Heartland Institute 363309812 2009 063E9EE8Searchable

363.>0981::.~06/11/2010 1113 AM

, f~90· *Or111 ::J

Return of Organization Exempt From Income Tax OMB No 1545-0047

2009 (:\ f ''

~epartment of the Treasury :3Pternal Revenue Service

Under section 501(c), 527, or 4947(a)(1) Qf the Internal Revenue Code (except black lung benefit trust or private foundation) Open to Public

lnsoection ~ The organization may have to use a copy of this ret1Jrn to satisfy state reporting requirements

- For the 2009 calendar vear or tax vear beamnma ancl endina ;

Please Check 1f applicable C Name of organization D Employer 1dent1f1cation number ,J)- use IRS THE HEARTLAND INSTITUTE ']> Address change

label or 36-3309812 ~ Name change print or Dom~ Business As

type. Number and street (or PO box 11 ma1l 1s not delivered to street address)

I Room/suite E Telephone number

iia, Initial return See 19 SOUTH LASALLE STREET 903 312-377-4000 ~ Termination Specific 6,870,656 lnstruc- City or town, state or country, and ZIP + 4 G Gross recemts $ ~

~ Amended return t1ons. CHICAGO IL 60603 c:;;i F Name and address of principal officer H(a) Is this a group return for Appl1cat1on pending --- JOSEPH BAST affiliates? Yes 2C>o J

19 SOUTH LASALLE STREET, SUITE 903 H(b) Are all affiliates I ' Yes No included? , - I •-'

CHICAGO IL 60603 If "No," attach a list (see instructions)

I Tax-exemet status x· 501(c) ( 3 l '4 (insert no ) :

: 4947(a)(1) or 527

J Website·~ WWW.HEARTLAND.ORG H(c) Group exemption number ~

K Tl~ of orgamzat1on [X1 Co~rat1on n Trust : 1

Assoc1at1on Ii Other ~ I L Year of formation 1984 I M State of leaal domicile IL Partl s ummarv

1 Briefly describe the organization's m1ss1on or most s1gn1ficant act1v1t1es

Cl) RESEARCH AND WRITING ON PUBLIC POLICY ISSUES. .., c: cu c: ... Cl) --> 2 Check this box ~ 1

_ ~ 1f the organization d1scont1nued its operations or disposed of more than 25% of its net assets 0 (!)

3 Number of voting mel!lbers of the governing body (Part VI, line 1 a) 3 14 o!I (/)

• ~rct\lmende~ t voting members of the governing body (Part VI, line 1 b) 4 13

~ ees (Part V, line 2a) 27 i ~E ""~ 5

~ 6 Total number of vo ~ ers (estimate 1f necessary) 6 20 ~ ~tJ[ot-t fpOOW,elat , ~smess revenue from Part VIII, column (C), line 12 7a 14 101 i::1 ~ b Net unrelated bus1r Wt axable income from Form 990-T, line 34 7b -89,574 ""' --;::. Prior Year Current Year

Cl) (tj~~[-itN_~nJ\al!ilar"nt (Part VIII, line 1h) 7.613.766 6,499,687 __ :::,

_ r ,ugram service revenue (Part VIII, hne 2g) 185.671 195,386 Cl) 22,661 58,969 > 10 Investment income (Part VIII, column (A), Imes 3, 4, and 7d) Cl)

0::: 11 Other revenue (Part VIII, column (A), Imes 5, 6d, Sc, 9c, 10c, and 11e) -39.139 31,332 12 Total revenue - add lines 8 throuqh 11 (must equal Part VIII, column (Al, line 12) 7,782,959 6,785,374 13 Grants and s1m1lar amounts paid (Part IX, column (A), Imes 1-3) 182.072 115,000 14 Benefits paid to or for members (Part IX, column (A), line 4)

(/) 15 Salaries, other compensation, employee benefits (Part IX, column (A), Imes 5-10) 1,626,153 1,766,383 Cl) (/) 16a Professional fundra1s1ng fees (Part IX, column (A), hne 11e) c: Cl)

b Total fundra1smg expenses (Part IX, column (D), line 25) ~ 520,729 Q. )(

w 17 Other expenses (Part IX, column (A), Imes 11a-11d, 11f-24f) 5,706.801 4,370,140 18 Total expenses Add Imes 13-17 (must equal Part IX, column (A), line 25) 7.515.026 6,251,523 19 Revenue less expenses Subtract hne 18 from hne 12 267,933 533,851

~ en Beamnina of Current Year End of Year O a, en u

242,945 - c: 20 Total assets (Part X, line 16) 815,362 a, ... gpa

<(Ill 21 Total l1ab1ht1es (Part X, hne 26) 88.357 126,923 -"CJ a, c: 154.588 688.439 z:::, 22 Net assets or fund balances Subtract line 21 from hne 20 ... Part II Si nature Block

Under penalties of perJu e that I have examined this return, including accompanying schedules and statements. and to the best of my knowledge

Sign Here

and belief, 1t 1s true, e,,... ....... L.lil!l!.'.m,plete Declar n of preP.arer (other than officer) 1s based on all information of which preparer has any knowledge

~ Signature of officer Date

~ JOSEPH PRESIDENT

Paid SP1rgenpaatruer:s ~ Nln -,I n /1/ <:_PA. M 5-r- Date f:ir.ck If r::~~~:;~~~~~~rg number ,. f ·~ ~ l 06/11/10 employed~ P00495371

Preparer's1--~~~~~·~~-=c="'.====---c==c=-':"""":'~~"":"'C":-=-~-=--=~~ ........... ~--'-~...:.....~-'---'-......:....--.-~-=--'--=-.::....:-=--=-=.,;...--=~ Firm·s,ame(oryours~ TIGHE, KRESS & ORR, P.C. EIN .... 26-0476995

Use Only 1fse11-employed), ,. 1595 WELD ROAD, SUITE 9 Phone /\.

address,andZIP+4 ELGIN, IL 60123-5896 no ~ 847-695-2700 ... ~" May the IRS discuss this return with the preparer shown above? (see 1nstruct1ons)

For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions. DAA

'X Yes ' . No Q\ Form 990 (2009)

363309812'06/11/20101113AM ' '

Form1

990 ~2009) THE HEARTLAND INSTITUTE • Part Ill Statement of Program Service Accomplishments

1 Briefly describe the organization's m1ss1on

36-3309812

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 significant changes 1n how 1t conducts, any program

services?

If ''Yes," describe these changes on Schedule O

4 Describe the exempt purpose achievements for each of the organization's three largest program services by expenses

Section 501 (c)(3) and 501 (c)(4) organizations and section 4947(a)(1) trusts are required to report the amount of grants and

allocations to others, the total expenses, and revenue, 1f any, for each program service reported

4a (Code ) (Expenses $ 2 , 0 7 8 , 3 7 5 including grants of $ ) (Revenue $

~~ Yes 'X No

L_j Yes ,~~ No

PUBLICATIONS - RESEARCH, WRITING, AND DISTRIBUTION OF PUBLICATIONS ON PUBLIC POLICY ISSUES, IN PRINT AS WELL AS ONLINE. HEARTLAND PRODUCED FIVE MONTHLY NEWSPAPERS (BUDGET & TAX NEWS, ENVIRONMENT & CLIMATE NEWS, HEALTH CARE NEWS, INFOTECH & TELECOM NEWS, AND SCHOOL REFORM NEWS); ONE PRINT NEWSLETTER (THE HEARTLANDER), TWO EMAIL NEWSLETTERS (LAWSUIT ABUSE FORTNIGHTLY AND CONSUMER POWER REPORT); ONE "REPORT CARD" (ADDRESSING PROPERTY & CASUALTY INSURANCE); AND ONE BOOK (CLIMATE CHANGE RECONSIDERED).

4b (Code ) (Expenses $ 2 1 518 1 7 6 9 including grants of $ 115 , 0 0 0 ) (Revenue $

PUBLIC RELATIONS - SEMINARS, EVENTS, SPEAKERS BUREAU, AND OTHER ACTIVITIES AIMED AT EDUCATING HEARTLAND MEMBERS AND THE GENERAL PUBLIC CONCERNING PUBLIC POLICY ISSUES. HEARTLAND STAFF EXHIBITED AT NEARLY TWO DOZEN INDUSTRY TRADE SHOWS AND EVENTS FOR MEMBERS OF THE GENERAL PUBLIC, AND ITS SENIOR FELLOWS DELIVERED MORE THAN 100 SPEECHES OR TALK RADIO SHOW APPEARANCES. HEARTLAND'S PUBLIC RELATIONS DEPARTMENT HOSTED A THREE-DAY CONFERENCE IN NEW YORK AND A TWO-DAY CONFERENCE IN WASHINTON, DC ADDRESSING THE TOPIC OF GLOBAL WARMING.

