Form990
Click to see attachment
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 07-01-2013 , 2013, and ending 06-30-2014
BCheck if applicable:
CName of organization
AMERICAN LEGACY FOUNDATION
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
1724 MASSACHUSETTS AVENUE NW
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
WASHINGTON, DC20036
D Employer identification number

91-1956621
E Telephone number

G Gross receipts $ 120,829,311
F Name and address of principal officer:
ROBIN KOVAL
1724 MASSACHUSETTS AVENUE NW
WASHINGTON,DC20036
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
HTTP://WWW.LEGACYFORHEALTH.ORG
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1999
M State of legal domicile: DE
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: LEGACY'S MISSION IS TO ACHIEVE A CULTURE WHERE ALL YOUTH AND YOUNG ADULTS REJECT TOBACCO.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 11
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 11
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 166
6 Total number of volunteers (estimate if necessary) ............. 6 14
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a -91,423
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -91,423
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 4,509,371 1,956,547
9 Program service revenue (Part VIII, line 2g) ......... 0 0
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 86,802,274 115,428,474
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) -1,158,246 -219,628
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 90,153,399 117,165,393
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 4,232,693 3,915,652
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 17,371,912 18,147,478
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 82,350 51,000
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet1,368,900    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 53,466,384 42,951,659
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 75,153,339 65,065,789
19 Revenue less expenses. Subtract line 18 from line 12....... 15,000,060 52,099,604
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 1,091,727,835 1,151,506,314
21 Total liabilities (Part X, line 26)............. 71,791,463 40,960,230
22 Net assets or fund balances. Subtract line 21 from line 20..... 1,019,936,372 1,110,546,084
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's signature
Date
PTIN
Firm's name MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2013)
Form 990 (2013)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line in this Part III ..............
1
Briefly describe the organization’s mission: LEGACY'S MISSION IS TO ACHIEVE A CULTURE WHERE ALL YOUTH AND YOUNG ADULTS REJECT TOBACCO. THE PURPOSES FOR WHICH THE FOUNDATION IS FORMED ARE TO SUPPORT (1) THE STUDY OF AND PROGRAMS TO REDUCE YOUTH TOBACCO PRODUCT USAGE (CONT'D ON SCHEDULE O)AND YOUTH SUBSTANCE ABUSE IN THE STATES AND (2) THE STUDY OF AND EDUCATIONAL PROGRAMS TO PREVENT DISEASES ASSOCIATED WITH THE USE OF TOBACCO PRODUCTS IN THE STATES.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its 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 allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 26,081,685 including grants of $ 5,995 ) (Revenue $   )
MARKETING:THE MARKETING AND COMMUNICATIONS DEPARTMENT PRODUCES CAMPAIGNS IN SUPPORT OF LEGACY'S MISSION TO KEEP YOUTH AND YOUNG ADULTS FROM STARTING TO SMOKE AND TO HELP SMOKERS QUIT, AS WELL AS TO PROMOTE THE OVERALL LEGACY BRAND AMONG KEY AUDIENCES. WORKING IN COLLABORATION WITH A GROUP OF OUTSIDE AGENCIES, THE DEPARTMENT DEVELOPS ADVERTISEMENTS FOR PRINT, RADIO, TV, DIGITAL, SOCIAL, MOBILE AND OTHER EMERGING MEDIA VEHICLES, AND PLANS, PLACES AND MANAGES ALL RELATED PAID AND DONATED MEDIA EFFORTS. IN ADDITION, MARKETING AND COMMUNICATIONS PRODUCES GRASSROOTS AND SPECIAL EVENT INITIATIVES, AS WELL AS COLLATERAL AND OTHER PROMOTIONAL ITEMS AS COMPLEMENTARY AND INTEGRATED TACTICS. THE FOUNDATION HAS PERHAPS BEEN MOST WIDELY RECOGNIZED FOR TRUTH, ITS YOUTH-FOCUSED PUBLIC EDUCATION AND PREVENTION CAMPAIGN, WHICH HAS HELPED REDUCE YOUTH SMOKING RATES ACROSS THE COUNTRY. IN ADDITION TO PRODUCING ALL ELEMENTS OF THE TRUTH CAMPAIGN, FROM CREATIVE TO ACCOMPANYING ONLINE PROPERTIES TO AN ANNUAL GRASSROOTS TOUR, MARKETING DEVELOPED, PRODUCES AND SUPPORTS BECOMEANEX.ORG, A WEB BASED CESSATION PROGRAM OFFERING A FREE SMOKING CESSATION PLAN.
4b (Code:   ) (Expenses $ 5,432,306 including grants of $ 73,090 ) (Revenue $   )
RESEARCH & EVALUATION:THE RESEARCH AND EVALUATION DEPARTMENT EVALUATES LEGACY'S PROGRAMS. THESE EFFORTS HELP ENSURE THAT ALL OF LEGACY'S PROGRAMS - FROM YOUTH AND YOUNG ADULT PUBLIC EDUCATION TO RESEARCH, POLICY AND PRACTICE TO ENGAGEMENT, ACTIVISM AND PARTNERSHIP - ARE IMPLEMENTED WITH THE HIGHEST LEVEL OF EFFICIENCY AND EFFICACY POSSIBLE TO REDUCE TOBACCO-RELATED DISEASE AND DEATH. USING RIGOROUS RESEARCH METHODS, THE TEAM DEVELOPS LOGIC MODELS, SAMPLING PLANS, ANALYTIC OUTLINES, AND CONDUCTS DATA ANALYSES. FINDINGS ARE THEN USED TO DEVELOP PEER-REVIEWED PUBLICATIONS, AS WELL AS BRIEF REPORTS WRITTEN FOR BOTH SPECIFIC AUDIENCES AND THE GENERAL PUBLIC, IN AN EFFORT TO ADVANCE THE SCIENCE RELATED TO TOBACCO CONTROL AND TO FACILITATE PERFORMANCE IMPROVEMENTS OF PROGRAM EFFORTS. TO ENSURE THE HIGHEST LEVEL OF CREDIBILITY, RESEARCH STAFF ALSO SUBSTANTIATE ANY AND ALL FACTUAL INFORMATION FOR EVERY LEGACY-RELATED PRODUCT.
4c (Code:   ) (Expenses $ 4,460,041 including grants of $ 5,000 ) (Revenue $   )
SCHROEDER INSTITUTE FOR TOBACCO RESEARCH AND POLICY STUDIES:RESEARCH INVESTIGATORS IN THE SCHROEDER INSTITUTE (SI) CONDUCT BASIC, APPLIED, AND POLICY RESEARCH THAT CAN BE HARNESSED TO MAKE A TIMELY AND EFFICIENT PUBLIC HEALTH IMPACT ON REDUCING POPULATION TOBACCO USE PREVALENCE. THE SI ALSO PLAYS A LEADERSHIP ROLE IN STRENGTHENING THE NATIONAL AGENDA FOR NEXT-GENERATION TOBACCO CONTROL RESEARCH BY CONVENING AN ONGOING SERIES OF CONSENSUS CONFERENCES TO IDENTIFY CRITICAL KNOWLEDGE GAPS AND PRESSING RESEARCH PRIORITIES.
(Code:   ) (Expenses $ 3,264,446 including grants of $ 3,264,446 ) (Revenue $   )
GRANTS:HISTORICALLY, LEGACY HAS AWARDED GRANTS AND CONTRACTS ON TWO LEVELS: IN RESPONSE TO NATIONAL CALLS FOR PROPOSALS, AND THROUGH A RESPONSIVE DIRECTED GRANT MAKING MODE. EACH GRANT OR CONTRACT AIMS TO AFFECT ONE OR MORE OF THE FOUNDATION'S GOALS. IN FEBRUARY, 2009, LEGACY'S BOARD OF DIRECTORS MADE A DECISION TO DISCONTINUE ITS NATIONAL CALLS FOR PROPOSALS FOR THE GRANT-MAKING PROGRAM, WITH THE LAST CYCLE AWARDED IN SUMMER 2009. THE FOUNDATION WILL CONTINUE TO PROVIDE DIRECTED GRANT MAKING ON A VERY LIMITED BASIS.
(Code:   ) (Expenses $ 2,408,966 including grants of $ 5,184 ) (Revenue $   )
PROGRAM DEVELOPMENT & DISSEMINATION:PROGRAM DEVELOPMENT INCLUDES DEVELOPMENT AND EXECUTION OF PROGRAMMATIC COMPONENTS TO SUPPORT CESSATION AND PREVENTION ACTIVITIES. IN ADDITION, THIS UNIT IS RESPONSIBLE FOR STRATEGIC DEVELOPMENT AND COORDINATION OF COMPREHENSIVE PROGRAM PLANS THAT INCLUDE YOUTH LEADERSHIP DEVELOPMENT, TECHNICAL ASSISTANCE AND TRAINING (TAT) TO BUILD CAPACITY WITH LOCAL PARTNERSHIP ORGANIZATIONS, PLUS RELATIONS WITH THE EXTERNAL TOBACCO CONTROL AND PREVENTION COMMUNITY. IN ADDITION, WE DISSEMINATE THE OUTCOMES OF OUR PAST GRANT AND COMMUNITY INITIATIVE TYPE PROJECTS WITH PUBLICATIONS AND RESOURCES TARGETED TO THE PUBLIC HEALTH COMMUNITY.
(Code:   ) (Expenses $ 2,269,918 including grants of $ 155,985 ) (Revenue $   )
COLLABORATION & OUTREACH:THE COLLABORATION AND OUTREACH DEPARTMENT WORKS CROSS-DEPARTMENTALLY TO SUPPORT IMPLEMENTATION OF THE ORGANIZATION'S INITIATIVES AND ASSIST WITH PROMOTION OF PROGRAMS AND RESOURCES TO EXTERNAL AUDIENCES. THE DEPARTMENT ALSO MANAGES A PORTFOLIO OF APPROXIMATELY 20 GRANTS AND CONTRACTS TO STRATEGIC PARTNERS AND MAINTAINS AN ORGANIZATION-WIDE STAKEHOLDER CONTACT DATABASE. WORK IN THE DEPARTMENT IS GUIDED BY A PROACTIVE ANNUAL STAKEHOLDER OUTREACH PLAN THAT IS DESIGNED TO INCREASE THE FREQUENCY AND FLOW OF INFORMATION TO KEY LEGACY AUDIENCES AND PROVIDE FORUMS FOR FEEDBACK ON THE ORGANIZATION'S ACTIVITIES. DEPARTMENT ACTIVITIES INCLUDE EXTERNAL PARTNER RELATIONSHIP MANAGEMENT AT THE LOCAL, STATE AND NATIONAL LEVELS; IDENTIFICATION OF AND OUTREACH TO NEW ORGANIZATIONS; PRODUCTION OF INTERNAL OUTREACH TOOLS SUCH AS TALKING POINTS AND A CALENDAR OF ACTIVITIES; SUPPORT FOR AND EXECUTION OF MEETINGS, CONFERENCES AND EVENTS; AND COORDINATION OF PROJECTS INCLUDING SPONSORSHIPS, AWARDS, E-MARKETING AND AN ANNUAL STAKEHOLDER SURVEY.
(Code:   ) (Expenses $ 1,740,211 including grants of $ 6,000 ) (Revenue $   )
COMMUNICATIONS:LEGACY SEEKS TO INCREASE AWARENESS ABOUT THE ISSUE OF TOBACCO USE IN AMERICA, BY EDUCATING THE GENERAL PUBLIC AND KEY INFLUENCERS ABOUT THE ADDICTIVENESS OF NICOTINE, THE TOLL OF DEATH AND DISEASE FROM TOBACCO USE, AND THE SOCIAL AND ECONOMIC CONSEQUENCES TOBACCO USE TAKES IN OUR SOCIETY. THE AWARD-WINNING OFFICE OF COMMUNICATIONS IS CHARGED WITH THE MANAGEMENT AND EXECUTION OF ALL INTERNAL AND EXTERNAL COMMUNICATIONS FOR THE FOUNDATION INCLUDING MEDIA RELATIONS, PUBLIC RELATIONS, SOCIAL MEDIA, AND STAKEHOLDER COMMUNICATIONS AS WELL AS GENERAL COMMUNICATIONS-RELATED SUPPORT FOR FOUNDATION PROGRAMS, THE CEO AND PRESIDENT, THE BOARD OF DIRECTORS, AND EXECUTIVE STAFF. LEGACY COMMUNICATIONS UNDERTAKES A NUMBER OF ACTIVITIES TO ENSURE THAT THE ISSUE OF TOBACCO USE REMAINS ON THE NATIONAL AGENDA. LEGACY COMMUNICATIONS STAFF SUPPORTS THE WORK DONE BY THE CENTERS FOR DISEASE CONTROL'S "TIPS FROM A FORMER SMOKER" CAMPAIGN. ACTIVITIES INCLUDE MAINTAINING A RELATIONSHIP WITH THE MEMBERS OF THE MEDIA; DEVELOPING AND ISSUING PRESS RELEASES, STATEMENTS AND OTHER OUTREACH MATERIALS; PUBLICIZING FOUNDATION PROGRAMS AND EFFORTS; MANAGING AGENCIES AND OTHER EXTERNAL VENDORS; COLLABORATING WITH PARTNERS IN TOBACCO CONTROL AND PUBLIC HEALTH; SOCIAL MEDIA OUTREACH AND MANAGEMENT OF THE PRESIDENT'S BLOG; DEVELOPING AND DISSEMINATING MATERIALS THAT SUPPORT PROGRAMS AND PROVIDE INFORMATION TO INTERESTED PARTIES (FACT SHEETS, PROGRESS REPORTS); ADVISING ON CRISIS COMMUNICATIONS SITUATIONS; AND BUILDING RELATIONSHIPS WITH ORGANIZATIONS AND INDIVIDUALS THROUGH THOUGHT LEADERSHIP PANEL DISCUSSIONS, OUTREACH, SPEAKING OPPORTUNITIES, SPEECHWRITING, NEWS BRIEFINGS AND CONFERENCES. THE COMMUNICATIONS TEAM ALSO PRODUCES LEGACY'S WARNER SERIES WHICH ADDRESSES CUTTING EDGE TOPICS IN TOBACCO CONTROL POLICY.
(Code:   ) (Expenses $ 1,013,303 including grants of $ 51,958 ) (Revenue $   )
GOVERNMENT AFFAIRS:THE GOVERNMENT AFFAIRS DEPARTMENT EDUCATES POLICYMAKERS AT THE FEDERAL, STATE AND LOCAL LEVEL ABOUT LEGACY'S LIFESAVING PROGRAMS AS WELL AS A WIDE RANGE OF INFORMATION ABOUT THE IMPACT OF THE TOBACCO EPIDEMIC. WE ACHIEVE THIS GOAL THROUGH PARTICIPATION IN A VARIETY OF MEETINGS, BRIEFINGS, PUBLICATIONS, ETC. OUR EDUCATIONAL EFFORTS ARE SUPPORTED BY DISSEMINATION OF THE FOUNDATION'S RESEARCH STUDIES AND REPORTS, AS WELL AS STRATEGIC PARTICIPATION IN AND SPONSORSHIP OF CONFERENCES AND EVENTS THAT ALLOW US TO BUILD AWARENESS OF OUR ORGANIZATION AND ITS IMPORTANT WORK AS WELL AS KEY INFORMATION ABOUT THE TOBACCO EPIDEMIC BEFORE KEY AUDIENCES. FURTHER, WE INTERACT WITH FEDERAL AGENCIES AND PARTICIPATE IN THE REGULATORY PROCESS TO INFORM THE IMPLEMENTATION OF THE TOBACCO CONTROL ACT AND OTHER TOBACCO-RELATED LAW. LEGACY DOES NOT ENGAGE IN LOBBYING ACTIVITIES, IN COMPLIANCE WITH THE MASTER SETTLEMENT AGREEMENT'S PROHIBITION.
(Code:   ) (Expenses $ 481,916 including grants of $ 63,494 ) (Revenue $   )
YOUTH ACTIVISM AND TECHNICAL ASSISTANCE & TRAINING:IN ADDITION TO OUR GROUND BREAKING AND PROVEN EFFECTIVE TRUTH COUNTER MARKETING CAMPAIGN, LEGACY PROVIDES PROGRAMMING FOR STATES AND LOCALITIES TO INCREASE YOUTH ACTIVISM AT THE COMMUNITY AND NATIONAL LEVELS. THE FOUNDATION'S YOUTH ACTIVISM PROGRAMS SERVE TO PROMOTE AND INVEST IN THE LEADERSHIP OF YOUTH/YOUNG ADULT ACTIVISTS AND YOUTH COORDINATORS COMMITTED TO TOBACCO CONTROL AND PREVENTION, AS WELL AS TO GATHER INSIGHT AND PERSPECTIVE ON YOUTH CULTURE.LEGACY HAS A COMMITMENT TO LEARN FROM THE BEST MINDS IN THE FIELD OF TOBACCO CONTROL AND PREVENTION AND SHARE BEST PRACTICES WITH THOSE IN PUBLIC AND PRIVATE ORGANIZATIONS AT BOTH STATE AND LOCAL LEVELS. WE PROVIDE HIGH QUALITY TECHNICAL ASSISTANCE AND TRAINING TO INCREASE CAPACITY AND BUILD SKILLS AMONG FOUNDATION-SPONSORED PROJECTS WITHIN THE LARGER TOBACCO CONTROL AND PREVENTION COMMUNITY. THIS INCLUDES, ON THE STATE AND LOCAL LEVEL, ASSISTANCE SUCH AS:- SHARING INFORMATION FROM MODEL AND DEMONSTRATION PROJECTS (E.G., HEAD START TOBACCO CESSATION INITIATIVE)- PROVIDING TECHNICAL CONSULTATION TO PROGRAMS ON PROMISING AND BEST PRACTICES; AND- SPONSORSHIP OF APPROPRIATE SKILL BUILDING TRAINING OPPORTUNITIES.
(Code:   ) (Expenses $ 151,865 including grants of $ 29,500 ) (Revenue $   )
PRIORITY POPULATIONS:LEGACY HAS A STEADFAST COMMITMENT TO HELP ADDRESS THE TOBACCO-RELATED HEALTH DISPARITIES AMONG UNDERSERVED AND DISADVANTAGED POPULATIONS WHO DISPROPORTIONATELY BEAR THE TOLL OF TOBACCO. LEGACY PROVIDES SUPPORT FOR CULTURALLY TAILORED APPROACHES TO PREVENT AND CONTROL TOBACCO USE AMONG THE FOLLOWING PRIORITY POPULATIONS; (AFRICAN AMERICANS, ASIAN/PACIFIC ISLANDERS, HISPANICS, NATIVE AMERICANS, GAY/LESBIAN/TRANSGENDER, LOW SOCIAL ECONOMIC STATUS POPULATIONS, AND PERSONS WITH COMBINED HEALTH PROBLEMS, ESPECIALLY MENTAL ILLNESS, ALCOHOLISM OR SUBSTANCE ABUSE. IN ADDITION TO PROGRAMMATIC INITIATIVES, PRIORITY POPULATIONS IS RESPONSIBLE FOR FOSTERING PARTNERSHIPS AND OUTREACH TO NON-PROFITS AND LEADERSHIP ORGANIZATIONS SERVING THESE VARIOUS COMMUNITIES. FOR EXAMPLE, THROUGH THE TRIBAL AND HISPANIC/LATINO COLLEGE HEALTH INITIATIVE, LEGACY PROVIDED FUNDS AND PARTNERED WITH THE HISPANIC ASSOCIATION OF COLLEGES AND UNIVERSITIES (HACU) AND INTER-TRIBAL COUNCIL OF MICHIGAN TO HIGHLIGHT THE IMPORTANCE OF SUBPOPULATION AND TRIBAL SPECIFIC RESEARCH AS WELL AS TO BUILD CAPACITY AMONG COLLEGE STUDENTS AS IT IS RELATES TO HEALTH SURVEILLANCE.
(Code:   ) (Expenses $ 372,155 including grants of $ 255,000 ) (Revenue $   )
OTHER PROGRAM EXPENSES
4d Other program services (Describe in Schedule O.)
(Expenses $ 11,702,780 including grants of $ 3,831,567 ) (Revenue $   )
4e Total program service expensesMediumBullet47,676,812
Form 990 (2013)
Form 990 (2013)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule AClick to see attachment........................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Click to see attachment...
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part I..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part II........
4
 
