Professional Documents
Culture Documents
363j0981'ct06/11/2010 11 13 AM
"'^r^"
99
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OMB No 1545-0047
Check if applicable
Please
Address change
Name chan g e
use IRS
label or print or type. Doin g Business As
Initial return
Termination Amended return Q Application pending
See
Specific
Instruc-
903
IL 60603
312-377-4000
G Grnss reremts $
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tions .
CHICAGO
H(a) Is this a group return for affiliates? H(b) Are hates ed? Yes IX, No
J
K
Part I
1 u M c C) m to'
Summa
Briefly describe the organization ' s mission or most significant activities RESEARCH AND WRITING ON PUBLIC POLICY ISSUES.
if the organization discontinued its operations or disposed of more than 25% of its net assets
Number of voting members of the governing body (Part VI, line 1 a) y R ende t voting members of the governing body (Part VI, line 1 b) l ees (Part V, line 2a) > ^b ers ( estimate if necessary) 6 To tal number of vo elat slness revenue from Part VIII, column (C), line 12 Tot cp b Net unrelated bust axable income from Form 990-T. tine 34 3 n ( Part VIII , line 1h ) gram service revenue ( Part VIII , tine 2g ) 10 Investment Income ( Part VIII , column (A), lines 3 , 4, and 7d) 11 Other revenue ( Part Vlll , column (A), lines 5 , 6d, 8c , 9c, 10c , and Ile) 12 Total revenue - add lines 8 throu g h 11 ( must eq ual Part VIII , column (A ) , tine 12 ) 13 Grants and similar amounts paid ( Part IX , column (A), lines 1 -3) 14 Benefits paid to or for members (Part IX, column (A), line 4) 15 Salaries , other compensation , employee benefits ( Part IX , column (A), lines 5-10) 16a Professional fundraising fees ( Part IX , column (A), line 11e) 520,729 b Total fundraising expenses (Part IX , column ( D), line 25) ^ ^` o t i 17 Other expenses ( Part IX, column (A), lines 11a-11d , 1lf-24f) 18 Total expenses Add lines 13-17 ( must equal Part IX , column (A), line 25) 19 Revenue less exp enses Subtract line 18 from line 12 20 Total assets ( Part X, line 16 ) 21 Total liabilities ( Part X , line 26 ) 22 Net assets or fund balances Subtract line 21 from line 20
3 4 5 6 7a 7b
14 13 27 20 14 , 101 -89,574
7 , 613 , 766
185 , 671
661 -39 , 139 7 , 782 , 959 182 , 072 22
6 1 499 , 687
195 , 386
58
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626 , 153
1 , 766 , 383
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Part 11
Si nature Block
Under penalties of perju a and belief , it is true , a that I have examined this return , including accompanying schedules and statem ents , and to the best of my knowledge n of preparer ( other than officer) is based on all information of which pre parer has any knowledge mplete Declar
Sign Here
Signature of officer
JOSEPH
ST
'Y444-
C-PA ,
TIGHE , KRESS & ORR, 159-9 WELD ROAD, SUI ELGIN , IL 60123-58
May the IRS discuss this return with the preparer shown above? (see instruction, For Privacy Act and Paperwork Reduction Act Notice , see the separate inst DAA
363309812106/11/2010 11 13 AM
^,orm 990 (2o09) THE HEARTLAND INSTITUTE Part Ill Statement of Program Service Accomplishments
1 Briefly describe the organization's mission
36-3309812
Page 2
Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EV If "Yes," describe these new services on Schedule 0 Did the organization cease conducting, or make significant changes in how it conducts, any program services? If "Yes," describe these changes on Schedule 0 Describe the exempt purpose achievements for each of the organization's three largest program services by expenses Section 501 (c)(3) and 501 (c)(4) organizations and section 4947(a)(1) trusts are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported
Yes
No
Yes
X No
2 , 078 , 375 including grants of $ ) (Revenue $ 4a (Code ) (Expenses $ PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON HEARTLAND PRODUCED FIVE PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE. MONTHLY NEWSPAPERS (BUDGET & TAX NEWS, ENVIRONMENT & CLIMATE NEWS, HEALTH CARE NEWS, INFOTECH & TELECOM NEWS, AND SCHOOL REFORM NEWS); ONE PRINT NEWSLETTER (THE HEARTLANDER), TWO EMAIL NEWSLETTERS (LAWSUIT ABUSE (ADDRESSING FORTNIGHTLY AND CONSUMER POWER REPORT); ONE "REPORT CARD" PROPERTY & CASUALTY INSURANCE); AND ONE BOOK (CLIMATE CHANGE RECONSIDERED)
115, 000 ) (Revenue $ 2 , 518 , 769 including grants of $ 4b (Code ) (Expenses $ PUBLIC RELATIONS - SEMINARS, EVENTS, SPEAKERS BUREAU, AND OTHER ACTIVITIES AIMED AT EDUCATING HEARTLAND MEMBERS AND THE GENERAL PUBLIC CONCERNING PUBLIC POLICY ISSUES. HEARTLAND STAFF EXHIBITED AT NEARLY TWO DOZEN INDUSTRY TRADE SHOWS AND EVENTS FOR MEMBERS OF THE GENERAL PUBLIC, AND ITS SENIOR FELLOWS DELIVERED MORE THAN 100 SPEECHES OR TALK RADIO SHOW APPEARANCES. HEARTLAND'S PUBLIC RELATIONS DEPARTMENT HOSTED A THREE-DAY CONFERENCE IN NEW YORK AND A TWO-DAY CONFERENCE IN WASHINTON, DC ADDRESSING THE TOPIC OF GLOBAL WARMING.
4c (Code
) (Expenses $
593 , 617
including grants of $
) (Revenue $
GOVERNMENT RELATIONS - PUBLICATIONS AND EVENTS GEARED TOWARD EDUCATING AND INFORMING LOCAL, STATE, AND NATIONAL ELECTED OFFICIALS ABOUT PUBLIC POLICY HEARTLAND EXHIBITED AT CONFERENCES SPONSORED BY THE AMERICAN ISSUES. LEGISLATIVE EXCHANGE COUNCIL, NATIONAL CONFERENCE OF STATE LEGISLATURES, CONFERENCE OF MAYORS, AND OTHERS. NATIONAL ASSOCIATION OF COUNTIES, U.S. IN ADDITION, 44 RESEARCH & COMMENTARY COLLECTIONS OF BACKGROUND READINGS ON EDUCATION, ENVIRONMENT, HEALTH CARE, INSURANCE,TOBACCO, AND WELFARE ISSUES WERE DISTRIBUTED BY EMAIL AND POSTED ON HEARTLAND'S WEB SITE. HEARTLAND'S GOVERNMENT RELATIONS DEPARTMENT HOSTED SEVERAL HALF-DAY EVENTS ACROSS THE COUNTRY ADDRESSING HEALTH CARE REFORM.
