54,249
0
21,649
0
92,701
0
22,693
0
380,370
0
0
0
36
HOWARD REEL
FORMER KEY EMPLOYEE
(i)
(ii)
245,801
0
36,310
0
17,786
0
78,803
0
26,293
0
404,993
0
0
0
37
MICHAEL IATI
FORMER KEY EMPLOYEE
(i)
(ii)
192,643
0
28,190
0
1,014
0
96,382
0
21,742
0
339,971
0
0
0
Schedule J (Form 990) 2013
Page 3
Schedule J (Form 990) 2013
Page
3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Return Reference
Explanation
PART I, LINE 4B
MAKE WHOLE PLAN & SERP I PLAN: THE MAKE WHOLE AND SERP I PLANS ARE FROZEN, NON-TAX QUALIFIED DEFINED BENEFIT PLANS. PARTICIPATION IN THE PLANS IS LIMITED TO THE EXISTING PLAN PARTICIPANTS. THE BENEFITS UNDER THE PLANS ARE BASED UPON THE PARTICIPANT'S LENGTH OF SERVICE AND COMPENSATION. THE MAKE WHOLE PLAN WAS DESIGNED TO REPLACE THE BENEFITS THE PARTICIPANTS LOST DUE TO THE COMPENSATION LIMITS IMPOSED BY LAW UPON OUR QUALIFIED DEFINED BENEFIT PLAN. IN THE MANNER REQUIRED BY APPLICABLE IRS RULES, THE DESIGN OF EACH OF THESE ARRANGEMENTS WAS APPROVED AS REASONABLE, IN ADVANCE, BY AN INDEPENDENT COMPENSATION COMMITTEE, WHICH BASED ITS DECISION ON DATA PROVIDED BY AN INDEPENDENT COMPENSATION CONSULTANT. PARTICIPANTS' INTERESTS UNDER THESE ARRANGEMENTS ARE NOT GUARANTEED OR SECURED AT ANY WAY AND AT ALL TIMES ARE SUBJECT TO CLAIMS OF EMPLOYER'S BANKRUPTCY/INSOLVENCY CREDITORS. FURTHERMORE, IF A PARTICIPANT VOLUNTARILY TERMINATES EMPLOYMENT OR IS TERMINATED BY THE EMPLOYER FOR CAUSE PRIOR TO THE APPLICABLE VESTING DATE UNDER THE MAKE WHOLE PLAN, THE PARTICIPANT'S ENTIRE MAKE WHOLE PLAN BENEFIT IS FORFEITED. IF A PARTICIPANT TERMINATES EMPLOYMENT FOR ANY REASON PRIOR TO THE APPLICABLE VESTING DATE UNDER THE SERP I, THE PARTICIPANT'S ENTIRE SERP I BENEFIT IS FORFEITED. IN ADDITION, UNDER CURRENT LAW, INTERESTS UNDER THESE ARRANGEMENTS ARE REPORTABLE AS TAXABLE COMPENSATION WHEN THEY BECOME VESTED, EVEN IF THOSE AMOUNTS ARE NOT YET PAYABLE TO THE PARTICIPANT (AND EVEN IF THOSE AMOUNTS ARE NEVER PAID TO THE PARTICIPANT). NO ROLLOVER OR OTHER TAX-DEFERRAL OPTIONS ARE AVAILABLE TO PARTICIPANTS. NOTE THAT ANY MAKE WHOLE PLAN OR SERP I VESTED AMOUNT OR PAYMENT BEING REPORTED AS COMPENSATION WAS ALSO REPORTED IN PREVIOUS YEAR(S) WHEN THAT INTEREST ACCRUED UNDER THE PLAN. SERP II PLAN & SRP PLAN: THE SERP II AND SRP PLANS ARE ACTIVE; NON-TAX QUALIFIED DEFINED CONTRIBUTION TARGET BENEFIT PLANS. THE PLANS ARE DESIGNED TO ACHIEVE A REASONABLE TARGETED RETIREMENT BENEFIT LEVEL FOR EACH PARTICIPANT (IN COMBINATION WITH THE OTHER RETIREMENT PROGRAMS OF THE EMPLOYER) BASED UPON CERTAIN CRITERIA, SUCH AS EACH PARTICIPANT'S LENGTH OF SERVICE AND COMPENSATION. IN THE MANNER REQUIRED BY APPLICABLE IRS RULES, THE DESIGN OF EACH OF THESE ARRANGEMENTS WAS APPROVED AS REASONABLE, IN ADVANCE, BY AN INDEPENDENT COMPENSATION