2021-11-11T13:52:12-06:00 2020-12-31 911194016 CLARK NUBER PS 10900 NE 4TH ST STE 1400 BELLEVUE WA 98004 990 2020-01-01 912155317 ALLEN INSTITUTE ALLE 2065487000 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 MARJORIE THOMAS VICE PRESIDENT & TREASURER 2065487000 2021-11-08 1 MARJORIE THOMAS 999009999 SARA ELIZABETH JONES HYRE P00235495 4254544919 2021-11-08 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z ALLAN JONES 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 122037688 0 X WWW.ALLENINSTITUTE.ORG X 2003 WA THE MISSION OF THE ALLEN INSTITUTE IS TO UNLOCK THE COMPLEXITIES (SEE SCHEDULE O)OF BIOSCIENCE AND ADVANCE OUR KNOWLEDGE TO IMPROVE HUMAN HEALTH. USING AN OPEN SCIENCE, MULTI-SCALE, TEAM-ORIENTED APPROACH, THE ALLEN INSTITUTE FOCUSES ON ACCELERATING FOUNDATIONAL RESEARCH, DEVELOPING STANDARDS AND MODELS, AND CULTIVATING NEW IDEAS TO MAKE A BROAD, TRANSFORMATIONAL IMPACT ON SCIENCE. 10 8 607 0 0 0 63907314 65623927 365631 187630 4095254 -1022626 453459 1355103 68821658 66144034 9996945 6847484 0 0 63426482 69384665 0 0 0 58065353 57540029 131488780 133772178 -62667122 -67628144 220850905 154207368 13933614 14911939 206917291 139295429 X THE MISSION OF THE ALLEN INSTITUTE IS TO UNLOCK THE COMPLEXITIES OF BIOSCIENCE AND ADVANCE OUR KNOWLEDGE TO IMPROVE HUMAN HEALTH. USING AN OPEN SCIENCE, MULTI-SCALE, TEAM-ORIENTED APPROACH, THE ALLEN INSTITUTE FOCUSES ON ACCELERATING FOUNDATIONAL RESEARCH, (SEE SCHEDULE O)DEVELOPING STANDARDS AND MODELS, AND CULTIVATING NEW IDEAS TO MAKE A BROAD, TRANSFORMATIONAL IMPACT ON SCIENCE. 0 0 110156104 6847484 187630 THE ALLEN INSTITUTE IS DEDICATED TO ANSWERING SOME OF THE BIGGEST QUESTIONS IN BIOSCIENCE AND ACCELERATING RESEARCH WORLDWIDE. THE INSTITUTE IS A RECOGNIZED LEADER IN LARGE-SCALE RESEARCH WITH A COMMITMENT TO AN OPEN SCIENCE MODEL. THROUGH PUBLICLY AVAILABLE KNOWLEDGE, DATA, MODELS, TOOLS, AND REAGENTS, THE INSTITUTE CATALYZES SCIENTIFIC DISCOVERY AND NURTURES MEDICAL BREAKTHROUGHS. 110156104 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 238 0 607 1 0 0 0 0 0 0 0 0 0 0 0 0 X 10 8 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AR CA CO FL HI IL KS KY MD MA MI MS NH NJ NM NY NC ND OH OR PA SC TN VA WA WV WI X MARJORIE THOMAS 2065487000 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 JONES ALLAN R PRESIDENT 40.00 X 719791 0 28073 PETERSON TODD VICE PRESIDENT 40.00 X 502958 0 27156 BUMOL THOMAS VICE PRESIDENT 40.00 X 500762 0 23798 KOCH CHRISTOF CHIEF SCIENTIST AND PRESIDENT 40.00 X 495578 0 18791 THOMAS MARJORIE VICE PRESIDENT, TREASURER 40.00 X 440487 0 17909 HACKETT LAUREN VICE PRESIDENT 40.00 X 428788 0 28773 REID ROBERT C INVESTIGATOR, SR. 40.00 X 428326 0 29059 HORWITZ ALAN FREDRICK EXECUTIVE DIRECTOR, CELL SCIENCE 40.00 X 415304 0 24219 ZENG HONGKUI EXEC. DIRECTOR,STRUCTURED SCIENCE 40.00 X 413710 0 22147 LARSON MAJA D VICE PRESIDENT, SECRETARY 40.00 X 349007 0 28773 PHILLIPS JOHN W EXEC. DIR.,STRATEGY AND EVALUATION 40.00 X 344895 0 