A S 8,03 AM r-!•^'ormrt=' Departme-nt of the Treasury Internal Revenue Service Return of Organization Exempt From Income Tax OMB No 1545-0047 Under section 501(c ), 527, or 4947 (a)(1) of the Internal Revenue Code ( except private foundations) ^ Do not enter social security numbers on this form as it may be made public . 201 5 Open to Public For the 2015 calendar year, or tax year be g innin g A D Employer Identification number THE HEARTLAND X Address change ARLINGTON HEIGHTS ❑ Amended return JOSEPH BAST 3939 NORTH WILKE ROAD ARLINGTON HEIGHTS X Tax-exem pt status J Websrte ^ K Form of or anlzatton Fart I 0 04 IL 60004 JG W 501(c ) 3) 501 ( c) IL 4947 ( a ) ( 1) or Trust Association X No ❑ Yes ❑ No 527 . HEARTLAND ORG X Corpo ration ❑ Yes H(b) Are all subordinates included? If "No," attach a list (see instructions) 60004 / ( insert no ) H(a) Is this a g rou p return for subordinates H ( c) Grou p exemption number ^ Other ^ L Year of formation 1984 (7 -7, ^^P Rya CI W State of leg al domicile IL Briefly describe the organization's mission or most significant activities RESEARCH AND WRITING ON PUBLIC POLICY ISSUES. 2 Check this box 0, ❑ if the organization discontinued its operations or disposed of more than 2 5% of its net assets 3 Number of voting members of the governing body (Part VI, line 1 a) 4 Number of independent voting members of the governing body (Part VI, line 1 b) 5 Total number of individuals employed in calendar year 2015 (Part V, line 2a) 6 Total number of volunteers (estimate if necessary) 7a Total unrelated business revenue from Part VIII, column (C), line 12 b Net unrelated business taxable income from Form 990-T, line 34 8 Contributions and grants (Part VIII, line 1h) 9 Program service revenue (Part VIII, line 2g) 10 Investment income (Part VIII, column (A), lines 3, 4,,ahd/7d) -_7 j/ 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10cAW"-11e)n 2D;G 12 Total revenue - add lines 8 throu g h 11 ( must e q ual Part` Vlll, col umn (A ) , line 12 ) , r.'-i r ---,^^=13 Grants and similar amounts paid (Part IX, column (A), lines'/-3)14 Benefits paid to or for members (Part IX, column (A);1ine 4)y 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) 16aProfessional fundraising fees (Part IX, column (A), line 11e) 448 , 089 b Total fundraising expenses (Part IX, column (D), line 25) ^ 17 Other expenses (Part IX, column (A), lines 11a-11d, 1lf-24e) 18 Total expenses Add lines 13-17 (must equal Part IX, column (A), line 25) 19 Revenue less ex p enses Subtract line 18 from line 12 Z5 2 yq a^ z,^ M Summary 3 4 5 6 7a 7b Prior Year `c' at 4,698,415 Gross recei ts$ Name and address of principal officer F Application pending u M ra F 312-377-4000 City or town , slate or province , country, and ZIP or foreign postal code ❑ terminated 1 E Telephone number Room/suite 3939 NORTH WILKE ROAD Final return/ c, 36 - 3309812 Number and street (or P 0 box if mail is not delivered to street address) ❑ Initial return I INSTITUTE Doing business as ❑ Name chan ge ❑ and endin g C Name of organization Check if applicable B 6 , 890 , 995 68 , 467 947 , 981 6 , 738 , 428 -221 9 , 137 -47, 188 Current Year 4 570 54 -11 -215 4 , 398 630 , 561 , 980 036 , 175 0 0 1 , 568 , 948 1 , 939 , 262 0 2 , 824 , 410 4 , 39 3 358 3 , 831 , 104 2 , 345 , 070 -1 372 , 191 Beg innin g of Current Year 20 Total assets (Part X, line 16) 21 Total liabilities (Part X, line 26) 22 Net assets or fund balances Subtract line 21 from line 20 10 9 35 5 5 770 366 E nd of Year 2 , 985 , 124 1 799 , 732 551 , 818 2 , 433 , 306 738 , 617 1 , 061 , 115 Signature Block Part tl Under penalties of perjury. I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete Declaration of p1ppaferether than officer) is based on all information of which preparer has any knowledge Sign Here I V Signature of officer JOSEPH BA Type or print name and title Preparer' s signature Print/Type preparer's name Paid Preparer Use Only CYNTHIA M. Firm's name HITZEMANN, 1 CPA CVA TIGHE , KRESS & ORR 2001 LARKIN AVE STE 20 60123-5808 ELGIN, IL Firm's address ^ May the IRS discuss this return with the preparer shown above? (see instructii For Paperwork Reduction Act Notice , see the separate instructions. DAA 06/20/2016 8 03 AM 36-3309812 t, ^orm-99b(2015) THE HEARTLAND INSTITUTE Part ill Statement of Program Service Accomplishments Check If Schedule 0 contains a response or note to any line in this Part III I Briefly describe the organization's mission Page 2 RESEARCH AND WRITING ON PUBLIC POLICY ISSUES. 2 3 4 Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EZ7 If "Yes," describe these new services on Schedule 0 Did the organization cease conducting, or make significant changes in how it conducts , any program Yes services? If "Yes," describe these changes on Schedule 0 Describe the organization ' s program service accomplishments for each of its three largest program services , as measured by expenses Section 501 ( c)(3) and 501 ( c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses , and revenue , if any , for each program service reported No n Yes FX No ) (Revenue $ 1 , 965 , 775 including grants of $ 4a (Code 6 , 60 0 ) (Expenses $ PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE. HEARTLAND PRODUCED A TOTAL OF 38 ISSUES OF FOUR MONTHLY NEWSPAPERS (BUDGET & TAX NEWS, ENVIRONMENT & CLIMATE NEWS, HEALTH CARE NEWS, AND SCHOOL REFORM NEWS); ONE PRINT NEWSLETTER (QPR); A TOTAL OF 224 ISSUES OF SIX EMAIL NEWSLETTERS (CONSUMER POWER REPORT, CLIMATE CHANGE WEEKLY, WEATHER BULLETIN, SCHOOL CHOICE WEEKLY, THE LEAFLET, AND HEARTLAND WEEKLY); SIX POLICY BRIEFS; FIVE POLICY STUDIES; AND FIVE BOOKLETS. IT PRINTED AND MAILED THREE BOOKS: POWER TO THE PEOPLE: THE NEW ROAD TO FREEDOM AND PROSPERITY FOR THE POOR, SENIORS, AND THOSE MOST IN NEED OF THE WORLD'S BEST HEALTH CARE (10,500 COPIES); THE NEGLECTED SUN (6,000 COPIES); AND WHY SCIENTISTS DISAGREE ) (Revenue $ 7 , 844 2 , 013 , 875 including grants of $ 4b (Code ) (Expenses $ PUBLIC RELATIONS - SEMINARS, EVENTS, SPEAKERS BUREAU, AND OTHER ACTIVITIES AIMED AT EDUCATING HEARTLAND MEMBERS AND THE GENERAL PUBLIC CONCERNING PUBLIC POLICY ISSUES. HEARTLAND HOSTED OR CO-HOSTED 21 EVENTS IN 2015, ATTRACTING A TOTAL AUDIENCE OF 1,700 PEOPLE. HEARTLAND ALSO EXHIBITED AT EIGHT TRADE SHOWS AND EVENTS FOR MEMBERS OF THE GENERAL PUBLIC, AND ITS SENIOR FELLOWS AND STAFF DELIVERED 104 SPEECHES TO AUDIENCES TOTALING 12,392 PEOPLE. HEARTLAND REPRESENTATIVES APPEARED IN PRINT OR ONLINE 4,374 TIMES, REACHING A PRINT AUDIENCE OF MORE THAN 102.5 MILLION READERS. WE PRODUCED 238 PODCASTS REACHING A TOTAL AUDIENCE OF 1.4 MILLION LISTENERS. ) (Revenue $ 836 , 146 including grants of $ 40,105 4c (Code ) (Expenses $ GOVERNMENT RELATIONS - PUBLICATIONS AND EVENTS GEARED TOWARD EDUCATING AND INFORMING LOCAL, STATE, AND NATIONAL ELECTED OFFICIALS ABOUT PUBLIC POLICY ISSUES. HEARTLAND EXHIBITED AT CONFERENCES SPONSORED BY THE AMERICAN LEGISLATIVE EXCHANGE COUNCIL AND NATIONAL CONFERENCE OF STATE LEGISLATURES AND TESTIFIED 18 TIMES BEFORE LEGISLATIVE COMMITTEES IN 11 STATES. IT PRODUCED AND DISTRIBUTED 134 RESEARCH & COMMENTARIES. 4d Other program services ( Describe in Schedule O ) including grants of $ (Expenses $ 4,815,796 4e Total program service expenses ^ DAA ) (Revenue $ ) _Form_990 (2015 ) _ "--- 06/20/2(16 8 03 AM l Form99b(e015) THE HEARTLAND INSTITUTE Part IV Checklist of Req uired Schedules 36-3309812 Page 3 Yes Is the organization described in section 501 (c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule A Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office's If "Yes," complete Schedule C, Part I Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) 1 2 3 4 5 1 2 No X X 3 X election in effect during the tax year? If "Yes," complete Schedule C, Part II Is the organization a section 501 (c)(4), 501 (c)(5), or 501 (c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19" If "Yes," complete Schedule C, 4 Part III 5 X 6 X 7 X 8 X 9 X 10 X X Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If 6 "Yes," complete Schedule D, Part I Did the organization receive or hold a conservation easement, including easements to preserve open space, the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II Did the organization maintain collections of works of art, historical treasures, or other similar assets' If "Yes," complete Schedule D, Part III Did the organization report an amount in Part X, line 21, for escrow or custodial account liability, serve as a custodian for amounts not listed in Part X, or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IV Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi-endowments' If "Yes," complete Schedule D, Part V If the organization's answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, 7 8 9 10 11 a b c d e f 12a b 13 14a b 15 16 17 18 19 VII, VIII, IX, or X as applicable Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes," complete Schedule D, Part VI Did the organization report an amount for investments-other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16' If "Yes," complete Schedule D, Part VII Did the organization report an amount for investments-program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets 11a X 11b X 11c X reported in Part X, line 16? If "Yes," complete Schedule D, Part IX Did the organization report an amount for other liabilities in Part X, line 25' If "Yes," complete Schedule D, Part X Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses the organization's liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete 11d 11e X X 11f X Schedule D, Parts XI and XII Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Is the organization a school described in section 170(b)(1)(A)(n)' If "Yes," complete Schedule E Did the organization maintain an office, employees, or agents outside of the United States? Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If "Yes," complete Schedule F, Parts II and IV Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If "Yes," complete Schedule F, Parts III and IV Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e' If "Yes," complete Schedule G, Part I (see instructions) Did the organization report more than $15,000 total of fundraising event gross income and contributions on 12a X Part VIII, lines 1c and 8a' If "Yes," complete Schedule G, Part 11 Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a' If "Yes , " com p lete Schedule G , Part III 12b 13 14a X X X 14b X 15 X 16 X 17 X 18 19 X X Form 990 (2015) DAA 06/20/2Q16 8 03 AM t5orm gab (Q015) THE HEARTLAND INSTITUTE Checklist of Req uired Sc hedules (continued) Part IV -3309812 Yes 20a b 21 22 23 24a b c d 25a b 26 27 28 a b c 29 30 31 32 33 34 35a b 36 37 38 No X Did the organization operate one or more hospital facilities' If "Yes," complete Schedule H If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic government on Part IX, column (A), line 1? If "Yes," complete Schedule I, Parts I and II Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on 20a 20b 21 X Part IX, column (A), line 2' If "Yes," complete Schedule I, Parts I and III Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002' If "Yes," answer lines 24b through 24d and complete Schedule K If "No," go to line 25a Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax-exempt bonds' Did the organization act as an "on behalf of issuer for bonds outstanding at any time during the year? Section 501(c )( 3), 501 ( c)(4), and 501 ( c)(29) organizations . Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ' 22 X 23 X 24a 24b X 24c 24d 25a X If "Yes," complete Schedule L, Part I Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons' If "Yes," complete Schedule L, Part 11 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete 25b X 26 X 27 X 28a X Schedule L, Part IV An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N, 28b X 30 X Part l Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets' If "Yes," complete Schedule N, Part II Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301 7701-2 and 301 7701-3' If "Yes," complete Schedule R, Part I Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Parts II, 111, 31 X 32 X 33 X or IV, and Part V, line 1 Did the organization have a controlled entity within the meaning of section 512(b)(13)' If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)' If "Yes," complete Schedule R, Part V, line 2 Section 501(c )( 3) organizations . Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2 Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, 34 35a X X 36 X Part VI Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 11 b and 19? Note. All Form 990 filers are required to complete Schedule 0 37 X 28c 29 X X 35b 38 X Form 990 (2015) DAA 06/20/2Q16 8 03 AM 36-3309812 l .5orm 996 (2015) THE HEARTLAND INSTITUTE Part V Statements Regarding Other IRS Filings and Tax Compliance Page 5 ❑ Check if Schedule 0 contains a response or note to any line in this Part V Yes 1a b c 2a b 3a b 4a b 5a b c 6a b 7 a b c d e f g h 8 9 a b 10 a b 11 a b 12a b 13 a b c 14a b DAA Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable Enter the number of Forms W-2G included in line 1 a Enter -0- if not applicable Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? 1a lb Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax 35 2a Statements, filed for the calendar year ending with or within the year covered by this return If at least one is reported on line 2a, did the organization file all required federal employment tax returns? Note . If the sum of lines 1 a and 2a is greater than 250, you may be required to e-file (see instructions) Did the organization have unrelated business gross income of $1,000 or more during the year if "Yes," has it filed a Form 990-T for this year? If "No" to line 3b, provide an explanation in Schedule 0 At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)' If "Yes," enter the name of the foreign country ^ See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR) Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? If "Yes" to line 5a or 5b, did the organization file Form 8886-T? Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions'? If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible? Organizations that may receive deductible contributions under section 170(c). Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor? If "Yes," did the organization notify the donor of the value of the goods or services provided? Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282? 17d If "Yes," indicate the number of Forms 8282 filed during the year Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C' Sponsoring organizations maintaining donor advised funds . Did a donor advised fund maintained by the sponsoring organization have excess business holdings at any time during the year? Sponsoring organizations maintaining donor advised funds. Did the sponsoring organization make any taxable distributions under section 4966? Did the sponsoring organization make a distribution to a donor, donor advisor, or related person? Section 501(c )( 7) organizations. Enter Initiation fees and capital contributions included on Part VIII, line 12 Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities Section 501(c )( 12) organizations. Enter Gross income from members or shareholders Gross income from other sources (Do not net amounts due or paid to other sources No 49 0 1c X 2b X 3a 3b X X 4a X 5a 5b 5c X X 6a X 6b 7a 7b 7c 7e 7f 7 7h 8 9a 9b 10a 10b 11a 11b against amounts due or received from them ) Section 4947( a)(1) non -exempt charitable trusts . Is the organization filing Form 990 in lieu of Form 1041 112b If "Yes," enter the amount of tax-exempt interest received or accrued during the year Section 501(c )( 29) qualified nonprofit health insurance issuers. Is the organization licensed to issue qualified health plans in more than one state? Note . See the instructions for additional information the organization must report on Schedule 0 Enter the amount of reserves the organization is required to maintain by the states in which 13b the organization is licensed to issue qualified health plans 13c Enter the amount of reserves on hand Did the organization receive any payments for indoor tanning services during the tax year? If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule 0 1 14a I I X Form 990 (2015) 06/20/2,016 8 03 AM 36-3309812 l F.orm 996(0115) THE HEARTLAND INSTITUTE Page 6 Governance , Management , and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" Part V1 response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule 0 See instructions Check if Schedule 0 contains a response or note to any line in this Part VI n Section A . Governin g Bod y and Mana g ement Yes 1a b 2 3 4 5 6 7a b 8 a b 9 Enter the number of voting members of the governing body at the end of the tax year If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule 0 Enter the number of voting members included in line 1a, above, who are independent Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors, or trustees, or key employees to a management company or other person's Did the organization make any significant changes to its governing documents since the prior Form 990 was filed' Did the organization become aware during the year of a significant diversion of the organization's assets? Did the organization have members or stockholders? Did the organization have members, stockholders, or other persons who had the power to elect or appoint 1a 10 lb 9 2 No X 3 4 5 6 X X X X one or more members of the governing body? Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following 7a X 7b X The governing body? Each committee with authority to act on behalf of the governing body? Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the org anization's mailin g address? If "Yes," p rovide the names and addresses in Schedule 0 8a 8b X X 9 X Section B . Policies ( This Section B re q uests information about policies not req uired by the Internal Revenue Code Yes 10a b 11a b 12a b c 13 14 15 a b 16a b Did the organization have local chapters, branches, or affiliates? If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? Describe in Schedule 0 the process, if any, used by the organization to review this Form 990 Did the organization have a written conflict of interest policy? If "No," go to line 13 Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," 10a describe in Schedule 0 how this was done Did the organization have a written whistleblower policy? Did the organization have a written document retention and destruction policy? Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? The organization's CEO, Executive Director, or top management official Other officers or key employees of the organization If "Yes" to line 15a or 15b, describe the process in Schedule 0 (see instructions) Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization's exempt status with respect to such arrangements? 10b Ila X 12a 12b X X 12c 13 14 X X X 15a 15b X X 16a No X X 16b Section C . Disclosure IL List the states with which a copy of this Form 990 is required to be filed ^ Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990 -T (Section 501(c)(3)s only) available for public inspection Indicate how you made these available Check all that apply Another's website AX Upon request XX Own website 1-1 Other (explain in Schedule 0) Describe in Schedule 0 whether (and if so, how) the organization made its governing documents , conflict of interest policy, and 19 financial statements available to the public during the tax year State the name , address , and telephone number of the person who possesses the organization ' s books and records ^ 20 3939 NORTH WILKE ROAD THE HEARTLAND INSTITUTE IL 60004 ARLINGTON HEIGHTS 17 18 DAA 312-377-4000 Form 990 (2015) 06/20/2016 8 03 AM 36-3309812 Page 7 1 F.orm 99b (2015) THE HEARTLAND INSTITUTE Compensation of Officers, Directors, Trustees , Key Employees , Highest Compensated Employees, and Part VII Independent Contractors ❑ Check if Schedule 0 contains a response or note to any line in this Part VII Officers, Directors , Trustees , Key Employees , and Highest Compensated Employees Section A. 1a Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year • List all of the organization' s current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) if no compensation was paid • List all of the organization' s current key employees, if any See instructions for definition of "key employee " • List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations • List all of the organization' s former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations • List all of the organization' s former directors or trustees that received, in the capacity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations List persons in the following order individual trustees or directors, institutional trustees, officers, key employees, highest compensated employees, and former such persons ❑ Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee (A) Name and Title (B) Average hours per week (list any hours for related organizations b e l ow d o tt e d line) ° ° m o (C) Position (do not check more than one box, unless person is both an officer and a director/trustee) E _ 0° . fD - H m m g iu I n 2 2 m N (D) Reportable compensation from the organiza ti on (W-2/1099-MISC) (E) Reportable compensation from related organizations W-2/1099-MISC) ( (F) Estimated amount of other compensation f rom th e organization and related organizations m d (1)JOSEPH BAST 40.00 PRESIDENT/CEO 184 559 0 50 , 000 X 0 0 0 X 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 106 , 383 0 0.00 X 1 . 00 0.00 X (2)WILLIAM ARMISTFJ LD DIRECTOR (3) ROBERT BUFORD 1.00 DIRECTOR 0.00 (4) JERE FABICK 1 . 00 ASSISTANT SECRETARY 0.00 X X (s)DAN HALES 1 . 00 DIRECTOR 0.00 X (6) JAMES JOHNSTON 2.00 TREASURER 0.00 X X (7) CHUCK LANG 2.00 DIRECTOR 0.00 X (8) JEFFREY MADDEN 1.00 SECRETARY 0.00 X X (9) BRIAN SINGER 1 . 00 DIRECTOR 0.00 X 2.00 0.00 X (1o)HERBERT WALBERG CHAIRMAN X (11)DIANE BAST 40.00 EXECUTIVE EDITOR DAA 0.00 X 0 Form 99 0 (2015) 06/20/2016 8 03 AM 36-3309812 Form 99 02015) THE HEARTLAND INSTITUTE Section A . Officers , Directors , Trustees , Key Employees, and Highest Compensated Employees (continued) '.,part Vil , Page 8 (A) (B) (C) (D) (E) (F) Name and title Average hours per week (list any hours for related organizations below dotted line) Position (do not check more than one box, unless person is both an officer and a director/trustee) _ 7, M = T n . a m o ^? 