Professional Documents
Culture Documents
Return of Organization
990
....
Form,
OMB
No 1545-0047
2012
Under section 501(c}, 527, or 4947(a)(1) of the Internal Revenue Code (except black lung
benefit trust or private foundation)
tdi,ar1ilient
oftheTreasury
Of?en to Public
Internal Revenue Service
~ The organization may have to use a copy of this return to satisfy state reporting requirements
hl$oection
.
A For th e 2012 ca Ien dar vear or tax vear beamnma
an d en d"ma
oforganization
D Employer
Identification
number
1fapplicableC Name
B Check
INSTITUTE
THE HEARTLAND
Address
change
DoingBusiness
As
36-3309812
Name
change
Number
andstreet(orPO box1fma1l
1snotdelivered
tostreetaddress)
Room/suite
E Telephone
number
lmtJalretum
ONE SOUTH WACKER
2740
312-377-4000
Terminated
City,townorpostoffice.state,andZIPcode
O
O
O
O
CHICAGO
O Amended
return
F Name
andaddress
ofprincipal
officer
O Apphcabon
pending
IL
60606
JOSEPH BAST
ONE SOUTH WACKER, SUITE 2740
CHICAGO
IL 60606
I I 4947(a)(1
l or
IXI so11c1131I I so11c1<
) -4111
I insert
nol
t Taxoilxemot
status
Website~ WWW.HEARTLAND.ORG
J
Form
oforqamzabonIXI Corporation
K
I I Trust I I Association
I I Other~
p art
s ummarv
H(a) Isthisagroup
return
foraffiliates?
c:
ra
c:
...
a,
>
C)
H(b) Areallaffiliates
included?
If "No,"attacha list (see1nstruct1ons)
I I s27
H(c) Grouoexemot1on
number~
IL
IM
Yearofformation1984
State
ofleQal
dom1c1leIL
1fthe organization discontinued its operations or disposed of more than 25% of its net assets
3 Number of voting members of the governing body (Part VI, line 1a)
4 Number of independent voting members of the governing body (Part VI, line 1b)
all
1/)
:~
ti
C(
'
3
4
12
11
34
1
2,500
-105,965
7a
7b
PnorYear
c:
a,
>
a,
0::
CurrentYear
4,524,164
90,822
-9,874
-31,481
4,573,631
58,000
a,
::,
11 Other revenue (Part VIII, column (A), lines 5, 6d, Sc, 9c, 10c, and 11e)
12 Total revenue - add lines 8 throuah 11 (must eaual Part VIII column (Al. hne 12)
13 Grants and s1m1laramounts paid (Part IX, column (A), lines 1-3)
5,202,679
70,245
6,997
49,194
5,329,115
a,
1/)
II(
....
::-g
21 Total hab1ht1es
(Part X, line 26)
612,214
Q.
"'Ill
2,116,463
0
c:
a,
.,.;;
2,004,898
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10)
1/)
0
0
.fig
O Yes ~ No
O Yes O No
a,
~.,
O a,
5,411,693
G Gross
rece1ots
$
<D
C\J
w
JUL O1 '2013
3,141,979
5,204,877
-631,246
J Beginning
of CurrentYear
'
!,:;
nr,n~l\1
--.-11v,
~
-
3,327,849
5,444,312
-115,197
nr
Endof Year
330 493
488 015
-157,522
482,571
755,290
-272 719
Sign
Here
~
~
Date
PRESIDENT
Prmt!Type
prepare(s
name
Paid
Preparer
Use Only
ROBERT TIGHE
F1m's name
TIGHE
ELGIN IL
Firm'saddress
May the IRS discuss this return with the preparer shown above? (see 1nstruct1ons)
For Paperwork Reduction Act Notice, see the separate instructions
DAA
D if
Date
Check
06/17 /13
self-i!mployedP00376855
Firm'sEIN
Phone
no
PTIN
2 6- 0 4 7 6 9 9 5
847-695-2700
IX]Yes O No
363309812 06/17/2013 1 50 PM
Patt HI
1
36-3309812
Page
Did the organization undertake any significant program services during the year which were not listed on the
prior Form 990 or 990-EZ?
D Yes
No
D Yes
No
Did the organization cease conducting, or make srgnrficant changes rn how rt conducts, any program
services?
If "Yes," describe these changes on Schedule O
Describe the organization's program service accomplishments for each of rts three largest program services, as measured by
expenses Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocatrons to others,
the total expenses, and revenue, rf any, for each program service reported
) (Expenses $
1, 625, 176 rncludrng grants of$
) (Revenue $
PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON
PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE. HEARTLAND PRODUCED SIX
MONTHLYNEWSPAPERS (TWO OF THEM DIGITAL-ONLY)
(BUDGET & TAX NEWS,
ENVIRONMENT & CLIMATE NEWS, FIRE POLICY NEWS, HEALTH CARE NEWS, INFOTECH &
TELECOM NEWS, AND SCHOOL REFORM NEWS); ONE PRINT NEWSLETTER (QPR); SIX
EMAIL NEWSLETTERS (LAWSUIT ABUSE FORTNIGHTLY, CONSUMER POWER REPORT, NIPCC
UPDATE, CLIMATE CHANGE WEEKLY, THE LEAFLET, AND HEARTLANDWEEKLY); AND 15
POLICY BRIEFS. IT ALSO DRAMATICALLY IMPROVED ITS WEB PRESENCE, ATTRACTING
1,652,356
VISITORS GENERATING 2,593,014
PAGE VIEWS (IMPROVEMENTS OF 31
PERCENT AND 34 PERCENT, RESPECTIVELY, OVER 2011).
4a (Code
) (Expenses $
1, 423, 452 rncludrng grants of$
) (Revenue $
PUBLIC RELATIONS - SEMINARS, EVENTS, SPEAKERS BUREAU, AND OTHER ACTIVITIES
AIMED AT EDUCATING HEARTLANDMEMBERS AND THE GENERAL PUBLIC CONCERNING
PUBLIC POLICY ISSUES. HEARTLAND HOSTED OR COHOSTED 26 EVENTS IN 2012,
INCLUDING CONFERENCES IN WASHINGTON, DC AND MUNICH, GERMANY. THE EVENTS
ATTRACTED A TOTAL AUDIENCE OF 4,882 PEOPLE. HEARTLANDALSO EXHIBITED AT
NINE TRADE SHOWS AND EVENTS FOR MEMBERS OF THE GENERAL PUBLIC, AND ITS
SENIOR FELLOWS AND STAFF DELIVERED MORE THAN 178 SPEECHES TO AUDIENCES
TOTALING 23,353
PEOPLE. HEARTLAND REPRESENTATIVES APPEARED IN PRINT OR
ONLINE 5,033 TIMES, REACHING A PRINT AUDIENCE OF MORE THAN 136 MILLION
READERS. WE PRODUCED 239 PODCASTS REACHING A TOTAL AUDIENCE OF 427,501
LISTENERS.
4b (Code
) (Expenses $
1 , 14 6 , 4 5 9 rncludrng grants of $
) (Revenue $
GOVERNMENTALRELATIONS - PUBLICATIONS AND EVENTS GEARED TOWARDEDUCATING
AND INFORMING LOCAL, STATE, AND NATIONAL ELECTED OFFICIALS ABOUT PUBLIC
POLICY ISSUES. HEARTLAND EXHIBITED AT CONFERENCES SPONSORED BY THE AMERICAN
LEGISLATIVE EXCHANGE COUNCIL AND NATIONAL CONFERENCE OF STATE LEGISLATURES;
TESTIFIED BEFORE LEGISLATIVE COMMITTEES IN A HALF-DOZEN STATES; AND HOSTED
A DAY-LONG EMERGING ISSUES FORUM EVENT IN CHICAGO. IN ADDITION, 143
RESEARCH & COMMENTARYCOLLECTIONS OF BACKGROUNDREADINGS ON EDUCATION,
ENVIRONMENT, HEALTH CARE, INSURANCE, TOBACCO, AND WELFARE ISSUES WERE
DISTRIBUTED BY EMAIL AND POSTED ON HEARTLAND'S WEB SITE.