23798 WOHNOUTKA PAUL FORMER SENIOR DIRECTOR OF OPERATIONS 40.00 X 263061 0 29516 STRYKER MICHAEL DIRECTOR 2.00 X 11000 0 0 ALLEN JO LYNN DIRECTOR 2.00 X 0 0 0 ISRAEL ALLEN D DIRECTOR 2.00 X 0 0 0 HALL STEPHEN DIRECTOR 2.00 X 0 0 0 BROWN NATHANIEL DIRECTOR 2.00 X 0 0 0 DANIEL THOMAS DIRECTOR 2.00 X 0 0 0 ALIVISATOS PAUL DIRECTOR 2.00 X 0 0 0 ANDERSON MARGARET DIRECTOR 2.00 X 0 0 0 CAMPBELL PHYLLIS DIRECTOR 2.00 X 0 0 0 LOCKE GARY DIRECTOR 2.00 X 0 0 0 5313667 0 302012 214 1 1 0 THORLABS IMAGING RESEARCH GROUP LLC 108 POWERS COURT STERLING VA 20166 MANUFACTURE & DESIGN IMAGING EQUIPMENT 453400 ZETTA AI LLC 25 HOWE CIRCLE PRINCETON NJ 08540 LABOR AND CLOUD COMPUTING 341000 VACO LLC 5501 VIRGINIA WAY BRENTWOOD TN 37027 TECH/ENGINEERING CONTRACTORS 213670 THE PETRIZZO GROUP 601 NEW JERSEY AVE NW STE 200 WASHINGTON DC 20001 LOBBYING 180000 ARCLIGHT CONSULTING LLC 345 WEST CUMMINGS PARK WOBURN MA 01803 CONSULTING SERVICES FOR ORACLE 179199 8 29523286 36100641 65623927 MATERIAL TRANSFER 541700 187630 187630 187630 2860598 2860598 1260761 1260761 52010430 55893654 -3883224 -3883224 -3883224 REIMBURSEMENTS 900099 86303 86303 RESEARCH AWARDS SVCS 900099 8039 8039 94342 66144034 187630 0 332477 5095724 5095724 1751760 1751760 3107275 1174550 1932725 53332176 43907186 9424990 2627349 2094962 532387 6325215 5008534 1316681 3992650 3114267 878383 532901 108390 424511 169949 169949 180000 180000 13064937 11582776 1482161 122643 110289 12354 4299620 2330315 1969305 645795 56113 589682 16247908 13507642 2740266 43854 36080 7774 190269 152807 37462 13844167 12488097 1356070 LABORATORY SUPPLIES 7246331 7246331 RECRUITING 234557 90854 143703 717098 299427 417671 133772178 110156104 23616074 0 5914694 3285639 51985177 46215030 5598677 6784589 259131 552044 704879 266579 3977914 4613799 140871194 73111201 74248853 67759993 78161580 24729695 220850905 154207368 12989600 13793771 521352 1048186 422662 69982 13933614 14911939 X 206917291 139295429 206917291 139295429 220850905 154207368 -67628144 6282 0 X 0 1 X 1 1 1 X UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE SEATTLE WA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 180000 180000 133592178 133772178 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 87183 89443 160635 180000 517261 250000 250000 250000 250000 1000000 1500000 63563220 16658582 46904638 72735992 56452619 16283373 4571982 4571982 67759993 DEFERRED RENT 69982 69982 66150000 6282 6282 66143718 316 316 66144034 133773000 0 133773000 -822 -822 133772178 PART XI, LINE 4B - OTHER ADJUSTMENTS: AUDITED FINANCIAL STMT. ROUNDING ADJUSTMENT 316. PART XII, LINE 4B - OTHER ADJUSTMENTS: AUDITED FINANCIAL STMT. ROUNDING ADJUSTMENT -822. 