Physicians' and Surgeons' Professional Liability Insurance Application

Physicians' and Surgeons' Professional Liability Insurance Application (This application is used for vant Health Risk Retention Group Inc.; Triva Insurance Ltd.; and vant Health Self-Insured Trust) Name: Facility: Specialty: Full Time:, or, if Part Time or PRN, hours per week: Questions on filling out application: Questions on status of application: Angie Barnes 336-277-1192 IMPORT ANT: Please complete entire application, unless specifically stated elsewhere. Signatures are required on page 11. Applications will not be processed until all information is received. All questions must be answered, if not applicable, use NA. Coverage is not in effect until the application is approved. The insurers reserve the right to deny coverage in vant Health RRG, Triva or vant Health Self Insured Trust. Copies of the following are REQUIRED when your application is submitted: Current Resume or Curriculum Vitae Current Certificate of Insurance 10-year Loss Run / Claims History for past 10 years (If <10, from beginning of residency program.) Return Application to: Corporate Insurance Attn: Angie Barnes 2085 Frontis Plaza, Blvd Winston-Salem, NC 27103 Fax: 336-277-9149 Email: ambarnes@novanthealth.org vant Health Inc., Medical Professional Liability Application 1 of 15

I. GENERAL INFORMATION If additional space is needed, please use the Supplemental Form. A. Applicant Information vant Corporate Entity/Partnership Name (where applicant will be working) Physician Last Name First Name Middle Name Degree Date of Birth MM DD YYYY Social Security Number B. Hospitals Where You Have Privileges 1. Hospital City State County Type of Privileges % of Practice 2 Hospital City State County Type of Privileges % of Practice 3. Hospital City State County Type of Privileges % of Practice 4. Hospital City State County Type of Privileges % of Practice 5. Hospital City State County Type of Privileges % of Practice vant Health Inc., Medical Professional Liability Application 2 of 15

II. EDUCATIONAL B ACKGROUND A. Have you participated in any continuing medical education within the last three years? III. LICENSING INFORMATION A. PENDING MEDICAL LICENSE? Pending State Temporary License# B. DEA CERTIFICATE? If, DEA # If no, do you intend to apply for one? C. TO WHICH STATE/LOCAL MEDICAL SOCIETIES OR ASSOCIATIONS DO YOU BELONG? IV. R ATING INFORMATION A. WHAT IS YOUR PRESENT SPECIALTY? Percentage of your practice devoted to your specialty: % WHAT IS YOUR PRESENT SUB-SPECIALTY? Percentage of your practice devoted to your sub-specialty: % B. AMERICAN BOARD CERTIFIED? Specialty Board Date Certified _ Does your specialty have permanent board certification? If no, when does your certification expire? _ If you are not board certified, are you currently board eligible? If yes, when do you plan on taking your boards? vant Health Inc., Medical Professional Liability Application 3 of 15

IV. RATING INFORMATION (Continued) C. PLE ASE CHECK ANY OF THE FOLLOWING PROCEDURES YOU WILL PERFORM: t Applicable ERCP rmal Obstetric Deliveries # per year Cesarean Sections # per year Abortions End Tidal CO2 Analyzer Other Medical Techniques First Trimester Acupuncture Gastrointestinal Endoscopy Pacemakers under General Anesthesia Anesthesia,Therapeutic/Local General/Spinal/Caudal Anesthesia Peritonescopy Anesthesia,General Angiography Hair Transplants Scalp Excision /Transplantation Plug /Technique/Minigraph Heart Catheterization, Left Heart Catheterization, Right (Other than CVP lines) Prenatal Practice See Patients during 1 st and 2 nd Trimester See Patients to term but do not perform delivery See Patients to term and perform delivery Pulse Oximetry Arthroscopy Swan-Ganz Catheterization Radial/Laser Keratotomy Arteriography Infertility Procedures/Treatments Radiation/X-Ray Therapy Assisting in Major Surgery Own Patients Only Own Patients/Other Patients Laparoscopy Radiopaque Dye n-ionic Only Biopsy (Endoscopic) Laser Surgery Shock Therapy Blepharopigmentation Liposuction Sigmoidoscopy Less than 60cm Greater than 60cm Blepharoplasty/Brow Lifts Cosmetic % of practice Reconstruction % of practice Breast Implants Cosmetic % of practice Reconstruction % of practice Bronchoscopy Lymphangiography Lithotripsy Lumbar Epidural Steroid Paraspinal Sciatic Paravertebral Peripheral Myofascial Occipital Major Gynecological Surgery Silicone Injections Skin Flap/Grafts Cosmetic % of practice Reconstructive % of practice Trigger Point Injections Cryosurgery Tubal Ligations (Other than external lesions) D&C Myelography Vasectomies Diagnostic Embolization Needle Biopsy Nerve Blocks vant Health Inc., Medical Professional Liability Application 4 of 15