4c (Code
rncludrng grants of $
) (Revenue $
4,195,087
Form
990 (2012)
363309812
06/17/2013
1 50 PM
36-3309812
Page
Yes
1
2
3
complete Schedule A
Did the organization engage rn lobbying act1v1t1es,or have a section 501 (h)
election rn effect during the tax year? If "Yes," complete Schedule C, Part II
5
x
x
No
Is the organization described rn section 501 (c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes,"
Is the organization a section 501 (c)(4), 501 (c)(5), or 501 (c)(6) organization that receives membership dues,
assessments, or s1m1laramounts as defined rn Revenue Procedure 98-19? If "Yes," complete Schedule C,
Part Ill
10
Did the organization marntarn any donor advrsed funds or any s1m1larfunds or accounts for whrch donors
have the right to provide advice on the d1stributron or investment of amounts rn such funds or accounts? If
"Yes," complete Schedule D, Part I
Did the organization receive or hold a conservation easement, rncludrng easements to preserve open space,
the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II
Did the organization marnta1n collections of works of art, historical treasures, or other s1m1larassets? If "Yes,"
complete Schedule D, Part Ill
Did the organization report an amount rn Part X, line 21, for escrow or custodial account liability, serve as a
custodian for amounts not listed rn Part X, or provide credit counseling, debt management, credit repair, or
debt negot1at1onservices? If "Yes," complete Schedule D, Part IV
10
Did the organization, directly or through a related organization, hold assets rn temporarily restricted
endowments, permanent endowments, or quasi-endowments? If "Yes," complete Schedule D, Part V
11
If the organization's answer to any of the following questions 1s"Yes," then complete Schedule D, Parts VI,
VII, VIII, IX, or X as applicable
Did the organization report an amount for land, bu1ldrngs, and equipment rn Part X, line 1O? If "Yes,"
complete Schedule D, Part VI
11a
of its total assets reported rn Part X, line 16? If "Yes," complete Schedule D, Part VII
c
11c
Did the organization report an amount for other assets in Part X, line 15 that 1s5% or more of its total assets
11d
Did the organization report an amount for other liab11illesrn Part X, line 25? If "Yes," complete Schedule D, Part X
11e
x
x
11f
12a
Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses
Did the organization obtarn separate, independent audited financial statements for the tax year? If "Yes," complete
Schedule D, Parts XI and XII
for uncertain tax pos1t1onsunder FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X
the organization's l1ab11ity
12a
11b
of its total assets reported rn Part X, line 16? If "Yes," complete Schedule D, Part VIII
d
Was the organizatron included rn consolidated, independent audited frnancral statements for the tax year? If "Yes," and 1f
the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional
12b
13
Is the organization a school described rn section 170(b)(1 )(A)(i1)? If "Yes," complete Schedule E
13
14a
Did the organization marntarn an office, employees, or agents outside of the United States?
14a
x
x
x
14b
15
16
17
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmakrng,
outside the United States, or aggregate
fundra1sing, business, investment, and program service act1v1t1es
foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV
15
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, Parts II and IV
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance
to rnd1v1dualslocated outside the United States? If "Yes," complete Schedule F, Parts Ill and IV
17
Did the organization report a total of more than $15,000 of expenses for professional fundra1srng services on
Part IX, column (A), Imes 6 and 11e? If "Yes," complete Schedule G, Part I (see rnstrucllons)
18
Did the organization report more than $15,000 total of fundra1srng event gross rncome and contributions on
19
Did the organization report more than $15,000 of gross rncome from gamrng act1v1lleson Part VIII, line 9a?
If "Yes," complete Schedule G, Part Ill
19
20a
Did the organization operate one or more hospital fac11it1es?If "Yes," complete Schedule H
20a
If "Yes" to line 20a did the oraanizat1on attach a copy of its audited frnanc1al statements to this return?
20b
18
Form
DAA
x
N,
x
x
990 (2012)
363309612 06/17/2013 1 50 PM
Pa'rt lV
36-3309812
Page
21
Drd the organization report more than $5,000 of grants and other assistance to any government or organization
22
Drd the organization report more than $5,000 of grants and other assistance to 1nd1v1duals
in the United States
23
Drd the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the
in the United States on Part IX, column (A). line 1? If "Yes," complete Schedule I, Parts I and II
on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and Ill
No
21
22
organization's current and former officers, directors, trustees, key employees, and highest compensated
employees? If "Yes," complete Schedule J
24a
23
Drd the organization have a tax-exempt bond rssue wrth 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
b
c
d
25a
24a
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?
24b
.N 4
24c
N~
Drd the organization act as an "on behalf of' issuer for bonds outstanding at any trme during the year?
24d
Drd the organrzatron maintain an escrow account other than a refunding escrow at any time during the year
~r)
with a disqualified person during the year? If "Yes," complete Schedule L, Part I
b
25a
25b
Is the organrzatron aware that rt engaged in an excess benefit transaction wrth a disqualified person in a prior
year, and that the transaction has not been reported on any of the organrzatron's prior Forms 990 or 990-EZ?
If "Yes," complete Schedule L, Part I
26
Was a loan to or by a current or former officer, director, trustee, key employee, highest compensated employee, or
disqualified person outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part II
27
26
Drd the organrzatron provide a grant or other assistance to an officer, director, trustee, key employee,
substantial contnbutor or employee thereof, a grant selection committee member, or to a 35% controlled
entity or family member of any of these persons? If "Yes," complete Schedule L, Part Ill
28
27
28a
28b
Was the organization a party to a business transaction wrth one of the following parties (see Schedule L,
Part IV instructions for applicable filing thresholds, condrtrons, 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
An entity of whrch a current or former officer, director, trustee, or key employee (or a family member thereof)
Schedule L, Part IV
was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV
28c
29
Drd the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M
29
x
x
30
Drd the organization receive contributions of art, historical treasures, or other s1m1larassets, or qualified
30
31
32
33
Drd the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of rts net assets? If "Yes,"
Part I
complete Schedule N, Part II
33
Did the organrzatron own 100% of an entity disregarded as separate from the organizatron under Regulations
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Parts II, Ill,
sections 301 7701-2 and 301 7701-3? If "Yes," complete Schedule R, Part I
or IV, and Part V, line 1
35a
b
x
x
34
Drd the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction wrth a
controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2
35b
IvrA
36
37
Drd the organization conduct more than 5% of rts actrvrtres through an entity that rs not a related organizatron
36
37
and that rs treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R,
Part VI
38
Drd the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and
19? Note. All Form 990 filers are reQurredto comolete Schedule O
38
Form
DAA
x
990 (2012)
363309812 06/17/2013 1 50 PM
Fom:15190(2012)
Patt V
36-3309812
Page
D
Yes
1a
b
c
Enter the number reported m Box 3 of Form 1096 Enter -0- 1fnot applicable
1a
Enter the number of Forms W-2G included in line 1a Enter -0- 1fnot applicable
1b
Did the organization comply with backup withholding rules for reportable payments to vendors and
1c
2b
Did the orgamzat1on have unrelated business gross income of $1,000 or more during the year?
3a
If "Yes," has 11filed a Form 990-T for this year? If "No," provide an explanation m Schedule O
3b
X
X
Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax
Statements, filed for the calendar year ending with or within the year covered by this return
No
60
0
2a
34
If at least one 1sreported on line 2a, did the orgamzat1onfile all required federal employment tax returns?
Note. If the sum of Imes 1a and 2a 1sgreater than 250, you may be required toe-file (see instructions)
3a
b
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority
over, a financial account 1na foreign country (such as a bank account, securities account, or other financial
account)?
4a
Sa Was the orgamzat1on a party to a proh1b1tedtax shelter transaction at any time during the tax year?
Sa
Did any taxable party notify the orgamzat1onthat 1twas or 1sa party to a proh1b1tedtax shelter transaction?
Sb
Sc
6a
x
x
Does the orgamzat1on have annual gross receipts that are normally greater than $100,000, and did the
organization sohc1tany contributions that were not tax deductible as charitable contributions?
If "Yes," did the orgamzat1on include with every solic1tat1onan express statement that such contributions or
gifts were not tax deductible?
