2022-11-14T17:58:30-06:00 2021-12-31 861065772 DELOITTE TAX LLP 695 TOWN CENTER DRIVE SUITE 1200 COSTA MESA CA 926261924 990 2021-01-01 330328688 LA JOLLA INSTITUTE FOR IMMUNOLOGY LAJO 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 RICHARD STRYJEWSKI CFO 8587526500 2022-11-14 1 RICHARD STRYJEWSKI 999009999 JOHN W SADOFF JR P00540589 7144367100 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z RICHARD STRYJEWSKI 9420 ATHENA CIRCLE LA JOLLA CA 920371387 112583957 0 X WWW.LJI.ORG X 1988 CA BIOMEDICAL RESEARCH DEDICATED TO IMPROVING HUMAN HEALTH THROUGH STUDIES OF THE IMMUNE SYSTEM. 19 17 501 111 250041 114152 67178581 73055647 11469412 23482463 593426 733206 1382227 4744035 80623646 102015351 1119601 14235330 0 0 36998175 39665941 0 0 1197392 43052265 32038154 81170041 85939425 -546395 16075926 60537089 70149069 37594395 31055765 22942694 39093304 AT LA JOLLA INSTITUTE FOR IMMUNOLOGY, OUR SCIENTISTS FOCUS ON UNDERSTANDING HOW THE IMMUNE SYSTEM WORKS IN ORDER TO PROMOTE HUMAN HEALTH AND PREVENT DISEASE. OUR DISCOVERIES APPLY TO MANY DISEASES, RANGING FROM DIABETES TO HEART DISEASE, INFECTIOUS DISEASES TO CANCER. 0 0 76410135 14235330 25402223 THE LA JOLLA INSTITUTE FOR IMMUNOLOGY ("LJI") IS A PRIVATE, NONPROFIT MEDICAL RESEARCH ORGANIZATION THAT IS RECOGNIZED AS A WORLD LEADER IN COMPREHENSIVE RESEARCH DEDICATED TO UNDERSTANDING THE INTRICACIES AND POWER OF THE IMMUNE SYSTEM AND APPLYING THAT KNOWLEDGE TOWARD ITS GOAL OF LIFE WITHOUT DISEASE.THE INSTITUTE IS HOME TO 22 INDEPENDENT LABORATORIES, EACH OPERATED BY A LEADING SCIENTIST HANDPICKED FOR THEIR CREATIVITY AND PIONEERING SPIRIT. EACH OF THESE LABS IS DEDICATED TO UNDERSTANDING THE FAR-REACHING INFLUENCE OF THE IMMUNE SYSTEM AND TO TRAIN THE NEXT GENERATION OF SCIENTISTS, TO PROMOTE HUMAN HEALTH AND PREVENT A WIDE RANGE OF DISEASES. 76410135 1 1 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 1 1 0 0 0 0 0 1 0 1 0 0 0 1 0 1 1 0 1 0 0 0 0 0 0 0 0 1 149 0 1 501 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 19 17 1 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AR FL GA HI IL KS KY MA MD MI MN MO MS NH NJ NM NY OR PA RI SC TN UT VA WI WV X RICHARD STRYJEWSKI 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 X MITCHELL KRONENBERG CSO (START 09/21)/PRES. (END 09/21) 40.00 0.00 X X 573510 0 77643 ERICA SAPHIRE PRESIDENT & CEO (START 09/21) 40.00 0.00 X X 509960 0 89182 ANTHONY CARR DIRECTOR 2.00 0.00 X 0 0 0 BARTON J COHEN DIRECTOR (END 02/21) 2.00 0.00 X 0 0 0 CAROLEE LEE DIRECTOR (START 05/21) 2.00 0.00 X 0 0 0 DAVID A BRENNER MD DIRECTOR 2.00 0.00 X 2500 0 0 DAVID DOMINGUEZ DIRECTOR (END 05/21) 2.00 0.00 X 0 0 0 