IV. RATING INFORMATION (CONTINUED) D. DO YOU ASSIST WITH OR PERFORM ANY OF THE FOLLOWING: 1. Chelation therapy for other than treatment of lead poisoning: 2. Home deliveries: 3. Second trimester abortions in a non-hospital setting: 4. Bariatric surgery: (If, supplemental application required) 5. Sex-change operations: E. INDICATE THE PERCENTAGE OF YOUR SURGICAL PRACTICE DEVOTED TO THE FOLLOWING SURGICAL ACTIVITIES: NO SURGICAL ACTIVITIES % ABDOMINAL % CARDIAC % COLON / RECTAL % GENERAL % GYNECOLOGY % HAND % HEAD & NECK % NEUROLOGY % OBSTETRICS % OPHTHALMOLOGY % ORTHOPEDIC (INCLUDING BACK) % ORTHOPEDIC (NOT INCLUDING BACK) % OTOLARYNGOLOGY % PLASTIC (RECONSTRUCTION ONLY) % PLASTIC (COSMETIC ENHANCEMENT ONLY) % THORACIC % TRAUMATIC % VASCULAR %OTHER (DESCRIBE) F. LIST DIAGNOSTIC OR SURGICAL PROCEDURES PERFORMED IN THE OFFICE BUT NOT IN THE HOSPITAL. G. IN THE LAST FIVE (5) YEARS: 1.Have you changed your specialty? 2.Have you added or discontinued any major surgical procedures? If, list procedures and date: vant Health Inc., Medical Professional Liability Application 5 of 15

V. PERSONAL, HOSPITAL, AND LICENSE INFORMATION PLEASE FULLY EXPLAIN ANY YES ANSWER ON THE SUPPLEMENTAL FORM: 1. Do you own or operate any medical business whether related or not to your practice? If yes, please describe the nature of the business enterprise and your affiliation (e.g. owner, employee, independent contractor, etc.) with the entity, using an additional page if necessary. If yes, please provide a co py of your certificate of insurance that provides coverage for this role. 2. Are you a Medical Director of a nursing home, health care facility or any other business enterprise providing medical services? a. Independent of your employment with vant Health, Inc. b. As an employee of vant Health, Inc. c. Do you render patient care in your capacity as Medical Director? d. How many hours per Month? Location 3. Do you evaluate medical procedures, devices, drugs, drug regimens, therapy or clinical research or perform any procedure in your medical practice that is in an experimental stage or not FDA approved? If yes, please explain, using an additional page if necessary. 4. Are you now, or have you ever been, treated for the following: a. alcohol b. narcotics c. CNS stimulants or depressants If YES, did you submit your treating physician statement to the state medical board and hospital for review? 5. Are you now or have you ever been, treated for any mental or emotional disorders? If yes, did you submit your treating physician statement to the state medical board and hospital for review? 6. Have you ever been charged with, convicted or found guilty (even if adjudication withheld) of violating any federal, state law or municipal ordinance other than traffic offenses or minor offenses involving a fine of $100.00 or less? If yes, please explain on supplemental page. 7. Has your application for medical staff privileges at a hospital or health care facility or managed care organization, ever been denied or restricted? If yes, please explain on supplemental page. 8. Have your medical staff privileges ever been revoked, suspended or restricted? If yes, please explain on supplemental page. 9. Have you ever received any of the following: a. Any hospital disciplinary action due to professional reasons? b. Licensing board disciplinary or admi nis trat ive proceeding due to im p ro p r i et y or incompetence in a medical practice? c. Licensing board disciplinary or administrative proceeding due to prescribing, dispensing, or distributing pharmaceuticals? d. Medical society or professional organization membership denied, suspended, revoked or subject to disciplinary proceeding due to professional or ethical conduct? 10. Has your license to practice medicine or dispense narcotics ever been denied, revoked, suspended, or voluntarily surrendered or subject to probationary terms (in any jurisdiction)? a. Medical License b. DEA License 11. Have you ever had any professional liability insurance refused, cancelled or non-renewed? 12. Have you ever failed to participate in or complete any risk management or quality improvement activity required by your employer? 13. Will you be carrying additional professional liability insurance with another company? If yes, state name of company, limits, and expiration date. 14. Have you ever performed any procedure for which you did not have hospital privileges for? vant Health Inc., Medical Professional Liability Application 6 of 15