1 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SEND AGENTS TO SEMINAR 563 EAST ASIA AND THE PACIFIC 0 10 PROGRAM SERVICES RESEARCH 170287 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES SEND AGENTS TO SEMINAR 4736 EUROPE (INCLUDING ICELAND & GREENLAND) 0 53 PROGRAM SERVICES RESEARCH 813316 MIDDLE EAST AND NORTH AFRICA 0 1 PROGRAM SERVICES RESEARCH 1525 NORTH AMERICA - CANADA AND MEXICO 0 0 PROGRAM SERVICES SEND AGENTS TO SEMINAR 800 NORTH AMERICA - CANADA AND MEXICO 0 14 PROGRAM SERVICES RESEARCH 27055 RUSSIA AND NEIGHBORING STATES 0 1 PROGRAM SERVICES RESEARCH 263 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION N/A 255620 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION N/A 168148 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION N/A 1327992 0 79 0 0 0 79 1018545 1751760 2770305 MIDDLE EAST AND NORTH AFRICA RESEARCH 255620 WIRE EAST ASIA AND THE PACIFIC RESEARCH 168148 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 772217 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 23078 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 246032 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 286665 WIRE 3 0 0 0 0 0 0 0 PART I, LINE 2: THE ALLEN INSTITUTE ASSIGNS RESPONSIBILITY FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES TO ITS OFFICE OF SPONSORED RESEARCH. THIS OFFICE MONITORS ALL GRANT MAKING ACTIVITY INCLUDING ALL APPLICABLE COMPLIANCE REGULATIONS. MONITORING INCLUDES PERIODIC REVIEWS OF BUDGET TO ACTUAL REPORTS BY BOTH THE OFFICE OF SPONSORED RESEARCH AND THE PRINCIPAL INVESTIGATOR TO ENSURE FUNDS ARE USED ACCORDING TO THE AGREEMENT. EXPENSES ARE ACCOUNTED FOR ON AN ACCRUAL BASIS. PART III ACCOUNTING METHOD: 1 BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA ROOM-BCM280 HOUSTON TX 77030 741613878 501(C)(3) 691015 MEDICAL RESEARCH CALIFORNIA INSTITUTE OF TECHNOLOGY MC 114-96 1200 E CALIFORNIA BLVD PASEDENA CA 91125 951643307 501(C)(3) 742362 MEDICAL RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY CASHIERS OFFICE NE46-3160 77 MASSACHUSETTS AVE CAMBRIDGE MA 02139 042103594 501(C)(3) 132821 MEDICAL RESEARCH PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 415649 BOSTON MA 02241 042103580 501(C)(3) 847488 MEDICAL RESEARCH THE BROAD INSTITUTE INC 415 MAIN STREET CAMBRIDGE MA 02142 263428781 501(C)(3) 659475 MEDICAL RESEARCH THE REGENTS OF THE UC BERKLEY 2080 ADDISON STREET BERKELEY CA 94720 946090626 501(C)(3) 393049 MEDICAL RESEARCH TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 125 SOUTH 31ST STREET SUITE 2000 PHILADELPHIA PA 19104 231352685 501(C)(3) 307887 MEDICAL RESEARCH UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE LA JOLLA CA 92093 956006144 501(C)(3) 424101 MEDICAL RESEARCH KAISER FOUNDATION RESEARCH INSTITUTE 1800 HARRISON STREET 16TH FLOOR OAKLAND CA 94612 941105628 501(C)(3) 39512 MEDICAL RESEARCH UNIVERSITY OF WASHINGTON 4333 BROOKLYN AVE NE SEATTLE WA 98195 916001537 501(C)(3) 819009 MEDICAL RESEARCH J CRAIG VENTER INSTITUTE 4120 CAPRICORN LANE LA JOLLA CA 92037 521842938 501(C)(3) 35005 MEDICAL RESEARCH 11 0 PART I, LINE 2: THE ALLEN INSTITUTE ASSIGNS RESPONSIBILITY FOR MONITORING THE USE OF GRANT FUNDS INSIDE THE UNITED STATES TO ITS OFFICE OF SPONSORED RESEARCH. THIS OFFICE MONITORS ALL GRANT