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363.>0981::.

~06/11/2010
1113 AM

f~90
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(:\

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iia,

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501(c), 527, or 4947(a)(1) Qf the Internal Revenue Code (except black lung
benefit trust or private foundation)
~ The organization may have to use a copy of this ret1Jrn to satisfy state reporting requirements

For the 2009 calendar vear


Check1fapplicable Please C
use IRS
Address
change
labelor
print or
Namechange
type.
Initialreturn
See
Specific
Termination
lnstruct1ons.
Amended
return

c:;;i

pending
--- Appl1cat1on

or tax vear beamnma

I 903

19 SOUTH LASALLE STREET

312-377-4000
$
G Grossrecemts

City or town, state or country, and ZIP + 4

CHICAGO

IL

Trust

6,870,656

60603
H(a) Is thisa groupreturnfor

F Name and address of principal officer

Cl)

Ii

Assoc1at1on

Other~

affiliates?
Yes 2C>o
J
H(b) Areall affiliates
I
' Yes
No
included?
, -I
-'
If "No,"attacha list (seeinstructions)
H(c) Groupexemption
number~

IL

Yearof formation

IM

1984

Stateof leaaldomicile

IL

m1ss1on or most s1gn1ficant act1v1t1es

--

>
0

Check this box ~

o!I

Number of voting mel!lbers of the governing body (Part VI, line 1a)

(!)

1
_

~ 1fthe organization d1scont1nued its operations or disposed of more than 25% of its net assets

(/)

~rct\lmende~

Total number of vo ~ ers (estimate 1f necessary)

i ~E
~

""~

~tJ[ot-t fpOOW,elat
b Net unrelated bus1r

i::1
~

--;::.

ees (Part V, line 2a)

6
7b
Prior Year

(Part VIII, line 1h)

r ,ugram service revenue (Part VIII, hne 2g)

Cl)

>
Cl)
0:::

14 101
-89,574

7a

, ~smess revenue from Part VIII, column (C), line 12


income from Form 990-T, line 34

Wtaxable

(tj~~[-itN_~nJ\al!ilar"nt
_

14
13
27
20

3
4

t voting members of the governing body (Part VI, line 1b)

Cl)

Telephone number

RESEARCH AND WRITING ON PUBLIC POLICY ISSUES.

..,
c:
cu
c:
...

__ :::,

36-3309812
Room/suite

to streetaddress)
Number
andstreet(orPO box11ma1l1snotdelivered

Briefly describe the organization's

Cl)

""'

Employer 1dent1f1cation number

Dom~Business
As

s ummarv

THE HEARTLAND INSTITUTE

[X1Co~rat1on
Tl~ oforgamzat1on

Partl

Open to Public
lnsoection

ancl endina

Nameof organization

JOSEPH BAST
19 SOUTH LASALLE STREET, SUITE 903
CHICAGO
IL 60603
x 501(c) ( 3 l '4 (insert no ) : : 4947(a)(1) or
527
Tax-exemet status
WWW.HEARTLAND.ORG
Website~

J
K

2009

Under section

''

~epartment of the Treasury


:3Pternal Revenue Service

OMB No 1545-0047

Return of Organization Exempt From Income Tax

10 Investment income (Part VIII, column (A), Imes 3, 4, and 7d)


11 Other revenue (Part VIII, column (A), Imes 5, 6d, Sc, 9c, 10c, and 11e)
12 Total revenue - add lines 8 throuqh 11 (must equal Part VIII, column (Al, line 12)
13 Grants and s1m1laramounts paid (Part IX, column (A), Imes 1-3)

Current Year

7.613.766
185.671
22,661
-39.139
7,782,959
182.072

6,499,687
195,386
58,969
31,332
6,785,374
115,000

1,626,153

1,766,383

5,706.801
7.515.026
267,933

4,370,140
6,251,523
533,851

14 Benefits paid to or for members (Part IX, column (A), line 4)


(/)
Cl)
(/)

c:

Cl)

Q.
)(

15 Salaries, other compensation,

employee benefits (Part IX, column (A), Imes 5-10)

16a Professional fundra1s1ng fees (Part IX, column (A), hne 11e)

520,729

b Total fundra1smg expenses (Part IX, column (D), line 25) ~


17 Other expenses (Part IX, column (A), Imes 11a-11d, 11f-24f)
18 Total expenses

Add Imes 13-17 (must equal Part IX, column (A), line 25)

19 Revenue less expenses

Subtract hne 18 from hne 12

en
en u
~

Beamninaof Current Year

O a,

-a, c:
...

20 Total assets (Part X, line 16)

<(Ill
-"CJ
a, c:

21 Total l1ab1ht1es(Part X, hne 26)

gpa

... 22

z:::,

Net assets or fund balances

Part II

End of Year

242,945
88.357
154.588

Subtract line 21 from hne 20

815,362
126,923
688.439

Si nature Block
Under penalties of perJu
e that I have examined this return, including accompanying schedules and statements. and to the best of my knowledge
and belief, 1t1strue,
e,,..........
L.lil!l!.'.m,plete
Declar
n of preP.arer(other than officer) 1sbased on all information of which preparer has any knowledge

Sign
Here

Date

Signature of officer

PRESIDENT

JOSEPH

Paid
SP1rgenpaatruer:s
~ Nln -,I n /1/
<:_PA.M 5-r,. f ~
~
l
Preparer's1--~~~~~~~-=c="'.====---c==c=-':"""":'~~"":"'C":-=-~-=--=~~
Use Only

Firms,ame(oryours~
1fse11-employed),
,.
address,andZIP+4

TIGHE, KRESS & ORR, P.C.


1595 WELD ROAD, SUITE 9
ELGIN, IL
60123-5896

Date

r::~~~:;~~~~~~rg number

f:ir.ck If

06/11/10
employed~
P00495371
...........
~--'-~...:.....~-'---'-......:....--.-~-=--'--=-.::....:-=--=-=.,;...--=~
EIN ....
26-0476995
Phone
no

~ 847-695-2700

May the IRS discuss this return with the preparer shown above? (see 1nstruct1ons)

'X

For Privacy Act and Paperwork

Form

DAA

Reduction

Act Notice, see the separate

instructions.

Yes '

990

/\.

...~"
. No Q\

(2009)

363309812'06/11/20101113AM

''
1

Form 990 ~2009)

Part Ill
1

36-3309812

THE HEARTLAND INSTITUTE

Page

Statement of Program Service Accomplishments

Briefly describe the organization's m1ss1on

RESEARCH AND WRITING ON PUBLIC POLICY ISSUES.

Did the organization undertake any significant program services during the year which were not listed on

~~ Yes 'X No

the prior Form 990 or 990-EZ?


If "Yes," describe these new services on Schedule O
Did the organization cease conducting, or make significant changes 1nhow 1tconducts, any program
services?

L_jYes

,~~ No

If ''Yes," describe these changes on Schedule O


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, 1fany, for each program service reported
4a (Code

) (Expenses $

2 , 078 , 3 75

including grants of $

) (Revenue $

PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON


PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE.
HEARTLAND PRODUCED FIVE
MONTHLYNEWSPAPERS (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
FORTNIGHTLY AND CONSUMERPOWER REPORT); ONE "REPORT CARD" (ADDRESSING
PROPERTY & CASUALTY INSURANCE); AND ONE BOOK (CLIMATE CHANGE RECONSIDERED).

) (Expenses $
2 1 518 1 7 6 9 including grants of $
115 , 0 0 0 ) (Revenue $
PUBLIC RELATIONS - SEMINARS, EVENTS, SPEAKERS BUREAU, AND OTHER ACTIVITIES
AIMED AT EDUCATING HEARTLANDMEMBERS 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.

4b (Code

) (Expenses $
593, 61 7 including grants of$
) (Revenue $
GOVERNMENTRELATIONS - 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, NATIONAL CONFERENCE OF STATE LEGISLATURES,
NATIONAL ASSOCIATION OF COUNTIES, U.S.
CONFERENCE OF MAYORS, AND OTHERS.
IN ADDITION, 44 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.
HEARTLAND'S
GOVERNMENTRELATIONS DEPARTMENT HOSTED SEVERAL HALF-DAY EVENTS ACROSS THE
COUNTRY ADDRESSING HEALTH CARE REFORM.

4c (Code

4d Other program services (Describe 1nSchedule O )


including grants of $
(Expenses $
4e Total program service expenses ~
5,190,761

) (Revenue $
Form

DAA

990

(2009)

363309812'06/11/2010

1113 AM

36-3309812

THE HEARTLAND INSTITUTE


Checklist of Reau1red Schedules

l=<orm'ggo('W09)

' Part

rJ

Page
Yes

Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes,"

2
3

complete Schedule A

Is the organization required to complete Schedule B, Schedule of Contributors?