DAVID M RICKEY DIRECTOR 2.00 0.00 X 0 0 0 DAVID R WEBB PHD DIRECTOR 2.00 0.00 X 0 0 0 ERIC V ZWISLER DIRECTOR/CHAIR (END 11/21) 2.00 0.00 X 0 0 0 FRANCOIS FERRE PHD DIRECTOR 2.00 0.00 X 0 0 0 GAIL K NAUGHTON PHD DIRECTOR/CHAIR (START 11/21) 2.00 0.00 X 0 0 0 GENEVIEVE T JACOBS DIRECTOR 2.00 0.00 X 0 0 0 HUNT PETTIT DIRECTOR (END 05/21) 2.00 0.00 X 0 0 0 J MARK WAXMAN JD DIRECTOR 2.00 0.00 X 0 0 0 KRISTINE CHARTON JD DIRECTOR (END 11/21) 2.00 0.00 X 0 0 0 LARRY S SPITCAUFSKY DIRECTOR (END 05/21) 2.00 0.00 X 0 0 0 LYNDA STUART MD PHD DIRECTOR (END 11/21) 2.00 0.00 X 0 0 0 MARK V BOWLES DIRECTOR (END 02/21) 2.00 0.00 X 0 0 0 MICHAEL D COIT DIRECTOR 2.00 0.00 X 0 0 0 MITSUO SATOH PHD DIRECTOR 2.00 0.00 X 0 0 0 PAMELA K WASSERMAN MPH DIRECTOR 2.00 0.00 X 0 0 0 PAUL THIEL DIRECTOR 2.00 0.00 X 0 0 0 RICHARD S BODMAN DIRECTOR (END 08/21) 2.00 0.00 X 0 0 0 ROBERT C DYNES PHD DIRECTOR 2.00 0.00 X 0 0 0 ROBERT W MAHLEY MD PHD DIRECTOR 2.00 0.00 X 0 0 0 SANDOR W SHAPERY JD DIRECTOR 2.00 0.00 X 0 0 0 THOMAS L TULLIE DIRECTOR 2.00 0.00 X 0 0 0 DOUGLAS HENSON CONTROLLER/INTERIM CFO (END 11/21) 40.00 0.00 X 217621 0 24233 MICHAEL DOLLAR CFO/TREASURER/SECRETARY (END 04/21) 40.00 0.00 X 130085 0 21926 RICHARD STRYJEWSKI CFO/TREASURER/SECRETARY (START 10/21) 40.00 0.00 X 45175 0 1652 MICHAEL CROFT DIVISION HEAD/PROFESSOR (END 09/21) 40.00 0.00 X 352146 0 74975 STEPHEN WILSON EVP, COO & CTO (END 04/21) 40.00 0.00 X 208041 0 32352 ALESSANDRO SETTE DIVISION HEAD/CENTER HEAD/PROF 40.00 0.00 X 609542 0 98167 SHANE CROTTY PROFESSOR 40.00 0.00 X 331820 0 75690 STEPHEN P SCHOENBERGER PROFESSOR 40.00 0.00 X 318131 0 83585 CATHERINE HEDRICK PROFESSOR 40.00 0.00 X 331005 0 70383 KLAUS LEY DIVISION HEAD/PROFESSOR 40.00 0.00 X 323227 0 59780 3952763 0 709568 72 0 1 0 NATHANIEL S WANG 9173 REBECCA AVE SAN DIEGO CA 92123 CONSULTING SERVICES 140250 DUANE MORRIS LLP PO BOX 787166 PHILADELPHIA PA 19178 LEGAL SERVICES 131497 MOSS-ADAMS PO BOX 101822 PASADENA CA 91189 ACCOUNTING SERVICES 124905 FOLEY & LARDNER 777 EAST WISCONSIN AVE MILWAUKEE WI 53202 LEGAL SERVICES 121824 UNIVERSAL BUILDING MAINTENANCE PO BOX 31001-2374 PASADENA CA 91110 COMMERCIAL CLEANING SERVICES 121302 6 30091 53061514 19964042 6756486 73055647 RESEARCH REVENUE 900099 23482463 23482463 23482463 255883 255883 1722224 1722224 11045929 10568606 477323 477323 477323 TECHNICAL SERVICE 541900 986097 798924 187173 CONTRACT SERVICE 900099 852010 852010 BUILDING MANAGEMENT 531312 62868 62868 1120836 1120836 3021811 102015351 25402223 250041 3307440 13323730 13323730 911600 911600 2361001 2006856 306921 47224 104309 88663 13560 2086 28910109 24632552 3653064 624493 2635962 