MAKING ACTIVITY INCLUDING ALL APPLICABLE COMPLIANCE REGULATIONS. MONITORING INCLUDES PERIODIC REVIEWS OF BUDGET TO ACTUAL REPORTS BY BOTH THE OFFICE OF SPONSORED RESEARCH AND THE PRINCIPAL INVESTIGATOR TO ENSURE FUNDS ARE USED ACCORDING TO THE AGREEMENT. EXPENSES ARE ACCOUNTED FOR ON AN ACCRUAL BASIS. X X X X 0 1 X X X X 0 0 0 0 0 0 0 1 0 JONES ALLAN R PRESIDENT 625063 0 94728 0 0 0 9750 0 18323 0 747864 0 0 0 PETERSON TODD VICE PRESIDENT 455930 0 45348 0 1680 0 9750 0 17406 0 530114 0 0 0 BUMOL THOMAS VICE PRESIDENT 462758 0 38004 0 0 0 9750 0 14048 0 524560 0 0 0 KOCH CHRISTOF CHIEF SCIENTIST AND PRESIDENT 462051 0 32656 0 871 0 9750 0 9041 0 514369 0 0 0 THOMAS MARJORIE VICE PRESIDENT, TREASURER 408075 0 32016 0 396 0 9750 0 8159 0 458396 0 0 0 HACKETT LAUREN VICE PRESIDENT 396934 0 30458 0 1396 0 9750 0 19023 0 457561 0 0 0 REID ROBERT C INVESTIGATOR, SR. 428326 0 0 0 0 0 9750 0 19309 0 457385 0 0 0 HORWITZ ALAN FREDRICK EXECUTIVE DIRECTOR, CELL SCIENCE 384055 0 30886 0 363 0 9750 0 14469 0 439523 0 0 0 ZENG HONGKUI EXEC. DIRECTOR,STRUCTURED SCIENCE 412630 0 0 0 1080 0 9750 0 12397 0 435857 0 0 0 LARSON MAJA D VICE PRESIDENT, SECRETARY 347467 0 0 0 1540 0 9750 0 19023 0 377780 0 0 0 PHILLIPS JOHN W EXEC. DIR.,STRATEGY AND EVALUATION 344234 0 661 0 0 0 9750 0 14048 0 368693 0 0 0 WOHNOUTKA PAUL FORMER SENIOR DIRECTOR OF OPERATIONS 261812 0 0 0 1249 0 9750 0 19766 0 292577 0 0 0 PART I, LINE 1A PERIODICALLY, SENIOR EXECUTIVES MAY TAKE FIRST CLASS TRAVEL DUE TO LENGTH OF THE TRIP, TIMING OF FLIGHT OR VISIT SCHEDULE. TAX GROSS UPS OF MOVING EXPENSES MAY BE PAID TO RECRUIT NEW EMPLOYEES. ALL EMPLOYEES ARE ENTITLED TO 75% OF HEALTH CLUB DUES REIMBURSEMENT (UP TO $140 OF REIMBURSEMENT/MONTH). PART I, LINE 1B WE FOLLOWED THE TRAVEL POLICY WITH RESPECT TO 'FIRST-CLASS OR CHARTER TRAVEL AND THE HEALTH CLUB REIMBURSEMENT POLICY WITH RESPECT TO 'HEALTH OR SOCIAL CLUB DUES OR INITIAL FEES.' WE DO NOT HAVE A WRITTEN 'HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE' POLICY. THE HOUSING ALLOWANCE BENEFIT IS REVIEWED BY HUMAN RESOURCES AND THE PRESIDENT. PART I, LINE 7 THE PRESIDENT, EXECUTIVES, AND CERTAIN SENIOR INSTITUTE LEADERS ARE ELIGIBLE FOR AN ANNUAL PERFORMANCE BONUS BASED UPON ATTAINMENT OF INSTITUTE-WIDE OR, INDIVIDUAL GOALS. NEAR THE END OF THE COMPENSATION YEAR (JANUARY-DECEMBER). INSTITUTE SENIOR LEADERSHIP ASSESSED THEIR PERFORMANCE RELATIVE TO GOALS, REVIEWED THEIR SELF-ASSESSMENT WITH THEIR MANAGER WHO MADE A FINAL DECISION ON PERFORMANCE SCORES. ALL SCORES AND ASSOCIATED BONUSES WERE PRESENTED TO THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS FOR FINAL REVIEW AND APPROVAL. SEE PART V SEE PART V 9893427 SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: RELATED TO SUBSTANTIAL CONTRIBUTOR(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: 35% CONTROLLED ENTITY OF A SUBSTANTIAL CONTRIBUTOR(D) DESCRIPTION OF TRANSACTION: LEASE PAYMENTS FORM 990, PART VI, SECTION A, LINE 2 JO LYNN ALLEN HAS