4d Other program services (Describe in Schedule O ) including grants of $ (Expenses $ 5,190,761 4e Total program service expenses ^
) (Revenue $
Form 990 (2009)
DAA
363309812'06/11/2010 11 13 AM
horm 990 ('009) THE HEARTLAND INSTITUTE Part IV Checklist of Req uired Schedules
1 2 3 4 5 6
36-3309812
Yes
Page 3
No
7 8 9
10 11 12 12A 13 14a b 15 16 17 18 19 20
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule A Is the organization required to complete Schedule B, Schedule of Contributors? Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part I Section 501(c)(3) organizations . Did the organization engage in lobbying activities? If "Yes," complete Schedule C, Part II Section 501 (c)(4), 501( c)(5), and 501 ( c)(6) organizations . Is the organization subject to the section 6033(e) notice and reporting requirement and proxy tax? If "Yes," complete Schedule C, Part III Did the organization maintain any donor advised funds or any similar funds or accounts where donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part I Did the organization receive or hold a conservation easement, including easements to preserve open space, the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III Did the organization report an amount in Part X, line 21, serve as a custodian for amounts not listed in Part X, or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IV Did the organization, directly or through a related organization, hold assets in term, permanent, or quasi-endowments? If "Yes," complete Schedule D, Part V Is the organization's answer to any of the following questions "Yes"? If so, complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes," complete Schedule D, Part VI Did the organization report an amount for investments-other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VII Did the organization report an amount for investments-program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16" If "Yes," complete Schedule D, Part VIII Did the organization report an amount for other assets related in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16" If "Yes," complete Schedule D, Part IX Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses the organization's liability for uncertain tax positions under FIN 48? If "Yes," complete Schedule D, Part X Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete Schedule D, Parts XI, XII, and XIII Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," completing Schedule D, Parts XI, XII, and XIII is optional 12A Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E Did the organization maintain an office, employees, or agents outside of the United States? Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, and program service activities outside the United States? If "Yes," complete Schedule F, Part I Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the United States? If "Yes," complete Schedule F, Part II Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals located outside the United States? If "Yes," complete Schedule F, Part III Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 1le? If "Yes," complete Schedule G, Part I Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III Did the organization operate one or more hospitals? If "Yes," complete Schedule H
I 2 3 4 5
X X X X
6 7 8
X X X
9 10 11 X
X X
X X X X X X X X X
DAA
korm 990 2009) THE HEARTLAND INSTITUTE Part IV Checklist of Re q uired Schedules (continued )
21 22 23
36-3309812
Yes
Page 4
No
Did the organization report more than $5,000 of grants and other assistance to governments and organizations in the United States on Part IX, column (A), line 1' If "Yes," complete Schedule I, Parts I and II Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX, column (A), line 2' If "Yes," complete Schedule I, Parts I and III Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees' If "Yes," complete Schedule J Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes," answer lines 24b through 24d and complete Schedule K If "No," go to line 25 Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax-exempt bonds' Did the organization act as an "on behalf of issuer for bonds outstanding at any time during the year? Section 501(c )( 3) and 501 ( c)(4) organizations . Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ' If "Yes," complete Schedule L, Part I Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualified person outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part II Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor, or a grant selection committee member, or to a person related to such an individual? If "Yes," complete Schedule L, Part III Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV An entity of which a current or former officer, director, trustee, or key employee of the organization (or a family member) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions' If "Yes," complete Schedule M Did the organization liquidate, terminate, or dissolve and cease operations' If "Yes," complete Schedule N, Part l Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301 7701-2 and 301 7701-3' If "Yes," complete Schedule R, Part I Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Parts II, III, IV, and V, line 1 Is any related organization a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2 Section 501(c )( 3) organizations . Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2 Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes' If "Yes," complete Schedule R, Part VI Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 11 and 19' Note. All Form 990 filers are req uired to com p lete Schedule 0
21 22
X X
23
24a
b c d 25a b
(}^1 X
25b 26
X X
26 27
27
28 a b c
28a 28b
X X
29 30 31 32 33 34 35 36 37
28c 29 30 31 32 33 34 35 36
X X X X X X X X X
37 38 X
38
DAA
36-3309812 korm 990 (2009) THE HEARTLAND INSTITUTE Part Vr Statements Regarding Other IRS Filings and Tax Compliance
is b c 2a b Enter the number reported in Box 3 of Form 1096, Annual Summary and Transmittal of 1a U S Information Returns Enter -0- if not applicable lb Enter the number of Forms W-2G included in line 1 a Enter -0- if not applicable the organization comply with backup withholding rules for reportable payments to vendors and rep ortable Did gaming (gambling) winnings to prize winners' Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax 2a Statements, filed for the calendar year ending with or within the year covered by this return least one is reported on line 2a, did the organization file all required federal employment tax returns? If at Note . If the sum of lines 1a and 2a is greater than 250, you may be required to a-file this return (see
Page 5
96
0 1c 27 2b X X
instructions)
3a b 4a Did the organization have unrelated business gross income of $1,000 or more during the year covered by this return? If "Yes," has it filed a Form 990-T for this year? If "No," provide an explanation in Schedule 0 At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account) If "Yes," enter the name of the foreign country ^ See the instructions for exceptions and filing requirements for Form TD F 90-22 1, Report of Foreign Bank and Financial Accounts Was the organization a party to a prohibited tax shelter transaction at any time during the tax year'? Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transactions If "Yes," to line 5a or 5b, did the organization file Form 8886-T, Disclosure by Tax-Exempt Entity Regarding Prohibited Tax Shelter Transaction? Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible? If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductibles Organizations that may receive deductible contributions under section 170(c). Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor' If "Yes," did the organization notify the donor of the value of the goods or services provided? Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282' If "Yes," indicate the number of Forms 8282 filed during the year 7d Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? For all contributions of qualified intellectual property, did the organization file Form 8899 as required For contributions of cars, boats, airplanes, and other vehicles, did the organization file a Form 1098-C as required? Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations . Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year? Sponsoring organizations maintaining donor advised funds. Did the organization make any taxable distributions under section 49667 Did the organization make a distribution to a donor, donor advisor, or related person? Section 501(c )( 7) organizations. Enter 10a Initiation fees and capital contributions included on Part VIII, line 12 10b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities Section 501(c )( 12) organizations. Enter 11a Gross income from members or shareholders Gross income from other sources (Do not net amounts due or paid to other sources against 11 b amounts due or received from them) Section 4947( a)(1) non -exempt charitable trusts . Is the organization filing Form 990 in lieu of Form 1041'? If "Yes." enter the amount of tax-exempt interest received or accrued during the year I 12b 3a 3b X X