4c (Code ) (Expenses $ 593, 61 7 including grants of$ ) (Revenue $

GOVERNMENT RELATIONS - PUBLICATIONS AND EVENTS GEARED TOWARD EDUCATING AND INFORMING LOCAL, STATE, AND NATIONAL ELECTED OFFICIALS ABOUT PUBLIC POLICY ISSUES. HEARTLAND EXHIBITED AT CONFERENCES SPONSORED BY THE .AMERICAN LEGISLATIVE EXCHANGE COUNCIL, NATIONAL CONFERENCE OF STATE LEGISLATURES, NATIONAL ASSOCIATION OF COUNTIES, U.S. CONFERENCE OF MAYORS, AND OTHERS. IN ADDITION, 44 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. HEARTLAND'S GOVERNMENT RELATIONS DEPARTMENT HOSTED SEVERAL HALF-DAY EVENTS ACROSS THE COUNTRY ADDRESSING HEALTH CARE REFORM.

4d Other program services (Describe 1n Schedule O )

(Expenses $ including grants of $ ) (Revenue $ 4e Total program service expenses ~ 5,190,761

Form 990 (2009)

DAA

363309812'06/11/2010 1113 AM \

l=<orm'ggo ('W09) THE HEARTLAND INSTITUTE 36-3309812 ' Part rJ Checklist of Reau1red Schedules

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

complete Schedule A

2 Is the organization required to complete Schedule B, Schedule of Contributors?

3 Did the organization engage 1n direct or indirect political campaign act1v1t1es on behalf of or in oppos1t1on to

candidates for public office? If "Yes," complete Schedule C, Part I

4 Section 501(c)(3) organizations. Did the organization engage in lobbying acllv1t1es? If "Yes," complete

Schedule C, Part II

5 Section 501(c)(4), 501(c)(5), and 501(c)(6) organizations. Is the organization subJect to the section 6033(e)

notice and reporting requirement and proxy tax? If "Yes," complete Schedule C, Part Ill

6 Did the organization maintain any donor advised funds or any s1m1lar funds or accounts where donors have

the right to provide advice on the d1stnbut1on or investment of amounts in such funds or accounts? If "Yes,"

complete Schedule D, Part I

7 Did the organization receive or hold a conservation easement, including easements to preserve open space,

the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II

8 Did the organization maintain collections of works of art, historical treasures, or other s1m1lar assets? If "Yes,"

complete Schedule D, Part Ill

9 Did the organization report an amount in Part X, line 21, serve as a custodian for amounts not listed in Part

X, or provide credit counseling, debt management, credit repair, or debt negot1at1on services? If "Yes,"

complete Schedule D, Part IV

1 O Did the organization, directly or through a related organization, hold assets in term, permanent, or

quasi-endowments? If ''Yes," complete Schedule D, Part V

11 Is the organization's answer to any of the following questions "Yes"? If so, complete Schedule D, Parts VI,

VII, VIII, IX, or X as applicable

• Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If ''Yes," complete

Schedule D, Part VI

• Did the organization report an amount for investments-other securities in Part X, line 12 that 1s 5% or more

of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VII

• Did the organization report an amount for investments-program related in Part X, line 13 that 1s 5% or more

of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII

• Did the organ1zat1on report an amount for other assets related in Part X, line 15 that 1s 5% or more of its total assets

reported in Part X, line 16? If ''Yes," complete Schedule D, Part IX

• Did the organization report an amount for other liab11it1es in Part X, line 25? If "Yes," complete Schedule D, Part X

• Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses

the organization's liability for uncertain tax pos1t1ons under FIN 48? If ''Yes," complete Schedule D, Part X

12 Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete

Schedule D, Parts XI, XII, and XIII

12A Was the organization included in consolidated, independent audited financial statements for the tax year? I Yes I If ''Yes," completing Schedule D, Parts XI, XII, and XIII is optional I 12A lkl(~I

13 Is the organization a school described in section 170(b)(1 )(A)(11)? If "Yes," complete Schedule E

14a Did the organization maintain an office, employees, or agents outside of the United States?

b Did the organization have aggregate revenues or expenses of more than $10,000 from grantmakmg, fundra1s1ng,

business, and program service act1v1t1es outside the United States? If "Yes," complete Schedule F, Part I

15 Did the organ1zat1on 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, Part II

16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance

to md1v1duals located outside the United States? If "Yes," complete Schedule F, Part Ill

17 Did the organ1zat1on report a total of more than $15,000 of expenses for professional fundra1smg services

on Part IX, column (A), Imes 6 and 11e? If "Yes," complete Schedule G, Part I

18 Did the organization report more than $15,000 total of fundra1smg event gross income and contributions on

Part VIII, Imes 1c and Sa? If "Yes," complete Schedule G, Part II

19 Did the organization report more than $15,000 of gross income from gaming act1v1t1es on Part VIII, line 9a?

If "Yes," complete Schedule G, Part Ill

20 Did the orc:ianizat1on operate one or more hospitals? If "Yes" complete Schedule H

DAA

Yes No

1 x 2 x

3 x

4 x

5

6 x

7 x

8 x

9 x

10 x

11 X

12 x No

13 x 14a x

14b x

15 x

16 x

17 x

18 x

19 x 20 x Form 990 (2009)

36330981206/11/20101113AM \

l=.orm'990 ~2009) THE HEARTLAND INSTITUTE 36-3309812 • Part IV Checklist of Required Schedules (continued)

Yes No

21 Did the organization report more than $5,000 of grants and other assistance to governments and organizations

in the United States on Part IX, column (A), line 1? If ''Yes," complete Schedule I, Parts I and II 21 x 22 Did the organization report more than $5,000 of grants and other assistance to ind1v1duals in the

United States on Part IX, column (A), line 2? If ''Yes," complete Schedule I, Parts I and Ill 22 x 23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the

organization's current and former officers, directors, trustees, key employees, and highest compensated

employees? If ''Yes," complete Schedule J 23 x 24a Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than

$100,000 as of the last day of the year, that was issued after December 31, 2002? If "Yes," answer lines

24b through 24d and complete Schedule K If "No," go to line 25 24a x b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? 24b II/A c Did the organization maintain an escrow account other than a refunding escrow at any time during the year

to defease any tax-exempt bonds? 24c AI_/J+ d Did the organization act as an "on behalf of' issuer for bonds outstanding at any time during the year? 24d '" ,,,

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 organization aware that 11 engaged in an excess benefit transaction with a d1squalif1ed person in a

prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or

990-EZ? If ''Yes," complete Schedule L, Part I 25b x 26 Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or

d1squalif1ed person outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part II 26 x 27 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee,

substantial contributor, or a grant selection committee member, or to a person related to such an md1v1dual?

If ''Yes," complete Schedule L, Part Ill 27 x 28 Was the organ1zat1on a party to a business transaction with one of the following parties (see Schedule L,

Part IV instructions for applicable filing thresholds, cond1t1ons, 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 which a current or former officer, director, trustee, or key employee of the organization (or a

family member) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L,

Part IV 28c x 29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M 29 x 30 Did the organ1zat1on receive contnbut1ons of art, historical treasures, or other s1m1lar assets, or qual1f1ed

conservation contributions? If "Yes," complete Schedule M 30 x 31 Did 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 its net assets? If ''Yes," complete

Schedule N, Part II 32 x 33 Did the organization own 100% of an entity disregarded as separate from the organ1zat1on 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, IV, and V, line 1 34 x 35 Is any related organization a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete

Schedule R, Part V, line 2 35 x 36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related

organization? If "Yes," complete Schedule R, Part V, line 2 36 x 37 Did the organ1zat1on conduct more than 5% of its act1v1t1es through an entity that 1s not a related organization

and that 1s treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R,

Part VI 37 x 38 Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, Imes 11 and

19? Note. All Form 990 filers are required to comolete Schedule O 38 x Form 990 (2009)

DAA

36330981206/11/2010 11 13 AM \

l:>orm0

990 (2009) THE HEARTLAND INSTITUTE 36-3309812 • Oh IRS F c PartV Statements Reaardma t er ilinas and Tax omoliance

1a Enter the number reported in Box 3 of Form 1096, Annual Summary and Transmittal of

U S Information Returns Enter -0- 1f not applicable 1a

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

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

gaming (gambling) winnings to pnze winners?

2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax I 2a l Statements, filed for the calendar year ending with or within the year covered by this return

b If at least one 1s reported on line 2a, did the organization file all required federal employment tax returns?

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

instructions)

3a Did the organization have unrelated business gross income of $1,000 or more during the year covered by

this return?

b If "Yes," has 1! filed a Form 990-T for this year? If "No," provide an explanation 1n Schedule O

4a Al any time during the calendar year, did the organization have an interest 1n, or a signature or other authority

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

account)?

b If "Yes," enter the name of the foreign country ~

See the instructions for exceptions and filing requirements for Form TD F 90-22 1, Report of Foreign Bank

and Financial Accounts

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

b Did any taxable party notify the organization that 11 was or 1s a party to a proh1b1ted tax shelter transaction?

c If "Yes," to line 5a or 5b, did the organization file Form 8886-T, Disclosure by Tax-Exempt Entity Regarding

Proh1b1ted Tax Shelter Transaction?