Organizations
a
Did the orgamzat1on receive a payment m excess of $75 made partly as a contribution and partly for goods
and services provided to the payer?
If "Yes," did the orgamzat1on notify the donor of the value of the goods or services provided?
Did the orgamzat1on sell, exchange, or otherwise dispose of tangible personal property for which 1twas
If "Yes," indicate the number of Forms 8282 filed during the year
Did the orgamzat1on receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?
Did the orgamzat1on, during the year, pay premiums, directly or indirectly, on a personal benefit contract?
If the orgamzat1on received a contribution of qualified intellectual property, did the organization file Form 8899 as required?
If the orgamzat1on received a contribution of cars, boats, airplanes, or other vehicles, did the orgamzat1on file a Form 1098-C?
Sponsoring
organizations
organizations.
orgamzat1on, have excess business holdings at any time during the year?
9
Sponsoring
a
b
10
organizations
Enter
10a
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
11
Enter
Gross income from other sources (Do not net amounts due or paid to other sources
against amounts due or received from them )
12a
,b
13
a
11a
11b
Section 4947(a)(1) non-exempt charitable trusts. Is the orgamzat1on filing Form 990 m lieu of Form 1041?
If "Yes," enter the amount of tax-exempt interest received or accrued during the year
L...:.1=2b=-'-----"-t'-__._..._
__
12a
--1
Is the orgamzat1on licensed to issue qualified health plans m more than one state?
Note. See the instructions for add1t1onalmformat1onthe orgamzat1on must report on Schedule O
b
c
14a
b
DAA
Enter the amount of reserves the orgamzat1on 1srequired to maintain by the states in which
the orgamzat1on 1slicensed to issue qualified health plans
13b
13c
Did the orgamzat1on receive any payments for indoor tanning services during the tax year?
14a
If "Yes " has 1tfiled a Form 720 to re ort these a ments? If "No " rov1dean ex lanat1onm Schedule O
14b
Form
x
990 (2012)
363309812 06/1712013 1 50 PM
Formggo (201!1)THE
Part VI
HEARTLAND INSTITUTE
36-3309812
Page6
For each "Yes" response to Imes 2 through 7b below, and for a "No"
response to hne Ba, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O See instructions
IXL
1a
12
1b
11
Enter the number of votrng members of the govern mg body at the end of the tax year
No
If there are material differences rn votrng rights among members of the governing body, or
1fthe governing body delegated broad authority to an executive committee or similar
committee, explain rn Schedule O
b
2
Enter the number of votrng members included rn line 1a, above, who are independent
Did any officer, director, trustee, or key employee have a family relat1onsh1por a business relat1onsh1pwith
any other officer, director, trustee, or key employee?
Did the organization delegate control over management duties customarily performed by or under the direct
Did the organization become aware during the year of a s1gnif1cantd1vers1onof the organization's assets?
x
x
x
x
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint
7a
7b
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 governing documents since the prior Form 990 was filed?
Are any governance dec1s1onsof the organization reserved to (or subJect to approval by) members,
stockholders, or persons other than the governing body?
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following
8
a
Ba
Sb
x
x
Is there any officer, director, trustee, or key employee listed rn Part VII, Section A, who cannot be reached at
the oraanization's ma11inaaddress? If "Yes " orov1dethe names and addresses rn Schedule O
Section 8. Policies (This Section B reauests information about oohc1esnot reauired bv the Internal Revenue Code )
Yes
10a
b
11a
b
12a
b
c
10b
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form?
11a
No
10a
N1,4
Describe rn Schedule O the process, 1fany, used by the organization to review this Form 990
Did the organization have a written conflict of interest policy? If "No," go to line 13
12a
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts?
12b
x
x
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes,"
describe rn Schedule O how this was done
12c
13
13
14
Did the organization have a written document retention and destruction policy?
14
15
Did the process for determrnrng compensation of the following persons include a review and approval by
x
x
independent persons, comparability data, and contemporaneous substantiation of the deliberation and dec1s1on?
a
15a
15b
If "Yes" to line 15a or 15b, describe the process rn Schedule O (see rnstruct1ons)
16a
Did the organization rnvest rn, contribute assets to, or part1c1patern a Jorn!venture or s1m1lararrangement
with a taxable entity during the year?
16a
If "Yes, did the organization follow a written policy or procedure requinng the organization to evaluate its
part1c1pat1on
rn iornt venture arrangements under applicable federal tax law, and take steps to safeguard the
oraanizat1on's exemot status with respect to such arranaements?
16b
N4
Section C. Disclosure
IL
17
List the states with which a copy of this Form 990 1srequired to be filed .,..
18
Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only)
available for public inspection Indicate how you made these available Check all that apply
D Own website l!I Another's website l!I Upon request D Other (explain rn Schedule 0)
19
Describe rn Schedule O whether (and 1fso, how), the organization made its governing documents, conflict of interest policy,
and financial statements available to the public during the tax year
20
State the name, physical address, and telephone number of the person who possesses the books and records of the
organization ....
CHICAGO
DAA
IL
#2740
60 60 6
312-377-4000
Form
990 (2012)
363309812
06/17/2013
1 50 PM
Form
D Check this box 1fneither the organization nor any related organizations compensated any current officer, director, or trustee
(A)
(8)
(C)
(D)
(E)
(F)
Average
hours per
week
(list any
hours for
related
organizations
below dotted
line)
Pos1t1on
(do not check more than one
box, unless person 1sboth an
officer and a director/trustee)
Reportable
compensation
from
the
organization
(W-2/1099-MISC)
Reportable
compensation from
related
organizations
(W-2/1099-MISC)
Estimated
amount of
other
compensatron
from the
organization
and related
organizations
g::,
c. 9;;;:;
s
Cl) c.
~~
:!i
:,:;
CD
"'CD
3
"O
"'
Cl)
Cl)
!!:.
Cl)
~rE -n
0
"C"'"
om 3
'mg !!i
3
1il
iii
Cl)
"'
co
c.
(1)JOSEPH BAST
PRESIDENT
(2)WILLIAM
.ARMISTE.l
DIRECTOR
(3)ROBERT BUFORD
DIRECTOR
(4)JERE FABICK
DIRECTOR
(S)CHUCK LANG
DIRECTOR
(6)DAN HALES
DIRECTOR
(7)JEFF JUDSON
DIRECTOR
(&)JAMES JOHNSTON
FIRST VP TREASURER
(9)JEFFREY MADDEN
SECRETARY
(10)ARTHUR MARGULIS
DIRECTOR
(11)JEFFREY
DIRECTOR
DAA
40.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
157,301
50,000
MCKINLE,
0
Form
990 (2012)
363309812
06/17/2013
1 50 PM
(D)
(A)
(B)
(C)
Average
Pos1t1on
Reponable
hoursper
(donotcheckmorethanone
box.unlessperson
,sbothan
week
officeranda d1rectorltrustee)
(listany
hoursfor
.,,
;,<
Q::,
"'::C
0
related
c. c.
~ 3i '< "O3<5:,- 03
"sc. E' ~ ID3 ~; !!l
organizations Cl>
c
i5
"O
belowdotted Sl
Q~ ::,
0
!!!.
'<
3
line)
"O
Cl>
..
~
iii
CD
(12) HERBERT
(E)
(F)
Reportable
Estimated
compensation
from
related
organizations
compensation
from
the
orgarnzat1on
CD
iii
CD
amount
of
other
compensation
fromthe
(W-2/1099-MlSC)
(W-2/1099-MISC)
organization
andrelated
ms
Page
organ1zat1ons
(1)
iil
*
a.