4a
5a b c 6a b 7 a b c d e f g h 8
5a 5b 5c 6a 6b
X X
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X
7a 7b 7c
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7e 7f 7 7h
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8 9a 9b
9 a b 10 a b 11 a b 12a b
DAA
363309812 06/11/2010 11 13 AM
36-3309812 Page 6 Form 990 (2009) THE HEARTLAND INSTITUTE Governance, Management , and Disclosure For each "Yes" response to lines 2 through 7b below, and Part VI for a "No" response to line 8a, 8b, or 1 Ob below, describe the circumstances, processes, or changes in Schedule 0. See instructions Section A . Governing Body and Management
Yes No
1a b 2 3 4 5 6 7a b 8 a b 9
1a Enter the number of voting members of the governing body of voting members that are independent lb Enter the number Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? Did the organization make any significant changes to its organizational documents since the prior Form 990 was filed? Did the organization become aware during the year of a material diversion of the organization's assets? Does the organization have members or stockholders? Does the organization have members, stockholders, or other persons who may elect one or more members of the governing body? Are any decisions of the governing body subject to approval by members, stockholders, or other persons? Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following The governing body? Each committee with authority to act on behalf of the governing body? Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the org anization's mailin g address? If "Yes , " p rovide the names and addresses in Schedule 0
14 13 2 3 4 5 6 7a 7b X X X X X X X
8a 8b 9
X X X
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code. )
Yes No
Does the organization have local chapters, branches, or affiliates? If "Yes," does the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with those of the organization? Has the organization provided a copy of this Form 990 to all members of its governing body before filing the form? Describe in Schedule 0 the process, if any, used by the organization to review this Form 990 Does the organization have a written conflict of interest policy? If "No," go to line 13 Are officers, directors or trustees, and key employees required to disclose annually interests that could give rise to conflicts? Does the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule 0 how this is done Does the organization have a written whistleblower policy? Does the organization have a written document retention and destruction policy? Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? The organization's CEO, Executive Director, or top management official Other officers or key employees of the organization If "Yes" to line 15a or 15b, describe the process in Schedule 0 (See instructions ) Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? If "Yes," has the organization adopted a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and taken steps to safeguard
15a 15b
X X
16a
the organization's exempt status with respect to such arrangements? Section C. Disclosure
17 18 IL List the states with which a copy of this Form 990 is required to be filed ^ Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection Indicate how you make these available Check all that apply X, Another's website X Upon request Own website Describe in Schedule 0 whether (and if so, how), the organization makes its governing documents, conflict of interest policy, and financial statements available to the public State the name, physical address, and telephone number of the person who possesses the books and records of the THE HEARTLAND INSTITUTE 19 SOUTH LASALLE STREET #903 organization ^
116b
19 20
CHICAGO
DAA
IL
60603
312-377-4000
Form 990 (2009)
363309812 06/11/2010 11 13 AM
36-3309812 Form .990 (2009) THE HEARTLAND INSTITUTE 'Part VII Compensation of Officers , Directors , Trustees, Key Employees , Highest Compensated Employees , and Independent Contractors
Section A . Officers . Directors . Trustees . Kev Emolovees. and Hiahest Compensated Emolovees 1a Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year Use Schedule J-2 if additional space is needed List all of the organization' s current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) if no compensation was paid List all of the organization 's current key employees See instructions for definition of "key employee " List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations List all of the organization' s former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations List all of the organization' s former directors or trustees that received, in the capacity as a former director or trustee of the organization , more than $10,000 of reportable compensation from the organization and any related organizations List persons in the following order individual trustees or directors , institutional trustees , officers, key employees , highest compensated employees , and former such persons Check this box if the org anization did not com pensate an y current officer , director , or trustee
(A) Name and Title (B) Average hours per week (C) Position (check all 0 05 7K as n , a 8 B `8. o d g -a L o m
N m m
Page 7
organizations
m n
JOSEPH BAST
PRESIDENT 40.00 X X X X X X X X X X X X X 40.00 X X
122
296
0 0 0 0 0 0 0 0 0 0 0 0
0
0 0 0 0 0 0 0 0 0 0 0 0 0
0
0 0 0 0 0 0 0 0 0 0 0 0 0
RAJEEV BAT
DIRECTOR
ROBERT BUFORD
DIRECTOR
PAUL FISHER
DIRECTOR
JAMES FITZGERALD
DIRECTOR
DAN HALES
DIRECTOR
WILLIAM HIGGINSO
DIRECTOR
JAMES JOHNSTON
DIRECTOR
JEFFREY MADDEN
DIRECTOR
ARTHUR MARGULIS
DIRECTOR
DAVID PADDEN
DIRECTOR
ELIZABTH ROSE
DIRECTOR
HERBERT WALBERG
DIRECTOR
DANIEL MILLER
EXC. VICE PRESIDENT 123 , 740
DAA
Form 99 0 (2009)
363309812 06/11/2010 11 13 AM
36-3309812 ,Form 9901(2009) THE HEARTLAND INSTITUTE Section A . Officers, Directors , Trustees , Key Employees , and Highest Compensated Employees (continued) Pait VII.
(A) Name and Title (B) Average hours per week (C) Position (check all that apply) (D) Reportable compensation from the organization (W-2/1099-MISC) (E) Reportable compensation from related organizations (W-2/1099-MISC)
Page 8
(F) Estimated amount of other compensation from the organization and related organizations
21
y CD
m
Dg 3 0
C1
is
1b Total
2
246 , 036 ,
Total number of individuals (including but not limited to those listed above) who received more than $100,000 in re portable com pensation from the org anization Po. 2 Yes No X
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such individual 4 For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such individual 5 Did any person listed on line 1a receive or accrue compensation from any unrelated organization for services rendered to the org anization? If "Yes," com p lete Schedule J for such person Section B. Independent Contractors 1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of com pensation from the org anization
( A) Name and business address (B) Descri p tion services of
4 5
Com ensation
2
DAA
Total number of independent contractors (including but not limited to those listed above) who received more than $100 , 000 in com pensation from the org anization 10,
0
Form 9 90 (2009)
363309812 06/11/2010 11 13 AM
'Form 990 f2009) THE HEARTLAND INSTITUTE Part VIII Statement of Revenue
(A) Total revenue
36-3309812
B Relat ed or exempt function
revenue
Page 9
(C) Unrelated business revenue Re ven ue excluded from tax under sections
512, 513, or 514
cc ^o 42
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coE .0 y
1a lb 1c 1d
le
aw O o
1f
$
6 499 , 687
136,135
fc
^
Busn Code
6,499,687
134,759
60 , 627
134,759
60 , 627
y
E m
d
e
o 0-
If All other program service revenue Total. Add lines 2a-2f 3 Investment income (including dividends, interest, and other similar amounts) 4 Income from investment of tax-exempt bond proceeds 5 Royalties
(i) Real (u) Personal
^ ^ ^ ^
6a Gross Rents
b Less rental exps C Rental inc or (loss)
c Gain or (loss) d Net gain or (loss) 8a Gross income from fundraising events (not including $ of contributions reported on line 1c) See Part IV, line 18
102 , 513
b Less direct expenses b c Net income or (loss) from fundraising events 9a Gross income from gaming activities
