2022-09-14T14:17:17-05:00 2021-12-31 131655065 LUTZ AND CARR CPAS LLP 551 FIFTH AVENUE SUITE 400 NEW YORK NY 10176 990 2021-01-01 582492929 LUPUS RESEARCH ALLIANCE INC LUPU 2122182840 270 MADISON AVENUE SUITE 300 NEW YORK NY 10016 DEBRA ROSE CHIEF FIN. AND ADMIN. OFFICER 2122182840 2022-09-14 1 DEBRA ROSE 999009999 LAUREN CRESCI P01268493 2126972299 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z X KENNETH M FARBER 270 MADISON AVENUE SUITE 300 NEW YORK NY 10016 29599200 0 X LUPUSRESEARCH.ORG X 1999 NY TO SUPPORT RESEARCH TO PREVENT, TREAT AND CURE LUPUS. 26 26 59 500 0 0 41539746 18941837 1291193 1036685 1938994 3679888 20119 121620 44790052 23780030 23030250 15031432 0 0 5962910 6237294 49000 65000 2778881 5224653 5438357 34266813 26772083 10523239 -2992053 103408141 110909946 41851086 41423828 61557055 69486118 X THE LUPUS RESEARCH ALLIANCE LEADS THE WORLD IN TRANSFORMING THE LIVES OF PEOPLE AFFECTED WITH LUPUS BY USING THE POWER OF SCIENCE TO DRIVE NEW TREATMENTS, PREVENT DISEASE PROGRESSION, AND FIND A CURE. 0 0 11722856 10660064 RESEARCH:THE LUPUS RESEARCH ALLIANCE (LRA) IS THE LARGEST NON-GOVERNMENTAL, NON-PROFIT FUNDER OF LUPUS RESEARCH WORLDWIDE. THE ORGANIZATION AIMS TO TRANSFORM TREATMENT BY FUNDING THE MOST INNOVATIVE LUPUS RESEARCH, FOSTERING DIVERSE SCIENTIFIC TALENT, AND DRIVING DISCOVERY TOWARD BETTER DIAGNOSTICS AND IMPROVED TREATMENTS. LRA-FUNDED RESEARCH IS LEADING TO KEY DISCOVERIES THAT ARE IMPROVING DIAGNOSIS AND THERAPIES WHILE ADVANCING TOWARD PREVENTION AND ULTIMATELY A CURE. THE ORGANIZATION'S RESEARCH COMMITTEE OF THE BOARD OF DIRECTORS AND SCIENTIFIC ADVISORY BOARD INCLUDE TOP SCIENTIFIC EXPERTS, AND KEY LAY MEMBERS OF THE BOARD, WHO WORK WITH STAFF TO STRATEGICALLY GUIDE AND DRIVE THE RESEARCH FUNDING AGENDA. SINCE ITS INCEPTION, THE LRA HAS COMMITTED OVER $220 MILLION TO FUND LUPUS RESEARCH PROJECTS. IN 2021 ALONE, OVER $10,600,000 MILLION WAS AWARDED IN GRANTS FOR HIGHLY INNOVATIVE PROJECTS WITH THE POTENTIAL TO IMPROVE TREATMENT AS WELL AS UNDERSTAND THE CAUSES OF LUPUS AND THUS LEAD TO A CURE: 1) 2 GLOBAL TEAM SCIENCE AWARDS WERE AWARDED FOR $3 MILLION FOR A TOTAL OF $6 MILLION OVER TWO YEARS. THESE AWARDS WILL FUND MULTIDISCIPLINARY, COLLABORATIVE AND HIGHLY SYNERGISTIC PROJECTS THAT PUSH THE BOUNDARIES OF INNOVATION AND BRIDGE RESEARCH AND CLINICAL EFFORTS IN LUPUS. THE TEAMS WILL FOCUS ON UNRAVELING HUMAN LUPUS HETEROGENEITY WITH THE AIM TO DISCOVER NEW AVENUES TO PERSONAL TREATMENT APPROACHES; 2) 11 LUPUS INNOVATION AWARD GRANTS WERE AWARDED FOR A TOTAL OF $3.3 MILLION OVER TWO YEARS FOCUSING ON EARLY-STAGE FUNDAMENTAL RESEARCH INTO DISEASE MECHANISMS; 3) 7 ADMINISTRATIVE DIVERSITY SUPPLEMENT TO PROMOTED DIVERSITY IN LUPUS RESEARCH WERE AWARDED TOTALING APPROXIMATELY $150,000. THESE AWARDS FUND HIGHLY QUALIFIED AND PROMISING UNDERREPRESENTED MINORITY TRAINEES TO SUPPORT THEIR RESEARCH EXPERIENCES ALIGNED WITH AN LRA PARENT AWARD. 