WALBERG
0.00
0.00
CHAIRMAN
(13)
(14)
(15)
(16)
(17)
(18)
(19)
1b Sub-total
c
157,301
50.000
d
2
157,301
Total (add lines 1b and 1c)
Total number of individuals (including but not limited to those listed above) who received more than $100,000 in
reportable compensation f rom t he oraanizat ion 1
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 ind1v1dual
For any ind1v1duallisted on line 1a, 1sthe sum of reportable compensation and other compensation from the
organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such
tndtv1dual
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or ind1v1dual
for services rendered to the oraanizat1on?If "Yes " comolete Schedule J for such person
50,000
Yes
No
Complete this table for your five highest compensated independent contractors that received more than $100,000 of
compensation from the oraanizat1on Report compensation for the calendar vear endina with or within the oraanizatton's tax vear
(A)
Name
andbusiness
address
2
DAA
Total number of independent contractors (including but not limited to those listed above) who
received more than $100 000 of comoensation from the oraanizat1on
(B)
(C)
Descnot1on
ofservices
Comoensat1on
0
Form
990 (2012)
363309812
06/17/2013
1 50 PM
Patt VIII
HEARTLANDINSTITUTE
36-3309812
(A)
Totalrevenue
(B)
Relatedor
exempt
function
revenue
Ill
b Membership dues
c Fundra1smgevents
d Related organizations
e Government
grants(contnbubons)
gifts,grants,
f Allothercontnbut,ons,
.. 0
~E
cn,ct
,I: ..
-111
Cl:
uiE
c:-._
__
oU>
.,GI
.c:s.c:
...
ands1m1lar
amounts
notincluded
above
:so
C:'C
c:
D
(C)
Unrelated
business
revenue
(D)
Revenue
excludedfromtax
under sections
512,513,or 514
1a
1b
1c
1d
1e
5,202,679
1f
$
Noncash
contnbubons
included
mImes1a-11
.....
(.) Ill
Page 9
Statement of Revenue
Check 1fSchedule O contains a response to any question in this Part VIII
Cl>
::I
5,202,679
Busn Code
c:
2a
Cl>
>
CII
a::
b
c
Cl>
-~
Cl>
59,988
5,963
4,294
OTHER EVENTS
PUBLICATIONS/RESEARCH
PREMIUMS
d
e
f All other program service revenue
a Total. Add lines 2a-2f
U)
..
...
E
C>
.....
70,245
6,997
Royalties
59,988
5,963
4,294
6,997
....
(1)Real
(11)Personal
6a Gross rents
b Lessrentalexps
c Rentalme or (loss)
....
(u)Other
salesof assets
otherthaninventor.
b Lesscostor other
basis& salesexps
c Gam or (loss)
CII
:s
c:
CII
>
CII
..
a::
CII
.c:
....
a
b
129,272
82,578
....
46,694
9a Grossincomefromgamingact1v1t1es
a
SeePartIV, line19
b Less direct expenses
11a
ADVERTISING INCOME
....
....
Busn Code
511110
2,500
2,500
c
d All other revenue
e Total. Add Imes 11a-11d
12 Total revenue. See instructions
....
.....
2,500
5,329,115
77.242
2,500
0
Form 990 (2012)
DAA
363309812 06/17/20131
Form990(2012)
Part IX
50 PM
36-3309812
Page 10
4
5
6
7
8
(B)
Program service
expenses
1.870.038
1.136.882
(C)
Management and
general expenses
IXI
(D)
Fundra,s,ng
expenses
Grantsandotherassistance
to governments
and
in theU S SeePartIV,hne21
orgamzallons
in
Grants and other assistance to md1v1duals
the U.S. See Part IV, hne 22
Grants and other assistance to governments,
organizations,and md1v1duals
outside the
U S See Part IV, Imes 15 and 16
Benefits paid to or for members
Compensation of current officers, directors,
trustees, and key employees
Compensation
notincludedabove,to disqualified
)) and
persons(asdefinedundersection4958(n(1
personsdescnbedin section4958(c)(3)(B)
Other salaries and wages
(include
Pensionplanaccrualsandcontributions
secllon401(k)and403(b)employercontnbut1ons)
Other employee benefits
9
10 Payroll taxes
11 Fees for services (non-employees)
a Management
b
c
d
e
(A)
Total expenses
Legal
Accounting
Lobbying
Professional
fundra1sing
servicesSeePartIV,hne17
434.398
298,758
102.745
143.680
64.384
87.416
21.941
33.400
16.420
22.864
470.050
43.389
470.050
25 075
11.444
6,870
854.664
68 587
33.724
84.743
786.678
68.377
23.806
84.743
50.558
210
1.645
17 428
f Investment managementfees
exceeds
10%ofhne25,column
g Other(Ifline11gamount
(A)amount.
hsthne11gexpenses
onSchedule
O)
12
13
14
15
Information technology
Royalties
16
Occupancy
Travel
Payments of travel or entertainment expenses
for any federal, state, or local public officials
234.130
242.527
140.478
213.331
46.826
8 851
46.826
20,345
468.082
1.911
442.426
590
1.911
25.066
21
22
Deprec1at1on,
depletion, and amort1zat1on
17
18
19
20
Office expenses
23
Insurance
24
OtherexpensesItemizeexpensesnotcovered
expensesin hne24e If
above(Listmiscellaneous
7 540
4.524
8.273
1.508
1,508
line24eamountexceeds10%of hne25,column
(A)amount,hsthne24eexpenses
on Schedule
O)
263.522
214.245
176.781
40.674
123.280
5,444.312
203.347
175 208
148.241
24.437
95 684
4.195.087
269
1.058
8.184
14.218
637.011
59,906
37,979
28.540
8,053
13,378
612.214
DAA
Form
990 (2012)
363309S12
Form
06/17/2013
1 50 PM
990(2012)
Part X
36-3309812
Page
11
Balance Sheet
I I
(B)
(A)
Beginning of year
129 091
Cash-non-interest
bearing
End of year
1
59,534
Loans and other receivables from current and former officers, directors,
140,554
Loans and other receivables from other disqualified persons (as defined under section
4958(f)(1)), persons described m section 4958(c)(3)(8), and contributing employers and
sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary
organizations (see instructions)
!l
GI
CII
CII
<
7
8
8.911
4.786
CII
GI
11
Investments-publicly
12
Investments-other
13
Investments-program-related
219.146
176,756
10a
10b
29.018
10c
12
13
14
14
Intangible assets
15
16
17
18
Grants payable
19
Deferred revenue
19
20
20
21
21
22
42.390
11
traded securities
163 473
330 493
238.453
15
16
17
235,307
482 571
377,936
18
:c
ftl
50.000
:::i 23
22
23
24
24
25
70,000
199,562
488 015
of Schedule D
26
Total liabilities.
Organizations
CII
complete
GI
c.J
c: 27
ftl
iii
ai
28
lines 27 through
...
GI
CII
CII
<
GI
z
-188.098
30.576
!l
complete
lines 30 through
307,354
755 290
and
26
"Cl
c: 29
::J
u..
ll> ~
25
ll>
27
28
-459,797
187,078
29
O and
34.
30
30
31
31
32
33
34
32
-157.522
330.493
33
34
-272.719
482.571
Fenn
DAA
990 (2012)
363309812 06/1712013 1 50 PM
Part XI
1
2
3
4
5
6
7
8
9
10
Page12
Part.XH
1
2
3
4
5,329 115
5,444,312
-115,197
-157,522
5
6
7
8
9
10
-272,719
36-3309812
,t Schedule
Yes
No
Schedule O
2a Were the organization's financial statements compiled or reviewed by an rndependentaccountant?
If "Yes," check a box below to rnd1catewhether the financial statements for the year were compiled or
reviewed on a separate basis, consolidated basis, or both
Both consolidated and separate basis
Consolidated basis
Separate basis
b Were the organization's financial statements audited by an rndependentaccountant?
If "Yes," check a box below to rnd1catewhether the financial statements for the year were audited on a
~ Separate basis
2a
2b
2c
If the organization changed either ,ts oversight process or selection process during the tax year, explarn rn
Schedule O
As
a result of a federal award, was the organization required to undergo an audit or audits as set forth rn
3a
the Srngle Audit Act and OMB Circular A-133?
b If "Yes, did the organization undergo the required audit or audits? If the organization did not undergo the
reau1redaudit or audits exolarnwhv rn Schedule O and describe anv steos taken to underao such audits
3a
3b
M
4
990
Form
DAA
(2012)
363309812 06/17/2013
1 50 PM
Sc.HEDULEA
(Fon1t990or 990-EZ)
11),-Attach
2012
or a section
01Wf!tq Publ~
lnspecrnc)O
Employer ldentlflcat,on number
OMB No 1545-0047
36-3309812
Reason for Public Charity Status (All organizations must complete this part.) See instructions
The organization 1snot a private foundation because 1t1s (For Imes 1 through 11, check only one box )
1
A medical research organization operated m conJunctlon with a hospital described m section 170(b)(1)(A)(iii). Enter the hospital's name,
city, and state
An organization operated for the benefit of a college or university owned or operated by a governmental unit described m
section 170(b)(1)(A)(iv). (Complete Part II)
A federal, state, or local government or governmental unit described 1nsection 170(b)(1)(A)(v).
