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Form

990

,,

Department
oftheTreasury
Revenue
service
Internal

OMB

Return of Organization Exempt From Income Tax

2006

Undersection501(c), 527, or 4947(a)(1)of the InternalRevenueCode(exceptblack lung


benefittrust or privatefoundation)
~ Theorganizationmayhaveto usea copyof this returnto satisfystatereportingrequirements

A Forthe 2006 calendaryear, or tax year beginning

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

H and I are not appllcab/e to section 527 organtzattons.


H(a) Is this a group returnfor aff1l1ates? Dves
00No
Website:~WWW.HEARTLAND. ORG
N/A
H{b} If 'Yes,'enternumberof aff1l1ates
~
Organizationtype (checkonlyone)
~ [X] 501(c) ( 3
)<111111
rinsertno)D
4941(a)(1)or D
521 H(c) Are all aff1hates
included? N/A
Dves
DNo
(If 'No,' attacha list)
Checkhere ~ D
1fthe organization1snot a 509(a)(3)supportingorganizationandits gross
H(d} Is this a separatereturnfiled by an orcoveredby a group ruling? Dves
ganizat1on
receiptsarenormallynot morethan$25,000.A return1snot required,but If the organization
CXJNo
choosesto file a return,be sureto file a completereturn
N/A
Number~
I GrouoExemot1on
M Check~ D
if the organization1snot requiredto attach
Sch.8 (Form990,990-EZ,or 990-PF)
GrossreceiptsAdd Imes6b, Bb,9b, and 10bto lme 12 ~
2,747,328.

J
K

LPart I 1 Revenue, Expenses and Changes in Net Assets or Fund Balances


-

"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

Programservices(from lme44, column(8))


Management
and general(from lme44, column(C))
Fundra1smg
(from lme44, column(D))
Paymentsto affiliates(attachschedule)
Total exoenses.Add Imes16 and44 columnIA)
Excessor (deficit)for the year Subtractlme 17 from lme12
Netassetsor fund balancesat begmnmgof year(from lme73, column(A))
Otherchangesm netassetsor fund balances(attachexplanation)
Netassetsor fund balancesat end of year CombineImes18, 19,and 20

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.

For PrivacyAct and PaperworkReductionAct Notice,see the separateinstructions.

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

Do not include amounts reported on line


6b, Bb, 9b, 1Ob, or 16 of Part I.

22a Grants paid from donor advised funds


(attach schedule)
(cash$
0 noncash
$
II thisamount
Includes
foreign
grants,
checkhere

(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.

43 Other expenses not covered above {Itemize):


EXPENSES
a OTHER
43a
bSUBCONTRACTORt
43b
EDITORS
cWRITERSt
43c
43d
d
43e
e
431
f
g
430
44 Total functional expenses.Add Imes22athrough
completingcolumns(B)(D),
43g. (Organizations
carrythesetotals to Imes13-15)
44

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.

(Ill) the amountallocatedto Management


andgeneral$

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.

Joint Costs. Check ~


If you are following SOP 982.
Are anyjomt costs from a combinededucationalcampaignandfundra1smg
sollc1tatmn
reportedm (B) Programservices?
~
If "Yes; enter(I) the aggregateamountof theseJointcosts$
A
; (ii) the amountallocatedto Programservices$
623011
01-23.01

Pa

D
[X]
___
NI A__ _

and (Iv) the amountallocatedto Fundra1smg


$

Yes

No

...:..,..

NI A

Form990 (2006)

'

Form'990

oos

Part Hf Statement

THE HEARTLAND INSTITUTE


of Program Service Accomplishments

36-3309812

Pa

e3

(See the mstructtons.)

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

RESEARCH & WRITING ON PUBLIC POLICY ISSUES

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 )

a PUBLICATIONS - RESEARCH & WRITING ON PUBLIC POLICY ISSUES.


HEARTLAND PRODUCED FOUR NEWSLETTERS, FOUR MONTHLY NEWSPAPERS
TWO BOOKS AND ONE BOOKLET IN 2006.

!Grants and allocations

If this amount includes fore1an arants check here

b INTERNET PROJECTS - HEARTLAND OPERATED A FREE WEB-BASED


RESEARCH SERVICE IN 2006 AND HAD AN EXTENSIVE INTERNET
PRESENCE.

(Grants and allocations

c MEMBER SERVICES
AND THE PUBLIC,
ACTIVITIES.

!Grants and allocations

If this amount includes fore1an arants check here

.... D

2,070,797

.... D

284,288

.... LJ

295,872.