No
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C,
Part III............................
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part IClick to see attachment........................
6
 
No
7
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 IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III Click to see attachment....................
8
 
No
9
Did the organization report an amount in Part X, line 21 for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IVClick to see attachment..............
9
 
No
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi-endowments? If "Yes," complete Schedule D, Part VClick to see attachment......
10
 
No
11
If the organization’s answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable.
a
Did the organization report an amount for land, buildings, and equipment in Part X, line 10?
If "Yes," complete Schedule D, Part VI.Click to see attachment...................
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIClick to see attachment.......
11b
Yes
 
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIIClick to see attachment.......
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IXClick to see attachment............
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part XClick to see attachment.........................
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If "Yes," complete Schedule D, Parts XI and XII Click to see attachment.................
12a
Yes
 
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Click to see attachment
12b
 
No
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E....
13
 
No
14a
Did the organization maintain an office, employees, or agents outside of the United States?.....
14a
 
No
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV......... Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IVClick to see attachment
15
 
No
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV... Click to see attachment
16
 
No
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I (see instructions).... Click to see attachment
17
Yes
 
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II............ Click to see attachment
18
 
No
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III................... Click to see attachment
19
 
No
20a
Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
Form 990 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II... Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........ Click to see attachment
22
Yes
 
23
Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J....................... Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer lines 24b through 24d and complete Schedule K. If “No,” go to line 25a................ Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
No
c
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
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I........
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I...................
25b
 
No
26
Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, complete Schedule L, Part II....................
26
 
No
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor 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 III.........
27
 
No
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV ..........................
28a
 
No
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV.....................
28b
 
No
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV...
28c
 
No
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..
29
 
No
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M.............
30
 
No
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1........................ Click to see attachment
34
 
No
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
 
No
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2...
35b
 
 
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............. Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V ..............
Yes
No
1a
Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..
1a
92
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable .
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
2a
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 ..................
2a
166
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
Yes
 
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 in a foreign country (such as a bank account, securities account, or other financial account)?..........................
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletBR , CI , CO , EG , IN , ID , KE , KS , MY , NI , RP , PL , TW , TH , TU , AE
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions?...
6a
 
No
b
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
Yes
 
b
If "Yes," did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
d
If "Yes," indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?............................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?............................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................
7h
 