See Part IV, line 19 a b b Less direct expenses c Net income or (loss) from gaming activities 10a Gross sales of inventory, less returns and allowances a b Less cost of goods sold b c Net income or loss from sales of invento ry
Miscellaneous Revenue
85,282 ^
17 , 231
17,231
^
Busn. Code
11a
b
ADVERTISING INCOME
511110
14,101
14,101
c
d All other revenue e Total. Add lines 11 a-11 d ^ 14,101 ,
12
6 , 785F374 1
271 , 586
14,101
0
Form 990 (2009)
DAA
363309812 06/11/2010 11 13 AM
36-3309812
Page 10
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D). Do not include amounts reported on lines 6b, 7b , 8b , 9b , and 10b of Part VIII. Grants and other assistance to governments and 1 organizations in the U S See Part IV, line 21 2 Grants and other assistance to individuals in the U S See Part IV, line 22 3 Grants and other assistance to governments, organizations, and individuals outside the U S See Part IV, lines 15 and 16 4 Benefits paid to or for members 5 Compensation of current officers, directors, trustees, and key employees 6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) 7 Other salaries and wages 8 Pension plan contributions (include section 401(k) and section 403(b) employer contributions) 9 Other employee benefits 10 Payroll taxes 11 Fees for services (non-employees) a Management b Legal
(A) Total expenses (B ) Program service expenses (C) Management and general expenses (D) Fundraising expenses
115 , 000
115 , 000
122 , 296
30 , 574
30 , 574
61 148
1 , 410 , 531
821 , 469
348 , 082
240 , 980
61 214 60 , 381
34 , 345 28 , 005
27 , 491 22 , 120
c Accounting
d Lobbying e Professional fundraising services See Part IV, line 17 f Investment management fees
10 , 529
10 , 529
g Other
12 Advertising and promotion
13
14
15
Office expenses
Information technology
Royalties
794 , 209 234 , 336 52 , 122 139 , 919 150 , 952 124 , 925
16
16 17
18
Occupancy Travel
Payments of travel or entertainment expenses for any federal, state, or local public officials
10 , 292 4 , 489
13 , 723 50 , 121
851
851
19
20
21
Interest
Payments to affiliates
50 , 368
22
23 24
19 , 501
19 , 501
Other expenses Itemize expenses not covered above (Expenses grouped together and labeled miscellaneous may not exceed 5% of total expenses shown on line 25 below ) POSTAGE AND SHIPPING a PRINTING AND PUBLICATIONS b SPECIAL PROJECT c TELEPHONE d MEMBERSHIPS e All other expenses Total functional ex penses . Add lines 1 throug h 24f Joint costs . Check here ^ H if following SOP 98-2 Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation
f 25 26
, , , ,
, , , , , , ,
1 , 830
512
16 , 419
21 , 318
2 , 176
160 30 , 966 540 , 033
DAA
363309812 06/11/2010 11 13 AM
36-3309812
(A) Beginning of year
Page 11
(B) End of year
1 2 3 4 5
Cash-non-interest bearing Savings and temporary cash investments Pledges and grants receivable, net Accounts receivable, net Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees Complete Part II of Schedule L Receivables from other disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) Complete Part II of Schedule L Notes and loans receivable, net Inventories for sale or use Prepaid expenses and deferred charges 238 , 403
136 , 726
1
2 3 4
690 , 283
N d
is
7 8 9 10a Land, buildings, and equipment cost or other basis Complete Part VI of Schedule D 10a 10b b Less accumulated depreciation 11 Investments-publicly traded securities 12 Investments-other securities See Part IV, line 11 13 Investments-program-related See Part IV, line 11 14 Intangible assets 15 Other assets See Part IV, line 11 16 Total assets. Add lines 1 throu g h 15 ( must eq ual line 34) 17 Accounts payable and accrued expenses 18 Grants payable 19 Deferred revenue 20 Tax-exempt bond liabilities 21 Escrow or custodial account liability Complete Part IV of Schedule D 22 Payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified persons Complete Part II of Schedule L 23 Secured mortgages and notes payable to unrelated third parties 24 Unsecured notes and loans payable to unrelated third parties 25 Other liabilities Complete Part X of Schedule D 26 Total liabilities. Add lines 17 throu g h 25 Organizations that follow SFAS 117, check here ^ and complete lines 27 through 29, and lines 33 and 34.
6 7 8
34 , 133
49 , 735
173 , 970
66 , 0 6 1oc
11 12 13 14 15 16
64 , 433
6 , 000
242 , 945
79,795
17
18 19 20 21
126 , 923
8 , 562
88, 357
22 23 24 25 26
126 , 923
27
CO 28 29
124 , 012
27
29
457 , 863
30 , 576 28
230 , 576
ILL ca y N Z 30 31 32 33 34
30 31 32 33
34
DAA
363309812 06/11/2010 11 13 AM
36-3309812
Page 12
2a b c
3a b
IX Accrual Accounting method used to prepare the Form 990 U Cash Other If the organization changed its method of accounting from a prior year or checked "Other," explain in Schedule 0 Were the organization ' s financial statements compiled or reviewed by an independent accountant? Were the organization ' s financial statements audited by an independent accountant? If "Yes " to line 2a or 2b , does the organization have a committee that assumes responsibility for oversight of the audit , review , or compilation of its financial statements and selection of an independent accountant? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0 If "Yes " to line 2a or 2b , check a box below to indicate whether the financial statements for the year were issued on a consolidated basis , separate basis, or both Separate basis rf Consolidated basis Both consolidated and separate basis As a result of a federal award , was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133 If "Yes ," did the organization undergo the required audit or audits? If the organization did not undergo the and describe any stews taken to undergo such audits
DAA
363309812 06/11/2010 11 13 AM
SCHEDULE A
'(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service Name of the organization
OMB No 1545-0047
2009
Open to Public
Inspection
Part I
THE HEARTLAND INSTITUTE 36-3309812 Re as on for Public Charity Status (All organizations must complete this part ) See instructions .
The organization is not a private foundation because it is (For lines 1 through 11, check only one box ) 1 A church, convention of churches, or association of churches described in section 170 (b)(1)(A)(i). 2 [1] A school described in section 170 (b)(1)(A)(ii). (Attach Schedule E ) A hospital or a cooperative hospital service organization described in section 170 (b)(1)(A)(iii). 3 4 [ A medical research organization operated in conjunction with a hospital described in section 170 (b)(1)(A)(iii). Enter the hospital's name, city, and state 5 17 An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170 ( b)(1)(A)(iv ). ( Complete Part II ) A federal , state, or local government or governmental unit described in section 170 ( b)(1)(A)(v). 6 7 LI An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170 ( b)(1)(A)(vi ). ( Complete Part II ) A community trust described in section 170 ( b)(1)(A)(vi ). ( Complete Part II ) 8 9 'X' An organization that normally receives ( 1) more than 33 1/3 % of its support from contributions , membership fees , and gross receipts from activities related to its exempt functions-subject to certain exceptions , and (2 ) no more than 33 1/3 % of its support from gross investment income and unrelated business taxable income ( less section 511 tax ) from businesses acquired by the organization after June 30, 1975 See section 509(a )( 2). (Complete Part III ) 10 1 , An organization organized and operated exclusively to test for public safety See section 509 ( a)(4). 11 D An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509 ( a)(1) or section 509(a )( 2) See section 509(a )( 3). Check the box that describes the type of supporting organization and complete lines 11 a through 11 h a F] Type I b F_ Type II c Pj Type III- Functionally integrated d P Type III-Other I e L By checking this box , I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a )( 1) or section 509(a)(2) If the organization received a written determination from the IRS that it is a Type I, Type II, or Type III supporting f organization , check this box g Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons? (i) A person who directly or indirectly controls, either alone or together with persons described in (II) and (iii) below, the governing body of the supported organization? (ii) A family member of a person described in (i) above? (iii) A 35% controlled entity of a person described in (i) or (II) above? Provide the following information about the supported organization(s)
(ii) EIN
(iii) Type of organization (described on lines 1-9 above or IRC section (see instructions )) (iv) Is the organization in col (i) listed in your governing document? (v) Did you notify the organization in col (i) of your support? (vi) Is the organization in col (i) organized in the US?