SEMINARS AND EVENTS FOR HEARTLAND MEMBERS


A MONTHLY MEMBERSHIP NEWSLETTER AND SIMILAR

l If this amount includes fore1an a rants check here

d SPEAKERS BUREAU - HEARTLAND OFFERS ITS SENIOR FELLOWS AND


STAFF MEMBERS AS SPEAKERS FOR EVENTS HOSTED BY OTHER
ORGANIZATIONS. THE SPEAKERS BUREAU PRODUCED 80 SPEAKING
ENGAGEMENTS IN 2006.

(Grants and allocations


$
Other program services (attach schedule)

(Grants and allocations


$
Total of Program Service Expenses (should equal line 44, column (B), Program services)

If this amount includes foreian arants check here

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

I Part lV I Balance Sheets

THE HEARTLAND INSTITUTE

36-3309812

45

Cash nonmterestbeanng

46

Savings and temporary cash investments

Beginningof year

1.050,147.

500,352.

8.468.

47a

b Less: allowance for doubtful accounts

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

b Receivables from other d1squahfied persons (as defined under section

..

4958(f)(1)) and persons descnbed in section 4958(c)(3 (B)

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

(See the instructions.)

I 51a

51 a Other notes and loans receivable

C(

51b

b Less allowancefor doubtful accounts


52

Inventories for sale or use

53

Prepaid expenses and deferred charges

50b
51c
52

~ D
~ D

54 a Investments pubhclytraded secunt1es


b Investments other secunt1es

Cost

DFMV

Cost

DFMV

27.103.
980,390.

53

18,222.

54a
54b

55 a Investments land, bu1ld1ngs,and


equipment: basis

55a

b Less: accumulated deprec1at1on

58

:a
I'll

SECURITY DEPOSIT

34,659.

6.000.
2.226.674.
40,889.

58

6,000.
567,701.
32,588.

Accounts payable and accrued expenses


Grants payable

61

62

Deferred revenue
Loans from officers, directors, trustees, and key employees

62

63
64 a Tax-exempt bond hab1ht1es
(describe ~
Otherl1abil1t1es

66

Total liabilities. Add hnes 60 throuah 65


that follow SFAS 117, check here ~

59
60

63
64a

..

64b

b Mortgages and other notes payable


65

00

65

40.889.

66

32,588.

185,785.
2,000,000.

67

535,113.

and complete Imes

67 through 69 and hnes 73 and 74.

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.

Total assets (must eaual line 74). Add hnes 45 throuah 58

::::i

QI

57b

..

59

Ill

QI

I 57a I

b Less: accumulated depreciation


Otherassets, mcludmgprogram-relatedinvestments
(describe~

55c

55b

56
Investments other
57 a Land, bu1ld1ngs,and equipment: basis

that do not follow SFAS 117, check here

69

~ Dand

complete lines 70 through 74 .


70

Capital stock, trust pnnc1pal, or current funds

70

QI

71

Paid1n or capital surplus, or land, building, and equipment fund

71

72

Retained earnings, endowment, accumulated income, or other funds

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.

THE HEARTLAND INSTITUTE

'Form 1990 2006

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

Amounts included on line a but not on Part I, line 12:


Net unrealized gains on investments
Donated services and use of fac11it1es
Recoveries of prior year grants
Other (specify):
Add lines b1 through b4

...

a
b1
b2
b3
b4

Subtract line b from line a


d Amounts included on Part I, line 12, but not on line a:
1 Investment expenses not included on Part I, line 6b
2 Other (specify):
Add lines d1 and d2
e Total revenue IPart I line 12\. Add lines c and d

Reconciliation

2,747,328.

Id1 I
d2

o.

.... e

2,747,328

of Expenses per Audited Financial Statements With Expenses per Return

Total expenses and losses per audited f1nanc1alstatements


b Amounts included on line e but not on Part I, line 17:
1 Donated services and use of fac11it1es
2 Prior year adjustments reported on Part I, line 20
3 Losses reported on Part I, line 20
4 Other (specify):
Add lines b1 through b4
c Subtract line b from line a
d Amounts included on Part I, line 17, but not on line a:
1 Investment expenses not Included on Part I, line 6b
2 Other (specify):
Add lines d1 and d2
e Totel expenses (Part I line 17) Add lines c and d

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

THE HEARTLAND INSTITUTE

Current Officers, Directors, Trustees, and Key Employees

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.

d Does the oraanizat1on have a written conflict of interest oolicv?