2240568 316315 79079 3573947 3037855 428874 107218 2080613 1768521 249674 62418 652931 652931 286906 286906 40260 40260 1396426 1062049 204569 129808 1286713 1153905 116430 16378 254217 220275 29472 4470 1816852 1574269 210635 31948 6246373 5749833 472319 24221 772980 546792 134191 91997 128753 52149 72701 3903 367884 367884 4662232 4312877 349355 310141 286143 22827 1171 LAB SUPPLIES & SERVICE 10698113 10687029 11084 MINOR EQUIPMENT AND REP 2580884 2538321 42028 535 DUES 82299 1133 75952 5214 UBI TAXES 13090 13090 441100 174755 301116 -34771 85939425 76410135 8331898 1197392 0 0 13205247 12068969 14085143 13121362 288077 253077 869521 833153 1282772 1531961 46403594 27178584 18630178 19225010 12176151 23115537 60537089 70149069 17515141 18337836 5243053 4932291 14836201 7785638 37594395 31055765 X 10985160 24652691 11957534 14440613 22942694 39093304 60537089 70149069 X 16075926 73944 740 X 0 1 X 1 1 1 X THE UNIVERSITY OF CALIFORNIA SAN DIEGO SAN DIEGO CA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 2000200 2000200 1.00000 0 0 49211 49211 0 10128760 5765983 4362777 36027356 21363390 14663966 198267 198267 19225010 X 102089723 73944 428 74372 102015351 0 102015351 85939430 5 5 85939425 0 85939425 PART V, LINE 4: THE DISTRIBUTION OF ENDOWMENT FUNDS WILL BE USED TO SUPPORT RESEARCH CONSISTENT WITH LJI'S MISSION. PART X, LINE 2: THE INSTITUTE IS SUBJECT TO FEDERAL AND STATE INCOME TAXES ON UNRELATED BUSINESS INCOME AS DEFINED UNDER IRC SECTIONS 511 THROUGH 515. FOR EACH OF THE YEARS ENDED DECEMBER 31, 2021 AND 2020, TAXES ARE RECORDED WHEN PAID AND NO PROVISION FOR INCOME TAX HAS BEEN MADE. THE INSTITUTE HAD NO UNRECOGNIZED TAX BENEFITS OR LIABILITIES AS OF DECEMBER 31, 2021 AND 2020. PART XI, LINE 2D - OTHER ADJUSTMENTS: ROUNDING 428. PART XII, LINE 2D - OTHER ADJUSTMENTS: ROUNDING 5. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE RESEARCH 790241 SOUTH ASIA 0 0 PROGRAM SERVICE RESEARCH 80000 SOUTH AMERICA 0 0 PROGRAM SERVICE RESEARCH 41359 0 0 0 0 0 0 911600 0 911600 SOUTH ASIA SUBRECIPIENT AWARD 80000 ELECTRONIC FUND/WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUBRECIPIENT AWARD 66380 ELECTRONIC FUND/WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUBRECIPIENT AWARD 303460 ELECTRONIC FUND/WIRE TRANSFER 0 SOUTH AMERICA SUBRECIPIENT AWARD 41359 ELECTRONIC FUND/WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUBRECIPIENT AWARD 60475 ELECTRONIC FUND/WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUBRECIPIENT AWARD 359909 ELECTRONIC FUND/WIRE TRANSFER 0 0 6 0 0 0 0 0 0 PART I, LINE 2: LJI DOES NOT ACT AS A PRIMARY GRANT MAKER. LJI ISSUES SUBCONTRACTS SPECIFICALLY