 
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?............
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?.......
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If "Yes," enter the amount of tax-exempt interest received or accrued during the year. ....................
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
Form 990 (2013)
Form 990 (2013)
Page 6
Part VI
Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response or note to any line in this Part VI ..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year .....................
1a
11
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
11
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
 
No
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
Yes
 
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If "Yes," provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule O how this was done.......................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
 
No
b
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
AK , AL , AR , AZ , CA , CT , FL , GA , HI , IL , KS , KY , MA , MD , ME , MI , MS , MN , NC , NJ , NH , NM , NY , OK , OR , PA , RI , SC , TN , UT , VA , WA , WI , WV
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, 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:
MediumBulletANTHONY T O'TOOLE EVPCFIO1724 MASSACHUSETTS AVENUE NWWASHINGTONDC20036 (202) 454-5555
Form 990 (2013)
Form 990 (2013)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line in this Part VII ..............
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet 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.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest
compensated employees; and former such persons.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) JONATHAN E FIELDING MD MPH........................................................................
CHAIR
 6.00
.......................   		X   X       0 0 0
(2) HON LETICIA VAN DE PUTTE........................................................................
VICE CHAIR
 6.00
.......................   		X   X       0 0 0
(3) SUSAN CURRY PHD........................................................................
VICE CHAIR (TERM ENDED FEB. 2014)
 6.00
.......................   		X   X       0 0 0
(4) HON TOM MILLER TREASURER........................................................................
TREASURER
 6.00
.......................   		X   X       0 0 0
(5) HON LAWRENCE G WASDEN........................................................................
IMMEDIATE PAST CHAIR
 5.00
.......................   		X           0 0 0
(6) DONALD K BOSWELL........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(7) NANCY BROWN........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(8) HON GARY R HERBERT........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(9) HON MIKE MOORE........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(10) HON JEREMIAH W JAY NIXON........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(11) HON CHARLES K SCOTT........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(12) M CASS WHEELER........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(13) HON GREG ZOELLER........................................................................
DIRECTOR
 5.00
.......................   		X           0 0 0
(14) ROBIN KOVAL........................................................................
CEO (FROM 11/04/13)
 38.00
.......................   		    X       132,313 0 0
(15) CHERYL HEALTON........................................................................
CEO (UNTIL 01/01/14)
 38.00
.......................   		    X       456,407 0 162,149
(16) ANTHONY T O'TOOLE........................................................................
EVP, CFIO
 38.00
.......................   		    X       442,431 0 137,311
(17) ELLEN VARGYAS........................................................................
GENERAL COUNSEL/CORP SECRETARY
 38.00
.......................   		    X       328,325 0 85,857
Form 990 (2013)
Form 990 (2013)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) M DAVID DOBBINS........................................................................
COO
 38.00
.......................   		      X     324,951 0 102,168
(19) DAVID ABRAMS........................................................................
EXEC DIRECTOR (SHROEDER INST)
 38.00
.......................   		      X     412,441 0 61,593
(20) ERIC ASCHE........................................................................
CMO
 38.00
.......................   		      X     285,822 0 59,668
(21) AMBER BULLOCK........................................................................
EVP, PROG DEV
 38.00
.......................   		        X   248,914 0 55,702
(22) DONNA VALLONE........................................................................
SVP, RESEARCH & EVALUATION
 38.00
.......................   		        X   240,578 0 54,573
(23) WILLIAN FURMANSKI........................................................................
SVP, COLLABORATION & OUTREACH
 38.00
.......................   		        X   245,741 0 43,426
(24) ROBIN KORNHABER........................................................................
SVP, DEVELOPMENT UNTIL 01/28/14
 38.00
.......................   		        X   262,691 0 61,668
(25) RAYMOND NIAURA........................................................................
ASSOC DIRECTOR OF SCIENCE
 38.00
.......................   		        X   296,861 0 52,386










1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 3,677,475 0 876,501
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet39
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such individual ..............
3
 
No
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule J for such person ........
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
PHD USA220 EAST 42ND ST 7TH FLNEW YORKNY10017 MARKETING 26,651,109
ARNOLD WORLDWIDE LLC101 HUNTINGTON AVEBOSTONMA02199 MARKETING 5,904,979
BEACONFIRE CONSULTING INC2300 CLARENDON BLVD STE 925ARLINGTONVA22201 MARKETING 1,344,411
BUTLER CREATIVE LLC2401 EAST 6TH ST STE 1002AUSTINTX78702 MARKETING 1,254,380
VF OUTDOOR (DBA VANS)PO BOX 21647GREENSBORONC27420 MARKETING 735,975
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet34
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 10,250
d Related organizations...1d  
e Government grants (contributions)1e 1,573,982
f All other contributions, gifts, grants, and
similar amounts not included above1f 		372,315
g Noncash contributions included in lines
1a-1f:$ 		 
h Total. Add lines 1a-1f.......MediumBullet 1,956,547
Program Service RevenueAmt Business Code
2a
b
c
d
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet  
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 22,344,126     22,344,126
4 Income from investment of tax-exempt bond proceeds..MediumBullet        
5 Royalties...........MediumBullet        
(i) Real (ii) Personal
6a Gross rents 2,507,971  
b Less: rental expenses 2,870,612  
c Rental income or (loss) -362,641  
d Net rental income or (loss).......MediumBullet -362,641   -240,068 -122,573
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 93,867,348  
b Less: cost or other basis and sales expenses 0 783,000
c Gain or (loss) 93,867,348 -783,000
d Net gain or (loss)..........MediumBullet 93,084,348     93,084,348
8a Gross income from fundraising events (not including
$ 10,250
of contributions reported on line 1c). See Part IV, line 18 ..
a 300
b Less: direct expenses ...b 10,306
c Net income or (loss) from fundraising events..MediumBullet -10,006   -10,006
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet        
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet        
Miscellaneous Revenue Business Code
11a GARAGE PARKING 812930 144,725   144,725  
b OTHER INCOME 900099 4,374     4,374
c WEBSITE 541800 3,920   3,920  
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 153,019
12 Total revenue. See Instructions......MediumBullet 117,165,393 0 -91,423 115,300,269
Form 990 (2013)
Form 990 (2013)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).Check if Schedule O contains a response or note to any line in this Part IX ...............
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising expenses
1 Grants and other assistance to governments and organizations in the United States. See Part IV, line 21 3,895,652 3,895,652
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 20,000 20,000
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16    
4 Benefits paid to or for members    
5 Compensation of current officers, directors, trustees, and key employees .... 4,366,160 1,456,512 2,909,648  
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) ....        
7 Other salaries and wages 9,508,162 7,725,696 1,042,295 740,171
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 1,357,398 1,037,193 254,220 65,985
9 Other employee benefits ....... 2,052,663 1,398,114 528,081 126,468
10 Payroll taxes ........... 863,095 586,002 228,145 48,948
11 Fees for services (non-employees):        
a Management ...... 32,712   32,712  
b Legal ......... 180,145   180,145  
c Accounting ........... 193,904 857 193,047  
d Lobbying ...........        
e Professional fundraising services. See Part IV, line 17 51,000 51,000
f Investment management fees ...... 6,857,169   6,857,169  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 29,353,690 28,902,715 399,761 51,214
12 Advertising and promotion ....        
13 Office expenses ....... 1,249,996 413,311 819,147 17,538
14 Information technology ...... 328,087 160,490 167,597  
15 Royalties ..        
16 Occupancy ........... 713,373   552,573 160,800
17 Travel ............ 1,120,279 936,859 158,225 25,195
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ......        
19 Conferences, conventions, and meetings .... 359,229 247,978 111,251  
20 Interest ........... 978,223   978,223  
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization ..... 797,838 32,414 765,424  
23 Insurance .............. 372,937 90,083 282,854  
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a INCOME TAX EXPENSE -2,041   -2,041  
b OTHER EXPENSES 220,045 151,887 47,601 20,557
c PROFESSIONAL DEVELOPMEN 116,435 79,387 26,159 10,889
d BOND ISSUANCE AMORTIZAT 79,638   79,638  
e All other expenses   541,662 -591,797 50,135
25 Total functional expenses. Add lines 1 through 24e 65,065,789 47,676,812 16,020,077 1,368,900
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ............. 500 1 500
2 Savings and temporary cash investments ......... 158,792,172 2 156,344,180
3 Pledges and grants receivable, net ........... 1,593,195 3 607,744
4 Accounts receivable, net ............. 112,803 4 387,047
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
  5  
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
  6  
7 Notes and loans receivable, net .............   7  
8 Inventories for sale or use .............. 28,128 8  
9 Prepaid expenses and deferred charges .......... 711,297 9 892,686
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 69,575,110
b Less: accumulated depreciation ..... 10b 17,398,143 53,497,181 10c 52,176,967
11 Investments—publicly traded securities .......... 316,607,095 11 325,323,704
12 Investments—other securities. See Part IV, line 11 ..... 559,517,922 12 614,659,571
13 Investments—program-related. See Part IV, line 11 .....   13  
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 867,542 15 1,113,915
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 1,091,727,835 16 1,151,506,314
Liabilities 17 Accounts payable and accrued expenses ......... 18,401,092 17 7,668,146
18 Grants payable ................. 85,625 18 375,000
19 Deferred revenue ................ 64,553 19 111,975
20 Tax-exempt bond liabilities ............. 28,000,000 20 28,000,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D..   21  
22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L..........   22  
23 Secured mortgages and notes payable to unrelated third parties ..   23  
24 Unsecured notes and loans payable to unrelated third parties .... 17,932,961 24  
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24). Complete Part X of Schedule D.................... 7,307,232 25 4,805,109
26 Total liabilities. Add lines 17 through 25......... 71,791,463 26 40,960,230
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 1,019,936,372 27 1,110,546,084
28 Temporarily restricted net assets ...........   28  
29 Permanently restricted net assets ...........   29  
Organizations that do not follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 30 through 34.
30 Capital stock or trust principal, or current funds ........   30  
31 Paid-in or capital surplus, or land, building or equipment fund .....   31  
32 Retained earnings, endowment, accumulated income, or other funds   32  
33 Total net assets or fund balances ........... 1,019,936,372 33 1,110,546,084
34 Total liabilities and net assets/fund balances ........ 1,091,727,835 34 1,151,506,314
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI ..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
117,165,393
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
65,065,789
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
52,099,604
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
1,019,936,372
5
Net unrealized gains (losses) on investments ...............
5
37,586,543
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
923,565
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
1,110,546,084
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line in this Part XII .............
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?
2a
 
No
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
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?
3a
Yes
 
b
If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits.
3b
Yes
 
Form 990 (2013)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID:  
Software Version:  
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
f
g
(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the supported organization? ................
11g(i)
 
 
(ii) A family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) A 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 9 above or IRC section (see instructions)) (iv) Is the organization in col. (i) listed in your governing document? (v) Did you notify the organization in col. (i) of your support? (vi) Is the organization in col. (i) organized in the U.S.? (vii) Amount of monetary support
Yes No Yes No Yes No
Total  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
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, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 3,766,128 2,576,538 2,608,369 4,384,402 1,956,547 15,291,984
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3 3,766,128 2,576,538 2,608,369 4,384,402 1,956,547 15,291,984
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..  
6 Public support. Subtract line 5 from line 4. 15,291,984
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
7 Amounts from line 4.. 3,766,128 2,576,538 2,608,369 4,384,402 1,956,547 15,291,984
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 16,807,876 14,870,989 19,991,033 18,134,988 23,191,820 92,996,706
9 Net income from unrelated business activities, whether or not the business is regularly carried on.. 240,970 865,855       1,106,825
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.).. 48,143 158,543 1,428,133 137,555 4,674 1,777,048
11 Total support (Add lines 7 through 10). 111,172,563
12
12
 