COMMITTEE, WHICH BASED ITS DECISION ON DATA PROVIDED BY AN INDEPENDENT COMPENSATION CONSULTANT. PARTICIPANTS' INTERESTS UNDER THESE ARRANGEMENTS ARE NOT GUARANTEED OR SECURED AT ANY WAY AND AT ALL TIMES ARE SUBJECT TO CLAIMS OF EMPLOYER'S BANKRUPTCY/INSOLVENCY CREDITORS. IF A PARTICIPANT VOLUNTARILY TERMINATES EMPLOYMENT OR IS TERMINATED BY THE EMPLOYER FOR CAUSE PRIOR TO THE APPLICABLE VESTING DATE UNDER EACH ARRANGEMENT, THE PARTICIPANT'S ACCOUNT IS FORFEITED. IN ADDITION, UNDER CURRENT LAW, INTERESTS UNDER THESE ARRANGEMENTS ARE REPORTABLE AS TAXABLE COMPENSATION WHEN THEY BECOME VESTED, EVEN IF THOSE AMOUNTS ARE NOT YET PAYABLE TO THE PARTICIPANT (AND EVEN IF THOSE AMOUNTS ARE NEVER PAID TO THE PARTICIPANT). NO ROLLOVER OR OTHER TAX-DEFERRAL OPTIONS ARE AVAILABLE TO PARTICIPANTS. NOTE THAT ANY SERP II OR SRP PLAN VESTED AMOUNT OR PAYMENT BEING REPORTED AS COMPENSATION WAS ALSO REPORTED IN PREVIOUS YEAR(S) WHEN THAT INTEREST ACCRUED UNDER THE PLAN. THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII, SECTION A, LINE 1A PARTICIPATED IN A NONQUALIFIED RETIREMENT PLAN AND RECEIVED ACCRUED DEFERRED COMPENSATION THAT IS REPORTED ON SCHEDULE J, PART II, COLUMN (C): STUART ERDMAN $92,930.73; RONALD R. PETERSON $1,349,219.00; RICHARD DAVIS $175,764.08; KENNETH GRANT $48,200.85; SALLY MACCONNELL $193,261.80; PAMELA PAULK $150,862.45; JOANNE POLLAK $310,162.79; JUDY REITZ $499,577.78; G. DANIEL SHEALER JR. $175,994.30; RONALD WERTHMAN $265,488.46; JOHN COLMERS $77,748.00; ROBERT NEALL $78,136.45; PATRICIA BROWN $111,855.76; DANIEL SMITH $43,772.43; MICHAEL LARSON $35,444.06; STEVE THOMPSON $218,210.00; LINDA GILLIGAN $63,509.00 JACKIE SCHULTZ $72,573; GENE GREEN $43,846.00; ROBERT ROTHSTEIN $112,403.00 AND KEITH HILL $15,200.00. THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII, SECTION A, LINE 1A PARTICIPATED IN A NON QUALIFIED RETIREMENT PLAN AND RECEIVED PAYMENT FROM THE PLAN, IT IS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(III) AS WELL AS SCHEDULE J, PART II, COLUMN (F) IF THEY WERE REQUIRED TO BE DISCLOSED ON PRIOR YEARS FORMS 990: ROBERT NEALL $223,885.17; KENNETH GRANT $54,835.27; MICHAEL LARSON $51,699.82; STUART ERDMAN $108,519.49; RICHARD O. DAVIS $177,680.58; PATRICIA M.C. BROWN $107,728.01; SALLY W. MACCONNELL $159,810.48; PAMELA D. PAULK $115,924.19; JOANNE E. POLLAK $240,163.24; JUDY A. REITZ $380,279.74; G.DANIEL SHEALER JR. $216,417.76; RONALD J. WERTHMAN $295,398.56; MARY COOKE $29,240.00; DANIEL SMITH $51,997.12; LINDA KLINE $15,078.00; DALAL HALDEMAN $48,684.00; SAMUEL CLARK $63,656.00; BRIAN GRAGNOLATI $411,462.00; HOWARD REEL $862.00; STEVEN KRAVET $66,992.00; REBECCA ZUCCARELLI $6,276.00; MARTY BASSO $372,636.37; JACKIE SCHULTZ $295,351.14; AND DENNIS PARNELL $332,431.83.