4) THE DISTINGUISHED INNOVATOR AWARD PROGRAM PROVIDES OUTSTANDING SCIENTISTS WITH SUBSTANTIAL SUPPORT TO CONDUCT HIGHLY INNOVATIVE RESEARCH TO UNCOVER THE UNDERLYING CAUSES OF LUPUS, A SUPPLEMENTAL $500,000 WAS AWARDED OVER TWO YEARS TO A CURRENTLY FUNDED RESEARCHER TO CONTINUED PROPOSED WORK. 5) THE LUPUS INSIGHT PRIZE WAS AWARDED FOR $100,000. THIS AWARD RECOGNIZES A LEADING RESEARCHER WHO HAS MADE A MAJOR CONTRIBUTION TO THE FIELD.6) LRA IS PROVIDING $100,000 PER YEAR TO THE FOUNDATION FOR THE NATIONAL INSTITUTES OF HEALTH IN SUPPORT OF THE ACCELERATING MEDICINES PARTNERSHIP (AMP) AUTOIMMUNITY AND IMMUNE-MEDIATED (AIM) DISEASES PROGRAM WHICH LEVERAGES DATA GENERATED BY THE PREVIOUS WORK DONE ON LUPUS BY THIS PROGRAM.THE LRA'S UNIQUE FUNDING MODEL SUPPORTS PROMISING RESEARCH EFFORTS WITH THE GOAL OF IMPROVING THE LIVES OF PEOPLE WITH LUPUS IN THE NEAR FUTURE. THROUGH A COMPETITIVE PEER-REVIEW PROCESS PROJECTS BY THE LRA AIM TO TRANSLATE RESULTS FROM THE RESEARCH BENCH TO THE BEDSIDE AS QUICKLY AS POSSIBLE. BECAUSE THE LUPUS RESEARCH ALLIANCE BOARD OF DIRECTORS FUNDS THE ADMINISTRATIVE AND FUNDRAISING EXPENSES, 100% OF ALL OTHER CONTRIBUTIONS GOES TO SUPPORT THE LRA'S LUPUS RESEARCH PROGRAMS. 9253814 4359632 1036685 SCIENTIFIC PROGRAMS:LUPUS RESEARCH ALLIANCE'S (LRA) SCIENTIFIC PROGRAM CONTINUED THEIR MOMENTUM IN 2021 EVEN WITH THE ONGOING PANDEMIC. THE IMPLEMENTATION OF LRA'S SCIENTIFIC STRATEGIC PLAN FOCUSING ON HETEROGENEITY CONTINUED WITH MUCH WORK DONE IN SEVERAL FRONTS. THE LRA ENCOURAGES CROSS-SECTOR AND CROSS-DISCIPLINE PARTNERSHIPS TO FOSTER THE MOST INNOVATIVE AND PRODUCTIVE RESEARCH ENVIRONMENT. IN 2021, VIRTUAL COLLABORATIVE MEETINGS WERE HELD BY THE LRA WHERE RESEARCHERS WERE ENCOURAGED TO EXCHANGE IDEAS AND HELP THE LRA CONTINUE SUCCESSFUL PROGRAMS WHILE TARGETING NEW RESEARCH OPPORTUNITIES. THIS INCLUDED THE: ANNUAL FORUM FOR DISCOVERY WHERE LRA-FUNDED SCIENTISTS AND GUESTS SHARE THEIR PROGRESS; RESEARCH COMMITTEE MEETINGS WHERE MEMBERS OF OUR BOARD OF DIRECTORS AS WELL AS TOP-LEVEL RESEARCHERS DISCUSSED OUR PORTFOLIO AND UPCOMING STRATEGIC STEPS; SCIENTIFIC ADVISORY BOARD MEETINGS WHERE HIGHLY REGARDED SCIENTIFIC ADVISORS REVIEW GRANT APPLICATION SUBMISSIONS AND DISCUSS FUTURE AND OVERALL RESEARCH STRATEGY FOR THE ORGANIZATION; LUPUS INDUSTRY FULL COUNCIL AND EXECUTIVE COMMITTEE MEETINGS WHERE THE LRA AND INDUSTRY REPRESENTATIVES FOCUSED ON SOLVING SHARED OBSTACLES TO CLINICAL TRIALS; CONTINUED MEETINGS WITH INDUSTRY AND OTHER DISEASE -FOCUSED NONPROFIT PARTNERS AS PART OF THE LRA ACCELERATOR AWARD PROGRAM AND COMMON MECHANISMS IN AUTOIMMUNITY GRANT PROGRAMS; CLINICAL TRIALS AWARENESS FAIRS THAT ENGAGE THE LUPUS COMMUNITY IN UNDERSTANDING, PARTICIPATING IN AND ADVOCATING FOR LUPUS CLINICAL TRIALS; AND LUPUS CLINICAL INVESTIGATORS NETWORK (LUCIN) MEETINGS WHERE TOP RESEARCHERS DISCUSS THE DESIGN AND PROGRESS FOR LUPUS CLINICAL TRIALS. THE LRA FOUNDED LUPUS THERAPEUTICS, LLC AS AN AFFILIATE OF THE LRA IN 2018 TO RUN LUCIN TO ADVANCE CLINICAL TRIALS AND FACILITATE THE DEVELOPMENT OF MUCH NEEDED NEW LUPUS TREATMENTS. THE LRA COMMITTED OVER $4.3 MILLION IN 1-YEAR GRANTS IN 2021 TO CONTINUE FUNDING THRU 2023 OF TOP ACADEMIC CENTERS TO FOSTER CLINICAL TRIAL PARTICIPATION IN LUCIN. LUPUS THERAPEUTICS (LT) CONTINUES TO HAVE A DIVERSE PORTFOLIO OF ONGOING CLINICAL TRIALS WITHIN LUCIN AND AS OF 2021, THERE HAVE BEEN TWENTY STUDIES MANAGED VIA LUPUS THERAPEUTICS IN CONJUNCTION WITH THE LUCIN NETWORK WITH AN EMPHASIS ON NEW TREATMENTS FOR LUPUS IN PHASE II AND III CLINICAL STUDIES. POSITIVE RESULTS WERE REPORTED ON TWO STUDIES WITH 4 MORE STUDIES RESULTS EXPECTED IN 2022. MOREOVER, LT HAS A HEALTHY PIPELINE OF NEW BUSINESS DEVELOPMENT DISCUSSIONS WITH INDUSTRY RELATED TO PERFORMING ADVISORY SERVICES AND/OR CONDUCTING PROSPECTIVE CLINICAL TRIALS WITHIN THE NETWORK AND COMPLETED 9 CONSULTATIVE ENGAGEMENTS WITH PHARMA IN 2021. DURING 2020, THE LRA DEVELOPED