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here.................................................right arrow
Section C. Computation of Public Support Percentage
14
14
13.760 %
15
15
16.130 %
16a
b
17a
b
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 ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......            
3 Gross receipts from activities that are not an unrelated trade or business under section 513..            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge..            
6 Total. Add lines 1 through 5.            
7a Amounts included on lines 1, 2, and 3 received from disqualified persons...            
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.            
c Add lines 7a and 7b..            
8 Public support (Subtract line 7c from line 6.)  
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
9 Amounts from line 6...            
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.            
c Add lines 10a and 10b.            
11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.            
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.) ..            
13 Total support. (Add lines 9, 10c, 11, and 12.)..            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
FACTS AND CIRCUMSTANCES ANALYSISTHE AMERICAN LEGACY FOUNDATION ("LEGACY") QUALIFIES AS A PUBLICLY SUPPORTED ORGANIZATION UNDER ALL OF THE FACTS AND CIRCUMSTANCES BECAUSE (A) IT NORMALLY RECEIVES A SUBSTANTIAL PART OF ITS SUPPORT FROM GOVERNMENT UNITS, FROM DIRECT OR INDIRECT CONTRIBUTIONS FROM THE GENERAL PUBLIC, OR FROM A COMBINATION OF THESE SOURCES, UNDER THE STANDARDS SET FORTH IN REG. 1.170A-9(F)(3)(I) AND (II); AND (B) IT IS IN THE NATURE OF A PUBLICLY SUPPORTED ORGANIZATION TAKING INTO ACCOUNT THE FACTORS SET FORTH IN REG. 1.170-A-9(F)(3)(III) THROUGH (VII).A. TEN PERCENT SUPPORT LIMITATION. LEGACY NORMALLY RECEIVES AT LEAST 10 PERCENT OF ITS TOTAL SUPPORT FROM PUBLIC SOURCES. AS SET FORTH IN SCHEDULE A, PART II, THE ORGANIZATION'S PUBLIC SUPPORT FOR TAXABLE YEARS 2009 - 2013 WAS 13.76%. ATTRACTION OF PUBLIC SUPPORT. LEGACY MAINTAINS A CONTINUOUS AND BONA FIDE PROGRAM DESIGNED TO ATTRACT PUBLIC SUPPORT. THE TOTAL AMOUNT OF PUBLIC SUPPORT RAISED BY LEGACY IN TAXABLE YEARS 2009-2013 AS A RESULT OF THESE EFFORTS WAS NEARLY $15.3 MILLION. EXAMPLES OF LEGACY'S EFFORTS TO ATTRACT PUBLIC SUPPORT DURING THE FIVE-YEAR TESTING PERIOD INCLUDE THE FOLLOWING: FEDERAL GOVERNMENT GRANTS AND CONTRACTS. LEGACY MAINTAINS A BONA FIDE, CONTINUOUS AND SUCCESSFUL PROGRAM TO ATTRACT NEW AND ADDITIONAL FEDERAL GOVERNMENTAL SUPPORT. AS PART OF THIS PROGRAM, LEGACY HAS DEDICATED STAFF IN BOTH ITS SCHROEDER RESEARCH INSTITUTE AND FINANCE DEPARTMENT TO ASSIST WITH APPLICATIONS FOR FEDERAL SUPPORT AND TO MANAGE GRANTS AND CONTRACTS THAT ARE AWARDED. FROM TAX YEAR 2009 THROUGH 2013, LEGACY SUBMITTED OVER 80 APPLICATIONS FOR FEDERAL GRANTS AND CONTRACTS. IN 2013 ALONE, LEGACY SUBMITTED 21 APPLICATIONS TO THE NATIONAL INSTITUTES OF HEALTH, THE NATIONAL CANCER INSTITUTE AND THE U.S. FOOD AND DRUG ADMINISTRATION FOR SUPPORT FOR RESEARCH AND RELATED ACTIVITIES. ALL OF THESE APPLICATIONS WERE CONSISTENT WITH LEGACY'S CHARITABLE PURPOSE OF MITIGATING THE TOLL OF DEATH AND DISEASE CAUSED BY THE TOBACCO EPIDEMIC. OVER THE FIVE YEAR PERIOD, LEGACY WAS AWARDED 27 FEDERAL GRANTS AND CONTRACTS FOR A TOTAL AMOUNT AWARDED OF $14,708,866 MILLION. OTHER GRANTS. DURING THE FIVE-YEAR TESTING PERIOD, LEGACY SUBMITTED FUNDING PROPOSALS TO DOZENS OF OTHER ENTITIES. LEGACY RECEIVED 18 AWARDS FOR A TOTAL AMOUNT AWARDED OF $946,755. IN THE CURRENT TAXABLE YEAR THIS INCLUDED SUPPORT FROM, FOR EXAMPLE, THE UNIVERSITY OF MICHIGAN AND THE LOUISIANA PUBLIC HEALTH INSTITUTE. OTHER EFFORTS. DURING THE TESTING PERIOD, LEGACY ALSO ENGAGED IN NUMEROUS OTHER EFFORTS TO ATTRACT PUBLIC SUPPORT INCLUDING, FOR EXAMPLE, PARTICIPATING IN THE COMBINED FEDERAL CAMPAIGN AND CONDUCTING FUNDRAISING EFFORTS VIA DIRECT MAIL AND SPECIAL EVENTS. RATHER THAN REPEATING THE DETAIL HERE, PLEASE SEE SCHEDULE O OF LEGACY'S 2013 990 FILING FOR FURTHER INFORMATION. B. PERCENTAGE OF FINANCIAL SUPPORT. LEGACY WAS ESTABLISHED IN 1999 PURSUANT TO THE TERMS OF THE MASTER SETTLEMENT AGREEMENT NEGOTIATED BY THE ATTORNEYS GENERAL OF 46 STATES, THE DISTRICT OF COLUMBIA AND FIVE U.S. TERRITORIES IN SETTLEMENT OF CIVIL ACTIONS FILED AGAINST THE MAJOR U.S. TOBACCO COMPANIES FOR DAMAGES DUE TO THE HARMFUL EFFECTS OF TOBACCO. THE STATES REQUESTED THAT A PORTION OF THE FUNDS THEY RECEIVED FROM THE TOBACCO INDUSTRY BE USED TO ESTABLISH AND FUND AN ORGANIZATION PRIMARILY DEDICATED TO STUDYING AND PROVIDING PUBLIC EDUCATION ABOUT THE IMPACT OF TOBACCO IN ORDER TO REDUCE ITS USE AND ASSOCIATED DEATH AND DISEASE. LEGACY ALSO RECEIVED FUNDING FROM A SIMILAR SETTLEMENT AGREEMENT ENTERED INTO BETWEEN THE STATES AND THE SMOKELESS TOBACCO COMPANIES. EARLY ON LEGACY'S BOARD OF DIRECTORS VOTED TO FOLLOW A "PERPETUITY MODEL" ALLOCATING A SIGNIFICANT PORTION OF THE SETTLEMENT FUNDS RECEIVED FROM 1999 - 2003 FOR LONG-TERM INVESTMENTS (RESERVE FUND), WHICH OPERATES LIKE A QUASI-ENDOWMENT TO SUPPORT FUTURE CHARITABLE AND EDUCATIONAL ACTIVITIES IN THE YEARS AFTER THE SETTLEMENT PAYMENTS WOULD CEASE. LEGACY'S LONG-TERM INVESTMENTS (RESERVE FUND) AT JUNE 30, 2014 WAS $963.6 MILLION. UNDER THE TERMS OF THE SETTLEMENT AGREEMENTS, THE LAST OF THE NORMALLY SCHEDULED PAYMENTS TO LEGACY WERE RECEIVED DURING ITS 2007 TAXABLE YEAR (ENDING JUNE 30, 2008). SINCE THAT TIME, BECAUSE OF THE CESSATION OF THE SETTLEMENT PAYMENTS, LEGACY HAS RECEIVED AN INCREASINGLY HIGH PERCENTAGE OF ITS TOTAL SUPPORT FROM INVESTMENT INCOME ON ITS LONG-TERM INVESTMENTS (RESERVE FUND) AND ITS PUBLIC SUPPORT PERCENTAGE HAS DECLINED SUBSTANTIALLY SO THAT BEGINNING WITH THE 2012 TAXABLE YEAR LEGACY FOR THE FIRST TIME NO LONGER QUALIFIED UNDER THE 33 1/3 PERCENT OF SUPPORT TEST DURING THE FIVE-YEAR TESTING PERIOD. HOWEVER, WERE IT NOT FOR THE LARGE AMOUNT OF GROSS INVESTMENT INCOME GENERATED BY LEGACY'S RESERVE FUND, THE ORGANIZATION'S PUBLIC SUPPORT OF NEARLY $15.3 MILLION WOULD EASILY ALLOW IT TO QUALIFY AS A PUBLICLY SUPPORTED ORGANIZATION. AS SET FORTH IN REG. 1.170A-9(F)(3)(III), THE FACT THAT LEGACY'S PUBLIC SUPPORT PERCENTAGE IS LOW BECAUSE A HIGH PERCENTAGE OF ITS TOTAL SUPPORT COMES FROM INVESTMENT INCOME ON ITS LONG-TERM INVESTMENTS (RESERVE FUND) IS EVIDENCE OF LEGACY'S COMPLIANCE WITH THE FACTS AND CIRCUMSTANCES TEST. REPRESENTATIVE GOVERNING BODY. LEGACY HAS A GOVERNING BODY WHICH REPRESENTS THE BROAD INTERESTS OF THE PUBLIC, OTHER THAN THE PERSONAL OR PRIVATE INTERESTS OF A LIMITED NUMBER OF DONORS. UNDER THE ORGANIZATION'S BYLAWS, THE ELEVEN-PERSON BOARD OF DIRECTORS CONSISTS OF TWO DIRECTORS APPOINTED BY EACH OF THE NATIONAL ASSOCIATION OF ATTORNEYS GENERAL, THE NATIONAL GOVERNORS ASSOCIATION, AND THE NATIONAL CONFERENCE OF STATE LEGISLATURES FROM AMONG THEIR MEMBERS. THESE DIRECTORS (CLASS A DIRECTORS) CURRENTLY INCLUDE THE GOVERNORS OF UTAH AND MISSOURI, THE ATTORNEYS GENERAL OF IOWA AND INDIANA, AND STATE SENATORS FROM TEXAS AND WYOMING. THE ATTORNEY GENERAL OF IDAHO SERVES AS NON-VOTING IMMEDIATE PAST CHAIR. THE CLASS A DIRECTORS ELECT BY MAJORITY VOTE THE REMAINING FIVE DIRECTORS, THE CLASS B DIRECTORS. THE BYLAWS PROVIDE THAT ONE OF THE CLASS B DIRECTORS SHALL HAVE EXPERTISE IN PUBLIC HEALTH ISSUES AND FOUR DIRECTORS SHALL HAVE EXPERTISE IN MEDICAL, CHILD PSYCHOLOGY, OR PUBLIC HEALTH DISCIPLINES. THE CURRENT CLASS B DIRECTORS INCLUDE THE PRESIDENT AND CEO OF THE WESTERN NEW YORK PUBLIC BROADCASTING ASSOCIATION, THE JUST-RETIRED DIRECTOR HEALTH OFFICER OF THE LOS ANGELES COUNTY DEPARTMENT OF PUBLIC HEALTH, THE CHIEF EXECUTIVE OFFICER OF THE AMERICAN HEART ASSOCIATION, A FORMER STATE ATTORNEY GENERAL WHO HAS BEEN A NATIONAL LEADER ON TOBACCO ISSUES, AND THE CHIEF EXECUTIVE OFFICER EMERITUS OF THE AMERICAN HEART ASSOCIATION. RECENT FORMER CLASS B DIRECTORS INCLUDE THE PRESIDENT OF THE SOUTHERN CALIFORNIA REGION, KAISER FOUNDATION HEALTH PLAN AND HOSPITALS, THE THEN-ASSOCIATE DEAN FOR PUBLIC HEALTH PRACTICE AT THE HARVARD SCHOOL OF PUBLIC HEALTH, A FORMER PRESIDENT OF THE AMERICAN MEDICAL ASSOCIATION, AN IMMEDIATE PAST PRESIDENT OF THE AMERICAN CANCER SOCIETY, AND A DISTINGUISHED PROFESSOR OF HEALTH AND HEALTH CARE AT THE DEPARTMENT OF MEDICINE OF THE UNIVERSITY OF CALIFORNIA, SAN FRANCISCO. THERE ARE ALSO TWO YOUTH LIAISONS TO THE BOARD OF DIRECTORS WHO MAY CAST NON-BINDING ADVISORY VOTES. AVAILABILITY OF PUBLIC FACILITIES AND SERVICES; PUBLIC PARTICIPATION IN PROGRAMS.LEGACY PROVIDES FACILITIES AND SERVICES DIRECTLY FOR THE BENEFIT OF THE GENERAL PUBLIC ON A CONTINUING BASIS. LEGACY'S TRUTH CAMPAIGN, BEGUN IN 2000, IS THE LARGEST NATIONAL YOUTH SMOKING PREVENTION CAMPAIGN EVER UNDERTAKEN IN THIS COUNTRY; ITS AWARD-WINNING ADVERTISEMENTS, GRASS ROOTS TOURS AND APPEARANCES, AND ON-LINE MEDIA COMMUNICATIONS HAVE PROVIDED THE FACTS TO MILLIONS OF TEENS ABOUT TOBACCO USE AND INDUSTRY MARKETING TACTICS AND HAS BEEN CREDITED WITH A SIGNIFICANT DECLINE IN YOUTH SMOKING RATES. LEGACY HAS RECENTLY LAUNCHED A REDESIGNED AND UPDATED VERSION OF THE TRUTH CAMPAIGN ACROSS MULTIPLE, NATIONAL MEDIA PLATFORMS INCLUDING TELEVISION, SOCIAL MEDIA, AND ON-LINE. LEGACY HAS COMMITTED TO SUPPORTING THE CAMPAIGN WITH A SUBSTANTIAL INVESTMENT OF $171M OVER THE NEXT THREE YEARS. THE NEW CAMPAIGN IS ALREADY REACHING MILLIONS OF YOUTH. ANOTHER NATIONAL PUBLIC SERVICE CAMPAIGN, CODE BLUE FOR LUNG CANCER, WAS LAUNCHED IN 2006 AS A PARTNERSHIP WITH THE NATIONAL ASSOCIATION OF BROADCASTERS. IN 2008, LEGACY AND A COALITION OF PUBLIC HEALTH GROUPS AND STATE PUBLIC HEALTH DEPARTMENTS BEGAN BECOME AN EX, AN INNOVATIVE SMOKING CESSATION CAMPAIGN AND WEBSITE FOR ADULT SMOKERS WHO ARE READY TO QUIT BUT NEED HELP. THE WEBSITE INCLUDES A COMMUNITY WHERE, AT NO CHARGE, SMOKERS CAN PROVIDE AND RECEIVE SUPPORT. THE SITE PROTOCOL WAS DEVELOPED IN CONJUNCTION WITH THE MAYO CLINIC AND MAYO PROVIDES CLINICAL SUPPORT IN THE FORM OF ONLINE INTERACTION WITH THE COMMUNITY. (SEE SCHEDULE O FOR CONTINUATION)
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version:  
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors
Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
Arrow Bullet Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......................... Arrow Bullet $  
Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
Form 990-EZ or on its Form 990PF, Part I, line 2, to certify that it does not meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 2
Name of organization
AMERICAN LEGACY FOUNDATION
  		Employer identification number