Yes 11 11 11 i u iii
No
Yes
No
Yes
No
Yes
No
Total For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
DAA
363309812 06/11/2010 11 13 AM
'Schedule A (Form 990 or 990-EZ) 2009 THE HEARTLAND INSTITUTE 36-3309812 Part LP Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
Page 2
(Complete only if you checked the box on line 5, 7, or 8 of Part I.) Section A. Public Support
Calendar year (or fiscal year beginning in ) ^ I Gifts, grants, contributions, and membership fees received (Do not include any "unusual grants ") Tax revenues levied for the organization's benefit and either paid to or expended on its behalf The value of services or facilities furnished by a governmental unit to the organization without charge Total. Add lines 1 through 3 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f) Public su pp ort. Subtract line 5 from line 4 (a) 2005 (b) 2006 (c) 2007 (d) 2008 (e) 2009 (f) Total (a) 2005 (b) 2006 (c) 2007 (d) 2008 (e) 2009 (f) Total
4 5
sources
9 Net income from unrelated business activities, whether or not the business is regularly carried on Other income Do not include gain or loss from the sale of capital assets (Explain in Part IV) Total support . Add lines 7 through 10 Gross receipts from related activities, etc (see instructions) First five years . If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501 (c)(3) organization, check this box and stop here
10
11 12 13
12 ^ %
^ ^ I
^ J'
^ ^
18
DAA
363309812 06/11/2010 11 13 AM
.Schedule A (Form 990 or 990-EZ) 2009 THE HEARTLAND INSTITUTE Part III Support Schedule for Organizations Described in Section 509(a)(2)
36-3309812
Page 3
(Complete only if you checked the box on line 9 of Part I.) Section A . Public Support
Calendar year (or fiscal year beginning in) ^ 1 Gifts, grants, contributions, and membership fees received (Do not include
any "unusual grants") 4,272,891 2,517,448 4,993,162 7,659,414 6,499,687 25,942,602
(a) 2005
(b) 2006
(c) 2007
(d) 2008
(e) 2009
(f) Total
3 4
Gross receipts from activities that are not an unrelated trade or business under section 513 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf The value of services or facilities furnished by a governmental unit to the organization without charge
Total. Add lines 1 through 5 4,519,482 2,704,715 5,182,297 7,811,123 6,709,174 26,926,791
7a b
Amounts included on lines 1, 2, and 3 received from disqualified persons Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1 % of the
amount on line 13 for the year
2,869,522
953 , 200
3,625,937
5,610,000
4 ,170 ,159
17,228,818
201,382 3,070,904
159,790 1,112,990
136,966 3,762,903
73,371 5,683,371
182,319 4,352,478
753,828 17,982,646
Section B. Total Support Calendar year (or fiscal year beginning in)
9 10a Amounts from line 6 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 Add lines 10a and 10b Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on
(a) 2005
4,519,482
(b) 2006
2,704,715
(c) 2007
5,182,297
(d) 2008
7,811,123
(e) 2009
6,709,174
(f) Total
26,926,791
1,401
42,973
34,587
22,661
58,969
160,591
c 11
1,401
42,973
34,587
22,661
58,969
160,591
12
13 14
Other income Do not include gain or loss from the sale of capital assets (Explain in Part IV) Total support. (Add lines 9, 1Oc, 11, and 12) 4 , 520 , 883 1 2 , 747 , 688 1 5 , 216 , 884 1 7 , 833 , 784 First five years . If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization , check this box and stop here Public support percentage for 2009 (line 8, column (f) divided by line 13, column (f)) Public su pp ort percenta g e from 2008 Schedule A, Part III, line 15
6 768 143
27,087 382
36-3309812 'Schedule,A (Form 990 or990-EZ) 2009 THE HEARTLAND INSTITUTE Part IV Supplemental Information . Complete this part to provide the explanations required by Part II, line 10;
Page 4
Part II, line 17a or 17b; and Part III, line 12. Provide any other additional information See instructions.
363309812 06/11/2010 11 13 AM
SCHEDULE D
'(Form 990 ) Department of the Treasury Internal Revenue Service
Name of the organization
OMB No 1545-0047
2009
Employer identification number
1 36-3309812 THE HEARTLAND INSTITUTE Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts . Complete if Part I the organization answered "Yes" to Form 990, Part IV , line 6.
(a) Donor advised funds 1 Total number at end of year (b) Funds and other accounts
2 3 4 5 6
Aggregate contributions to (during year) Aggregate grants from (during year) Aggregate value at end of year Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization ' s property , subject to the organization ' s exclusive legal control'> Did the organization inform all grantees , donors, and donor advisors in writing that grant funds can be
Yes _
No
used only for charitable purposes and not for the benefit of the donor or donor advisor , or for any other purpose conferring impermissible private benefit? Yes II Conservation Easements . Complete if the organization answered "Yes" to Form 990, Part IV, line 7 Part 1 Purpose (s) of conservation easements held by the organization ( check all that apply) Preservation of land for public use (e g , recreation or pleasure ) -1 Preservation of an historically important land area Preservation of certified historic structure Protection of natural habitat L_I 2 Preservation of open space Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year
No
Held at the End of the Tax Year a b c d 3 4 5 6 7 8 9 2a Total number of conservation easements Total acreage restricted by conservation easements 2b Number of conservation easements on a certified historic structure included in (a) 2c Number of conservation easements included in (c) acquired after 8/17/06 2d Number of conservation easements modified , transferred , released, extinguished , or terminated by the organization during the taxable year ^ Number of states where property subject to conservation easement is located ^ _ _ _ _ _ Does the organization have a written policy regarding the periodic monitoring , inspection , handling of violations, and enforcement of the conservation easements it holds? Staff and volunteer hours devoted to monitoring , inspecting , and enforcing conservation easements during the year ^ Amount of expenses incurred in monitoring , inspecting , and enforcing conservation easements during the year Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)( B)(i) and section 170(h)(4)( B)(ii)' In Part XIV, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet , and include , if applicable , the text of the footnote to the organization ' s financial statements that describes the organization ' s accounting for conservation easements
Yes
No
Yes
No
Part III
Organizations Maintaining Collections of Art, Historical Treasures , or Other Similar Assets. Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
la If the organization elected, as permitted under SFAS 116, not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIV, the text of the footnote to its financial statements that describes these items b If the organization elected, as permitted under SFAS 116, to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items (i) Revenues included in Form 990, Part VIII, line 1 ^ $ (ii) Assets included in Form 990, Part X ^ $ 2 If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 116 relating to these items ^ $ a Revenues included in Form 990, Part VIII, line 1 b Assets included in Form 990, Part X
For Privacy Act and Paperwork Reduction Act Notice , see the Instructions for Form 990 . DAA
$
Schedule D (Form 990) 2009
3633098 ,2 06/11/2010 11 13 AM
THE HEARTLAND INSTITUTE 36-3309812 t'chedule_D (Form 990) 2009 Page 2 Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued) Part III
3 a b c 4 5 Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply) , Public exhibition 7 Scholarly research Preservation for future generations d Loan or exchange programs e [ J Other _ _ _ _ _ _ _ _ _ _ _ _ _
Provide a description of the organization ' s collections and explain how they further the organization ' s exempt purpose in Part XIV During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets to be sold to raise funds rather than to be maintained as part of the organization's collection? , Yes No
Part IV
Escrow and Custodial Arrangements . Complete if the organization answered "Yes" to Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
Yes Amount No
1a Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included on Form 990, Part X? b If "Yes," explain the arrangement in Part XIV and complete the following table c Beginning balance d Additions during the year e Distributions during the year f Ending balance 2a Did the organization include an amount on Form 990, Part X, line 21? b If "Yes," explain the arrangement in Part XIV 1c 1d le if
Yes
No
Part V
Endowment Funds . Complete if organization answered "Yes" to Form 990, Part IV, line 10.