An organization that normally receives a substantial part of its support from a governmental unit or from the general public
described m section 170(b)(1)(A)(vi). (Complete Part II)
A community trust described m section 170(b)(1)(A)(vi). (Complete Part II)
An organization that normally receives (1) more than 33 1/3% of its support from contributions, membership fees, and gross
receipts from act1v1t1es
related to its exempt functlons-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 Ill)
10
11
An organization organized and operated exclusively to test for public safety See section 509(a)(4).
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 organ1zat1onsdescribed m 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 Imes 11e through 11h
O Type I
O Type II
O Type Ill-Non-functionally
integrated
By checking this box, I certify that the organization 1snot controlled directly or indirectly by one or more disqualified persons
other than foundation managers and other than one or more publicly supported organizations described m section 509(a)(1)
or section 509(a)(2)
If the organization received a written determination from the IRS that 1t1sa Type I, Type II, or Type Ill supporting
Smee 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 m (11)and
Yes
No
support?
Yes
No
Yes
No
Yes
No
(A)
(B)
(C)
(D)
(E)
Total
For Paperwork Reduction Act Notice, see the Instructions
Form 990 or 990-EZ.
DAA
for
363309812
06/17/2013
1 50 PM
ScheduleA(Form990or990-EZ)2012
Part II
36-3309812
Page2
(Complete only 1fyou checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under
Part Ill If the orgarnzat1onfails to qualify under the tests hsted below, please complete Part Ill )
Secf ion A Pu bl"IC SUPPOrt
Calendar year (or fiscal year beginning in) ~
1
s ec1on
f
(b) 2009
(c) 2010
(d) 2011
(e) 2012
(f) Total
(a) 2008
(b) 2009
(c) 2010
(d) 2011
(e) 2012
(f) Total
BT ota IS up port
10
11
(a) 2008
I 12
12
13
First five years. If the Form 990 1sfor the organization's first, second, third, fourth, or fifth tax year as a section 501 (c)(3)
organization, check this box and stop here
ort Percenta e
14
Public support percentage for 2012 (line 6, column (f) d1v1dedby line 11, column (f))
14
15
15
16a
If the organization did not check the box on line 13, and line 14 1s33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization
b
If the organization did not check a box on hne 13 or 16a, and line 15 1s33 1/3% or more,
check this box and stop here. The organization qual1f1esas a publicly supported organization
17a
10%-facts-and-circumstances
test-2012.
If the organization did not check a box on hne 13, 16a, or 16b, and line 14 1s
10% or more, and 1fthe organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in
Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly supported
organization
b
10%-facts-and-circumstances
test-2011.
If the organization did not check a box on line 13, 16a, 16b, or 17a, and line
15 1s 10% or more, and 1fthe organization meets the "facts-and-circumstances" test. check this box and stop here.
Explain in Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly
supported organization
18
Private foundation.
If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions
Schedule A (Form 990 or 990-EZ) 2012
DAA
363309612
06/17/2013
1 50 PM
ScheduleA(Form990or990-EZ)2012
Pa'rt HI
THE HEARTLANDINSTITUTE
36-3309812
Page3
Gifts,grants,contnbut1ons,
andmembership
feesreceived(Donotincludeany'unusual
grants.")
Grossreceiptsfromadm1ss1ons,
merchandise
soldor servicesperformed,
or fac1ht1es
furnishedmanyactivitythat1srelatedto the
organization's
tax-exempt
purpose
Grossreceiptsfromact1v1t1es
thatarenotan
unrelated
tradeor businessundersection513
(a) 2008
(b) 2009
(c) 2010
(d) 2011
7 659 414
6 499 687
5 973 500
4 538 537
151 709
209 487
140 864
(e) 2012
5 202
(f) Total
679
29 873 817
98 885
72 744
673 689
7 811 123
6 709 174
6 114 364
4 637 422
5 275 423
30 547 506
5 610 000
4 170 159
3 398 000
1 777 600
3 440 675
18 396 434
5 610 000
4 170 159
3 398,000
1 777 600
3 440 675
18,396
c
8
secf ion BT
12 151 072
oa
t IS uppo rt
10a Grossincomefrominterest,d1v1dends,
paymentsreceivedon secunbes
loans,rents,
royaluesandincomefroms1m1lar
sources
b
(a) 2008
7,811
(b) 2009
123
6 709 174
(c) 2010
6 114 364
(d) 2011
(e) 2012
4 637 422
30 547 506
58,969
8,537
1,681
6 997
98 845
22,661
58 969
8,537
l, 681
6,997
98 845
Netincomefromunrelatedbusiness
activitiesnotincludedin line10b,whether
or notthebusiness1sregularlyearnedon
12
13
14
First five years. If the Form 990 1sfor the organization'sfirst, second, third, fourth, or fifth tax year as a section 501(c)(3)
organization, check this box and stop here
(f) Total
5 275 423
22,661
11
15
16
434
7 833 784
6 768 143
6 122 901
4 639 103
5 282 420
30 646 351
ort Percenta e
15
16
39. 65%
38.82
%
%
363309812 06/17/2013
1 50 PM
CAA
Page4
363309812 06/17/20131
50 PM
SCHEDULE'C
OMB No 1545-0047
For Organizations Exempt From Income Tax Under section 501(c) and section 527
2012
Opento Public
lospeotion
If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-EZ, Part V, hne 46 (Political Campaign Activities), then
Section 501(c)(3) organizations Complete Parts I-A and B Do not complete Part 1-C
Section 501(c) (other than section 501(c)(3)) organizations Complete Parts I-A and C below Do not complete Part 1-B
Section 527 organizations Complete Part 1-Aonly
If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, lme 47 (Lobbying Activities), then
Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A Do not complete Part 11-B
Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)) Complete Part 11-B Do not complete Part II-A
If the organization answered "Yes," to Form 990, Part IV, line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then
Section 501(c)(4), (5), or (6) organizations Complete Part Ill
Nameof organ,zation
Employer 1dentlficat1onnumber
36-3309812
Complete if the organization is exempt under section 501(c) or is a section 527 organization.
Provide a description of the organization's direct and indirect political campaign act1v1t1es
1nPart IV
2
Political expenditures
Volunteer hours
Partl..S
... $
Enter the amount of any excise tax incurred by the organization under section 4955
... $
Enter the amount of any excise tax incurred by organization managers under section 4955
... $
If the organization incurred a section 4955 tax, did 1tfile Form 4720 for this year?
Oves O No
oves D No
Part l..C
Complete if the organization is exempt under section 501(c), except section 501(c)(3).
Enter the amount directly expended by the filing organization for section 527 exempt function
... $
act1v1ties
2
Enter the amount of the filing organization's funds contributed to other organizations for section
Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-POL,
... $
... $
line 17b
0Yes O No
Did the filing organization file Form 1120-POL for this year?
(b)Addrass
(c) EIN
(1)
(2)
(3)
(4)
(5)
(6)
For Paperwork Reduction Act Notice, sea the Instructions for Fonn 990 or 990-EZ.
DAA
363309812 06/17/2013 1 50 PM
Scheoule,C(Form990or990-EZ)2012
.THE HEARTLAND INSTITUTE
36-3309812
Part 11..A Complete if the organization is exempt under section 501 (c)(3) and filed Form 5768 (election under
section 501(h)).