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

Other Information (See

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

statement of each change

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?

b If 'Yes,' enter the name of the organization~

8Da

B1b

N/A
and check whether 1t1s

81 a Enter direct or 1nd1rectpolitical expenditures. (See line 81 instructions.)


b Did the oraanizat1on file Form 1120-POL for this vear?

exempt or

I 81a I

nonexempt

0.
Form 990 (2006)

623161/01-18-07

------

r'

36-3309

Form 990 !2006l


THE HEARTLAND INSTITUTE
I Part VI 1 Other Information (continued)

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

less than fair rental value?


b If 'Yes,' you may 1nd1catethe value of these Items here. Do not include this
amount as revenue in Part I or as an expense In Part 11.
82b
(See instructions in Part Ill.)
83 a Did the organization comply with the public 1nspect1onrequirements for returns and exemption appl1cat1ons?
b Did the organ1zat1oncomply with the disclosure requirements relating to quid pro quo contributions?

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.

Dues, assessments, and similar amounts from members


85c
d Section 162(e) lobbying and polrt1calexpenditures
85d
e Aggregate nondeductible amount of section 6033(e)(1)(A) dues notices
85e
I Taxable amount of lobbying and political expenditures Vine 85d less 85e)
851
g Does the organization elect to pay the section 6033(e) tax on the amount on line 85f7
h If section 6033(e)(1)(A) dues notices were sent, does the organization agree to add the amount on line 85f
to its reasonable estimate of dues allocable to nondeductible lobbying and political expenditures for the
following tax year?
501(c)(7) organ1zat1ons. Enter:

86

..

85q

N/A

85h

a lnit1at1onfees and capital contnbut1ons included on

line 12
b Gross receipts, included on line 12, for public use of club fac1l1t1es

86a
86b
87a

501(c)(12) organ1zat1ons. Enter: a Gross income from members or shareholders

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_.

d Enter: Amount of tax on line 89c, above, reimbursed by the organ1zat1on


. ..
~ _________
0_._
e A// organizations. At any time dunng the tax year, was the organ1zat1ona party to a prohibited tax shelter transaction?
89e
891
I A// organizations. Did the organization acquire a direct or indirect interest 1nany applicable insurance contract?
g For supporting organizations and sponsonng organ1zat1onsmaintaining donor advised funds. Did the supporting organ1zat1on,
89a
or a fund maintained by a sponsoring organization, have excess business holdings at any time dunng the year?
90 a List the states with which a copy of this return is filed ~ IL
b Number of employees employed 1nthe pay period that 1n-c-lu_d_e_s_M_a_r-ch_1_2_,
2_0_0_6----------.1
-9-0b-r!
----------::1,-4.,..
91 a Thebooksareincareol ~ THE HEARTLAND INSTITUTE
Locatedat~
19 SOUTH LA SALLE STREET,
#903,

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

THE HEARTLAND INSTITUTE

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

93 Program service revenue:

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.

96 01v1dendsand interest from securities


97 Net rental income or (loss) from real estate:
a debt-financed property
b not debt-financed property
98 Net rental income or (loss) from personal property
99 Other investment income
100 Gain or (loss) from sales of assets
other than inventory
101 Net income or (loss) from special events
102 Gross profit or (loss) from sales of inventory
103 Other revenue:
a
b

c
d

o.

61,260.

104 Subtotal (add columns (8), (0), and (E))


105 Total (add line 104, columns (8), (0), and (E))

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.

I Part VIII! Relationship of Activities to the Accomplishment


Line No.
~

93A
93B
94
95

of Exempt Purposes

ANNUAL FUNDRAISER & OTHER PUBLIC EVENTS EDUCATES ATTENDEES AS WELL AS


HEARTLAND DISSEMINATES ITS RESEARCH THRU PUBLICATIONS & PUBLIC EVENTS.
MEMBER DUES QUALIFY MEMBERS FOR FREE PUBLICATIONS & EVENT DISCOUNTS.
INTEREST IS EARNED INCIDENTAL TO FUNDRAISING & PROGRAM ACTIVITIES.

I Part 1X I Information Regarding Taxable Subsidiaries and Disregarded Entities


(A)
Name,address,and EINof corporation,
oartnersh10,or disregardedentrty

N/A

!PartX

(See the mstruct1ons)

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

(See the mstruct1ons.)


(UJ

(tJ

Total income

End-of-(!ear
asses

%
%
%
%

I Information Regarding Transfers Associated with Personal Benefit Contracts

(See the mstruct1ons.)