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

organization solicit any contnbut1ons that were not tax deductible?

b If "Yes," did the organ1zat1on 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 organization receive a payment 1n excess of $75 made partly as a contribution and partly for goods

and services provided to the payor?

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

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

required to file Form 8282?

d If "Yes," indicate the number of Forms 8282 filed during the year I 1d l e Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal

benefit contract?

f Did the organ1zat1on, during the year, pay premiums, directly or indirectly, on a personal benefit contract?

g For all contributions of qual1f1ed intellectual property, did the organization file Form 8899 as required?

h For contributions of cars, boats, airplanes, and other vehicles, did the organization file a Form 1098-C as

required?

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

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

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

9 Sponsoring organizations maintaining donor advised funds.

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

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

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

a ln1t1at1on fees and capital contributions included on Part VIII, hne 12 I 1oa I b Gross receipts, included on Form 990, Part VIII, hne 12, for public use of club fac11it1es 10b

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

a Gross income from members or shareholders 11a

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

amounts due or received from them ) 11b

12a Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in heu of Form 1041?

b If "Yes "enter the amount of tax-exempt interest received or accrued durina the vear I 12b I

DAA

Yes No

96 0

1c x

27 2b x

3a x 3b x

4a x

Sa x Sb x

Sc NIA

6a x

6b NIA

7a ~,fl 7b NIA

7c t-J/A

7e NIA 7f NIA 7a fi)f

7h t.J{P,

8 tJIPt

9a WlA 9b f\l{Pt

12a tJ/f\

Form 990 (2009)

363309812 06/11/2010 11 13 AM \

r<orm.990(2009) THE HEARTLAND INSTITUTE 36-3309812 • Part VI Governance, Management, and Disclosure For each "Yes" response to lines 2 through ?b below, and

for a "No" response to line Sa, Sb, or 1 Ob below, describe the circumstances, processes, or changes in Schedule 0. See instructions

Section A. G Bd dM t overnma o 1v an anaaemen

1a Enter the number of voting members of the govern mg body I 1a I b Enter the number of voling members that are independent I 1b I

2 Did any officer, director, trustee, or key employee have a family relalionsh1p or a business relat1onsh1p with

any other officer, director, trustee, or key employee?

3 Did the organization delegate control over management duties customarily performed by or under the direct

superv1s1on of officers, directors or trustees, or key employees to a management company or other person?

4 Did the organization make any significant changes to its organizational documents since the prior Form 990 was filed?

5 Did the organization become aware during the year of a material d1vers1on of the organization's assets?

6 Does the organization have members or stockholders?

7a Does the organization have members, stockholders, or other persons who may elect one or more members

of the governing body?

b Are any dec1s1ons of the governing body subJect to approval by members, stockholders, or other persons?

8 Did the organization contemporaneously document the meetings held or written actions undertaken during

the year by the following

a The governing body?

b Each committee with authority to act on behalf of the govern mg body?

9 Is there any officer, director, trustee, or key employee listed 1n Part VII, Section A, who cannot be reached

at the orqan1zalion's ma11ina address? If "Yes" orov1de the names and addresses 1n Schedule O

Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)

10a Does the organization have local chapters, branches, or aff1l1ates?

b If "Yes," does the organization have written policies and procedures governing the act1v1t1es of such chapters,

affiliates, and branches to ensure their operations are consistent with those of the organization?

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

form?

11a Describe 1n Schedule O the process, 1f any, used by the organization to review this Form 990

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

b Are officers, directors or trustees, and key employees required to disclose annually interests that could give

rise to conflicts?

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

describe m Schedule O how this 1s done

13 Does the organization have a written wh1stleblower policy?

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

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

independent persons, comparability data, and contemporaneous substant1at1on of the deliberation and dec1s1on?

a The organ1zat1on'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 m Schedule O (See instructions)

16a Did the organization invest m, contribute assets to, or part1c1pate m a Joint venture or s1m1lar arrangement

with a taxable entity during the year?

b If "Yes," has the organization adopted a written policy or procedure requiring the organization to evaluate

its part1c1pat1on m Joint venture arrangements under applicable federal tax law, and taken steps to safeguard

the orqanizat1on's exemot status with resoect 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 1f applicable), 990, and 990-T (501(c)(3)s only)

available for public inspection Indicate how you make these available Check all that apply

:------Own website ]{, Another's website ~x: Upon request

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

policy, and financial statements available to the public

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

14 13

organization .... THE HEARTLAND INSTITUTE 19 SOUTH LASALLE STREET #903

Yes No

2 x

3 x 4 x 5 x 6 x

7a x 7b x

Sa x Sb x

9 x

Yes No

10a x

10b

11 x

12a x

12b x

12c x 13 x 14 x

15a x 15b x

16a x

16b

CHICAGO IL 60603 312-377-4000 DAA Form 990 (2009)

36330981206/11/20101113AM ' \

F<orm'ggo (3009) THE HEARTLAND INSTITUTE 36-3309812 'Part VII Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated

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

1a Complete th•s table for all persons required to be listed Report compensation for the calendar year ending with or within the

organization's tax year Use Schedule J-2 1f add1t1onal space 1s needed

• List all of the organization's current officers, directors, trustees (whether 1nd1v1duals or organizations), regardless of amount

of compensation Enter -0- 1n columns (D), (E), and (F) 1f no compensation was paid

• List all of the organization's current key employees See instructions for definition of "key employee "

• List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee)

who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the

organization and any related organizations

• List all of the organ1zat1on's former officers, key employees, and highest compensated employees who received more than

$100,000 of reportable compensation from the organization and any related organizations

• List all of the organization's former directors or trustees that received, in the capacity as a former director or trustee of

the organization, more than $10,000 of reportable compensation from the organization and any related organizations

List persons in the following order 1nd1v1dual trustees or directors, 1nst1tut1onal trustees, officers, key employees, highest

compensated employees, and former such persons

11 Ch k th b f th t d d ec IS OX I e ori:ianiza ion I ffi not compensate any current o 1cer, d 1rec or, or trus ee

(A) (B) (C) (D) (E) Name and Title Average Pos1t1on (check all that apply) Reportable Reportable

hours per Q:::, 0 ;,;: <DI Tl compensation compensation :::,

week a. 9- ~ :!l CD 3c 0 from from related

~ '< "O :::,- 3 ::; :5: g CD QCD the organizations CD a. ~ Sl c 0 3 '<"' organization (W-2/1099-MISC) "O CD -0"' :::, CD 8 ~- !!!. 0 (W-2/1099-MISC)

2 '< 3 CD

"' 2 CD "O

CD CD

* :::,

CD "' CD "' CD a.

JOSEPH BAST PRESIDENT 40.00 x x 122,296

RAJEEV BAL DIRECTOR x 0

ROBERT BUFORD DIRECTOR x 0

PAUL FISHER DIRECTOR x 0

JAMES FITZGERALD DIRECTOR x 0

DAN HALES DIRECTOR x 0

WILLIAM HIGGINSO~ DIRECTOR x 0

JAMES JOHNSTON DIRECTOR x 0

JEFFREY MADDEN DIRECTOR x 0

ARTHUR MARGULIS DIRECTOR x 0

DAVID PADDEN DIRECTOR x 0

ELIZABTH ROSE DIRECTOR x 0

HERBERT WALBERG DIRECTOR x 0

DANIEL MILLER EXC. VICE PRESIDENT 40.00 x 123,740

DAA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

(F) Estimated amount of

other compensation

from the organization and related

organizations

0

0

0

0

0

0

0

0

0

0

0

0

0

0

Form 990 (2009)

363309812 06/11/2010 11 13 AM

J=orm 990:(2009) +HE HEARTLAND INSTITUTE 36-3309812 ·',Part VII. Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued) ..

(B) (C) (A) (D) (E) (F) Name and Title Average Pos1t1on (check all that apply) Reportable Reportable Estimated

hours per Q~ 0 ;,; Cl>I "Tl

compensation compensation amount of week ::,

Cl) 3o5 0 from from related other ~ :!l ~~ @

'< "O ::,- 3 the organizations g Cl) ~; compensation Cl) a. 3 !!! organization (W-2/1099-MISC) from the Q.C: 0 "O ms o'" ::, (W-2/1099-MISC) ~- !!!. 0 organization

2 '< 3 Cl) and related

* 2 Cl) "O Cl)

(/) ::, organizations Cl) CD le Cl)

CD a.

