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~
'
,J
Form
990
,,
Department
oftheTreasury
Revenue
service
Internal
OMB
2006
No 1545-0047
Opento Public
IIIWection
and ending
C Nameof organization
B Check
11
applicable Please
useIRS
labelor
DAddress
change pnntorTHE HEARTLAND INSTITUTE
oNarne
type
change
Numberand street(or P O box 11ma1l1snot deliveredto streetaddress)
See
01n1t1al
Specific
19 SOUTH LA SALLE STREET
return
Ins trueDFinal
Cityor town,stateor country,andZIP+ 4
tJons
return
DAmended
::::HICAGO, IL
60603
return
DAppllcat1on Section501(c)(3)organizationsand 4947(a}(1)nonexemptcharitabletrusts
pending
must attacha completedScheduleA (Form990 or 990-EZ).
D Employeridentificationnumber
36-3309812
I,Room/smte ETelephonenumber
(312)
903
377-4000
F fa:ounbng
rrethod: D
D
Other
ts~1M ~
Cash[X] Accrual
J
K
"c=,
c=,
(',.J
a
b
c
d
e
":>
~
CL
UJ
U)
"
QI
::,
c
QI
>
QI
a:
2
3
4
5
6a
b
c
7
8 a
b
c
d
9
CII
QI
CII
c
QI
a.
)(
w
CII
-;t
z::!
"'
a
b
c
10 a
b
c
11
12
13
14
15
16
17
18
19
20
21
Contnbut1ons,
gifts, grants,and s1m1lar
amountsreceived
Contnbut1ons
to donor advisedfunds
1a
Directpublicsupport(not includedon lme 1a)
1b
1c
Indirectpublicsupport(not includedon lme 1a)
1d
Governmentcontnbut1ons
(grants)(not includedon lme 1a)
2,491l809.
Total (addImes1athrough1d) (cash$
noncash$
Programservicerevenuemcludmggovernmentfeesandcontracts(from PartVII, lme93)
Membershipduesandassessments
Intereston savingsandtemporarycashinvestments
D1v1dends
and interestfrom secunt1es
Grossrents
6a
Less rentalexpenses
6b
Netrentalincomeor (loss) Subtractlme6b from lme6a
Otherinvestmentincome(describe~
(A) Secunt1es
Grossamountfrom salesof assetsother
Ba
than inventory
Less cost or otherbasisandsalesexpenses
Sb
Gamor (loss) (attachschedule)
Be
Netgamor (loss) CombinelmeBe,columns(A) and(8)
Specialeventsand act1v1t1es
(attachschedule)If anyamount1sfrom gaming,checkhere ~ D
Grossrewnue(nottncludingS
1
Less directexpensesotherth
Netincomeor (loss)from spe ~:u:~:B
ir
1e
2
3
4
5
2,491,809.
187,267.
25,279.
42,973.
6c
7
(Bl Other
8d
olcontnbubonsreponedonl1ne
lb)
9a
9b
lme9a
10a ]
Cfl
Grosssalesof inventory,less ear lS and allowances
10b
Less cost of goodssold
~
C?
Grossprofit or (loss)from sal so inventory(attachschedule)S ~ ct lme1Obfrom line 1Oa
Otherrevenue(from PartVII,
0
Udl'1
Total revenue.Add Imes1e ' n: : tl~QdGNoc
~St:~~u
2,491,809.
9c
AUG..3 l 2007
g~~tW-11
LHA
10c
11
12
13
14
15
16
17
18
19
20
21
2,747,328.
3,921,949.
176,064.
299,987.
4,398,000.
<1,650,672.
2,185,785.
>
o.
535,113.
Form990 (2006)
Vil
Form\ggo 2006
Part II
THE
Statement of
Functional Expenses
36-3309812
HEARTLAND
INSTITUTE
All organizationsmustcompletecolumn(A) Columns(8), (C).and (D) are requiredfor section501(c)(3)
and (4) organizationsand section4947(a)(1)nonexemptcharitabletrusts but optionalfor others
(C) Management
and general
(B) Program
services
(A) Total
e2
(0) Fundra1smg
o.
~o
22a
22b Other grants and allocations (attach schedule
(cash$ 1 175 000. noncash$
Ifthisamount
includes
foreign
grants,
checkhere ~
22b
23 Specific assistance to 1nd1v1duals
(attach
schedule)
23
24 Benefits paid to or for members (attach
schedule) .
24
25a Compensationof currentofficers,directors.key
employees,etc listedm PartVA STMT
1 25a
b Compensationof former officers,directors,key
employees,etc listedin PartV-8
25b
c Compensation
and otherd1stribut1ons,
not included
above,to d1squal1fied
persons(asdefinedunder
section4958(f)(1)) and personsdescribedin
section4958(c)(3)(B)
25c
26 Salaries and wages of employees not
included on lines 25a, b, and c
26
27 Pension plan contributions not included on
lines 25a, b, and c
27
28 Employee benefits not included on lines
28
25a27
29 Payroll taxes
29
30
30 Professional fundrais1ngfees
31
31 Accounting fees
32
32 Legal fees
33
33 Supplies
..