3 FL E_ v 5 o m Reportable compensation from the organization (W-2/1099-MISC) Reportable compensation from related organizations ( W - 211099 - MISC ) Estimated amount of other compensation from the organization and related organizations • 1 2 °- A a N N (12) d JAMES TAYLOR 40.00 VICE (13) PRESIDENT 0.00 VICE PRESIDENT (14) X 106 , 258 0 0 X 104 , 169 0 0 X 103 , 282 0 0 LATREECE VAK NSCOTT 40.00 0.00 SAMUEL KARNI K 40.00 RESEARCH DIRECTOR 0.00 ^ lb Sub-total c d 2 604 , 651 50 , 000 ^ Total from continuation sheets to Part VII, Section A 604 , 651 ^ Total (add lines lb and 1c) Total number of individuals (including but not limited to those listed above) who received more than $100,000 of re p ortable com pensation from the org anization 10- 5 50 000 Yes 3 4 5 Did the organization list any former officer, director, or trustee, key employee, or highest compensated employee on line 1 a'? If "Yes," complete Schedule J for such individual For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,0007 If "Yes," complete Schedule J for such individual Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the org anization'? If "Yes , " com p lete Schedule J for such p erson 3 4 5 No X X X Section B . Independent Contractors Complete this table for your five highest compensated independent contractors that received more than $100,000 of I comDensatlon from the oroanlzatlon Report compensation for the calendar year ending with or within the organization's tax year Name and busisiness address 2 DAA Total number of independent contractors (including but not limited to those listed above) who received m ore than $100 , 000 of com pensation from the org anization 0. ( B) Descri p tion of services Com (ensabon 0 ___ _ _-=-Form 990 (2015) 06/20/2016 8 03 AM Part Vttl 015) THE HEARTLAND INSTITUTE 36-3309812 Statement of Revenue Check If Schedule 0 contains a response or note to any line in this Part VIII (A) Total revenue Q 1a b C d vi E cN Federated campaigns Membership dues Fundraising events (B) Related or exempt function revenue n (C) Unrelated business revenue (D) Revenue excluded from tax under sections 512-514 1a Related organizations 11b 1c 1d e Government grants (contributions) 1e f All other coptributions, gifts, grants, and similar amounts not included above SI co C"D g Noncash contributions included in lines 1a-1f L)M h Total. Add lines la-if if 4,570,630 37,323. $ ^ 4,570,630 Busn Code j 2a 40 r 105 40, 105 X b PREMIUMS 7,856 7,856 C PUBLICATIONS/RESEARCH 6, 600 6, 600 d e E o a OTHER EVENTS f All other program service revenue Total. Add lines 2a-2f Investment income (including dividends, interest, 3 and other similar amounts) ^ 54 , 561 ^ 2 , 360 2 , 360 -14 , 340 -14 , 340 Income from investment of tax-exempt bond proceeds ^ ^ Royalties 4 5 (ii) Personal (i) Real 6a Gross rents b Less rental exps C Rental inc or (loss) d Net rental inco me or ( loss ) 7a Gross amount from ^ (,) Securities (n) Other sales of assets other than inventory b Less cost or other 14,340 -14 , 340 e, basis & sales exps c Gain or (loss) d Net gain or (loss) 8a Gross income from fundraising events (not including $ of contributions reported on line 1c). a See Part IV, line 18 0 285,900 b b Less direct expenses ^ c Net income or (loss) from fundralsin events 9a Gross income from gaming activities a See Part IV, line 19 b b Less direct expenses c Net income or (loss) from gaming activities 10a Gross sales of inventory, less returns and allowances 11a ADVERTISING INCOME 61,727 -224,173 ^ a b b Less cost of goods sold c Net income or loss from sales of invento ry Miscellaneous Revenue ^ 11111'. Busn Code 51111 9,137 9,137 b c d All other revenue e Total. Add lines 11a-11d 12 Total revenue . See instructions ^ ^ 9, 137 4,398,175 1 42,581 1 9,137 1 0 Form 990 (2015) DAA 06/20/2016 8 03 AM 'Form 99Ot(2015) THE HEARTLAND 36-3309812 INSTITUTE Statement of Functional Expenses Part IX Section 501 ( c)(3) and 501 (c)(4) organizations must complete all columns All other organizations must complete column (A) Check If Schedule n contains a response or note to any line in this Part IX Do not include amounts reported on lines 6b , (B) Program service expenses ( A) Total expenses 7b, 8b , 9b, and 10b of Part VIII . n (c) Management and general expenses (D) Fundraising expenses Grants and other assistance to domestic organizations 1 and domestic governments See Part IV, line 21 Grants and other assistance to domestic individuals See Part IV , line 22 Grants and other assistance to foreign organizations , foreign governments , and foreign 2 3 individuals See Part IV, lines 15 and 16 Benefits paid to or for members Compensation of current officers , directors, trustees , and key employees Compensation not included above, to disqualified persons (as defined under section 4958 (f)(1)) and persons described in section 4958(c)(3)(B) 4 5 6 Other salaries and wages Pension plan accruals and contributions (include section 401(k) and 403 ( b) employer contributions) Other employee benefits 7 8 9 Payroll taxes 10 11 1 , 637 , 912 1 , 311, 1 6-8-7 291 , 319 34 , 906 181 , 385 121 , 596 29 , 915 29 , 874 119 , 965 93 , 215 16 , 866 9 , 884 85 , 406 53 , 814 18 , 401 13 , 191 , 683 18 , 375 539 3 , 697 1 , 650 1 , 182 5 , 898 Fees for services (non-employees) a Management b Legal c Accounting d Lobbying e Professional fundraising services See Part IV, line 17 f Investment management fees g Other ( If line 11g amount exceeds 10% of line 25, column (A) amount , list line 11g expenses on Schedule 0) 12 13 Advertising and promotion Office expenses 14 Information technology 15 Royalties 16 17 Occupancy Travel 18 Payments of travel or entertainment expenses for any federal , state , or local public officials Conferences , conventions , and meetings Interest Payments to affiliates Depreciation , depletion , and amortization 19 20 21 22 23 24 Insurance Other expenses Itemize expenses not covered above ( List miscellaneous expenses in line 24e If line 24e amount exceeds 10 % of line 25 , column (A) amount , list line 24e expenses on Schedule 0 PRINTING AND PUBLICATIONS a POSTAGE AND SHIPPING b c d TELEPHONE PROJECT MANAGEMENT e All other expenses 25 Total functional ex p enses . Add lines I throu g h 24e 26 Joint costs . Complete this line only if the organization reported in column ( B) joint costs from a combined educational campaign and fundraising solicitation Check here ^ r] if followin g SOP 98-2 (ASC 958-720 ) DAA - 897 164 29 254 , 708 , 537 , 047 , 605 877 162 19 254 , 816 , 452 , 605 413 , 472 372 , 080 248 , 082 290 , 080 82 , 695 5 , 921 82 , 695 76 , 079 102 431 , 979 1 , 412 3 , 711 28 , 195 16 , 917 5 , 639 5 , 639 452 , 670 439 , 177 338 , 348 29 , 153 6 , 051 121 , 141 4 , 815 , 796 437 445 49 39 162 5 770 , , , , , 376 412 262 232 366 1 2 9 6 , , , , 170 634 455 051 12 , 392 506 , 481 12 104 10 27 28 448 , , , , , , 323 394 804 160 699 089 Form V VU (2015) 06120/2Q16 8 03 AM THE HEARTLAND 'i Form 99b (2015) Balance Sheet Part X 36-3309812 INSTITUTE Page 11 Check if Schedule 0 contains a response or note to any line in this Part X n (A) Beginning of year 3 4 Accounts receivable, net 5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees Complete Part II of Schedule L Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501 (c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L 6 7 a o 18 19 20 21 22 26 Z 60 , 006- 16 , 956 6 215 , 931 7 8 9 699 , 42 1 10c 377 , 552 14 15 397 , 765 2 , 985 , 124 16 1 , 799 , 732 64 , 340 17 290 , 852 18 19 20 21 22 23 24 parties, and other liabilities not included on lines 17-24) Complete Part X ofScheduleD Total liabilities. Add lines 17 throu g h 25 and Organizations that follow SFAS 117 (ASC 958), check here ^ complete lines 27 through 29, and lines 33 and 34. Unrestricted net assets 1 , 040 , 373 11 12 13 Grants payable Deferred revenue Tax-exempt bond liabilities Escrow or custodial account liability Complete Part IV of Schedule D Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified persons Complete Part II of Schedule L Secured mortgages and notes payable to unrelated third parties Unsecured notes and loans payable to unrelated third parties Other liabilities (including federal income tax, payables to related third Total net assets or fund balances Total liabilities and net assets/fund balances 4 1 , 256 , 304 Temporarily restricted net assets Permanently restricted net assets Organizations that do not follow SFAS 117 (ASC 958), check here ^ complete lines 30 through 34. Capital stock or trust principal, or current funds Paid-in or capital surplus, or land, building, or equipment fund Retained earnings, endowment, accumulated income, or other funds 30 31 32 33 34 284 , 638 5 18 , 719 28 29 ° y 175 , 000 27 L 1 2 3 Notes and loans receivable, net Inventories for sale or use 8 9 Prepaid expenses and deferred charges 10a Land, buildings, and equipment cost or 10a other basis Complete Part VI of Schedule D 10b depreciation b Less accumulated securities traded Investments-publicly 11 12 Investments-other securities See Part IV, line 11 13 Investments-program-related See Part IV, line 11 14 Intangible assets 15 Other assets See Part IV, line 11 16 Total assets. Add lines 1 throu g h 15 ( must e q ual line 34 ) 17 Accounts payable and accrued expenses 23 24 25 M 1 , 714 , 432 Cash-non-interest bearing Savings and temporary cash investments Pledges and grants receivable, net 1 2 (B) End of year 487 , 478 25 447 , 765 551 , 818 26 738 , 617 2 , 302 , 731 27 1 , 030 , 540 130 , 575 28 30 , 575 29 and 30 31 32 2 , 433 , 306 2 , 985 , 124 33 34 1 , 061 , 115 1 , 799 , 732 Form 990 (2015) DAA 06/20/x016 8 03 AM , Form 996 (2015) THE HEARTLAND INSTITUTE 36-3309812 1 2 3 4 5 6 7 8 9 Reconciliation of Net Assets Check if Schedule 0 contains a res p onse or note to an y line in this Part XI Total revenue (must equal Part VIII, column (A), line 12) Page 12 Part Xa Total expenses (must equal Part IX, column (A), line 25) Revenue less expenses Subtract line 2 from line 1 Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) Net unrealized gains (losses) on investments Donated services and use of facilities Investment expenses Prior period adjustments Other changes in net assets or fund balances (explain in Schedule 0) 1 4 , 398 , 175 2 5 , 770 , 366 -1 , 372 , 191 2 , 433 , 306 3 4 5 6 7 8 9 10 Net assets or fund balances at end of year Combine lines 3 through 9 (must equal Part X, line 33, column ( B )) Financial Statements and Reporting Part XIi Check if Schedule 0 contains a res p onse or note to an y line in this Part XII 10 1 , 061 , 115 ❑ Yes Accrual ❑ Other Accounting method used to prepare the Form 990 ❑ Cash from prior year or checked "Other," explain in method of accounting a If the organization changed its Schedule 0 2a Were the organization's financial statements compiled or reviewed by an independent accountant? If "Yes," check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both ❑ Both consolidated and separate basis ❑ Consolidated basis ❑ Separate basis b Were the organization's financial statements audited by an independent accountant? If "Yes," check a box below to indicate whether the financial statements for the year were audited on a No 1 X 2b I X separate basis, consolidated basis, or both ❑ Both consolidated and separate basis Separate basis ❑ Consolidated basis c If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0 3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-1337 b If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits. explain why in Schedule 0 and describe any steps taken to underqo such audits X 3a I 3b Form DAA I X 990 (2015) 06/20/2016 8 03 AM SCHEDULE A (Form 990 or990-EZ) Department of the Treasury Internal Revenue Service Public Charity Status and Public Support OMB No 1545-0047 Complete if the organization is a section 501(c)(3) organization or a section 4947( a)(1) nonexempt charitable trust. ^ Attach to Form 990 or Form 990-EZ. Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www Name of the organization 2015 open to Public Employer identification number 36-3309812 THE HEARTLAND INSTITUTE Reason for Public Charity Status ( All organizations must complete this part ) See instructions Part I The organization is not a private foundation because it is (For lines 1 through 11, check only one box ) 1 2 3 4 5 El 6 7 X 8 9 e 10 11 a a b c d e f g A church , convention of churches , or association of churches described in section 170 ( b)(1)(A)(i). A school described in section 170(b)(1)(A)(ii). (Attach Schedule E (Form 990 or 990-EZ) ) A hospital or a cooperative hospital service organization described in section 170 ( b)(1)(A)(iii). A medical research organization operated in conjunction with a hospital described in section 170 ( b)(1)(A)(iii). Enter the hospital's name, city, and state An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170 ( b)(1)(A)(iv ). ( Complete Part II ) A federal , state, or local government or governmental unit described in section 170 ( b)(1)(A)(v). An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170 ( b)(1)(A)(vi ). (Complete Part II ) A community trust described in section 170(b)(1)(A)(vi ). (Complete Part II ) An organization that normally receives ( 1) more than 33 1/3% of its support from contributions , membership fees , and gross receipts from activities related to its exempt functions -subject to certain exceptions, and (2) no more than 33 1/3% of its support from gross investment income and unrelated business taxable income ( less section 511 tax) from businesses acquired by the organization after June 30, 1975 See section 509(a)(2). (Complete Part III ) An organization organized and operated exclusively to test for public safety See section 509(a)(4). An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a )( 1) or section 509(a)(2). See section 509(a )(3). Check the box in lines 11a through 11d that describes the type of supporting organization and complete lines Ile, 11f, and 11g LI Type I. A supporting organization operated , supervised , or controlled by its supported organization(s), typically by giving the supported organization ( s) the power to regularly appoint or elect a majority of the directors or trustees of the supporting organization You must complete Part IV , Sections A and B. 1-1 Type II. A supporting organization supervised or controlled in connection with its supported organization ( s), by having control or management of the supporting organization vested in the same persons that control or manage the supported organization ( s) You must complete Part IV, Sections A and C. r] Type III functionally integrated . A supporting organization operated in connection with, and functionally integrated with, its supported organization ( s) (see instructions ) You must complete Part IV, Sections A, D, and E. El Type III non-functionally integrated . A supporting organization operated in connection with its supported organization(s) that is not functionally integrated The organization generally must satisfy a distribution requirement and an attentiveness requirement ( see instructions ) You must complete Part IV , Sections A and D, and Part V. Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type III functionally integrated , or Type III non-functionally integrated supporting organization Enter the number of supported organizations Provide the following information about the supported organization(s) (i) Name of supported organization (ii) EIN (ni) Type of organization (described on fines 1-9 above (see instructions)) (iv) Is the organization listed in your governing (v) Amount of monetary support (see document) instructions) Yes (vi) Amount of other support (see instructions) No (A) (B) (C) (D) (E) Total For Paperwork Reduction Act Notice , see the Instructions for Form 990 or 990-EZ. DAA Schedule A (Form 990 or 990-EZ) 2015 06/20/2016 8 03 AM 36-3309812 ''Schedule'A-(Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE Support Schedule for Organizations Described in Sections 170(b )( 1)(A)(iv) and 170 (b)(1)(A)(vi) Part If Page 2 (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III If the organization fails to qualify under the tests listed below, please complete Part III ) Section A . Public Sunnort Calendar year (or fiscal year beginning in ) ^ (a) 2011 (b) 2012 (c) 2013 (d) 2014 (e) 2015 (f) Total Gifts, grants, contributions, and membership fees received (Do not 1 include any "unusual grants") 2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf 3 The value of services or facilities furnished by a governmental unit to the organization without charge 4 Total. Add lines 1 through 3 5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount 4,538,537 5,202,679 4,805,449 6,890,995 4,533,307 25,970,967 4 538 537 5 , 202 , 679 4 , 805 , 449 6 , 890 , 995 4 , 533 , 307 25 , 970 , 967 shown on line 11, column (f) 16 , 266 , 702 9,704 , 265 Public su pp ort. Subtract line 5 from line 4 6 Section B . Total Support Calendar year ( or fiscal year beginning in) ^ 7 Amounts from line 4 8 Gross income from interest, dividends, (a) 2011 (b) 2012 (c) 2013 (d) 2014 (e) 2015 (f) Total 4 , 538 , 537 5 , 202 , 679 4 805 449 6 890 995 4 533 307 25 , 970 , 967 1 , 681 6 , 997 2 , 932 947 2 f 360 14 , 917 173, 172 202 , 017 44 , 067 163 , 222 125 , 425 payments received on securities loans, rents, royalties and income from similar sources Net income from unrelated business 9 activities, whether or not the business is regularly carried on Other income Do not include gain or loss from the sale of capital assets 10 11 (Explain in Part VI) Total support . Add lines 7 through 10 12 Gross receipts from related activities , etc (see instructions) 13 First five years . If the Form 990 is for the organization ' s first , second , third, fourth , or fifth tax year as a section 501(c)(3) 12 organization , check this box and stop here Section C. Computation of Public Suonort Percentaae 14 15 16a b 17a b 18 707,903 26 693 787 315 , 591 ^ I Public support percentage for 2015 (line 6, column (f) divided by line 11 , column (f)) Public support percentage from 2014 Schedule A, Part II , line 14 33 1 /3% support test-2015. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more , check this box and stop here . The organization qualifies as a publicly supported organization 33 1 /3% support test-2014 . If the organization did not check a box on line 13 or 16a , and line 15 is 33 1/3% or more, check this box and stop here . The organization qualifies as a publicly supported organization 10 %-facts-and -circumstances test-2015 . If the organization did not check a box on line 13, 16a , or 16b , and line 14 is 10% or more , and if the organization meets the "facts - and-circumstances" test, check this box and stop here . Explain in Part VI how the organization meets the "facts- and-circumstances" test The organization qualifies as a publicly supported 14 15 36.35% 37.17 % ^ ^ ❑ organization 10%-facts -and-circumstances test-2014 . If the organization did not check a box on line 13, 16a, 16b, or 17a , and line 15 is 10 % or more , and if the organization meets the "facts - and-circumstances" test, check this box and stop here. Explain in Part VI how the organization meets the "facts-and-circumstances " test The organization qualifies as a publicly supported organization Private foundation . If the organization did not check a box on line 13, 16a , 16b, 17a, or 17b , check this box and see ^ ❑ instructions ^ n ^ ❑ Schedule A (Form 990 or 990-EZ) 2015 DAA 06/20/2016 8 03 AM 1 11 ' Schedule F (Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE Part 111 Support Schedule for Organizations Described in Section 509(a)(2) 36-3309812 Page 3 (Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II ) Section A . Public Support Calendar year ( or fiscal year beginning in) ^ (a) 2011 (b) 2012 (c) 2013 (d) 2014 (e) 2015 (f) Total (a) 2011 (b) 2012 (c) 2013 (d) 2014 (e) 2015 (f) Total Gifts, grants, contributions, and membership fees received (Do not include any "unusual grants ") Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose 1 2 3 Gross receipts from activities that are not an unrelated trade or business under section 513 4 Tax revenues levied for the organization 's benefit and either paid to or expended on its behalf 5 The value of services or facilities furnished by a governmental unit to the organization without charge 6 Total . Add lines 1 through 5 7a Amounts included on lines 1, 2, and 3 received from disqualified persons b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1 % of the amount on line 13 for the year Add lines 7a and 7b Public support . (Subtract line 7c from line 6 ) c 8 Section B . Total Support Calendar year (or fiscal year beginning in) ^ Amounts from line 6 9 10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 c Add lines 10a and 10b 11 Net income from unrelated business activities not included in line 10b , whether or not the business is regularly carried on 12 13 Other income Do not include gain or loss from the sale of capital assets (Explain in Part VI ) Total support . (Add lines 9 , 1Oc, 11, 14 and 12) First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) ^ ❑ organization, check this box and stop here Section C. Com p utation of Public Su p port Percenta g e Public support percentage for 2015 (line 8, column (f) divided by line 13, column (f)) Public su pp ort p ercenta g e from 2014 Schedule A , Part III, line 15 15 16 15 % 16 Section D. Com p utation of Investment Income Percenta g e 17 18 19a b 20 17 Investment income percentage for 2015 (line 10c, column (f) divided by line 13, column (f)) 18 Investment income percentage from 2014 Schedule A, Part III, line 17 33 1/3% support tests-2015. If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization 33 1/3% support tests-2014. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3%, and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization ...... ............ . Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions % ^ ❑ ^ ^ H Schedule A (Form 990 or 990-EZ) 2015 DAA 06/20/2016 8 03 AM ' Schedule A (Form 990 or 990-EZ) 2015 THE HEARTLAND Supporting Organizations Part IV INSTITUTE 36-3309812 Page 4 (Complete only if you checked a box in line 11 on Part I If you checked 11a of Part I, complete Sections A and B If you checked 11 b of Part I, complete Sections A and C. If you checked 11c of Part I, complete Sections A, D, and E If you checked 11d of Part I, complete Sections A and D, and complete Part V ) Section A. All Supporting Organizations Yes 1 2 3a b c 4a b c 5a b c 6 7 8 9a b c 10a b Are all of the organization's supported organizations listed by name in the organization's governing documents? If "No," describe in Part VI how the supported organizations are designated If designated by class or purpose, describe the designation If historic and continuing relationship, explain Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)7 If "Yes," explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2) Did the organization have a supported organization described in section 501 (c)(4), (5), or (6)? If "Yes," answer (b) and (c) below Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)7 If "Yes," describe in Part VI when and how the organization made the determination Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes? If "Yes," explain in Part VI what controls the organization put in place to ensure such use Was any supported organization not organized in the United States ("foreign supported organization")? If "Yes," and if you checked 11a or 11b in Part I, answer (b) and (c) below Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If "Yes," describe in Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations Did the organization support any foreign supported organization that does not have an IRS determination under sections 501 (c)(3) and 509(a)(1) or (2)7 If "Yes," explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) 1 2 3a 3b 3c 4a 4b purposes Did the organization add, substitute, or remove any supported organizations during the tax year? If "Yes," answer (b) and (c) below (if applicable) Also, provide detail in Part VI, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed, (ii) the reasons for each such action, (iii) the authority under the organization's organizing document authorizing such action, and (iv) how the action was accomplished (such as by amendment to the organizing document) Type I or Type II only. Was any added or substituted supported organization part of a class already 4c designated in the organization's organizing document? Substitutions only. Was the substitution the result of an event beyond the organization's control? Did the organization provide support (whether in the form of grants or the provision of services or facilities) to anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization's supported organizations? If "Yes," provide detail in Part VI. Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If "Yes," complete Part I of Schedule L (Form 990 or 990-EZ) Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 77 If "Yes," complete Part I of Schedule L (Form 990 or 990-EZ) Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))7 If "Yes," provide detail in Part VI. Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If "Yes," provide detail in Part VI. Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If "Yes," provide detail in Part VI. Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated 5b 5c supporting organizations)? If "Yes," answer 10b below Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to amzation had excess business holden 5a 6 7 8 9a 9b 9c 10a 10b Schedule A (Form 990 or 990-EZ) 2015 DAA 06/20/2Q16 8 03 AM Sahedul1e'A (Form 990 or 990-EZ) 2015 THE HEARTLAND Supporting Organizations (continued) Part IV INSTITUTE 36-3309812 Page 5 No 11 a Has the organization accepted a gift or contribution from any of the following persons' A person who directly or indirectly controls, either alone or together with persons described in (b) and (c) 11a 11b 11c below, the governing body of a supported organization? b A family member of a person described in (a) above? c A 35% controlled entity of a person described in ( a ) orb above' If "Yes" to a, b, or c, p rovide detail in Part VI. Section B . Type I Supporting Organizations No Did the directors , trustees , or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization ' s directors or trustees at all times during the tax year? If " No," describe in Part VI how the supported organization ( s) effectively operated , supervised, or controlled the organization ' s activities If the organization had more than one supported organization, describe how the powers to appoint and /or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions , if any , applied to such powers during the tax year Did the organization operate for the benefit of any supported organization other than the supported organization ( s) that operated , supervised , or controlled the supporting organization? If "Yes ," explain in Part VI how providing such benefit carried out the purposes of the supported organization (s) that operated, suoervised . or controlled the suooortma organization Section C. Type II Supporting Organizations No Were a majority of the organization's directors or trustees during the tax year also a majority of the directors or trustees of each of the organization's supported organization(s) If "No," describe in Part VI how control or management of the supporting organization was vested in the same persons that controlled or managed Section D. All Type III Supporting Organizations No Did the organization provide to each of its supported organizations, by the last day of the fifth month of the organization's tax year, (i) a written notice describing the type and amount of support provided during the prior tax year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the organization's governing documents in effect on the date of notification, to the extent not previously provided? Were any of the organization's officers, directors, or trustees either (i) appointed or elected by the supported organization(s) or (ii) serving on the governing body of a supported organization? If "No," explain in Part VI how the organization maintained a close and continuous working relationship with the supported organization(s) By reason of the relationship described in (2), did the organization's supported organizations have a significant voice in the organization's investment policies and in directing the use of the organization's income or assets at all times during the tax year? If "Yes," describe in Part VI the role the organization's supported organizations played in this regard Section E . Tvpe III Functionally -Integrated Supporting Organizations 1 a b c 3 Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions) The organization satisfied the Activities Test Complete line 2 below The organization is the parent of each of its supported organizations Complete line 3 below The organization supported a governmental entity Describe in Part VI how you supported a government entity (see instructions) Activities Test Answer ( a) and (b) below. Did substantially all of the organization's activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes," then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities Did the activities described in (a) constitute activities that, but for the organization's involvement, one or more of the organization's supported organization(s) would have been engaged in? If "Yes," explain in Part VI the reasons for the organization's position that its supported organization(s) would have engaged in these DAA I No activities but for the organization's involvement Parent of Supported Organizations Answer ( a) and (b) below. Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations? Provide details in Part VI. Did the organization exercise a substantial degree of direction over the policies, programs, and activities of each of its suooorte d organizations If "Yes," describe in Part VI the role played by the organization in this regard Schedule A (Form 990 or 990-EZ) 2015 06120/2016 8 03 AM •Schedule A' (Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE Part V Type III Non-Functionally Integrated 509(a )( 3) Supporting Organizations 36-3309812 Page 6 Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov 20, 1970 See instructions. All other Typ e III non-functionall y integ rated su pp ortin g org anizations must com p lete Sections A throu g h E 1 Section A - Adjusted Net Income Net short-term ca p ital g ain Recoveries of p rior- year distributions 3 Other g ross income ( see instructions ) 4 Add lines 1 throu g h 3 5 De p reciation and de p letion Portion of operating expenses paid or incurred for production or 6 collection of gross income or for management, conservation, or for p roduction of income ( see instructions ) maintenance of p ro p erty 1 2 7 8 Other exp enses ( see instructions ) Adjusted Net Income ( subtract lines 5, 6 and 7 from line 4) 4 8 (A) Prior Year (B) Current Year o ptional) 5 6 7 8 1a 1b 1c 1d 2 3 Cash deemed held for exempt use Enter 1-1/2% of line 3 (for greater amount, see instructions ) 5 6 7 (B) Current Year (optional) 1 2 3 4 Section B - Minimum Asset Amount Aggregate fair market value of all non-exempt- use assets (see 1 instructions for short tax year or assets held for p art of year) a Avera g e monthl y value of securities b Avera g e monthl y cash balances c Fair market value of other non-exem pt-use assets d Total ( add lines 1a, 1b and 1c e Discount claimed for blockage or other factors (exp lain in detail in Part VI ) 2 Ac q uisition indebtedness a pp licable to non-exem pt-use assets 3 Subtract line 2 from line 1d (A) Prior Year Net value of non-exem pt-use assets ( subtract line 4 from line 3 ) Multi p ly line 5 by 035 Recoveries of p rior- year distributions Minimum Asset Amount ( add line 7 to line 6 ) 4 5 6 7 8 Section C - Distributable Amount Current Year 1 Adj usted net income for p rior year ( from Section A, line 8, Column A ) 2 Enter 85% of line 1 3 Minimum asset amount for p rior year (from Section B, line 8, Column A) 4 Enter g reater of line 2 or line 3 5 Income tax im p osed in p rior year 5 Distributable Amount . Subtract line 5 from line 4, unless subject to 6 6 emergency temporary reduction (se e instructions ) Check here if the current year is the organization's first as a non-functionally-integrated Type III supporting organization (see 7 instructions) 1 2 3 4 Schedule A ( Form 990 or 990-EZ) 2015 DAA 06/20/2016 8 03 AM 36-3309812 ' 'Schedule A' (Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE Part V Type III Non-Functionally Intearated 509(a )( 3) Supporting Organizations (continued) Section D - Distributions Amounts p aid to su pp orted org anizations to accom p lish exem pt p ur p oses 1 Amounts paid to perform activity that directly furthers exempt purposes of supported 2 org anizations, in excess of income from activity Administrative exp enses p aid to accom p lish exem pt p ur p oses of su pp orted org anizations 3 Amounts p aid to acq uire exem pt-use assets 4 Qualified set-aside amounts (p rior IRS a pp roval re q uired ) 5 Other distributions ( describe in Part VI ) See instructions 6 7 Total annual distributions. Add lines 1 throu g h 6 Distributions to attentive supported organizations to which the organization is responsive 8 Page 7 Current Year (p rovide details in Part VI ) See instructions Distributable amount for 2015 from Section C, line 6 Line 8 amount divided by Line 9 amount 9 10 Section E - Distribution Allocations (see instructions) (i) Excess Distributions (ii) Underdistributions Pre-2015 (iii) Distributable Amount for 2015 Distributable amount for 2015 from Section C, line 6 Underdistributions, if any, for years prior to 2015 reasonable cause re q uired-see instructions ) Excess distributions car ryover, if an y , to 2015 1 2 3 a b c d From 2013 e From 2014 f Total of lines 3a throu g h e A pp lied to underdistributions of p rior years h A pp lied to 2015 distributable amount i Car ryover from 2010 not a pp lied ( see instructions ) Remainder Subtract lines 3 g , 3h, and 3i from 3f Distributions for 2015 from Section 4 D, line 7 $ a App lied to underdistributions of p rior years b A pp lied to 2015 distributable amount c Remainder Subtract lines 4a and 4b from 4 Remaining underdistributions for years prior to 2015, if 5 any Subtract lines 3g and 4a from line 2 (if amount g reater than zero, see instructions ) Remaining underdistributions for 2015 Subtract lines 3h and 4b from line 1 (if amount greater than zero, see 6 instructions ) Excess distributions carryover to 2016. Add lines 3j and 4c Breakdown of line 7 7 8 a b c Excess from 2013 d Excess from 2014 e Excess from 2015 Schedule A (Form 990 or 990-EZ) 2015 DAA 06/2012016 8 03 AM "SChedule A'(Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE 36-330 9812 Page 8 Part VI Supplemental Information . Provide the explanations required by Part II, line 10, Part II, line 17a or 17b, Part Ill, line 12, Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11 a, 11 b, and 11 c, Part IV, Section B, lines 1 and 2, Part IV, Section C, line 1, Part IV, Section D, lines 2 and 3, Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b, Part V, line 1; Part V, Section B, line 1 e, Part V, Section D, lines 5, 6, and 8, and Part V, Section E, lines 2, 5, and 6 Also complete this part for any additional information (See Instructions ) PART II, LINE 10 - OTHER INCOME DETAIL OTHER EVENTS $ 249,604 PREMIUMS $ 51,776 PUBLICATIONS/ RESEARCH $ 24,070 FUNDRAISING INCOME $ 360,038 ADVERTISING INCOME $ 22,415 DAA Schedule A (Form 990 or 990 -EZ) 2015 06/20/2016 8 04 AM Political Campaign and Lobbying Activities SCHEDUC E C (Form 990 or 990-EZ) Department of the Treasury Internal Revenue Service OMB No 1545-0047 For Organizations Exempt From Income Tax Under section 501(c) and section 527 ^ Complete if the organization is described below . ^ Attach to Form 990 or Form 990-EZ . ^ Information about Schedule C (Form 990 or 990-EZ ) and its instructions is at www.irs gov/form990. 