1b Total ~ 246,036 2 Total number of ind1v1duals (including but not limited to those listed above) who received more than $100,000 in

reoortable comoensat1on from the oraamzallon ~ 2 Yes No

3 Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1 a? If "Yes," complete Schedule J for such 1nd1v1dual 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 ind1v1dual 4 x

5 Did any person listed on line 1 a receive or accrue compensation from any unrelated organization for services rendered to the oraan1zat1on? If "Yes," comolete Schedule J for such oerson 5 x

Section B. Independent Contractors

1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of comoensat1on from the organization

(A) Name and business address

(B) Descnotion of services

(C) Compensation

2 Total number of independent contractors (including but not limited to those listed above) who received

more than $100 000 in comoensat1on from the oraamzat1on ~ 0 DAA Form 990 (2009)

363309812 06/11/2010 11 13 AM I

• Part VIII Statement of Revenue 'llorni 990 {2009) THE HEARTLAND INSTITUTE 36-3309812

(A) (B) (C) (0) Total revenue Related or Unrelated Revenue

exempt business excluded from tax function revenue under sections revenue 512,513,or514

J!lJ!! c: c: 1a Federated campaigns 1a ca::::, b Membership dues 1b .. 0 ~E c Fundra1smg events 1c ~~ '6,.!!! d Related organizations 1d rn'E e Government grants (contnbutions) 1e c:·-OU)

f All other contnbut1ons, gifts, grants, ,_._ -a, ::::,.c and s1m1lar amounts not included above 1f 6,499,687 .c-'i: 0 c't:I g Noncash contnbut1ons included in Imes 1a-1f $ 136,135 O c: U ca h Total. Add lines 1a-1f ~ 6,499,687

a, Busn Code :::, c 134,759 134,759 a, 2a OTHER EVENTS > a,

60, 627 60,627 0::: b PUBLICATIONS/RESEARCH a, u c -~ a, d U)

E e E C> f All other program service revenue e

ll.. a Total. Add Imes 2a-2f ~ 195,386 3 Investment income (including d1v1dends, interest, and

other s1m1lar amounts) ~ 58,969 58,969 4 Income from investment of tax-exempt bond proceeds ~

5 Royalties ~ (1) Real (11) Personal

Sa Gross Rents

b Less rental exps

c Rental me or (loss)

d Net rental income or (loss) ~ 7a Gross amount from (1) Secunt1es (11) Other

sales of assets other than inventory

b Less cost or other

bas,s & sales exps

c Gain or (loss)

d Net gain or (loss) ~

Q) Ba Gross income from fundra1sing events ::::,

(not including $ c: Q)

> of contnbut1ons reported on hne 1c) Q)

a:: See Part IV, line 18 .. a 102,513

Q) .c b Less direct expenses b 85,282 -0

Net income or (loss) from fundra1smg events ~ 17,231 17,231 c

9a Gross income from gaming act1v1!1es

See Part IV, line 19 a

b Less direct expenses b

c Net income or (loss) from gaming act1v1t1es

""' 10a Gross sales of inventory, less

returns and allowances a

b Less cost of goods sold b

c Net income or (loss) from sales of 1nventorv ~ Miscellaneous Revenue Busn.Code

11a ADVERTISING INCOME 511110 14,101 14,101 b

c

d All other revenue

e Total. Add Imes 11 a-11 d ~ 14,101 12 Total Revenue. See 1nstruct1ons ~ 6,785,374 271. 586 14,101 0

Form 990 (2009)

DAA

363309812 06/11/2010 1113 AM

0

!i"orni 990,(.2009) THE HEARTLAND INSTITUTE 36-3309812 ~ Part IX Statement of Functional Expenses

Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D).

Do not include amounts reported on lines Sb, (A) (B) (C) (D) Total expenses Program service Management and Fund raising

7b 8b 9b and 1 Ob of Part VIII. expenses general expenses expenses

1 Grants and other assistance to governments and

orgarnzat1ons in the U S See Part IV, hne 21

2 Grants and other assistance to md1v1duals m

the U S See Part IV, line 22

3 Grants and other assistance to governments,

organ1zat1ons, and md1v1duals outside the

U S See Part IV, lines 15 and 16 115,000 115.000 4 Benefits paid to or for members

5 Compensation of current officers, directors,

trustees, and key employees 122,296 30.574 30.574 61,148 6 Compensation not included above, to d1squahf1ed

persons (as defined under section 4958(0(1)) and

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

7 Other salaries and wages 1.410.531 821.469 348.082 240,980 8 Pension plan contnbut1ons (include section 401 (k)

and section 403(b) employer contnbut1ons)

9 Other employee benefits 123,050 61,214 34,345 27,491 10 Payroll taxes 110.506 60.381 28.005 22,120 11 Fees for services (non-employees)

a Management

b Legal

c Accounting 10,529 10,529 d Lobbying

e Professional fundra1smg services See Part IV, line 17

f Investment management fees

g Other 807,694 794,209 11,735 1,750 12 Advertising and promotion 235.606 234.336 270 1,000 13 Office expenses 59.019 52.122 4.427 2,470 14 Information technology 139,919 139.919 15 Royalties

16 Occupancy 174,967 150,952 10,292 13,723 17 Travel 179.535 124.925 4.489 50,121 18 Payments of travel or entertainment expenses

for any federal, state, or local public officials 16,851 16.851 19 Conferences, conventions, and meetings 1.181.887 1.131.519 50.368 20 Interest 2,140 2.140 21 Payments to affiliates

22 Deprec1at1on, depletion, and amort1zat1on 19,501 19.501 23 Insurance

24 Other expenses Itemize expenses not

covered above (Expenses grouped together

and labeled miscellaneous may not exceed

5% of total expenses shown on line 25 below )

a POSTAGE AND SHIPPING 671.480 653.231 1,830 16,419 b PRINTING AND PUBLICATIONS 540,844 519.014 512 21,318 c SPECIAL PROJECT 165.000 165.000 d TELEPHONE 36,711 27,562 2.176 6,973 e MEMBERSHIPS 31.735 31.575 160 f All other expenses 96.722 60,908 30.966 4 848

25 Total functional exoenses. Add Imes 1 throuah 241 6.251.523 5.190.761 540 033 520,729 26 Joint costs. Check here ~ D 1ffollowmg

SOP 98-2 Complete this line only 1f the organization reported m column (B) Joint costs from a combined educational campaign and fundra1smci solic1tat1on

DAA Form 990 (2009)

363309812 06/11/2010 11 13 AM

• Part x' Balance Sheet li:orm 990 <?009) THE HEARTLAND INSTITUTE 36-3309812

(A) (B) Beginning of year End of year

1 Cash-non-interest bearing 136.726 1 690,283 2 Savings and temporary cash investments 2

3 Pledges and grants receivable, net 3

4 Accounts receivable, net 4

5 Receivables from current and former officers, directors, trustees, key

employees, and highest compensated employees Complete Part II of

Schedule L 5

6 Receivables from other disqualified persons (as defined under section

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

Part II of Schedule L 6 fl) ... 7 Notes and loans receivable, net 7 Cl) fl)

8 Inventories for sale or use 8 fl)

<C 9 Prepaid expenses and deferred charges 34.133 9 49,735 10a Land, buildings, and equipment cost or

other basis Complete Part VI of Schedule D 10a 238.403 b Less accumulated deprec1at1on 10b 173,970 66.086 10c 64,433

11 Investments-publicly traded secu rit1es 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 6.000 15 10,911 16 Total assets. Add lines 1 throuoh 15 (must equal line 34) 242,945 16 815,362 17 Accounts payable and accrued expenses 79.795 17 126,923 18 Grants payable 18

19 Deferred revenue 19

20 Tax-exempt bond hab1l1t1es 20 fl) 21 Escrow or custodial account hab1hty Complete Part IV of Schedule D 21 Cl)

E 22 Payables to current and former officers, directors, trustees, key :c employees, highest compensated employees, and disqualified l'CI :J persons Complete Part II of Schedule L 22

23 Secured mortgages and notes payable to unrelated third parties 23

24 Unsecured notes and loans payable to unrelated third parties 24

25 Other hab1ht1es Complete Part X of Schedule D 8.562 25

26 Total liabilities. Add Imes 17 throuah 25 88,357 26 126,923 fl) Organizations that follow SFAS 117, check here~ :x. and Cl) CJ complete lines 27 through 29, and lines 33 and 34. c .!!! 27 Unrestricted net assets 124.012 27 457,863 l'CI m 28 Temporarily restricted net assets 30,576 28 230,576 't, 29 Permanently restricted net assets 29 c :::, Organizations that do not follow SFAS 117, check here~ [J LL ... and complete lines 30 through 34. 0 fl) 30 Capital stock or trust principal, or current funds 30 ... Cl) 31 Paid-in or capital surplus, or land, building, or equipment fund 31 fl) fl)

32 Retained earnings, endowment, accumulated income, or other funds 32 <C ... 33 Total net assets or fund balances 154,588 33 688,439 Cl)

z 34 Total hab111t1es and net assets/fund balances 242.945 34 815,362 Form 990 (2009)

DAA

363309812 06/11/2010 11 13 AM

lrorm' 990 12009) THE HEARTLAND INSTITUTE 36-3309812 • Part XI Financial Statements and Reoortma

1 Accounting method used to prepare the Form 990 LJ Cash I~ Accrual Other __________ _

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

Schedule O

2a Were the organization's financial statements compiled or reviewed by an independent accountant?

b Were the organization's financial statements audited by an independent accountant?

c If "Yes" to lme 2a or 2b, does the organization have a committee that assumes respons1b1l1ty for oversight of

the audit, review, or compilation of its financial statements and selection of an independent accountant?