V. ADDITIONAL PROFESSIONAL INFORMATION A. WILL YOU SUPERVISE ANY OF THE FOLLOWING? (IF "YES," STATE NUMBER): Physicians # Nurses # Physicians Assistants # Surgical Assistants # Nurse Midwives # Nurse Anesthetists # Lab and/or X-Ray # Other # Specify nature of duties VI. COVERAGE INFORMATION A. LIST ALL PREVIOUS PROFESSIONAL LIABILITY INSURERS FOR THE PAST 10 YEARS, BEGINNING WITH CURRENT INSURER. This section must be complete with information requested to avoid delays. 1. Name of Insurance Company (current): 2. Name of Insurance Company: 3. Name of Insurance Company: 4. Name of Insurance Company: 5. Name of Insurance Company: 6. Name of Insurance Company: 7. Name of Insurance Company: 8. Name of Insurance Company: 9. Name of Insurance Company: 10. Name of Insurance Company: vant Health Inc., Medical Professional Liability Application 7 of 15

VI. COVERAGE INFORMATION (CONTINUED) B. HAVE YOU EVER PRACTICED WITHOUT INSURANCE OR ALLOWED A CLAIMS-MADE POLICY TO LAPSE WITHOUT THE PURCHASE OF TAIL OR NOSE COVERAGE? C. IF PREVIOUS COVERAGE WAS CLAIMS-MADE: I would like this policy to cover my prior acts (IF ELIGIBLE). My retroactive date is: SUPPLEMENTAL APPLICATION AND COPY OF CURRENT CERTIFICATE OF INSURANCE VERIFYING MY RETROACTIVE DATE IS REQUIRED. AN EXTENDED REPORTING ENDORSEMENT (TAIL COVERAGE) HAS BEEN PURCHASED. COPY OF TAIL COVERAGE IS REQUIRED. AN EXTENDED REPORTING ENDORSEMENT HAS NOT AND WILL NOT BE PURCHASED. I will not purchase tail coverage (reporting endorsement) from my current carrier where I am insured under a claims-made policy. I realize that my failure to purchase such coverage from my current carrier will result in an uninsured exposure for any claims which may arise in the future as result of professional services rendered while insured by my current carrier s policy. Initial here vant Health Inc., Medical Professional Liability Application 8 of 15

VII. A. LOSS INFORMATION Important! Please complete in full. Potential Claim or Suit includes, without limitation, instances where you have received an oral or written communication from an individual or his/her legal representative demanding explanations or satisfaction or threatening legal action. It also includes a request by a patient or the patient s legal representative for copies of medical records under circumstances reasonably indicative of a possible claim or suit. Are you now, or have you ever been involved, directly or indirectly, in a claim, potential claim, or suit arising out of the rendering or failure to render professional services? If yes, how many? If yes, have these been reported to your insurer? Do you have knowledge of any incident, claim, potential claim, or suit in which you may become involved, including without limitation, knowledge of any alleged injury arising out of the rendering or failing to render professional services which may give rise to a claim? If yes, how many? If yes, have these been reported to your insurer? Are you aware of any occurrences having potential for a claim being made against you arising out of the rendering or failing to render professional services, with adverse results? If yes, how many? If yes, have these been reported to your insurer? If you are a member of a Partnership, Professional Corporation, or Professional Association, do you have knowledge of any claims or potential claims arising out of the rendering or failure to render professional services involving former or present partners, members of the corporation, or any former or present employees of the Partnership, Professional Corporation, or Professional Association? If yes, how many? If yes, have these been reported to your insurer? Have you ever been involved in an obstetrical case regardless of whether case is open, closed or if a payment was made or not made? Have you ever been involved in a case where it has been proven that alteration of medical records has occurred, regardless of whether case is closed or if a payment was made or not? IF YOU HAVE ANSWERED YES TO ANY OF THE ABOVE QUESTIONS, PLEASE COMPLETE THE FOLLOWING CLAIM DETAIL INFORMATION FOR EACH CLAIM. vant Health Inc., Medical Professional Liability Application 9 of 15