2015 _ Open to Pu b1k Inspection If the organization answered "Yes," on Form 990, Part IV , line 3, or Form 990-EZ , Part V, line 46 ( Political Campaign Activities), then • Section 501(c)(3) organizations Complete Parts I-A and B Do not complete Part I-C • Section 501(c) (other than section 501(c)(3)) organizations Complete Parts I-A and C below Do not complete Part I-B • Section 527 organizations Complete Part I-A only If the organization answered "Yes," on Form 990, Part IV , line 4, or Form 990-EZ , Part VI, line 47 (Lobbying Activities), then • Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A Do not complete Part II-B • Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)) Complete Part 11-B Do not complete Part II-A If the organization answered "Yes," on Form 990, Part IV, line 5 (Proxy Tax) (see separate instructions ) or Form 990 -EZ, Part V, line 35c (Proxy Tax) (see separate instructions), then • Section 501 ( c)(4 ), ( 5 ), or (6 ) org anizations Com p lete Part III Employer identification number 36-3309812 Name of organization THE HEARTLAND Part I-A 1 2 3 INSTITUTE Complete if the organization is exempt under section 501(c) or is a section 5zi oraanization. Provide a description of the organization's direct and indirect political campaign activities in Part IV Political expenditures Volunteer hours Part I -B ^ $ Complete if the organization is exempt under section 501 (c)(3). Enter the amount of any excise tax incurred by the organization under section 4955 1 2 Enter the amount of any excise tax incurred by organization managers under section 4955 3 If the organization incurred a section 4955 tax, did it file Form 4720 for this year? 4a Was a correction made? b If "Yes," describe in Part IV Patti-C 1 2 3 4 5 ^ $ ^ $ Yes Yes 1-1 No No Complete if the organization is exempt under section 501(c), except section 501 (c)(3). Enter the amount directly expended by the filing organization for section 527 exempt function activities Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 11 20-POL, ^ $ ^ $ line 17b ^ $ Did the filing organization file Form 1120 -POL for this year? Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization made payments For each organization listed, enter the amount paid from the filing organization's funds Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such .-+- .,+e.4 f ,,-,. 1 .,. (a) Name nt t, I arf- ,' rnmdfcn (PA(:1 If artrlitinnal CnarP i (b) Address nAPC IPd Yes No nrnvirlP infnrmahnn in Part IV (c) EIN (d) Amount paid from filing organization's funds If none, enter -0- (e) Amount of political contnbutions received and promptly and directly delivered to a separate political organization If none, enter -0(1) (2) (3) (4) (5) (6) For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. DAA Schedule C (Form 990 or 990-EZ) 2015 v6&/2016 8 04 AM ' Schedule C(Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE 36-3309812 Page 2 Complete if the organization is exempt under section 501 ( c)(3) and filed Form 5768 (election under Part tt-A section 501(h)). A Check ^ r] if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's name, address, EIN, expenses, and share of excess lobbying expenditures). if the filing organization checked box A and "limited control" provisions apply. B Check ^ 1a b c d e f (a) Filing organization's totals Limits on Lobbying Expenditures ( The term " ex p enditures " means amounts p aid or incurred . ) Total lobbying expenditures to influence public opinion (grass roots lobbying) Total lobbying expenditures to influence a legislative body (direct lobbying) Total lobbying expenditures (add lines 1 a and 1 b) Other exempt purpose expenditures Total exempt purpose expenditures (add lines 1c and 1d) Lobbying nontaxable amount Enter the amount from the following table in both 4 4 6 , 046 6 , 050 0 , 239 , 239 , 320 , 559 452 , 528 columns g h i j (b)Affiliated group totals If the amount on line le , column ( a ) orb is: The lobby in g nontaxable amount is. Not over $500,000 20% of the amount on line le Over $500,000 but not over $1,000,000 $100,000 p lus 15% of the excess over $500,000 Over $1,000,000 but not over $1,500,000 $175,000 p lus 10% of the excess over $1,000,00 Over $1,500,000 but not over $17,000,000 $225,000 p lus 5% of the excess over $1,500,000 Over $17.000.000 $1.000.000 113 , 132 1 0 0 Grassroots nontaxable amount (enter 25% of line 1f) Subtract line 1g from line 1a If zero or less, enter -0Subtract line 1f from line 1 c If zero or less, enter -0If there is an amount other than zero on either line 1 h or line it, did the organization file Form 4720 reporting section 4911 tax for this year? n Yes n No 4-Year Averaging Period Under section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the separate instructions for lines 2a through 2f.) Lohhvina Expenditures Durina 4-Year Averaaina Period Calendar year (or fiscal year beginning in) 2a Lobbying nontaxable amount (a) 2012 350,348 (c) 2014 (b) 2013 317 , 951 (d) 2015 385,505 (e) Total 452,528 1,506,332 b Lobbying ceiling amount 2,259,498 (150% of line 2a, column(e)) c Total lobbying expenditures d Grassroots nontaxable amount 4 , 355 568 361 4 , 239 9,523 87,587 79 ,488 96 ,376 113,132 376,583 e Grassroots ceiling amount ( 150% of line 2d, column ( e )) f Grassroots lobbying expenditures 564 , 875 0 Schedule C (Form 990 or 990-EZ) 2015 DAA 06/20/2016 8 04 AM 36-3309812 Schedule C (Form 990 or990-EZ) 2015 THE HEARTLAND INSTITUTE and Complete 501 ( c)(3) has NOT filed Form 5768 is exempt under section 11-8 organization Part if the Page 3 ( election under section 501 ( h )) . (a) For each "Yes," response on lines 1 a through 11 below, provide in Part IV a detailed description of the lobbying activity Yes (b) No Amount During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of 1 a Volunteers? b Paid staff or management (include compensation in expenses reported on lines 1 c through 11)? c Media advertisements? d Mailings to members, legislators, or the public? e Publications, or published or broadcast statements? f Grants to other organizations for lobbying purposes? g Direct contact with legislators, their staffs, government officials, or a legislative body? h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? i j 2a b c d Other activities? Total Add lines 1 c through 11 Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? If "Yes," enter the amount of any tax incurred under section 4912 If "Yes," enter the amount of any tax incurred by organization managers under section 4912 If the film org anization incurred a section 4912 tax, did it file Form 4720 for this year? Part 111-A Complete if the organization is exempt under section 501 ( c)(4), section 501(c)(5), or section 501 ( c )( 6 ) . Yes Were substantially all (90% or more) dues received nondeductible by members? Did the organization make only in-house lobbying expenditures of $2,000 or less? 3 Did the org anization a g ree to carry over lobb y in g and p olitical ex p enditures from the p rior year? Complete if the organization is exempt under section 501 ( c)(4), section 501(c )( 5), or section Part 111-B 1 2 No 1 2 3 501(c )( 6) and if either ( a) BOTH Part III-A, lines I and 2 , are answered " No," OR (b) Part III-A, line 3, is answered "Yes." 1 2 Dues, assessments and similar amounts from members Section 162(e) nondeductible lobbying and political expenditures ( do not include amounts of political expenses for which the section 527 ( f) tax was paid). a Current year b Carryover from last year c Total 3 Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues 4 If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? 5 Taxable amount of lobby in g and p olitical ex penditures ( see instructions ) Zb 2c 3 4 5 Supplemental Information Part IV Provide the descriptions required for Part I-A, line 1, Part I-B, line 4, Part I-C, line 5, Part II-A (affiliated group list), Part II-A, lines 1 and 2 (see instructions), and Part II-B, line 1 Also, complete this part for any additional information DAA Schedule C (Form 990 or 990-EZ) 2015 06/20/2016 8 04 AM SgcPiedule C (Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE Part IV Supplemental Information (continued) 36-3309812 Page 4 Schedule C (Form 990 or 990-EZ) 2015 DAA 0612012P16 8 04 AM Supplemental Financial Statements 'SCHEDULE D (Form 990) Department of the Treasury Internal Revenue Service 0MB No 1545-0047 ^ Complete if the organization answered "Yes" on Form 990, Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. ^ Attach to Form 990. ^ Infor mation about Schedule D (Form 990) and its instructions is at www.irs. Name of the organization 2015 I Employer identification number 136-3309812 THE HEARTLAND INSTITUTE Similar Funds or Accounts. Other Donor Advised Funds or Organizations Maintaining Part I Complete if the organization answered "Yes" on Form 990, Part IV, line 6 (a) Donor advised funds (b) Funds and other accounts Total number at end of year 1 4 5 6 Aggregate value of contributions to (during year) Aggregate value of grants from (during year) 1 Aggregate value at end of year Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization ' s property , subject to the organization ' s exclusive legal control? Did the organization inform all grantees , donors , and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor , or for any other purpose 1 ❑ Yes ❑ No ❑ Yes ❑ No conferring impermissible private benefit? Conservation Easements. Part II Complete if the organization answered "Yes" on Form 990, Part IV, line 7 1 Purpose ( s) of conservation easements held by the organization ( check all that apply) 2 Preservation of a historically important land area Preservation of land for public use (e g , recreation or education ) natural habitat Protection of H Preservation of a certified historic structure of open space Preservation Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year Held at the End of the Tax Year 2a a Total number of conservation easements 2b easements conservation acreage restricted by Total b included (a) 2c historic structure in certified easements on a Number of conservation c d Number of conservation easements included in (c) acquired after 8/17/06, and not on a 2d historic structure listed in the National Register the organization during the extinguished, or terminated by transferred, released, modified, conservation easements Number of 3 6 tax year ^ Number of states where property subject to conservation easement is located ^ Does the organization have a written policy regarding the periodic monitoring, inspection, handling of ❑ Yes ❑ No violations, and enforcement of the conservation easements it holds? Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 7 111. Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 4 5 8 9 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(I) and section 170(h)(4)(B)(ii)? In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting for conservation easements Part III ❑ Yes ❑ No Organizations Maintaining Collections of Art , Historical Treasures, or Other Similar Assets. Complete if the organization answered "Yes" on Form 990, Part IV, line 8 1a If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items b If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items ^ $ (i) Revenue included on Form 990, Part VIII, line 1 ^ $ (ii) Assets Included in Form 990, Part X 2 If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 116 (ASC 958) relating to these items a Revenue included on Form 990, Part VIII, line 1 b Assets included in Form 990, Part X For Paperwork Reduction Act Notice , see the Instructions for Form 990 . DAA ^ $ ^ $ Schedule D (Form 990) 2015 ----------- 06/20/2016 6 04 AM 36-3309812 Page 2 THE HEARTLAND INSTITUTE Schedule D (Form 990) 2015 or Other Similar Assets Treasures, (continued) Collections of Historical Organizations Art, Maintaining PartIli Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply) 3 Loan or exchange programs d Public exhibition a Other Scholarly research Preservation for future generations c 4 Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part Xiii 5 During the year, did the organization solicit or receive donations of art, historical treasures, or other similar a b ❑ Yes ❑ No assets to be sold to raise funds rather than to be maintained as part of the organization's collection? Escrow and Custodial Arrangements. Part IV Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21 la Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included on Form 990, Part X' b If "Yes," explain the arrangement in Part XIII and complete the following table ❑ Yes ❑ No Amount c d e f 2a Beginning balance Additions during the year Distributions during the year 1c 1d le Ending balance Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? b If "Yes," explain the arrangement in Part XIII Check here if the explanation has been provided on Part XIII Endowment Funds. Part V Yes I I No Com p lete if the org anization answered "Yes" on Form 990 , Part IV, line 10 (a) Current year (b) Prior year (d) Three years back (c) Two years back (e) Four years back is Beginning of year balance b Contributions c Net investment earnings , gains, and losses d Grants or scholarships e Other expenditures for facilities and programs f Administrative expenses g End of year balance 2 Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as % a Board designated or quasi-endowment ^ % b Permanent endowment ^ % c Temporarily restricted endowment ^ The percentages on lines 2a, 2b, and 2c should equal 100% 3a Are there endowment funds not in the possession of the organization that are held and administered for the Yes organization by (i) unrelated organizations (ii) related organizations b If "Yes" on line 3a(ii), are the related organizations listed as required on Schedule R? 4 Describe in Part XIII the intended uses of the organization's endowment funds Part VI Land, Buildings , and Equipment. rmmr%lc+c if the nrntani7nifinn z3ncwarari "Yac" nn Fnrm (9f1 Description of property 1a Land b Buildings c Leasehold improvements d Equipment e Other No 3a i 3a ii 3b Part IV Imp 11a See Fnrm 99n ( a) Cost or other basis (b) Cost or other basis (c) Accumulated (investment ) (other) depreciation Part X Imp 10 ( d) Book value 65 , 364 65 , 364 927 , 143 19 , 237 907 , 90-6- 222 , 544 1 41 , 253 178 065 18 629 44 , 479 22 , 624 Total. Add lines 1a through 1e (Column (d) must equal Form 990, Part X, column (B), line 10c) ^ 1 040 373 Schedule D (Form 990) 2015 DAA 06/20/2016 8 04 AM Schedule D (Form 990) 2015 THE HEARTLAND Investments -Other Securities. Part VII 36-3309812 INSTITUTE Page 3 Com p lete if the org anization answered "Yes" on Form 990, Part IV, line 11 b. See Form 990, Part X, line 12 (b) Book value (a) Description of security or category ( c) Method of valuation Cost or endof-year market value (including name of security) (1) Financial derivatives (2) Closely- held equity interests (3) Other (A) (B) (C) (D) (E) (F) (G) (H) Total . ( Column ( b ) must equal Form 990, Part X, col ( 13 ) line 12 Part VIII ^ Investments - Program Related. (-mmirilete if the nrnanvatinn answered "Yes" on Form 990 Part IV. line 11c See Form 990 Part X Imp 13 (b) Book value (a) Description of investment ( c) Method of valuation Cost or end -of-year market value ( 1) (2) (3) (4) (5) (6) (7) (8) (9) Total. ( Column (b ) must e q ual Form 990, Part X, col (13 ) line 13 Part IX ^ Other Assets. C:mmnlete if the nrnanlzatlnn answered "Yes" on Form 990. Part IV. line 11 d See Form 990 Part X line 15 ( b) Book value (a) Description DEFERRED COMPENSATION SECURITY DEPOSITS (1) (2) 397,765 (3) (4) (5) (6) (7) ( 8) (9) Total . ( Column ( b ) must e q ual Form 990, Part X, col (B) line 15 ) Part X 397 f 765 ^ Other Liabilities. Complete if the organization answered "Yes" on Form 990, Part IV, line 11 a or 11 f. See Form 990, Part X, line 25 I. (a) Description of liability (1) (2) (3) (41 Federal income taxes DEFERRED COMPENSATION LIABILITY DEFERRED RENT DEFERRED REVENUE I (b) Book value 447,765 5 447 IF -/ bbl 1 Total. (Column (b) must equal Form 990, Part X, col (B) line 25) ^ 2. Liability for uncertain tax positions In Part Xiii, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740) Check here if the text of the footnote has been provided in Part Xlli DAA Schedule D (Form 990) 2015 06/20/2016 804 AM Schedule D (Form 990 2015 Part XI THE HEARTLAND INSTITUTE 36-3309812 1 2 Total revenue, gains, and other support per audited financial statements Amounts included on line 1 but not on Form 990, Part VIII, line 12 a Net unrealized gains (losses) on investments b Donated services and use of facilities c Recoveries of prior year grants d Other (Describe in Part XIII) e Add lines 2a through 2d 3 Subtract line 2e from line 1 4 Amounts included on Form 990, Part VIII, line 12, but not on line 1 a Investment expenses not included on Form 990, Part VIII, line 7b 2a 2b 2c 2d 285 900 2e 285 , 900 3 4 , 398 , 175 4c 5 4 f 398 , 175 4a 41b Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Com p lete if the org anization answered "Yes" on Form 990, Part IV, line 12a Total expenses and losses per audited financial statements Amounts included on line 1 but not on Form 990, Part IX, line 25 a Donated services and use of facilities b Prior year adjustments c Other losses d Other (Describe in Part XIII) e Add lines 2a through 2d 3 Subtract line 2e from line 1 4 Amounts included on Form 990, Part IX, line 25, but not on line 1 a Investment expenses not included on Form 990, Part VIII, line 7b 1 2 2a 2b 2c 2d b Other (Describe in Part XIII) c Add lines 4a and 4b 5 Total expenses Add lines 3 and 4c. (This must equal Form 990, Part I, line 18) Part Xlfl 4 f 684 , 075 1 b Other (Describe in Part Xlli) c Add lines 4a and 4b 5 Total revenue Add lines 3 and 4c. (This must equal Form 990, Part I, line 12) Part XIi Paae 4 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Com p lete if the org anization answered "Yes" on Form 990, Part IV, line 12a. 1 6 , 056 , 266 2e 3 5 , 770 , 366 4c 5 5 285 , 90 0 285 , 900 4a 4b 770 366 Supplemental Information. Provide the descriptions required for Part II, lines 3, 5, and 9 , Part III, lines 1 a and 4 , Part IV , lines lb and 2b , Part V, line 4, Part X, line 2, Part XI, lines 2d and 4b, and Part XII, lines 2d and 4b Also complete this part to provide any additional information PART X - FIN 48 FOOTNOTE THE INSTITUTE ADOPTED THE IMPLEMENTATION OF FASB ASC 740. 740, MANAGEMENT MUST EVALUATE THE POSITIONS UNDER FASB ASC IT HAS TAKEN ON TAX RETURNS. MANAGEMENT HAS DETERMINED THAT THERE ARE NO TAX POSITIONS THAT WOULD RESULT IN A MORE LIKELY THAN NOT (50% CHANCE) OF BEING SUSTAINED UNDER A POTENTIAL AUDIT OR EXAMINATION. PART XI, LINE 2D - REVENUE AMOUNTS INCLUDED IN FINANCIALS DIRECT EXPENSES FROM 990 PART VIII LINE 8B PART XII, LINE 2D - EXPENSE AMOUNTS - OTHER $ 285,900 INCLUDED IN FINANCIALS - OTHER DIRECT EXPENSES FROM 990 PART VIII LINE 8B $ 285,900 Schedule D (Form 990) 2015 DAA 06120/2016 6 04 AM Schedule D (Form 990) 2015 THE HEARTLAND INSTITUTE Part XIiI Supplemental Information (continued) 36-3309812 Page 5 Schedule D (Form 990) 2015 DAA 06/20/2016 8 04 AM 'SCHEDULE G ( Form 990 or 990-EZ) Supplemental Information Regarding Fundraising or Gaming Activities 2015 Ill' Attach to Form 990 or Form 990-EZ Information about Schedule G (Form 990 or 990 - EZ) and its instructions is at www irs nov/form990. Department of the Treasury Internal Revenu e Service )pen tQ Public Employer Identification number Name of the organization part I 0MB No 1545-0047 Complete if the organization answered " Yes" on Form 990, Part IV , lines 17 , 18, or 19, or if the organization entered more than $15,000 on Form 990 - EZ, line 6a THE HEART LAND INSTITUTE 36-3309812 "Yes" on Form Fundraising Activities. Complete if the organization answered 990, Part IV, line 17 Form 990-EZ filers are not required to complete this part Indicate whether the organization raised funds through any of the following activities Check all that apply 1 a ❑ Mall solicitations e ❑ Solicitation of non-government grants b ❑ Internet and email solicitations f c ❑ Phone solicitations g ❑ Special fundraising events ❑ Solicitation of government grants d ❑ in-person solicitations 2a Did the organization have a written or oral agreement with any individual (including officers, directors, trustees or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services? b If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be com p ensated at least $5 , 000 by the org anization (t) Name and address of individual or entity (fundraiser) ii) Act i v i ty (III) Did fundraiser have custody or control of contnbuhonsl Yes ❑ Yes ❑ No (v) Amount paid to (vi) Amount paid to (iv) Gross receipts (or retained by) from activity fundraiser listed in (or retained by) organization col (t) No 1 2 3 4 5 6 7 8 9 10 Total 3 List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing For Paperwork Reduction Act Notice , see the Instructions for Form 990 or 990 - EZ. DAA Schedule G (Form 990 or 990-EZ) 2015 06/2012016 6 04 AM Schedule G (Form 990 or 990-EZ) 2015 Part 11 HEARTLAND THE INSTITUTE Page 2 36-3309812 Fundraising Events . Complete if the organization answered "Yes" on Form 990, Part IV, line 18, or reported more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b List events with g ross recei pts reater than $5 , 000 (a) Event # 1 (c) Other events (b) Event #2 (d) Total events NONE FUNDRAISING cot (c)) ( total number ) (event type) (event type) (add col ( a) through a, 1 Gross receipts 61 , 727 61 , 727 61 61 , 727 2 Less Contributions 3 Gross income (line 1 minus line 2 727 4 Cash prizes 5 Noncash prizes a 6 Rent/facility costs n w 7 Food and beverages U 8 Entertainment 285,900 , 9 Other direct expenses 285,900 285 , 900 -224 , 173 10 Direct expense summary Add lines 4 through 9 In column (d) 11 Net income summa ry Subtract line 10 from line 3, column (d ) Part III Gaming . Complete if the organization answered "Yes" on Form 990, Part IV, line 19, or reported more than $15 , 000 on Form 990-EZ , line 6a ( b) Pull tabs / instant (a) Bingo ( d) Total gaming (add ( c) Other gaming bingo/progressive bingo col ( a) through col (c)) a) u) 1 Gross revenue 2 Cash prizes °w 3 Noncash prizes U (U 4 Rent/facility costs 5 Other direct ex p enses 6 Volunteer labor Yes No % Yes No Yes % % IH No 7 Direct expense summary Add lines 2 through 5 in column (d) 8 Net gaming income summary Subtract line 7 from line 1, column (d) 9 Enter the state(s) in which the organization conducts gaming activities a Is the organization licensed to conduct gaming activities in each of these states? b If "No," explain 10a Were any of the organization's gaming licenses revoked , suspended or terminated during the tax year? b If "Yes," explain DAA ❑ Yes ❑ No ❑ Yes ❑ No Schedule G (Form 990 or 990-EZ) 2015 06/20/2016 8 04 AM Schedule G (Form 990 or 990-EZ) 2015 THE HEARTLAND INSTITUTE 36-3309812 Does the organization conduct gaming activities with nonmembers? Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity formed to administer charitable gaming? Indicate the percentage of gaming activity conducted in 11 12 13 a b 14 1-1 Yes Page 3 No ❑ Yes ❑ No 13a The organization's facility An outside facility Enter the name and address of the person who prepares the organization's gaming/special events books and records % % 131b Name ^ Address ^ 15a b c Does the organization have a contract with a third party from whom the organization receives gaming revenue? $ If "Yes," enter the amount of gaming revenue received by the organization ^ the third party ^ revenue retained by $ amount of gaming If "Yes," enter name and address of the third party ❑ Yes ❑ No and the Name ^ Address ^ Gaming manager information 16 Name ^ Gaming manager compensation ^ $ Description of services provided ^ ❑ Director/officer 17 a b ❑ Employee ❑ Independent contractor Mandatory distributions Is the organization required under state law to make charitable distributions from the gaming proceeds to retain the state gaming license? Enter the amount of distributions required under state law to be distributed to other exempt organizations or spent in the organization's own exempt activities during the tax year ^ $ Part IV ❑ Yes ❑ No Supplemental Information. Provide the explanations required by Part I, line 2b, columns (ill) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also provide any additional information (see instructions) Schedule G (Form 990 or 990-EZ) 2015 DAA 06/2012016 8 04 AM 1 1• , SCHEDULEJ (Form 990) Department of the Treasury Internal Revenue Service Compensation Information Name of the organization Part ( OMB No 1545-0047 For certain Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees ^ Complete if the organization answered "Yes" on Form 990, Part IV, line 23 ^ Attach to Form 990. ab out Schedule J (Form 990) and its instructions is at www.irs.gov/fc THE HEARTLAND INSTITUTE uestions Regarding Compensation Q 2015 Open to Public Inspection Employer identification number 36- 3309812 Yes I No 1a Check the appropriate box(es) if the organization provided any of the following to or for a person listed on Form 990, Part VII, Section A, line 1a Complete Part III to provide any relevant information regarding these items Housing allowance or residence for personal use First-class or charter travel Payments for business use of personal residence Travel for companions Health or social club dues or initiation fees Tax indemnification and gross-up payments Personal services (e g , maid, chauffeur, chef) Discretionary spending account b If any of the boxes on line 1 a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain lb Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all directors, trustees, and officers, including the CEO/Executive Director, regarding the items checked in line 2 la' 2 Indicate which, if any, of the following the filing organization used to establish the compensation of the organization's CEO/Executive Director Check all that apply Do not check any boxes for methods used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III Written employment contract X Compensation committee X Compensation survey or study Independent compensation consultant X Approval by the board or compensation committee X Form 990 of other organizations 3 During the year , did any person listed on Form 990, Part VII, Section A, line la , with respect to the filing organization or a related organization a Receive a severance payment or change -of-control payment? b Participate in, or receive payment from , a supplemental nonqualified retirement plan? c Participate in, or receive payment from , an equity - based compensation arrangement? If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III 4 5 6 Only section 501(c )( 3), 501 ( c)(4), and 501 ( c)(29) organizations must complete lines 5-9. For persons listed on Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the revenues of a The organization? b Any related organization? If "Yes" to line 5a or 5b, describe in Part III For persons listed on Form 990, Part VII, Section A, line 1 a, did the organization pay or accrue any compensation contingent on the net earnings of a The organization? b Any related organization? If "Yes" on line 6a or 6b, describe in Part III 7 8 For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed payments not described on lines 5 and 6? If "Yes," describe in Part III Were any amounts reported on Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the initial contract exception described in Regulations section 53 4958-4(a)(3)? If "Yes," describe in Part III If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Reg ulations section 53 4958-6 ( c) ? For Paperwork Reduction Act Notice , see the Instructions for Form 990 . 4a 4b 4c X X X 5a Sb X X 6a 6b X X 7 X 8 X 9 DAA 9 Schedule J (Form 990) 2015 06/20/2016 8 04 AM 36-3309812 Schedule J (Form 990) 2015 THE HEARTLAND INSTITUTE Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed Part 11 Page_2 ' For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (I) and from related organizations, described in the instructions, on row (u) Do not list any individuals that are not listed on Form 990, Part VII Note: The sum of columns (B)(I)-(III) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual (B) Breakdown of W-2 and /or 1099 - MI SC compensation (A) Name and Title ( ui) Other reportable compensation ( ii) Bonus & incentive compensation (Q Base compensation ( C) Retirement and other deferred compensation (D ) Nontaxable ( E) Total of columns benefits ( B)(i)-(D) (F) Compensation in column (B) reported as deferred on prior Form 990 JOSEPH BAST (1) 184,559 0 50,000 0 234,559 0 1 PRESIDENT / CEO (u' 0 0 0 0 0 0 (I) 2 (u ('I 3 UI 4 (I) 5 (I) 6 7 h) p^ 8 (u ('1 (I) 9 ('I 10 (I) 11 p' ('I 12 p' 13 (II (I) (I1 14 G) 15 (I) 16 (" 1 1* Schedule J (Form 990) 2015 DAA 06120/2016 804 AM Schedule J (Form 990) 2015 THE HEARTLAND Supplemental Information Part III INSTITUTE Page.3 36-3309812 Provide the information, explanation, or descriptions required for Part I, lines la, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II Also complete this part for any additional information Schedule J (Form 990) 2015 DAA 06/20/2016 a 04 AM OMB No 1545-0047 SCHEDULE M (Form 990) Noncash Contributions 2015 ^ Complete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30 ^ Attach to Form 990. Department of the Treasury Internal Revenue Service Open To Public ^ Information about Schedule M (Form 990) and its instructions is at www irs.gov/form990. Employer identification number Name of the organization (a) 1 2 3 4 Art -Works of art Art -Historical treasures Art -Fractional interests Books and publications Clothing and household 5 36-3309812 THE HEART LAND INSTITUTE Types of Property Part I (c) Check if (b) Number of contributions or applicable items contributed X Noncash contribution (d) Method of determining amounts reported on Form 990, Part Vill, line 1g noncash contribution amounts 26 , 823 FMV ON DATE OF DONATION 10 , 500 FMV ON DATE OF DONATION goods Cars and other vehicles Boats and planes Intellectual property Securities - Publicly traded Securities-Closely held stock Securities-Partnership, LLC, 6 7 8 9 10 11 or trust interests Securities - Miscellaneous Qualified conservation contribution - Historic 12 13 structures Qualified conservation contribution - Other Real estate-Residential Real estate -Commercial 14 15 16 17 18 19 20 21 22 23 24 Real estate -Other Collectibles Food inventory Drugs and medical supplies Taxidermy Historical artifacts Scientific specimens Archeological artifacts BOOKCASE 25 26 27 28 29 ) X 30 Other ^ ( ) Other ^ ( ) Other ^ Number of Forms 8283 received by the organization during the tax year for contributions for which the organization completed Form 8283, Part IV, Donee Acknowledgement 29 Yes No 31 During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that it must hold for at least three years from the date of the initial contribution, and which is not required to be used for exempt purposes for the entire holding period? If "Yes," describe the arrangement in Part II Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash 31 X 32a contributions? If "Yes," describe in Part II If the organization did not report an amount in column (c) for a type of property for which column (a) is checked, describe in Part II 32a X 30a b b 33 For Paperwork Reduction Act Notice, see the Instructions for Form 990 DAA 30a X Schedule M (Form 990) (2015) 06/2012016 8 04 AM ♦. , I $I a Page 2 THE HEARTLAND INSTITUTE 36-3309812 Supplemental Information . Provide the information required by Part 1, lines 30b, 32b, and 33, and whether the organization is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both Also complete this part for any additional information Schedule M ( Form 990 ) ( 2015) Part II Schedule M (Form 990) (2015) DAA 06/2912016 8 04 AM . •A ri>, 0 SCHEDULE 0 • (Form 990 or 990-EZ ) Department of the Treasury Internal Revenue Service 1545-0047 Complete to provide information for responses to specific questions on Form 990 or 990-EZ or to provide any additional information. 2015 ^ Attach to Form 990 or 990-EZ. ^ Information about Schedule 0 (Form 990 or 990 - EZ) and its instructions is at www . irs.gov/form990. Open to Public rnspe fton Name of the organization Employer identification number THE HEARTLAND INSTITUTE FORM 990, OMB No Supplemental Information to Form 990 or 990 -EZ PART I, LINE 36-3309812 6 VOLUNTEERS HELPED WITH THE MISSION OF THE ORGANIZATION. FORM 990, PART LINE 4A - FIRST ACCOMPLISHMENT III, ABOUT GLOBAL WARMING (56,000 COPIES). 100,000 FANS OF ITS FACEBOOK PAGE. HEARTLAND HAS 16 WEBSITES AND NEARLY WE POSTED 1,158 ITEMS ON OUR SOMEWHAT REASONABLE BLOG. FORM 990, PART VI, LINE 2 - RELATED PARTY INFORMATION AMONG OFFICERS JOSEPH BAST DIANE BAST PRESIDENT FIN. MANAGER ORGANIZATION'S PROCESS HUSBAND/WIFE FORM 990, PART VI, LINE 11B - TO REVIEW FORM 990 THE ACCOUNTING DEPARTMENT AND AUDIT COMMITTEE OF THE BOARD REVIEW THE 990 BEFORE IT IS SIGNED AND SUBMITTED. FORM 990 , PART VI, LINE 12C - ENFORCEMENT OF CONFLICTS POLICY ANNUALLY ASK THE BOARD MEMBERS AND INDEPENDENT CONTRACTORS TO REVIEW THE CONFLICT OF INTEREST POLICY AND COMPLETE/ SIGN THE FORM . ON FILE. THE FORMS ARE KEPT WHEN MADE AWARE OF A POTENTIAL CONFLICT OF INTEREST THEY FOLLOW UP AND GET NEW FORMS SIGNED . THERE IS RELIANCE ON THE PERSONS' SELF DISCLOSURES. FORM 990, PART VI, LINE 15A - COMPENSATION PROCESS For Paperwork Reduction Act Notice , see the Instructions for Form 990 or 990 - EZ. DAA FOR TOP OFFICIAL Schedule 0 (Form 990 or 990 - EZ) (2015) 06/20/2016 8 04 AM it * WO O t Schedule 0 (Form 990 or 990-EZ ) (2015) Name of the organization , Pa g e 2 Employer identification number 36-3309812 THE HEARTLAND INSTITUTE WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN COMPARABILITY DATA, INDEPENDENT PERSON, AND HAS PROOF OF THE DELIBERATION AND DECISION. FORM 990, PART VI, LINE 15B - COMPENSATION PROCESS FOR OFFICERS WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN COMPARABILITY DATA, INDEPENDENT PERSON, AND HAS PROOF OF THE DELIBERATION AND DECISION. FORM 990, PART VI, LINE 19 - GOVERNING DOCUMENTS DISCLOSURE EXPLANATION GOVERNING DOCUMENTS ARE MADE AVAILABLE BY REQUEST. FORM 990, PART IX, LINE 11G - OTHER FEES FOR SERVICES DESCRIPTION PROGRAM SERVICE MGT & GENERAL FUNDRAISING EDITORS AND WRITERS $ 619,545 $ 18,375 $ 1,650 WRITERS AND SPEAKERS $ 47,500 $ 0 $ 0 $ 210,638 $ 0 $ 0 SPEAKERS FORM 990, PART XI, LINE 9 - OTHER CHANGES IN NET ASSETS EXPLANATION DIRECT EXPENSES FROM 990 PART VIII LINE 8B $ 285,900 DIRECT EXPENSES FROM 990 PART VIII LINE 8B $ -285,900 PAGE 1 OF 1 Schedule 0 ( Form 990 or 990-EZ ) ( 2015) DAA