| Schedule K, Part I, Column (f) supplemental information 1(A) |
Part I: Health & Educational Facilities Authority of Missouri (03/13/2003) 2003C/2008C
- To finance and refinance certain improvements, additions, equipping and renovation
of hospital facilities, to refund bonds issued November 1, 1999 and commercial paper
issued December 5, 2002 and to pay the premium on policies of bond insurance Indiana
Health Facility Financing Authority (03/13/2003) 2003E/2008E - To finance and refinance
certain improvements, additions, equipping and renovation of hospital facilities,
to refund bonds issued November 1, 1999 and to pay the premium on policies of bond
insurance Indiana Health Facility Financing Authority (02/03/2005) 2005A - To provide
funds to refund commercial paper issued September 30, 2004 and December 16, 2004 which
financed certain improvements, additions, equipping and renovation of health care
facilities and to finance certain improvements, additions, equipping and renovation
of health care facilities Michigan State Hospital Finance Authority (02/03/2005) 2005
- To provide funds to refund commercial paper issued September 30, 2004 and December
16, 2004 which financed certain improvements, additions, equipping and renovation
of health care facilities and to finance certain improvements, additions, equipping
and renovation of health care facilities Indiana Health and Educational Facility Financing
Authority (11/16/2006) 2006B-3, B-4, B-5 and B-6 - To current refund certain prior
bonds issued November 1, 1999, December 4, 2001 and December 31, 2001 Health & Educational
Board of Nashville/Davidson County (03/30/2009) 2001B-1 - Transaction represents an
amendment of terms (i.e., reissuance) of certain prior bonds issued December 31, 2001,
which bonds provided funds to finance or refinance the costs of acquiring, constructing,
equipping and renovating certain health care facilities Alabama Special Care Facilities
Financing Authority of Birmingham (05/28/2009) 2006C-1 - Transaction represents an
amendment of terms (i.e., reissuance) of certain prior bonds issued November 16, 2006,
which bonds provided funds to finance certain improvements, additions, equipping and
renovation of health care facilities Indiana Health and Educational Facility Financing
Authority (11/16/2006) 2006B-1, B-2, B-7 and B-8 - To provide reimbursement for previous
expenditures related to additions, equipping and renovation of certain health care
facilities Indiana Finance Authority (05/28/2009) 2006B-1, B-7 and B-8 - Transaction
represents an amendment of terms (i.e., reissuance) of certain prior bonds issued
November 16, 2006, which bond provided reimbursement for previous expenditures related
to additions, equipping and renovation of certain health care facilities Michigan
State Hospital Finance Authority (03/25/2010) 2010F - To finance the costs of acquiring,
constructing, improving and equipping facilities of Senior Credit Group Members, and
to refinance the indebtedness of the Senior Credit Group through the current refunding
of the Refunded Bonds issued April 8, 2008; April 15, 2008; April 22, 2008; May 6,
2008 and commercial paper issued 1/21/2010. THE 2010B ISSUANCE IS NO LONGER OUTSTANDING.
Illinois Finance Authority (05/10/2012) 2012E-1 and E-2 - To provide funds to finance,
refinance (prior debt issued 2/22/2012 and 3/29/2012) or reimburse Ascension Health
Alliance for capital expenditures made by certain of its affiliates located in Illinois
and Missouri. THE 2012A ISSUANCE IS NO LONGER OUTSTANDING. Wisconsin Health and Educational
Facilities Authority (06/18/2013) 2013A and B-1 through B-5 - To provide funds for
the acquisition of capital assets of Via Christi Health, Ministry Health Care and
St. John Health and certain of their affiliates. Wisconsin Health and Educational
Facilities Authority (05/11/2016) 2016A - To (i) finance, refinance or reimburse Ascension
for capital expenditures of certain affiliates of Ascension, (ii) refinance taxable
commercial paper issued by Ascension on 2/29/2016 and 4/1/2016 (a) to provide funds
for the acquisition of capital assets of Wheaton Franciscan Healthcare - Southeast
Wisconsin, Inc. and certain of its affiliates and (b) to finance certain capital expenditures
of certain affiliates of Ascension, and (iii) refinance certain bonds previously issued
8/5/2004 and 11/16/2006 for the benefit of Ascension and certain of its affiliates
and Ministry Health Care, Inc. and certain of its affiliates. Alabama Special Care
Facilities Financing Authority of Birmingham (05/11/2016) 2016B - to (i) finance,
refinance or reimburse Ascension for capital expenditures of certain affiliates of
Ascension and (ii) refinance certain bonds previously issued 11/16/2006 for the benefit
of Ascension and certain of its affiliates. Alabama Special Care Facilities Financing
Authority of the City of Mobile (05/11/2016) 2016C - to (i) finance, refinance or
reimburse Ascension for capital expenditures of certain affiliates of Ascension and
(ii) refinance certain bonds previously issued 11/16/2006 for the benefit of Ascension
and certain of its affiliates. Michigan Finance Authority (05/11/2016) 2016E-1 through
E-3 - to (i) finance, refinance or reimburse Ascension for capital expenditures of
certain affiliates of Ascension and (ii) refinance taxable commercial paper issued
by Ascension on 10/1/2015 to provide funds for the acquisition of capital assets of
Ascension Providence Rochester Hospital and certain of its affiliates. Illinois Finance
Authority (08/16/2016) 2016C- to provide funds to refund bonds issued 5/26/2005, 6/5/2008,
6/25/2009, 12/22/2009, 2/11/2010, and 5/26/2016, and to finance certain capital expenditures.
