Heartland Institute 363309812 2012 0960cf0cSearchable

363309812 06/17/2013 1 50 PM

Form, 990 Return of Organization Exempt From Income Tax 2012

OMB No 1545-0047

.... tdi,ar1ilient of the Treasury Internal Revenue Service

Under section 501(c}, 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation) Of?en to Public

hl$oection ~ The organization may have to use a copy of this return to satisfy state reporting requirements

A F th 2012 I d or e ca en ar vear or tax vear b . eamnma an d d" en ma

B Check 1f applicable C Name of organization D Employer Identification number

O Address change THE HEARTLAND INSTITUTE

O Name change Doing Business As 36-3309812

O lmtJalretum Number and street (or PO box 1f ma1l 1s not delivered to street address)

I Room/suite E Telephone number

ONE SOUTH WACKER 2740 312-377-4000 O Terminated City, town or post office. state, and ZIP code

O Amended return CHICAGO IL 60606 G Gross rece1ots $ 5,411,693

O Apphcabon pending F Name and address of principal officer

O Yes ~ No JOSEPH BAST H(a) Is this a group return for affiliates?

ONE SOUTH WACKER, SUITE 2740 H(b) Are all affiliates included? O Yes O No

CHICAGO IL 60606 If "No," attach a list (see 1nstruct1ons)

t Taxoilxemot status IXI so11c1131 I I so11c1 < ) -4111 I insert no l I I 4947(a)(1 l or I I s27

J Website·~ WWW.HEARTLAND.ORG H(c) Grouo exemot1on number~

K Form of orqamzabon IXI Corporation I I Trust I I Association I I Other~ IL Year of formation 1984 I M State of leQal dom1c1le IL p art s ummarv

1 Briefly describe the organization's m1ss1on or most significant act1v1ties a, RESEARCH AND WRITING ON PUBLIC POLICY ISSUES. u c: ra c: ... a,

Check this box ~ 0 1f the organization discontinued its operations or disposed of more than 25% of its net assets > 2 0 C)

all 3 Number of voting members of the governing body (Part VI, line 1 a) 3 12 1/) 4 Number of independent voting members of the governing body (Part VI, line 1 b) 4 11 ~ :~ 5 Total number of 1nd1v1duals employed in calendar year 2012 (Part V, line 2a) 5 34 ti 6 Total number of volunteers (estimate 1f necessary) 6 1 C(

' 7a Total unrelated business revenue from Part VIII, column (C), line 12 7a 2,500 b Net unrelated business taxable income from Form 990-T line 34 7b -105,965

PnorYear Current Year

a, 8 Contributions and grants (Part VIII, line 1 h) 4,524,164 5,202,679 ::,

9 Program service revenue (Part VIII, line 2g) 90,822 70,245 c: a,

-9,874 6,997 > 10 Investment income (Part VIII, column (A), lines 3, 4, and 7d) a, 0::

11 Other revenue (Part VIII, column (A), lines 5, 6d, Sc, 9c, 10c, and 11e) -31,481 49,194 12 Total revenue - add lines 8 throuah 11 (must eaual Part VIII column (Al. hne 12) 4,573,631 5,329,115 13 Grants and s1m1lar amounts paid (Part IX, column (A), lines 1-3) 58,000 0 14 Benefits paid to or for members (Part IX, column (A). line 4) 0 0

1/) 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) 2,004,898 2,116,463 a, 1/) 16a Professional fundra1sing fees (Part IX, column (A), hne 11e) 0 0 c: a,

b Total fundra1sing expenses (Part IX, column (D), hne 25) ~ 612,214 Q. II(

w 17 Other expenses (Part IX, column (A), lines 11 a-11 d, 11f-24e) 3,141,979 3,327,849 18 Total expenses Add lines 13-17 (must equal Part IX, column A), 1in&ECEIVED 5,204,877 5,444,312 19 Revenue less exDenses Subtract hne 18 from line 12 C') ) -631,246 -115,197 ~., <D J Beginning of Current Year End of Year O a,

JUL O 1 '2013 .fig 20 Total assets (Part X, hne 16) C\J ' 330 493 482,571 .... .,.;; w !,:; "'Ill 21 Total hab1ht1es (Part X, line 26) 488 015 755,290 ::-g

~a! 22 Net assets or fund balances Subtract line 21 from hne 20 nr,n~l\1 ~ nr -157,522 -272 719 p I Si natu Bl k

--.-11v, - u art I g re oc Under penalties of pel)ury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, 11 1s true, correct, and complete De ion of pre r than o cer) 1s based on all information of which preparer has any knowledge

Sign ~ Here ~

Prmt!Type prepare(s name

Paid ROBERT TIGHE Preparer F1m's name • TIGHE Use Only

Firm's address • ELGIN IL May the IRS discuss this return with the preparer shown above? (see 1nstruct1ons) For Paperwork Reduction Act Notice, see the separate instructions DAA

Date

PRESIDENT

Date Check D if PTIN

06/17 /13 self-i!mployed P00376855

Firm's EIN • 2 6- 0 4 7 6 9 9 5

Phone no 847-695-2700 IX] Yes O No

-

363309812 06/17/2013 1 50 PM

Form 990 (2012) THE HEARTLAND INSTITUTE 36-3309812 Patt HI Statement of Program Service Accomplishments

Check if Schedule O contains a response to any question 1n this Part Ill 1 Briefly describe the organization's mission

RESEARCH AND WRITING ON PUBLIC POLICY ISSUES.

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

prior Form 990 or 990-EZ?

If "Yes," describe these new services on Schedule O

3 Did the organization cease conducting, or make srgnrficant changes rn how rt conducts, any program

services?

If "Yes," describe these changes on Schedule O

4 Describe the organization's program service accomplishments for each of rts 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 allocatrons to others,

the total expenses, and revenue, rf any, for each program service reported

4a (Code ) (Expenses $ 1, 625, 176 rncludrng grants of$ ) (Revenue $

D

D Yes ~ No

D Yes ~ No

PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE. HEARTLAND PRODUCED SIX MONTHLY NEWSPAPERS (TWO OF THEM DIGITAL-ONLY) (BUDGET & TAX NEWS, ENVIRONMENT & CLIMATE NEWS, FIRE POLICY NEWS, HEALTH CARE NEWS, INFOTECH & TELECOM NEWS, AND SCHOOL REFORM NEWS); ONE PRINT NEWSLETTER (QPR); SIX EMAIL NEWSLETTERS (LAWSUIT ABUSE FORTNIGHTLY, CONSUMER POWER REPORT, NIPCC UPDATE, CLIMATE CHANGE WEEKLY, THE LEAFLET, AND HEARTLAND WEEKLY); AND 15 POLICY BRIEFS. IT ALSO DRAMATICALLY IMPROVED ITS WEB PRESENCE, ATTRACTING 1,652,356 VISITORS GENERATING 2,593,014 PAGE VIEWS (IMPROVEMENTS OF 31 PERCENT AND 34 PERCENT, RESPECTIVELY, OVER 2011).

4b (Code ) (Expenses $ 1, 423, 452 rncludrng grants of$ ) (Revenue $

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 COHOSTED 26 EVENTS IN 2012, INCLUDING CONFERENCES IN WASHINGTON, DC AND MUNICH, GERMANY. THE EVENTS ATTRACTED A TOTAL AUDIENCE OF 4,882 PEOPLE. HEARTLAND ALSO EXHIBITED AT NINE TRADE SHOWS AND EVENTS FOR MEMBERS OF THE GENERAL PUBLIC, AND ITS SENIOR FELLOWS AND STAFF DELIVERED MORE THAN 178 SPEECHES TO AUDIENCES TOTALING 23,353 PEOPLE. HEARTLAND REPRESENTATIVES APPEARED IN PRINT OR ONLINE 5,033 TIMES, REACHING A PRINT AUDIENCE OF MORE THAN 136 MILLION READERS. WE PRODUCED 239 PODCASTS REACHING A TOTAL AUDIENCE OF 427,501 LISTENERS.

4c (Code ) (Expenses $ 1 , 14 6 , 4 5 9 rncludrng grants of $ ) (Revenue $

GOVERNMENTAL 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; TESTIFIED BEFORE LEGISLATIVE COMMITTEES IN A HALF-DOZEN STATES; AND HOSTED A DAY-LONG EMERGING ISSUES FORUM EVENT IN CHICAGO. IN ADDITION, 143 RESEARCH & COMMENTARY COLLECTIONS OF BACKGROUND READINGS ON EDUCATION, ENVIRONMENT, HEALTH CARE, INSURANCE, TOBACCO, AND WELFARE ISSUES WERE DISTRIBUTED BY EMAIL AND POSTED ON HEARTLAND'S WEB SITE.

4d Other program services (Describe rn Schedule O)

(Expenses $ rncludrng grants of $ ) (Revenue $

4e Total program service expenses .... 4,195,087 DAA Form 990 (2012)

363309812 06/17/2013 1 50 PM

For;m 990 (201~) THE HEARTLAND INSTITUTE 36-3309812 Pa'rt IV Ch kl" t f R d S h d I ec IS O eau1re c e u es

Yes No

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

complete Schedule A 1 x 2 Is the organization required to complete Schedule B, Schedule of Contributors (see rnstruct1ons)? 2 x 3 Did the organization engage rn direct or indirect political campaign act1v1t1es on behalf of or rn oppos1t1on to

candidates for public office? If "Yes," complete Schedule C, Part I 3 x 4 Section 501(c)(3) organizations. Did the organization engage rn lobbying act1v1t1es, or have a section 501 (h)

election rn effect during the tax year? If "Yes," complete Schedule C, Part II 4 x 5 Is the organization a section 501 (c)(4), 501 (c)(5), or 501 (c)(6) organization that receives membership dues,

assessments, or s1m1lar amounts as defined rn Revenue Procedure 98-19? If "Yes," complete Schedule C,

Part Ill 5 x 6 Did the organization marntarn any donor advrsed funds or any s1m1lar funds or accounts for whrch donors

have the right to provide advice on the d1stributron or investment of amounts rn such funds or accounts? If

"Yes," complete Schedule D, Part I 6 x 7 Did the organization receive or hold a conservation easement, rncludrng easements to preserve open space,

the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II 7 x 8 Did the organization marnta1n collections of works of art, historical treasures, or other s1m1lar assets? If "Yes,"

complete Schedule D, Part Ill 8 x 9 Did the organization report an amount rn Part X, line 21, for escrow or custodial account liability, serve as a

custodian for amounts not listed rn Part X, or provide credit counseling, debt management, credit repair, or

debt negot1at1on services? If "Yes," complete Schedule D, Part IV 9 x 10 Did the organization, directly or through a related organization, hold assets rn temporarily restricted

endowments, permanent endowments, or quasi-endowments? If "Yes," complete Schedule D, Part V 10 x 11 If the organization's answer to any of the following questions 1s "Yes," then complete Schedule D, Parts VI,