Section 501(c)(3) organizations. Did the organization engage in lobbying acllv1t1es?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)

Did the organization maintain any donor advised funds or any s1m1larfunds or accounts where donors have

notice and reporting requirement and proxy tax? If "Yes," complete Schedule C, Part Ill
the right to provide advice on the d1stnbut1onor investment of amounts in such funds or accounts? If "Yes,"
complete Schedule D, Part I

10

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 s1m1larassets? If "Yes,"
complete Schedule D, Part Ill

No

x
x

Did the organization engage 1ndirect or indirect political campaign act1v1t1es


on behalf of or in oppos1t1onto
candidates for public office? If "Yes," complete Schedule C, Part I

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 negot1at1onservices? If "Yes,"
complete Schedule D, Part IV

1O

Did the organization, directly or through a related organization, hold assets in term, permanent, or
quasi-endowments? If ''Yes," complete Schedule D, Part V

11

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

11

12

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 1s5% 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 1s5% or more

of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII
Did the organ1zat1onreport an amount for other assets related in Part X, line 15 that 1s5% 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 liab11it1esin 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 pos1t1onsunder FIN 48? If ''Yes," complete Schedule D, Part X

12

Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete
Schedule D, Parts XI, XII, and XIII

12A 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

13

Is the organization a school described in section 170(b)(1 )(A)(11)?If "Yes," complete Schedule E

14a

Did the organization maintain an office, employees, or agents outside of the United States?

14b

15

16

17

Did the organ1zat1onreport a total of more than $15,000 of expenses for professional fundra1smg services
on Part IX, column (A), Imes 6 and 11e? If "Yes," complete Schedule G, Part I

18

Did the organization report more than $15,000 total of fundra1smg event gross income and contributions on
Part VIII, Imes 1c and Sa? If "Yes," complete Schedule G, Part II

18

19

Did the organization report more than $15,000 of gross income from gaming act1v1t1es
on Part VIII, line 9a?
If "Yes," complete Schedule G, Part Ill

19

20

Did the orc:ianizat1onoperate one or more hospitals? If "Yes" complete Schedule H

20
Form

DAA

x
x

13
14a

Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance
to md1v1dualslocated outside the United States? If "Yes," complete Schedule F, Part Ill

17

I 12A lkl(~I

Did the organ1zat1onreport 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

16

No

Did the organization have aggregate revenues or expenses of more than $10,000 from grantmakmg, fundra1s1ng,
business, and program service act1v1t1es
outside the United States? If "Yes," complete Schedule F, Part I

15

I Yes I

x
x
x
990

(2009)

36330981206/11/20101113AM

THE HEARTLAND INSTITUTE


Checklist of Required Schedules (continued)

l=.orm'990 ~2009)

Part IV

36-3309812

Page
Yes

Did the organization report more than $5,000 of grants and other assistance to governments and organizations

21

No

21

22

23

24b through 24d and complete Schedule K If "No," go to line 25

24a

Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?

24b

II/A

Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?

24c

AI_/J+

Did the organization act as an "on behalf of' issuer for bonds outstanding at any time during the year?

24d

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 ind1v1dualsin the

22

United States on Part IX, column (A), line 2? If ''Yes," complete Schedule I, Parts I and Ill
23

Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the

24a

employees? If ''Yes," complete Schedule J


Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than

organization's current and former officers, directors, trustees, key employees, and highest compensated

$100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes," answer lines

d
25a

Section 501(c)(3) and 501(c)(4) organizations.

with a disqualified person during the year? If "Yes," complete Schedule L, Part I
b

'",,,

Did the organization engage in an excess benefit transaction


25a

25b

26

27

28a

28b

Is the organization aware that 11engaged in an excess benefit transaction with a d1squalif1edperson 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

26

Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or
d1squalif1edperson outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part II

27

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 md1v1dual?
If ''Yes," complete Schedule L, Part Ill

28

Was the organ1zat1ona party to a business transaction with one of the following parties (see Schedule L,
Part IV instructions for applicable filing thresholds, cond1t1ons,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 which a current or former officer, director, trustee, or key employee of the organization (or a

Schedule L, Part IV
family member) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L,
Part IV
29
30

28c

Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M

29

30

Did the organ1zat1onreceive contnbut1ons of art, historical treasures, or other s1m1larassets, or qual1f1ed
conservation contributions? If "Yes," complete Schedule M

31

Did 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 its net assets? If ''Yes," complete

Part I

31

Schedule N, Part II

32

33

Did the organization own 100% of an entity disregarded as separate from the organ1zat1onunder Regulations
sections 301 7701-2 and 301 7701-3? If "Yes," complete Schedule R, Part I

33

34

Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Parts II,
34

35

36

37

Ill, IV, and V, line 1


35

Is any related organization a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete
Schedule R, Part V, line 2

36

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


37

Did the organ1zat1onconduct more than 5% of its act1v1t1es


through an entity that 1snot a related organization
and that 1streated as a partnership for federal income tax purposes? If "Yes," complete Schedule R,
Part VI

38

Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, Imes 11 and
19? Note. All Form 990 filers are required to comolete Schedule O

38
Form

DAA

x
990

(2009)

36330981206/11/2010

11 13 AM

\
0

l:>orm990 (2009)

PartV

36-3309812

THE HEARTLAND INSTITUTE

t er IRS Filinas and Tax


Statements Reaardma Oh

Page

comoliance

Yes
1a
b
c

U S Information Returns Enter -0- 1fnot applicable

1a

96

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 reportable
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

Enter the number reported in Box 3 of Form 1096, Annual Summary and Transmittal of

gaming (gambling) winnings to pnze winners?


2a

1c

2b

I l 27
2a

If at least one 1sreported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a 1sgreater than 250, you may be required toe-file this return (see
instructions)

3a
b
4a

Did the organization have unrelated business gross income of $1,000 or more during the year covered by
this return?

3a

If "Yes," has 1!filed a Form 990-T for this year? If "No," provide an explanation 1nSchedule O

3b

x
x

Al any time during the calendar year, did the organization have an interest 1n,or a signature or other authority
over, a financial account in a foreign country (such as a bank account, securities account, or other financial
4a

Was the organization a party to a proh1b1tedtax shelter transaction at any time during the tax year?

Sa

Did any taxable party notify the organization that 11was or 1sa party to a proh1b1tedtax shelter transaction?

Sb

x
x

If "Yes," to line 5a or 5b, did the organization file Form 8886-T, Disclosure by Tax-Exempt Entity Regarding
Sc

NIA

6a

account)?
b

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

Sa

Proh1b1tedTax Shelter Transaction?


6a

Does the organization have annual gross receipts that are normally greater than $100,000, and did the
organization solicit any contnbut1ons that were not tax deductible?

If "Yes," did the organ1zat1on include with every solic1tat1onan express statement that such contributions or
gifts were not tax deductible?

Organizations

6b

that may receive deductible

contributions

under section 170(c).

Did the organization receive a payment 1nexcess of $75 made partly as a contribution and partly for goods
and services provided to the payor?

7a

If "Yes," did the organization notify the donor of the value of the goods or services provided?

7b

Did the organization sell, exchange, or otherwise dispose of tangible personal property for which 1!was

NIA

t-J/A

benefit contract?

7e

Did the organ1zat1on,during the year, pay premiums, directly or indirectly, on a personal benefit contract?

7f

NIA
NIA

7a

fi)f

7h

t.J{P,

I 1d l

If "Yes," indicate the number of Forms 8282 filed during the year

Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal

f
g

For all contributions of qual1f1edintellectual 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

organizations.

maintaining

donor advised funds and section S09(a)(3) supporting

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

~,f

7c

required to file Form 8282?


d

NIA

organizations

maintaining

tJIPt

donor advised funds.

Did the organization make any taxable d1stribut1onsunder section 4966?

9a

WlA

Did the organization make a d1stribut1onto a donor, donor advisor, or related person?

9b

f\l{Pt

12a

tJ/f\

10

Section S01(c)(7) organizations.

Enter

ln1t1at1on
fees and capital contributions included on Part VIII, hne 12

Gross receipts, included on Form 990, Part VIII, hne 12, for public use of club fac11it1es

11

Section S01(c)(12) organizations.

Gross income from members or shareholders


Gross income from other sources (Do not net amounts due or paid to other sources against
amounts due or received from them )

10b

Enter

b
12a

I 1oa I
11a
11b

Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in heu of Form 1041?
If "Yes "enter the amount of tax-exempt interest received or accrued durina the vear

I 12b I

Form 990 (2009)


DAA

363309812 06/11/2010 11 13 AM

THE HEARTLAND INSTITUTE


36-3309812
Governance, Management, and Disclosure For each "Yes" response to lines 2 through ?b below, and
for a "No" response to line Sa, Sb, or 1Ob below, describe the circumstances, processes, or changes in
Schedule 0. See instructions
o 1van dM anaaemen t
Section A. Governma Bd

r<orm.990(2009)

Page

Part VI

Yes
1a
b

I
I

Enter the number of voting members of the govern mg body


Enter the number of voling members that are independent

1a
1b

Did any officer, director, trustee, or key employee have a family relalionsh1p or 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

superv1s1onof 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 d1vers1onof the organization's assets?

Does the organization have members or stockholders?

7a

Does the organization have members, stockholders, or other persons who may elect one or more members

No

I 14
I 13

of the governing body?

7a

Are any dec1s1onsof the governing body subJect to approval by members, stockholders, or other persons?

7b

x
x
x
x
x
x

Did the organization contemporaneously document the meetings held or written actions undertaken during

the year by the following


a
b

The governing body?

Sa

Each committee with authority to act on behalf of the govern mg body?

Sb

x
x

Is there any officer, director, trustee, or key employee listed 1nPart VII, Section A, who cannot be reached

at the orqan1zalion's ma11inaaddress? If "Yes" orov1de the names and addresses 1nSchedule O

Section B. Policies (This Section B requests information about policies not required by the Internal
Revenue Code.)
Yes
10a
b

Does the organization have local chapters, branches, or aff1l1ates?