(a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back
1a Beginning of year balance b Contributions c Net investment earnings, gains, and losses d Grants or scholarships e Other expenditures for facilities and programs f Administrative expenses g End of year balance 2 Provide the estimated percentage of the year end balance held as a Board designated or quasi-endowment ^ b Permanent endowment ^ c Term endowment ^ % 3a Are there endowment funds not in the possession of the organization that are held and administered for the organization by (i) unrelated organizations (ii) related organizations b If "Yes" to 3a(u), are the related organizations listed as required on Schedule R' 4 Describe in Part XIV the intended uses of the organization's endowment funds
Yes 3a i 3a ii 3b
No
Part VI
Investments -Land. Buildinas_ and Eauinment _ SPP Form 99O Part X Imp in
Description of investment (a) Cost or other basis (investment) (b) Cost or other basis (other) (c) Accumulated depreciation (d) Book value
is b c d
e Other
238 , 403 1
173 , 970
^
64 , 433
64 , 433
Total. Add lines la through le (Column (d) must equal Form 990, PartX, column (B), line 10(c))
DAA
363309812 06/11/2010 11 13 AM
Schedule D ( Form 990 ) 2009 THE HEARTLAND INSTITUTE Part VII Investments -Other Securities . See Form 990, Part X, line 12
(a) Descnption of security or category (including name of security) (b) Book value
36-3309812
( c) Method of valuation Cost or end-of-year market value
Page 3
^ 1 Total . (Column ( b) must equal Form 990 , Part X, col (B) line 12) Part VIII Investments - Pro g ram Related . See Form 990, Part X, line 13.
(a) Description of investment type (b ) Book value
i
(c) Method of valuation Cost or end-of-year market value
Total. (Column (b) must equal Form 990, Part X, col (B) line 13) ^ Part IX Other Assets. See Form 990, Part X, line 15.
(a) Description (b) Book value
Total. (Column (b) must e q ual Form 990, Part X, col (B) line 15)
^ (b) Amount
Part X
1
Total. (Column (b) must equal Form 990, Part X, col (B) line 25) ^ 1 1 2. FIN 48 Footnote In Part XIV, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48
Schedule D ( Form 990) 2009 DAA
363309812 06/11/2010 11 13 AM
36-3309812 S chedule,D (Form 990) 2009 THE HEARTLAND INSTITUTE Reconciliation of Change in Net Assets from Form 990 to Audited Financial Statements Part XI
1 2 3 4 5 6 7 8 9 10 1 Total revenue (Form 990, Part Vlll, column (A), line 12) Total expenses (Form 990, Part IX, column (A), line 25) Excess or (deficit) for the year Subtract line 2 from line 1 Net unrealized gains (losses) on investments Donated services and use of facilities Investment expenses Prior period adjustments Other (Describe in Part XIV) Total adjustments (net) Add lines 4 through 8 Excess or (deficit ) for the year per audited financial statements Combine lines 3 and 9 1 2
Page 4
6 , 785 , 374 6 , 251 , 523
3
4 5 6 7 8 9 10 1 2a 2b 2c 2d 85 , 282 2e
533 , 851
533 , 851
6 , 870
Part XII
2
Total revenue , gains , and other support per audited financial statements Amounts included on line 1 but not on Form 990, Part VIII, line 12 a Net unrealized gains on investments b Donated services and use of facilities c Recoveries of prior year grants d Other (Describe in Part XIV) e Add lines 2a through 2d 3 Subtract line 2e from line 1 4 Amounts included on Form 990, Part VIII, line 12, but not on line 1: a Investment expenses not included on Form 990, Part VIII, line 7b b Other (Describe in Part XIV) c Add lines 4a and 4b 5 Total revenue Add lines 3 and 4c. (This must eq ual Form 990 , Part I line 12
, 656
85 , 282
3
4a 4b c 5
6 , 785 , 374
6 , 785 , 374
Pa rt XIII
1 2
Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
Total expenses and losses per audited financial statements Amounts included on line 1 but not on Form 990, Part IX, line 25 a Donated services and use of facilities b Prior year adjustments c Other losses d Other ( Describe in Part XIV ) e Add lines 2a through 2d 3 Subtract line 2e from line 1 4 Amounts included on Form 990 , Part IX, line 25, but not on line 1: a Investment expenses not included on Form 990 , Part VIII, line 7b b Other ( Describe in Part XIV ) c Add lines 4a and 4b
2b
2d 1
4a 4b 4c
5 Total expenses Add lines 3 and 4c. (This must equal Form 990, Part I, line 18) ..... Part XIV Supplemental Information
....
..
1 5
6,251,523
Complete this part to provide the descriptions required for Part II, lines 3, 5, and 9, Part III, lines la and 4, Part IV, lines lb and 2b, Part V, line 4, Part X, line 2, Part XI, line 8, Part XII, lines 2d and 4b, and Part XIII, lines 2d and 4b Also complete this part to provide any additional information
_PART XIl LINE 8 -_RECONCILATION OF CHANGES - OTHER - - - - - - - - - - - - - - - - - - - - - - - - - - - - _DIRECT EXPENSES FROM 990 PART VIII LINE 8B _ _ _ _ _ $ $ -85,282 -85,282 _DIRECT EXPENSES-FROM 990 PART-VIII LINE-8.B - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - _PART XII,_LINE 2D---REVENUE AMOUNTS-INCLUDED IN FINANCIALS - OTHER _ _ _ _ _ - - - - - - - - - - - - - - - - - - - - - - - _DIRECT EXPENSES FROM 990 PART VIII LINE 8B $ - - -85,282 - -
DAA
36330981'2 06/11/2010 11 13 AM
THE HEARTLAND INSTITUTE Schedule,D (Form 990) 2009 Supplemental Information (continued) Part XIV -PART XIII_LINE-2D - - - - -
36-3309812
Page 5
85,282 - -
363309812 06/11/2010 11 13 AM
Schedule F (Form 990) Department of the Treasury Internal Revenue Service Name of the organization
OMB No
1545-0047
Part I
1
THE HEARTLAND INSTITUTE 36-3309812 General Information on Activities Outside the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 14b.
For grantmakers . Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? For grantmakers . Describe in Part IV the organization's procedures for monitoring the use of grant funds outside the United States Activities per Region (Use Schedule F-1 (Form 990) if additional space is needed )
(a) Region (b) Number of offices in the region (c) Number of employees or agents in region (d) Activities conducted in region (by type) (i e , fundraising, program services, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of service(s) in region
^X Yes
1-1 No
EAST ASI
Totals
115,000
Schedule F ( Form 990) 2009
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA
363309812 06/11/2010 11 13 AM
Page 2 36-3309812 THE HEARTLAND INSTITUTE Schedule F (Form 990) 2009 Grants and Other Assistance to Organizations or Entities Outside the United States . Complete if the organization answered "Yes" to Form 990, Part II
Part IV, line 15, for any recipient who received more than $5,000. Check this box if no one recipient received more than $5,000 Use Schedule F-1 Form 990 if additional space is needed.