VII, VIII, IX, or X as applicable

a Did the organization report an amount for land, bu1ldrngs, and equipment rn Part X, line 1 O? If "Yes,"

complete Schedule D, Part VI 11a x b Did the organization report an amount for investments-other securities rn Part X, line 12 that 1s 5% or more

of its total assets reported rn Part X, line 16? If "Yes," complete Schedule D, Part VII 11b x c Did the organization report an amount for investments-program related rn Part X, line 13 that 1s 5% or more

of its total assets reported rn Part X, line 16? If "Yes," complete Schedule D, Part VIII 11c x d Did the organization report an amount for other assets in Part X, line 15 that 1s 5% or more of its total assets

reported in Part X, hne 16? If "Yes," complete Schedule D, Part IX 11d x e Did the organization report an amount for other liab11illes rn Part X, line 25? If "Yes," complete Schedule D, Part X 11e x f Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses

the organization's l1ab11ity for uncertain tax pos1t1ons under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X 11f x 12a Did the organization obtarn separate, independent audited financial statements for the tax year? If "Yes," complete

Schedule D, Parts XI and XII 12a x b Was the organizatron included rn consolidated, independent audited frnancral statements for the tax year? If "Yes," and 1f

the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional 12b x 13 Is the organization a school described rn section 170(b)(1 )(A)(i1)? If "Yes," complete Schedule E 13 x 14a Did the organization marntarn an office, employees, or agents outside of the United States? 14a x

b Did the organization have aggregate revenues or expenses of more than $10,000 from grantmakrng,

fundra1sing, business, investment, and program service act1v1t1es outside the United States, or aggregate

foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV 14b x 15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any

organization or entity located outside the United States? If "Yes," complete Schedule F, Parts II and IV 15 x 16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance

to rnd1v1duals located outside the United States? If "Yes," complete Schedule F, Parts Ill and IV 16 x 17 Did the organization report a total of more than $15,000 of expenses for professional fundra1srng services on

Part IX, column (A), Imes 6 and 11 e? If "Yes," complete Schedule G, Part I (see rnstrucllons) 17 x 18 Did the organization report more than $15,000 total of fundra1srng event gross rncome and contributions on

Part VIII, Imes 1 c and Ba? If "Yes," complete Schedule G, Part II 18 x 19 Did the organization report more than $15,000 of gross rncome from gamrng act1v1lles on Part VIII, line 9a?

If "Yes," complete Schedule G, Part Ill 19 x 20a Did the organization operate one or more hospital fac11it1es? If "Yes," complete Schedule H 20a x

b If "Yes" to line 20a did the oraanizat1on attach a copy of its audited frnanc1al statements to this return? 20b N, Form 990 (2012)

DAA

363309612 06/17/2013 1 50 PM

Form 990 (2012) THE HEARTLAND INSTITUTE 36-3309812 Pa'rt lV Checklist of Reauired Schedules (continued)

Yes No

21 Drd the organization report more than $5,000 of grants and other assistance to any government or organization

in the United States on Part IX, column (A). line 1? If "Yes," complete Schedule I, Parts I and II 21 x 22 Drd the organization report more than $5,000 of grants and other assistance to 1nd1v1duals in the United States

on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and Ill 22 x 23 Drd 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 23 x 24a Drd the organization have a tax-exempt bond rssue wrth 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 25 24a x b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? 24b N 4

Drd the organrzatron maintain an escrow account other than a refunding escrow at any time during the year .

c

N~ to defease any tax-exempt bonds? 24c

d Drd the organization act as an "on behalf of' issuer for bonds outstanding at any trme during the year? 24d ~r) 25a Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction

with a disqualified person during the year? If "Yes," complete Schedule L, Part I 25a x b Is the organrzatron aware that rt engaged in an excess benefit transaction wrth a disqualified person in a prior

year, and that the transaction has not been reported on any of the organrzatron's prior Forms 990 or 990-EZ?

If "Yes," complete Schedule L, Part I 25b x 26 Was a loan to or by a current or former officer, director, trustee, key employee, highest compensated employee, or

disqualified person outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part II 26 x 27 Drd the organrzatron provide a grant or other assistance to an officer, director, trustee, key employee,

substantial contnbutor 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 Ill 27 x 28 Was the organization a party to a business transaction wrth one of the following parties (see Schedule L,

Part IV instructions for applicable filing thresholds, condrtrons, and exceptions)

a A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV 28a x b A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete

Schedule L, Part IV 28b x c An entity of whrch a current or former officer, director, trustee, or key employee (or a family member thereof)

was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV 28c x 29 Drd the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M 29 x 30 Drd the organization receive contributions of art, historical treasures, or other s1m1lar assets, or qualified

conservation contributions? If "Yes," complete Schedule M 30 x 31 Drd the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,

Part I 31 x 32 Did the organization sell, exchange, dispose of, or transfer more than 25% of rts net assets? If "Yes,"

complete Schedule N, Part II 32 x 33 Did the organrzatron own 100% of an entity disregarded as separate from the organizatron under Regulations

sections 301 7701-2 and 301 7701-3? If "Yes," complete Schedule R, Part I 33 x 34 Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Parts II, Ill,

or IV, and Part V, line 1 34 x 35a Drd the organization have a controlled entity within the meaning of section 512(b)(13)? 35a x

b If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction wrth a Iv rA controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2 35b

36 Section 501(c)(3) organizations. Drd the organization make any transfers to an exempt non-charitable

related organization? If "Yes," complete Schedule R, Part V, line 2 36 x 37 Drd the organization conduct more than 5% of rts actrvrtres through an entity that rs not a related organizatron

and that rs treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R,

Part VI 37 x 38 Drd the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11 b and

19? Note. All Form 990 filers are reQurred to comolete Schedule O 38 x Form 990 (2012)

DAA

363309812 06/17/2013 1 50 PM

Fom:15190(2012) THE HEARTLAND INSTITUTE 36-3309812 Patt V Statements Regarding Other IRS Filings and Tax Compliance

Check 1f Schedule O contains a res onse to an uest1on in this Part V

1a Enter the number reported m Box 3 of Form 1096 Enter -0- 1f not applicable

b Enter the number of Forms W-2G included in line 1 a Enter -0- 1f not applicable

c Did the organization comply with backup withholding rules for reportable payments to vendors and

reportable gaming (gambling) wmmngs to prize winners?

1a

1b

60 0

2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax

Statements, filed for the calendar year ending with or within the year covered by this return 2a 34 b If at least one 1s reported on line 2a, did the orgamzat1on file all required federal employment tax returns?

Note. If the sum of Imes 1 a and 2a 1s greater than 250, you may be required toe-file (see instructions)

3a Did the orgamzat1on have unrelated business gross income of $1,000 or more during the year?

b If "Yes," has 11 filed a Form 990-T for this year? If "No," provide an explanation m Schedule O

4a At any time during the calendar year, did the organization have an interest in, or a signature or other authority

over, a financial account 1n a foreign country (such as a bank account, securities account, or other financial

account)?

b If "Yes," enter the name of the foreign country lill>

See mstruct1ons for filing requirements for Form TD F 90-22 1, Report of Foreign Bank and F1nanc1al Accounts

Sa Was the orgamzat1on a party to a proh1b1ted tax shelter transaction at any time during the tax year?

b Did any taxable party notify the orgamzat1on that 1t was or 1s a party to a proh1b1ted tax shelter transaction?

c If "Yes" to line 5a or 5b, did the orgamzat1on file Form 8886-T?

6a Does the orgamzat1on have annual gross receipts that are normally greater than $100,000, and did the

organization sohc1t any contributions that were not tax deductible as charitable contributions?

b If "Yes," did the orgamzat1on include with every solic1tat1on an express statement that such contributions or

gifts were not tax deductible?

7 Organizations that may receive deductible contributions under section 170(c).

a Did the orgamzat1on receive a payment m excess of $75 made partly as a contribution and partly for goods

and services provided to the payer?

b If "Yes," did the orgamzat1on notify the donor of the value of the goods or services provided?

c Did the orgamzat1on sell, exchange, or otherwise dispose of tangible personal property for which 1t was

required to file Form 8282?

d If "Yes," indicate the number of Forms 8282 filed during the year 7d

e Did the orgamzat1on receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?

f Did the orgamzat1on, during the year, pay premiums, directly or indirectly, on a personal benefit contract?

g If the orgamzat1on received a contribution of qualified intellectual property, did the organization file Form 8899 as required?

h If the orgamzat1on received a contribution of cars, boats, airplanes, or other vehicles, did the orgamzat1on file a Form 1098-C?

8 Sponsoring organizations maintaining donor advised funds and section S09(a)(3) supporting

organizations. Did the supporting orgamzat1on, or a donor advised fund maintained by a sponsoring

orgamzat1on, have excess business holdings at any time during the year?

9 Sponsoring organizations maintaining donor advised funds.

a Did the organization make any taxable d1stribut1ons under section 4966?

b Did the orgamzat1on make a d1stribut1on to a donor, donor advisor, or related person?

10 Section S01(c)(7) organizations. Enter

a lmtiat1on fees and capital contributions included on Part VIII, line 12

b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities

11 Section S01(c)(12) organizations. Enter

a Gross income from members or shareholders

b Gross income from other sources (Do not net amounts due or paid to other sources

against amounts due or received from them )

10a

10b

11a

11b

12a Section 4947(a)(1) non-exempt charitable trusts. Is the orgamzat1on filing Form 990 m lieu of Form 1041?

, b If "Yes," enter the amount of tax-exempt interest received or accrued during the year L...:.1=2b=-'-----"-t'-__._..._ __ --1

13 Section S01(c)(29) qualified nonprofit health insurance issuers.

a Is the orgamzat1on licensed to issue qualified health plans m more than one state?

Note. See the instructions for add1t1onal mformat1on the orgamzat1on must report on Schedule O

b Enter the amount of reserves the orgamzat1on 1s required to maintain by the states in which

the orgamzat1on 1s licensed to issue qualified health plans

c Enter the amount of reserves on hand

14a Did the orgamzat1on receive any payments for indoor tanning services during the tax year?

13b

13c

b If "Yes " has 1t filed a Form 720 to re ort these a ments? If "No " rov1de an ex lanat1on m Schedule O

DAA

D Yes No

1c X

2b X

3a X 3b X

4a x

Sa x Sb x Sc

12a

13a

14a x 14b

Form 990 (2012)

363309812 06/1712013 1 50 PM

Form ggo (201!1) THE HEARTLAND INSTITUTE 36-3309812 Part VI Governance, Management, and Disclosure For each "Yes" response to Imes 2 through 7b below, and for a "No"

response to hne Ba, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O See instructions

Check if Schedule O contains a response to any question rn this Part VI IXL S f AG B d dM ec1on overnma o 1v an anaaement

Yes No

1a Enter the number of votrng members of the govern mg body at the end of the tax year 1a 12 If there are material differences rn votrng rights among members of the governing body, or

1f the governing body delegated broad authority to an executive committee or similar

committee, explain rn Schedule O

b Enter the number of votrng members included rn line 1 a, above, who are independent 1b 11 2 Did any officer, director, trustee, or key employee have a family relat1onsh1p or a business relat1onsh1p with

any other officer, director, trustee, or key employee? 2 x 3 Did the organization delegate control over management duties customarily performed by or under the direct

supervision of officers, directors, or trustees, or key employees to a management company or other person? 3 x 4 Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? 4 x 5 Did the organization become aware during the year of a s1gnif1cant d1vers1on of the organization's assets? 5 x 6 Did the organization have members or stockholders? 6 x 7a Did the organization have members, stockholders, or other persons who had the power to elect or appoint

one or more members of the governing body? 7a x b Are any governance dec1s1ons of the organization reserved to (or subJect to approval by) members,

stockholders, or persons other than the governing body? 7b x 8 Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following

a The governing body? Ba x b Each committee with authority to act on behalf of the govern mg body? Sb x

9 Is there any officer, director, trustee, or key employee listed rn Part VII, Section A, who cannot be reached at

the oraanization's ma11ina address? If "Yes " orov1de the names and addresses rn Schedule O 9 x Section 8. Policies (This Section B reauests information about oohc1es not reauired bv the Internal Revenue Code )

10a Did the organization have local chapters, branches, or affiliates?

b If "Yes,· did the organization have written policies and procedures govern mg the act1v1t1es of such chapters,

affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?