A BUSINESS PLAN FOR LUPUS NEXUS, A PATIENT REGISTRY AND BIOREPOSITORY COUPLED WITH DATA SHARING AND ANALYSIS PLATFORM, TO PROVIDE A GAME-CHANGING CONTRIBUTION TO LUPUS PATIENT-CENTERED RESEARCH. WORKING WITH LUPUS THERAPEUTICS, LUPUS NEXUS WILL CAPITALIZE ON CURRENT STRATEGIC OPPORTUNITIES IN THE LUPUS FIELD BY ENABLING A COLLABORATIVE, DATA-DRIVEN PLATFORM FOR THE RESEARCH COMMUNITY. THE VISION FOR THE LUPUS NEXUS IS TO TRANSFORM LUPUS RESEARCH AND DRUG DEVELOPMENT THROUGH UNPRECEDENTED INFORMATION EXCHANGE CAPABILITIES. THE PLATFORM WILL PROVIDE A COLLABORATIVE SOLUTION THAT IS INCLUSIVE OF DIVERSE PATIENT POPULATIONS DISPROPORTIONALLY AFFECTED BY LUPUS. THE LUPUS NEXUS WILL BE A SOURCE OF HIGHLY CURATED DATA TO CATALYZE GLOBAL COLLABORATION, RESEARCH INNOVATION, AND PRECISION MEDICINE APPROACHES TO ACCELERATE LUPUS RESEARCH AND DRUG DEVELOPMENT. 647293 11736 PUBLIC POLICY:THE MAIN GOALS OF THE LUPUS RESEARCH ALLIANCE PUBLIC POLICY PROGRAM ARE TO: EDUCATE MEMBERS OF CONGRESS ABOUT ISSUES OF PRIORITY TO THE LUPUS COMMUNITY; INCREASE FEDERAL FUNDING FOR LUPUS RESEARCH BY INCREASING OVERALL NATIONAL INSTITUTES OF HEALTH (NIH) FUNDS, AND SECURE ADDITIONAL FUNDING FOR LUPUS RESEARCH THROUGH OTHER KEY FEDERAL AGENCIES INCLUDING THE DEPARTMENT OF DEFENSE (DOD); AND ENSURE THE PATIENT VOICE IS INCORPORATED IN THE DRUG DEVELOPMENT PROCESS. VOLUNTEERS ACROSS THE COUNTRY HELP AMPLIFY THESE OUTREACH EFFORTS.THROUGH THE LUPUS RESEARCH ALLIANCE ONGOING PUBLIC POLICY PROGRAM EFFORTS, SIGNIFICANT FUNDING FOR LUPUS RESEARCH HAS BEEN OBTAINED UNDER THE DEPARTMENT OF DEFENSE (DOD) CONGRESSIONALLY DIRECTED MEDICAL RESEARCH PROGRAMS (CDMRP) OPERATED BY THE ARMY MEDICAL RESEARCH AND MATERIEL COMMAND. FIRST, THE LUPUS RESEARCH ALLIANCE WAS RESPONSIBLE FOR PERSUADING CONGRESS TO INCLUDE LUPUS IN ITS LIST OF DESIGNATED DISEASES ELIGIBLE FOR FUNDING IN THE PEER REVIEWED MEDICAL PROGRAM. MOST RECENTLY, LUPUS RESEARCH ALLIANCE ADVOCACY SUCCEEDED IN THE ESTABLISHMENT IN 2017 OF THE LUPUS RESEARCH PROGRAM UNDER THE CDMRP. OVER THE PROGRAM'S FIRST THREE YEARS, $5 MILLION WAS EARMARKED EACH YEAR SPECIFICALLY FOR LUPUS; THROUGH THE LUPUS RESEARCH ALLIANCE'S CONTINUED EFFORTS THIS AMOUNT WAS INCREASED TO $10M IN FISCAL YEARS (FY) 2020, 2021, AND 2022 DEFENSE APPROPRIATIONS BILLS OVER SIX YEARS, $45M WAS SECURED UNDER THIS PROGRAM, AND THE LRA HAS REQUESTED AN INCREASE TO $15M FOR FY 2023.THE LRA COLLABORATED WITH THE LUPUS AND ALLIED DISEASES ASSOCIATION (LADA) AND LUPUS FOUNDATION OF AMERICA (LFA) IN 2017 ON THE LUPUS PATIENT-FOCUSED DRUG DEVELOPMENT (PFDD) INITIATIVE. THIS EFFORT CULMINATED IN A REPORT THAT WAS DESIGNED TO PROVIDE THE FOOD AND DRUG ADMINISTRATION (FDA) WITH PERSPECTIVES FROM PEOPLE WITH LUPUS, ADVOCATES, AND CAREGIVERS TO HELP INFORM THE FDA'S DECISIONS AND OVERSIGHT DURING THE DRUG DEVELOPMENT AND REVIEW PROCESSES. THE LRA CONTINUES TO WORK TO BRING THE VOICE OF THE PATIENT TO THE DRUG REVIEW PROCESS BY RESPONDING TO RELEVANT CALLS FROM THE FDA FOR COMMENTS INCLUDING THOSE FOCUSED ON ENSURING CLINICAL TRIAL PARTICIPANTS REPRESENT THE REAL-WORLD DEMOGRAPHIC CHARACTERISTICS OF PEOPLE LIVING WITH THE DISEASEONGOING ADVOCACY FOCUSES ON ENSURING LEGISLATION THAT SECURES THE FEDERAL FUNDING SUPPORT NECESSARY TO AFFORD INVESTIGATORS THE RESOURCES TO FOLLOW THROUGH WITH RESEARCH DISCOVERIES THAT WILL IMPROVE TREATMENT OF LUPUS. EVERY YEAR, THE LRA TRAINS AND ORGANIZES ADVOCATES