34 Telephone
34
35
35 Postage and sh1pp1ng
36
36 Occupancy
37
37 Equipment rental and maintenance
38
38 Pnnt1ngand publications
39
39 Travel
40
40 Conferences, conventions, and meetings
41
41 Interest
42 Deprec1at1on,depletion, etc. (attachschedule) 42
o.
2
STATEMENT
1,175,000.
1,175,000.
100,833.
o.
10,083.
15.125.
75.625.
o.
779,235.
596,282.
82.835.
38,451.
7,328.
439,365.
99,678.
12.847.
6,159.
422,792.
76,752.
23,386.
508.
1,305.
9,968.
759.128.
370,537.
738,330.
276,827.
794.
4,129.
2,133.
8,277.
14.084.
603.393.
527.251.
NI
NI A
100,118.
2,218.
661.
15,268.
12,958.
20,004.
89,581.
2.133.
8,277.
14,642.
3,921.949.
4,398.000.
0.
0.
558.
27,604.
48,538.
176,064.
299,987.
Pa
D
[X]
___
NI A__ _
Yes
No
...:..,..
NI A
Form990 (2006)
'
Form'990
oos
Part Hf Statement
36-3309812
Pa
e3
Form 990 1savailable for public 1nspect1onand, for some people, serves as the pnmary or sole source of information about a particular organization.
How the public perceives an organization in such cases may be determined by the information presented on its return. Therefore, please make sure the
return 1scomplete and accurate and fully describes, 1nPart Ill, the organization's programs and accomplishments.
What 1sthe organization's primary exempt purpose? ....
ProgramService
Expenses
All organ1zat1onsmust descnbe their exempt purpose achievements 1na clear and concise manner. State the number of
clients served, publ1cat1onsissued, etc. Discuss achievements that are not measurable. (Section 501(c)(3) and (4)
organizations and 4947(a)(1) nonexempt charitable trusts must also enter the amount of grants and allocations to others.)
(Requiredfor 501(c)(3)
and (4) orgs. and
4947(a)(1)trusts, but
optionalfor others )
c MEMBER SERVICES
AND THE PUBLIC,
ACTIVITIES.
.... D
2,070,797
.... D
284,288
.... LJ
295,872.
SEE STATEMENT 3
1 , 15 0 , 0 0 0 ) If this amount includes fore1an arants
check here
.... D
.... D
95,992
25,000.
2,771,949.
Form990 (2006)
623021
01-18-07
Form990120061
36-3309812
45
Cash nonmterestbeanng
46
Beginningof year
1.050,147.
500,352.
8.468.
47a
47b
48 a Pledges receivable
b Less: allowance for doubtful accounts
48a
121. 791.
47c
8,468.
48c
48b
49
49
Grants receivable
50 a Receivables from current and former officers, directors, trustees, and
key employees
50a
..
Ill
Ill
Ill
45
46
47 a Accounts receivable
QI
(B)
End of year
(A)
Note: Where reqUJred,attached schedules and amounts within the description column
should be for end-of-year amounts only.
..
Paae4
I 51a
C(
51b
53
50b
51c
52
~ D
~ D
Cost
DFMV
Cost
DFMV
27.103.
980,390.
53
18,222.
54a
54b
55a
58
:a
I'll
SECURITY DEPOSIT
34,659.
6.000.
2.226.674.
40,889.
58
6,000.
567,701.
32,588.
61
62
Deferred revenue
Loans from officers, directors, trustees, and key employees
62
63
64 a Tax-exempt bond hab1ht1es
(describe ~
Otherl1abil1t1es
66
59
60
63
64a
..
64b
00
65
40.889.
66
32,588.
185,785.
2,000,000.
67
535,113.
CJ
67
Unrestncted
I'll
68
Temporanly restricted
m
"O
c
:,
u.
69
Permanently restricted
Organizations
..
...
0
57c
61
Ill
ca
41,243.
60
Organizations
56
159,730.
125,071.
::::i
QI
57b
..
59
Ill
QI
I 57a I
55c
55b
56
Investments other
57 a Land, bu1ld1ngs,and equipment: basis
69
~ Dand
70
QI
71
71
72
72
73
Total net assets or fund balances. Add Imes67 through 69 or Imes70 through 72
74
(Column (A) must equal lme 19 and column (B) must equal lme 21)
Total liabilities and net assets/fund balances. Add Imes66 and 73
Ill
Ill
QI
0.
68
2,185.785.
2.226.674.
73
74
535,113.
567,701.
Form 990 (2006)
623031
01-20-07
1.
Pait IV-A
Reconciliation
36-3309812
Pa eS
of Revenue per Audited Financial Statements With Revenue per Return (See the
1nstruct1ons.)
Total revenue, gains, and other support per audited financial statements
b
1
2
3
4
...
a
b1
b2
b3
b4
Reconciliation
2,747,328.
Id1 I
d2
o.
.... e
2,747,328
I Part V-Al
0.
I Part1v ..s1
2,747,328.
4,398,000.
b
c
4,398,000.
b1
b2
b3
b4
o.
Id1 I
d2
o.
.... e
4,398,000.
Current Officers, Directors, Trustees, and Key Employees (List each person who was an officer, director, trustee,
or key employee at any time during the year even 1fthey were not compensated.) (See the 1nstruct1ons.)