11a Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form?

b Describe rn Schedule O the process, 1f any, used by the organization to review this Form 990

12a Did the organization have a written conflict of interest policy? If "No," go to line 13

b Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts?

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

describe rn Schedule O how this was done

13 Did the organization have a written wh1stleblower policy?

14 Did the organization have a written document retention and destruction policy?

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

independent persons, comparability data, and contemporaneous substantiation of the deliberation and dec1s1on?

a The organization's CEO, Executive Director, or top management official

b Other officers or key employees of the organization

If "Yes" to line 15a or 15b, describe the process rn Schedule O (see rnstruct1ons)

16a Did the organization rnvest rn, contribute assets to, or part1c1pate rn a Jorn! venture or s1m1lar arrangement

with a taxable entity during the year?

b If "Yes,• did the organization follow a written policy or procedure requinng the organization to evaluate its

part1c1pat1on rn iornt venture arrangements under applicable federal tax law, and take steps to safeguard the

oraanizat1on's exemot status with respect to such arranaements?

Section C. Disclosure 17 List the states with which a copy of this Form 990 1s required to be filed .,.. IL 18 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

D Own website l!I Another's website l!I Upon request D Other (explain rn Schedule 0)

19 Describe rn Schedule O whether (and 1f so, how), the organization made its governing documents, conflict of interest policy,

and financial statements available to the public during the tax year

20 State the name, physical address, and telephone number of the person who possesses the books and records of the

organization .... THE HEARTLAND INSTITUTE ONE SOUTH WACKER #2740 CHICAGO IL 60 60 6

DAA

Yes No

10a x

10b N 1,4 11a x

12a x 12b x

12c x 13 x 14 x

15a x 15b x

16a x

16b N 4

312-377-4000 Form 990 (2012)

363309812 06/17/2013 1 50 PM

Form ggo (201~) THE HEARTLAND INSTITUTE 36-3309812 Part VII Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and

Independent Contractors Check 1f Schedule O contains a response to any question in this Part VII O

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees

1a Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year

• List all of the organization's current officers, directors, trustees (whether md1v1duals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) 1f no compensation was paid

• List all of the organ1zat1on's current key employees, 1f any See instructions for defin1t1on 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 fonrner 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 md1v1dual trustees or directors, 1nst1tut1onal trustees, officers, key employees, highest compensated employees, and former such persons

D Check this box 1f neither the organization nor any related organizations compensated any current officer, director, or trustee

(A) (8) (C) (D) (E)

Name and Title Average Pos1t1on Reportable Reportable hours per ( do not check more than one compensation compensation from

week box, unless person 1s both an from related

(list any officer and a director/trustee) the organizations

hours for g::, 0 :,:; ~rE -n organization (W-2/1099-MISC)

related c. 9- :!i CD 0 (W-2/1099-MISC) "' "C"'" 3

organizations ;;;:; s ~ CD om Cl) c. !!i ~~

3 'mg below dotted "O 0

line) 2 "' 3 Cl) 1il !!:. Cl)

Cl) iii Cl)

"' co c.

(1)JOSEPH BAST 40.00

PRESIDENT 0.00 x x 157,301 (2)WILLIAM .ARMISTE.l ~

0.00 DIRECTOR 0.00 x 0 (3)ROBERT BUFORD

0.00 DIRECTOR 0.00 x 0 (4)JERE FABICK

0.00 DIRECTOR 0.00 x 0 (S)CHUCK LANG

0.00 DIRECTOR 0.00 x 0 (6)DAN HALES

0.00 DIRECTOR 0.00 x 0 (7)JEFF JUDSON

0.00 DIRECTOR 0.00 x 0 (&)JAMES JOHNSTON

0.00 FIRST VP TREASURER 0.00 x x 0 (9)JEFFREY MADDEN

0.00 SECRETARY 0.00 x x 0 (10)ARTHUR MARGULIS

0.00 DIRECTOR 0.00 x 0 (11) JEFFREY MCKINLE,

0.00 DIRECTOR 0.00 x 0 DAA

0

0

0

0

0

0

0

0

0

0

0

(F)

Estimated amount of

other compensatron

from the organization and related

organizations

50,000

0

0

0

0

0

0

0

0

0

0 Form 990 (2012)

363309812 06/17/2013 1 50 PM

Form 990 (2012) THE HEARTLAND INSTITUTE 36-3309812 Part VII , Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued) . (A) (B) (C) (D) (E) (F)

Name end title Average Pos1t1on Reponable Reportable Estimated hours per ( do not check more than one compensation compensation from amount of

week box. unless person ,s both an from related other (list any officer and a d1rectorltrustee) the organizations compensation hours for

Q::, ;,< "'::C .,, orgarnzat1on (W-2/1099-MlSC) from the ~

0 (W-2/1099-MISC) related c. c. 3i .. 3<5 0 organization '< "O :,- 3 organizations "s E' ~ ID ~; and related Cl> c. !!l Sl c i5 3 below dotted "O ms organ1zat1ons Q~ ::, 0 line) ~ !!!. '< 3

~ Cl> "O CD (1)

iii iil CD iii * CD a.

(12) HERBERT WALBERG 0.00

CHAIRMAN 0.00 x x 0 0 0 (13)

(14)

(15)

(16)

(17)

(18)

(19)

1b Sub-total • 157,301 50.000 c Total from continuation sheets to Part VII, Section A • d Total (add lines 1b and 1c) • 157,301 50,000

2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 in rt bl f h t • 1 repo a e compensation rom t e oraaniza ion

Yes No

3 Did the organization list any former officer, director, or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such ind1v1dual 3 x

4 For any ind1v1dual listed on line 1a, 1s the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such

x tndtv1dual 4

5 Did any person listed on line 1 a receive or accrue compensation from any unrelated organization or ind1v1dual for services rendered to the oraanizat1on? If "Yes " comolete Schedule J for such person 5 x

Section B. Independent Contractors

1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the oraanizat1on Report compensation for the calendar vear endina with or within the oraanizatton's tax vear

(A) Name and business address

(B) Descnot1on of services

(C) Comoensat1on

2 Total number of independent contractors (including but not limited to those listed above) who received more than $100 000 of comoensation from the oraanizat1on • 0

DAA Form 990 (2012)

363309812 06/17/2013 1 50 PM

Form 990 (201:2) THE HEARTLAND INSTITUTE 36-3309812 Patt VIII Statement of Revenue

Check 1f Schedule O contains a response to any question in this Part VIII D (A) (B) (C) (D)

Total revenue Related or Unrelated Revenue exempt business excluded from tax function revenue under sections revenue 512, 513, or 514

!!I!!! 1a Federated campaigns 1a c: c: Ill :s

b Membership dues 1b .. 0

~E c Fundra1smg events 1c cn,ct ,I: ..

d Related organizations 1d ·-111 Cl: uiE e Government grants (contnbubons) 1e c:·-oU> f All other contnbut,ons, gifts, grants, __ ._ .,GI :s .c: and s1m1lar amounts not included above 1f 5,202,679 .c ... :so g Noncash contnbubons included m Imes 1 a-11 $ C:'C O c:

h Total. Add Imes 1 a-1f ..... 5,202,679 (.) Ill

Cl> Busn Code ::I c: Cl> 2a OTHER EVENTS 59,988 59,988 > CII a:: b PUBLICATIONS/RESEARCH 5,963 5,963 Cl> u c PREMIUMS 4,294 4,294 -~ Cl> d U)

E e ... .. C> f All other program service revenue 0 ~ a Total. Add lines 2a-2f ..... 70,245

3 Investment income (mcludmg d1v1dends, interest,

and other s1m1lar amounts) .... 6,997 6,997 4 Income from investment of tax-exempt bond proceeds IJI>

5 Royalties .... (1) Real (11) Personal

6a Gross rents

b Less rental exps

c Rental me or (loss)

d Net rental income or llossl .... 7a Gross amount from (1) Securities (u)Other

sales of assets other than inventor.

b Less cost or other

basis & sales exps

c Gam or (loss)

d Net gam or (loss) .... CII Sa Gross income from fundra1sing events :s (not including $ c: CII > of contnbut1ons reported on line 1 c) CII a::

See Part IV, line 18 129,272 .. a CII .c: b Less direct expenses b 82,578 5

c Net income or (loss) from fundra1s1n events .... 46,694 9a Gross income from gaming act1v1t1es

See Part IV, line 19 a

b Less direct expenses b

c Net income or (loss) from gaming act1v1tles .... 10a Gross sales of inventory, less

returns and allowances a

b Less. cost of goods sold b

c Net income or lloss\ from sales of 1nventorv .... Miscellaneous Revenue Busn Code

11a ADVERTISING INCOME 511110 2,500 2,500

b

c

d All other revenue

e Total. Add Imes 11a-11d .... 2,500 12 Total revenue. See instructions ..... 5,329,115 77.242 2,500 0

Form 990 (2012)

DAA

363309812 06/17/20131 50 PM

Form 990 (2012) THE HEARTLAND INSTITUTE 36-3309812 Part IX Statement of Functional Expenses

Section 501(c)(3) and 501(c)(4) orQanizat1ons must complete all columns All other orQanizat1ons must complete column (A) Check 1f Schedule O contains a response to any question in this Part IX IXI

Do not include amounts reported on lines 6b, (A) (B) (C) (D) Total expenses Program service Management and Fundra,s,ng

7b Sb 9b and 10b of Part VIII. expenses general expenses expenses

1 Grants and other assistance to governments and

orgamzallons in the U S See Part IV, hne 21

2 Grants and other assistance to md1v1duals in

the U.S. See Part IV, hne 22

3 Grants and other assistance to governments,

organizations, and md1v1duals outside the

U S See Part IV, Imes 15 and 16

4 Benefits paid to or for members

5 Compensation of current officers, directors,

trustees, and key employees

6 Compensation not included above, to disqualified

persons (as defined under section 4958(n(1 )) and

persons descnbed in section 4958(c)(3)(B)

7 Other salaries and wages 1.870.038 1.136.882 434.398 298,758 8 Pension plan accruals and contributions (include

secllon 401(k) and 403(b) employer contnbut1ons)