PART I, LINE 7
BONUSES: THE BONUSES ARE ISSUED ON A WEIGHTED FORMULA BASED ON THE ATTAINMENT OF QUANTIFIABLE ORGANIZATION OBJECTIVES SET BY THE TRUSTEE COMPENSATION COMMITTEE EACH YEAR. THEY ARE REVIEWED BY MANAGEMENT THAT USES DISCRETION TO DETERMINE PAYMENT. DEPENDENT TUITION REIMBURSEMENT: THE DEPENDENT TUITION REIMBURSEMENT PROGRAM REIMBURSES EMPLOYEES FOR 50% LESS TAXES OF EACH DEPENDENT CHILD'S FULL TIME UNDERGRADUATE TUITION AND MANDATORY ACADEMNIC FEES, UP TO A MAXIMUM OF 50% OF THE JOHNS HOPKINS UNIVERSITY'S FRESHMAN UNDERGRADUATE TUITION FOR EACH ELIGIBLE DEPENDENT. EMPLOYEES WHO HAVE A MINIMUM OF TWO YEARS OF CONTINUOUS SERVICE ARE ELIGIBLE. THE DEPENDENT MUST BE ENROLLED FULL TIME AT AN APPROVED, ACCREDITED COLLEGE OR UNIVERSITY AND IN GOOD ACADEMIC STANDING. PAYMENT IS LIMITED TO FOUR YEARS OF FULL TIME, UNDERGRADUATE STUDY PER DEPENDENT CHILD. TUITION REIMBURSEMENT: TUITION REIMBURSEMENT IS AVAILABLE TO EMPLOYEES THAT WORK 20 HOURS OR MORE A WEEK FOR UP TO A MAXIMUM BENEFIT OF $10,000 PER ACADEMIC YEAR. TO RECEIVE REIMBURSEMENT, ELIGIBLE EMPLOYEES MUST PURSUE A COURSE OF STUDY AT AN ACCREDITED UNIVERSITY OR COLLEGE THAT LEADS TO A LICENSURE, DEGREE, OR MEETS THE NECESSITY RELATED TO CURRENT POSITION OR ANOTHER POSITION WITHIN THE ORGANIZATION.
SCHEDULE J, PART II, COLUMN F
THE AMOUNT REPORTED IN COLUMN F REPRESENTS THE AMOUNT OF A PAYMENT REPORTED IN COLUMN B THAT WAS ALREADY REPORTED ON PRIOR 990S AS DEFERRED COMPENSATION. THE AMOUNT REPORTED COULD BE DIFFERENT THAN THE TOTAL AMOUNT PREVIOUSLY REPORTED ON PRIOR YEAR 990S BECAUSE PARTICIPANTS HAVE ACCRUED BENEFITS UNDER OUR DEFERRED COMPENSATION PLAN FOR MANY YEARS AND SOME PLANS ORIGINATED IN THE 1980S. THEREFORE IT IS DIFFICULT TO IDENTIFY THE ENTIRE PREVIOUSLY REPORTED AMOUNT FOR THIS EXTENDED PERIOD OF TIME. PRIOR YEAR RETURNS AND WORK PAPERS WERE USED TO DETERMINE OUR BEST ESTIMATE OF THE PREVIOUSLY REPORTED AMOUNTS AND PLACED IN COLUMN F. THE AMOUNT IN COLUMN F MAY ALSO BE DIFFERENT THAN THE AMOUNT REPORTED IN COLUMN B (III) DUE TO GAINS/LOSSES THAT HAVE ACCRUED OVER THE YEARS, AND SOME INDIVIDUALS WERE NOT REQUIRED TO BE REPORTED IN ALL PRIOR YEARS. SINCE THIS IS A NEW REQUIREMENT OF THE IRS, GOING FORWARD WE HAVE ADOPTED A SPREADSHEET THAT WILL TRACK THE DEFERRED COMPENSATION REPORTED ON THE 990 BY EACH YEAR TO REMAIN IN COMPLIANCE WITH SCHEDULE J, PART II, COLUMN F.
Schedule J (Form 990) 2013
Additional Data
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