If the organization changed either its oversight process or selecllon process during the tax year, explain in

Schedule O

d If ''Yes" to hne 2a or 2b, check a box below to indicate whether the financial statements for the year were

issued on a consolidated basis, separate basis, or both

~ Separate basis [J Consolidated basis D Both consolidated and separate basis

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

the Single Audit Act and OMB Circular A-133?

b If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the

required audit or audits exolain whv 1n Schedule O and describe anv steos taken to underao such audits

DAA

Yes No

2a X 2b X

2c X

3a x

3b

Form 990 (2009)

36330981£ 06/11/2010 11 13 AM

SCHEDIJLE A •(Form 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.

.... Attach to Form 990 or Form 990-EZ. .... See separate instructions.

OMB No 1545-0047

2009 Open to Public

Inspection

Name of the organization Employer identification number

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

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

1 [] A church, convention of churches, or assoc1at1on of churches described 1n section 170(b)(1 )(A)(i).

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

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

4 D A medical research organ1zat1on operated m conJunct1on with a hospital described m section 170(b)(1)(A)(iii). Enter the hospital's name,

city, and state

5 [J An organization operated for the benefit of a college or university owned or operated by a governmental unit described 1n

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

6 ,---, A federal, state, or local government or governmental unit described m section 170(b)(1)(A)(v).

7 [J 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)

8 ~ A community trust described in section 170(b)(1)(A}{vi). (Complete Part II)

9 ~ 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 funct1ons-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 organ1zat1on after June 30, 1975 See section 509(a)(2). (Complete Part Ill)

10 1: An organization organized and operated exclusively to test for public safety See section 509(a)(4).

11 0 An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the

purposes of one or more publicly supported organizations described 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 D Type I b C Type II c D Type Ill-Functionally integrated d ~ Type Ill-Other

e D By checking this box, I certify that the organization 1s not controlled directly or indirectly by one or more d1squal1f1ed

persons other than foundation managers and other than one or more publicly supported organ1zat1ons described m section

509(a)(1) or section 509(a)(2)

f If the organization received a written determ1nat1on from the IRS that 1t 1s a Type I, Type II, or Type Ill supporting

organization, check this box

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

following persons?

(i) A person who directly or indirectly controls, either alone or together with persons described 1n (11)

and (111) below, the governing body of the supported organ1zat1on?

(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 follow1na information about the sunoorted oraanizat1onlsl

(1) Name of supported (11) EIN (ui) Type of orgamzat1on (iv) Is the organization (v) Did you nobly orgamzat1on (described on Imes 1-9 m col (1) listed 1n your the organization 1n

above or IRC section governing document? col (i) of your

(see instructions)) support?

Yes No Yes No

Total

(vi) Is the organization m col (1) organized m the

US?

Yes No

Yes No

(vii) Amount of support

For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for

Form 990 or 990-EZ.

Schedule A (Form 990 or 990-EZ) 2009

DM

363309812 06/11/2010 1113 AM

'Schedule,<} (Form 990 or990-EZ) 2009 THE HEARTLAND INSTITUTE 36-3309812 Part IJ Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)

(Complete only if you checked the box on line 51 71 or 8 of Part I.) Section A. Public Support

Calendar year (or fiscal year beginning in) 11JJ,, (a) 2005 (b)2006 (c) 2007 (d) 2008 (e) 2009

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 fac1l1t1es 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 lme 1 that exceeds 2% of the amount shown on lme 11, column (0

6 Public suooort. Subtract lme 5 from lme 4 Section B. Total Support

Calendar year (or fiscal year beginning in) 11JJ,, (a) 2005 (b)2006 (c) 2007 (d) 2008 (e) 2009

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) I 12

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. Computation of Public Support Percentage 14 Public support percentage for 2009 (line 6, column (f) d1v1ded by hne 11, column (f))

15 Public support percentage from 2008 Schedule A, Part II, hne 14

16a 33 1/3 % support test-2009. If the organization did not check the box on line 13, and hne 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-2008. If the organ1zat1on did not check a box on line 13 or 16a, and hne 15 1s 33 1/3 % or more, check this

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

17a 10%-facts-and-circumstances test-2009. lfthe organization did not check a box on line 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

14

15

b 10%-facts-and-circumstances test-2008. If the organization did not check a box on hne 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 organ1zat1on qual1f1es as a publicly supported organization

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

Page 2

(f) Total

(f) Total

.... ~

%

%

.... D ~ [J

.... 11 L_]

:t Schedule A (Form 990 or 990-EZ) 2009

DAA

363309812 06/11/2010 11 13 AM

'schedule A (Form 990 or 990-EZ) 2009 THE HEARTLAND INSTITUTE 36-3309812 • Part Ill Support Schedule for Organizations Described in Section 509(a)(2)

(Complete only if you checked the box on line 9 of Part I.) S A P bl" S rt ect1on u IC UDDO

Calendar year (or fiscal year beginning in) ~ (a) 2005 (b) 2006 (c) 2007

1 Gifts, grants, contnbut1ons, and membership fees received (Do not include any "unusual grants") 4,272,891 2,517,448 4,993,162

2 Gross receipts from adm1ss1ons, merchandise sold or services performed, or fac1ht1es furnished m any act1v1ty that 1s related to the

246,591 187,267 189,135 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 fac111!1es furnished by a governmental unit to the organization without charge

6 Total. Add Imes 1 through 5 4,519,482 2,704,715 5,182,297

7a Amounts included on Imes 1, 2, and 3 received from d1squalif1ed persons 2,869,522 953,200 3,625,937

b Amounts included on Imes 2 and 3 received

from other than d1squahf1ed persons that

exceed the greater of $5,000 or 1% of the

amount on lme 13 for the year 201,382 159,790 136,966

c Add Imes 7a and 7b 3,070,904 1,112,990 3,762,903

8 Public support (Subtract line 7c from line 6)

s ection B. Total Suooort Calendar year (or fiscal year beginning in) ~ (a) 2005 (b) 2006 (c) 2007

9 Amounts from line 6 4,519,482 2,704,715 5,182,297

10a Gross income from interest, d1v1dends, payments received on securities loans, rents, royalties and income from s1m1lar

1,401 42,973 34,587 sources

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

c Add lines 10a and 10b 1,401 42,973 34,587

11 Net income from unrelated business act1v1t1es not included in line 1 Ob, whether or not the business 1s regularly

0 0 earned on

12 Other income Do not include gain or loss from the sale of capital assets (Explain 1n Part IV )

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

and 12) 4 520 883 2 747 688 5 216 884

(d) 2008

7,659,414

151,709

7,811,123

5,610,000

73,371

5,683,371

(d) 2008

7,811,123

22,661

22,661

0

7 833 784

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 2009 (line 8, column (f) d1v1ded by line 13, column (f))

16 Public su ort ercenta e from 2008 Schedule A, Part Ill, line 15

Section D. Com utation of Investment Income Percenta e 17 Investment income percentage for 2009 (line 10c, column (f) d1v1ded by line 13, column (f))

18 Investment income percentage from 2008 Schedule A, Part Ill, line 17

(e) 2009

6,499,687

209,487

6,709,174

4,170,159

182,319

4,352,478

(e) 2009

6,709,174

58,969

58,969

0

6 768 143

15

16

17

18

19a 331/3 % support tests-2009. 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-2008. If the organization did not check a box on line 14 or line 19a. and line 16 1s more than 33 1/3 %. and

Page 3

(f) Total

25,942,602

984,189

26,926,791

17,228,818

753,828

17,982,646

8,944,145

(f) Total

26,926,791

160,591

160,591

27,087 382

33.02%

36.00%

1%

1%

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 organization did not check a box on line 14, 19a, or 19b, check this box and see instructions ~

DAA Schedule A (Form 990 or 990-EZ) 2009

363309812 06/11/2010 11 13 AM

'.schedule-'\(Form990or990-EZ)2009 THE HEARTLAND INSTITUTE 36-3309812 Page4

• Part IV Supplemental Information. Complete this part to provide the explanations required by Part II, line 10; Part 11, line 17a or 17b; and Part 111, line 12. Provide any other additional information See instructions.

Schedule A (Form 990 or 990-EZ) 2009 DAA

363309812 06/11/2010 1113 AM

SCHEDULED "(Form 990)

Supplemental Financial Statements OMB No 1545-0047

2009 Department of the Treasury Internal Revenue Service

~ Complete if the organization answered "Yes," to Form 990, Part IV, line 6, 7, 8, 9, 10, 11, or 12.

~ Attach to Form 990. ~ See separate instructions. Open to Public lns~ctlon

Name of the organization Employer ident1f1cation number

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

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

1 Total number at end of year

2 Aggregate contributions to (during year)

3 Aggregate grants from (during year)

4 Aggregate value at end of year

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

funds are the organization's property, subJect to the organization's exclusive legal control? Yes

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

No

purpose conferring 1mperm1ss1ble private benefit? Yes No

Part II Conservation Easements. Complete if the organization answered "Yes" to Form 990 1 Part IV1 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 pleasure) ~ Preservation of an historically important land area

L__J Protection of natural habitat O Preservation of cert1f1ed 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

2a

2b

2c

2d

3 Number of conservation easements modified, transferred, released, ext1ngu1shed, or term mated by the organization during

the taxable year ~ _ _ _ _ _

4

5

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

Does the organization have a written policy regarding the periodic monitoring, mspect1on, handling of

v1olat1ons, and enforcement of the conservation easements 11 holds?