FROM ACROSS THE COUNTRY TO MEET WITH LEGISLATORS ON CAPITOL HILL. THE GOAL IS TO INCREASE AWARENESS OF LUPUS AND THE IMPACT IT HAS ON PEOPLES' DAILY LIVES TO MEMBERS OF CONGRESS AND TO REQUEST THEIR SUPPORT FOR INCREASED FUNDING FOR LUPUS RESEARCH FROM FEDERAL PROGRAMS SUCH AS THE NIH. 21623963 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 0 0 1 0 0 1 1 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 1 74 0 1 59 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 26 26 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT FL GA HI IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN VA WA WV WI X X X DEBRA ROSE 6468846000 270 MADISON AVE SUITE 300 NEW YORK NY 10016 IRA AKSELRAD CO-CHAIR 1.00 X X 0 0 0 RICHARD K DESCHERER CO-CHAIR 1.00 X X 0 0 0 JOSEPH MAURIELLO TREASURER 1.00 X X 0 0 0 BRENDA BLACKMON SECRETARY 1.00 X X 0 0 0 BISHOP RUDY V CARLTON DIRECTOR 1.00 X 0 0 0 JEROME CHAZEN DIRECTOR 1.00 X 0 0 0 WILLIE COLON DIRECTOR 1.00 X 0 0 0 THOMAS O DANIEL DIRECTOR 1.00 X 0 0 0 JENNIE DESCHERER DIRECTOR 1.00 X 0 0 0 KATEY DRISCOLL DIRECTOR 1.00 X 0 0 0 SIR MARC 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PROGRAM GRANTS. PRINCIPAL TO REMAIN INTACT UNLESS HIGH PRIORITY LUPUS RESEARCH PROJECTS NEED TO BE FUNDED THAT COULD NOT BE FUNDED OTHERWISE. PART XII, LINE 4B - OTHER ADJUSTMENTS: RETURN OF GRANTS & ADJUSTMENTS 28,931. PART PART XII, LINE 4B UNUSED PORTIONS OF GRANTS RETURNED TO LRA THAT WERE PAID IN PREVIOUS YEARS IN THE AMOUNT OF $28,931. THESE AMOUNTS ARE RECONCILING ITEMS BETWEEN THE REVENUE AND EXPENSES FROM THE AUDITED FINANCIAL STATEMENTS AND THOSE REPORTED ON FORM 990. 1 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS 634745 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS 596917 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 GRANTS TO RECIPIENTS 443349 0 0 0 0 0 0 1675011 0 1675011 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 90000 ACH 0 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 80000 ACH 0 NORTH AMERICA LUPUS RESEARCH 34745 ACH 0 NORTH AMERICA LUPUS RESEARCH 30000 ACH 0 EAST ASIA AND THE PACIFIC LUPUS RESEARCH 301389 ACH 0 EAST ASIA AND THE PACIFIC LUPUS RESEARCH 291389 WIRE 0 EUROPE (INCLUDING ICELAND AND GREENLAND) LUPUS RESEARCH 120000 WIRE 0 EUROPE (INCLUDING ICELAND AND GREENLAND) LUPUS RESEARCH 10000 WIRE 0 EUROPE (INCLUDING ICELAND AND GREENLAND) LUPUS RESEARCH 14821 WIRE 0 EUROPE (INCLUDING ICELAND AND GREENLAND) LUPUS RESEARCH 291389 WIRE 0 EUROPE (INCLUDING ICELAND AND GREENLAND) LUPUS RESEARCH 7139 WIRE 0 7 9 0 0 0 0 0 0 PART I, LINE 2: PRE AWARD AND APPLICATION PHASE: BEFORE A GRANT IS AWARDED, THE SPONSORING INSTITUTION (SI) MUST AGREE TO THE TERMS AND CONDITIONS OUTLINED IN THE LUPUS RESEARCH ALLIANCE (LRA)'S POLICY STATEMENT FOR RESEARCH GRANTS THAT INCLUDE: CONFIRMATION BY THE PRINCIPAL INVESTIGATOR (PI) AND THE SI THAT FUNDS WILL ONLY BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE THAT PI AND SI ARE BOTH RESPONSIBLE FOR INSURING THAT ALL RESEARCH ACTIVITIES ARE CONDUCTED IN A SAFE, RESPONSIBLE AND ETHICAL MANNER. THEY MUST KEEP UPDATED APPROVAL FROM THE SI'S INSTITUTIONAL REVIEW BOARD AND ANIMAL CARE AND USE COMMITTEE THROUGHOUT THE PROJECT PERIOD. AGREE TO GET APPROVAL FROM THE LRA IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO GET APPROVAL FROM THE LRA IF ADDITIONAL TIME IS NEEDED TO COMPLETE THE PROJECT WORK. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (A) ANNUAL PROGRESS REPORTS AND (B) ANNUAL FINANCIAL REPORTS ARE REQUIRED. TRAVEL FUNDS PROVIDED AS PART OF THE PROJECT ARE EXPECTED TO BE USED TO ATTEND THE LRA'S ANNUAL MEETING FORUM FOR DISCOVERY. CONFIRMATION THAT THERE IS NO OTHER ACTIVE OF PENDING SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THE GRANT. POST AWARD: THE PI AND A REPRESENTATIVE FROM THE SI MUST SUBMIT: A SIGNED LETTER OF ACCEPTANCE CONFIRMING THE FOLLOWING: A. PI'S WILLINGNESS TO ADHERE TO THE TERMS OF THE BUDGET AS OUTLINED IN THE FUNDING LETTER. B. PI'S WILLINGNESS TO COMPLY WITH ALL OF THE CONDITIONS OUTLINED IN THE POLICY STATEMENT FOR RESEARCH GRANTS AND PATENT AND INTELLECTUAL PROPERTY POLICY. C. THERE IS NO OVERLAPPING SOURCE OF SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THIS GRANT. OTHER FUNDING THAT MIGHT BE CONSTRUED AS OVERLAPPING, MUST BE EXPLAINED IN DETAIL. D. THE FOLLOWING STATEMENT SHOULD APPEAR AT THE CONCLUSION OF THE LETTER OF ACCEPTANCE, "I AGREE TO ACCEPT RESPONSIBILITY FOR THE SCIENTIFIC AND TECHNICAL CONDUCT OF THE RESEARCH PROJECT AND FOR THE PROVISION OF ALL PROGRESS REPORTS REQUIRED FROM INVESTIGATORS FUNDED BY A GRANT FROM THE LUPUS RESEARCH ALLIANCE." IF AN EXTENSION IS AWARDED ADDITIONAL INTERIM PROGRESS REPORTS AND BUDGET RECONCILIATIONS ARE REQUIRED TO BE SUBMITTED. AT THE END OF THE GRANT A FINAL PROGRESS REPORT AND BUDGET RECONCILIATION IS REQUIRED TO BE SUBMITTED, UNSPENT AMOUNTS ARE TO BE RETURNED TO THE LRA. ALL SIS RECEIVE A PAYMENT AND DELIVERABLE SCHEDULE AND THE PROJECT IS MONITORED BY: O PERIODIC PROGRESS REPORTS O PERIODIC BUDGET RECONCILIATIONS ALL PUBLICATIONS RELATED TO THE GRANT ARE TO BE SUBMITTED TO THE LRA THE LRA MUST BE LISTED AS A FUNDER IN ANY PUBLISHED PAPERS AND VERBAL OR POSTER PRESENTATIONS THE SI MUST SUBMIT A COPY OF THE IRS OR OTHER TAX GOVERNING INSTITUTION CONFIRMING THE TAX STATUS OF THE SI PART III ACCOUNTING METHOD: X X X X X 1 DS CONSULTING GROUP 845 THIRD AVENUE 6TH FLOOR NEW YORK NY 10022 SPECIAL EVENT CONSULTANT NY GALA 1 7292511 65000 7292511 7292511 65000 7292511 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX VT VA WA WV WI WY GALA CELEBRATION 7323415 6863745 459670 313972 145698 WALK-A-THONS 1076982 944764 132218 132218 8400397 7808509 591888 313972 277916 591888 0 SCHEDULE G, PART I, LINE 2B, COLUMN (V) DS CONSULTING PLANNED AND MANAGED ALR'S GALA EVENT. CONTRACT AMOUNT FOR THE PERIOD COVERING 1/1/21 - 12/31/21 WAS $65,000 PLUS REIMBURSABLE EXPENSES. 1 ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVE BRONX NY 10461 472209056 501(C)(3) 80000 0 BOOK LUPUS RESEARCH BENAROYA RESEARCH INSTITUTE AT VIRGINIA MASON 1201 NINTH AVE SEATTLE WA 98101 910653422 501(C)(3) 10813 0 BOOK LUPUS RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 80000 0 BOOK LUPUS RESEARCH BOSTON CHILDREN'S HOSPTIAL 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501(C)(3) 291389 0 BOOK LUPUS RESEARCH BRIGHAM AND WOMEN'S HOSPITAL 77 AVENUE LOUIS PASTEUR BOSTON MA 02115 042312909 501(C)(3) 96528 0 BOOK LUPUS RESEARCH BROAD INSTITUTE INC SEVEN CAMBRIDGE CENTER CAMBRIDGE MA 02142 263428781 501(C)(3) 469092 0 BOOK LUPUS RESEARCH CHILDREN'S HOSPTIAL OF PHILADELPHIA 3401 CIVIC CENTER BOULEVARD PHIALDELPHIA PA 19104 231352166 501(C)(3) 8611 0 BOOK LUPUS RESEARCH COLUMBIA UNIVERSITY MEDICAL CENTER 154 HAVEN AVE 2ND FL NEW YORK NY 10032 133598093 501(C)(3) 80000 0 BOOK LUPUS RESEARCH EMORY UNIVERSITY 1762 CLIFTON