VII. B. CLAIM DETAIL INFORMATION FORM IMPORTANT: The word claim refers to: 1. Any suit or claim, settled or pending, regardless of the result, arising from your professional activity and brought against you or any partner, associate or employee; or 2. Circumstances which have been brought to your attention by a patient or representative of a patient, in such manner as to indicate the possibility of legal action against you, any partner, associate or employee. If there has been more than one claim, please use a separate form for each. Complete information is required. Patient Information: Name: Age: Gender: Male Female Date of treatment and/or surgery, which led to allegations against you: Date claim/incident notice received: Date claim reported to insurance company: Defending insurance carrier name: Allegations: What is the present condition of the patient? Did you in any way alter, embellish, delete, change and/or destroy any records, medical or otherwise, pertaining to this claim? Present status of claim (check applicable answer): Open Reserve amount (if known) $ Closed Amount paid on your behalf $ Date closed vant Health Inc., Medical Professional Liability Application 10 of 15

WARRANTY: CERTIFICATION OF INFORMATION I certify that any and all answers given above represent full and true disclosure of the facts sought by and vant Health, Inc.. I understand and agree that any misrepresentation, omission, misstatement of fact in this application that is material to the risk shall be grounds for rescission of all coverage granted pursuant to this application. I understand that any and all answers to the above questions are subject to verification, and that all required documentation must be furnished, that significant discrepancies will require clarification on my part before the application can be considered. I hereby certify that following careful review of my professional activities, including patient records, I have reported to my present carrier all claims, suits, or potential claims or suits, as defined in the application, in which I am involved or in which I may become involved, arising out of events that took place during the period of my coverage with my present carrier. I understand that I will not have coverage for claims or suits, or potential claims or suits, which were or should have been reported to my present carrier. I understand that disapproval of my application in no way represents a reflection upon me personally or upon my qualifications as a practitioner of medicine. I further understand and agree that if my application is not approved, the reason(s) for its disapproval will be kept in strict confidence. I hereby agree to release from liability for slander, libel, defamation of character, or any and all other causes of action, employees of NHRRG /vant Health, Inc and any of their directors, agents, designees, committees, or committee members. I AGREE TO IMMEDIATELY NOTIFY AND NOVANT HEALTH, INC. AND IT S AFFILIATED INSURERS IN WRITING IF THERE IS ANY CHANGE IN ANY ANSWER GIVEN IN MY APPLICATION, INCLUDING WITHOUT LIMITATION, ANY CHANGE IN MY PROFESSIONAL STATUS, AFFILIATION, OR WORKING ARRANGEMENT WITH ANY OTHER PHYSICIAN, FIRM OR PROFESSIONAL ASSOCIATION. I UNDERSTAND AND AGREE THAT SUCH CHANGES ARE MATERIAL TO THE RISKS COVERED BY NOVANT HEALTH RRG THAT I AM APPLYING FOR. NOTICE TO ALL APPLICANTS: Any person who knowingly and with intent to injure, defraud, or deceive an insurer, files a statement of claim or an application containing any false, incomplete or misleading information, is guilty of a felony in the third degree. I hereby authorize release to vant Health, Inc. and its affiliated insurers or agents for information from my insurance carriers, their adjusting firms, and attorneys concerning past or present claim matters in which I am involved I consent to vant Health, Inc. and it s affiliated insurers underwriting committee accessing and reviewing any information contained in the credentialing files for any Hospitals at which I may have had or have staff privileges. I also understand that or vant Health, Inc. and it s affiliated insurers may wish to contact persons, hospitals, schools, employers, insurers and other entities listed in this application to verify and/or ascertain information regarding any credentials and background prior to and if issued, after the issuance of a contract. Therefore, I hereby instruct any such person, hospital, school, employer, insurer or other entity to release to or vant Health, Inc. and it s affiliated insurers any information regarding me, which or vant Health, Inc. and it s affiliated insurers, in good faith, believes to be applicable and pertinent to this application. A photostatic copy of this authorization shall be considered as effective and as valid as the original. PRINT OR TYPE NA ME OF APPLICA NT DATE EMPLOYMENT BEGINS SIGNATURE OF APPLICANT DATE OF S IGNATURE REMINDER: If you answered yes to questions in the Loss Information Section, you must complete a Claim Information Form for EACH claim or suit. vant Health Inc., Medical Professional Liability Application 11 of 15