(B) Title and averagehours (C) Compensation (D)contnbut,ons to
(E) Expense
1
1
accountand
(A)Nameand address
per week~evotedto
(II not paid, enter ~7'ln
pos1t1on
-0-.1
compensat,on plans other allowances
~t~:,:~
SEE STATEMENT 4
100.803.
0.
0.
Form990 (2006)
623041 01-18-07
'.
Form
90 (2006)
I Part VAl
36 - 3309812
Paae
Yes No
(continued)
75 a Enter the total number of officers, directors, and trustees permitted to vote on organization business at board
meetings
b Are any officers, directors, trustees, or key employees listed 1nForm 990, Part VA, or highest compensated employees
listed 1nSchedule A, Part I, or highest compensated professional and other independent contractors listed in Schedule A,
Part llA or llB, related to each other through family or business relat1onsh1ps? If 'Yes,' attach a statement that 1dent1fies
the 1ndiv1dualsand explains the relat1onsh1p(s)
75b
Do any officers, directors, trustees, or key employees listed in Form 990, Part VA, or highest compensated employees
listed in Schedule A, Part I, or highest compensated professional and other independent contractors listed in Schedule A,
Part llA or llB, receive compensation from any other organ1zat1ons,whether tax exempt or taxable, that are related to the
organization? See the 1nstruct1ons for the defin1t1onof 'related organization.'
75c
75d
If 'Yes,' attach a statement that includes the information described in the instructions.
I Part V-BJ Former Officers, Directors, Trustees, and Key Employees That Received Compensation or Other
Benefits (If any former officer, director, trustee, or key employee received compensation or other benefits (described below) dunng
the year, list that person below and enter the amount of compensation or other benefits In the appropnate column. Seethe instructions.)
(C) Compensation (D) Contnbut,ons to
(E) Expense
employee benefit
(B) Loans and Advances
(A) Nameand address
(1fnot paid,
account and
plans & deferred
enter -0-)
NONE
compensation plans other allowances
--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------I Part VI I
Yes No
the instructions.)
76
Did the organization make a change 1nIts activities or methods of conducting act1v1t1es?If 'Yes,' attach a detailed
77
Were any changes made in the organizing or governing documents but not reported to the IRS?
If 'Yes,' attach a conformed copy of the changes.
78 a
b
79
80 a
76
77
78a
78b
79
Did the organization have unrelated business gross income of $1,000 or more during the year covered by this return?
If 'Yes,' has it filed a tax return on Form 990-T for this year?
Was there a liqu1dat1on, d1ssolut1on, term1nat1on, or substantial contraction during the year? If 'Yes,' attach a statement
Is the organ1zat1on related (other than by assoc1at1onwith a statewide or nat1onw1de organization) through common
membership, governing bodies, trustees, officers, etc., to any other exempt or nonexempt organization?
8Da
B1b
N/A
and check whether 1t1s
exempt or
I 81a I
nonexempt
0.
Form 990 (2006)
623161/01-18-07
------
r'
36-3309
812
Paae 7
Yes No
82 a Did the organization receive donated services or the use of matenals, equipment, or facilities at no charge or at substantially
82a
N/A
84 a Did the organ1zat1onsolicit any contnbut1ons or gifts that were not tax deductible?
b If 'Yes,' d1d the organization include with every sollc1tat1onan express statement that such contnbut1ons or gifts were not
tax deductible?
N/ A
b Did the organization make only mhouse lobbying expenditures of $2,000 or less?
X
X
84b
N/A
N/A
501 (c)(4), (5), or (6) organ1zat1ons.a Were substantially all dues nondeductible by members?
85
83a
83b
84a
85a
85b
If 'Yes' was answered to either 85a or 85b, do not complete 85c through 85h below unless the organization received a
waiver for proxy tax owed for the prior year.
86
..
85q
N/A
85h
line 12
b Gross receipts, included on line 12, for public use of club fac1l1t1es
86a
86b
87a
87
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
b Gross income from other sources. (Do not net amounts due or paid to other sources
N/A
87b
against amounts due or received from them.)
88 a At any time dunng the year, d1d the organization own a 50% or greater interest in a taxable corporation or partnership,
or an entity disregarded as separate from the organization under Regulations sections 301.77012 and 301.770137
If 'Yes,' complete Part IX
b At any time dunng the year, did the organ1zat1on,directly or 1nd1rectly, own a controlled entity w1th1nthe meaning of
section 512(b)(13)7 If 'Yes,' complete Part XI
89 a 501 (c)(3) organizations. Enter: Amount of tax imposed on the organization dunng the year under:
section 4911 ~
0 ; section 4912 ~
0 . section 4955 ~
----------
88a
88b
89b
o.
b 501(c)(3) and 501(c)(4) organ1zat1ons.Did the organization engage in any section 4958 excess benefit
transaction during the year or did rt become aware of an excess benefit transaction from a pnor year?
If 'Yes,' attach a statement explaining each transaction
Enter: Amount of tax Imposed on the organization managers or disqualified persons during the year under
sections 4912, 4955, and 4958
~ ________
o_.
Telephoneno~
CHICAGO,
IL
b At any time dunng the calendar year, did the organ1zat1onhave an interest 1nor a signature or other authonty over
a financial account in a foreign country (such as a bank account, secunt1es account, or other financial account)?