10a

If "Yes," does the organization have written policies and procedures governing the act1v1t1es
of such chapters,
affiliates, and branches to ensure their operations are consistent with those of the organization?

11

10b

Has the organization provided a copy of this Form 990 to all members of its governing body before filing the
form?

11a
12a

No

x
x

11

Describe 1nSchedule O the process, 1fany, 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

Does the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes,"

rise to conflicts?
describe m Schedule O how this 1sdone

12a

12b

12c

13

Does the organization have a written wh1stleblower policy?

13

14

Does the organization have a written document retention and destruction policy?

14

15

Did the process for determining compensation of the following persons include a review and approval by

x
x

independent persons, comparability data, and contemporaneous substant1at1onof the deliberation and dec1s1on?
a
b

The organ1zat1on'sCEO, Executive Director, or top management official


Other officers or key employees of the organization

15a
15b

x
x

If "Yes" to line 15a or 15b, describe the process m Schedule O (See instructions)
16a

Did the organization invest m, contribute assets to, or part1c1patem a Joint venture or s1m1lararrangement
with a taxable entity during the year?

16a

If "Yes," has the organization adopted a written policy or procedure requiring the organization to evaluate
its part1c1pat1onm Joint venture arrangements under applicable federal tax law, and taken steps to safeguard
the orqanizat1on's exemot status with resoect to such arranaements?

16b

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 1fapplicable), 990, and 990-T (501(c)(3)s only)
available for public inspection Indicate how you make these available Check all that apply
:------Own website

19

]{,

Another's website

~x:

Upon request

Describe 1nSchedule O whether (and 1fso, how), the organization makes its governing documents, conflict of interest
policy, and financial statements available to the public

20

State the name, physical address, and telephone number of the person who possesses the books and records of the
organization .... THE HEARTLAND INSTITUTE
19 SOUTH LASALLE STREET

CHICAGO
DAA

IL

60603

#903

312-377-4000
Form 990 (2009)

36330981206/11/20101113AM
'
\

F<orm'ggo(3009)

THE HEARTLAND INSTITUTE

36-3309812

Page

'Part VII

Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated


Employees, and Independent Contractors

Section A.

Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees

1a Complete ths 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 1fadd1t1onalspace 1sneeded
List all of the organization's current officers, directors, trustees (whether 1nd1v1duals
or organizations), regardless of amount
of compensation Enter -0- 1ncolumns (D), (E), and (F) 1fno 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 organ1zat1on'sformer 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
trustees or directors, 1nst1tut1onaltrustees, officers, key employees, highest
List persons in the following order 1nd1v1dual
compensated employees, and former such persons

11Chec k th

IS

bOX If the ori:ianization d Id not compensate any current offi1cer,d 1recor, or trus ee

(A)
Name and Title

(B)
Average
hours per
week

(C)
Pos1t1on(check all that apply)
Q:::, :::,
a. 9- ~
::; :5: g
CD a.
Sl c
0:::,
0"'
!!!.

0
:!l

~-

40.00

RAJEEV BAL
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

DAA

40.00

3
0

CD
CD

<DI

3c

"O :::,-

QCD

'<"'

CD CD

8
3

Tl
0

3
~

(F)
Estimated
amount of
other
compensation
from the
organization
and related
organizations

"O

CD
:::,

"'
CD
"'

CD

PRESIDENT

CD

'<

"' 2
CD

JOSEPH BAST

CD

"O

CD

;,;:
'<

(E)
Reportable
compensation
from related
organizations
(W-2/1099-MISC)

(D)
Reportable
compensation
from
the
organization
(W-2/1099-MISC)

a.

122,296

123,740

Form

990

(2009)

363309812 06/11/2010 11 13 AM

J=orm 990:(2009) +HE HEARTLAND INSTITUTE


36-3309812
',Part VII.
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

..

(B)
Average
hours per
week

(A)
Name and Title

(C)
Pos1t1on(check all that apply)

Q~

::,

~~
Cl) a.

o'"
~-

0::,
!!!.

Q.C:

*
Cl)

0
:!l

g @

;,;
Cl)

'<
Cl)

3
0

"O

'<

2
(/)

CD
Cl)

Cl)
Cl)

Cl>I

"Tl
0

3o5

~; 3!!!
ms
3
"O ::,-

(D)
Reportable
compensation
from
the
organization
(W-2/1099-MISC)

(E)
Reportable
compensation
from related
organizations
(W-2/1099-MISC)

"O

Cl)

::,

Page
(F)
Estimated
amount of
other
compensation
from the
organization
and related
organizations

le

CD
a.

246,036

1b

Total

Total number of ind1v1duals(including but not limited to those listed above) who received more than $100,000 in
reoortable comoensat1on from the oraamzallon ~ 2

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 1nd1v1dual
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
ind1v1dual
Did any person listed on line 1a receive or accrue compensation from any unrelated organization for
services rendered to the oraan1zat1on?If "Yes," comolete Schedule J for such oerson

Yes

No

x
x

Section B. Independent Contractors


1

Complete this table for your five highest compensated independent contractors that received more than $100,000 of
comoensat1on from the organization
(A)
Nameandbusinessaddress

(C)
Compensation

Total number of independent contractors (including but not limited to those listed above) who received
more than $100 000 in comoensat1on from the oraamzat1on ~

DAA

(B)
Descnotion
of services

0
Form

990

(2009)

36330981206/11/201011 13 AM
I

36-3309812

THE HEARTLAND INSTITUTE


Statement of Revenue

'llorni 990 {2009)

Part VIII

(A)

Total revenue

J!lJ!!
1a Federated campaigns
c: c:
ca::::,

1b

~E

c Fundra1smgevents

1c

'6,.!!!

d Related organizations

1d

rn'E
c:-

e Government
grants
(contnbutions)

1e

~~

OU)
,_._

gifts,grants,
f Allothercontnbut1ons,
ands1m1lar
amounts
notincluded
above

-a,

::::,.c

.c-

1f
contnbut1ons
included
inImes1a-1f
g Noncash
h Total. Add lines 1a-1f

'i: 0

c't:I
O c:

U ca

(0)

Revenue
excludedfrom tax
undersections
512,513,or514

6,499,687
136,135
~

a,

6,499,687

Busn Code

:::,

ca,

(C)
Unrelated
business
revenue

1a

b Membership dues

.. 0

(B)
Relatedor
exempt
function
revenue

Page

>
a,

2a

0:::

a,

-~

134,759
60, 627

OTHER EVENTS
PUBLICATIONS/RESEARCH

134,759
60,627

a,

U)

E
E

e
f All other program service revenue

C>

ll..

a Total. Add Imes 2a-2f

195,386

58,969

58,969

17,231

17,231

Investment income (including d1v1dends,interest, and

other s1m1laramounts)

Income from investment of tax-exempt bond proceeds ~

Royalties

(1)Real

(11)Personal

Sa Gross Rents
b Lessrental
exps

meor(loss)
c Rental
~

d Net rental income or (loss)


7a Gross
amount
from
(1)Secunt1es
salesofassets
otherthaninventory
b Lesscostorother

(11)Other

bas,s& salesexps
c Gain or (loss)
~

d Net gain or (loss)


Q)

events
Ba Grossincomefrom fundra1sing

::::,

(not including$

c:
Q)
>
Q)

of contnbut1ons
reportedon hne1c)

..

a::

See Part IV, line 18

Q)

.c
0

b Less direct expenses

c Net income or (loss) from fundra1smg events

102,513
85,282
~

9a Grossincomefromgamingact1v1!1es
See PartIV, line 19
b Less direct expenses

a
b

c Net income or (loss) from gaming act1v1t1es


10a Gross sales of inventory, less
returns and allowances
b Less cost of goods sold

c Net income or (loss) from sales of 1nventorv


MiscellaneousRevenue
11a

ADVERTISING INCOME

""'

a
~

Busn.Code

511110

14,101

14,101
6,785,374

14,101

b
c
d All other revenue
e Total. Add Imes 11a-11 d
12

Total Revenue. See 1nstruct1ons

271. 586

14,101

0
Form 990 (2009)

DAA

363309812 06/11/2010 1113 AM


0

36-3309812

THE HEARTLAND INSTITUTE


Statement of Functional Expenses

!i"orni990,(.2009)

Part IX

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 Sb,

(A)

(B)

(C)

Total expenses

Programservice
expenses

Managementand
generalexpenses

7b 8b 9b and 1Ob of Part VIII.