A Check Ill1fthe f1hngorganization belongs to an aff1hated group (and list m Part IV each aff1hated group member's
Paqe2
B Check
.,..
n 1fthe f1hngorganization
(a) F,hng
organization's
totals
(b)Affiliated
group
totals
4,355
4,355
4.002 607
4.006,962
f Lobbying nontaxable amount Enter the amount from the following table m both
350.348
columns
If the amounton line 1e columnlal or lbl is:
Notover$500.000
Over
$500,
000butnotover$1,000.
000
Over
$1,000,000
butnotover$1,500
000
Over
$1,500.000
butnotover$17,000.000
Over
$17,000.000
Thelobbvina
nontaxable
amount
Is
20%
oftheamount
onhne1e
$100,000
olus15%
oftheexcess
over$500.000
oftheexcess
over$1,000,000
$175
000olus10%
$225.000
plus5%oftheexcess
over$1,500
000
$1000000
87,587
0
0
h Subtract hne 1g from hne 1a If zero or less, enter -0i Subtract hne 1f from hne 1c If zero or less, enter -0If there 1san amount other than zero on either hne 1h or hne 11,did the organization file Form 4720
Qves
O No
(a) 2009
(b) 2010
(c) 2011
(d) 2012
415,935
350,348
(e)Total
766,283
1,149,425
464
103,984
4,355
87,587
4,819
191 571
287,357
Schedule
C(Fonn
990or990-EZ)
2012
DAA
363309812 06/17/2013
1 50 PM
SeheduleC(Fonn99bor990-EZ)2012
Part 11..S
Complete
telection
if the organization
is exempt
under section
501lh)).
under
section
36-3309812
501 (c)(3) and has NOT filed
Form
Pa9a3
5768
(a)
(b)
For each "Yes," response to Imes 1a through 1i below, provide in Part IV a detailed
Yes
No
Amount
During the year, did the filing organization attempt to influence foreign, national, state or local
leg1slat1on,mcludmg any attempt to influence public opinion on a legislative matter or
referendum, through the use of
a Volunteers?
b Paid staff or management (include compensation m expenses reported on Imes 1c through 11)?
c Media advertisements?
d Mailings to members, legislators, or the public?
e Publications, or published or broadcast statements?
f Grants to other organizations for lobbying purposes?
g Direct contact with legislators, their staffs, government officials, or a legislative body?
Part lfl,.A
Complete
501(c)(6).
if the organization
is exempt
under
section
501(c)(4),
section
501(c)(5),
or section
Yes
Did the organization make only in-house lobbying expenditures of $2,000 or less?
Did the oraanization aaree to carrv over lobbvma and oolitical exoend1turesfrom the orior vear?
PartlU.S
Complete
501(c)(6)
if the organization
and if either
answered
is exempt
(a) BOTH
Part
under
Ill-A,lines
section
1 and
No
501(c)(4),
2, are
section
answered
501(c)(5),
"No,"
OR
or section
(b)
if Part
Ill-A, line
3, is
"Yes."
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of
political expenses for which the section 527(f) tax was paid).
a Current year
2a
2b
c Total
2c
Aggregate amount reported m section 6033(e)(1)(A) notices of nondeductible section 162(e) dues
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the
excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying
5
Part IV
Supplemental
Information
Complete this part to provide the descriptions required for Part I-A, line 1, Part 1-B,line 4, Part 1-C,line 5, Part II-A (affiliated group
list), Part II-A, line 2, and Part 11-B,line 1 Also, complete this part for any additional information
HAD SCHEDULE
C EXPENSES
DAA
363309812 06/17/20131
50 PM
SehedulsC(Form990or990-EZ)2012
Part IV
THE HEARTLANDINSTITUTE
36-3309812
Page4
DAA
363309812 06/17/2013 1 50 PM
SupplementalFinancialStatements
SCHEDULED
(Form 990)
Depar1ment of the Treasury
Internal Revenue Service
2012
Open to Public
ln~pec,tJon
Employer 1dent1flcat1onnumber
THE HEARTLANDINSTITUTE
Part I
OMBNo 1545-0047
36-3309812
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete 1fthe
organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds
Did the organization inform all donors and donor advisors 1nwriting that the assets held m donor advised
D Yes D No
funds are the organization's property, subject to the organization's exclusive legal control?
Did the organization inform all grantees, donors, and donor advisors m writing that grant funds can be used
only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose
D Yes O No
-Part II
Conservation Easements. Complete 1fthe organization answered "Yes" to Form 990, Part IV, line 7.
Purpose(s) of conservation easements held by the organization (check all that apply)
Complete Imes 2a through 2d 1fthe organization held a qualified conservation contribution m the form of a conservation
easement on the last day of the tax year
Held at the End of the Tax Year
2a
2b
2c
d Number of conservation easements included m (c) acquired after 8/17/06, and not on a
2d
Number of conservation easements modified, transferred, released, extinguished, or terrninated by the organization during the
tax year~
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of
D Yes D No
Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year
Amount of expenses incurred m monitoring, mspectmg, 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)
In Part XIII, describe how the organization reports conservation easements m its revenue and expense statement. and
balance sheet, and include, 1fapplicable, the text of the footnote to the organization's financial statements that describes the
organization's accounting for conservation easements
~$
D Yes D No
Part IU
1a If the organization elected, as permitted under SFAS 116 (ASC 958), not to report m its revenue statement and balance sheet
works of art, historical treasures, or other s1m1larassets held for public exh1b1tion,education, or research m furtherance of
public service, provide, m Part XIII, the text of the footnote to ,ts financial statements that describes these ,terns
b If the organization elected, as permitted under SFAS 116 (ASC 958), to report m its revenue statement and balance sheet
works of art. historical treasures, or other s1m1larassets held for public exh1b1t1on,
education. or research m furtherance of
public service, provide the following amounts relating to these items
$
$
If the organization received or held works of art, historical treasures, or other s1m1larassets for financial gam, provide the
following amounts required to be reported under SFAS 116 (ASC 958) relating to these items
$
Schedule D (Form 990) 2012
363309812 06/17/2013 1 50 PM
Sch@duleD(Forin990)2012
Part Ill
3
a
b
36-3309812
Page2
d
e
Public exh1b1t1on
Scholarly research
THE HEARTLANDINSTITUTE
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
Dunng the year, did the organization solicit or receive donations of art, historical treasures, or other s1m1lar
0 Yes D No
assets to be sold to raise funds rather than to be maintained as part of the organization's collection?
Part IV
Escrow and Custodial Arrangements. Complete 1fthe organization answered "Yes" to Form 990, Part IV,
line 9, or reported an amount on Form 990, Part X, line 21
1a Is the organization an agent, trustee, custodian or other 1ntermed1aryfor contributions or other assets not
D Yes D No
Amount
c Beginning balance
1c
1d
1e
1f
Ending balance
D Yes
2a Did the organization include an amount on Form 990, Part X, hne 21?
b If "Yes," explain the arranaement 1nPart XIII Check here 1fthe explanation has been provided 1nPart XIII
Endowment Funds.
PartV
No
%
%
Yes
3alii)
No
3a(i)
3b
Describe m Part XIII the intended uses of the organization's endowment funds
Part VI
(investment)
(other)
(cl Accumulated
deprec1at1on
1a Land
b Buildings
c Leasehold improvements
d Equipment
18,570
169,827
30,749
e Other
Total. Add Imes 1a through 1e (Column (d) must equal Form 990, Part X. column (B), hne 10(c))
929
157,453
18,374
~
17,641
12.374
12,375
42,390
Schedule D (Form 990) 2012
DAA
363309812 06/17/20131
SO PM
Par'J:VU
THE HEARTLANDINSTITUTE
Investments-Other
36-3309812
Page
(1nclud1ngname of security)
(A)
(B)
{C)
{D)
(E)
{F)
(G)
(H)
(I)
Total. (Column (b) must equal Form 990, Part X, col (B) line 12)
Pa rtvm
....
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
Total. (Column (b) must equal Form 990, Part X, col (Bl line 13)
PartIX
....
DEFERREDCOMPENSATION
SECURITY DEPOSITS
(1)
(2)
221,476
13,831
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
....
Total. (Column (b) must equal Form 990, Part X, col (B) line 15)
PartX
1.