N/A
If 'Yes,' enter the name of the foreign country ~
( 312)
ZIP+4 ~
x
x
x
377-4000
60603
Yes No
91b
See the instructions for exceptions and filing requirements for Form TD F 90-22.1, Report of Foreign Bank
and Financial Accounts.
Form 990 (2006)
623162 / 01-18-07
Form990 2006
Part VI
Other Information
36-3309812
Yes No
91c
c At any time dunng the calendar year, did the organization maintain an office outside of the United States?
If 'Yes,' enter the name of the foreign country 1111____
N_..;../_A
__________________
92
(A)
Business
code
md1cated
PUBLICATIONS/RESEARCH
POLICY BOT/INTERNET
c PUBLICATIONS/RESEARCH
d SPEAKERS BUREAU
(B)
Amount
(C)
Exclus1on
1111-D
N/A
(E)
Relatedor exempt
function income
(D)
Amount
code
61,260.
1511110
Section 4947(8)(1) nonexempt charitable trusts filmg Form 990 m lteu of Form 1041- Check here
and enter the amount of taxexemot interest received or accrued dunno the tax vear
1111- 92
I Part VII I Analysis of Income-Producing Activities (See the mstructions.)
Excluded by secbon 512, 513, or 514
Unrelatedbusinessincome
Note: Enter gross amounts unless otherwise
a
b
e8
Pa
(contmued)
126,007.
e
f Medicare/Med1ca1dpayments
g Fees and contracts from government agencies
94 Membership dues and assessments
95 Intereston savingsand temporarycash investments
25,279.
42,973.
c
d
o.
61,260.
1111___
194,259.
2_5_5__._,
5_1_9_.
Note: Line 105 plus /me 1e, Part/, should equal the amount on /me 12, Part I.
93A
93B
94
95
of Exempt Purposes
N/A
!PartX
Explainhow eachact1v1ty
for which income1sreportedm column (E) of PartVII contributedimportantlyto the accomplishmentof the organization's
exemptpurposes(other than by providingfunds for such purposes)
\DJ
Percentageof
ownershipinterest
(C)
Natureof act1vrt1es
(tJ
Total income
End-of-(!ear
asses
%
%
%
%
(a) Didthe organization,dunng the year, receiveany funds, directlyor indirectly,to pay premiumson a personalbenefitcontract?
(b) Didthe organization,during the year,pay premiums,directly or indirectly,on a personalbenefitcontract?
Note: If "Yes" to (b), file Form 8870 and Form 4720 (see mstructions).
Dves
Dves
00No
00No
Form990 (2006)
623163
01-18-07
'Form'990
2006
Part XI
36-3309812
Pa e9
Yes No
106
(A)
(B)
Employer
ldent1fication
Number
---------------------------------
---------------------------------
---------------------------------
(C)
Description
transfer
of
(0)
Amount of
transfer
---------------------------------
----------------------------------------------------------------Totals
Yes No
107
Did the reporting organization receive any transfers from a controlled entity
as defined
(A)
(B)
Employer
ldent1fication
Number
(C)
Description
transfer
of
(0)
Amount of
transfer
-----------------------------------------------------------------
-----------------------------------------------------------------
---------------------------------
--------------------------------Totals
Yes No
108
in effect on August 17, 2006, covering the interest, rents, royalties, and
Paid
Preparers
UseOnly
~
~
Sign
~
/~cer
/.I'
-
JI
Da1e
fJA
"~941JAMESN. F.PLUMSEXTON
Ll
GROVE
Firm"sname
yoursIf
self-employee.
address,and
zip+ 4
lt""/~7j ~/
Rqef.' .Pr/<,~,, f-
o,ajJA
Preparer's
signature
623164/01-26-07
..,_.)~_
ASSOCIATES
RD STE A
60173
&
SCHAUMBURG,
IL
Date
1
08/07
'
/07
LTD.
Check 1f
self
employed
....
EIN ....
Phone no
.... (847)605-0700
Form990
(2006)
'SCPIEDULE A
Organization
Supplementary
lnformation-(See
Compensation
2006
separate instructions.)
OMB No 1545-0047
36 3309812
of the Five Highest Paid Employees Other Than Officers, Directors, and Trustees
JOSEPH L. BAST
900-EAST WILMETTE RD #124-PALATINE-If
DIANE C. BAST
900 EAST WILMETTE RD #124 PALATINE-II
LATREECE VANKINSCOTT
5127 W GLADYS FLOOR 2 CHICAGO, IL --SEAN D. PARNELL
1621 WHITEHALL-CT. WHEELING-IL-----RALPH w. CONNER
313-N 5TH MAYWOODIL 60153---------Totalnumberof otheremployeespaid
over$50,000
IPartUAl
Compensation
PRESIDENT
40.00
100,833.
WICE PRESIDEN
80,833.
40.00
iPUBLISHER
40.00
66,579.
~P-EXTERNAL A FF AIRS
82,051.
40.00
PUBLISHER
40.00
65,000.