RD NE ATLANTA GA 30322 580566256 501(C)(3) 3117140 0 BOOK LUPUS RESEARCH FOUNDATION FOR THE NATIONAL INSTITUTES OF HEALTH INC 9650 ROCKVILLE PIKE BETHESDA MD 20814 521986675 501(C)(3) 100000 0 BOOK LUPUS RESEARCH HOSPITAL FOR SPECIAL SURGERY 535 E 70TH STREET NEW YORK NY 10021 131624135 501(C)(3) 145872 0 BOOK LUPUS RESEARCH MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 042697983 501(C)(3) 87176 0 BOOK LUPUS RESEARCH MAYO CLINIC 200 FIRST STREET SW ROCHESTER MN 55905 416011702 501(C)(3) 88611 0 BOOK LUPUS RESEARCH MEDICAL UNIVERSITY OF SOUTH CAROLINA 179 ASHLEY AVENUE CHARLESTON SC 29425 576028985 SECTION 115 - SC STA 662779 0 BOOK LUPUS RESEARCH NEW YORK UNIVERSITY SCHOOL OF MEDICINE 550 FIRST AVENUE NEW YORK NY 10016 135562308 501(C)(3) 90872 0 BOOK LUPUS RESEARCH NORTHWELL HEALTH - DIVISION OF RHEUMATOLOGY 972 BRUSH HOLLOW RD 5TH FL WESTBURY NY 11590 112673595 501(C)(3) 80000 0 BOOK LUPUS RESEARCH NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 60208 362167818 501(C)(3) 80000 0 BOOK LUPUS RESEARCH OKLAHOMA MEDICAL RESEARCH FOUNDATION 825 NE 13TH STREET OKLAHOMA CITY OK 73104 730580274 501(C)(3) 105818 0 BOOK LUPUS RESEARCH PENNSYLVANIA STATE UNIVERSITY ONE OLD MAIN UNIVERSITY PARK PA 16802 246000376 501(C)(3) 80000 0 BOOK LUPUS RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA AT BERKELEY 2200 UNIVERSITY AVE BERKELEY CA 94720 946002123 501(C)(3) 291389 0 BOOK LUPUS RESEARCH REGENTS OF THE UNIVERSITY OF CALIFORNIA IRVINE 5171 CALIFORNIA AVENUE STE 150 IRVINE CA 92697 952226406 501(C)(3) 80000 0 BOOK LUPUS RESEARCH RUSH UNIVERSITY MEDICAL CENTER 1653 WEST CONGRESS PARKWAY CHICAGO IL 60612 362174823 501(C)(3) 80000 0 BOOK LUPUS RESEARCH ST JUDE CHILDREN'S HOSPITAL 262 DANNY THOMAS PL MEMPHIS TN 381053678 620646012 501(C)(3) 16528 0 BOOK LUPUS RESEARCH STANFORD UNIVERSITY 3145 PORTER DRIVE PALO ALTO CA 94304 941156365 501(C)(3) 94352 0 BOOK LUPUS RESEARCH STATE UNIVERSITY OF NY AT STONY BROOK ONE LINCOLN CENTER SYRACUSE NY 13202 141368361 501(C)(3) 291386 0 BOOK LUPUS RESEARCH TEMPLE UNIVERSITY 1801 N BROAD STREET PHILADELPHIA PA 19122 231365971 501(C)(3) 80000 0 BOOK LUPUS RESEARCH TEXAS TECH UNIVERSITY HEALTH SCIENCES CENTER 3601 4TH STREET LUBBOCK TX 79430 752668014 TX STATE GOVERNMENT 25459 0 BOOK LUPUS RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY MANHASSET NY 11030 112673595 501(C)(3) 134413 0 BOOK LUPUS RESEARCH THE METROHEALTH SYSTEM 2500 METROHEALTH DRIVE CLEVELAND OH 44109 346004382 SECTION 115 - OH STA 80000 0 BOOK LUPUS RESEARCH THE OHIO STATE UNIVERSITY 1960 KENNY ROAD COLUMBUS OH 43210 311702164 SECTION 115 - OH STA 80000 0 BOOK LUPUS RESEARCH THE REGENTS OF THE UNIVERSITY OF CALIFORNIA LOS ANGELES 10920 WILSHIRE BLVD STE 620 LOS ANGELES CA 90024 956006143 501(C)(3) 80000 0 BOOK LUPUS RESEARCH THE REGENTS OF THE UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE MC0934 LA JOLLA CA 92093 956006144 501(C)(3) 579275 0 BOOK LUPUS RESEARCH THE RESEARCH FOUNDATION OF SUNY 35 STATE STREET ALBANY NY 12201 141368361 501(C)(3) 80000 0 BOOK LUPUS RESEARCH THE UNIVERSITY OF CHICAGO 5801 SOUTH ELLIS AVENUE STE 501 CHICAGO IL 60637 362177139 501(C)(3) 90586 0 BOOK LUPUS RESEARCH THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 6000 FELDWOOD ROAD COLLEGE PARK GA 30349 566001393 501(C)(3) 148317 0 BOOK LUPUS RESEARCH TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 3451 WALNUT STREET PHILADELPHIA PA 19104 231352685 