91-1956621
Part I
Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
RESTRICTED
RESTRICTED
 

   
RESTRICTED
RESTRICTED
RESTRICTED, RESTRICTEDRESTRICTED

$RESTRICTED


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 3
Name of organization
AMERICAN LEGACY FOUNDATION
  		Employer identification number

91-1956621
Part II
Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 4
Name of organization
AMERICAN LEGACY FOUNDATION
  		Employer identification number

91-1956621
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
Use duplicate copies of Part III if additional space is needed.
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Additional Data


Software ID:  
Software Version:  
SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .........    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) .....    
4 Aggregate value at end of year ........    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in 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 impermissible private benefit? ...................................
Part II
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the 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 in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure listed in the National Register .................... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .......................................
9
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:
(i)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $  
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:
a
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?........
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990,
Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b
If "Yes," explain the arrangement in Part XIII and complete the following table:
Amount
c Beginning balance ................................. 1c  
d Additions during the year .............................. 1d  
e Distributions during the year ............................. 1e  
f Ending balance ................................... 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21? .....................
b
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance ....          
b Contributions ........          
c Net investment earnings, gains, and losses          
d Grants or scholarships .....          
e Other expenditures for facilities
and programs ........ 		         
f Administrative expenses ....          
g End of year balance ......          
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet  
b
Permanent endowment SchDMd Bullet  
c
Temporarily restricted endowment SchDMd Bullet  
The percentages in lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
 
 
(ii) related organizations ........................
3a(ii)
 
 
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11a. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   13,533,773 13,533,773
b Buildings ................   50,418,475 12,517,406 37,901,069
c Leasehold improvements ............        
d Equipment ................   2,103,940 1,845,506 258,434
e Other .................   3,518,922 3,035,231 483,691
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 52,176,967
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) COMMINGLED/COMMON TRUST FUNDS 		204,332,331 F

(B) HEDGE FUNDS 		95,791,018 F

(C) HEDGE FUND, FUND OF FUNDS 		39,323,959 F

(D) PRIVATE EQUITY FUNDS 		147,028,986 F

(E) PRIVATE EQUITY FUND OF FUNDS 		128,183,277 F




Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 614,659,571
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (b) Book value (c) Method of valuation:
Cost or end-of-year market value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
Federal income taxes  
SECURITY DEPOSITS PAYABLE 119,937
INTEREST RATE SWAP 3,906,750
DEFERRED COMPENSATION 694,344
REFUNDABLE ADVANCES 84,078





Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 4,805,109
2. Liability for uncertain tax positions In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII ..................................................
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1 151,558,685
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a 37,586,543
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d ..................... 2e 37,586,543
3 Subtract line 2e from line 1..................... 3 113,972,142
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a 6,857,169
b Other (Describe in Part XIII.) ........... 4b -3,663,918
c Add lines 4a and 4b....................... 4c 3,193,251
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 117,165,393
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1 60,948,973
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d 2,740,353
e Add lines 2a through 2d...................... 2e 2,740,353
3 Subtract line 2e from line 1..................... 3 58,208,620
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a 6,857,169
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c 6,857,169
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 65,065,789
Part XIII
Supplemental Information
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b;
Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
PART X, LINE 2: THE FOUNDATION IS GENERALLY EXEMPT FROM FEDERAL INCOME TAX UNDER INTERNAL REVENUE CODE (IRC) SECTION 501(C)(3). IN ADDITION, THE FOUNDATION HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. INCOME WHICH IS NOT RELATED TO ITS EXEMPT PURPOSES, LESS APPLICABLE DEDUCTIONS, IS SUBJECT TO FEDERAL AND STATE CORPORATE INCOME TAXES. THE COMPANY IS A SINGLE-MEMBER, LIMITED LIABILITY COMPANY (LLC) AND, AS SUCH, IS A "DISREGARDED ENTITY" FOR FEDERAL INCOME TAX PURPOSES, PURSUANT TO SECTION 7701 OF THE IRC. THE FOUNDATION HAD UNRELATED BUSINESS INCOME RELATED TO DEBT FINANCED RENTAL INCOME DURING THE YEARS ENDED JUNE 30, 2014 AND 2013. THE FOUNDATION FOLLOWS THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE FOUNDATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES ALSO ADDRESSES DE-RECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES ON INCOME TAXES, AND ACCOUNTING IN INTERIM PERIODS. MANAGEMENT EVALUATED THE FOUNDATION'S TAX POSITIONS AND CONCLUDED THAT THE FOUNDATION HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THE GUIDANCE FOR ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. GENERALLY, THE FOUNDATION IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR YEARS BEFORE 2011.
PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON LINE 6B -2,870,612. FUNDRAISING EVENTS EXPENSES REPORTED ON LINE 8B -10,306. REALIZED LOSS ON INTEREST RATE SWAP AGREEMENT -783,000.
PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON LINE 6B 2,870,612. NET GAIN ON INTEREST RATE SWAP AGREEMENT -140,565. FUNDRAISING EVENTS EXPENSES REPORTED ON LINE 8B 10,306.
Schedule D (Form 990) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
General Information on Activities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 14b.
1
For grantmakers.Does the organization maintain records to substantiate the amount of its grants and
other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used
to award the grants or assistance? ...............................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.
3
Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in region		 (f) Total expenditures
for and investments
in region
EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS   11,517,727
EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS   22,574,259
MIDDLE EAST AND NORTH AFRICA 0 0 INVESTMENTS   265,461
NORTH AMERICA 0 0 INVESTMENTS   3,584,057
SOUTH AMERICA 0 0 INVESTMENTS   1,376,926
SOUTH ASIA 0 0 INVESTMENTS   1,342,255
SUB-SAHARAN AFRICA 0 0 INVESTMENTS   184,749
           
           
           
           
           
           
           
           
           
           
3a Sub-total ..... 0 0 40,845,434
b Total from continuation sheets to Part I ... 0 0 0
c Totals (add lines 3a and 3b) 0 0 40,845,434
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 2
Part II
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. Part II can be duplicated if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount
of non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter ....MediumBullet
 
3
Enter total number of other organizations or entities .......................MediumBullet
 
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
Part III can be duplicated if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes,"the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926)......................................
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A).......................................
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471)..............................
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If “Yes,” the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621)...............................................
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships. (see Instructions for Form 8865)....................................
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to file Form 5713, International Boycott Report (see Instructions for Form 5713)................................................
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 5
Part V
Supplemental Information
Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
ReturnReference Explanation
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
Additional Data


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Software Version:  



SCHEDULE G (Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Supplemental Information Regarding
Fundraising or Gaming Activities
Complete if the organization 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, line 6a. right arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
right arrowInformation about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
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.
1
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
a e
b f
c g
d
2a
Did the organization have a written or oral agreement with any individual (including officers, directors, trustees
or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?
b
If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is
to be compensated at least $5,000 by the organization.
(i) Name and address of individual
or entity (fundraiser) 		(ii) Activity (iii) Did fundraiser have custody or control of contributions? (iv) Gross receipts
from activity 		(v) Amount paid to
(or retained by)
fundraiser listed in
col. (i) 		(vi) Amount paid to
(or retained by)
organization
Yes No
 