(D)

Fundraising
expenses

Grantsand other assistanceto governmentsand

orgarnzat1ons
in the U S See Part IV, hne21
Grants and other assistance to md1v1dualsm

the U S See Part IV, line 22


Grants and other assistance to governments,

organ1zat1ons, and md1v1dualsoutside the


U S See Part IV, lines 15 and 16

115,000

115.000

122,296

30.574

30.574

61,148

821.469

348.082

240,980

61,214
60.381

34,345
28.005

27,491
22,120

Benefits paid to or for members

Compensation of current officers, directors,

trustees, and key employees


Compensationnot includedabove,to d1squahf1ed

persons(as definedundersection4958(0(1))and
personsdescribedin section4958(c)(3)(B)

1.410.531

Other salaries and wages

(includesection401(k)
Pensionplan contnbut1ons

and section403(b) employercontnbut1ons)

123,050
110.506

Other employee benefits

9
10

Payroll taxes

11

Fees for services (non-employees)

a Management
b Legal

10,529

c Accounting

10,529

d Lobbying
e Professionalfundra1smgservices See Part IV, line 17
f

Investment management fees

g Other
12

Advertising and promotion

13

Office expenses

14

Information technology

15

Royalties

16

Occupancy

17

Travel

18

794,209
234.336
52.122
139.919

11,735
270
4.427

174,967
179.535

150,952
124.925

10,292
4.489

16,851
1.181.887
2,140

16.851
1.131.519

1,750
1,000
2,470
13,723
50,121

Payments of travel or entertainment expenses


for any federal, state, or local public officials

19

Conferences, conventions, and meetings

20

Interest

21

Payments to affiliates

22

Deprec1at1on, depletion, and amort1zat1on

23

Insurance

24

807,694
235.606
59.019
139,919

50.368
2.140

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 )

a
b
c
d
e
f

POSTAGE AND SHIPPING


PRINTING AND PUBLICATIONS
SPECIAL PROJECT
TELEPHONE
MEMBERSHIPS
All other expenses

25

Total functional exoenses. Add Imes1 throuah241

26

Joint costs. Checkhere ~


1ffollowmg
SOP 98-2 Complete this line only 1fthe
organization reported m column (B) Joint costs
from a combined educational campaign and
fundra1smci solic1tat1on

DAA

671.480
540,844
165.000
36,711
31.735
96.722
6.251.523

653.231
519.014
165.000
27,562
31.575
60,908
5.190.761

1,830
512

16,419
21,318

2.176
160
30.966
540 033

6,973
4 848
520,729

Form 990 (2009)

363309812 06/11/2010 11 13 AM

36-3309812

THE HEARTLAND INSTITUTE


Balance Sheet

li:orm 990 <?009)

Part

x'

Page

(A)
Beginning of year

136.726

(B)
End of year

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

11

690,283

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

7
8

Inventories for sale or use

...
fl)

Cl)
fl)
fl)

<C 9

Prepaid expenses and deferred charges

10a Land, buildings, and equipment cost or


other basis Complete Part VI of Schedule D

10a
10b

b Less accumulated deprec1at1on


11 Investments-publicly traded secu rit1es
12 Investments-other securities See Part IV, line 11
13
14

fl)
Cl)

:c
l'CI

64,433

12
13
14

See Part IV, line 11

Accounts payable and accrued expenses


Grants payable
Deferred revenue

18

20

Tax-exempt bond hab1l1t1es

21

Escrow or custodial account hab1htyComplete Part IV of Schedule D

20
21

22

Payables to current and former officers, directors, trustees, key


employees, highest compensated employees, and disqualified

CJ

c
.!!! 27
l'CI

28
29

6.000
242,945
79.795

persons Complete Part II of Schedule L


Secured mortgages and notes payable to unrelated third parties
Unsecured notes and loans payable to unrelated third parties
Other hab1ht1esComplete Part X of Schedule D
Total liabilities. Add Imes 17 throuah 25
Organizations that follow SFAS 117, check here~
complete lines 27 through 29, and lines 33 and 34.

...

...
<C
...

30
31

15
16
17

10,911
815,362
126,923

19

:x.

22
23
24

8.562
88,357

25
26

126,923

124.012
30,576

27

457,863
230,576

and

Unrestricted net assets


Temporarily restricted net assets
Permanently restricted net assets
Organizations that do not follow SFAS 117, check here~

LL

Cl)

10c
11

18
19

fl)
Cl)

66.086

17

26

Cl)
fl)
fl)

49,735

15
16

23
24
25

fl)

Intangible assets
Other assets See Part IV, line 11
Total assets. Add lines 1 throuoh 15 (must equal line 34)

:J

m
't,
c
:::,

Investments-program-related

238.403
173,970

34.133

28
29

[J

and complete lines 30 through 34.


Capital stock or trust principal, or current funds
Paid-in or capital surplus, or land, building, or equipment fund

32

Retained earnings, endowment, accumulated income, or other funds

33
34

Total net assets or fund balances


Total hab111t1es
and net assets/fund balances

30
31
32

154,588
242.945

33
34

688,439
815,362
Form

DAA

990 (2009)

363309812 06/11/2010 11 13 AM

36-3309812

THE HEARTLAND INSTITUTE


Financial Statements and Reoortma

lrorm' 990 12009)

Part XI
1

Accounting method used to prepare the Form 990

LJ

Cash

I~ Accrual

Page
Yes

Other __________

12
No

If the organization changed its method of accounting from a prior year or checked "Other," explain m
Schedule O
2a Were the organization's financial statements compiled or reviewed by an independent accountant?
b Were the organization's financial statements audited by an independent accountant?

2a
2b

2c

c If "Yes" to lme 2a or 2b, does the organization have a committee that assumes respons1b1l1ty
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 selecllon process during the tax year, explain in
Schedule O
d If ''Yes" to hne 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

[J

Consolidated basis

Both consolidated and separate basis

3a 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?
b If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the

3a

required audit or audits exolain whv 1nSchedule O and describe anv steos taken to underao such audits

3b
Form

DAA

x
990

(2009)

36330981 06/11/2010 11 13 AM

SCHEDIJLE A

OMB No 1545-0047

Public Charity Status and Public Support

(Form990or 990-EZ)

Complete if the organization is a section 501(c)(3) organization


4947(a)(1) nonexempt charitable trust.
Departmentof the Treasury
InternalRevenueService

.... Attach to Form 990 or Form 990-EZ.

2009

or a section

Open to Public
Inspection

.... See separate instructions.

Employer identification number

Name of the organization

36-3309812

THE HEARTLAND INSTITUTE

Reason for Public Charity Status (All organizations must complete this part) See instructions.

Part I

The organization 1snot a private foundation because 111s (For Imes 1 through 11, check only one box )
1

[]

A church, convention of churches, or assoc1at1onof churches described 1nsection 170(b)(1 )(A)(i).

lJ
lJ
D

[J

,---, A federal, state, or local government or governmental unit described m section 170(b)(1)(A)(v).

2
3

A school described m section 170(b)(1)(A}{ii). (Attach Schedule E)


A hospital or a cooperative hospital service organization described m section 170(b)(1 )(A)(iii).
A medical research organ1zat1onoperated m conJunct1on 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 1n
section 170(b)(1 )(A)(iv). (Complete Part II)

[J

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)

8
9

~ A community trust described in 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 act1v1t1esrelated to its exempt funct1ons-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 organ1zat1onafter June 30, 1975 See section 509(a)(2). (Complete Part Ill)

10
11

1:

An organization organized and operated exclusively to test for public safety See section 509(a)(4).

0 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 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

D Type I

C Type II

D Type Ill-Functionally

integrated

~ Type Ill-Other

By checking this box, I certify that the organization 1snot controlled directly or indirectly by one or more d1squal1f1ed
persons other than foundation managers and other than one or more publicly supported organ1zat1onsdescribed m section
509(a)(1) or section 509(a)(2)

If the organization received a written determ1nat1onfrom the IRS that 1t1sa Type I, Type II, or Type Ill supporting
organization, check this box

Since August 17, 2006, has the organization accepted any gift or contribution from any of the
following persons?
Yes

(i) A person who directly or indirectly controls, either alone or together with persons described 1n(11)

No

and (111)
below, the governing body of the supported organ1zat1on?
(ii) A family member of a person described m (1)above?
(iii) A 35% controlled entity of a person described m (1)or (11)above?
Provide the follow1na information about the sunoorted oraanizat1onlsl
h
(ui) Type of orgamzat1on
(1)Nameof supported
(11)EIN
orgamzat1on
(describedon Imes 1-9
above or IRC section
(see instructions))

(vi) Isthe
(iv) Istheorganization (v) Didyounobly
1n organization
mcol
mcol (1)listed1nyour theorganization
mthe
governing
document? col (i) ofyour (1)organized
support?
US?
Yes

No

Yes

No

Yes

(vii) Amount of
support

No

Total
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions
Form 990 or 990-EZ.

DM

for

Schedule A (Form 990 or 990-EZ) 2009

363309812 06/11/2010 1113 AM

THE HEARTLAND
INSTITUTE
36-3309812
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5 1 7 1 or 8 of Part I.)
Section A. Public Support

'Schedule,<} (Form 990 or990-EZ) 2009

Page 2

Part IJ

Calendar year (or fiscal year beginning in)

11JJ,,

Gifts, grants, contnbut1ons, and


membership fees received (Do not
include any "unusual grants")

Tax revenuesleviedfor the organization's


benefitandeitherpaid to or expendedon
its behalf

The value of services or fac1l1t1es


furnished by a governmental unit to the
organization without charge

Total. Add lines 1 through 3

The portionof total contnbut1ons


by each
person(otherthan a governmentalunit or
publiclysupportedorganization)included
on lme 1 that exceeds2% of the amount
shownon lme 11,column(0

Public suooort. Subtractlme 5 from lme4

(a) 2005

(b)2006

(c) 2007

(d) 2008

(e) 2009

(f) Total

(a) 2005

(b)2006

(c) 2007

(d) 2008

(e) 2009

(f) Total

Section B. Total Support


Calendar year (or fiscal year beginning in)

11JJ,,

Amounts from line 4

Gross income from interest, d1v1dends,


payments received on secunt1es loans,
rents, royalties and income from s1m1lar
sources

Net income from unrelated business


act1v1t1es,
whether or not the business 1s
regularly earned on

10

11

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

12

Gross receipts from related act1v1t1es,


etc (see 1nstruct1ons)

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)

I 12

....~

organization, check this box and stop here

Section C. Computation of Public Support Percentage


14

Public support percentage for 2009 (line 6, column (f) d1v1dedby hne 11, column (f))

14

15

Public support percentage from 2008 Schedule A, Part II, hne 14

15

16a

33 1/3 % support test-2009. If the organization did not check the box on line 13, and hne 14 1s33 1/3 % or more, check this box
and stop here. The organization qualifies as a publicly supported organization

33 1/3 % support test-2008.

box and stop here. The organization qualifies as a publicly supported organization
17a

10%-facts-and-circumstances

....D

If the organ1zat1ondid not check a box on line 13 or 16a, and hne 15 1s33 1/3 % or more, check this
test-2009.