9 Other employee benefits 102.745 64.384 21.941 16.420 10 Payroll taxes 143.680 87.416 33.400 22.864 11 Fees for services (non-employees)

a Management

b Legal 470.050 470.050 c Accounting 43.389 25 075 11.444 6,870 d Lobbying

e Professional fundra1sing services See Part IV, hne 17

f Investment management fees

g Other (If line 11g amount exceeds 10% of hne 25, column

(A) amount. hst hne 11g expenses on Schedule O) 854.664 786.678 50.558 17 428 12 Advertising and promotion 68 587 68.377 210 13 Office expenses 33.724 23.806 1.645 8.273 14 Information technology 84.743 84.743 15 Royalties

16 Occupancy 234.130 140.478 46.826 46.826 17 Travel 242.527 213.331 8 851 20,345 18 Payments of travel or entertainment expenses

for any federal, state, or local public officials

19 Conferences, conventions, and meetings 468.082 442.426 590 25.066 20 Interest 1.911 1.911 21 Payments to affiliates

22 Deprec1at1on, depletion, and amort1zat1on 7 540 4.524 1.508 1,508 23 Insurance

24 Other expenses Itemize expenses not covered

above (List miscellaneous expenses in hne 24e If

line 24e amount exceeds 10% of hne 25, column

(A) amount, hst hne 24e expenses on Schedule O )

a PRINTING AND PUBLICATIONS 263.522 203.347 269 59,906 b POSTAGE AND SHIPPING 214.245 175 208 1.058 37,979 c SPECIAL PROJECT 176.781 148.241 28.540 d TELEPHONE 40.674 24.437 8.184 8,053 e All other expenses 123.280 95 684 14.218 13,378

25 Total functional ex1>enses. Add Imes 1 throuoh 24e 5,444.312 4.195.087 637.011 612.214 26 Joint costs. Complete this hne only if the

orgamzat1on reported in column (B) Joint costs from a combined educational campaign and fundra1sing solicitation Check here ~ D 1f followina SOP 98-2 (ASC 958-720)

DAA Form 990 (2012)

363309S12 06/17/2013 1 50 PM

Form 990 (2012) THE HEARTLAND INSTITUTE 36-3309812 Part X Balance Sheet

Check 1f Schedule O contains a resoonse to anv auest1on m this Part X I I (A) (B)

Beginning of year End of year

1 Cash-non-interest bearing 129 091 1 59,534 2 Savings and temporary cash investments 2

3 Pledges and grants receivable, net 3

4 Accounts receivable, riet 4 140,554 5 Loans and other receivables from current and former officers, directors,

trustees, key employees, and highest compensated employees

Complete Part II of Schedule L 5

6 Loans and other receivables from other disqualified persons (as defined under section

4958(f)(1)), persons described m section 4958(c)(3)(8), and contributing employers and

sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary

!l organizations (see instructions) Complete Part II of Schedule L 6 GI

7 Notes and loans receivable, net CII 7 CII < 8 Inventories for sale or use 8

9 Prepaid expenses and deferred charges 8.911 9 4.786 10a Land, buildings, and equipment cost or

other basis Complete Part VI of Schedule D 10a 219.146 b Less accumulated deprec1at1on 10b 176,756 29.018 10c 42.390

11 Investments-publicly traded securities 11

12 Investments-other securities See Part IV, line 11 12

13 Investments-program-related See Part IV, line 11 13

14 Intangible assets 14

15 Other assets See Part IV, line 11 163 473 15 235,307 16 Total assets. Add Imes 1 throuah 15 lmust enual line 34) 330 493 16 482 571 17 Accounts payable and accrued expenses 238.453 17 377,936 18 Grants payable 18

19 Deferred revenue 19

20 Tax-exempt bond liab1ilt1es 20

21 Escrow or custodial account liability Complete Part IV of Schedule D 21

CII 22 Loans and other payables to current and former officers, directors, GI E trustees, key employees, highest compensated employees, and :c disqualified persons Complete Part II of Schedule L 50.000 22 70,000 ftl :::i 23 Secured mortgages and notes payable to unrelated third parties 23

24 Unsecured notes and loans payable to unrelated third parties 24

25 Other hab1ht1es (including federal income tax, payables to related third

parties, and other liab11it1es not included on Imes 17-24) Complete Part X

of Schedule D 199,562 25 307,354 26 Total liabilities. Add lines 17 throuah 25 488 015 26 755 290

Organizations that follow SFAS 117 (ASC 958), check here ll> ~ and CII

complete lines 27 through 29, and lines 33 and 34. GI c.J c: 27 Unrestricted net assets -188.098 27 -459,797 ftl iii 28 Temporarily restricted net assets 30.576 28 187,078 ai "Cl 29 Permanently restricted net assets 29 c: ::J

Organizations that do not follow SFAS 117 (ASC 958), check here ll> O and u.. ... 0 complete lines 30 through 34. !l GI 30 Capital stock or trust principal, or current funds 30 CII CII 31 Pa1d-m or capital surplus, or land, building, or equipment fund 31 < - 32 Retained earnings, endowment, accumulated income, or other funds 32 GI z -157.522 -272.719 33 Total net assets or fund balances 33

34 Total liab11it1es and net assets/fund balances 330.493 34 482.571 Fenn 990 (2012)

DAA

363309812 06/1712013 1 50 PM

Form 990 (201~) THE HEARTLAND INSTITUTE 36-3309812 Part XI Reconciliation of Net Assets

Check rf Schedule O contains a resoonse to anv auestron in this Part XI n 1 Total revenue (must equal Part VIII, column (A), line 12) 1 5,329 115 2 Total expenses (must equal Part IX, column (A), line 25) 2 5,444,312 3 Revenue less expenses Subtract line 2 from line 1 3 -115,197 4 Net assets or fund balances at begrnnrng of year (must equal Part X, lrne 33, column (A)) 4 -157,522 5 Net unrealized garns (losses) on rnvestments 5 6 Donated services and use of facrli!les 6 7 Investment expenses 7 8 Prior period adJustments 8

9 Other changes rn net assets or fund balances (explarn rn Schedule 0) 9 10 Net assets or fund balances at end of year Combrne lines 3 through 9 (must equal Part X, line

33. column (Bl) 10 -272,719 Part.XH Financial Statements and Reporting

Check ,t Schedule O contains a resoonse to anv auestron in this Part XII n Yes No

1 Accountrng method used to prepare the Form 990 O Cash ~ Accrual D Other

If the organization changed ,ts method of accounting from a prior year or checked "Other," explain rn

Schedule O

2a Were the organization's financial statements compiled or reviewed by an rndependent accountant? 2a x If "Yes," check a box below to rnd1cate whether the financial statements for the year were compiled or

reviewed on a separate basis, consolidated basis, or both

D Separate basis D Consolidated basis D Both consolidated and separate basis

b Were the organization's financial statements audited by an rndependent accountant? 2b x If "Yes," check a box below to rnd1cate whether the financial statements for the year were audited on a

separate basis, consolidated basis, or both

~ Separate basis D Consolidated basis D Both consolidated and separate basis c If "Yes" to line 2a or 2b, does the organization have a committee that assumes respons1b11ity for oversight

of the audit, review, or compilation of ,ts financial statements and selection of an rndependent accountant? 2c x If the organization changed either ,ts oversight process or selection process during the tax year, explarn rn

Schedule O

3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth rn

the Srngle Audit Act and OMB Circular A-133? 3a x b If "Yes,• did the organization undergo the required audit or audits? If the organization did not undergo the M 4 reau1red audit or audits exolarn whv rn Schedule O and describe anv steos taken to underao such audits 3b

Form 990 (2012)

DAA

363309812 06/17/2013 1 50 PM

Sc.HEDULEA (Fon1t 990 or 990-EZ)

Department of the Treasury Internal Revenue Service

Public Charity Status and Public Support Complete if the organization is a section 501(c)(3) organization or a section

4947(a)(1) nonexempt charitable trust.

11),-Attach to Form 990 or Form 990-EZ. ~ See separate instructions.

OMB No 1545-0047

2012 01Wf! tq Publ~

lnspecrnc)O Name of tho organ1zat1on Employer ldentlflcat,on number

THE HEARTLAND INSTITUTE 36-3309812 Part t Reason for Public Charity Status (All organizations must complete this part.) See instructions

The organization 1s not a private foundation because 1t 1s (For Imes 1 through 11, check only one box )

1 ~ A church, convention of churches, or assoc1at1on of churches described m section 170(b)(1)(A)(i).

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

3 A hospital or a cooperative hospital service organ1zat1on described m section 170(b)(1)(A)(iii).

4 A medical research organization operated m conJunctlon with a hospital described m section 170(b)(1)(A)(iii). Enter the hospital's name,

5 0

10 B 11

e D

city, and state

An organization operated for the benefit of a college or university owned or operated by a governmental unit described m

section 170(b)(1)(A)(iv). (Complete Part II)

A federal, state, or local government or governmental unit described 1n 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 m section 170(b)(1)(A)(vi). (Complete Part II)

A community trust described m 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 act1v1t1es related to its exempt functlons-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 Ill)

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 organ1zat1ons described m section 509(a)(1) or section 509(a)(2) See section

509(a)(3). Check the box that describes the type of supporting organization and complete Imes 11 e through 11 h

a O Type I b O Type II c O Type III-Funct1onally integrated d O Type Ill-Non-functionally integrated

By checking this box, I certify that the organization 1s not controlled directly or indirectly by one or more disqualified persons

other than foundation managers and other than one or more publicly supported organizations described m section 509(a)(1)

or section 509(a)(2)

If the organization received a written determination from the IRS that 1t 1s a Type I, Type II, or Type Ill supporting

organization, check this box

g Smee August 17, 2006, has the organization accepted any gift or contribution from any of the

following persons?

0

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

(iii) below, the governing body of the supported organization?

Yes No

(ii) A family member of a person described m (1) above?

(iii) A 35% controlled entity of a person described m (1) or (11) above?

h Provide the followma information about the suooorted oraanizat1on(sl

(I) Name of supported (il)EIN (111) Type of orgarnzat,on organization ( descnbed on lines 1-9

above or IRC section (see 1nstruct1ons))

(A)

(B)

(C)

(D)

(E)

Total

For Paperwork Reduction Act Notice, see the Instructions for

Form 990 or 990-EZ.

DAA

(iv) Is the organization (v) Did you notify (vi) Is the (vu) Amount of monetary m col (i) hsled m your the organizabon m organization 1n col support governing document? col (i) of your (I) organized m the

support? US?