501(C)(3) 119508 0 BOOK LUPUS RESEARCH UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVE S BIRMINGHAM AL 35294 636005396 501(C)(3) 96446 0 BOOK LUPUS RESEARCH UNIVERSITY OF CALIFORNIA SAN FRANCISCO 2200 UNIVERSITY HALL BERKELEY CA 94720 946036493 501(C)(3) 439013 0 BOOK LUPUS RESEARCH UNIVERSITY OF COLORADO ANSCHUTZ MEDICAL CAMPUS 3100 MARINE ST 6TH FL BOULDER CO 80309 846000555 501(C)(3) 118611 0 BOOK LUPUS RESEARCH UNIVERSITY OF FLORIDA 207 TIGERT HALL GAINSEVILLE FL 32611 596002052 FL STATE GOVERNMENT 80000 0 BOOK LUPUS RESEARCH UNIVERSITY OF HOUSTON 4800 CALHOUN ROAD HOUSTON TX 77004 746001399 501(C)(3) 8611 0 BOOK LUPUS RESEARCH UNIVERSITY OF MARYLAND BALTIMORE 620 W LEXINGON STREET 4TH FL BALTIMORE MD 21201 521830242 SECTION 115 - 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$500 MAX PER PERSON 28 11736 BILLS LUPUS EMERGENCY GRANT - $500 MAX PER PERSON PART I, LINE 2: PRE AWARD AND APPLICATION PHASE: BEFORE A GRANT IS AWARDED, THE SPONSORING INSTITUTION (SI) MUST AGREE TO THE TERMS AND CONDITIONS OUTLINED IN THE LUPUS RESEARCH ALLIANCE (LRA)'S POLICY STATEMENT FOR RESEARCH GRANTS THAT INCLUDE: CONFIRMATION BY THE PRINCIPAL INVESTIGATOR (PI) AND THE SI THAT FUNDS WILL ONLY BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE THAT PI AND SI ARE BOTH RESPONSIBLE FOR INSURING THAT ALL RESEARCH ACTIVITIES ARE CONDUCTED IN A SAFE, RESPONSIBLE AND ETHICAL MANNER. THEY MUST KEEP UPDATED APPROVAL FROM THE SI'S INSTITUTIONAL REVIEW BOARD AND ANIMAL CARE AND USE COMMITTEE THROUGHOUT THE PROJECT PERIOD. AGREE TO GET APPROVAL FROM THE LRA IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO GET APPROVAL FROM THE LRA IF ADDITIONAL TIME IS NEEDED TO COMPLETE THE PROJECT WORK. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (A) ANNUAL PROGRESS REPORTS AND (B) ANNUAL FINANCIAL REPORTS ARE REQUIRED. TRAVEL FUNDS PROVIDED AS PART OF THE PROJECT ARE EXPECTED TO BE USED TO ATTEND THE LRA'S ANNUAL MEETING FORUM FOR DISCOVERY. CONFIRMATION THAT THERE IS NO OTHER ACTIVE OF PENDING SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THE GRANT. POST AWARD: THE PI AND A REPRESENTATIVE FROM THE SI MUST SUBMIT: A SIGNED LETTER OF ACCEPTANCE CONFIRMING THE FOLLOWING: A. PI'S WILLINGNESS TO ADHERE TO THE TERMS OF THE BUDGET AS OUTLINED IN THE FUNDING LETTER. B. PI'S WILLINGNESS TO COMPLY WITH ALL OF THE CONDITIONS OUTLINED IN THE POLICY STATEMENT FOR RESEARCH GRANTS AND PATENT AND INTELLECTUAL PROPERTY POLICY. C. THERE IS NO OVERLAPPING SOURCE OF SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THIS GRANT. OTHER FUNDING THAT MIGHT BE CONSTRUED AS OVERLAPPING, MUST BE EXPLAINED IN DETAIL. D. THE FOLLOWING STATEMENT SHOULD APPEAR AT THE CONCLUSION OF THE LETTER OF ACCEPTANCE, "I AGREE TO ACCEPT RESPONSIBILITY FOR THE SCIENTIFIC AND TECHNICAL CONDUCT OF THE RESEARCH PROJECT AND FOR THE PROVISION OF ALL PROGRESS REPORTS REQUIRED FROM INVESTIGATORS FUNDED BY A GRANT FROM THE LUPUS RESEARCH ALLIANCE." IF AN EXTENSION IS AWARDED ADDITIONAL INTERIM PROGRESS REPORTS AND BUDGET RECONCILIATIONS ARE REQUIRED TO BE SUBMITTED. AT THE END OF THE GRANT A FINAL PROGRESS REPORT AND BUDGET RECONCILIATION IS REQUIRED TO BE SUBMITTED, UNSPENT AMOUNTS ARE TO BE RETURNED TO THE LRA. ALL SIS RECEIVE A PAYMENT AND DELIVERABLE SCHEDULE AND THE PROJECT IS MONITORED BY: O PERIODIC PROGRESS REPORTS O PERIODIC BUDGET RECONCILIATIONS ALL PUBLICATIONS RELATED TO THE GRANT ARE TO BE SUBMITTED