vant Health Inc., Medical Professional Liability Application 12 of 15

INSTRUCTIONS FOR PHYSICIANS / MIDLEVELS ORDERING LOSS RUNS/CLAIMS HISTORIES In order for vant Health, Inc. to provide you with medical malpractice coverage, we require that a 10-year loss run or claims history be provided to us in addition to your other submitted materials. We suggest that you request a copy of your loss run or claims history from either your insurance broker or insurance carrier immediately upon receipt of your application packet, as it is vital to our application process, and it sometimes takes a long time for your request to be processed by your broker or carrier. A loss run or claims history is an official document from your medical malpractice insurance carrier that indicates whether you/your practice has reported any claims to your insurance carrier and whether your carrier has reserved or paid out any money on these claims. If your residency and/or fellowship training programs falls within the past 10 years we require a loss run from the insurer as well. You can obtain these by contacting the Risk Management or Legal Dept at the institution you completed your residency and/or fellowship training program(s). Using your face sheet or certificate of insurance, locate the name of the producer in the upper left-hand corner. This will normally be your broker and often contains a telephone number or fax number, in addition to the broker s address. Telephone your broker and request a loss run or claims history. The broker will need to know the insurer, which is listed in the upper right-hand corner under INSURERS AFFORDING COVERAGE; the policy number, which is located in the COVERAGES section of the certificate, usually towards the bottom third of the page, and the POLICY EFFECTIVE DATE AND POLICY EXPIRATION DATE, usually to the right of the policy number. Your broker will be able to tell you if your current carrier has 10 years worth of loss data, or if the broker will need prior carriers policy numbers and policy periods from you in order to obtain the necessary reports. Occasionally, the producer is the insurance company, in which case, you may request your loss run or claims history directly from the company in the same manner described above. You may find that in order to obtain 10 years worth of data, you may need to order these reports from different insurance carriers, as you may not have been covered under the same insurance carrier for 10 consecutive years. If you find this to be the case, simply locate your face sheet(s) or certificate of insurance(s) for the applicable year(s) and follow the steps above. You may instruct your broker or insurance company to either fax or email the report(s) directly to vant Health, Inc. s Insurance Manager in the Corporate Insurance Department. Questions may be directed to: Angie Barnes Physician Insurance Manager Corporate Insurance Operations Fax: 336-277-9149 Phone: 336-277-1192 Email: ambarnes@novanthealth.org vant Health Inc., Medical Professional Liability Application 13 of 15

<<Carrier>> <<Attn>> <<address/fax>> Subject: Loss Run Request Insured: Policy Number: Policy Term: To Whom It May Concern: This is an official request for the release of my current loss runs. I authorize <<CARRIER>> to release all loss run and reserve information during the time I was insured with <<CARRIER>>. Please forward this requested information to the following address/fax below: Please release this information as soon as possible. Thank you for your prompt attention to this matter. Signature Date vant Health Inc., Medical Professional Liability Application 14 of 15

PROVIDER OUTSIDE ACTIVITIES FORM Disclose One Activity Per Form Practitioner Name: NMG Practice: TYPE OF OUTSIDE ACTIVITY: Own Medical Business: Operate/Employee Medical Business: Independent Contractor: Medical Director: Medical Volunteer Outside U.S. (please provide details, time periods): Other (including expert witness activity): Name of Entity, Organization, Practice, etc. of Outside Activity: Complete Address: What is your Role? Is this role independent of your affiliation with vant Health? How many hours per week/month? Is there a contract or agreement for this activity? Do you receive any type of compensation including a stipend for this role or is it a volunteer role? If you are compensated in any way, does the money flow through the NMG practice or are you paid directly? Do you have separate professional liability coverage for this activity (not provided by vant Health)? Provider Signature: Date: Approved By: NMG Approved : Insurance vant Health Medical Professional Liability Application Page 15 of 15