[J

lfthe organization did not check a box on line 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-2008.

more, and 1fthe organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in Part IV how the
Private foundation.

L_]

If the organization did not check a box on hne 13, 16a, 16b, or 17a, and line 15 1s10% or

organization meets the "facts-and-circumstances" test The organ1zat1onqual1f1esas a publicly supported organization
18

....11

If the organization did not check a box on hne 13, 16a, 16b, 17a, or 17b, check this box and see instructions

:t

Schedule A (Form 990 or 990-EZ) 2009

DAA

363309812 06/11/2010 11 13 AM

36-3309812

'schedule A (Form 990 or 990-EZ) 2009


THE HEARTLAND INSTITUTE
Part Ill
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 9 of Part I.)
Sect1on A Pu bl"IC S UDDOrt
Calendar year (or fiscal year beginning in) ~
Gifts, grants,contnbut1ons,
and
membershipfees received (Do not include
any "unusualgrants")

Grossreceiptsfrom adm1ss1ons,
merchandise
sold or servicesperformed,or fac1ht1es
furnishedm any act1v1ty
that 1srelatedto the
organization'stax-exemptpurpose

(b) 2006

(a) 2005

4,272,891

Grossreceiptsfrom act1v1t1es
that are not an
unrelatedtradeor businessundersection513

Tax revenuesleviedfor the organization's


benefitand eitherpaid to or expendedon
its behalf

The value of services or fac111!1es


furnished by a governmental unit to the
organization without charge

Total. Add Imes 1 through 5

4,519,482

7a

Amounts included on Imes 1, 2, and 3


received from d1squalif1edpersons

2,869,522

2,517,448

246,591

(c) 2007

4,993,162

187,267

189,135

2,704,715
953,200

Page 3

(e) 2009

(d) 2008

7,659,414

(f) Total

6,499,687

25,942,602

209,487

151,709

984,189

5,182,297

7,811,123

6,709,174

26,926,791

3,625,937

5,610,000

4,170,159

17,228,818

Amountsincludedon Imes2 and 3 received


from otherthan d1squahf1ed
personsthat
exceedthe greaterof $5,000or 1% of the

201,382

amounton lme 13 for the year


c
8

159,790

3,070,904

Add Imes 7a and 7b

136,966

1,112,990

3,762,903

73,371

182,319

5,683,371

753,828
17,982,646

4,352,478

Public support (Subtract line 7c from


line 6)

s ection

Calendar year (or fiscal year beginning in) ~


10a

Gross income from interest, d1v1dends,


payments received on securities loans,
rents, royalties and income from s1m1lar
sources

Unrelated business taxable income (less


section 511 taxes) from businesses
acquired after June 30, 1975

Add lines 10a and 10b

11

(b) 2006

Other income Do not include gain or


loss from the sale of capital assets
(Explain 1nPart IV )

13

Total support. (Add Imes 9, 1Oc, 11,


and 12)

(c) 2007

2,704,715

5,182,297

(d) 2008

(e) 2009

7,811,123

(f) Total

6,709,174

26,926,791

1,401

42,973

34,587

22,661

58,969

160,591

1,401

42,973

34,587

22,661

58,969

160,591

Net income from unrelated business


act1v1t1esnot included in line 1Ob,
whether or not the business 1sregularly
earned on

12

14

(a) 2005

4,519,482

Amounts from line 6

8,944,145

B. Total Suooort

4 520

883

2 747

688

5 216 884

7 833 784

6 768

143

27,087

382

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

Section C. Com utation of Public Su

ort Percenta e

15

Public support percentage for 2009 (line 8, column (f) d1v1dedby line 13, column (f))

15

33.02%

16

Public su

16

36.00%

ort ercenta e from 2008 Schedule A, Part Ill, line 15

Section D. Com utation of Investment Income Percenta e


17

Investment income percentage for 2009 (line 10c, column (f) d1v1dedby line 13, column (f))

17

1%

18

Investment income percentage from 2008 Schedule A, Part Ill, line 17

18

1%

19a

331/3 % support tests-2009.

33 1/3 % support tests-2008.

If the organization did not check the box on line 14, and line 15 1smore than 33 1/3 %, and line

17 1snot more than 33 1/3 %, check this box and stop here. The organization qualifies as a publicly supported organization

20
DAA

If the organization did not check a box on line 14 or line 19a. and line 16 1smore than 33 1/3 %. and

line 18 1snot more than 33 1/3 %, check this box and stop here. The organization qualifies as a publicly supported organization

~ ~

Private foundation.

If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions

Schedule A (Form 990 or 990-EZ) 2009

363309812 06/11/2010 11 13 AM

THE HEARTLAND INSTITUTE


36-3309812
Supplemental Information. Complete this part to provide the explanations required by Part II, line 10;
Part 11,line 17a or 17b; and Part 111,line 12. Provide any other additional information See instructions.

'.schedule-'\(Form990or990-EZ)2009

Part IV

Page4

Schedule A (Form 990 or 990-EZ) 2009


DAA

363309812 06/11/2010 1113 AM

Supplemental Financial Statements

SCHEDULED
"(Form 990)

Departmentof the Treasury


InternalRevenueService

Complete if the organization answered "Yes," to Form 990,


Part IV, line 6, 7, 8, 9, 10, 11, or 12.
~ Attach to Form 990. ~ See separate instructions.

Name of the organization

THE HEARTLAND INSTITUTE

OMB No 1545-0047

2009

Open to Public
lns~ctlon
Employer ident1f1cationnumber

36-3309812

Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if
the organization answered "Yes" to Form 990, Part IV, line 6.

Part I

(a) Donoradvisedfunds
1
2

Aggregate contributions to (during year)

Aggregate grants from (during year)

Aggregate value at end of year

(b) Fundsand otheraccounts

Total number at end of year

Did the organization inform all donors and donor advisors m writing that the assets held m donor advised
funds are the organization's property, subJect to the organization's exclusive legal control?

Yes

No

Yes

No

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 conferring 1mperm1ss1bleprivate benefit?

Part II

Conservation Easements. Complete if the organization answered "Yes" to Form 990 1 Part IV 1 line 7

Purpose(s) of conservation easements held by the organization (check all that apply)

! - Preservation of land for public use (e g , recreation or pleasure)

~ Preservation of an historically important land area

L__JProtection of natural habitat


~ Preservation of open space

Preservation of cert1f1edhistoric structure

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

a Total number of conservation easements

2a

b Total acreage restricted by conservation easements

2b

c Number of conservation easements on a certified historic structure included m (a)

2c

d Number of conservation easements included m (c) acquired after 8/17/06

2d

Number of conservation easements modified, transferred, released, ext1ngu1shed,or term mated by the organization during
the taxable year

Number of states where property subJect to conservation easement 1slocated ~


Does the organization have a written policy regarding the periodic monitoring, mspect1on, handling of
v1olat1ons,and enforcement of the conservation easements 11holds?

Staff and volunteer hours devoted to monitoring, mspectmg, 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 lme 2(d) above satisfy the requirements of section

In Part XIV, describe how the organization reports conservation easements 1ntis 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

Yes

No

Yes

No

-------

~$_

170(h)(4)(B)(1) and section 170(h)(4)(B)(11)?

Part Ill

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.


Complete if the organization answered "Yes" to Form 990, Part IV, line 8.

1a If the organization elected, as permitted under SFAS 116, not 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, 1nPart 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 1nits 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
(i) Revenues included m Form 990, Part VIII, line 1
(ii) Assets included m Form 990, Part X
2

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 relating to these items

a Revenues included m Form 990, Part VIII, line 1


b Assets included 1nForm 990, Part X
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA

Schedule D (Form 990) 2009

363309812 06/11/2010 11 13 AM

o (Form 990) 2009 THE HEARTLAND INSTITUTE


36-3309812
Page 2
Part Ill
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
Schedule
3

Using the organization's acqu1s1t1on,


accession, and other records, check any of the following that are a significant use of its
collection ,terns (check all that apply)

lr---,

d I ~ Loan or exchange programs


e [~ Other _ _ _ _ _ _

Public exh1b1t1on

b I
Scholarly research
,----,
c LJ Preservation for future generations
4

Provide a description of the organization's collections and explain how they further the organization's exempt purpose m
Part XIV

During the year, did the organization solicit or receive donations of art, historical treasures, or other s1m1lar
assets to be sold to raise funds rather than to be maintained as part of the organization's collection?