6 Staff and volunteer hours devoted to monitoring, mspectmg, 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 lme 2(d) above satisfy the requirements of section

170(h)(4)(B)(1) and section 170(h)(4)(B)(11)?

9 In Part XIV, describe how the organization reports conservation easements 1n tis 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 Ill Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete if the organization answered "Yes" to Form 990, Part IV, line 8.

1a If the organization elected, as permitted under SFAS 116, not 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, 1n Part XIV, the text of the footnote to its financial statements that describes these items

b If the organization elected, as permitted under SFAS 116, to report 1n 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 relating to these items

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

b Assets included 1n Form 990, Part X

Yes No

Yes No

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

Schedule D (Form 990) 2009

363309812 06/11/2010 11 13 AM

Schedule o (Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 2 • 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 ,terns (check all that apply)

Public exh1b1t1on a l a r---,

b I Scholarly research

d I ~ Loan or exchange programs e [~ Other _ _ _ _ _ _

,----, c LJ Preservation for future generations

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

5 During 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? Yes , No

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

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

included on Form 990, Part X?

b If "Yes," explain the arrangement m Part XIV and complete the following table

c Beginning balance

d Add1t1ons during the year

e D1stribut1ons during the year

Ending balance

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

b If "Yes," explain the arrangement m Part XIV

P V E d F d C I t "f f art n owment un s. omp e e I oraarnza ion answere d "Y "t F es 0 orm 990 P '

(a) Current year

1a Begmnmg of year balance

b Contributions

c Net investment earnings, gains,

and losses

d Grants or scholarships

e Other expenditures for fac111!1es

and programs

f Adm1nistrat1ve expenses

g End of year balance

2 Provide the estimated percentage of the year end balance held as

a Board designated or quasi-endowment .... _ _ _ _ %

b Permanent endowment .... % c Term endowment .... %

(b) Pnor year (c) Two years back

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 organ1zat1ons

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

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

1c

1d

1e

1f

art IV I '

me 10 (d) Three years back

P rt VI I t L d B "Id" d E S F a nves ments- an •. UI mas. an :aumment. ee orm 990 P art XI me 10 Descnpt1on of investment (a) Cost or other basis (b) Cost or other (c) Accumulated

(investment) basis (other) deprec1at1on

1a Land

b Buildings

c Leasehold improvements

d Equipment

e Other 238,403 173,970 Total. Add Imes 1a through 1e (Column (d) must equal Form 990, Part X, column (8), line 10(c)) ....

Yes L-.: No

Amount

r

"-' Yes "- No

(e) Four years back

Yes No

Jam

3a(ii)

3b

(d) Book value

64,433 64,433


DAA

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

363309812 06/11/2010 1113 AM . '

• Part VII Investments-Other Securities. See Form 990, Part X, line 12 :.Schedul~ O (Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 3

(a) Descnp!Jon of secunty or category (b) Book value (c) Method of valuation

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

F1nanc1al derrvat1ves

Closely-held equity interests

Other - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -- - - - - - - - - - - - - - - - - - -

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 12) .... P rt VIII a t nves ments- p rogram RI e ate d s ee F orm I a I 990 P rt X I me 13

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

Cost or end-of-year market value

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

(a) Description (b) Book value

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 15) .... ... Part X Other L1ab1ht1es. See Form 990 Part X line 25 I I

1 (a) Description of llab1llty (b) Amount

Federal income taxes

Total. (Column (b) must equal Form 990, Part X, col (B) lrne 25) .... 2. FIN 48 Footnote In Part XIV, provide the text of the footnote to the organrzat1on's financial statements that reports the

organrzat1on's lrab1lrty for uncertain tax positrons under FIN 48

Schedule D (Form 990) 2009 DAA

36330981'206/11/20101113AM . . . . Schedule,D (Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 • T Part XI Reconc1 1at1on o f Ch f ange in Net Assets rom Form 990 to Audited Financial Statements

1 Total revenue (Form 990, Part VIII, column (A), line 12) 1

2 Total expenses (Form 990, Part IX, column (A), line 25) 2

3 Excess or (deficit) for the year Subtract lme 2 from line 1 3

4 Net unrealized gains (losses) on investments 4

5 Donated services and use of facilities 5

6 Investment expenses 6

7 Prior period adjustments 7

8 Other (Describe 1n Part XIV ) 8

9 Total adjustments (net) Add Imes 4 through 8 9

10 Excess or ldef1c1t) for the vear oer audited financial statements Combine Imes 3 and 9 10

P rt XII a R T f 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 fac11it1es 2b

c Recoveries of prior year grants 2c

d Other (Describe 1n Part XIV ) 2d 85,282 e Add Imes 2a through 2d 2e

3 Subtract lme 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 7b 4a

b Other (Describe m Part XIV ) 4b

c Add Imes 4a and 4b 4c

5 Total revenue Add Imes 3 and 4c. (This must eaual Form 990 Part I line 12) 5 P rt XIII R a econc1 1at1on o fE xpenses per u 1te manc1a A d" d F" . IS tatements w· hE It xpenses per Return 1 Total expenses and losses per audited financial statements

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

a Donated services and use of fac111t1es 2a

b Prior year adjustments 2b

c Other losses 2c

d Other (Describe m Part XIV ) 2d 85,282 e Add Imes 2a through 2d

3 Subtract line 2e from line 1

4 Amounts included on Form 990, Part IX, line 25, but not on line 1:

a Investment expenses not included on Form 990, Part VIII, lme 7b 4a

b Other (Describe m Part XIV ) 4b

c Add Imes 4a and 4b

5 Total exoenses Add Imes 3 and 4c. ITh1s must eaual Form 990 Part I lme 18 l Part XIV Supplemental Information

Complete this part to provide the descriptions required for Part 11, Imes 3, 5, and 9, Part Ill, lines 1a and 4, Part IV, Imes 1 b

and 2b, Part V, line 4, Part X, line 2, Part XI, lme 8, Part XII, Imes 2d and 4b, and Part XIII, Imes 2d and 4b Also complete

this part to provide any add1t1onal information

_P~1' ~I...L ~I~_8_ -_~C.QN.fI!A1'I.QN_O_!' _f~gE_§ OTHER

DIRECT EXPENSES FROM 990 PART VIII LINE SB

DIRECT EXPENSES FROM 990 PART VIII LINE SB

1

2e

3

4c

5

Page4

6,785,374 6,251,523

533,851

533,851

6,870,656

85,282 6,785,374

6,785,374

6,336,805

85,282 6,251,523

6,251

_BE,~8~

.=BE ,~8~

523

_PART XII,_LINE 2D - REVENUE AMOUNTS INCLUDED IN FINANCIALS OTHER

D1RECT EXPE~SES FROM 990 PART VIII LINE SB j 8E,~8~


DAA

36330981'2 06/11/2010 11 13 AM ' ' . • Part XIV Supplemental Information (continued) Schedul~ D (Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 5

LINE 2D EXPENSE AMOUNTS INCLUDED IN FINANCIALS OTHER

DIRECT EXPENSES FROM 990 PART VIII LINE SB ________ j


DAA

363309812 06/1,1/2010 11 13 AM

: Schedule F . . (Form 990)


Statement of Activities Outside the United States ~ Complete if the organization answered "Yes" to Form 990,

Part IV, line 14b, 15, or 16. ~ Attach to Form 990. ~ See separate instructions.

OMB No 1545-0047

2009 Open to Public Ins Ion


THE HEARTLAND INSTITUTE 36-3309812 Part I General Information on Activities Outside the United States. Complete if the organization answered

"Yes" to Form 990 Part IV line 14b. For grantmakers. Does the organization maintain records to substantiate the amount of the grants or

assistance. the grantees' eltg1b11tty for the grants or assistance, and the selection cntena used to award

the grants or assistance?

2 For grantmakers. Describe in Part IV the organization's procedures for monitoring the use of grant funds outside the

United States

3 Act1v1t1es per Region (Use Schedule F-1 (Form 990) 1f add1t1onal space 1s needed)

(a) Region (b) Number of (c) Number of (d) Act1v1t1es conducted m (e) If act1v1ty listed 1n (d) 1s offices rn the employees or region (by type) (1 e , a program service,

region agents rn fundra1srng, program services, describe specific type of region grants to rec1p1ents located rn service(s) rn region

the region)

EAST ASI !>. AND THE PAC FIC GRANTS INFORMATION

Totals ~

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

DAA

~ Yes D No

(f) Total expenditures for

region

115,000

115,000 Schedule F (Form 990) 2009

363309812 06/11/2010 11 13 AM

ScheduleF(Form990)2009 THE HEARTLAND INSTITUTE 36-3309812 Page2_·

Part II Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 15, for any recipient who received more than $5,000. Check this box if no one recipient received more than $5,000 ti,. D - -·· ·-. ... -··· - .. ·-· ·- ..