APPROVED UNDER THE PRIMARY GRANTS AND CONTRACTS RECEIVED BY LJI. ALL SUCH SUBCONTRACTS, WHETHER FOREIGN OR DOMESTIC, ARE CLOSELY MONITORED BY LJI STAFF TO ENSURE COMPLIANCE WITH FEDERAL UNIFORM GUIDANCE AND SPONSOR AGENCY REQUIREMENTS. ALL SUCH PAYMENTS ARE MADE IN ACCORDANCE WITH A DETAILED BUDGET AND SCOPE OF WORK. EACH SUBRECIPIENT'S PROGRESS IS MONITORED TO ENSURE THEY ARE IN COMPLIANCE WITH APPLICABLE REGULATIONS AND THAT ALL EXPENDITURES INCURRED BY THE SUBRECIPIENT ARE ALLOWABLE AND ALLOCABLE TO THE SUBAWARD. ADDITIONALLY, SCIENTIFIC REPORTS FROM SUBCONTRACTORS ARE RECEIVED AND REVIEWED BY LJI INVESTIGATORS. PART I, LINE 3: ACCRUAL METHOD OF ACCOUNTING PART III ACCOUNTING METHOD: 1 ARKANSAS CHILDREN'S RESEARCH INSTITUTE FINANCIAL SERVICES SLOT 663 1 CHILDRENS WAY LITTLE ROCK AR 72202 710694931 501(C)(3) 43830 0 SUBRECIPIENT AWARD EMORY UNIVERSITY PO BOX 935084 ATLANTA GA 311935084 580566256 501(C)(3) 550858 0 SUBRECIPIENT AWARD ICAHN SCHOOL OF MEDICINE ONE GUSTAVE L LEVY PO BOX 3500 NEW YORK NY 10029 136171197 501(C)(3) 342054 0 SUBRECIPIENT AWARD J CRAIG VENTER INSTITUTE 4120 CAPRICORN LN LA JOLLA CA 92037 521842938 501(C)(3) 134226 0 SUBRECIPIENT AWARD JOHNS HOPKINS 12529 COLLECTIONS CENTER DR CHICAGO IL 60693 520595110 501(C)(3) 37890 0 SUBRECIPIENT AWARD LEIDOS PO BOX 223058 PITTSBURG PA 152512058 953630868 476270 0 SUBRECIPIENT AWARD MIT 255 MAIN STREET KENDALL CENTER CASHIERS OFFICE NE49-3077 CAMBRIDGE MA 021421493 042103594 501(C)(3) 231896 0 SUBRECIPIENT AWARD SALK 10010 N TORREY PINES RD LA JOLLA CA 92037 680480736 501(C)(3) 18684 0 SUBRECIPIENT AWARD UC BERKELEY (UCB) 2195 HEARST AVE RM130 MC1103 BERKELEY CA 947201103 946002123 501(C)(3) 196232 0 SUBRECIPIENT AWARD THE SCRIPPS RESEARCH INSTITUTION PO BOX 843209 DALLAS TX 752843209 330435954 501(C)(3) 534866 0 SUBRECIPIENT AWARD UNIV OF ALABAMA AT BIRMINGHAM 1720 7TH AVE SOUTH SC460 BIRMINGHAM AL 35233 636005396 501(C)(3) 19392 0 SUBRECIPIENT AWARD UCSD 9500 GILMAN DR LA JOLLA CA 920930711 956006144 501(C)(3) 1474272 0 SUBRECIPIENT AWARD UNC CHAPEL HILL LOCKBOX SERVICES PO BOX 402420 ATLANTA GA 303842420 566001393 501(C)(3) 84744 0 SUBRECIPIENT AWARD UNIV OF VIRGINIA PO BOX 400195 CHARLOTTESVILLE VA 229044195 546001796 501(C)(3) 829608 0 SUBRECIPIENT AWARD VANDERBILT UNIVERSITY PO BOX 121236 VUMC FINANCE DEPT 1236 DALLAS TX 753121236 352528741 501(C)(3) 995161 0 SUBRECIPIENT AWARD FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVE N MS J6-330 PO BOX 19024 SEATTLE WA 981091024 237156071 501(C)(3) 1077830 0 SUBRECIPIENT AWARD UNIVERSITY OF MEMPHIS PO BOX 1000 DEPT 313 MEMPHIS TN 381480313 620648618 501(C)(3) 16438 0 