Yes No Yes No Yes No

Schedule A (Form 990 or 990-EZ) 2012

363309812 06/17/2013 1 50 PM

ScheduleA(Form990or990-EZ)2012 THE HEARTLAND INSTITUTE 36-3309812 Page2

Part II Support Schedule for Organizations Described in Sections 170(b)(1 )(A)(iv) and 170(b)(1 )(A)(vi) (Complete only 1f you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part Ill If the orgarnzat1on fails to qualify under the tests hsted below, please complete Part Ill )

S f A P bl" S rt ec ion u IC UPPO Calendar year (or fiscal year beginning in) ~ (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

1 Gifts, grants, contnbut1ons, and membership fees received (Do not 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 contnbut1ons by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)

6 Public suooort. Subtract line 5 from line 4 s f ec1on BT ota IS up port Calendar year (or fiscal year beginning in) ~ (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

7 Amounts from line 4

8 Gross income from interest. d1v1dends, payments received on secunt1es loans, rents. royalties and income from s1m1lar sources

9 Net income from unrelated business act1v1t1es, whether or not the business

1s regularly earned on

10 Other income Do not include gain or loss from the sale of capital assets (Explain in Part IV )

11 Total support. Add lines 7 through 10

12 Gross receipts from related act1v1t1es, etc (see 1nstruct1ons)

13 First five years. If the Form 990 1s 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 utation of Public Su ort Percenta e 14 Public support percentage for 2012 (line 6, column (f) d1v1ded by line 11, column (f))

15 Public support percentage from 2011 Schedule A, Part II, line 14

16a 33 1/3% support test-2012. If the organization did not check the box on line 13, and line 14 1s 33 1/3% or more, check this

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

b 33 1/3% support test-2011. If the organization did not check a box on hne 13 or 16a, and line 15 1s 33 1/3% or more,

check this box and stop here. The organization qual1f1es as a publicly supported organization

17a 10%-facts-and-circumstances test-2012. If the organization did not check a box on hne 13, 16a, or 16b, and line 14 1s

10% or more, and 1f the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in

Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly supported

organization

b 10%-facts-and-circumstances test-2011. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line

15 1s 10% or more, and 1f the organization meets the "facts-and-circumstances" test. check this box and stop here.

Explain in Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly

supported organization

18 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see

instructions

I 12

14

15

(f) Total

(f) Total

%

%


DAA

363309612 06/17/2013 1 50 PM

ScheduleA(Form990or990-EZ)2012 THE HEARTLAND INSTITUTE 36-3309812 Page3

Pa'rt HI Support Schedule for Organizations Described in Section 509(a)(2) (Complete only 1f you checked the box on line 9 of Part I or 1f the organization failed to qualify under Part II If the orgarnzat1on fails to qualify under the tests listed below, please complete Part II.)

S f A P bl" S ec ion u IC up port Calendar year (or fiscal year beginning in) ..,,. (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

1 Gifts, grants, contnbut1ons, and membership fees received (Do not include any 'unusual

7 659 414 6 499 687 5 973 500 4 538 537 5 202 679 grants.") 2 Gross receipts from adm1ss1ons, merchandise

sold or services performed, or fac1ht1es furnished m any activity that 1s related to the

151 709 209 487 140 864 98 885 72 744 organization's tax-exempt purpose

3 Gross receipts from act1v1t1es 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 Imes 1 through 5 7 811 123 6 709 174 6 114 364 4 637 422 5 275 423

7a Amounts included on Imes 1, 2, and 3 received from disqualified persons 5 610 000 4 170 159 3 398 000 1 777 600 3 440 675

b Amounts included on Imes 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1 % of the amount on line 13 for the year

c Add Imes 7a and 7b 5 610 000 4 170 159 3 398,000 1 777 600 3 440 675

8 Public support (Subtract line 7c from lme6)

s f ec ion BT t IS oa uppo rt Calendar year (or fiscal year beginning in) ..,,. (a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

9 Amounts from line 6 7,811 123 6 709 174 6 114 364 4 637 422

10a Gross income from interest, d1v1dends, payments received on secunbes loans, rents, royalues and income from s1m1lar sources 22,661 58,969 8,537 1,681

b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975

c Add Imes 1 Oa and 1 Ob 22,661 58 969 8,537 l, 681

11 Net income from unrelated business activities not included in line 10b, whether or not the business 1s regularly earned on

12 Other income Do not include gain or loss from the sale of capital assets (Explain in Part IV )

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

and 12) 7 833 784 6 768 143 6 122 901 4 639 103

14 First five years. If the Form 990 1s 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 utation of Public Su ort Percenta e 15 Public support percentage for 2012 (line 8, column (f) d1v1ded by line 13, column (f))

16 Public su ort ercenta e from 2011 Schedule A Part Ill line 15 Section D. Com utation of Investment Income Percenta e 17 Investment income percentage for 2012 (line 1 Oc, column (f) d1v1ded by line 13, column (f))

18 Investment income percentage from 2011 Schedule A, Part Ill, line 17

5 275 423

6 997

6,997

5 282 420

15

16

17

18

19a 33 1/3% support tests-2012. If the organization did not check the box on line 14, and line 15 1s more than 33 1/3%, and line

17 1s not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization

b 33 1/3% support tests-2011. If the organization did not check a box on line 14 or line 19a, and line 16 1s more than 33 1/3%, and

line 18 1s not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization

20 Private foundation. If the or amzation did not check a box on line 14 19a or 19b check this box and see 1nstruct1ons

(f) Total

29 873 817

673 689

30 547 506

18 396 434

18,396 434

12 151 072

(f) Total

30 547 506

98 845

98 845

30 646 351

39. 65%

38.82 %

%

%


DAA

363309812 06/17/2013 1 50 PM

Schedule A (Fo'rm 990 or 990-EZ) 2012 THE HEARTLAND INSTITUTE 3 6-33 0 9 812 Patt tV Supplemental Information. Complete thrs part to provide the explanations required by Part II, line 10,

Part II, lrne 17a or 17b, and Part Ill, lrne 12. Also complete thrs part for any addrtronal information (See rnstructrons).

Page4

CAA Schedule A (Form 990 or 990-EZ) 2012

363309812 06/17/20131 50 PM

SCHEDULE'C (Fon'n 990 or 990-EZ)

Department of the Treasury tntemal Revenue Service

Political Campaign and Lobbying Activities

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.

..,.. See separate instructions.

OMB No 1545-0047

2012 Open to Public

lospeotion If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-EZ, Part V, hne 46 (Political Campaign Activities), then

• Section 501 (c)(3) organizations Complete Parts I-A and B Do not complete Part 1-C

• Section 501 (c) (other than section 501 (c)(3)) organizations Complete Parts I-A and C below Do not complete Part 1-B

• Section 527 organizations Complete Part 1-A only

If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, lme 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 11-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," to Form 990, Part IV, line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then

• Section 501 (c)(4), (5), or (6) organizations Complete Part Ill

Name of organ,zation Employer 1dentlficat1on number

THE HEARTLAND INSTITUTE 36-3309812 Partl ... A Complete if the organization is exempt under section 501(c) or is a section 527 organization.

Provide a description of the organization's direct and indirect political campaign act1v1t1es 1n Part IV

2 Political expenditures

3 Volunteer hours

... $

Partl..S 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

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 1t file Form 4720 for this year?

4a Was a correction made?

b If "Yes "describe in Part IV

... $

... $

Part l..C Complete if the organization is exempt under section 501(c), except section 501(c)(3).

(1)

(2)

(3)

(4)

(5)

(6)

Enter the amount directly expended by the filing organization for section 527 exempt function

act1v1ties

2 Enter the amount of the filing organization's funds contributed to other organizations for section

527 exempt function act1v1t1es

3 Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-POL,

line 17b

4 Did the filing organization file Form 1120-POL for this year?

... $

... $

... $

5 Enter the names, addresses and employer 1dent1ficat1on 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

as a separate seoreoated fund or a political action committee (PAC} If additional soace 1s needed, orov1de information in Part IV

(a) Name (b)Addrass (c) EIN (d) Amount paid from

filing organizat,on's

funds If none, enter -0-

Oves O No

oves D No

0Yes O No

(e) Amount of pohllcal

contnbut1ons received and promptly and directly

delivered to a separate poht1cal organization If

none, enter -0.

For Paperwork Reduction Act Notice, sea the Instructions for Fonn 990 or 990-EZ. Schedule C (Fonn 990 or 990-EZ) 2012

DAA

363309812 06/17/2013 1 50 PM

Scheoule,C(Form990or990-EZ)2012 .THE HEARTLAND INSTITUTE 36-3309812 Paqe2 Part 11..A Complete if the organization is exempt under section 501 (c)(3) and filed Form 5768 (election under

section 501(h)). A Check Ill-D 1f the f1hng organization belongs to an aff1hated group (and list m Part IV each aff1hated group member's

name, address, EIN, expenses, and share of excess lobbying expenditures) B Check .,.. n 1f the f1hng organization checked box A and "limited control" prov1s1ons apply

Limits on Lobbying Expenditures (The term "expenditures" means amounts paid or incurred.)

1a Total lobbying expenditures to influence pubhc opinion (grass roots lobbying)

b Total lobbying expenditures to influence a legislative body (direct lobbying)

c Total lobbying expenditures (add hnes 1 a and 1 b)

d Other exempt purpose expenditures

e Total exempt purpose expenditures (add Imes 1c and 1d)

f

g

h

i

Lobbying nontaxable amount Enter the amount from the following table m both

columns

If the amount on line 1e column lal or lbl is: The lobbvina nontaxable amount Is·

Not over $500.000 20% of the amount on hne 1 e Over $500, 000 but not over $1, 000. 000 $100,000 olus 15% of the excess over $500.000 Over $1,000,000 but not over $1,500 000 $175 000 olus 10% of the excess over $1,000,000 Over $1,500.000 but not over $17,000.000 $225.000 plus 5% of the excess over $1,500 000 Over $17,000.000 $1 000 000 Grassroots nontaxable amount (enter 25% of hne 1f)

Subtract hne 1 g from hne 1 a If zero or less, enter -0-

Subtract hne 1 f from hne 1 c If zero or less, enter -0-

If there 1s an amount other than zero on either hne 1 h or hne 11, did the organization file Form 4720

reporting section 4911 tax for this year?

4-Year Averaging Period Under Section 501(h)

(a) F,hng (b) Affiliated organization's totals group totals

4,355 4,355

4.002 607 4.006,962

350.348

87,587 0 0

Qves O No

(Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the instructions for lines 2a through 2f on page 4.)

L b. E ob 1vma xoen d" 1tures urma -D . 4 Y ear A veraama p . d er10

Calendar year (or fiscal year (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e)Total beginning m)

2a Lobbying nontaxable amount 415,935 350,348 766,283 b Lobbying ceiling amount

{150% of hne 2a, column(e)) 1,149,425

c Total lobbying expenditures 464 4,355 4,819

d Grassroots nontaxable amount 103,984 87,587 191 571 e Grassroots ceiling amount

1150% of line 2d column (ell 287,357

f Grassroots lobbying expenditures

Schedule C (Fonn 990 or 990-EZ) 2012

DAA

363309812 06/17/2013 1 50 PM

SeheduleC(Fonn99bor990-EZ)2012 THE HEARTLAND INSTITUTE 36-3309812 Pa9a3

Part 11..S Complete if the organization is exempt under section 501 (c)(3) and has NOT filed Form 5768 telection under section 501lh)).

(a) (b) For each "Yes," response to Imes 1a through 1i below, provide in Part IV a detailed

description of the lobbying act1v1ty Yes No Amount

1 During the year, did the filing organization attempt to influence foreign, national, state or local

leg1slat1on, mcludmg any attempt to influence public opinion on a legislative matter or

referendum, through the use of

a Volunteers?

b Paid staff or management (include compensation m expenses reported on Imes 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 s1m1lar means?

i Other act1v1t1es?

j Total Add lines 1 c through 11

2a Did the act1v1t1es m line 1 cause the organization to be not described m section 501(c)(3)?

b If "Yes," enter the amount of any tax incurred under section 4912

c If "Yes,' enter the amount of any tax incurred by organization managers under section 4912

d If the filina oraanization incurred a section 4912 tax did 11 file Form 4720 for this vear?