NONE
-----------
------------
(c) Compensation
---
----------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------
~I
Totalnumberof othersreceivingover
$50,000for professionalservices
! PartUBl
Compensation
contractorpaidmorethan$50,000
(a) Nameandaddressof eachindependent
NONE
------
--
Totalnumberof othercontractorsreceivingover
$50,000for otherservices
523101ro1-1a-01
(c) Compensation
~I
3 6- 3 3 0 9 812
IPart Ill j
1
Statements
About Activities
Page2
Yes No
a
b
c
d
e
3a
....
....
....
....
2a
2b
2c
2d
2e
x
x
x
x
x
3a
3b
x
x
3c
3d
x
x
4a
4b
4c
x
x
x
0
o.
o.
o.
623111
01-18-07
3 6 - 3 3 0 9 812
IPart IV j
Page3
I certifythatthe organization
1snot a privatefoundationbecauseit 1s:(Pleasecheckonly ONEapplicablebox)
A church,conventionof churches,or associationof churchesSection170(b)(1)(A)(1).
5
A school.Section170(b)(1)(A)(il) (AlsocompletePartv)
6
7
A hospitalor a cooperativehospitalserviceorganizationSection170(b)(1)(A)(111)
8
A federal,state,or localgovernmentor governmentalunrt.Section170(b)(1)(A)(v)
A medicalresearchorganization
operatedin conjunctionwith a hospitalSection170(b)(1)(A)(i11)
Enterthe hospital'sname,city,
9
andstate ....
1O D
An organization
operatedfor the benefitof a collegeor universityownedor operatedby a governmentalunit Section170(b)(1)(A)(1v)
(Alsocompletethe SupportSchedulein PartIVA)
An organization
that normallyreceivesa substantialpartof its supportfrom a governmental
unit or from the generalpublic.
11a D
Section170(b)(1)(A)(v1)(Alsocompletethe SupportSchedulein PartIVA)
A communitytrust. Section170(b)(1)(A)(v1).(Alsocompletethe SupportSchedulein PartIVA)
11b D
00 An organizationthatnormallyreceives(1) morethan 331/3% of its supportfrom contributions,membershipfees,andgross
12
to certainexceptions,and(2) no morethan 331/3% of
receiptsfrom activ1t1es
relatedto its charitable,etc , functions subJect
its supportfrom grossinvestmentincomeand unrelatedbusinesstaxableincome(lesssection511 tax)from businessesacquired
bythe organization
afterJune30, 1975. Seesection509(a)(2).(Alsocompletethe SupportSchedulein PartIVA)
D
D
D
D
D
13
An organization
that 1snot controlledby anyd1squal1fied
persons(otherthanfoundationmanagers)andotherwisemeetsthe requirements
of section
509(a)(3) Checkthe boxthatdescribesthe type of supportingorgamzat1on:
TypeI
TypeII
TypeIll-FunctionallyIntegrated
TypeIll-Other
(b)
Employer
identification
number(EIN)
(c)
(d)
Typeof organization
Is the supported
(describedin lines
organizationlisted in
the supporting
5 through12 above
or IRCsection)
organization's
governingdocuments?
No
Yes
....
Total
14
(e)
Amountof
support
An organization
organizedandoperatedto testfor publicsafety Section509(a)(4) (Seepage7 of the instructions)
ScheduleA (Form990 or 990-EZ)2006
623121
01-18-07
....
21
22
23
24
25
26
b
c
d
e
I
27
....
....
....
....
....
....
o.
623131 01-18-07
NONE
!Part V j
29
31
33
3 6-3 3 0 9 812
Doesthe organization
havea raciallynondiscriminatory
policytowardstudentsby statementin its charter,bylaws,othergoverning
instrument,or in a resolutionof rtsgoverningbody?
includea statementof its raciallynond1scnminatory
policytowardstudentsin all its brochures,catalogues,
Doesthe organization
with the publicdealingwith studentadm1ss1ons,
programs,andscholarships?.
andotherwnttencommunications
Hasthe organization
publ1c1zed
rts raciallynondiscriminatory
policythroughnewspaperor broadcastmediaduringthe penodof
solic1tat1on
for students,or duringthe reg1strat1on
penod1f1thasno sol1citat1on
program,in a waythat makesthe policyknown
to all partsof the generalcommunity1tserves?
If "Yes,'pleasedescnbe;1f'No,' pleaseexplain(If you needmorespace,attacha separatestatement)
30
32
HEARTLAND INSTITUTE
maintainthefollowing
Doesthe organization
staff?
a Recordsindicatingthe racialcompositionof thestudentbody,faculty,andadministrative
basis?
b Recordsdocumentingthat scholarshipsandotherfinancialassistanceareawardedon a raciallynond1scnminatory
to the publicdealingwith student
and otherwrittencommunications
c Copiesof all catalogues,brochures,announcements,
adm1ss1ons,
programs,andscholarships?
or on its behalfto sol1c1t
contnbut1ons?
d Copiesof all materialusedby the organization
If you answered'No' to anyof the above,pleaseexplain.(If you needmorespace.attacha separatestatement)
d1scnminate
by racein anywaywith respectto
Doesthe organization
Students'nghtsor pnv1leges?
Adm1ss1ons
pol1c1es?
Employmentof facultyor adm1nistrat1ve
staff?
Scholarshipsor otherfinancialassistance?
Educational
policies?
Useof fac111t1es?
g Athleticprograms?