SUBRECIPIENT AWARD WISCONSIN UNIVERSITY UW-MADISON GAR ACCOUNT-OFFICE FOR RESEARCH SPONS DRAWER 538 MILWAUKEE WI 532780538 396006492 501(C)(3) 279998 0 SUBRECIPIENT AWARD UNIV OF TEXAS PO BOX 660120 UTMB AT GALVESTON OSP DEPT 750 DALLAS TX 752660120 746000949 501(C)(3) 1441533 0 SUBRECIPIENT AWARD TULANE UNIVERSITY 1555 POYDRAS ST STE 805 MAILBOX 8711 NEW ORLEANS LA 70112 720423889 501(C)(3) 425749 0 SUBRECIPIENT AWARD PURDUE UNIVERSITY 23510 NETWORK PL CHICAGO IL 606731235 356002041 501(C)(3) 281120 0 SUBRECIPIENT AWARD ZALGEN LABS LLC 20271 GOLDENROD LN STE 2083 GERMANTOWN MD 20876 453554265 1375256 0 SUBRECIPIENT AWARD MASSACHUSETTS GENERAL HOSPITAL PO BOX 3829 BOSTON MA 022413829 042697983 501(C)(3) 514452 0 SUBRECIPIENT AWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVENUE CB 1034 ST LOUIS MO 631121408 430653611 501(C)(3) 770431 0 SUBRECIPIENT AWARD YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 065081873 060646973 501(C)(3) 80825 0 SUBRECIPIENT AWARD TRIAD NATIONAL SECURITY PO BOX 1663 MAIL STOP P245 LOS ALAMOS NM 87545 823291283 249791 0 SUBRECIPIENT AWARD ALBANY COLLEGE OF PHARMACY AND HEALTH 106 NEW SCOTLAND AVE ALBANY NY 12208 141423161 501(C)(3) 69130 0 SUBRECIPIENT AWARD SEATTLE CHILDREN'S RESEARCH INSTITUTE PO BOX 24728 SEATTLE WA 981240728 910564748 501(C)(3) 40808 0 SUBRECIPIENT AWARD REPLICATE BIOSCIENCE INC 10210 CAMPUS POINT DR STE 150 SAN DIEGO CA 92121 861495974 14193 0 SUBRECIPIENT AWARD OREGON HEALTH & SCIENCE UNIV PO BOX 3003 PORTLAND OR 972083003 931176109 501(C)(3) 83094 0 SUBRECIPIENT AWARD EL CENTRO REGIONAL MEDICAL CENTER 1415 ROSS AVENUE EL CENTRO CA 92243 951915820 32283 0 SUBRECIPIENT AWARD REHABILITATION INSTITUTE OF CHICAGO 355 EAST ERIE ST - 26TH FL CHICAGO IL 606114496 362256036 501(C)(3) 6250 0 SUBRECIPIENT AWARD UCLA BOX 957089 1125 MURPHY HALL 405 HILGARD LOS ANGELES CA 900959000 943067788 501(C)(3) 173872 0 SUBRECIPIENT AWARD UNIVERSITY OF MINNESOTA PO BOX 1450 NW 5957 MINNEAPOLIS MN 554855957 416007513 501(C)(3) 81382 0 SUBRECIPIENT AWARD UNIVERSITY OF OKLAHOMA PO BOX 26901 URP 865 STE 490 OKLAHOMA CITY OK 731260901 731563627 501(C)(3) 103897 0 SUBRECIPIENT AWARD 30 5 PART I, LINE 2: LJI ISSUES SUBCONTRACTS SPECIFICALLY APPROVED UNDER THE PRIMARY FEDERAL GRANTS AND CONTRACTS RECEIVED BY LJI. ALL SUCH SUBCONTRACTS, WHETHER FOREIGN OR DOMESTIC, ARE CLOSELY MONITORED BY LJI STAFF TO ENSURE COMPLIANCE WITH FEDERAL UNIFORM GUIDANCE AND SPONSOR AGENCY REQUIREMENTS. ALL SUCH PAYMENTS ARE MADE IN ACCORDANCE WITH A DETAILED BUDGET AND SCOPE OF WORK. EACH SUBRECIPIENT'S PROGRESS IS MONITORED TO ENSURE THEY ARE IN COMPLIANCE WITH APPLICABLE REGULATIONS AND