WILDELWRA INC
201 SUMMER STREET PO BOX 5838
 
HOLLISTON, MA01746 		DONOR DEVELOPMENT   No 15,300 51,000 -35,700
             
             
             
             
             
             
             
             
             
Total .................right arrow 15,300 51,000 -35,700
3
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.
AL, AK, AZ, AR, CA, CO, CT, DE, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY, DC
For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000.
(a) Event #1

 
(event type) 		(b) Event #2

 
(event type) 		(c) Other events

 
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . .        
2 Less: Contributions . .        
3 Gross income (line 1
minus line 2) . . . 		       
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .        
6 Rent/facility costs . .        
7 Food and beverages .        
8 Entertainment . . .        
9 Other direct expenses .        
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow  
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow  
Part III
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.
VerticalRevenue (a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (add col.(a) through col.(c))
1 Gross revenue . . . .        
VerticalDirectExpenses 2 Cash prizes . . . .        
3 Non-cash prizes . . .        
4 Rent/facility costs . . .        
5 Other direct expenses . .        
6 Volunteer labor . . .
%
%
%
7 Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow  
8 Net gaming income summary. Subtract line 7 from line 1, column (d) ......... right arrow  
9
Enter the state(s) in which the organization operates gaming activities:
a
Is the organization licensed to operate gaming activities in each of these states? ............
b
If "No," explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....
b
If "Yes," explain:
 
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 3
11
Does the organization operate gaming activities with nonmembers? .................
12
Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable gaming? ..........................
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
%
b
An outside facility ........................
13b
%
14
Enter the name and address of the person who prepares the organization's gaming/special events books and records:
Name right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ......................................
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address of the third party:
Name right arrow
Address right arrow
 
 
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
17
Mandatory distributions:
a
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ............................
b
Enter the amount of distributions required under state law distributed to other exempt organizations or spent
in the organization's own exempt activities during the tax year right arrow$  
Part IV
Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).
Return Reference Explanation
Schedule G (Form 990 or 990-EZ) 2013
Additional Data


Software ID:  
Software Version:  
Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
lBullet Information about Schedule I (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number
91-1956621
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to
Form 990, Part IV, line 21, for any recipient that received more than $5,000. Part II can be duplicated if additional space is needed.
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance
(1) JOHNS HOPKINS UNIVERSITY BLOOMBERG SCHOOL OF PUBLIC HEALTH
624 N BROADWAY HAMPTON HOUSE ROOM
280B
BALTIMORE,MD21205 		52-0595110 501(C)(3) 7,771       RESEARCH GRANTS
(2) THE TRUSTEES OF COLUMBIA UNIVERSITY
1700 BROADWAY 10TH FLOOR
NEW YORK,NY10019 		13-5598093 501(C)(3) 45,319       RESEARCH GRANTS
(3) THE NATIONAL CENTER ON ADDICTION AND SUBSTANCE ABUSE AT COLUMBIA UNIVERSITY
633 THIRD AVENUE
NEW YORK,NY10017 		52-1736502 501(C)(3) 261,944       LEGACY EVALUATION AND RESEARCH NETWORKS
(4) WEILL CORNELL MEDICAL COLLEGE
525 EAST 68TH STREET BOX 586
NEW YORK,NY10065 		13-3957095 501(C)(3) 102,535       LEGACY EVALUATION AND RESEARCH NETWORKS
(5) AMERICAN NON-SMOKERS RIGHTS FOUNDATION
2530 SAN PABLO AVENUE STE J
BERKELEY,CA94702 		94-2922136 501(C)(3) 106,407       OTHER GRANTS
(6) PARTNERSHIP FOR PREVENTION
1015 18TH STREET NW STE300
WASHINGTON,DC20036 		52-1735637 501(C)(3) 125,000       OTHER GRANTS
(7) CAMPAIGN FOR TOBACCO FREE KIDS
1400 I STREET NW SUITE 1200
WASHINGTON,DC20005 		52-1969967 501(C)(3) 1,050,000       OTHER GRANTS
(8) BREATHE CALIFORNIA OF SACRAMENTO-EMIGRANT TRAILS
909 12TH STREET
SACRAMENTO,CA95814 		94-1641240 501(C)(3) 106,850       OTHER GRANTS
(9) THE NATIONAL CENTER ON ADDICTION AND SUBSTANCE ABUSE AT COLUMBIA UNIVERSITY
633 THIRD AVENUE
NEW YORK,NY10017 		52-1736502 501(C)(3) 194,212       OTHER GRANTS
(10) C-CHANGE
1776 EYE STREET NW
WASHINGTON,DC20006 		16-1641769 501(C)(3) 108,782       OTHER GRANTS
(11) LUNG CANCER ALLIANCE
888 16TH STREET NW SUITE 800
WASHINGTON,DC20006 		91-1821040 501(C)(3) 100,000       OTHER GRANTS
(12) FOUNDATION TO ADVANCE PUBLIC HEALTH CERTIFICATION
310 GRANT STREET SUITE 1030
PITTSBURGH,PA15219 		27-0704957 501(C)(3) 26,222       OTHER GRANTS
(13) GEORGIA STATE UNIVERSITY
140 DECATUR STREET
ATLANTA,GA30302 		58-1845423 501(C)(3) 47,342       OTHER GRANTS
(14) ACTION ON SMOKING AND HEALTH
701 - 4TH STREET NW
WASHINGTON,DC20001 		13-2603590 501(C)(3) 84,970       OTHER GRANTS
(15) PRESIDENT AND FELLOWS OF HARVARD COLLEGE
677 HUNTINGTON AVENUE
BOSTON,MA02115 		04-2103580 501(C)(3) 48,437       OTHER GRANTS
(16) THE TRUSTEES OF COLUMBIA UNIVERSITY
615 WEST 168TH STREET BOX 49
NEW YORK,NY10032 		13-5598093 501(C)(3) 81,990       OTHER GRANTS
(17) AMERICAN ACADEMY OF PEDIATRICS
37925 EAGLE WAY
CHICAGO,IL60678 		36-2275597 501(C)(3) 142,363       OTHER GRANTS
(18) AMERICAN HEART ASSOCIATION
4217 PARK PLACE COURT
GLEN ALLEN,VA23060 		13-5613797 501(C)(3) 27,575       OTHER GRANTS
(19) CAMPAIGN FOR TOBACCO FREE KIDS
1400 I STREET NW SUITE 1200
WASHINGTON,DC20005 		52-1969967 501(C)(3) 500,000       OTHER GRANTS
(20) ASIAN PACIFIC PARTNERS FOR EMPOWERMENT ADVOCACY AND LEADERSHIP
300 FRANK H OGAWA PLAZA STE 620
OAKLAND,CA94612 		20-2028771 501(C)(3) 41,667       OTHER GRANTS
(21) UCSF
919 IRVING ST SUITE 104 UCSF BOX
0939
SAN FRANCISCO,CA941430939 		94-6036493 501(C)(3) 74,539       NATIONAL TOBACCO DOCUMENTS LIBRARY GRANT
(22) AMERICAN ACADEMY OF PEDIATRICS
141 NORTHWEST POINT BLVD
ELK GROVE VILLAGE,IL60007 		36-2275597 501(C)(3) 31,835       EX GRANTS
(23) EMORY UNIVERSITY
1784 N DECATUR ROAD SUITE 530
ATLANTA,GA30322 		58-0566256 501(C)(3) 56,394       TECHNICAL ASSISTANCE & TRAINING
(24) THE TRUSTEES OF COLUMBIA UNIVERSITY
615 WEST 131 ST 3RD FL
NEW YORK,NY10025 		13-5598093 501(C)(3) 212,500       SPONSOR - NEH CHALLENGE GRANT
(25) WOMEN'S POLICY INC
409 12TH STREET SW STE 310
WASHINGTON,DC20024 		52-1914894 501(C)(3) 25,000       SPONSOR - GALA 2014
(26) WOMEN'S POLICY INC
409 12TH STREET SW STE 310
WASHINGTON,DC20024 		52-1914894 501(C)(3) 25,000       SPONSOR - CONGRESSIONAL BRIEFING DC 2014
(27) CAMPAIGN FOR TOBACCO FREE KIDS
1400 I STREET NW STE 1200
WASHINGTON,DC20005 		52-1969967 501(C)(3) 20,000       SPONSOR - YOUTH ADVCTS AWARDS GALA
(28) PARTNERSHIP FOR A DRUG FREE AMERICA
352 PARK AVENUE SOUTH 9TH FL
NEW YORK,NY10010 		13-3413627 501(C)(3) 20,000       SPONSOR - JOIN TOGETHER PROGRAM 5/14
(29) SOCIETY FOR RESEARCH ON NICOTINE & TOBACCO INC
2424 AMERICAN LANE
MADISON,WI537043102 		52-1906424 501(C)(3) 20,000       SPONSOR - 2014
(30) UNIVERSITY OF MICHIGAN
109 OBSERVATORY ST M3242 SPH
ANN ARBOR,MI48109 		38-6006309 501(C)(3) 20,000       TBCC-FREE COLLEGE INITIATIVE
(31) PHOENIX HOUSE FOUNDATION INC
164 WEST 74TH STREET
NEW YORK,NY10023 		23-7013149 501(C)(3) 15,000       SPONSOR - AWARDS DINNER 11/6/13
(32) PARTNERSHIP FOR A DRUG FREE AMERICA
352 PARK AVENUE SOUTH 9TH FL
NEW YORK,NY10010 		13-3413627 501(C)(3) 12,500       SPONSOR - ANNUAL GALA
(33) THE UNIVERSITY OF MONTANA
32 CAMPUS DRIVE
MISSOULA,MT598121728 		81-6001713 501(C)(3) 12,500       SPONSOR - TOBACCO SUMMIT 8/13
(34) AMERICAN NONSMOKERS' RIGHTS FOUNDATION
2530 SAN PABLO AVE SUITE J
BERKELEY,CA94702 		94-2922136 501(C)(3) 11,000       GLOBAL GAMING EXPO 05-06/14
(35) AMERICAN HEART ASSOCIATION INC
4217 PARK PLACE COURT
GLEN ALLEN,VA23060 		13-5613797 501(C)(3) 10,000       SPONSOR - GREATER WASH. REGION HEART BALL
(36) PARTNERSHIP WITH CHILDREN INC
299 BROADWAY SUITE 1300
NEW YORK,NY10007 		13-5596751 501(C)(3) 10,000       SPONSOR - SPRING GALA NY 06/14
(37) THE NEW YORK ACADEMY OF MEDICINE
1216 FIFTH AVE
NEW YORK,NY10029 		13-1656674 501(C)(3) 10,000       SPONSOR - CONF. 9/20/13
(38) INSTITUTE FOR PROFESSIONAL EDUCATION
140 HUGUENOT STREET 3RD FL
NEW ROCHELLE,NY108015215 		26-3341604 501(C)(3) 7,500       SPONSOR - ACADEMY OF WOMEN'S HEALTH CONGRESS 4/5/14
(39) HEALTH EDUCATION COUNCIL
3950 INDUSTRIAL BLVD SUITE 600
WEST SACRAMENTO,CA95691 		68-0249296 501(C)(3) 7,000       SPONSOR - BFA CONF. 4/14
(40) AMERICAN NONSMOKERS' RIGHTS FOUNDATION
2530 SAN PABLO AVE SUITE J
BERKELEY,CA94702 		94-2922136 501(C)(3) 7,000       GLOBAL GAMING EXPO 9/23
(41) NEW YORK WOMEN IN COMMUNICATIONS
355 LEXINGTON AVE 15TH FLR
NEW YORK,NY10017 		13-6274650   6,000       SPONSOR - MATRIX TABLE PACKAGE
(42) EFFIE WORLDWIDE INC
116 E 27TH STREET 6TH FLOOR
NEW YORK,NY10016 		20-8875698 501(C)(3) 5,995       SPONSOR - NORTH AMERICAN EFFIE AWARDS GALA TABLE NY 6/5/14
(43) CIGARETTE BUTT POLLUTION PROJECT
814 MOANA DRIVE
SAN DIEGO,CA92106 		27-5099153 501(C)(3) 5,100       FILTERLESS CIGARS
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
31
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
1
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2013