..
activ1t1es?
h Otherextracurricular
If you answered"Yes'to anyof the above,pleaseexplain (If you needmorespace,attacha separatestatement)
a
b
c
d
e
I
Page5
N/A
Yes No
29
30
31
32a
32b
32c
32d
33a
33b
33c
33d
33e
331
33n
33h
34a
agency?
34 a Doesthe organizationreceiveanyfinancialaid or assistancefrom a governmental
34b
nghtto suchaid everbeenrevokedor suspended?
b Hasthe organization's
If you answered"Yes'to either34aorb, pleaseexplainusingan attachedstatement
Doesthe organization
certifythat 1thascompliedwiththe applicablerequirements
of sections4 01 through4 05 of Rev Proc 75-50,
35
1975-2CB 587,coveringracialnond1scnminat1on?
If 'No,' attachan explanation
35
ScheduleA(Form990 or 990-EZ)2006
623141
01-18-07
HEARTLAND INSTITUTE
3 6- 3 3 0 9 812
Pa e 6
N/A
1fthe oraanizat1on
belonasto an affiliatedarouo.
Check
control'arov1s1ons
aoolv.
1fvou checkeda and'J1m1ted
(a)
(b)
Aff1l1ated
group
To be completedfor all
electingorganizations
totals
N/A
36
37
38
39
40
41
Totallobbyingexpenditures
to influencepublicopinion(grassrootslobbying)
to influencea legislativebody(directlobbying)
Totallobbyingexpenditures
Totallobbyingexpenditures(addImes36 and 37)
Otherexemptpurposeexpenditures.
Totalexemptpurposeexpenditures
(addImes38 and39)
..
Lobbyingnontaxableamount Enterthe amountfrom the followingtableIf the amountan line 40 Is The lobbyingnontaxableamountis Not over $500,000
36
37
38
39
40
42 Grassrootsnontaxableamount(enter25% of line41)
43 Subtractlme42 from lme36 Enter-0- 1flme42 1smorethanline36
44 Subtractlme41 from lme38 Enter-0- 1flme41 1smorethanlme38
41
42
43
44
Caution: If there Is an amount on either /me 43 or /me 44, you must file Form 4720.
(a)
2006
(b)
2005
(c)
2004
N/A
(d)
2003
(e)
Total
45 Lobbyingnontaxable
amount
46 Lobbyingceilingamount
1150%of lme45{e)).
47 Totallobbying
exoend1tures
48 Grassrootsnontaxable
amount
49 Grassrootsceilingamount
( 150%of line481e))
50 Grassrootslobbying
exoend1tures
I Part VlB I
0.
0.
o.
o.
o.
0.
N/A
(Forreportingonlyby organizations
that did not completePartVI-A)(Seepage13 of the mstruct1ons
)
Duringthe year,did the organization
attemptto influencenational,stateor localleg1slat1on,
includinganyattemptto
influencepublicopm1onon a Jeg1sla!Jve
matteror referendum,
throughthe useof
a Volunteers
(Includecompensationm expensesreportedon Imesc throughh.)
b Paidstaffor management
c Mediaadvertisements
d Ma1lmgs
to members,legislators,or the public
e Publ1cat1ons,
or publishedor broadcaststatements
..
f Grantsto otherorganizations
for lobbyingpurposes
g Directcontactwith legislators,theirstaffs,governmentofficials,or a leg1slat1ve
body
h Rallies,demonstration!'>,
seminars,conventions,speeches,
lectures.or anyothermeans
I Totallobbyingexpenditures(AddImesc throughh.)
If 'Yes'to anyof the above,alsoattacha statementgivinga detaileddescriptionof the lobbyingact1v1ties
623151
01-18-07
Yes
No
Amount
o.
ScheduleA (Form990 or 990-EZ)2006
'SbheduleA(form99CJ.or990-EZ)2006
THE
HEARTLAND INSTITUTE
36-3309812
Page7
51
a
c
d
Didthe reportingorganization
directlyor indirectlyengagein anyof the followingwith anyotherorganization
describedin section
501(c) of the Code(otherthansection501(c)(3) organizations)
or in section527, relatingto pollt1calorganizations?
to a noncharitable
exemptorganization
of.
Transfersfromthe reportingorganization
(I) Cash
(ii) Otherassets
Othertransactions
exemptorganization
(I) Salesor exchangesof assetswitha noncharitable
(ii) Purchasesof assetsfrom a noncharitable
exemptorganization
(iii) Rentalof fac1l1t1es,
equipment,or otherassets
(iv) Reimbursement
arrangements
(v) Loansor loanguarantees
(vi) Performance
of servicesor membershipor fundraisingsol1c1tat1ons
Sharingof fac1l11ies,
equipment,mailinglists.otherassets,or paidemployees
If the answerto anyof the above1s'Yes,'completethe followingscheduleColumn(b) shouldalwaysshowthefair marketvalueof the
goods,otherassets,or servicesgivenby the reportingorganizationIf the organization
receivedlessthanfair marketvaluein any
transactionor sharingarrangement,
showin column(d) the valueof the goods.otherassets.or servicesreceived
(a)
Lineno
(b)
Amountinvolved
(c)
Nameof noncharitable
exemptorganization
Yes
623152
01-18-07
(b)
Typeof organization
b(i)
b(ii)
b(iii)
b(iv)
b(v)
b(vl)
x
x
x
x
x
x
x
N/ A
(d)
Descriptionof transfers,transactions,andsharingarrangements
(a)
x
x
No
51a(I)
a(ii)
Yes
00
No
(c)
Descriptionof relat1onsh1p
. ..