THAT ALL EXPENDITURES INCURRED BY THE SUBRECIPIENT ARE ALLOWABLE AND ALLOCABLE TO THE SUBAWARD. ADDITIONALLY, SCIENTIFIC REPORTS FROM SUBCONTRACTORS ARE RECEIVED AND REVIEWED BY LJI INVESTIGATORS. LJI ALSO SUPPORTS CERTAIN CHARITIES, WHOSE MISSIONS ARE IN LINE WITH OUR RESEARCH, THROUGH CONTRIBUTIONS. X 1 1 X X X X 0 0 0 0 0 0 0 0 0 ALESSANDRO SETTE DIVISION HEAD/CENTER HEAD/PROF 438679 0 46604 0 124259 0 63000 0 35167 0 707709 0 0 0 MITCHELL KRONENBERG CSO (START 09/21)/PRES. (END 09/21) 544824 0 0 0 28686 0 63000 0 14643 0 651153 0 0 0 ERICA SAPHIRE PRESIDENT & CEO (START 09/21) 454067 0 0 0 55893 0 63000 0 26182 0 599142 0 0 0 MICHAEL CROFT DIVISION HEAD/PROFESSOR (END 09/21) 338321 0 1448 0 12377 0 52636 0 22339 0 427121 0 0 0 SHANE CROTTY PROFESSOR 323701 0 0 0 8119 0 50226 0 25464 0 407510 0 0 0 STEPHEN P SCHOENBERGER PROFESSOR 308756 0 0 0 9375 0 48116 0 35469 0 401716 0 0 0 CATHERINE HEDRICK PROFESSOR 320307 0 0 0 10698 0 49232 0 21151 0 401388 0 0 0 KLAUS LEY DIVISION HEAD/PROFESSOR 314129 0 0 0 9098 0 47839 0 11941 0 383007 0 0 0 DOUGLAS HENSON CONTROLLER/INTERIM CFO (END 11/21) 150309 0 45500 0 21812 0 16058 0 8175 0 241854 0 0 0 STEPHEN WILSON EVP, COO & CTO (END 04/21) 140647 0 0 0 67394 0 21437 0 10915 0 240393 0 0 0 MICHAEL DOLLAR CFO/TREASURER/SECRETARY (END 04/21) 89795 0 500 0 39790 0 13840 0 8086 0 152011 0 0 0 PART I, LINE 1B CERTAIN INDIVIDUALS ARE ALLOWED TO FLY FIRST CLASS FOR APPROPRIATE BUSINESS TRAVEL WITH APPROVAL OF THE PRESIDENT. SEE PART V SEE PART V SEE PART V X 350000 253077 0 1 1 253077 SEE PART V SEE PART V 313508 SEE PART V 0 SEE PART V SEE PART V 104309 SEE PART V 0 SCH L, PART II, LOANS TO AND/OR FROM INTERESTED PERSONS: (A) NAME OF PERSON: ERICA SAPHIRE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:PRESIDENT & CEO(C) PURPOSE OF LOAN: FACULTY HOUSING LOAN(D) LOAN TO OR FROM THE ORGANIZATION: FROM(E) ORIGINAL PRINCIPAL AMOUNT $350,000(F) BALANCE DUE: $253,077(G) IN DEFAULT: NO(H) APPROVED BY BOARD OR COMMITTEE: YES(I) WRITTEN AGREEMENT: YES SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: HILDE CHEROUTRE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: SPOUSE OF CHIEF SCIENTIFIC OFFICER (C) AMOUNT OF TRANSACTION: $313,508(D) DESCRIPTION OF TRANSACTION: FULL TIME EMPLOYEE(E) SHARING OF ORGANIZATION REVENUES?: NO SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: ANDREW SAPHIRE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:SPOUSE OF PRESIDENT & CEO(C) AMOUNT OF TRANSACTION: $104,309(D) DESCRIPTION OF TRANSACTION: FULL TIME EMPLOYMENT(E) SHARING OF ORGANIZATION REVENUES?: NO X 19 6737268 FMV X CRYPTOCURRENCY 3 19218 FMV 0 0 0 