Part lfl,.A Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section

501(c)(6).

Yes

1 Were substantially all (90% or more) dues received nondeductible by members? 1 2 Did the organization make only in-house lobbying expenditures of $2,000 or less? 2

3 Did the oraanization aaree to carrv over lobbvma and oolitical exoend1tures from the orior vear? 3

PartlU.S Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section

501(c)(6) and if either (a) BOTH Part Ill-A, lines 1 and 2, are answered "No," OR (b) if Part Ill-A, line 3, is

answered "Yes."

1 Dues, assessments and similar amounts from members 1

2 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 2a

b Carryover from last year 2b

c Total 2c

3 Aggregate amount reported m section 6033(e)(1 )(A) notices of nondeductible section 162(e) dues 3

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? 4

5 Taxable amount of lobbvmo and political expenditures lsee instructions) 5

Part IV Supplemental Information

Complete this part to provide the descriptions required for Part I-A, line 1, Part 1-B, line 4, Part 1-C, line 5, Part II-A (affiliated group

list), Part II-A, line 2, and Part 11-B, line 1 Also, complete this part for any additional information

SCHEDULE C, PART II-A, EXPLANATION OF FOUR YEAR AVERAGING

THE HEARTLAND INSTITUTE FILED THE SECTION 501(H) ELECTION IN LATE 2011.

THE 2011 990 WAS THE FIRST TIME THAT THE HEARTLAND INSTITUTE HAD SCHEDULE

C EXPENSES

No

DAA Schedule C (Fonn 990 or 990-EZ) 2012

363309812 06/17/20131 50 PM

SehedulsC(Form990or990-EZ)2012 THE HEARTLAND INSTITUTE 36-3309812 Page4

Part IV Supplemental Information (continued)

Schedule C {Form 990 or 990-EZ) 2012

DAA

363309812 06/17/2013 1 50 PM

SCHEDULED (Form 990)

Depar1ment of the Treasury Internal Revenue Service

Name of the organlzallon

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

Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. ~ Attach to Form 990. ~ See separate instructions.

OMB No 1545-0047

2012 Open to Public ln~pec,tJon

Employer 1dent1flcat1on number

THE HEARTLAND INSTITUTE 36-3309812 Part I Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete 1f the

organization answered "Yes" to Form 990, Part IV, line 6. (a) Donor advised funds (b) Funds and other accounts

1 Total number at end of year

2 Aggregate contributions to (during year)

3 Aggregate grants from (during year)

4 Aggregate value at end of year

5 Did the organization inform all donors and donor advisors 1n writing that the assets held m donor advised

funds are the organization's property, subject to the organization's exclusive legal control? D Yes D No 6 Did the organization inform all grantees, donors, and donor advisors m writing that grant funds can be used

only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose

conferring 1mperrniss1ble private benefit? D Yes O No

-Part II Conservation Easements. Complete 1f the organization answered "Yes" to Form 990, Part IV, line 7. Purpose(s) of conservation easements held by the organization (check all that apply)

§ Preservation of land for public use (e g , recreation or education) D Preservation of an historically important land area

Protection of natural habitat D Preservation of a certified historic structure

Preservation of open space

2 Complete Imes 2a through 2d 1f the organization held a qualified conservation contribution m the form of a conservation easement on the last day of the tax year

Held at the End of the Tax Year

a Total number of conservation easements

b Total acreage restricted by conservation easements

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

d Number of conservation easements included m (c) acquired after 8/17/06, and not on a

historic structure listed m the National Register

2a

2b

2c

2d

3 Number of conservation easements modified, transferred, released, extinguished, or terrninated by the organization during the

tax year~

4 Number of states where property subject to conservation easement 1s located ~

5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling of

v1olat1ons, and enforcement of the conservation easements 11 holds?

6 Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year

~

7 Amount of expenses incurred m monitoring, mspectmg, and enforcing conservation easements during the year

~$

8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)

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

9 In Part XIII, describe how the organization reports conservation easements m its revenue and expense statement. and balance sheet, and include, 1f applicable, the text of the footnote to the organization's financial statements that describes the

organization's accounting for conservation easements .

Part IU Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete 1f the organization answered "Yes" to Form 990, Part IV, line 8

1a If the organization elected, as permitted under SFAS 116 (ASC 958), not to report m its revenue statement and balance sheet

works of art, historical treasures, or other s1m1lar assets held for public exh1b1tion, education, or research m furtherance of

public service, provide, m Part XIII, the text of the footnote to ,ts financial statements that describes these ,terns

b If the organization elected, as permitted under SFAS 116 (ASC 958), to report m its revenue statement and balance sheet

works of art. historical treasures, or other s1m1lar assets held for public exh1b1t1on, education. or research m furtherance of

public service, provide the following amounts relating to these items

(I) Revenues included m Form 990, Part VIII, line 1

(ii) Assets included m Form 990, Part X

~ $

~ $

2 If the organization received or held works of art, historical treasures, or other s1m1lar assets for financial gam, provide the

following amounts required to be reported under SFAS 116 (ASC 958) relating to these items

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

b Assets included m Form 990 Part X

~ $

~ $

D Yes D No

D Yes D No

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

Schedule D (Form 990) 2012

363309812 06/17/2013 1 50 PM

Sch@duleD(Forin990)2012 THE HEARTLAND INSTITUTE 36-3309812 Page2

Part Ill Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued) 3 Using the organization's acqu1s1t1on, accession, and other records, check any of the following that are a significant use of its

collection items (check all that apply)

a § Public exh1b1t1on b Scholarly research

c Preservation for future generations

d B Loan or exchange programs

e Other

4 Provide a description of the organization's collect1ons and explain how they further the organization's exempt purpose m Part

XIII

5 Dunng the year, did the organization solicit or receive donations of art, historical treasures, or other s1m1lar

assets to be sold to raise funds rather than to be maintained as part of the organization's collection? 0 Yes D No

Part IV Escrow and Custodial Arrangements. Complete 1f the organization answered "Yes" to Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21

1a Is the organization an agent, trustee, custodian or other 1ntermed1ary for contributions or other assets not

included on Form 990, Part X?

b If "Yes " explain the arrangement 1n Part XIII and complete the following table

c Beginning balance

d Add1t1ons during the year

e D1stribut1ons during the year

f Ending balance

2a Did the organization include an amount on Form 990, Part X, hne 21?

b If "Yes," explain the arranaement 1n Part XIII Check here 1f the explanation has been provided 1n Part XIII

1c

1d

1e

1f

PartV Endowment Funds. c f h omo ete I t e oraanizat1on answere d "Y es" to Form 990 Part IV line 10. (al Current year (bl Pnor year (cl Two years back

1a Beginning of year balance

b Contnbut1ons

c Net investment earnings, gains, and

losses

d Grants or scholarships

e Other expenditures for fac1ht1es and

programs

f Admm1strat1ve expenses

g End of year balance

2 Provide the estimated percentage of the current year end balance (line 1 g, column (a)) held as

a Board designated or quasi-endowment ~ %

b Permanent endowment ~ %

c Temporarily restricted endowment ~ %

The percentages m Imes 2a, 2b, and 2c should equal 100%

3a Are there endowment funds not m the possession of the organization that are held and administered for the

organization by

(i) unrelated organizations

(ii) related organizations

b If "Yes" to 3a(11), are the related organizations listed as required on Schedule R?

4 Describe m Part XIII the intended uses of the organization's endowment funds

Part VI L d B d E S F 990 P X I 10 an uildinas an :au1oment. ee orm art me

(di Three years back

Descnpt,on of property (al Cost or other basis (b) Cost or other bas,s (cl Accumulated

(investment) (other) deprec1at1on

1a Land

b Buildings

c Leasehold improvements 18,570 929 d Equipment 169,827 157,453 e Other 30,749 18,374

Total. Add Imes 1a through 1e (Column (d) must equal Form 990, Part X. column (B), hne 10(c)) ~

D Yes D No

Amount

D Yes H No

(el Four years back

Yes No

3a(i)

3alii)

3b

(di Book value

17,641 12.374 12,375 42,390


DAA

363309812 06/17/20131 SO PM

Schadule D (Form 990) 2012 THE HEARTLAND INSTITUTE 36-3309812 Page 3 Par'J: VU Investments-Other Securities See Form 990 Part X line 12 ,

(a) Descnpt,on of security or category (b) Book value (c) Method of valuation

(1nclud1ng name of security) Cost or end-of-year market value

(1) Financial derivatives

(2) Closely-held equity interests

(3) Other

(A)

(B)

{C)

{D)

(E) {F)

(G) (H)

(I)

Total. (Column (b) must equal Form 990, Part X, col (B) line 12) .... P rtvm a t nves ments- p roaram RltdS F eae ee orm 990 P X I , art , 1ne 1 3

(a) Description of investment type (b) Book value (c) Method of valuation

Cost or end-of-year marl<et value

(1)

(2)

(3)

(4)

(5)

(6) (7) (8)

(9)

(10)

Total. (Column (b) must equal Form 990, Part X, col (Bl line 13) .... Part IX Other Assets. See Form 990 Part X line 15 , ,

(a) Description (b) Book value

(1) DEFERRED COMPENSATION 221,476 (2) SECURITY DEPOSITS 13,831 (3)

(4)

(5)

(6) (7)

(8)

(9)

(10)

Total. (Column (b) must equal Form 990, Part X, col (B) line 15) .... 235,307 PartX Other Liabilities See Form 990 Part X line 25 ,

1. (a) Descnpt,on of hab,hty (b) Book value

(1) Federal income taxes

(2) DEFERRED COMPENSATION LIABILITY 271,476 (3) DEFERRED RENT 35,878 (4)

(5)

(6)

(7) (8)

(9)

(10)

(11)

Total. (Column (b) must eaual Form 990, Part X, col (B) hne 25 ) .... 307,354 2. FIN 48 {ASC 740) Footnote In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's

liability for uncertain tax pos1t1ons under FIN 48 (ASC 740) Check here 1f the text of the footnote has been provided in Part XIII

DAA Schedule D (Form 990) 2012

363309812 06/17/2013 1 50 PM

Schadule D (Form 990) 2012 THE HEARTLAND INSTITUTE 36-3309812 P rtXI R T f a econc1 1a ion o fR evenue per A d"t d F" . I St t t W"th R u 1e manc1a a emen s I evenue per R t e urn 1 Total revenue, gains, and other support per audited financial statements 1

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

a Net unrealized gains on investments 2a

b Donated services and use of fac1ht1es 2b

c Recoveries of prior year grants 2c

d Other (Describe m Part XIII ) 2d 82,578 e Add Imes 2a through 2d 2e

3 Subtract line 2e from line 1 3 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 ?b 4a

b Other (Describe m Part XIII ) 4b

c Add Imes 4a and 4b 4c

5 Total revenue Add Imes 3 and 4c. (This must equal Form 990. Part I. line 12) 5

P rtXH R a Tf econc1 1a ion o fE xpenses per A d"t d F" . I St t t W"th E u ,e manc,a a emen s I xpenses per R t e urn 1 Total expenses and losses per audited financial statements 1