(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

THE HEARTLAND INSTITUTE

2006

Part XI

36-3309812

Information Regarding Transfers To and From Controlled Entities.


N/ A
controlling organization as defined m section 512(b){13).

Pa e9

Complete only If the organization is a

Yes No
106

Did the reporting organization make any transfers to a controlled entity

as defined 1nsection 512(b)(13) of the Code? If 'Yes,'

complete the schedule below for each controlled entitv.

(A)

(B)

Name, address, of each


controlled entity

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

in section 512(b)(13) of the Code? If 'Yes,'

comolete the schedule below for each controlled ent1tv.

(A)

(B)

Name, address, of each


controlled entity

Employer
ldent1fication
Number

(C)
Description
transfer

of

(0)
Amount of
transfer

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

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

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

--------------------------------Totals

Yes No
108

Did the organ1zat1on have a binding wntten contract

in effect on August 17, 2006, covering the interest, rents, royalties, and

annuities described in auest1on 107 above?


schedulesandstatements,
andto the bestof my knowledge
andbelief,1t1strue,correct,
Underpenalbesof perjury,I declarethatI haveexaminedthis retum,Includingaccompanying
andcompleteDeciRPebon
of preparer(otherthanofficer)Is basedon all mtormat1on
of whichpreparerhasanyknowledge
Please
Sign
Here

Paid
Preparers

UseOnly

~
~

Sign

~
/~cer

/.I'
-

JI

Da1e

fJA

\ _.kt ~... --,

"~941JAMESN. F.PLUMSEXTON
Ll
GROVE

Firm"sname
yoursIf
self-employee.
address,and
zip+ 4

lt""/~7j ~/

Rqef.' .Pr/<,~,, f-

o,ajJA

Typeor print name arfd title

Preparer's
signature

623164/01-26-07

..,_.)~_

ASSOCIATES
RD STE A
60173
&

SCHAUMBURG,

IL

Date
1
08/07
'

/07
LTD.

Check 1f
self
employed

D I PreparersSSN or PTIN (See Gen Inst X)

....

EIN ....
Phone no

.... (847)605-0700
Form990

(2006)

'SCPIEDULE A

Organization

(Form 990 or 990-EZ)

Exempt Under Section 501 (c)(3)

(ExceptPrivateFoundation)andSection501(e), 501(I), 501(k),


501(n),or 4947(a)(1)NonexemptCharitableTrust

Supplementary

Department of the Treasury


Internal Revenue Service

Nameof the organization

lnformation-(See

Compensation

2006

separate instructions.)

MUSTbe completedby the aboveorganizationsand attachedto their Form990 or 990-EZ


EmployerIdentificationnumber

THE HEARTLAND INSTITUTE


Part I

OMB No 1545-0047

36 3309812

of the Five Highest Paid Employees Other Than Officers, Directors, and Trustees

(Seepage2 of the instructionsListeachone If therearenone,enter"None')


{d) ContnbuUons to
(b) Titleandaveragehours
(e) Expense
(a) Nameandaddressof eachemployeepaid
benefit
(c) Compensation employee
perweekdevotedto
plans & deferred accountandother
morethan$50.000
pos1t1on
compensation
allowances

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.

of the Five Highest Paid Independent Contractors

for Professional Services

(Seepage2 of the instructions Listeachone(whetherind1v1duals


or firms) If therearenone enter'None')
(a) Nameandaddressof eachindependent
contractorpaidmorethan$50,000

NONE

-----------

(b) Typeof service

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

(c) Compensation

---

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

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

~I

Totalnumberof othersreceivingover
$50,000for professionalservices

! PartUBl

Compensation

of the Five Highest Paid Independent Contractors

for Other Services

(List eachcontractorwho performedservicesotherthanprofessional


services,whetherind1v1duals
or
firms If thereare none,enter'None.'Seepage2 of the instructions)
(b) Typeof service

contractorpaidmorethan$50,000
(a) Nameandaddressof eachindependent

NONE

------

--

Totalnumberof othercontractorsreceivingover
$50,000for otherservices

523101ro1-1a-01

(c) Compensation

~I

LHA For PaperworkReductionAct Notice,seethe Instructionsfor Form990 and Form990-EZ.