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS FORM 990, PART VI, SECTION A, LINE 2 SANDOR W. SHAPERY, JD AND THOMAS L. TULLIE HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 4 IN 2021, THE ORGANIZATION UPDATED ITS STATEMENT OF PURPOSE TO ALSO INCLUDE THE ADVANCEMENT OF KNOWLEDGE. LJI HAS ALSO MADE CHANGES TO THOSE WHO ARE CONSIDERED OFFICERS OF THE ORGANIZATION. THE PRESIDENT SHALL BE THE CHIEF EXECUTIVE OFFICER AND THE CHIEF SCIENTIFIC OFFICER IS NOW AN OFFICER OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A PER THE BYLAWS OF THE ORGANIZATION, KYOWA KIRIN PHARMACEUTICAL RESEARCH, INC. HAS THE RIGHT TO APPOINT A MEMBER OF LA JOLLA INSTITUTE'S BOARD. FORM 990, PART VI, SECTION B, LINE 11B A DRAFT OF THE FORM 990 IS PROVIDED TO ALL BOARD MEMBERS PRIOR TO THE ELECTRONIC FILING OF THE TAX RETURN. FORM 990, PART VI, SECTION B, LINE 12C THE INSTITUTE ADMINISTERS THREE SEPARATE CONFLICT OF INTEREST POLICIES APPLYING TO 1) THE BOARD OF DIRECTORS, 2) FACULTY AND SENIOR ADMINISTRATION, AND 3) AN INVESTIGATOR FINANCIAL CONFLICT OF INTEREST POLICY REQUIRED UNDER NATIONAL INSTITUTES OF HEALTH REGULATIONS. THE INSTITUTE REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES THESE POLICIES IN ACCORDANCE WITH WRITTEN PROCEDURES, WHICH INCLUDE THE COMPLETION OF DISCLOSURE FORMS BY COVERED INDIVIDUALS, EVALUATION OF COMPLETED FORMS BY A DESIGNATED CONFLICT REVIEW OFFICER, AND AS NECESSARY, FURTHER EVALUATION AND DETERMINATION BY A DESIGNATED CONFLICT REVIEW COMMITTEE. IF A CONFLICT IS DETERMINED, A MANAGEMENT PLAN IS DESIGNED AND MONITORED FOR THE SPECIFIC SITUATION. SUCH PLAN MAY REQUIRE THE COVERED INDIVIDUAL TO ELIMINATE THE CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DECISIONS FOR THE INSTITUTE'S CEO AND OTHER KEY EMPLOYEES ARE MADE ANNUALLY. ADJUSTMENTS, IF ANY, TYPICALLY TAKE EFFECT ON A JANUARY 1ST CYCLE. FOR THESE PURPOSES, THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT OBTAINS RELEVANT MARKET COMPARABILITY DATA FOR EACH POSITION ON AN ANNUAL BASIS. IN ACCORDANCE WITH ITS CHARTER, THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS AND DISCUSSES THIS INFORMATION, AND THE PERFORMANCE OF THE INSTITUTE'S CEO AND KEY EMPLOYEES, AND FORMULATES RECOMMENDED COMPENSATION ACTIONS TO THE FULL BOARD OF DIRECTORS. THE BOARD OF DIRECTORS REVIEWS THESE RECOMMENDATIONS AND RELATED INFORMATION IN DECIDING COMPENSATION LEVELS FOR EACH POSITION. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART VII, SECTION A REPORTABLE COMPENSATION TO DAVID BRENNER WAS A $2,500 HONORARIUM FOR HIS PARTICIPATION ON THE LJI SCIENTIFIC ADVISORY BOARD. FORM 990, PART XI, LINE 9: ROUNDING 740.