(1)
(2)
(3)
235,307
271,476
35,878
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
307,354
....
Total. (Column (b) must eaual Form 990, Part X, col (B) hne 25 )
2. FIN 48 {ASC 740) Footnote In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's
liability for uncertain tax pos1t1onsunder FIN 48 (ASC 740) Check here 1fthe text of the footnote has been provided in Part XIII
DAA
363309812 06/17/2013 1 50 PM
36-3309812
Total revenue, gains, and other support per audited financial statements
Amounts included on line 1 but not on Form 990, Part VIII, line 12
5,411,693
2a
2b
2c
2d
82,578
82,578
5,329,115
2e
Amounts included on Form 990, Part VIII. line 12. but not on line 1:
4a
4b
4c
5 329,115
. I St at emen ts W"th
Expenses per Ret urn
I
Reconc1Tf1a ion o fE xpenses per A u d"t,e d F"manc,a
PartXH
1
Amounts included on line 1 but not on Form 990, Part IX. line 25
5.526,890
2a
2b
c Other losses
2c
2d
82,578
82,578
5,444,312
2e
Amounts included on Form 990, Part IX, line 25, but not on line 1:
4a
4b
4c
Part XUI
Page4
. I St at emen t s W"th
Revenue per Ret urn
1e d F"manc1a
Reconc1T1af ion o fR evenue per A u d"t
I
Pa rtXI
5,444
312
Supplemental Information
Complete this part to provide the descriptions required for Part II, Imes 3, 5, and 9, Part Ill, lines 1a and 4, Part IV, Imes 1band 2b,
Part V, line 4. Part X. line 2, Part XI, lines 2d and 4b. and Part XII, Imes 2d and 4b Also complete this part to provide any add1t1onal
information
IN A MORE LIKELY THAN NOT (50% CHANCE) OF BEING SUSTAINED UNDER A POTENTIAL
AUDIT OR EXAMINATION.
PART XI,
PART XII,
82,578
DAA
LINE BB
LINE BB
82,578
363309812 06/17/2013 1 50 PM
SchaduJe
o (For'm990)2012
~PattXHI
THE HEARTLANDINSTITUTE
36-3309812
Page5
363309812 06/17/20131
50 PM
SCHEDULEG
("Forl'n990 or 990-EZ)
2012
Complete ofthe organozat,on answered "Yes" to Form 990, Part IV, lines 17, 18, or 19, or If the
organization entered more than $15,000 on Form 990-EZ, lone 6a.
I 36-3309812
Employer Identification
Part l
OMBNo 1545-0047
number
Fundraising Activities. Complete 1fthe organization answered "Yes" to Form 990, Part IV, line 17
Form 990-EZ filers are not required to complete this part
Indicate whether the organization raised funds through any of the following act1v1besCheck all that apply
a
b
c
d
O Mail sohc1tabons
O Internet and email sohc1tat1ons
O Phone sohc1tat1ons
O In-person solic1tabons
2a Did the organization have a written or oral agreement with any md1v1dual(including officers, directors, trustees
or key employees listed m Form 990, Part VII) or entity 1nconnection with professional fundra1smg services?
b If "Yes," list the ten highest paid md1v1dualsor ent1t1es(fundra1sers) pursuant to agreements under which the fundra1ser 1sto be
compensate d at Ieast $ 5 000 b1vt he oraanizat1on
(iii) Didfund(v) Amount paid to
(1) Name and address of 1nd1v1dual
or entity (fundra1ser)
(11)Act1v1ty
raiserhave
(Iv) Gross receipts
custodyor
from act1v1ty
controlof
contnbut1ons?
Yes
No
fundra1ser listed 1n
organization
col (I)
Yes No
1
10
Total
3
List all states m which the organization 1sregistered or licensed to solicit contributions or has been notified 1t1sexempt from
reg1strat1onor licensing
363309812 06/17/2013 1 50 PM
SchfiduleG(Fortn990or990-EZ)2012
~Pait ll
36-3309812
Page2
Fundraising Events. Complete 1fthe organization answered "Yes" to Form 990, Part IV, lme 18, or reported
more than $15,000 of fundra1smg event contributions and gross income on Form 990-EZ, lines 1 and 6b List
evenst wit h oross rece1ots oreater than $ 5 000
(a) Event #1
(b) Event#2
NONE
FUNDRAISING
(event type)
(event type)
(total number)
Cl)
:,
c
Cl)
>
Cl)
a::
129,272
129,272
129,272
129,272
82,578
82,578
1 Gross receipts
2 Less Contnbut1ons
3 Grossincome(line 1 minus
hne2l
4 Cash prizes
5 Noncash prizes
U)
Cl)
U)
6 Rent/facility costs
Cl)
c.
x
w
tl
!!!
...
...
Part HI
Gaming. Complete 1fthe organization answered "Yes" to Form 990, Part IV, line 19, or reported more
than $15 000 on Form 990-EZ lme 6a
Cl)
U)
Cl)
(a) Bingo
:,
c
Cl)
>
Cl)
a::
82, 578)
46,694
bingo/progressive bingo
1 Gross revenue
2 Cash prizes
U)
Cl)
c.
x
w
tl
!!!
3 Noncash prizes
4 Rent/fac1htycosts
Yes
No
Yes
No
Yes
No
...
...
O Yes O No
b If "No," explain
10a Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year?
O Yes O No
b If "Yes," explain
DAA
363309812 06/17/20131
50 PM
11
12
THE HEARTLAND
INSTITUTE
36-3309812
13
0 Yes 0No
D Yes D No
13a
An outside facility
13b
14
Page
%
%
Enter the name and address of the person who prepares the organization's gaming/special events books and
records
Name..,.
Address..,.
15a
Does the organization have a contract with a third party from whom the organization receives gaming
O Yes O No
revenue?
b
If "Yes," enter the amount of gaming revenue received by the organization ..,.
amount of gaming revenue retained by the third party ..,.
and the
16
D Director/officer
17
a
D Employee
D Independent contractor
Mandatory d1stribut1ons
Is the organization required under state law to make charitable d1stribut1onsfrom the gaming proceeds to
retain the state gaming license?
D Yes O No
Enter the amount of d1stnbubons required under state law to be distributed to other exempt organizations or
during the tax year ..,. $
spent in the organization's own exempt act1v1t1es
Part tV
Supplemental Information. Complete this part to provide the explanations required by Part I, hne 2b,
columns (iii) and (v), and Part Ill, Imes 9, 9b, 1Ob, 15b, 15c, 16, and 17b, as applicable Also complete this
part to provide any additional information (see 1nstruct1ons)
DAA
363309812
06/17/2013
1 50 PM
SCWEDULEj
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
..,..Complete if the organization answered "Yes" to Form 990,
Part IV, line 23.
..,..Attach to Form 990.
.... See separate instructions.
(F=orm990)
OMB No 1545-0047
2012
Opento Public
fm;pecrnon
No
1a Check the appropriate box(es) tf the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a Complete Part Ill to provide any relevant information regarding these items
Fo,st-dasso, oharteot,a,el
Travel for companions
"'"""'
allowaooeo, oesodeooe
foe pe,sooat ,se
fees
Health or social club dues or 1nit1at1on
D1scret1onaryspending account
b If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payment
or reimbursement or prov1s1onof all of the expenses described above? If "No," complete Part 111
to
explain
1b
Did the organization require substantiation prior to re1mburs1ngor allowing expenses incurred by all officers,
directors, trustees, and the CEO/Executive Director. regarding the items checked 1nline 1a?
Indicate which, 1fany, of the following the filing organization uses to establish the compensation of the
organization's CEO/Executive Director Check all that apply Do not check any boxes for methods used by a
related organization to establish compensation of the CEO/Executive Director, but explain in Part Ill
Compeosat,oooomm,ttee
Wotteo emptoymeotooot,aci
Compensation survey or study
Approval by the board or compensation committee
During the year, did any person listed tn Form 990, Part VII, Section A, line 1a, wtth respect to the filing
4a
4b
4c
x
x
If "Yes" to any of Imes 4a-c, list the persons and provide the applicable amounts for each item tn Part Ill
Only section S01(c)(3) and S01(c)(4) organizations
For persons listed tn Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of
a The organization?