WISCONSIN HEALTH AND EDUCATIONAL FACILITIES AUTHORITY (10/23/2019) 2019A- TO PROVIDE
FUNDS TO REFUND BONDS ISSUED 3/25/2010. |
| Schedule K, Part II supplemental information |
1. For purposes of Schedule K, Part II, Ascension Health Alliance is assuming that
there is no "year of substantial completion" with respect to refunding bonds. 2. Differences
between the issue price (Part I) and total proceeds (Part II, line 3) are due to investment
earnings. |
| Schedule K, Part IV supplemental information |
1. The hedge providers for the Missouri Series 2003C bond issue are Citibank and Morgan
Stanley. The Citibank hedges have original terms of 6.7 and 23.7 years. The Morgan
Stanley hedges have original terms of 6.7 and 23.6 years. 2. The hedge providers for
the Indiana Series 2003E/2008E bond issue are Citibank and Morgan Stanley. The Citibank
hedges have original terms of 6.7 and 33.7 years. The Morgan Stanley hedges have original
terms of 23.6, 33.6 and 33.7 years. 3. GIC for Indiana Series 2006B-3, B-4, B-5 and
B-6 was held at Citigroup and Morgan Stanley with a term of 0.3 and 0.2 years respectively.
4. Part IV, Line 2 - For issues that have not reached their fifth anniversary yet,
Ascension is answering "Yes" to 2a because the reporting deadline has not been reached
and no calculations have yet been performed. This is not to suggest that a spending
exception has not been met or that there is an expectation that any rebate will be
due upon completion of any required calculation. For issues that have been issued
longer than five years, Ascension is answering "Yes" to 2b if the issue was a current
refunding issue since this is the basis of a rebate exception. Ascension is answering
"Yes" to 2c and providing a computation report date for new money issues that are
greater than five years old. 5. Part IV, Line 6 - This question is being answered
without regard to certain yield restricted advance refunding escrows. |
| Schedule K, Part III, Line 8c supplemental information |
1. All dispositions reflected in this percentage were subject to a proper and timely
remediation and/or VCAP. 2. ILLINOIS FINANCE AUTHORITY (08/16/2016) 2016C- AS OF JUNE
30, 2020, PRIVATE USE AND UNRELATED TRADE OR BUSINESS ACTIVITY BY PRESENCE HEALTH
WAS DISCOVERED. ON DECEMBER 3, 2019, THE AFFECTED BONDS WERE REMEDIATED. THE VCAP
WAS FILED AND IS CURRENTLY IN THE FINAL STAGES OF SETTLEMENT DISCUSSIONS WITH THE
IRS. |
| Schedule K, Part II Supplemental Information 1(B) |
1. A portion of the Missouri Series 2003C issuance was exchanged for 2008C bonds;
the transaction did not represent a tax reissuance. The amount we are showing as outstanding
includes both the Missouri Series 2003C and 2008C bonds. All of these bonds are characterized
collectively on the schedule. 2. A portion of the Indiana Series 2003E issuance was
exchanged for 2008E bonds; the transaction did not represent a tax reissuance. The
amount we are showing as outstanding includes both the Indiana Series 2003E and 2008E
bonds. All of these bonds are characterized collectively on the schedule. 3. CUSIP
number for Michigan Series 2005 as originally reported on Form 8038 was incorrect
(reported as "59455E7P2"). 4. Tennessee Series 2001B-1 was reissued for tax purposes
as of 3/30/09 in connection with an interest rate conversion on the bonds, and for
this reason must be included on Schedule K. However, reporting is not necessary on
Part III of Schedule K for refunding bonds that refunded bonds issued in 2002 or earlier,
which is the case in this situation. 5. Indiana Series 2006B-1, B-7 and B-8 were reissued
for tax purposes as of 5/28/09 in connection with an interest rate conversion on the
bonds. Indiana Series 2006B-2 remains outstanding as originally issued. 6. Indiana
Series 2006B-3, B-4, B-5 and B-6 were issued on 11/16/2006 and 12/1/2006 as evidenced
by the 8038; only one field is available for issue date on the Schedule so we have
presented the earlier of the two dates. 7. The Indiana Health and Educational Facility
Financing Authority was merged into the Indiana Finance Authority on 7/1/07. 8. CUSIP
NUMBER FOR MICHIGAN SERIES 2010B AND 2010F AS ORIGINALLY REPORTED ON FORM 8038 WAS