Part IV

Yes

, No

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.

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 m Part XIV and complete the following table

Yes

L-.:

No

Amount
c Beginning balance
d Add1t1onsduring the year

1c

e D1stribut1onsduring the year

1e

1d

Ending balance
2a Did the organization include an amount on Form 990, Part X, line 21?
b If "Yes," explain the arrangement m Part XIV
Part V
En d owment Fun d s. Comp Iet e "f
I oraarnza f ion
(a) Current year

1f
r

"-'

answere d "Yes "t 0 Form 990 ' Part IV ' Ime 10


(b) Pnor year

(c) Two years back

(d) Three years back

Yes "-

No

(e) Four years back

1a Begmnmg of year balance


b Contributions
c Net investment earnings, gains,
and losses
d Grants or scholarships
e Other expenditures for fac111!1es
and programs
f Adm1nistrat1veexpenses

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 m the possession of the organization that are held and administered for the
Yes

organization by
(i) unrelated organizations
(ii) related organ1zat1ons
b If "Yes" to 3a(11),are the related organizations listed as required on Schedule R?
Describe m Part XIV the intended uses of the organization's endowment funds
Pa rt VI
Inves t ments- Lan d. B UI"Id"mas. an d E:aumment. See

No

Jam
3a(ii)
3b

Descnpt1onof investment

(a) Cost or other basis


(investment)

Form 990 Part XI me 10

(b) Cost or other


basis (other)

(c) Accumulated

(d) Book value

deprec1at1on

1a Land
b Buildings
c Leasehold improvements
d Equipment
238,403
e Other
Total. Add Imes 1a through 1e (Column (d) must equal Form 990, Part X, column (8), line 10(c))

173,970

....

64,433
64,433

Schedule D (Form 990) 2009

DAA

363309812 06/11/2010 1113 AM


'

:.Schedul~ O (Form 990) 2009


THE HEARTLAND INSTITUTE
Part VII
Investments-Other Securities. See Form 990, Part X, line 12

36-3309812

(b) Book value

(a) Descnp!Jon of secunty or category

Page

(c) Method of valuation


Cost or end-of-year market value

(including name of security)

F1nanc1alderrvat1ves
Closely-held equity interests
Other

- - - - - - - - - - - - - - - - - - - - - -

- - - - - - - -

- - -

- - - - - - -

- - - - - - -

- - - - - - - - - - - -

nvestments- p rogram RIe ate d

....

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 12)

Part VIII

s ee Form 990

Pa rt X Ime 13
I

(b) Book value

(a) Description of investment type

(c) Method of valuation


Cost or end-of-year market value

....

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 13 )

Part IX

Other Assets. See Form 990 Part X line 15


I

(a) Description

(b) Book value

....

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 15)

Part X

...

Other L1ab1ht1es.
See Form 990 Part X line 25
I

(a) Description of llab1llty

(b) Amount

Federal income taxes

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 25)
2.

....

FIN 48 Footnote In Part XIV, provide the text of the footnote to the organrzat1on's financial statements that reports the

organrzat1on's lrab1lrtyfor uncertain tax positrons under FIN 48


Schedule D (Form 990) 2009
DAA

. . .

36330981'206/11/20101113AM

Schedule,D (Form 990) 2009

Part XI

THE HEARTLAND INSTITUTE

36-3309812

Total revenue (Form 990, Part VIII, column (A), line 12)

Total expenses (Form 990, Part IX, column (A), line 25)

Excess or (deficit) for the year Subtract lme 2 from line 1

Net unrealized gains (losses) on investments

5
6
7
8

Donated services and use of facilities

Other (Describe 1nPart XIV )

5
6
7
8

Total adjustments (net) Add Imes 4 through 8

10

Investment expenses
Prior period adjustments

Total revenue, gains, and other support per audited financial statements

Amounts included on line 1 but not on Form 990, Part VIII, line 12
2a

b Donated services and use of fac11it1es

2b

c Recoveries of prior year grants

2c

d Other (Describe 1nPart XIV )

2d

85,282

e Add Imes 2a through 2d


Subtract lme 2e from line 1

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

4a

b Other (Describe m Part XIV )

4b

c Add Imes 4a and 4b

4c

Total revenue Add Imes 3 and 4c. (This must eaual Form 990 Part I line 12)

. IS tatements
Reconc1 1at1ono fE xpenses per A u d"1ted F"manc1a

Total expenses and losses per audited financial statements

Amounts included on line 1 but not on Form 990, Part IX, line 25

wIt hE xpenses

6,785,374

per Return

6,336,805

a Donated services and use of fac111t1es

2a

b Prior year adjustments

2b

c Other losses

2c

d Other (Describe m Part XIV )

2d

85,282

e Add Imes 2a through 2d

85,282
6,251,523

2e

Subtract line 2e from line 1

Amounts included on Form 990, Part IX, line 25, but not on line 1:

a Investment expenses not included on Form 990, Part VIII, lme 7b

4a

b Other (Describe m Part XIV )

4b

c Add Imes 4a and 4b

4c

Total exoenses Add Imes 3 and 4c. ITh1s must eaual Form 990 Part I lme 18 l

Part XIV

85,282
6,785,374

2e

6,870,656

a Net unrealized gains on investments

Pa rt XIII

533,851

10

. I St at emen t s W"th
Reconc1T1af ion o fR evenue per A u d't1e d F"manc1a
I Revenue per Ret urn

6,785,374
6,251,523
533,851

Excess or ldef1c1t)for the vear oer audited financial statements Combine Imes 3 and 9

Pa rt XII

Page4

Reconc1T1at1ono f Ch ange in Net Assets f rom Form 990 to Audited Financial Statements

6,251

523

Supplemental Information

Complete this part to provide the descriptions required for Part 11,Imes 3, 5, and 9, Part Ill, lines 1a and 4, Part IV, Imes 1b
and 2b, Part V, line 4, Part X, line 2, Part XI, lme 8, Part XII, Imes 2d and 4b, and Part XIII, Imes 2d and 4b Also complete
this part to provide any add1t1onalinformation

_P~1' ~I...L ~I~_8_


-_~C.QN.fI!A1'I.QN_O_!' _f~gE_
DIRECT EXPENSES FROM 990 PART VIII LINE SB
DIRECT EXPENSES FROM 990 PART VIII
_PART XII,_LINE

OTHER
_BE,~8~

LINE SB

.=BE ,~8~

2D - REVENUE AMOUNTS INCLUDED IN FINANCIALS

D1RECT EXPE~SES FROM 990 PART VIII

LINE SB

OTHER
j

8E,~8~

Schedule D (Form 990) 2009

DAA

36330981'2 06/11/2010 11 13 AM

'

'

Schedul~ D (Form 990) 2009

Part XIV

THE HEARTLAND INSTITUTE

36-3309812

Page

Supplemental Information (continued)

LINE 2D

EXPENSE AMOUNTS INCLUDED IN FINANCIALS

DIRECT EXPENSES FROM 990 PART VIII

LINE SB ________

OTHER
j

Schedule D (Form 990) 2009


DAA

363309812 06/1,1/2010 11 13 AM

Statement of Activities Outside the United States

: Schedule F
(Form 990)

2009

~ Complete if the organization answered "Yes" to Form 990,

Part IV, line 14b, 15, or 16.


~ Attach to Form 990. ~ See separate instructions.

Department of the Treasury


Internal Revenue Service

Open to Public
Ins
Ion
Employer identification

Name of the organization

THE HEARTLAND INSTITUTE


Part I

OMB No 1545-0047

number

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' eltg1b11tty
for the grants or assistance, and the selection cntena used to award

the grants or assistance?


2

Yes

D No

For grantmakers. Describe in Part IV the organization's procedures for monitoring the use of grant funds outside the
United States

Act1v1t1es
per Region (Use Schedule F-1 (Form 990) 1fadd1t1onalspace 1sneeded)
(a) Region

(b) Number of
offices rn the
region

(c) Number of
employees or
agents rn
region

(d) Act1v1t1esconducted m
region (by type) (1e ,
fundra1srng, program services,
grants to rec1p1entslocated rn
the region)

(e) If act1v1tylisted 1n(d) 1s


a program service,
describe specific type of
service(s) rn region

(f) Total
expenditures for
region

EAST ASI !>. AND THE PAC FIC


GRANTS

Totals
~
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA

INFORMATION

115,000

115,000
Schedule F (Form 990) 2009

363309812 06/11/2010 11 13 AM

THE HEARTLAND INSTITUTE


36-3309812
Page2_
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to Form 990,
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
ti,.

ScheduleF(Form990)2009

Part II

1 (a) Name of organization

-.

...

(b) IRS code


section and EIN
(1fapplicable)

..

..

(d) Purpose of
grant

(c) Region

cash
disbursement

RESEARCH/PUBLICATION
AND THE PACIFIC

15,000

ELECTRONI1 ~

ASIA

ELECTRONI1 ~

ASIA

RESEARCH/PUBLICATION
AND THE PACIFIC

25,000

EAST

RESEARCH/PUBLICATION

25,000

ELECTRON!~

25,000

ELECTRON!~

25,000

ELECTRON!~

ASIA

AND THE

EAST

ASIA

AND THE

EAST

ASIA

AND THE

(h) Description
of non-cash
assistance

(i) Methodof

valuation
(book, FMV,
aoora1sal,other\

PACIFIC

RESEARCH/PUBLICATION
PACIFIC

Enter total number of rec1p1entorganizations 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) equ1valency letter
Enter total number of other organizations or ent1t1es

(g) Amountof
non-cash
assistance

PACIFIC

RESEARCH/PUBLICATION

(f) Mannerof

EAST

EAST

(e) Amountof
cash grant

...
...