Sa
Sb
x
x
For persons listed tn Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of
a The organization?
6a
6b
x
x
For persons listed tn Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described tn Imes 5 and 6? If "Yes," describe tn Part Ill
Were any amounts reported tn Form 990, Part VII, paid or accrued pursuant to a contract that was subJect
to the m1t1alcontract exception described tn Regulations section 53 4958-4(a)(3)? If "Yes," describe
tn Part Ill
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in
9
DAA
363309812 06/17/2013 1 50 PM
THE HEARTLAND
INSTITUTE
36-3309812
Officers! Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.
Part U
P.a!fe
For each ind1v1dualwhose compensation must be reported m Schedule J, report compensation from the organization on row (1) and from related organizations. described m the
instructions. on row (11) Do not list any ind1v1dualsthat are not listed on Form 990, Part VII
Note. The sum of columns (8)(1)-(111)for each hsted md1v1dualmust equal the total amount of Form 990, Part VII, Section A, lme 1a, applicable column (D) and (E) amounts for that individual
(8) Breakdown of W-2 and/or 1099-MISC compensation
JOSEPH BAST
PRESIDENT
(I) Base
compensation
(ii
157,301
0
(Ill) Other
reportable
compensation
0
0
c
0
50,000
0
(0) Nontaxable
(F) Compensation
benefits
(B)(IHD)
reported as deferred in
prior Form 990
0
0
207,301
0
0
0
(I)
(II
(II
(II
(Ii
(11
(11
(11
(11
10
(II
11
(11
12
(II
13
(II
14
(1i
15
(Ir
16
(11
(1)
(I)
(I)
(1)
(1)
(I)
(1)
(1)
(I)
(I)
(I)
(1)
(I)
(i)
DAA
363309812 06/17/2013 1 50 PM
ScheduleJ(Form990)2012
,
THE HEARTLAND INSTITUTE
36-3309812
P.,9.if_e
3
Part UI
Sup_p_lementalInformation
Complete this part to 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
PART I,
JOSEPH BAST
NONQUALIFIED EQUITY-BASED
0
221,476
DAA
363309812 06/17/2013 1 50 PM
SCHEDULE L
OMB No 1545-0047
~Fo1111
990 or 99'0-EZ)
2012
"Yes" on Fonn 990, Part JV, lme 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Fonn 990-EZ, Part V, Imo 38a or 40b
.... Attach to Fonn 990 or Form 990-EZ
.... Sea separate mstructmns
THE HEARTLAND
Part l
INSTITUTE
36-3309812
(d) Corrected?
orgarnzat1on
Yes
No
11)
12)
13)
14)
15)
16)
2
Enter the amount of tax incurred by the organization managers or d1squalif1edpersons during the year
under section 4958
Enter the amount of tax, 1fany, on line 2, above, reimbursed by the organization
Part H
.... $ _______
.... $ _______
_
_
(b) Relabonsh1p
with orgamzat1on
(c) Purpose of
loan
d) Loan to
or from the
(e) Original
pnnc1pal amount
01 ?
....-...--
To From
70 000
70 000
(l)Wntten
agreement?
Yes
Yes
No
Yes
x x
No
No
12)
13)
14)
15)
16)
17)
18)
19)
110)
.... $
70 000
(c)Amount of assistance
(d)Type of assistance
Total
Partm
11)
12)
13)
14)
15)
16)
17)
18)
19)
110)
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
DAA
363309812 06/17/2013 1 50 PM
Page2
"?artIV
(b) Relat1onsh1p
between
interestedpersonand the
(c) Amount of
transaction
(e) Sharrng
oforg
revenues?
organ1zat1on
Yes
No
(1)
(2)
13)
(4)
15)
16)
(7)
(8)
(9)
(10)
PartV
Supplemental Information
Complete thrs part to provrde addrtronal rnformatron for responses to questions on Schedule L (see rnstructrons)
363309812 06/17/2013 1 50 PM
,_.
'
..
SCHEDULE O
OMB No 1545-0047
2012
Opento Public
:Ins tion
Employer Identification
PART I,
number
36-3309812
LINE 6
FORM 990,
PART VI,
JOSEPH BAST
DIANE BAST
PRESIDENT
EX. EDITOR
HUSBAND/WIFE
FORM 990,
PART VI,
LINE llB
THE ACCOUNTING DEPARTMENT AND AUDIT COMMITTEE OF THE BOARD REVIEW THE 990
BEFORE IT IS SIGNED AND SUBMITTED.
FORM 990,
PART VI,
ANNUALLY ASK THE BOARD MEMBERS AND INDEPENDENT CONTRACTORS TO REVIEW THE
CONFLICT OF INTEREST POLICY AND COMPLETE/SIGN THE FORM. THE FORMS ARE KEPT
ON FILE.
SELF
DISCLOSURES.
FORM 990,
PART VI,
FORM 990,
PART VI,
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
DAA
363309812 06/17/2013 1 50 PM
Pa e 2
36-3309812
FORM 990,
PART VI,
FORM 990,
PART IX,
LINE llG
DESCRIPTION
PROGRAMSERVICE
EDITORS,
WRITERS,
$
EDITORS,
WRITERS,
$
EDITORS,
WRITERS,
FORM 990,
PART XI,
MGT
&
GENERAL
FUNDRAISING
SPEAKERS
631,062
50,558
17,428
SPEAKERS
20,166
SPEAKERS
135,450
LINE SB
LINE SB
82,578
-82,578
3633098.1203/061201J 9 07 AM
8868
Form
(Not Automatic)
... x
Do not complete Part II unless you have already been granted an automatic 3-month extension on a previously filed Form 8868
Electronic
filing (a-file). You can electronically file Form 8868 1fyou need a 3-month automatic extension of time to file (6 months for
a corporation required to file Form 990-T), or an add1t1onal(not automatic) 3-month extension of time You can electronically file Form
8868 to request an extension of time to file any of the forms hsled in Part I or Part II with the exception of Form 8870, Information
Return for Transfers Associated With Certain Personal Benefit Contracts. which must be sent to the IRS 1npaper format (see
instructions) For more details on the electronic filing of this form, visit www irs gov/efile and click on a-file for Charities & Nonprofits
Part I
Automatic 3-Month 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
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
Enter filer's ldent1fvina number
Type or
see Instructions
THE HEARTLANDINSTITUTE
36-3309812
print
F,le by the
filing your
2740
City, town or post office, stale and ZIP code For a foreign address. see instructions
return See
CHICAGO
1n1truct1ons
IL 60606
Enter the Return code for the return that this application 1sfor (file a separate apphcat1on for each return)
Application
Return
Application
Return
Is For
Code
Is For
Code
01
07
Form 990-BL
02
Form 1041-A
08
03
Form 4720
09
Form 990-PF
04
Form 5227
10
05
Form 6069
11
06
Form 8870
12
Telephone No
312-377-4000
IL
FAX No. IJI,
If the organ1zat1ondoes not have an office or place of business in the United States. check this box
If this 1sfor a Group Return, enter the organization's four d1g1tGroup Exemption Number (GEN)
60606
IJI,
LJ
If this 1s
and attach
a list with the names and EINs of all members the extension 1sfor
I request an automatic 3-month (6 months for a corporation required IP file Form 990-T) extension of time
until
2012
or
, and ending
If the tax year entered in line 1 1sfor less than 12 months, check reason
3a
If this application 1sfor Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax, less any
nonrefundable credits. See instructions
estimated tax oavments made Include anv onor veer overpayment allowed as a credit
c
3a
3b
3c
If this apphcat1on 1sfor Form 990-PF, 990-T, 4720, or 6069. enter any refundable credits and
Balance due. Subtract line 3b from line 3a Include your payment with this form, 1frequired, by using
EFTPS (Electronic Federal Tax Pavment Svsteml See instructions
Caution. If you are going to make an electronic fund withdrawal with this Form 8868 1 see Form 8453-EO and Form 8879-EO for payment instructions
For Privacy Act and Paperwork Reduction Act Notice, see instructions.
OAA
Form
8868
(Rev 12013)