1 (b) IRS code (d) Purpose of (e) Amount of (f) Manner of

(a) Name of organization (c) Region cash section and EIN grant cash grant disbursement (1f applicable)

RESEARCH/PUBLICATION 15,000 ELECTRONI1 ~

EAST ASIA AND THE PACIFIC

RESEARCH/PUBLICATION 25,000 ELECTRONI1 ~


RESEARCH/PUBLICATION 25,000 ELECTRON!~






2 Enter total number of rec1p1ent organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt

by the IRS, or for which the grantee or counsel has provided a section 501 (c)(3) equ1valency letter

3 Enter total number of other organizations or ent1t1es

DAA

(g) Amount of non-cash

assistance

(h) Description of non-cash assistance

...

... 0 5

(i) Method of valuation

(book, FMV, aoora1sal, other\

Schedule F (Form 990) 2009

36330981206/11/20101113AM .. Schedule F (Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page-l-

Part Ill Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16 .•

- ---- -··· ---· .. ·-· .. ·- ..

(d) Amount of (e) Manner of (f) Amount of (g) Description (h) Method of

(a) Type of grant or assistance (b) Region (c) Number of cash non-cash of non-cash valuation rec1p1ents cash grant disbursement assistance assistance (book, FMV,

aoora1sal, other)

Schedule F (Form 990) 2009

DAA

- - ' 363309812 06/1112010 11 13 AM

' . , Sghedule F {Form 990) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 4

: f?art.lV Supplemental Information Complete this part to provide the information required in Part I, line 2, and any other additional information.

PART I, LINE 2 - PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS

THE ORGANIZATION IS "FRIENDS OF" THE GRANT RECIPIENTS THEREFORE NO MAJOR

TRACKING IS NECESSARY.

Schedule F {Form 990) 2009

DAA

~09812 06/11/2010 11 13 AM

, ' SCHl!DULE G : (Form ~90 or

0

990-EZ) " ,) . Department of the Treasury Internal Revenue Service

Supplemental Information Regarding Fundraising or Gaming Activities

Complete if the organization answered "Yes" to Form 990, Part IV, Imes 17, 18, or 19, or if the or.9anization entered more than $15,000 on Form 990-EZ, line 6a.

,.. Attach to Fonn 990 or Fonn 990-EZ. .... See separate instructions.

OMB No 1545-0047

2009 Open To Public lnsoection

THE HEARTLAND INSTITUTE I Employer identification number

36-3309812 Name of the organization

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

Indicate whether the organization raised funds through any of the following act1v1t1es Check all that apply

a [J Marl solic1tat1ons e D Solic1tat1on of non-government grants

~ 10 b L.J Internet and email solic1tat1ons Solic1tat1on of government grants

c D Phone solic1tat1ons g D Special fundra1s1ng events

d D In-person solic1tat1ons

2a Did the organ1zat1on have a written or oral agreement with any ind1v1dual (including officers, directors, trustees or key employees listed in Form 990, Part VII) or entity 1n connection with professional fundra1s1ng services?

b If "Yes," list the ten highest paid ind1v1duals or ent1t1es (fundra1sers) pursuant to agreements under which the fundra1ser 1s to be compensated at least $5,000 by the organization

(1) Name of ind1v1dual (ii) Act1v1ty (Iii) Did fund- (1v) Gross receipts (v) Amount paid to raiser have

or entity (fund raiser) custody or from act1v1ty (or retained by)

control of fundra1ser listed in contnbut1ons? col (1)

Yes No

Total .... 3 List all states in which the organization 1s registered or licensed to solicit funds or has been notified rt rs exempt from

reg1strat1on or licensing

D Yes D No

(vi) Amount paid to (or retained by)

organization

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

Schedule G (Form 990 or 990-EZ) 2009

363309812 06/11/2010 1113 AM

Sctiedcrle G (!i'orm 990 or 990-EZ) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 2

• : fart 1J Fund raising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported

more than $15 000 on Form 990-EZ line 6a. List events with aross receiots areater than $5 000. (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)) Q) ::, c Q) 102,513 102 513 > 1 Gross receipts Q)

0::: 2 Less Charitable

contributions

3 Gross revenue (hne 1

minus hne 2) 102,513 102,513

4 Cash prizes

5 Noncash prizes

rn 6 RenUfac1hty costs Q) rn c Q) a.

Food and beverages x 7 w 0 ~

8 Entertainment c5

9 Other direct expenses 85,282 85,282

10 Direct expense summary Add Imes 4 through 9 in column (d) ~ 85, 282) 11 Net income summarv Combine hne 3, column (dl and hne 10 ~ 17,231

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

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

(c) Other gaming (d) Total gaming (Add

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

0::: 1 Gross revenue

rn 2 Cash prizes Q) rn c Q) a. 3 Noncash prizes x w 0 ~ 4 RenUfac1l1ty costs c5

5 Other direct expenses

l j Yes % LJ Yes % I J Yes % I

6 Volunteer labor 11 No I I No I -1 No

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

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

Yes No

9 Enter the state(s) in which the organization operates gaming act1v1ties

a Is the organization licensed to operate gaming act1v1t1es 1n each of these states? 9a

b If "No," Explain

10a Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? 10a

b If "Yes," Explain

11 Does the organization operate gaming activ1t1es with nonmembers? 11

12 Is the orgamzat1on a granter, beneficiary or trustee of a trust or a member of a partnership or other entity

formed to administer charitable oammo? 12

DAA Schedule G (Form 990 or 990-EZ) 2009

36330981206/M/20101113AM

' . , , Scbedule G (Perm 990 or 990-EZ) 2009 THE HEARTLAND INSTITUTE 36-3309812 Page 3

• • .. ' . Yes No

13 Indicate the percentage of gaming act1v1ty operated in

a The organization's facility 13a %

b An outside facility 13b %

14 Provide the name and address of the person who prepares the orgamzat1on's gaming/special events books

and records

Name ....

Address ....

15a Does the orgamzat1on have a contract with a third party from whom the orgamzat1on receives gaming

revenue? 15a

b If "Yes," enter the amount of gaming revenue received by the orgamzat1on .... $ and the

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 1nformat1on

Name..,_

Gaming manager compensation ..,_ $

Description of services provided ..,_

n D1rector/officer D Employee D Independent contractor

17 Mandatory d1stnbut1ons

a Is the organization required under state law to make charitable d1stnbut1ons from the gaming proceeds to

retain the state gaming license? 17a

b Enter the amount of d1stnbut1ons required under state law d1stnbuted to other exempt orgamzat1ons or spent

in the oraamzat1on's own exempt act1v1t1es dunnQ the tax vear ..,_ $ Schedule G (Form 990 or 990-EZ) 2009

DAA

p

36330981206/11/20101113AM

SC:HE!DULE IVI '(F.p'riv 990)

Noncash Contributions .... Complete if the organizations answered "Yes" on Form

990, Part IV, lines 29 or 30. Department of the Treasury Internal Revenue Service

Name of the organization

.... Attach to Form 990.

THE HEARTLAND INSTITUTE Part I Types of Property

(a) (b) (c) Check 1f Number of Contributions Revenues reported on

applicable Form 990, Part VIII, line 19

1 Art-Works of art x 1 12.250 2 Art-Historical treasures

3 Art-Fractional interests

4 Books and publications

5 Clothing and household

goods

6 Cars and other vehicles

7 Boats and planes

8 Intellectual property

9 Securities-Publicly traded

10 Securities-Closely held stock

11 Securit1es-Partnersh1p, LLC,

or trust interests

12 Securit1es-M1scellaneous

13 Qualified conservation

contribut1on-H1stonc

structures

14 Qualified conservation

contribution-Other

15 Real estate-Res1dent1al

16 Real estate-Commercial

17 Real estate-Other

18 Collectibles

19 Food inventory

20 Drugs and medical supplies

21 Taxidermy

22 Historical artifacts

23 Sc1ent1f1c specimens

24 Archeolog1cal artifacts

25 Other .... ( SOFTWARE ) x 1 123.885 26 Other.._( )

27 Other ... ( )

28 Other""< )

29 Number of Forms 8283 received by the organization during the tax year for contributions for

which the organization completed Form 8283, Part IV, Donee Acknowledgement 29 I 30a During the year, did the orgamzat1on receive by contribution any property reported in Part I, Imes 1-28 that

11 must hold for at least three years from the date of the m1t1al contribut1on, and which 1s not required to be

used for exempt purposes for the entire holding period?

b If "Yes," describe the arrangement in Part II

31 Does the orgamzat1on have a gift acceptance policy that requires the review of any non-standard

contributions?