Schedule I (Form 990) 2013
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 22.
Part III can be duplicated if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance
(1) SCHOLARSHIPS 6 20,000      












Part IV
Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Return Reference Explanation
PART I, LINE 2: EACH GRANT CONTRACT IS EXECUTED AND MONITORED BY A LEGACY ASSIGNED PROGRAM OFFICER (PO) UNTIL CLOSED. MONITORING CONSISTS OF UPDATE CALLS, SITE VISITS AS NEEDED AND PROVIDING TECHNICAL ASSISTANCE WHEN REQUIRED. PO'S ARE ALSO RESPONSIBLE FOR ENSURING THAT THE REPORTING OF GRANT EXPENDITURES AND DELIVERABLES MEET COMPLIANCE STANDARDS SET BY LEGACY. EACH GRANT CONTRACT HAS A SCHEDULE OF REPORTING REQUIREMENTS. GRANTEES ARE REQUIRED TO SUBMIT EITHER MONTHLY OR QUARTERLY REIMBURSEMENT FINANCIALS WHICH ARE REVIEWED BY THE PO FOR CONSISTENCY WITH THE APPROVED BUDGET. ONCE EXPENSES ARE APPROVED BY THE PO, APPROVAL OF PAYMENT IS GRANTED AND SIGNED OFF ON BY MANAGEMENT. THE NARRATIVE REPORTING REQUIREMENTS ON THE DELIVERABLE ACTIVITIES VARIES ACCORDING TO THE GRANTEE AND FUNDING INITIATIVE. MINIMALLY, ALL GRANTEES ARE REQUIRED TO SUBMIT A FINAL REPORT ON PROGRAM ACTIVITIES.
Schedule I (Form 990) 2013


Additional Data


Software ID:  
Software Version:  


Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
Yes
 
3
Indicate which, if any, of the following the filing organization used 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 III.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ................
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in 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
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A) Name and Title (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1)CHERYL HEALTONCEO (UNTIL 01/01/14) (i)
(ii)		 411,105
0 		41,971
0 		3,331
0 		118,250
0 		61,864
0 		636,521
0 		0
0
(2)ANTHONY T O'TOOLEEVP, CFIO (i)
(ii)		 381,317
0 		38,102
0 		23,012
0 		98,250
0 		53,933
0 		594,614
0 		0
0
(3)ELLEN VARGYASGENERAL COUNSEL/CORP SECRETARY (i)
(ii)		 295,890
0 		11,825
0 		20,610
0 		78,250
0 		28,751
0 		435,326
0 		0
0
(4)M DAVID DOBBINSCOO (i)
(ii)		 291,822
0 		29,614
0 		3,515
0 		78,250
0 		34,626
0 		437,827
0 		0
0
(5)DAVID ABRAMSEXEC DIRECTOR (SHROEDER INST) (i)
(ii)		 353,255
0 		35,170
0 		24,016
0 		38,250
0 		29,287
0 		479,978
0 		0
0
(6)ERIC ASCHECMO (i)
(ii)		 258,967
0 		25,625
0 		1,230
0 		38,250
0 		30,084
0 		354,156
0 		0
0
(7)AMBER BULLOCKEVP, PROG DEV (i)
(ii)		 225,240
0 		22,000
0 		1,674
0 		37,488
0 		36,649
0 		323,051
0 		0
0
(8)DONNA VALLONESVP, RESEARCH & EVALUATION (i)
(ii)		 231,616
0 		0
0 		8,962
0 		36,028
0 		31,517
0 		308,123
0 		0
0
(9)WILLIAN FURMANSKISVP, COLLABORATION & OUTREACH (i)
(ii)		 236,131
0 		0
0 		9,610
0 		36,320
0 		10,618
0 		292,679
0 		0
0
(10)ROBIN KORNHABERSVP, DEVELOPMENT UNTIL 01/28/14 (i)
(ii)		 252,817
0 		0
0 		9,874
0 		38,250
0 		35,433
0 		336,374
0 		0
0
(11)RAYMOND NIAURAASSOC DIRECTOR OF SCIENCE (i)
(ii)		 294,439
0 		0
0 		2,422
0 		38,250
0 		20,200
0 		355,311
0 		0
0
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Return Reference Explanation
PART I, LINE 1A THE ORGANIZATION PAID GROSS UP RELOCATION AND LEGAL FEES TO ROBIN KOVAL IN THE AMOUNT OF $46,672 AND THESE WERE TREATED AS TAXABLE INCOME. THE ORGANIZATION PAID HEALTH CLUB DUES AND OTHER HEALTH BENEFITS FOR THE FOLLOWING EMPLOYEES. THE HEALTH CLUB DUES AND OTHER HEALTH BENEFITS WERE TREATED AS TAXABLE INCOME TO THE RECIPIENT. CHERYL G. HEALTON - $414 ANTHONY T. O'TOOLE - $540 ELLEN VARGYAS - $540 ERIC ASCHE - $540 ROBIN KORNHABER - $540 WILLIAM FURMANSKI - $540 DONNA VALLONE - $597
PART I, LINE 4B PART II, COLUMN C: RETIREMENT AND OTHER DEFERRED COMPENSATION FOR CHERYL HEATON INCLUDES 401(K) CONTRIBUTIONS OF $38,250. IN ADDITION, DURING THE FISCAL YEAR ENDED JUNE 30, 2008, THE FOUNDATION ESTABLISHED A 457(F) PLAN WHICH VESTED ON JANUARY 1, 2014, WITH FORFEITURE IF EMPLOYMENT ENDS EITHER VOLUNTARILY OR INVOLUNTARILY, BEFORE EARNED. THE 2013 CALENDAR YEAR DEFERRED COMPENSATION REPORTED INCLUDES CONTRIBUTIONS TO THE 457(F) OF $80,000. RETIREMENT AND OTHER DEFERRED COMPENSATION FOR ANTHONY O'TOOLE INCLUDES 401(K) CONTRIBUTIONS OF $38,250. IN ADDITION DURING THE FISCAL YEAR ENDED JUNE 30, 2008, THE FOUNDATION ESTABLISHED A 457(F) PLAN WHICH VESTED ON JANUARY 1, 2014, WITH FORFEITURE IF EMPLOYMENT ENDS EITHER VOLUNTARILY OR INVOLUNTARILY, BEFORE EARNED. THE 2013 CALENDAR YEAR DEFERRED COMPENSATION REPORTED INCLUDES CONTRIBUTIONS TO THE 457(F) OF $60,000. RETIREMENT AND OTHER DEFERRED COMPENSATION FOR DAVID DOBBINS INCLUDES 401(K) CONTRIBUTIONS OF $38,250. IN ADDITION DURING THE FISCAL YEAR ENDED JUNE 30, 2008, THE FOUNDATION ESTABLISHED A 457(F) PLAN WHICH VESTED ON JANUARY 1, 2014, WITH FORFEITURE IF EMPLOYMENT ENDS EITHER VOLUNTARILY OR INVOLUNTARILY, BEFORE EARNED. THE 2013 CALENDAR YEAR DEFERRED COMPENSATION REPORTED INCLUDES CONTRIBUTIONS TO THE 457(F) OF $40,000. RETIREMENT AND OTHER DEFERRED COMPENSATION FOR ELLEN VARGYAS INCLUDES 401(K) CONTRIBUTIONS OF $38,250. IN ADDITION DURING THE FISCAL YEAR ENDED JUNE 30, 2008, THE FOUNDATION ESTABLISHED A 457(F) PLAN WHICH VESTED ON JANUARY 1, 2014, WITH FORFEITURE IF EMPLOYMENT ENDS EITHER VOLUNTARILY OR INVOLUNTARILY, BEFORE EARNED. THE 2013 CALENDAR YEAR DEFERRED COMPENSATION REPORTED INCLUDES CONTRIBUTIONS TO THE 457(F) OF $40,000.
PART I, LINE 7 ALL BONUS AMOUNTS REPORTED ON SCHEDULE J, PAGE 2, PART II, ARE PERFORMANCE BASED.
SCHEDULE J, PART II, COLUMN B(III), OTHER COMPENSATION OTHER REPORTABLE COMPENSATION FOR THE FOLLOWING EMPLOYEES CONSISTS PARTLY OF 457(B) CONTRIBUTIONS: ANTHONY O'TOOLE - $17,500 DAVID ABRAMS - $17,500 ELLEN VARGYAS - $17,500
Schedule J (Form 990) 2013

Additional Data


Software ID:  
Software Version:  
Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number
91-1956621
Part I
Bond Issues
(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On
behalf of
issuer 		(i) Pool
financing
Yes No Yes No Yes No
A DISTRICT OF COLUMBIA
  		53-6001131 2548392L6 03-01-2008 28,000,000 PURCHASE OF NEW BUILDING   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . .        
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 28,000,000      
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . .        
6 Proceeds in refunding escrows . . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . .        
8 Credit enhancement from proceeds . . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . . 28,000,000      
11 Other spent proceeds . . . . . . . . . . . . . .        
12 Other unspent proceeds . . . . . . . . . . . . . .        
13 Year of substantial completion . . . . . . . . . . . . 2008
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X            
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X            
16 Has the final allocation of proceeds been made? . . . . . . . . X              
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X              
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X            
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . .   X            
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . . . .   X            
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property?                
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . .   X            
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property?                
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0 %      
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0 %      
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0 %      
7 Does the bond issue meet the private security or payment test? . . . . .   X            
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X            
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of.        
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .                
9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2? . . . . . . . 		  X            
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X            
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . . X              
b Exception to rebate? . . . . . . . .   X            
c No rebate due? . . . . . . . .   X            
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . . X              
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue? X              
b Name of provider . . . . . . . . . BANK OF AMERICA
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . . 30.000000000000      
d Was the hedge superintegrated? . . . .   X            
e Was the hedge terminated? . . . . . .   X            
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X            
b Name of provider . . . . . . . . .  
  		 