0
5

Schedule F (Form 990) 2009


DAA

..

36330981206/11/20101113AM

THE HEARTLAND INSTITUTE


36-3309812
Page-lGrants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
..
- --- ..
- ..
----

Schedule F (Form 990) 2009

Part Ill

(a) Type of grant or assistance

(b) Region

(c) Number of
rec1p1ents

(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,
aoora1sal, other)

Schedule F (Form 990) 2009

DAA

'

363309812 06/1112010 11 13 AM

'

Sghedule F {Form 990) 2009

: f?art.lV

PART I,

THE HEARTLAND

INSTITUTE

36-3309812

Page 4

Supplemental Information
Complete this part to provide the information required in Part I, line 2, and any other additional information.

LINE 2 - PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS

THE ORGANIZATION IS

"FRIENDS OF" THE GRANT RECIPIENTS

THEREFORE NO MAJOR

TRACKING IS NECESSARY.

Schedule F {Form 990) 2009


DAA

~09812

06/11/201011 13 AM

Supplemental Information Regarding


Fundraising or Gaming Activities

, ' SCHl!DULE G
: (Form ~90 or 990-EZ)

"

,)

2009

Complete if the organization answered "Yes" to Form 990, Part IV, Imes 17, 18, or 19, or if the
or.9anization entered more than $15,000 on Form 990-EZ, line 6a.
,.. Attach to Fonn990or Fonn990-EZ. .... Seeseparateinstructions.

Departmentof the Treasury


Internal RevenueService

Open To Public
lnsoection
Employer identification number

Name of the organization

I 36-3309812

THE HEARTLANDINSTITUTE
Part I

OMB No 1545-0047

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

Indicate whether the organization raised funds through any of the following act1v1t1esCheck all that apply

D Solic1tat1on of non-government

[J

Marl solic1tat1ons

L.J

Internet and email solic1tat1ons

10

c
d

D Phone solic1tat1ons
D In-person solic1tat1ons

grants

Solic1tat1on of government grants

D Special fundra1s1ngevents

2a Did the organ1zat1on have a written or oral agreement with any ind1v1dual(including officers, directors, trustees
or key employees listed in Form 990, Part VII) or entity 1nconnection with professional fundra1s1ng services?

Yes

No

b If "Yes," list the ten highest paid ind1v1duals or ent1t1es(fundra1sers) pursuant to agreements under which the fundra1ser 1s
to be compensated at least $5,000 by the organization
(1) Name of ind1v1dual
or entity (fundraiser)

(ii) Act1v1ty

(Iii) Didfund- (1v)Gross receipts


raiserhave
from act1v1ty
custody
or
control
of
contnbut1ons?
Yes

(vi) Amount paid to


(or retained by)
organization

No

....

Total

(v) Amount paid to


(or retained by)
fundra1serlisted in
col (1)

List all states in which the organization 1s registered or licensed to solicit funds or has been notified rt rs exempt from
reg1strat1on or licensing

For Privacy Act and Paperwork


DAA

Reduction

Act Notice, see the Instructions

for Form 990 or 990-EZ.

Schedule

G (Form 990 or 990-EZ) 2009

363309812 06/11/2010 1113 AM

THE HEARTLAND INSTITUTE

Sctiedcrle G (!i'orm 990 or 990-EZ) 2009

fart 1J

36-3309812

Page

Fund raising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported
more than $15 000 on Form 990-EZ line 6a. List events with aross receiots areater than $5 000.
(b) Event #2

(a) Event #1

(c) Other events


(d) Total events

NONE

FUNDRAISING
(event type)

(event type)

(add col (a) through


col (c))

(total number)

Q)

::,

c
Q)
>
Q)

0:::

Gross receipts

102,513

102 513

102,513

102,513

85,282

85,282

Less Charitable
contributions

Gross revenue (hne 1


minus hne 2)

Cash prizes

Noncash prizes

rn
Q)
rn

RenUfac1htycosts

x
w
0

Food and beverages

c5

Entertainment

Other direct expenses

c
Q)
a.
~

10

Direct expense summary Add Imes 4 through 9 in column (d)

11

Net income summarv Combine hne 3, column (dl and hne 10

Part Ill

85, 282)
17,231

Gaming. Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more
than $15 000 on Form 990-EZ line 6a

Q)

(b) Pull tabs/instant


bingo/progressive bingo

(a) Bingo

::,

(d) Total gaming (Add


col (a) through col (c))

(c) Other gaming

Q)

>

Q)

0:::

Gross revenue

Cash prizes

a.

Noncash prizes

RenUfac1l1tycosts

Other direct expenses

Volunteer labor

Direct expense summary Add Imes 2 through 5 in column (d)

Net gaming income summary Combine hne 1, column d, and line 7

rn
Q)
rn
c
Q)

x
w
0

c5

j Yes

11 No

LJYes
I I No

I
I

Yes

I -1No

Yes

No

Enter the state(s) in which the organization operates gaming act1v1ties

9
a

Is the organization licensed to operate gaming act1v1t1es1neach of these states?

If "No," Explain

10a

Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year?

10a

If "Yes," Explain

11

Does the organization operate gaming activ1t1eswith nonmembers?

12

Is the orgamzat1on a granter, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable oammo?

DAA

9a

11
12
Schedule G (Form 990 or 990-EZ) 2009

36330981206/M/20101113AM

'

THE HEARTLAND INSTITUTE

, , Scbedule G (Perm 990 or 990-EZ) 2009

.. ' .

13

36-3309812

No

Indicate the percentage of gaming act1v1tyoperated in

The organization's facility

13a

An outside facility

13b

14

Page
Yes

Provide the name and address of the person who prepares the orgamzat1on's gaming/special events books
and records
Name....

Address....

15a

Does the orgamzat1on have a contract with a third party from whom the orgamzat1on receives gaming
revenue?

15a

If "Yes," enter the amount of gaming revenue received by the orgamzat1on ....
amount of gaming revenue retained by the third party ....

and the

If "Yes," enter name and address of the third party


Name....
Address....

16

Gaming manager 1nformat1on


Name..,_
Gaming manager compensation ..,_ $
Description of services provided ..,_

n
17

D1rector/officer

Employee

Independent contractor

Mandatory d1stnbut1ons
a

Is the organization required under state law to make charitable d1stnbut1onsfrom the gaming proceeds to
retain the state gaming license?

17a

Enter the amount of d1stnbut1ons required under state law d1stnbuted to other exempt orgamzat1ons or spent
in the oraamzat1on's own exempt act1v1t1esdunnQ the tax vear ..,_

$
Schedule G (Form 990 or 990-EZ) 2009

DAA

36330981206/11/20101113AM

SC:HE!DULEIVI
'(F.p'riv
990)
p

OMB No 1545-0047

Noncash Contributions

2009

.... Complete if the organizations answered "Yes" on Form


990, Part IV, lines 29 or 30.

Departmentof the Treasury


InternalRevenueService

Open To Public
Inspection

.... Attach to Form 990.

Employer 1dent1f1cat1on
number

Nameof the organization

I 36-3309812

THE HEARTLAND INSTITUTE


Part I

Types of Property
(a)
(b)
Check 1f Numberof Contributions
applicable

Art-Works

1
2
3
4
5

of art

Art-Historical

treasures

Art-Fractional

interests

(c)
Revenuesreportedon
Form 990, Part VIII, line 19

12.250

123.885

(d)
Methodof determining
revenues

Books and publications


Clothing and household
goods
Cars and other vehicles

6
7
8
9
10
11

Boats and planes


Intellectual property
Securities-Publicly

traded

Securities-Closely

held stock

Securit1es-Partnersh1p, LLC,
or trust interests

12
13

Securit1es-M1scellaneous
Qualified conservation
contribut1on-H1stonc
structures

14

Qualified conservation
contribution-Other

15
16

Real estate-Res1dent1al
Real estate-Commercial

17

Real estate-Other

18
19
20
21
22
23
24
25
26
27
28
29

Collectibles
Food inventory
Drugs and medical supplies
Taxidermy
Historical artifacts
Sc1ent1f1cspecimens
Archeolog1cal artifacts
Other ....( SOFTWARE

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

I
Yes

30a

No

During the year, did the orgamzat1on receive by contribution any property reported in Part I, Imes 1-28 that
11must hold for at least three years from the date of the m1t1alcontribut1on, and which 1snot required to be
used for exempt purposes for the entire holding period?

30a

31

If "Yes," describe the arrangement in Part II


Does the orgamzat1on have a gift acceptance policy that requires the review of any non-standard
contributions?
Does the orgamzat1on hire or use third parties or related organizations to sohc1t,process, or sell noncash

31

32a

contributions?

32a

33

If "Yes," describe in Part II


If the organization did not report revenues 1ncolumn (c) for a type of property for which column (a) 1schecked,

describe 1nPart II
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA

Schedule M (Form 990) 2009

363309812 06/11/2010 11 13 AM
,

'

'

Sch.~duleM(Fo?m9~0J2009

THE HEARTLAND INSTITUTE

36-3309812

Page

' p~rt.11. Supplemental Information. Complete this part to provide the information required by Part I, lines 30b,

32b, and 33. Also complete this part for any additional information.