INCORRECT (NO CUSIP WAS REPORTED). THE MICHIGAN SERIES 2010B BONDS HAVE BEEN FULLY
REFUNDED. 9. The Missouri 2003C and Indiana 2003E/2008E Bonds, along with other, now-retired
bonds from Florida, Michigan and Idaho issuers, are all part of a single issue for
certain federal tax purposes. Within that issue, an election has been made to treat
the Michigan bonds as a separate issue for purposes of IRC section 141. Ascension
Health Alliance and the issuers reserve the right to make any further multipurpose
allocations permitted under the Treasury Regulations. 10. The Indiana 2005A and Michigan
2005 Bonds (TOGETHER WITH THE ALABAMA 2005A BONDS WHICH ARE NO LONGER OUTSTANDING)
are all part of a single issue for certain federal tax purposes although Ascension
Health Alliance and the issuers reserve the right to make any multipurpose allocations
permitted under the Treasury Regulations. 11. The Indiana 2006B-1, B-2, B-3, B-7,
and B-8 sub-series and the Alabama (Birmingham) 2006C-1 Bonds, along with other, now-retired
bonds, are all part of a single issue for certain federal tax purposes. Within that
issue, elections have been made under the Treasury Regulations to treat the following
as separate issues for IRC section 141 purposes: (1) Indiana 2006B-1, B-2, B-7 and
B-8, and the Alabama (Birmingham) 2006C-1, combined; (2) Indiana 2006B-3 Ascension
Health Alliance and the issuers reserve the right to make any further multipurpose
allocations permitted under the Treasury Regulations. 12. THE MICHIGAN 2010F BONDS,
TOGETHER WITH THE NOW-RETIRED CONNECTICUT 2010A, MICHIGAN 2010B, TENNESSEE 2010C,
TARRANT COUNTY 2010D AND WISCONSIN 2010E BONDS, ARE A SINGLE ISSUE FOR CERTAIN FEDERAL
TAX PURPOSES. WITHIN THAT ISSUE, ELECTIONS HAVE BEEN MADE TO TREAT EACH STATE'S ISSUE
AS SEPARATE ISSUES FOR PURPOSES OF IRC SECTION 141. ASCENSION HEALTH ALLIANCE AND
THE ISSUERS RESERVE THE RIGHT TO MAKE ANY FURTHER MULTIPURPOSE ALLOCATIONS PERMITTED
UNDER THE TREASURY REGULATIONS. 13. THE ILLINOIS 2012E BONDS, TOGETHER WITH THE NOW-DEFEASED
AND SOON TO BE RETIRED ILLINOIS 2012A, MARYLAND 2012B, TENNESSEE 2012C AND WISCONSIN
2012D BONDS, ARE A SINGLE ISSUE FOR CERTAIN FEDERAL TAX PURPOSES. WITHIN THAT ISSUE,
ELECTIONS HAVE BEEN MADE TO TREAT THE MARYLAND 2012B BONDS AS A SEPARATE ISSUE FOR
PURPOSES OF IRC SECTION 141. ASCENSION HEALTH ALLIANCE AND THE ISSUERS RESERVE THE
RIGHT TO MAKE ANY ADDITIONAL MULTIPURPOSE ALLOCATIONS PERMITTED UNDER THE TREASURY
REGULATIONS. 14. The Wisconsin 2016A, Alabama 2016B/2016C, and Michigan 2016E bonds
are a single issue for certain federal tax purposes. Ascension Health Alliance and
the issuers reserve the right to make any further multipurpose allocations permitted
under the Treasury regulations. 15. Ascension Health Alliance believes, and has prepared
Schedule K in a manner consistent with such belief, that the Part III exclusion provided
in the instructions for bonds that refund a pre-2003 bond issue applies to certain
of the bonds reflected herein, though allocations under Regulations section 1.141-13(d)
may not have yet been elected; this submission does not constitute an allocation election
under Regulations section 1.141-13(d) for any issue or portion of an issue. 16. Schedule
K, Part II, question 2, refers to the amount of bonds that have been defeased, are
still outstanding and are being funded by a defeasance escrow. |
| Schedule K, Part IV, Line 2c COLUMN A |
Issuer name: HEALTH & ED FAC AUTH OF MO The calculation for computing no rebate due
was performed on 11/15/2009 |
| Schedule K, Part IV, Line 2c COLUMN B |
Issuer name: INDIANA HEALTH FACILITY FINANCING AUTHORITY The calculation for computing
no rebate due was performed on 11/15/2009 |
| Schedule K, Part IV, Line 2c COLUMN C |
Issuer name: INDIANA HEALTH FACILITY FINANCING AUTHORITY The calculation for computing
no rebate due was performed on 08/03/2005 |
| Schedule K, Part IV, Line 2c COLUMN D |
Issuer name: MICHIGAN STATE HOSPITAL FINANCE AUTHORITY The calculation for computing
no rebate due was performed on 08/03/2005 |
| Schedule K, Part IV, Line 2c COLUMN D |
Issuer name: IN HLTH & ED FAC FIN AUTHORITY The calculation for computing no rebate
due was performed on 05/16/2008 |