ScheduleA (Form990 or 990-EZ)2006

3 6- 3 3 0 9 812

IPart Ill j
1

Statements

About Activities

Page2

Yes No

(Seepage2 of the mstruct1ons


)

Dunngthe year,hasthe organization


attemptedto influencenational,state,or localleg1slat1on,
mcludmganyattemptto influence
publicopinionon a legislativematteror referendum?
If "Yes,'enterthetotalexpensespaidor incurredin connectionwiththe
lobbyingactivities .... $
$
(Mustequalamountson lme38, PartVI-A,or
lmei of PartVI-B )
Organizations
that madeanelectionundersection501(h) by filmg Form5768mustcompletePartVI-A Otherorganizations
of the lobbyingactiv1t1es
checking"Yes'must completePartVI-BANDattacha statementgivinga detaileddescnpt1on
Duringthe year,hasthe organization,
eitherdirectlyor md1rect1y,
engagedin anyof the followingactswithanysubstantialcontributors,
trustees,directors,officers,creators,keyemployees,
or membersof theirfam1l1es,
or with anytaxableorganization
with whichanysuch
personis aff1l1ated
as an officer,director,trustee,ma1onty
owner,or principalbeneficiary?(If the answer to any question is "Yes,"

attach a detailed statement explaining the transactions.)

a
b
c
d
e
3a

Sale,exchange,or leasingof property?


..
Lendmg of moneyor otherextensionof credit?
Furnishmg of goods,services,or fac1l1t1es?
Paymentof compensation(or paymentor reimbursement
of expenses1fmorethan$1,000)?
Transferof anypart of its mcomeor assets?
fellowships,studentloans,etc? (If "Yes,'attachan explanationof how
Didthe organizationmakegrantsfor scholarships,
qualifyto receivepayments)
the organizationdeterminesthat rec1p1ents
b Ddthe organizationhavea section403(b)annuityplanfor its employees?
for conservationpurposes,mcludmgeasementsto preserveopenspace,
c Didthe organizationreceiveor holdan easement
the environment,historiclandareasor historicstructures?If "Yes,'attacha detailedstatement
creditrepair,or debtnegot1at1on
services?
d Didthe organizationprovidecreditcounseling,debtmanagement,
4 a Didthe organizationmamtamanydonoradvisedfunds?If "Yes,'completeImes4b through4g If 'No,' completeImes4f
and4g
b Didthe organizationmakeanytaxabled1stribut1ons
undersection4966?
c Didthe organizationmakea d1stribut1on
to a donor,donoradvisor,or relatedperson?
d Enterthe total numberof donoradvisedfundsownedat the endof thetaxyear
e Enterthe aggregatevalueof assetsheldmall donoradvisedfundsownedat the endof the tax year
I Enterthe total numberof separatefunds or accountsownedat the endof theyear(excludingdonoradvisedfunds includedon
or investmentof amountsm suchfunds or accounts
lme4d) wheredonorshavethe rightto provideadviceon the d1stribut1on
g Enterthe aggregatevalueof assetsmall fundsor accountsincludedon lme4f at the endof the tax year

....

....

....
....

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.

ScheduleA (Form990 or 990-EZ)2006

623111
01-18-07

3 6 - 3 3 0 9 812

IPart IV j

Page3

Reason for Non-Private Foundation Status (Seepages4 through7 of the instructions)

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

Providethe following informationaboutthe supportedorganizations.(Seepage7 of the instructions)


(a)
Name(s)of supportedorganization(s)

(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

'~che~uleA(Form990or990-EZ)2006 THE HEARTLAND INSTITUTE


36-3309812
Page4
Pait IV.;Aj Support Schedule (Completeonly rf you checked a box on line 10, 11, or 12.) Use cash method of accounting.
Note: Yiou mav use the worksheet m the instructions for convertin~ from the accrual to the cash method of accountmo.
Calendaryear (or fiscal year
beginningIn)
(a) 2005
(c) 2003
(b) 2004
(d) 2002
(e) Total
15 Gifts,grants,andcontnbut1ons
received(Donot includeunusual
2,242,948.
1,546,170.
grants.Seelme28)
1,753,416.
1,254,137.
6,796,671.
29,943.
28,945.
feesreceived
28,516.
33,196.
120,600.
16 Membersh10
17 Grossreceiptsfrom adm1ss1ons,
merchandise
soldor services
performed,or furn1shmg
of
fac1ht1es
m anyact1v1ty
that is
relatedto the organization's
charitable,etc.,purpose
246,591.
316,026.
211,980.
329,152.
1,103,749.
18 Grossincomefrom interest,
d1v1dends,
amountsreceivedfrom
paymentson secunt1es
loans(section 512(a)(5)),rents,royalties,and
unrelatedbusinesstaxableincome
(lesssection511taxes)from
businessesacquiredby the
organization
afterJune30, 1975
1,401.
1,700.
6,097.
2,819.
177.
19 Netincomefrom unrelatedbusiness
act1v1t1es
not includedin line18
<113,680.>
<93,628.1>
<92,239.1>
<358,760.
<59,213.>
>
20 Taxrevenuesleviedfor the
organization's
benefitandeither
paidto 1tor expendedon its behalf

....