TO THE LRA THE LRA MUST BE LISTED AS A FUNDER IN ANY PUBLISHED PAPERS AND VERBAL OR POSTER PRESENTATIONS THE SI MUST SUBMIT A COPY OF THE IRS OR OTHER TAX GOVERNING INSTITUTION CONFIRMING THE TAX STATUS OF THE SI X X X X X 0 0 0 0 0 0 0 0 0 KENNETH M FARBER CEO AND PRESIDENT 372500 0 50000 0 6866 0 28500 0 52965 0 510831 0 0 0 DEBRA ROSE CHIEF FINANCE OFFICER 189188 0 30000 0 1368 0 24410 0 22068 0 267034 0 0 0 ANDREA O'NEILL EXECUTIVE DIRECTOR 220000 0 50000 0 1791 0 29700 0 20397 0 321888 0 0 0 ALBERT ROY EXECUTIVE DIRECTOR, LUCIN 231790 0 40000 0 1406 0 27179 0 49679 0 350054 0 0 0 TEODORA STAEVA CHIEF SCIENTIFIC OFFICER 258837 0 40000 0 1965 0 22800 0 40130 0 363732 0 0 0 DIANE GROSS NATIONAL DIRECTOR OF ADVOC 138424 0 500 0 860 0 15282 0 27498 0 182564 0 0 0 JONATHAN MARKS DIRECTOR OF CORPORATE DEVE 141900 0 1000 0 934 0 15719 0 33284 0 192837 0 0 0 MARGY MEISLIN EDITORIAL & PR DIRECTOR 128750 0 1000 0 3447 0 14272 0 26421 0 173890 0 0 0 PENELOPE MITCHELL DIRECTOR OF COMMUNICATIONS 164800 0 5000 0 2380 0 13192 0 22593 0 207965 0 0 0 DOREY NEILINGER SENIOR DIRECTOR OF PHILANT 164250 0 5000 0 3149 0 18618 0 16610 0 207627 0 0 0 X 8 157755 AVG STOCK VALUE 0 1 1 PART I, LINE 32B: LRA HAS AN ACCOUNT WITH MORGAN STANLEY, WHICH LRA USES TO SELL THE CONTRIBUTIONS IT RECEIVES THOUGH STOCKS. FORM 990, PART VI, SECTION A, LINE 2 NEIL J. BURMEISTER (DIRECTOR) AND IRA AKSELRAD (DIRECTOR) HAVE A BUSINESS RELATIONSHIP. RICHARD K. DESCHERER (CO-CHAIR) AND JENNIE DESCHERER HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B AFTER PREPARATION OF FORM 990 BY LRA'S AUDITOR, LUTZ AND CARR, THE 990 IS REVIEWED BY THE LRA'S SENIOR OFFICERS, THE CHIEF FINANCE OFFICER AND THE PRESIDENT. THE FINANCE AND AUDIT COMMITTEE OF THE BOARD THEN MEETS TO REVIEW THE 990 BEFORE FILING AND APPROVES FOR FILING WITH ANY NOTED CHANGES. A DRAFT OF THE 990 IS THEN SENT OUT TO THE FULL BOARD FOR COMMENT PRIOR TO FILING WITH THE IRS. THE FINAL FORM 990 IS PRESENTED TO THE FULL BOARD AT THE SEPTEMBER MEETING. FORM 990, PART VI, SECTION B, LINE 12C THE GOVERNANCE COMMITTEE OF THE BOARD IS RESPONSIBLE FOR MONITORING CONFLICTS OF INTEREST. AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM IS REQUIRED TO BE FILLED OUT EACH YEAR BY BOARD MEMBERS, OFFICERS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS ASSISTED THE BOARD IN FULFILLING ITS OVERSIGHT RESPONSIBILITIES RELATING TO THE COMPENSATION AND BENEFITS OF THE PRESIDENT AND OTHER EXECUTIVE OFFICERS; AND PROVIDED RECOMMENDATIONS REGARDING MANAGEMENT SUCCESSORS. ANNUALLY THE COMMITTEE REVIEWS AND RECOMMENDS TO THE BOARD THE SALARY FOR THE PRESIDENT AND OTHER OFFICERS/KEY EMPLOYEES. IN 2021, THE COMMITTEE REVIEWED AND APPROVED BASE SALARIES, ANNUAL COST OF LIVING ADJUSTMENTS AND BONUSES FOR ALL STAFF. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST AND ON GUIDESTAR.ORG FORM 990, PART XI, LINE 9: REFUND OF GRANTS 28,931. CANCELLED GRANTS 3,613,650. FORM 990, PART V, QUESTION 2A THE LRA CONTRACTS WITH TRINET AMBROSE, A PROFESSIONAL EMPLOYER ORGANIZATION (PEO), TO PROVIDE PAYROLL AND BENEFITS AS A CO-EMPLOYER WITH THE LRA. LRA PAYROLL AND BENEFITS ARE ADMINISTERED BY AMBROSE AS APPROVED BY LRA OFFICERS. LRA PAYROLL IS THEREFORE UNDER THE AMBROSE EIN: 13-3867443 AND W-2'S ARE PREPARED UNDER THAT EIN BY TRINET AMBROSE. LUPUS THERAPEUTICS LLC 270 MADISON AVENUE NEW YORK NY 10016 823984908 LRA'S SCIENTIFIC PROGRAMS VA 1181046 14541019 YES