THEHEARTLAND INSTITUTE
36-3309812
'
FORM 990
STATEMENT
NAME OF OFFICER,
EMPLOYEE
COMPENSATION BEN. PLANS
ETC.
JOSEPH BAST
EXPENSE
ACCOUNTS
TOTALS
100,803.
100,803.
A. PROGRAM SERVICES
75,603.
75,603.
B. MANAGEMENTAND GENERAL
15,120.
15,120.
C. FUNDRAISING
10,080.
10,080.
75,603.
15,120.
TOTAL FUNDRAISING
10,080.
TOTAL OFFICER,
ETC.,
LINE 25A
100,803.
STATEMENT(S) 1
.. .
'THE'HEARTLAND
'
INSTITUTE
FORM 990
36-3309812
CLASS OF ACTIVITY/DONEE'S
SCHOOL REFORM
FREE ENTERPRISE EDUCATION INSTITUTE
12309 BRIARBUSH LANE
POTOMAC, MD 20854
ENVIRONMENT & CLIMATE
MOVING PICTURE INSTITUTE
260 WEST 54TH STREET, #15G
NEW YORK, NY 10019
HEALTH CARE
AFRICA FIGHTING MALARIA
2600 PENNSYLVANIA AVE., NW #7A
WASHINGTON D.C. 20037
STATEMENT
AMOUNT
25,000.
250,000.
25,000.
SCHOOL REFORM
SHIMER COLLEGE
414 NORTH SHERIDAN ROAD
WAUKEGAN, IL 60085
500,000.
SCHOOL REFORM
TEXAS PUBLIC POLICY FOUNDATION
900 CONGRESS AVE., SUITE 400
AUSTIN, TX 78701
100,000.
50,000.
50,000.
50,000.
50,000.
STATEMENT(S) 2
.. .
THE'HEARTLAND INSTITUTE
36-3309812
40,000.
10,000.
25,000.
FORM 990
PART II,
LINE 22B
OTHER PROGRAMSERVICES
LINE E
STATEMENT
GRANTS AND
ALLOCATIONS
1,175,000.
EXPENSES
WITH
1,150,000.
25,000.
1,150,000.
25,000.
STATEMENT(S) 2,
'THEHEARTLAND
INSTITUTE
36-3309812
Ill
FORM 990
TITLE AND
AVRG HRS/WK
JOSEPH BAST
600 EAST WILMETTE ROAD #124
PALATINE, IL 60074
PRESIDENT
40.00
ROBERT BUFORD
1333 N. KINGSBURY AVENUE #301
CHICAGO, IL 60622
DIRECTOR
0.00
PAUL FISHER
77 WEST WACKER DRIVE, SUITE 4400
CHICAGO, IL 60601
COMPENSATION
STATEMENT
EMPLOYEE
BEN PLAN EXPENSE
CONTRIB ACCOUNT
o.
0.
o.
o.
0.
o.
o.
0.
JAMES FITZGERALD
1629 COLONIAL PARKWAY
INVERNESS, IL 60067
MANAGINGDIRECTOR
0.00
0.
o.
0.
DAN HALES
711 OAK STREET, SUITE 102
WINNETKA, IL 60093
ATTORNEY
0.00
o.
o.
o.
WILLIAM HIGGINSON
990 NORTH LAKE SHORE DRIVE #llB
CHICAGO, IL 60611
DIRECTOR
0.00
0.
o.
0.
JAMES JOHNSTON
2143 CHESTNUT AVENUE
WILMETTE, IL 60091
DIRECTOR
0.00
o.
0.
o.
ROY MARDEN
330 EAST 46TH STREET, SUITE 4J
NEW YORK, NY 10017
DIRECTOR
0.00
o.
o.
o.
DAVID PADDEN
100 WEST MONROE, SUITE 706
CHICAGO, IL 60603
DIRECTOR
0.00
o.
o.
o.
FRANK RESNIK
175 EAST DELAWAREPLACE
CHICAGO, IL 60611
DIRECTOR
0.00
0.
o.
0.
ELIZABETH ROSE
2110 GUY STREET
SAN DIEGO, CA 92103-1539
DIRECTOR
0.00
0.
0.
o.
100,803.
STATEMENT(S) 4
.. .
..'THEHEARTLAND INSTITUTE
HERBERT WALBERG
180 EAST PEARSON STREET,
3607
CHICAGO, IL 60611
36-3309812
CHAIRMAN
SUITE
0.00
RAJEEV BAL
501 WEST MICHIGAN
MILWAUKEE, WI 53201-3050
DIRECTOR
0.00
THOMAS WALTON
300 RENAISSANCE CENTER, MC
482-C27-C81
DETROIT, MI 48265-3000
DIRECTOR
DIRECTOR
0.00
SCHEDULE A
DESCRIPTION
0.00
o.
o.
o.
o.
0.
o.
o.
o.
o.
o.
o.
o.
0.
o.
100,803.