21

22
23
24
25
26
b

c
d
e
I
27

Thevalueof servicesor fac1l1t1es


furnishedto the organization
by a
governmental
unitwithoutcharge
Donot includethevalueof services
or fac1ht1es
generallyfurnishedto
the publicwithoutcharge
Otherincome.Attacha schedule.
SEE STATEMENT 5
Donot includegamor (loss)from
15,000.
saleof capitalassets
15,000.
Totalof Imes15through22
1,800,602.
1,552,769.
7,683,357.
2,407,203.
1,922,783.
Lme23 mmuslme17
2,160,612.
1,484,576.
1,223,617.
6,579,608.
1,710,803.
Enter1% of lme23
24,072.
19,228.
18,006.
15,528.
N/A
26a
Organizationsdescribedon lines 1Dor 11: a Enter2% of amountm column(e),lme24
Preparea list for your recordsto showthe nameof andamountcontnbutedby eachperson(otherthana governmental
unit or publiclysupportedorganization)
whosetotalgifts for 2002through2005exceeded
theamountshownm lme26a
N/A
26b
Donot file this list with your return. Enterthetotalof all theseexcessamounts
N/A
26c
Totalsupportfor section509(a)(1)test Enterlme24,column(e)
Add Amountsfrom column(e)for Imes 18
19
N/A
26d
26b
22
N/A
26e
Publicsupport(lme26c minuslme26dtotal)
N/A
261
Publicsupportpercentaaelllne 26e (numerator)dividedbv line 26cfdenomlnatorll
Organizationsdescribedon line 12: a Foramountsincludedin Imes15,16,and 17thatwerereceivedfrom a 'd1squal1f1ed
person,'preparea listfor your
recordsto showthe nameof, andtotalamountsreceivedin eachyearfrom,each'd1squal1f1ed
person' Donot file this list with your return.Enterthe sumof
suchamountsfor eachyear
239,381.
__ 349, 633.
(2003)
3 0 9 I 3 9 2 (2002)
(2005)
2, 869, 522.
(2004)

....

....
....
....
....
....

b Foranyamountincludedm lme17that wasreceivedfrom eachperson(otherthan'disqual1f1ed


persons'),preparea list for your recordsto showthe nameof,
andamountreceivedfor eachyear,thatwasmorethanthe larger of (1) theamounton lme25 for theyearor (2) $5,000.(Includein the list organizations
Donot file this list with your return.Aftercomputingthe differencebetweentheamountreceivedand
describedin lines5 through11b,as wellas md1v1duals)
the largeramountdescribedm {1) or (2),enterthe sum of thesedifferences
(theexcessamounts)for eachyear
(2005)
0 (2004)
0 (2003)
..
0 (2002)
c Add.Amountsfrom column(e)for Imes
15
6, 7 9 6 , 6 71
16
12 0 , 6 0 0
17
1 , 10 3 , 749
20
21
.... ,_2_7c--+-_8~,_0_2_1~,_0_2_0_.
d Add: Line27atotal
3 , 76 7 , 92 8
andlme27btotal
O
....l-'2~7~d-t-_3~7,...6___,,.7~9_2-=-8_
e Publicsupport(lme27ctotal mmuslme27dtotal)
.... r'2""'7,,.e-t-_4....,.,_2_5_3...,_0_9_2_
Totalsupportfor section509(a)(2)test Enteramounton lme23,column(e)
....
271
7 , 683 35 7
.... 27
5 5 35 46%
g Public support percentage (line 27e (numerator) divided by line 27f (denominator))
h Investment income ercenta e line 18 column e numerator divided b line 27f denominator
.... 27h
0 79 4%
28 Unusual Grants: Foran organizatmn
describedm line 10, 11,or 12that receivedanyunusualgrantsduring2002through2005,preparea listfor your recordsto
show,for eachyear,the nameof the contributor,thedateandamountof thegrant,anda bneldescnp!lonof the natureof thegrant Donotfile this list with your
return. Donot includethesegrantsin lme15

o.