(a) Name of organization (b) IRS code section and EIN (if applicable) (c) Region (d) Purpose of grant (e) Amount of cash grant (f) Manner of cash disbursement (g) Amount of non-cash assistance (h) Description of non-cash assistance
RESEARCH/PUBLICATION EAST ASIA AND THE PACIFIC RESEARCH/PUBLICATION EAST ASIA AND THE PACIFIC RESEARCH/PUBLICATION EAST ASIA AND THE PACIFIC RESEARCH/PUBLICATION EAST ASIA AND THE PACIFIC RESEARCH/PUBLICATION EAST ASIA AND THE PACIFIC
2 3
Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter Enter total number of other organizations or entities
^ ^
DAA
363309612 06/11/2010 11 13 AM
.,
Page-336-3309812 THE HEARTLAND INSTITUTE Schedule F (Form 990) 2009 Grants and Other Assistance to Individuals Outside the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 16._ Part III Use Schedule F-1 (Form 990) if additional slDace is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of cash grant (e) Manner of cash disbursement (f) Amount of non-cash assistance (g) Description of non-cash assistance (h) Method of valuation (book, FMV, a pp raisal, other
DAA
363309812 06/11/2010 11 13 AM
THE HEARTLAND INSTITUTE Sghedule F (Forrq 990) 2009 Supplemental Information Part IV
36-3309812
Page 4
Complete this part to provide the information required in Part 1, line 2, and any other additional information. PART I, LINE 2 - PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS
THE ORGANIZATION IS "FRIENDS OF" THE GRANT RECIPIENTS THEREFORE NO MAJOR TRACKING IS NECESSARY.
363309812 06/11/2010 11 13 AM
OMB No 1545-0047
2009
Part 1
1
36-3309812 THE HEARTLAND INSTITUTE Fundraising Activities. Complete if the organization answered "Yes" to Form 990, Part IV, line 17. Form 990-EZ filers are not required to complete this part
e u Solicitation of non-government grants
f Solicitation of government grants
Indicate whether the organization raised funds through any of the following activities Check all that apply a u Mail solicitations
rb U Internet and email solicitations c u Phone solicitations
d u In-person solicitations 2a Did the organization have a written or oral agreement with any individual (including officers, directors, trustees or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services? b If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be compensated at least $5,000 by the organization
(r) Name of individual or entity ( fundraiser ) (ii) Activity (iii) Did fundraiser have custody or control of contributions? (iv) Gross receipts from activity (v) Amount paid to (or retained by) fundraiser listed in col (r) (vi) Amount paid to (or retained by) organization
Yes
u No
Yes No
Total 3
List all states in which the organization is registered or licensed to solicit funds or has been notified it is exempt from registration or licensing
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990 - EZ. DAA
363309812 06/11/2010 11 13 AM
Page 2 Sched0le G (Form 990 or 990-EZ) 2009 36-3309812 THE HEARTLAND INSTITUTE Fundraising Events . Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported Fart Il more than $15,000 on Form 990-EZ , line 6a. List events with g ross recei pts g reater than 5,000.
(a) Event #1 (b) Event #2 (c) Other events (d) Total events FUNDRAISING (event type) (event type) NONE (total number) (add col (a) through Col (c))
a)
of
I 2
3
102 , 513
102 , 513
minus line 2 4
5 a) U) 6
7
U N
102,513
102 , 513
Cash prizes
Noncash prizes Rent/facility costs
Food and beverages
C a) CL
Entertainment
85 , 2821
85,282
85,282 ^ 10 Direct expense summary Add lines 4 through 9 in column (d) 17 , 231 ^ 11 Net income summary Combine line 3, column (d), and line 10 Part III Gaming . Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more
I U) v, 2 3 4 5 6 7 8 9 a b
Gross revenue Cash prizes Noncash prizes Rent/facility costs Other direct ex penses Volunteer labor Yes fl No % L I Yes No % Yes 1 No %
c a> X-
w
U
'
Direct expense summary Add lines 2 through 5 in column (d) Net gaming income summary Combine line 1, column d , and line 7
^ ^ Yes No
Enter the state ( s) in which the organization operates gaming activities Is the organization licensed to operate gaming activities in each of these states? If "No ," Explain
9a
10a b
Were any of the organization ' s gaming licenses revoked , suspended or terminated during the tax year? If "Yes ," Explain
10a
11 12 DAA
Does the organization operate gaming activities with nonmembers? Is the organization a grantor , beneficiary or trustee of a trust or a member of a partnership or other entity formed to administer charitable g aming ?
363309812 06/1.1/2010 11 13 AM
THE
HEARTLAND
INSTITUTE
36-3309812
Page 3
Indicate the percentage of gaming activity operated in The organization's facility An outside facility Provide the name and address of the person who prepares the organization's gaming/special events books and records
Name ^
13a 13b
% %
Address ^
15a b c
Does the organization have a contract with a third party from whom the organization receives gaming revenue9 If "Yes," enter the amount of gaming revenue received by the organization ^ $ $ amount of gaming revenue retained by the third party ^ If "Yes," enter name and address of the third party
Name ^
Address ^
16
Gaming manager information Name ^ Gaming manager compensation ^ Description of services provided ^ n Director/officer F] Employee F] Independent contractor $
17 a
b
Mandatory distributions Is the organization required under state law to make charitable distributions from the gaming proceeds to retain the state gaming license?
Enter the amount of distributions required under state law distributed to other exempt organizations or spent in the organization's own exemot activities during the tax year ^ $
17a
DAA
363309812 06/11/2010 11 13 AM
OMB No 1545-0047
Noncash Contributions
^ Complete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30. ^ Attach to Form 990.
2009
Open To Public Inspection
Employer identification number
Part I
36-3309812
(d) Method of determining revenues
1 2 3 4 5 6 7 8 9 10 11 12 13
Art-Works of art Art-Historical treasures Art-Fractional interests Books and publications Clothing and household goods Cars and other vehicles Boats and planes Intellectual property Securities-Publicly traded Securities-Closely held stock Securities-Partnership, LLC,
12 , 250
or trust interests
Securities-Miscellaneous Qualified conservation contribution-Historic
structures
14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 Qualified conservation contribution-Other Real estate-Residential Real estate-Commercial Real estate-Other Collectibles Food inventory Drugs and medical supplies Taxidermy Historical artifacts Scientific specimens Archeological artifacts SOFTWARE Other
123 , 885
Other ^ ( ) Other ^ ( ) Other ^ Number of Forms 8283 received by the organization during the tax year for contributions for which the organization completed Form 8283, Part IV, Donee Acknowledgement
29 Yes No
30a
b 31 32a b 33
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it must hold for at least three years from the date of the initial contribution, and which is not required to be used for exempt purposes for the entire holding period? If "Yes," describe the arrangement in Part II Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash contributions? If "Yes," describe in Part II If the organization did not report revenues in column (c) for a type of property for which column (a) is checked, describe in Part II
30a
31 32a
X X
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA
363309812 06/11/2010 11 13 AM
THE HEARTLAND INSTITUTE 36-3309812 Sch=dule M ( Fo7m 9Q0) 2009 Supplemental Information . Complete this part to provide the information required by Part I, lines 30b, Qprt,,ll .