Schedule

DAA

M (Form 990) 2009

-----,
363309812 06/1~/2010 11 13 AM

;SCtUiDULE

(Form 990)

2009

Complete to provide information for responses to specific questions on


Form 990 or to provide any additional information.
~ Attach to Form 990.

Department of the Treasury


Internal Revenue Service

Open to Public
Ins
ion

Employer identification

Name of the organization

THE HEARTLAND INSTITUTE


FORM 990,

OMB No 1545-0047

Supplemental Information to Form 990

PART I,

number

36-3309812

LINE 6

VOLUNTEERS HELPED WITH THE MISSION OF THE ORGANIZATION.

FORM 990,

PART VI,

LINE 2 - RELATED PARTY INFORMATION AMONGOFFICERS

JOSEPH BAST

DIANE BAST

PRESIDENT

EX. EDITOR

HUSBAND/WIFE

FORM 990,

PART VI,

LINE llA

- ORGANIZATION'S PROCESS TO REVIEW FORM 990

NO REVIEW WAS OR WILL BE CONDUCTED.

FORM 990,

PART VI,

LINE 12C - ENFORCEMENT OF CONFLICTS POLICY

ANNUALLYASK THE BOARD MEMBERS AND INDEPENDENT CONTRACTORS TO REVIEW THE


CONFLICT OF INTEREST POLICY AND COMPLETE/SIGN THE FORM. THE FORMS ARE KEPT
ON FILE.

WHEN MADE AWARE OF A POTENTIAL CONFLICT OF INTEREST THEY FOLLOW UP

AND GET NEW FORMS SIGNED.

THERE IS RELIANCE ON THE PERSONS SELF

DISCLOSURES.

FORM 990,

PART VI,

LINE lSA - COMPENSATION PROCESS FOR TOP OFFICIAL

WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN


INDEPENDENT PERSON, COMPARABILITY DATA, AND HAS PROOF OF THE DELIBERATION
AND DECISION.

FORM 990,

PART VI,

LINE lSB

- COMPENSATION PROCESS FOR OFFICERS

WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN


For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
DAA

Schedule O (Form 990) 2009

36330gg12 06/W2010

.. '
Scbedule O l'or
I

11 13 AM

990 2009

Pae
Employer identification

Na-.e o'-th2 organization

THE HEARTLAND INSTITUTE

number

36-3309812

INDEPENDENT PERSON, COMPARABILITY DATA, AND HAS PROOF OF THE DELIBERATION


AND DECISION.

FORM 990,

PART VI,

LINE 19 - GOVERNING DOCUMENTSDISCLOSURE EXPLANATION

GOVERNING DOCUMENTSARE MADE AVAILABLE BY REQUEST.

Schedule O (Form 990) 2009


DAA

36330981206/111/20101113AM

..

Depreciation and Amortization

,F97~,
:1:562
Departmentof the Treasury
InternalRevenueService ( )
99

(Including Information

OMB No 1545-0172

2009

on Listed Property)

~ See se arate instructions.

~ Attach to

our tax return.


Identifying number

Name(s)shownon return

36-3309812

THE HEARTLAND INSTITUTE


Businessor act1v1ty
to which this form relates

INDIRECT DEPRECIATION
Part I

Election To Expense Certain Property Under Section 179


Note: If vou have anv listed orooertv. comolete Part V before vou comolete Part I.

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 m lim1tat1on(see instructions)

Reduction m lim1tat1on Subtract line 3 from line 2 If zero or less, enter -0-

Dollarlim1tat1on
for tax vear Subtractline 4 from line 1 If zero or less, enter -0- If marriedf1lmqseparately,see instructions
(b) Cost (businessuse only)
(c) Electedcost
(a) Descriptionof property

Listed property Enter the amount from line 29


Total elected cost of section 179 property Add amounts m column (c), lines 6 and 7

Tentative deduction Enter the smaller of line 5 or line 8

10

Carryover of disallowed deduction from lme 13 of your 2008 Form 4562

10

11

Business income lim1tat1on Enter the smaller of business income (not less than zero) or line 5 (see instructions)

11

12

Section 179 expense deduction Add Imes 9 and 10, but do not enter more than lme 11

12

Part II

800,000

7
8

Carryover of disallowed deduction to 2010 Add Imes 9 and 10, less line 12
13
Note: Do not use Part II or Part Ill below for listed property Instead, use Part V

250,000

13

Special Depreciation Allowance and Other Deoreciation too not include listed orooertv. (See instr.)

Special deprec1at1on allowance for qualified property (other than listed property) placed 1nservice

14

during the tax year (see instructions)

14

15

Property subJect to section 168(f)(1) election

15

16

Other deorec1at1on(mcludma ACRS)

16

Part Ill

19,501

MACRS Depreciation (Do not include listed property.) (See instructions)


Section A

MACRS deductions for assets placed m service m tax years beginning before 2009

18

If ou are electin to rou an assets laced in service dunn the tax ear into one or more eneral asset accounts,check here ~
Section B-Assets
Placed in Service During 2009 Tax Year Using the General Depreciation System
(b) Month and year (c) Basis for deprec1at1on (d) Recovery
(business/investmentuse
(e) Convention
(f) Method
(a) Class1ficat1on
of property
placedin
period
only-see 1nstruct1ons)
service

19a

3-year property

5-vear prooertv

7-vear orooertv

10-vear propertv

15-vear orooertv

20-year property

25-vear orooertv

25 vrs

Res1dent1alrental
property

27 5 vrs

39 vrs
Section C-Assets

20a

Placed in Service During 2009 Tax Year Using the Alternative

12-vear

40-vear

Part IV

SIL

MM

40 vrs

SIL

Summarv (See instructions )


21

Listed property Enter amount from line 28

22

Total. Add amounts from line 12, Imes 14 through 17, Imes 19 and 20 1ncolumn (g), and line 21 Enter here
and on the appropriate lines of your return Partnerships and S corporations-see

instructions

22

19,501

For assets shown above and placed m service during the current year, enter the
oort1on of the basis attributable to section 263A costs

For Paperwork Reduction Act Notice, see separate instructions.


DAA

SIL

SIL
SIL

12 yrs

21

23

SIL

SIL
Depreciation System

Class life

(g) Deprec1at1on
deduction

SIL

MM
MM
MM
MM

27 5 vrs

Nonres1dent1al real
property

17

17

231
Form 4562 (2009)

THERE ARE NO AMOUNTS FOR PAGE 2

Form

8868

(Rev Apnl 2009)

Application for Extension of Time To File an


Exempt Organization Return

Department of the Treasury


Internal Revenue Service

OMS No 1545-1709

.,.. File a separate application for each return.

If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box
. . .,..
If you are filing for an Additional (Not Automatic) 3-Month Extension, complete only Part II (on page 2 of this form).
Do not com lete Part II unless ou have alread been ranted an automatic 3-month extension on a rev1ousl filed Form 8868.

IZl

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
Part I only .
. . . . . . . .

this box and complete


. . . . .,.. D

All other corporations (including 1120-C filers), partnerships, REM/Cs, 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 1fyou 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 add1t1onal (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.1rs.gov/eflle and click on e-ftle for Chanties & Nonprofits.
Type or
print

Name of Exempt Organization

File by the
due date for
filing your
return See
1nstruct1ons

Number, street, and room or suite no If a P O box, see instructions

Employer identification number

HEARTLAND INSTITUTE

36

3309812

19 SOUTH LASALLE STREET #903


City, town or post office, state, and ZIP code For a foreign address, see instructions.

CHICAGO, IL 60603
Check type of return to be filed (file a separate application for each return):
IZl Form 990
D Form 990-T (corporation)
D Form 990-BL
D Form 990-T (sec. 401(a) or 408(a) trust)
D Form 990-EZ
D Form 990-T (trust other than above)
D Form 990-PF
D Form 1041-A

D
D
D
D

Form
Form
Form
Form

4720
5227
6069
8870

The books are in the care of.,.. _!_~~-t'-~~~!_1:-~~l?-~~~-"!"!!_~:i:~------------------------------------------------------Telephone No . .,..L_~_1_~


___L________
~??_~~~~--------- FAX No . .,.. L_~_1_~__J __________
~?-~:~9-~~-------- If the organization does 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)
. If this 1s
for the whole group, check this box . . . . . .,.. D . If 1t 1sfor part of the group, check this box ......
.,.. D 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
____, 2o_J.~., to file the exempt organization return for the organization named above. The extension 1s
until ----~~~~~-"!"_~.:>_
for the organization's return for:
.,.. IZl calendar year 20 ... ~~-- or
.,.. D tax year beginning---------------------------------, 20 ______
, and ending _____________________________________
, 20_______
.

If this tax year is for less than 12 months, check reason:

Initial return

Final return

Change in accounting period

3a If this application 1s 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 pnor year overpayment allowed as a credit.
c Balance Due. Subtract line 3b from line 3a. Include your payment with this form, or, 1frequired,
deposit with FTD coupon or, 1f required, by using EFTPS (Electronic Federal Tax Payment
System). See 1nstruct1ons.

3a

3b

3c $
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 279160

Form

8868

(Rev 4-2009)

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