623131 01-18-07

NONE

Schedule A (Fonn 990 or 990-EZ) 2006

3ch~~uleA (Form990or 990-EZ)2006 THE

!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

Private School Questionnaire (Seepage9 of the instructions)


(To be completed ONLY by schools that checked the box on line 6 in Part IV)

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

' ~chebuleA (Form990 or 990-EZ)2006 THE

HEARTLAND INSTITUTE

3 6- 3 3 0 9 812

Part VlA Lobbying Expenditures by Electing Public Charities

Pa e 6

N/A

(Seepage10 of the mstruct1ons)

(To be completedONLYby an eligibleorganization


thatfiledForm5768)
Check

1fthe oraanizat1on
belonasto an affiliatedarouo.

Check

Limits on Lobbying Expenditures


(Theterm'expenditures'meansamountspaidor incurred)

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

20% of the amount on line 40

Over $500,000 but not over $1,000,000

$100,000 plus 15% of the excess over $500,000

Over $1,000,000 but not over $1,500,000


Over$1,500,000 but not over$17,000,000
Over $17,000,000

$175,000 plus 10% of the excess over $1,000,000


.

$225,000 plus 5% of the excess over $1,500,000


$1,000,000

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.

4-Year Averaging Period Under Section 501(h)


(Someorganizations
that madea section501(h)electiondo not haveto completeall of the five columns
for Imes45 through50 on page13 of the mstruct1ons)
below Seethe mstruc!Jons
LobbyingExpendituresDuring4-YearAveragingPeriod
Calendaryear (or
fiscal year beginningin)

(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.

Lobbying Activity by Nonelecting Public Charities

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

!Part VII I Information

HEARTLAND INSTITUTE

36-3309812

Page7

Regarding Transfers To and Transactions and Relationships With Noncharitable


Exempt Organizations (Seepage13 of the instructionsl

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

directlyor indirectlyaffiliatedwith,or relatedto, oneor moretax-exemptorganizations


describedin section501(c) of the
52 a is the organization
~
Code(otherthansection501(c)(3))or in section527?
b If 'Yes,'completethefollowingschedule
NI A
Nameof organization

No

51a(I)
a(ii)

Yes

00

No

(c)
Descriptionof relat1onsh1p

ScheduleA (Form990 or 990-EZ)2006

. ..

THEHEARTLAND INSTITUTE

36-3309812

'

FORM 990

STATEMENT

OFFICER COMPENSATION ALLOCATION


PART II, LINE 25A

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.

TOTAL PROGRAM SERVICES

75,603.

TOTAL MANAGEMENTAND GENERAL

15,120.

TOTAL FUNDRAISING

10,080.

TOTAL OFFICER,

ETC.,

COMPENSATION INCLUDED ON PART II,

LINE 25A

100,803.

STATEMENT(S) 1

.. .

'THE'HEARTLAND

'

INSTITUTE

FORM 990

36-3309812

CASH GRANTS AND ALLOCATIONS


TO OTHERS

CLASS OF ACTIVITY/DONEE'S

NAME AND ADDRESS

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.

BUDGET & TAX REFORM


EVERGREEN FREEDOM FOUNDATION
P.O. BOX 552
OLYMPIA, WASHINGTON 98507

50,000.

BUDGET & TAX REFORM


AMERICANS FOR PROSPERITY FOUNDATION

50,000.

BUDGET & TAX REFORM


JAMES MADISON INSTITUTE
P.O. BOX 13894
TALLAHASSEE, FL 32317

50,000.

BUDGET & TAX REFORM


MAINE HERITAGE POLICY CENTER
P.O. BOX 7829
POTRTLAND, ME 04112

50,000.

STATEMENT(S) 2

.. .

THE'HEARTLAND INSTITUTE

36-3309812

BUDGET & TAX REFORM


ALABAMAPOLICY INSTITUTE
402 OFFICE PARK DRIVE, SUITE 300
BIRMINGHAM, AL 35223

40,000.

BUDGET & TAX REFORM


SOUTH CAROLINA POLICY COUNCIL
1323 PENDLETON STREET
COLUMBIA, SC 29201

10,000.

BUDGET & TAX REFORM


KANSAS TAXPAYERS NETWORK

25,000.

TOTAL INCLUDED ON FORM 990,

FORM 990

PART II,

LINE 22B

OTHER PROGRAMSERVICES

UNRESTRICTED GRANTS TO OTHER 501C(3)


MISSIONS IN LINE WITH HEARTLAND
INSTITUTE.
PART III,

LINE E

STATEMENT

GRANTS AND
ALLOCATIONS

DESCRIPTION OF OTHER PROGRAM SERVICES

TOTAL TO FORM 990,

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

PART V-A - LIST OF CURRENT OFFICERS, DIRECTORS,


TRUSTEES AND KEY EMPLOYEES

NAME AND ADDRESS

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.

