TY 2017 Form 990 Schedule J

(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 in column (B) reported as deferred on prior Form 990
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable compensation	(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)
1JOHN F ALOIA DIRECTOR/CHIEF ACADEMIC OFFICE	(i) (ii)	893,997 ------------- 0	25,000 ------------- 0	32,400 ------------- 0	26,952 ------------- 0	16,802 ------------- 0	995,151 ------------- 0	0 ------------- 0
2JOHN F COLLINS PRESIDENT/CEO	(i) (ii)	1,014,592 ------------- 0	630,200 ------------- 0	4,788,309 ------------- 0	183,050 ------------- 0	17,137 ------------- 0	6,633,288 ------------- 0	0 ------------- 0
3PALMIRA M CATALIOTTI SR. VP/CFO / TREASURER	(i) (ii)	609,481 ------------- 0	294,750 ------------- 0	26,753 ------------- 0	126,623 ------------- 0	26,038 ------------- 0	1,083,645 ------------- 0	0 ------------- 0
4STACEY PFEFFER SR. VP-HR & ORG DVELOPMENT	(i) (ii)	318,506 ------------- 0	117,500 ------------- 0	45,449 ------------- 0	93,131 ------------- 0	27,128 ------------- 0	601,714 ------------- 0	0 ------------- 0
5ALFRED GLOVER CHIEF OPERATING OFFICER	(i) (ii)	498,322 ------------- 0	176,000 ------------- 0	51,754 ------------- 0	13,500 ------------- 0	25,750 ------------- 0	765,326 ------------- 0	0 ------------- 0
6DAVID HALPERN MD DIRECTOR/SURGEON	(i) (ii)	1,443,610 ------------- 0	0 ------------- 0	24,802 ------------- 0	13,500 ------------- 0	25,696 ------------- 0	1,507,608 ------------- 0	0 ------------- 0
7SCOTT L SCHUBACH MD CHAIRMAN, TCV SURGERY	(i) (ii)	1,875,349 ------------- 0	75,000 ------------- 0	43,054 ------------- 0	32,474 ------------- 0	25,703 ------------- 0	2,051,580 ------------- 0	0 ------------- 0
8LAURENCE SPIER MD PHYSICIAN	(i) (ii)	1,544,627 ------------- 0	250,000 ------------- 0	45,067 ------------- 0	13,500 ------------- 0	26,812 ------------- 0	1,880,006 ------------- 0	0 ------------- 0
9ANTHONY GAMBINO MD PHYSICIAN	(i) (ii)	1,461,949 ------------- 0	37,500 ------------- 0	43,584 ------------- 0	35,780 ------------- 0	25,067 ------------- 0	1,603,880 ------------- 0	0 ------------- 0
10PHILIP RAGNO MD PHYSICIAN	(i) (ii)	1,431,349 ------------- 0	37,500 ------------- 0	42,396 ------------- 0	13,500 ------------- 0	25,067 ------------- 0	1,549,812 ------------- 0	0 ------------- 0
11RICHARD SCHWARTZ MD PHYSICIAN	(i) (ii)	1,478,749 ------------- 0	37,500 ------------- 0	23,396 ------------- 0	13,500 ------------- 0	25,067 ------------- 0	1,578,212 ------------- 0	0 ------------- 0

Schedule J (Form 990) 2017

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Schedule J (Form 990) 2017

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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
SCHEDULE J SUPPLEMENTAL INFORMATION	Part I, Line 4b: The organization maintained a supplemental executive retirement plan ("SERP") for the Chief Executive Officer to encourage long service and to make up for limits in the Organization's tax qualified pension plan applicable to the Chief Executive Officer. The SERP provided for a benefit equal to an annuity providing 60% of annual compensation (minus other Organization-financed retirement benefits made available to the Chief Executive Officer). The SERP was forfeitable in full by the Chief Executive Officer if he terminated employment before performing 20 years of service. In 2017, following the Chief Executive Officer's completion of the SERP's 20 year service requirement, the Chief Executive Officer received a distribution of his entire accrued benefit under the SERP, as specified in Schedule J, Part II, column (b)(iii). There are no other participants remaining in the SERP. NYU Winthrop adopted a supplemental retirement plan ("SERP II") for 3 executives who were not eligible under the SERP described above but who were negatively impacted by limits under NYU Winthrop's standard retirement plans (limits not applicable to employees generally). Two of the 3 executives are included in Part VII and Schedule J. The primary purposes of SERP II are to provide a supplement to the standard retirement plan and to encourage retention. SERP II covers Ms. Cataliotti and Ms. Pfeffer, and the 2017 calendar year contribution amounts for them were $111,244 and $79,631, respectively. SERP II is forfeitable by these executives if they terminate before December 31, 2021 (and additional service requirements may apply). Part I, Line 7: The organization maintains an incentive compensation program that pays variable compensation based on the satisfaction by the organization and the executive, if and to the extent satisfied, of pre-established quality of care, program, financial, and similar goals established at the beginning of the year prior to payment. The incentive compensation program awards are made by the compensation committee at its discretion. Part II: Davis Halpern, M.D. and John Aloia, M.D. are employed physicians of the organization and also serve as uncompensated members of the Board of Directors.

Return Reference

Explanation

SCHEDULE J SUPPLEMENTAL INFORMATION

Part I, Line 4b: The organization maintained a supplemental executive retirement plan ("SERP") for the Chief Executive Officer to encourage long service and to make up for limits in the Organization's tax qualified pension plan applicable to the Chief Executive Officer. The SERP provided for a benefit equal to an annuity providing 60% of annual compensation (minus other Organization-financed retirement benefits made available to the Chief Executive Officer). The SERP was forfeitable in full by the Chief Executive Officer if he terminated employment before performing 20 years of service. In 2017, following the Chief Executive Officer's completion of the SERP's 20 year service requirement, the Chief Executive Officer received a distribution of his entire accrued benefit under the SERP, as specified in Schedule J, Part II, column (b)(iii). There are no other participants remaining in the SERP. NYU Winthrop adopted a supplemental retirement plan ("SERP II") for 3 executives who were not eligible under the SERP described above but who were negatively impacted by limits under NYU Winthrop's standard retirement plans (limits not applicable to employees generally). Two of the 3 executives are included in Part VII and Schedule J. The primary purposes of SERP II are to provide a supplement to the standard retirement plan and to encourage retention. SERP II covers Ms. Cataliotti and Ms. Pfeffer, and the 2017 calendar year contribution amounts for them were $111,244 and $79,631, respectively. SERP II is forfeitable by these executives if they terminate before December 31, 2021 (and additional service requirements may apply). Part I, Line 7: The organization maintains an incentive compensation program that pays variable compensation based on the satisfaction by the organization and the executive, if and to the extent satisfied, of pre-established quality of care, program, financial, and similar goals established at the beginning of the year prior to payment. The incentive compensation program awards are made by the compensation committee at its discretion. Part II: Davis Halpern, M.D. and John Aloia, M.D. are employed physicians of the organization and also serve as uncompensated members of the Board of Directors.

Schedule J (Form 990) 2017

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