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

a Donated services and use of facilities 2a

b Prior year adJustments 2b

c Other losses 2c

d Other (Describe m Part XIII ) 2d 82,578 e Add Imes 2a through 2d 2e

3 Subtract line 2e from line 1 3

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 ?b 4a

b Other (Describe m Part XIII ) 4b

c Add Imes 4a and 4b 4c

5 Total expenses Add Imes 3 and 4c. (This must equal Form 990, Part I, line 18) 5

Part XUI Supplemental Information Complete this part to provide the descriptions required for Part II, Imes 3, 5, and 9, Part Ill, lines 1 a and 4, Part IV, Imes 1 band 2b,

Part V, line 4. Part X. line 2, Part XI, lines 2d and 4b. and Part XII, Imes 2d and 4b Also complete this part to provide any add1t1onal

information

PART X - FIN 48 FOOTNOTE

Page4

5,411,693

82,578 5,329,115

5 329,115

5.526,890

82,578 5,444,312

5,444 312

THE INSTITUTE ADOPTED THE IMPLEMENTATION OF FASB ASC 740 (FORMERLY FIN 48,

"ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES"). UNDER FASB ASC 740,

MANAGEMENT MUST EVALUATE THE POSITIONS 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 20 - REVENUE AMOUNTS INCLUDED IN FINANCIALS - OTHER

DIRECT EXPENSES FROM 990 PART VIII LINE BB $ 82,578

PART XII, LINE 20 - EXPENSE AMOUNTS INCLUDED IN FINANCIALS - OTHER

DIRECT EXPENSES FROM 990 PART VIII LINE BB $ 82,578

DAA Schedule D (Form 990) 2012

363309812 06/17/2013 1 50 PM

SchaduJe o (For'm 990) 2012 THE HEARTLAND INSTITUTE 36-3309812 Page 5 ·~Patt XHI Supplemental Information (continued)


DAA

363309812 06/17/20131 50 PM

SCHEDULEG ("Forl'n 990 or 990-EZ)

Depanment of the Treasury Internal Revenue Servoce

Supplemental Information Regarding Fundraising or Gaming Activities

Complete of the organozat,on answered "Yes" to Form 990, Part IV, lines 17, 18, or 19, or If the organization entered more than $15,000 on Form 990-EZ, lone 6a. ~ Attach to Fonn 990 or Fonn 990-EZ. ~ See separate instructions.

OMB No 1545-0047

2012

THE HEARTLAND INSTITUTE I Employer Identification number

36-3309812 Name of the organ,zat,on

Part l Fundraising Activities. Complete 1f the organization answered "Yes" to Form 990, Part IV, line 17 Form 990-EZ filers are not required to complete this part

Indicate whether the organization raised funds through any of the following act1v1bes Check all that apply

a O Mail sohc1tabons e O Sol1c1tat1on of non-government grants

b O Internet and email sohc1tat1ons O Sohc1tat1on of government grants

c O Phone sohc1tat1ons g O Special fundra1smg events

d O In-person solic1tabons

2a Did the organization have a written or oral agreement with any md1v1dual (including officers, directors, trustees or key employees listed m Form 990, Part VII) or entity 1n connection with professional fundra1smg services? O Yes O No

b If "Yes," list the ten highest paid md1v1duals or ent1t1es (fundra1sers) pursuant to agreements under which the fundra1ser 1s to be compensate d I $ 000 b h at east 5 1v t e oraanizat1on

(iii) Did fund- (v) Amount paid to raiser have

(1) Name and address of 1nd1v1dual custody or (Iv) Gross receipts (or retained by)

or entity (fundra1ser) (11)Act1v1ty control of from act1v1ty fundra1ser listed 1n

contnbut1ons? col (I)

Yes No

1

2

3

4

5

6

7

8

9

10

Total ~

3 List all states m which the organization 1s registered or licensed to solicit contributions or has been notified 1t 1s exempt from reg1strat1on or licensing

(vo) Amount paid to

(or retained by)

organization

Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. OAA

Schedule G (Form 990 or 990-EZ) 2012

363309812 06/17/2013 1 50 PM

SchfiduleG(Fortn990or990-EZ)2012 THE HEARTLAND INSTITUTE 36-3309812 Page2

~Pait ll Fundraising Events. Complete 1f the organization answered "Yes" to Form 990, Part IV, lme 18, or reported more than $15,000 of fundra1smg event contributions and gross income on Form 990-EZ, lines 1 and 6b List

t h $ 000 evens wit oross rece1ots oreater than 5 (a) Event #1 (b) Event#2 (c) Other events

(d) Total events

FUNDRAISING NONE (add col (a) through

( event type) ( event type) (total number) col (c)) Cl) :, c Cl)

129,272 > 1 Gross receipts 129,272 Cl)

a::

2 Less Contnbut1ons

3 Gross income (line 1 minus

hne 2l 129,272 129,272

4 Cash prizes

5 Noncash prizes

U) 6 Rent/facility costs Cl)

U) c Cl) c. x 7 Food and beverages w tl !!!

8 Entertainment 0

9 Other direct expenses 82,578 82,578

10 Direct expense summary Add Imes 4 through 9 m column (d) ... 82, 578) 11 Net income summarv Combine line 3 column (dl. and line 10 ... 46,694

Part HI Gaming. Complete 1f the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than $15 000 on Form 990-EZ lme 6a

Cl) (a) Bingo (b) Pull tabs/instant

(c) Other gaming (d) Total gaming (edd

:, bingo/progressive bingo col (a) through col (c)) c

Cl) > Cl)

a:: 1 Gross revenue

U) 2 Cash prizes Cl) U) c Cl) c. 3 Noncash prizes x w tl !!! 4 Rent/fac1hty costs 0

5 Other direct exoenses H Yes % H Yes % H Yes %

6 Volunteer labor No No No

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

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

9 Enter the state(s) m which the organization operates gaming act1v1t1es

a Is the organization licensed to operate gaming act1v1t1es 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

... )

...

O Yes O No

O Yes O No


363309812 06/17/20131 50 PM

SchEidule G (Form 990 or 990-EZ) 2012 THE HEARTLAND INSTITUTE • 11 Ooes the organization operate gaming act1v1ties with nonmembers?

12 Is the organization a granter, beneficiary or trustee of a trust or a member of a partnership or other entity

formed to admrn1ster charitable gamrng?

13 Indicate the percentage of gaming act1v1ty operated in

a The organization's facility

b An outside facility

14 Enter the name and address of the person who prepares the organization's gaming/special events books and

records

Name..,.

Address..,.

15a Does the organization have a contract with a third party from whom the organization receives gaming

revenue?

b If "Yes," enter the amount of gaming revenue received by the organization ..,. $

amount of gaming revenue retained by the third party ..,. $

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

Name..,.

Address..,.

16 Gaming manager information

Name..,.

Gaming manager compensation ..,. $

Descnpt1on of services provided ....

D Director/officer D Employee D Independent contractor

17 Mandatory d1stribut1ons

a Is the organization required under state law to make charitable d1stribut1ons from the gaming proceeds to

retain the state gaming license?

b Enter the amount of d1stnbubons required under state law to be distributed to other exempt organizations or

spent in the organization's own exempt act1v1t1es during the tax year ..,. $

36-3309812 Page 3 0 Yes 0No

D Yes D No

13a % 13b %

O Yes O No

and the

D Yes O No

Part tV Supplemental Information. Complete this part to provide the explanations required by Part I, hne 2b, columns (iii) and (v), and Part Ill, Imes 9, 9b, 1 Ob, 15b, 15c, 16, and 17b, as applicable Also complete this part to provide any additional information (see 1nstruct1ons)


DAA

363309812 06/17/2013 1 50 PM

SCWEDULEj (F=orm990)

Compensation Information For certain Officers, Directors, Trustees, Key Employees, and Highest

Compensated Employees

Department of the Treasury tntemat Revenue Service

..,.. Complete if the organization answered "Yes" to Form 990, Part IV, line 23.

..,.. Attach to Form 990. .... See separate instructions.

Name of the organ,zation

THE HEARTLAND INSTITUTE p art Q uestlons R d" C eaar ma ompensation

1a Check the appropriate box(es) tf the organization provided any of the following to or for a person listed in Form

990, Part VII, Section A, line 1a Complete Part Ill to provide any relevant information regarding these items

~ Fo,st-dass o, oharteo t,a,el ~ "'"""' allowaooe o, oesodeooe foe pe,sooat ,se Travel for companions Payments for business use of personal residence

Tax indemnification and gross-up payments Health or social club dues or 1nit1at1on fees

D1scret1onary spending account Personal services (e g , maid, chauffeur, chef)

b If any of the boxes on line 1 a are checked, did the organization follow a written policy regarding payment

or reimbursement or prov1s1on of all of the expenses described above? If "No," complete Part 111 to

explain

2 Did the organization require substantiation prior to re1mburs1ng or allowing expenses incurred by all officers,

directors, trustees, and the CEO/Executive Director. regarding the items checked 1n line 1a?

3 Indicate which, 1f any, of the following the filing organization uses 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 Ill = Compeosat,oo oomm,ttee i Wotteo emptoymeot ooot,aci Independent compensation consultant Compensation survey or study

Form 990 of other organizations Approval by the board or compensation committee

4 During the year, did any person listed tn Form 990, Part VII, Section A, line 1a, wtth respect to the filing

organ1zat1on or a related organ1zat1on

a Receive a severance payment or change-of-control payment?

b Part1c1pate tn, or receive payment from, a supplemental nonqualified retirement plan?

c Part1c1pate tn, or receive payment from, an equity-based compensation arrangement?

If "Yes" to any of Imes 4a-c, list the persons and provide the applicable amounts for each item tn Part Ill

Only section S01(c)(3) and S01(c)(4) organizations must complete lines 5-9.

s For persons listed tn Form 990, Part VII, Section A, line 1a, 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 1n Part Ill

6 For persons listed tn Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any

compensation contingent on the net earnings of

a The organization?

b Any related organization?

If "Yes" to line 6a or 6b, describe tn Part Ill

7 For persons listed tn Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed

payments not described tn Imes 5 and 6? If "Yes," describe tn Part Ill

8 Were any amounts reported tn Form 990, Part VII, paid or accrued pursuant to a contract that was subJect

to the m1t1al contract exception described tn Regulations section 53 4958-4(a)(3)? If "Yes," describe

tn Part Ill

9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in

Reaulat1ons section 53 4958-6(c)?