32a Does the orgamzat1on hire or use third parties or related organizations to sohc1t, process, or sell noncash

contributions?

b If "Yes," describe in Part II

33 If the organization did not report revenues 1n column (c) for a type of property for which column (a) 1s checked,

describe 1n Part II


DAA

OMB No 1545-0047

2009 Open To Public

Inspection

I Employer 1dent1f1cat1on number

36-3309812

(d) Method of determining

revenues

Yes No

30a x

31 x

32a x

Schedule M (Form 990) 2009

363309812 06/11/2010 11 13 AM

' ' , Sch.~duleM(Fo?m9~0J2009 THE HEARTLAND INSTITUTE 36-3309812 Page 2

' p~rt.11. Supplemental Information. Complete this part to provide the information required by Part I, lines 30b, • 32b, and 33. Also complete this part for any additional information.

Schedule M (Form 990) 2009

DAA

-----,

363309812 06/1~/2010 11 13 AM

•;SCtUiDULE O (Form 990)

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

Form 990 or to provide any additional information.

OMB No 1545-0047

Department of the Treasury Internal Revenue Service ~ Attach to Form 990.

2009 Open to Public Ins ion


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 llA - ORGANIZATION'S PROCESS TO REVIEW FORM 990

NO REVIEW WAS OR WILL BE CONDUCTED.

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 lSA - 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 lSB - COMPENSATION PROCESS FOR OFFICERS

WHEN DETERMINING COMPENSATION THE BOARD USES REVIEW AND APPROVAL BY AN


DAA

Schedule O (Form 990) 2009

.. 36330gg12 06/W2010 11 13 AM

' • Scbedule O l'or 990 2009 ;

I Na-.e o'-th2 organization

THE HEARTLAND INSTITUTE Employer identification number

36-3309812

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.

Pae 2

Schedule O (Form 990) 2009

DAA

36330981206/111/20101113AM ..

•,F97~, :1:562 Department of the Treasury Internal Revenue Service (

99)

Depreciation and Amortization (Including Information on Listed Property)

~ See se arate instructions. ~ Attach to our tax return.

OMB No 1545-0172

2009 Name(s) shown on return Identifying number

THE HEARTLAND INSTITUTE 36-3309812 Business or act1v1ty to which this form relates

INDIRECT DEPRECIATION Part I Election To Expense Certain Property Under Section 179

Note: If vou have anv listed orooertv. comolete Part V before vou comolete Part I. 1 Maximum amount See the instructions for a higher limit for certain businesses 1 250,000 2 Total cost of section 179 property placed in service (see instructions) 2

3 Threshold cost of section 179 property before reduction m lim1tat1on (see instructions) 3 800,000 4 Reduction m lim1tat1on Subtract line 3 from line 2 If zero or less, enter -0- 4

5 Dollar lim1tat1on for tax vear Subtract line 4 from line 1 If zero or less, enter -0- If married f1lmq separately, see instructions 5

6 (a) Description of property (b) Cost (business use only) (c) Elected cost

7 Listed property Enter the amount from line 29 I 1

8 Total elected cost of section 179 property Add amounts m column (c), lines 6 and 7 8

9 Tentative deduction Enter the smaller of line 5 or line 8 9

10 Carryover of disallowed deduction from lme 13 of your 2008 Form 4562 10

11 Business income lim1tat1on Enter the smaller of business income (not less than zero) or line 5 (see instructions) 11

12 Section 179 expense deduction Add Imes 9 and 10, but do not enter more than lme 11 12

13 Carryover of disallowed deduction to 2010 Add Imes 9 and 10, less line 12 ~ I 13 Note: Do not use Part II or Part Ill below for listed property Instead, use Part V

Part II Special Depreciation Allowance and Other Deoreciation too not include listed orooertv. (See instr.) 14 Special deprec1at1on allowance for qualified property (other than listed property) placed 1n service

during the tax year (see instructions) 14

15 Property subJect to section 168(f)(1) election 15

16 Other deorec1at1on (mcludma ACRS) 16 19,501 Part Ill MACRS Depreciation (Do not include listed property.) (See instructions)

Section A

17 MACRS deductions for assets placed m service m tax years beginning before 2009 17 0 18 If ou are electin to rou an assets laced in service dunn the tax ear into one or more eneral asset accounts, check here ~

Section B-Assets Placed in Service During 2009 Tax Year Using the General Depreciation System

(b) Month and year (c) Basis for deprec1at1on (d) Recovery (a) Class1ficat1on of property placed in (business/investment use

period (e) Convention (f) Method (g) Deprec1at1on deduction service only-see 1nstruct1ons)

19a 3-year property

b 5-vear prooertv

c 7-vear orooertv

d 10-vear propertv

e 15-vear orooertv

f 20-year property

a 25-vear orooertv 25 vrs SIL

h Res1dent1al rental 27 5 vrs MM SIL property 27 5 vrs MM SIL

i Nonres1dent1al real 39 vrs MM SIL property MM SIL

Section C-Assets Placed in Service During 2009 Tax Year Using the Alternative Depreciation System

20a Class life SIL

b 12-vear 12 yrs SIL

c 40-vear 40 vrs MM SIL

Part IV Summarv (See instructions ) 21 Listed property Enter amount from line 28 21

22 Total. Add amounts from line 12, Imes 14 through 17, Imes 19 and 20 1n column (g), and line 21 Enter here

and on the appropriate lines of your return Partnerships and S corporations-see instructions 22 19,501 23 For assets shown above and placed m service during the current year, enter the

231 oort1on of the basis attributable to section 263A costs

For Paperwork Reduction Act Notice, see separate instructions.

DAA

Form 4562 (2009)

THERE ARE NO AMOUNTS FOR PAGE 2

Form 8868 (Rev Apnl 2009)


Application for Extension of Time To File an Exempt Organization Return

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

OMS No 1545-1709

• If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box . . .,.. IZl • If you are filing for an Additional (Not Automatic) 3-Month Extension, complete only Part II (on page 2 of this form). Do not com lete Part II unless ou have alread been ranted an automatic 3-month extension on a rev1ousl filed Form 8868.

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 . . . . . . . . . . . . . .,.. D All other corporations (including 1120-C filers), partnerships, REM/Cs, and trusts must use Form 7004 to request an extension of time to file income tax returns.

Electronic Filing (e-file). Generally, you can electronically file Form 8868 1f you want a 3-month automatic extension of time to file one of the returns noted below (6 months for a corporation required to file Form 990-T). However, you cannot file Form 8868 electronically if (1) you want the add1t1onal (not automatic) 3-month extension or (2) you file Forms 990-BL, 6069, or 8870, group returns, or a composite or consolidated Form 990-T. Instead, you must submit the fully completed and signed page 2 (Part II) of Form 8868. For more details on the electronic filing of this form, visit www.1rs.gov/eflle and click on e-ftle for Chanties & Nonprofits.

Type or print

Name of Exempt Organization

HEARTLAND INSTITUTE I Employer identification number

36 : 3309812 File by the due date for filing your return See 1nstruct1ons

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

19 SOUTH LASALLE STREET #903 City, town or post office, state, and ZIP code For a foreign address, see instructions.

CHICAGO, IL 60603

Check type of return to be filed (file a separate application for each return): IZl Form 990 D Form 990-T (corporation) D Form 990-BL D Form 990-T (sec. 401 (a) or 408(a) trust) D Form 990-EZ D Form 990-T (trust other than above) D Form 990-PF D Form 1041-A

D Form 4720 D Form 5227 D Form 6069 D Form 8870

• The books are in the care of.,.. _!_~~-t'-~~~!_1:-~~l?-~~~-"!"!!_~:i:~-------------------------------------------------------

Telephone No . .,.. L_~_1_~ ___ L_ _______ ~??_~~~~--------- FAX No . .,.. L_~_1_~ __ J __________ ~?-~:~9-~~---------• If the organization does not have an office or place of business in the United States, check this box . . . .,.. D • 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 . . . . . .,.. D . If 1t 1s for part of the group, check this box ...... .,.. D and attach a list with the names and EINs of all members the extension will cover.

1 I request an automatic 3-month (6 months for a corporation required to file Form 990-T) extension of time until ----~~~~~-"!"_~.:>_ ____ , 2o_J.~., to file the exempt organization return for the organization named above. The extension 1s for the organization's return for: .,.. IZl calendar year 20 ... ~~-- or .,.. D tax year beginning---------------------------------- , 20 ______ , and ending _____________________________________ , 20 _______ .

2 If this tax year is for less than 12 months, check reason: D Initial return D Final return D Change in accounting period

3a 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. 3a $

b If this application is for Form 990-PF or 990-T, enter any refundable credits and estimated tax payments made. Include any pnor year overpayment allowed as a credit. 3b $

c Balance Due. Subtract line 3b from line 3a. Include your payment with this form, or, 1f required, deposit with FTD coupon or, 1f required, by using EFTPS (Electronic Federal Tax Payment -System). See 1nstruct1ons. 3c $

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

For Privacy Act and Paperwork Reduction Act Notice, see Instructions. Cat No 279160 Form 8868 (Rev 4-2009)

Heartland Institute 363309812 2009 063E9EE8Searchable

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