Page 2
32b, and 33. Also complete this part for any additional information.
363309812 06/14/2010 11 13 AM
u1B No 1545-0047
2009
Open to Public
36-3309812
FORM 990,
PART VI,
FORM 990,
PART VI,
FORM 990 ,
PART VI,
FORM 990 ,
PART VI,
LINE
COMPARABILITY DATA,
FORM 990,
PART VI,
For Privacy Act and Paperwork Reduction Act Notice , see the Instructions for Form 990. DAA
363309112 06/14/2010 11 13 AM
Scbedule 0 (Porrrl 990) 2009 Nave ot,the organization Employer identification number
FORM 990,
PART VI,
363309812 06/14/2010 11 13 AM
^FQ^^, 4562
Department of the Treasury Internal Revenue Service Name (s) shown on return Business or activity to which this form relates
2009
36-3309812
INDIRECT DEPRECIATION Election To Expense Certain Property Under Section 179 Part I Note: If you have an y listed p ro pe rty, com p lete Part V before you com p lete Part I.
1 2 3 4 5
6
Maximum amount See the instructions for a higher limit for certain businesses Total cost of section 179 property placed in service (see instructions) Threshold cost of section 179 property before reduction in limitation (see instructions) Reduction in limitation Subtract line 3 from line 2 If zero or less, enter -0aratel Dollar limitation for tax year Subtract line 4 from line 1 If zero or less, enter -0- If married filing separatel y,, see instructions
(a) Description of property (b) Cost (business use only) (c) Elected cost
1 2 3 4 5
7 Listed property Enter the amount from line 29 Total elected cost of section 179 property Add amounts in column (c), lines 6 and 7 8 Tentative deduction Enter the smaller of line 5 or line 8 9 10 Carryover of disallowed deduction from line 13 of your 2008 Form 4562 11 Business income limitation Enter the smaller of business income (not less than zero) or line 5 (see instructions) Section 179 expense deduction Add lines 9 and 10, but do not enter more than line 11 12 ^ 13 13 Car ryover of disallowed deduction to 2010 Add lines 9 and 10, less line 12 Note: Do not use Part II or Part III below for listed property Instead, use Part V 7
8 9 10 11 12
Part it S p ecial De p reciation Allowance and Other De p reciation ( Do not include listed p ro p ert. (See instr. ) 14 Special depreciation allowance for qualified property (other than listed property) placed in service
15 during the tax year (see instructions) Property subject to section 168(0(1) election 14 15
16 Other de p reciation ( includin g ACRS ) MACRS Depreciation (Do not include listed property.) (See instructions ) Part III
Section A
17 18 MACRS deductions for assets placed in service in tax years beginning before 2009 If you are electing to group any assets placed in service during the tax year into one or more general asset accounts, check here ^
16
19 , 501
17
Section B-Assets Placed in Service During 2009 Tax Year Using the General Depreciation System
(a) Classification of property (b) Month and year placed in service (c) Basis for depreciation (business/investment use only-see instructions ) (d) Recovery period (e) Convention (f) Method (g) Depreciation deduction
19a
d e f h i
p ro pe rty p ro pe rty p ro perty p ro perty Residential rental property Nonresidential real property
S/L S/L MM S/L Section C-Assets Placed in Service During 2009 Tax Year Using the Alternative Depreciation System 12 rs 40 yrs; MM S/L S/L S/L 21 22 19 , 501
y rs 27 5 yrs 27 5 y rs 39 y rs
MM MM MM
S/L S/L
20a b c 21 22 23
Part IV
Listed property Enter amount from line 28 Total. Add amounts from line 12, lines 14 through 17, lines 19 and 20 in column (g), and line 21 Enter here and on the appropriate lines of your return Partnerships and S corporations-see instructions For assets shown above and placed in service during the current year, enter the 23 p ortion of the basis attributable to section 263A costs
Form
8868
OMB No 1545-1709
If you are filing for an Automatic If you are filing for an Additional Do not complete Part ll unless you Automatic 3-Month FOM
3-Month Extension, complete only Part I and check this box . . . . . . . . ^ Q ( Not Automatic) 3-Month Extension , complete only Part II (on page 2 of this form). have alread y been g ranted an automatic 3-month extension on a p reviousl y filed Form 8868. Extension of Time . Only submit original (no copies needed).
A corporation required to file Form 990-T and requesting an automatic 6-month extension-check this box and complete Part I only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ^ u All other corporations (including 1120-C filers), partnerships, REMICs, and trusts must use Form 7004 to request an extension of time to file income tax returns. Electronic Filing (e- file ). Generally, you can electronically file Form 8868 if you want a 3-month automatic extension of time to file one of the returns noted below (6 months for a corporation required to file Form 990-T). However, you cannot file Form 8868 electronically if (1) you want the additional (not automatic) 3-month extension or (2) you file Forms 990-BL, 6069, or 8870, group returns, or a composite or consolidated Form 990-T. Instead, you must submit the fully completed and signed page 2 (Part II) of Form 8868. For more details on the electronic filing of this form, visit www.irs.gov/efile and click on e-file for Charities & Nonprofits.
Type or print File by the due date for filing your return See instructions
City, town or post office, state, and ZIP code For a foreign address, see instructions. CHICAGO, IL 60603 u u u u Form Form Form Form 4720 5227 6069 8870
Check type of return to be filed (file a separate application for each return): 0 Form 990 u Form 990-T (corporation) u Form 990-BL u Form 990-T (sec. 401(a) or 408(a) trust) u Form 990-EZ u Form 990-T (trust other than above) u Form 990-PF u Form 1041-A
The books are in the care of ^ THE HEARTLAND INSTITUTE 377-4000 377-5000 Telephone No. ^ (---312 ) FAX No. ^ 1---312 ) If the organization does not have an office or place of business in the United States, check this box . . . . . . ^ u If this is for a Group Return, enter the organization's four digit Group Exemption Number (GEN) . If this is for the whole group, check this box . .... ^ u . If it is for part of the group, check this box ...... ^ u and attach a list with the names and EINs of all members the extension will cover. I request an automatic 3-month (6 months for a corporation required to file Form 990-T) extension of time until ----AUGUST 15 20-10 . , to file the exempt organization return for the organization named above. The extension is for the organization's return for: ^ 0 calendar year 20-- 09-- or
^ u tax year beginning ---------------------------------- - 20 ------ , and ending -------------------------------------- 20-------2 If this tax year is for less than 12 months, check reason: u Initial return u Final return u Change in accounting period
3a If this application is for Form 990-BL, 990-PF, 990-T, 4720, or 6069 , enter the tentative tax, less any nonrefundable credits. See instructions.
b If this application is for Form 990-PF or 990-T, enter any refundable credits and estimated tax
payments made. Include any prior year overpayment allowed as a credit. c Balance Due. Subtract line 3b from line 3a. Include your payment with this form, or, if required, deposit with FTD coupon or, if required, by using EFTPS (Electronic Federal Tax Payment System). See Instructions. Caution . If you are going to make an electronic fund withdrawal with this Form 8868, see Form 8453-EO and Form 8879-EO for payment instructions.
For Privacy Act and Paperwork Reduction Act Notice , see Instructions . Cat No 27916D Form 8868 (Rev 4-2009)
3b