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .   X            
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X            
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? X              
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
Schedule K (Form 990) 2013

Additional Data


Software ID:  
Software Version:  

SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Return Reference Explanation
FORM 990, PART I PART VI, AND PART VII - BOARD COUNT A TOTAL OF THIRTEEN PERSONS SERVED ON THE BOARD OF DIRECTORS DURING THE FISCAL YEAR. THOSE THIRTEEN ARE SHOWN IN PART VII OF FORM 990. AS OF JUNE 30, 2014 THERE WERE A TOTAL OF ELEVEN VOTING BOARD MEMBERS SERVING THE ORGANIZATION AS DISLOSED IN PART VI, LINES 1A & 1B, AND PART I, LINES 3 & 4.
FORM 990, PART VI, SECTION A, LINE 7A THE NATIONAL GOVERNORS ASSOCIATION, NATIONAL ASSOCIATION OF ATTORNEYS GENERAL, AND NATIONAL CONFERENCE OF STATE LEGISLATURES EACH HAVE THE AUTHORITY TO APPOINT TWO CLASS A DIRECTORS.
FORM 990, PART VI, SECTION B, LINE 11 PURSUANT TO BOARD RESOLUTION, THE BOARD OBSERVES THE FOLLOWING PROCEDURES IN THE FOLLOWING ORDER: FIRST, THE AUDIT COMMITTEE REVIEWS AND APPROVES THE DRAFT FORM 990; SECOND, THE APPROVED FORM 990 IS ELECTRONICALLY ROUTED TO ALL BOARD MEMBERS; THIRD, THE FORM IS FILED WITH THE IRS AND POSTED TO THE FOUNDATION'S WEB SITE.
FORM 990, PART VI, SECTION B, LINE 12C LEGACY REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES COMPLIANCE WITH ITS CONFLICT OF INTEREST POLICY BY: REQUIRING ANNUAL REVIEW OF POLICY AND WRITTEN DISCLOSURES BY ALL DIRECTORS, SENIOR STAFF AND RESEARCH INVESTIGATORS WHICH ARE COLLECTED AND REVIEWED BY THE GENERAL COUNSEL; REQUIRING UPDATED FILINGS AS NECESSARY BY DIRECTORS AND COVERED STAFF; REQUIRING CONTEMPORANEOUS DISCLOSURES OF ALL CONFLICTS AND POTENTIAL CONFLICTS NOT DISCLOSED IN THE ANNUAL FILINGS, BY ALL DIRECTORS AND STAFF; REQUIRING ALL RESEARCH INVESTIGATORS WHO PARTICIPATE IN NIH-FUNDED RESEARCH TO COMPLY WITH NIH'S FINANCIAL CONFLICT OF INTEREST (FCOI) REGULATION AND TO ANNUALLY COMPLETE THE NIH TUTORIAL ON CONFLICTS OF INTEREST; AND PLACING ADMINISTRATIVE RESPONSIBILITY FOR TRAINING AND COMPLIANCE WITH THE GENERAL COUNSEL.
FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING THE COMPENSATION OF THE CEO AND TOP MANAGEMENT INCLUDES REVIEW AND APPROVAL BY INDEPENDENT PERSONS, COMPARATIVE DATA AND CONTEMPORANEOUS SUBSTANTIATION. THE BOARD REGULARLY RETAINS AN INDEPENDENT CONSULTING FIRM TO EVALUATE THE COMPENSATION OF THE CEO AND TOP MANAGEMENT AGAINST THE COMPETITIVE MARKET, INCLUDING COMPARABLE POSITIONS AMONG SIMILARLY SITUATED ORGANIZATIONS AS WELL AS BROADER, RELEVANT MARKET SURVEYS. BASED ON THAT ANALYSIS AND PERFORMANCE ASSESSMENTS AND THE REVIEW AND RECOMMENDATION OF THE BOARD'S COMPENSATION COMMITTEE, THE FULL BOARD SETS THE CEO'S COMPENSATION AND APPROVES OR AMENDS THE CEO'S RECOMMENDATION FOR THE COMPENSATION OF THE CFIO, COO, GC, CHIEF MARKETING OFFICER AND EXECUTIVE DIRECTOR OF THE SCHROEDER INSTITUTE. THE CEO MAKES COMPENSATION DECISIONS FOR OTHER KEY EMPLOYEES, UPON RECOMMENDATION OF THE COO.
FORM 990, PART VI, SECTION C, LINE 19 LEGACY'S FINANCIAL STATEMENTS ARE AVAILABLE ON ITS CORPORATE WEBSITE, WWW.LEGACYFORHEALTH.ORG. ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST.
FORM 990, PART IX, LINE 11G TEMPORARY SERVICES: PROGRAM SERVICE EXPENSES 16,866. MANAGEMENT AND GENERAL EXPENSES 31,519. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 48,385. CONSULTING: PROGRAM SERVICE EXPENSES 246,998. MANAGEMENT AND GENERAL EXPENSES 128,701. FUNDRAISING EXPENSES 3,706. TOTAL EXPENSES 379,405. CONTRACT SERVICES: PROGRAM SERVICE EXPENSES 28,638,851. MANAGEMENT AND GENERAL EXPENSES 188,441. FUNDRAISING EXPENSES 47,508. TOTAL EXPENSES 28,874,800. BOND FEES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 51,100. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 51,100.
FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON SWAPS 923,565.
SCHEDULE A, PAGE 4, PART IV, FACTS AND CIRCUMSTANCES ANALYSIS WE CONTINUE TO SUPPORT THE BECOMEANEX.ORG WEB SITE AND THE EX COMMUNITY THROUGH EARNED MEDIA AND PAID ONLINE ADVERTISING. FOR TAX YEAR 2013, THERE WERE MORE THAN 475,000 UNIQUE VISITORS TO THE WEBSITE. IN AN EFFORT TO AVOID THE HARMFUL EFFECTS OF SECOND-HAND SMOKE ON CHILDREN, LEGACY'S HEAD START TOBACCO CESSATION INITIATIVE, BEGUN IN 2004, PROVIDES STAFF TRAINING AND OTHER ASSISTANCE TO HEAD START PROGRAMS SO THEY CAN IDENTIFY TOBACCO USERS IN STUDENTS' HOMES AND REFER THEM TO STATE AND LOCAL CESSATION SERVICES, INCLUDING QUITLINES. LEGACY DEVELOPED A GUIDE FOR COMMUNITY HEALTH CENTERS AND PUBLIC CLINICS SETTING OUT A SYSTEMS-BASED APPROACH TO INTEGRATING CESSATION SERVICES FOR THEIR PATIENTS. WE PROVIDED THE GUIDE, WHICH IS ALSO AVAILABLE ON-LINE, TO EACH STATE TOBACCO CONTROL PROGRAM AND FEDERALLY QUALIFIED HEALTH CENTER. LEGACY'S YOUTH LEADERSHIP INSTITUTE PARTNERS WITH LOCALLY BASED PROGRAMS TO PROVIDE TRAINING AND TECHNICAL ASSISTANCE TO SUPPORT THE EFFORTS OF HIGH SCHOOL STUDENTS INVOLVED IN TOBACCO CONTROL. THE KENNETH E. WARNER LECTURE SERIES AT LEGACY, WHICH IS BROADCAST ON-LINE TO THOUSANDS OF STAKEHOLDERS EACH YEAR, ENCOURAGES A DIALOGUE AMONG PUBLIC HEALTH LEADERS ON KEY TOBACCO POLICY ISSUES. EACH YEAR LEGACY AWARDS THE DR. ALMA S. ADAMS SCHOLARSHIPS TO UNDERGRADUATE AND GRADUATE STUDENTS DEDICATED TO IMPROVING PUBLIC HEALTH AND TO RAISING AWARENESS ABOUT THE RISKS OF TOBACCO USE. LEGACY ALSO SUPPORTS AND CONDUCTS RESEARCH ON THE CAUSES OF TOBACCO ADDICTION AND METHODS FOR CONTROLLING TOBACCO USE, INCLUDING BY YOUNG PEOPLE, AND IT REGULARLY PUBLISHES SCHOLARLY STUDIES WHICH MAKE THE RESULTS OF THIS RESEARCH AVAILABLE THROUGHOUT THE PUBLIC HEALTH AND BROADER SCIENTIFIC COMMUNITIES. IN TAXABLE YEAR 2013 ALONE, LEGACY RESEARCHERS PUBLISHED 40 ARTICLES IN PEER-REVIEWED PUBLICATIONS. FROM 2009 TO 2012, LEGACY EXPERTS CONDUCTED AND/OR SUPPORTED RESEARCH LEADING TO THE PUBLICATION OF 85 ARTICLES IN PEER REVIEWED SCIENTIFIC, MEDICAL AND OTHER SCHOLARLY JOURNALS. THESE PUBLICATIONS AND JOURNALS HAVE INCLUDED THE AMERICAN JOURNAL OF PREVENTIVE MEDICINE, THE JOURNAL OF PEDIATRIC PSYCHOLOGY, THE JOURNAL OF SUBSTANCE ABUSE TREATMENT, PEDIATRICS, THE JOURNAL OF THE AMERICAN MEDICAL ASSOCIATION (JAMA), PLOS ONE, THE AMERICAN JOURNAL OF DRUG AND ALCOHOL ABUSE, THE AMERICAN JOURNAL OF PUBLIC HEALTH, AND THE JOURNAL OF CARDIOPULMINARY REHABILITATION. RECENT LEGACY PUBLICATIONS INCLUDE PROMISE AND PERIL OF E-CIGARETTES: CAN DISRUPTIVE TECHNOLOGY MAKE CIGARETTES OBSOLETE? (JANUARY 2014); A COST-UTILITY ANALYSIS OF LUNG CANCER SCREENING AND THE ADDITIONAL BENEFITS OF INCORPORATING SMOKING CESSATION INTERVENTIONS (2013); TOBACCO CONTROL IN LGBT COMMUNITIES (DEC. 2012); PACIFIC PARTNERS FOR TOBACCO-FREE ISLANDS (MAY 2012); HEAD START TOBACCO CESSATION INITIATIVE (MAY 1012); A HIDDEN EPIDEMIC: TOBACCO USE AND MENTAL ILLNESS (JUNE 2011); AND TOBACCO CONTROL IN LOW SES POPULATIONS (SEPT. 2010).
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version:  
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
AMERICAN LEGACY FOUNDATION
 
Employer identification number

91-1956621
Part I
Identification of Disregarded Entities Complete if the organization answered "Yes" on Form 990, Part IV, line 33.
(a)
Name, address, and EIN (if applicable) of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income


 		(e)
End-of-year assets


 		(f)
Direct controlling
entity
(1) M STREET HOLDINGS LLC
2030 M STREET NW
WASHINGTON,DC20036
91-1956621 		PROPERTY RENTAL/MGMT. DE 2,655,392 31,201,199 AMERICAN LEGACY FOUNDATION
 










Part II
Identification of Related Tax-Exempt Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.
(a)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section


 		(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled entity?
Yes No












For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V-UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No












Part IV
Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a)
Name, address, and EIN of
related organization
 		(b)
Primary activity
 		(c)
Legal
domicile
(state or foreign
country)
 		(d)
Direct controlling
entity
 		(e)
Type of entity
(C corp, S corp,
or trust) 		(f)
Share of total income
 		(g)
Share of end-of-year
assets
 		(h)
Percentage
ownership
 		(i)
Section 512(b)(13) controlled entity?
Yes No












Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 3
Part V
Transactions With Related Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
 
 
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
 
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
 
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
 
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
 
f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
 
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
 
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
 
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
 
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
 
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
 
 
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
 
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
 
 
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
 
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
 
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
 
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
 
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
 
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
 
 
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved





Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 37.
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income (related, unrelated, excluded from tax under sections 512-514)

(e)
Are all partners
section
501(c)(3)
organizations? 		(f)
Share of total income




 		(g)
Share of
end-of-year
assets 		(h)
Disproprtionate allocations? 		(i)
Code V?UBI
amount in box 20
of Schedule K-1
(Form 1065) 		(j)
General or
managing
partner? 		(k)
Percentage
ownership
Yes No Yes No Yes No






























Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R (see instructions).
Return Reference Explanation
Schedule R (Form 990) 2013
Additional Data


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