PART V-A
OTHER INCOME
STATEMENT
2004
AMOUNT
2005
AMOUNT
0.
15,000.
o.
15,000.
2003
AMOUNT
2002
AMOUNT
o.
o.
STATEMENT(S) 4,
0.
o.
,r-
Fonn
8868
If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box . . . . ..,.
If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part II (on page 2 of this form).
Do not com /ete Part II unless ou have alread been ranted an automatic 3-month extension on a rev1ousl filed Form 8868.
Ji['
Automatic 3-Month Extension of Time. Only submit original (no copies needed).
Section 501(c)(3) corporations required to file Form 990-T and requesting an automatic 6-month extension-check this box
and complete Part I only . . . . . . . . . . ..,.
All other corporations (including 1120-C filers), partnerships, REM/Cs, and trusts must use Form 7004 to request an extension of
time to file income tax returns.
Electronic Filing (e-fi/e). Generally, you can electronically file Form 8868 if you want a 3-month automatic extension of time to file
one of the returns noted below (6 months for section 501(c)(3) corporations required to file Form 990-T). However, you cannot file
Form 8868 electronically if (1) you want the additional (not automatic) 3-month extension or (2) you file Forms 990-BL, 6069, or 8870,
group returns, or a composite or consolidated Form 990-T. Instead, you must submit the fully completed and signed page 2 (Part II)
of Form 8868. For more details on the electronic filing of this form, visit www.irs.gov/efile and click one-file for Charities & Nonprofits.
Type or
print
cl
File by the
due date for
lihng your
return. See
1nstruct1ons.
City, town or post office, state, and ZIP code. For a foreign address, see instructions.
IL-
O
O
O
O
Form
Form
Form
Form
4720
5227
6069
8870
JlQS-h'_tD~.-/-OlaDfa.
__
&,.:;c.
___________
_
3.7..7.:::..oc.x:L_
.......
If this is
and attach
I request an automatic 3-month (6 months for a section 501(c)(3) corporation required to file Form 990-T) extension of time
until ___
L./..c:=-._/S-::
.... - , 20($.]., to file the exempt organization return for the organization named above. The extension is
for the organization's return for:
..,.8 calendar year 20 ~-W
.. or
..,. O
2
__
_
Initial return
Final return
3a If this application is for Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax,
less any nonrefundable credits. See instructions.
b If this application is for Form 990-PF or 990-T, enter any refundable credits and estimated tax
payments made. Include any prior year overpayment allowed as a credit.
c Balance Due. Subtract line 3b from line 3a. Include your payment with this form, or, if required,
deposit with FTD coupon or, if required, by using EFTPS (Electronic Federal Tax Payment
System). See instructions.
, 20 -.
3a
$ "'.
3b
on
l"")_on
$ 0-00
3c
Caution. If you are going to make an electronic fund withdrawal with this Form 8868, see Form 8453-EO and Form 8879-EO
for payment instructions.
For Privacy Act and Paperwork Reduction Act Notice, see Instructions.
Fonn
8868
(Rev 12-2006)
* .
Page
If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part II and check this box
Note. Only complete Part II if you have already been granted an automatic 3-month extension on a previously filed Form 8868.
If you are filing for an Automatic 3-Month Extension, complete only Part I (on page 1).
Additional
not automatic
3-Month Extension of Time. You must file ori inal and one co
Type or
print
Name of ExemptOrganization
File by the
extended
due date for
fihng the
return See
instructions.
Number, street, and room or surte no. If a P.O. box, see instructions.
Check type of return to be filed (File a separate application for each return):
O Form 6069
Form 990
0 Form 990-PF
O Form 1041-A
O Form 990-BL
O Form 990-T (sec. 401 (a) or 408(a) trust)
O Form 8870
O Form 4720
O Form 990-EZ
O Form 990-T (trust other than above)
O Form 5227
STOP! Do not complete Part II if you were not already granted an automatic 3-month extension on a previously filed Form 8868.
4
5
6
7
. . . ~
. If this is
and attach a
Initial return
Final return
20 _____
.
--------------------------------------------------------------------------------------------------
8a If this application is for Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax,
less an nonrefundable credits. See instructions.
b If this application 1sfor Form 990-PF, 990-T, 4720, or 6069, enter any refundable credits and
estimated tax payments made. Include any prior year overpayment allowed as a credit and any
amount aid reviousl with Form 8868.
c Balance Due. Subtract hne Sb from line Sa. Include your payment with this form, or, 1frequired, deposit
wrth FTOcou on or, if r uired, b usm EFTPS ElectronicFederalTax Pa ment S stem . See 1nstruct1ons.
Sb
Be
S1gnatu~~t
G, ...v:f)~
Tille .,..
Fx.-ecyfj
>Je
fd~
fr::c
Date .,..
,3 - S-0
O
O
Other ------------------------------------------------------------------------------------------------------------------------------------------------
Director
By:~---------------~
Date
Alternate Mailing Address. Enter the address if you want the copy of this application for an additional 3-month extension
returned to an address different than the one entered above.
Name
Type or
Number and street Onclude suite, room, or apt. no.) or a P.O. box number
print
City or town, province or state, and country Oncluding postal or ZIP code)
Form
8868
(Rev 12-2006)