HEAD OF REAL ESTATE


0.00

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

BIJU GEORGE KULATHAKAL


211 EAST OHIO,#
603
CHICAGO, IL 60611

DIRECTOR
0.00

TOTALS INCLUDED ON FORM 990,

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

LAPSED TIME RESTRICTIONS

0.

15,000.

TOTAL TO SCHEDULE A, LINE 22

o.

15,000.

2003
AMOUNT

2002
AMOUNT

o.
o.

STATEMENT(S) 4,

0.

o.

,r-

Fonn

8868

(Rev December 2006)

Application for Extension of Time To File an


Exempt Organization Return

Department of the Treasury


Internal Revenue SeMce

OMB No. 1545-1709

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

If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box . . . . ..,.
If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part II (on page 2 of this form).
Do not com /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

Employer identification number

Name of Exempt Organization

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-

Check type of return to be file


~ Form 990
O Form 990-BL
O Form 990-EZ
O Form 990-PF

(file a separate application for each return):


O Form 990-T (corporation)
O Form 990-T (sec. 401(a) or 408(a) trust)
O Form 990-T (trust other than above)
O Form 1041-A

O
O
O
O

Form
Form
Form
Form

4720
5227
6069
8870

JlQS-h'_tD~.-/-OlaDfa.
__
&,.:;c.
___________
_

The books are in the care of..,. ___


t-}_eo._r-:+.{~
..

3.7..7.:::..oc.x:L_

Telephone No ..... (~/.~.)


____
FAX No ..... !3/~_L.3.27.::-$.~Q_Q
If the organization does not have an office or place of business in the United States, check this box
If this is for a Group Return, enter the organization's four digit Group Exemption Number (GEN)_______
for the whole group, check this box . . . . . . ..,. 0 . If 1t 1sfor part of the group, check this box . . . . . . ..,.
a list with the names and EINs of all members the extension will cover.
1

.......

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

__
_

tax year beginning --------------------------

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

, 20 --, and ending --------------------

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 -.

Change in accounting penod

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.

Cat No. 279160

Fonn

8868

(Rev 12-2006)

* .
Page

Form 8868 (Rev 12-2006)

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

Employer identification number

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.

For IRS use only

City,townor postoffice,state,andZIP code Fora foreignaddress,seeinstructions.

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.

The books are in the care of~-------------------------------------------------------------------------------------------_)______________________________


FAX No. ~ (. ________
_)_______________________________
_
Telephone No. ~ (__________
If the organization does not have an office or place of business in the United States, check this box
If this 1sfor a Group Return, enter the organization's four digit Group Exemption Number (GEN) ----for the whole group, check this box . . . . . . ~ O . If it is for part of the group, check this box. . . . . . ~
list with the names and EINs of all members the extension is for.

4
5
6
7

. . . ~
. If this is
and attach a

I request an additional 3-month extension of time until -------------------------------------------, 20 _____


.
For calendar year _______
, or other tax year beginning __________________________
, 20 _____
, and ending--------------------------,
If this tax year 1sfor less than 12 months, check reason:
State in detail why you need the extension

Initial return

Final return

20 _____
.

Change in accounting period

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

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

Signature and Verification


Under penalties of periury, I declare that I have examined this form, including accompanying schedules and statements, and to the best of my knowledge and behef,
rt 1strue, correct, and complete, and that I am author12ed to prepare this form

S1gnatu~~t

G, ...v:f)~

Tille .,..

Fx.-ecyfj

>Je

fd~

fr::c

Date .,..

,3 - S-0

Notice to Applicant. (To Be Completed by the IRS)

O
O

We have approved this application. Pleaseattach this form to the organization'sreturn.


We have not approved this application.However,we have granteda 10-day grace penod from the later of the date shown below or the due
date of the organization'sreturn 0ncludingany pnor extensions).This grace penod is consideredto be a valid extensionof time for elecbons
otherwise required to be made on a timely return. Pleaseattach this form to the organization'sreturn.
We have not approvedthis applicabon.After cons1denngthe reasonsstated 1nrtem7, we cannot grant your request for an extensionof time
to file. We are not grantinga 10-day grace penod.
We cannot consider this application because 1twas filed after the extended due date of the return for which an extensionwas requested.

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)

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