For Paperwork Reduction Act Notice, see the Instructions for Fonn 990':

DAA

OMB No 1545-0047

2012 Open to Public

fm;pecrnon

Yes No

1b

2

4a x 4b x 4c x

Sa x Sb x

6a x 6b x

7 x

8 x

9

Schedule J (Fonn 990) 2012

363309812 06/17/2013 1 50 PM • Schedule J (Form 990) 2012 THE HEARTLAND INSTITUTE 36-3309812 P.a!fe 2

Part U Officers! Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed. -For each ind1v1dual whose compensation must be reported m Schedule J, report compensation from the organization on row (1) and from related organizations. described m the instructions. on row (11) Do not list any ind1v1duals that are not listed on Form 990, Part VII Note. The sum of columns (8)(1)-(111) for each hsted md1v1dual must equal the total amount of Form 990, Part VII, Section A, lme 1a, applicable column (D) and (E) amounts for that individual

(8) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and (0) Nontaxable (E) Total or columns

(A) Name and Title (I) Base (ii) Bonus & incentive (Ill) Other other deferred benefits (B)(IHD) compensation compensation reportable compensation

compensation

JOSEPH BAST (I) 157,301 0 c 50,000 0 207,301 1 PRESIDENT (ii 0 0 0 0 0 0

(I)

2 (II

(1)

3 (II

(I)

4 (II

(I)

5 (Ii

(1)

6 (11

(1)

7 (11

(I)

8 (11

(1)

9 (11

(1)

10 (II

(I)

11 (11

(I)

12 (II

(I)

13 (II

(1)

14 (1i

(I)

15 (Ir

(i)

16 (11

(F) Compensation

reported as deferred in prior Form 990

0 0

Schedule J (Form 990) 2012

DAA

363309812 06/17/2013 1 50 PM

ScheduleJ(Form990)2012 THE HEARTLAND INSTITUTE 36-3309812 Part UI Sup_p_lemental Information

Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II Also complete this part for any additional information

PART I, LINE 4 - SEVERANCE, NONQUALIFIED, AND EQUITY-BASED PAYMENTS

SEVERANCE NONQUALIFIED EQUITY-BASED

JOSEPH BAST 0 221,476 0

• , P.,9.if_e 3

Schedule J (Form 990) 2012

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363309812 06/17/2013 1 50 PM

SCHEDULE L • ~Fo1111 990 or 99'0-EZ)

Deparunent or the Treasury Internal Revenue Service

Name of the organization

Transactions With Interested Persons ~ Complete If the organization answered

"Yes" on Fonn 990, Part JV, lme 25a, 25b, 26, 27, 28a, 28b, or 28c,

or Fonn 990-EZ, Part V, Imo 38a or 40b .... Attach to Fonn 990 or Form 990-EZ .... Sea separate mstructmns

THE HEARTLAND INSTITUTE

Part l Excess Benefit Transactions (section 501 (c)(3) and section 501 (c)(4) organizations only)

OMB No 1545-0047

2012

I Employer 1dentlflcat1on number

36-3309812

Complete 1f the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V. line 40b

1 (a) Name or disqualified person (b) Relat1onsh1p between d1squahf1ed person and

orgarnzat1on

11) 12) 13) 14) 15) 16)

2 Enter the amount of tax incurred by the organization managers or d1squalif1ed persons during the year

under section 4958 3 Enter the amount of tax, 1f any, on line 2, above, reimbursed by the organization

Part H Loans to and/or From Interested Persons.

(c) Descnpt1on of transaction (d) Corrected?

Yes No

.... $ _______ _

.... $ _______ _

Complete 1f the organization answered "Yes" on Form 990-EZ, Part V, line 38a or Form 990, Part IV, line 26, or 1f the

organization reported an amount on Form 990 Part X, line 5, 6, or 22 (a) Name of interested person (b) Relabonsh1p (c) Purpose of d) Loan to

JOSEPH

111

12)

13)

14)

15)

16)

17)

18)

19)

110) Total

Partm

with orgamzat1on loan or from the 01 ? ....-...--

To From

BAST, PRESIDENT

CASH FLOW x

Grants or Assistance Benefiting Interested Persons. Complete 1f the organization answered "Yes" on Form 990, Part IV, line 27

(e) Original pnnc1pal amount

70 000

.... $

(a) Name or interested person (b) Relat1onsh1p between interested (c) Amount of assistance

person and the organization

11) 12) 13) 14) 15) 16) 17) 18) 19)

110) For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. DAA

(f) Balance due (g) In default? (h) Approved (l)Wntten

by board or agreement? committee?

Yes No Yes No Yes No

70 000 x x x

70 000

(d) Type of assistance (e) Purpose of assistance

Schedule L (Form 990 or 990-EZ) 2012

363309812 06/17/2013 1 50 PM

• '•1ch9dule L (Forrh 990 or 990-EZ) 2012 • "?art·IV Business Transactions Involving Interested Persons.

Page 2

Complete rf the organization answered "Yes" on Form 990, Part IV, lrne 28a, 28b, or 28c

(a) Name of interested person (b) Relat1onsh1p between ( c) Amount of (d) Oescnpt1on of transaction (e) Sharrng

of org interested person and the transaction revenues?

organ1zat1on Yes No

(1)

(2)

13) (4)

15) 16) (7)

(8) (9)

(10)

PartV Supplemental Information Complete thrs part to provrde addrtronal rnformatron for responses to questions on Schedule L (see rnstructrons)

Schedule L (Form 990 or 990-EZ) 2012

DAA

363309812 06/17/2013 1 50 PM

,_. '• .. I

• SCHEDULE O (Form 990 or 990-EZ)

Department of the Treasury Internal Revenue Service

Supplemental Information to Form 990 or 990-EZ Complete to provide information for responses to specific questions on

Form 990 or 990-EZ or to provide any additional information. .... Attach to Form 990 or 990-EZ.

OMB No 1545-0047

2012 Open to Public :Ins tion

Name of the organ,zat,on Employer Identification number

THE HEARTLAND INSTITUTE 36-3309812

FORM 990, PART I, LINE 6

VOLUNTEERS HELPED WITH THE MISSION OF THE ORGANIZATION.

FORM 990, PART VI, LINE 2 - RELATED PARTY INFORMATION AMONG OFFICERS

JOSEPH BAST DIANE BAST

PRESIDENT EX. EDITOR

HUSBAND/WIFE

FORM 990, PART VI, LINE llB - ORGANIZATION'S PROCESS 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. THE FORMS ARE KEPT

ON FILE. WHEN MADE AWARE OF A POTENTIAL CONFLICT OF INTEREST THEY FOLLOW UP

AND GET NEW FORMS SIGNED. THERE IS RELIANCE ON THE PERSONS' SELF

DISCLOSURES.

FORM 990, PART VI, LINE 15A - COMPENSATION PROCESS FOR TOP OFFICIAL

WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN

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

AND DECISION.

FORM 990, PART VI, LINE 15B - COMPENSATION PROCESS FOR OFFICERS

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.

DAA

Schedule O (Form 990 or 990-EZ) (2012)

363309812 06/17/2013 1 50 PM

.. .:5chedu O O Fortn 990 or 990-EZ 2012 Pa e 2 Employer 1dentlflcat1on number

THE HEARTLAND INSTITUTE 36-3309812

WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN

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

AND DECISION.

FORM 990, PART VI, LINE 19 - GOVERNING DOCUMENTS DISCLOSURE EXPLANATION

GOVERNING DOCUMENTS ARE MADE AVAILABLE BY REQUEST.

FORM 990, PART IX, LINE llG - OTHER FEES FOR SERVICES

DESCRIPTION

PROGRAM SERVICE MGT & GENERAL FUNDRAISING

EDITORS, WRITERS, SPEAKERS

$ 631,062 $ 50,558 $ 17,428


$ 20,166 $ 0 $ 0


$ 135,450 $ 0 $ 0

FORM 990, PART XI, LINE 9 - RECONCILIATION OF CHANGES - OTHER

DIRECT EXPENSES FROM 990 PART VIII LINE SB

DIRECT EXPENSES FROM 990 PART VIII LINE SB

DAA

$

$

82,578

-82,578

Schedule O (Form 990 or 990-EZ) (2012)

3633098.12 03/061201J 9 07 AM

• Form 8868 (Rev January 2013)

Oepertmen1 of the Treasury Internal Revenue Service

Application for Extension of Time To File an Exempt Organization Return

IJI, File a separate application for each return.

• If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box

• If you are filing for an Additional (Not Automatic) 3-Month Extension, complete only Part II (on page 2 of this form)

Do not complete Part II unless you have already been granted an automatic 3-month extension on a previously filed Form 8868

Electronic filing (a-file). You can electronically file Form 8868 1f you need a 3-month automatic extension of time to file (6 months for

a corporation required to file Form 990-T), or an add1t1onal (not automatic) 3-month extension of time You can electronically file Form

8868 to request an extension of time to file any of the forms hsled in Part I or Part II with the exception of Form 8870, Information

Return for Transfers Associated With Certain Personal Benefit Contracts. which must be sent to the IRS 1n paper format (see

instructions) For more details on the electronic filing of this form, visit www irs gov/efile and click on a-file for Charities & Nonprofits

Part I Automatic 3-Month Extension of Time. Only submit original (no copies needed) A corporation required to file Form 990-T and requesting an automatic 6-month extension - check this box and complete

Part I only

All other corporations (including 1120-C filers). partnerships, REMICs. and trusts must use Form 7004 to request an extension of time

to file income tax returns

OMS No 1545· 1 709

... x

Enter filer's ldent1fvina number see Instructions

Type or

print

Name of exempt organization or other filer, see instructions Employer 1dent1ficallon number (EIN) or

THE HEARTLAND INSTITUTE 36-3309812 F,le by the

due date for

filing your

return See

1n1truct1ons

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

ONE SOUTH WACKER Social security number (SSN)

2740 City, town or post office, stale and ZIP code For a foreign address. see instructions

CHICAGO IL 60606

Enter the Return code for the return that this application 1s for (file a separate apphcat1on for each return)

Application Return Application

Is For Code Is For

Form 990 or Form 990-EZ 01 Form 990-T (coroorallonl

Form 990-BL

Form 4720 (ind1v1dual)

Form 990-PF

Form 990-T (sec 401(a) or 408(al trust)

Form 990-T (trust other than above)

THE HEARTLAND INSTITUTE ONE SOUTH WACKER #2740

• The books are m the care of• CHICAGO

Telephone No • 312-377-4000

02 Form 1041-A

03 Form 4720

04 Form 5227

05 Form 6069

06 Form 8870

FAX No. IJI, • If the organ1zat1on does not have an office or place of business in the United States. check this box

• If this 1s for a Group Return, enter the organization's four d1g1t Group Exemption Number (GEN) If this 1s

for the whole group, check this box IJI, D If 1t 1s for part of the group, check this box • LJ and attach

a list with the names and EINs of all members the extension 1s for

1 I request an automatic 3-month (6 months for a corporation required IP file Form 990-T) extension of time

2

3a

b

c

until O 8 I 15 I 13 . to file the exempt organization return for the organization named above The extension 1s

for the organization's return for

IJI, ~ calendar year 2012 or

• D tax year beginning , and ending

D Initial return D Final return If the tax year entered in line 1 1s for less than 12 months, check reason n Change 1n accountina oenod

If this application 1s for Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax, less any

nonrefundable credits. See instructions

If this apphcat1on 1s for Form 990-PF, 990-T, 4720, or 6069. enter any refundable credits and

estimated tax oavments made Include anv onor veer overpayment allowed as a credit

Balance due. Subtract line 3b from line 3a Include your payment with this form, 1f required, by using

EFTPS (Electronic Federal Tax Pavment Svsteml See instructions

IL 60606

3a $

3b $

3c $

Return

Code

07

08

09

10

11

12

Caution. If you are going to make an electronic fund withdrawal with this Form 8868 1 see Form 8453-EO and Form 8879-EO for payment instructions

For Privacy Act and Paperwork Reduction Act Notice, see instructions. Form 8868 (Rev 1·2013) OAA

Heartland Institute 363309812 2012 0960cf0cSearchable

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