A BUSINESS RELATIONSHIP WITH STEPHAN HALL, ALLEN ISRAEL, NATHANIEL BROWN; STEPHEN HALL HAS A BUSINESS RELATIONSHIP JO LYNN ALLEN, ALLEN ISRAEL, NATHANIEL BROWN; ALLEN ISRAEL HAS A BUSINESS RELATIONSHIP JO LYNN ALLEN, STEPHAN HALL, NATHANIEL BROWN; NATHANIEL BROWN HAS A BUSINESS RELATIONSHIP JO LYNN ALLEN, STEPHAN HALL, ALLEN ISRAEL. FORM 990, PART VI, SECTION B, LINE 11B THE FINANCE DEPARTMENT AND THE LEGAL DEPARTMENT PERFORM A THOROUGH REVIEW, AND THE BOARD MEMBERS ARE GIVEN COPIES BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C THE PERSONS COVERED UNDER THE ALLEN INSTITUTE BOARD OF DIRECTORS CONFLICT OF INTEREST POLICY ARE THE ALLEN INSTITUTE'S BOARD OF DIRECTORS. THE ALLEN INSTITUTE PLACES UPON ALL DIRECTORS COVERED UNDER THIS POLICY, A DUTY TO DISCLOSE ANY ACTUAL OR POSSIBLE CONFLICTS OF INTEREST TO THE ALLEN INSTITUTE. FURTHERMORE, DIRECTORS ANNUALLY AFFIRM THAT THEY HAVE READ AND AGREE TO COMPLY WITH THE POLICY. AFTER DISCLOSURE OF AN ACTUAL OR POSSIBLE CONFLICT, PERSONS WITH A CONFLICT SHALL BE EXCUSED FROM THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION INVOLVING THE POSSIBLE CONFLICT. THE REMAINING DISINTERESTED DIRECTORS WILL DETERMINE WHETHER A CONFLICT OF INTEREST EXISTS. IF A CONFLICT IS FOUND, THE BOARD CHAIRPERSON, IF APPROPRIATE, WILL APPOINT A DISINTERESTED PERSON TO INVESTIGATE ALTERNATIVES TO THE TRANSACTION THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. IF ANY ALTERNATIVE TRANSACTIONS ARE NOT REASONABLE, THE BOARD SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE CONFLICTED TRANSACTION IS FAIR, REASONABLE, AND IN THE BEST INTEREST OF THE ALLEN INSTITUTE. THE PERSONS COVERED UNDER THE ALLEN INSTITUTE CONFLICT OF INTEREST POLICY ARE ALL EMPLOYEES, INCLUDING THE ALLEN INSTITUTE'S PRINCIPAL OFFICERS AND KEY EMPLOYEES. THE ALLEN INSTITUTE PLACES UPON ALL PRINCIPAL OFFICERS AND KEY EMPLOYEES UNDER THIS POLICY A DUTY TO DISCLOSE ANY ACTUAL OR POSSIBLE CONFLICTS OF INTEREST TO THE ALLEN INSTITUTE. FURTHERMORE, ALL EMPLOYEES, INCLUDING PRINCIPAL OFFICERS AND KEY EMPLOYEES ANNUALLY UPDATE AND REVIEW EXISTING DISCLOSURES, AS WELL AS DISCLOSE NEW CONFLICTS OF INTEREST. AFTER DISCLOSURE OF AN ACTUAL OR POSSIBLE CONFLICT, THE ALLEN INSTITUTE DETERMINES THE APPROPRIATE OVERSIGHT AND CONTROL, BASED ON THE CIRCUMSTANCES, TO PROPERLY MANAGE THE CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE MAKES A RECOMMENDATION TO THE BOARD OF DIRECTORS REGARDING THE COMPENSATION OF THE CEO AND EXECUTIVE MANAGEMENT USING THE FOLLOWING PRACTICES: CHIEF OPERATIONS OFFICER AND THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT BENCHMARK SENIOR EXECUTIVE LEADERSHIP BASE AND TOTAL CASH COMPENSATION TO ASSESS MARKET CONSISTENCY. THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THESE ASSESSMENTS AND EXTERNAL COMPENSATION RESOURCES COMPILED BY THE HUMAN RESOURCES DEPARTMENT AND A THIRD-PARTY CONSULTING FIRM. BASED ON THESE REVIEWS THE COMPENSATION COMMITTEE ESTABLISHES SALARY ADJUSTMENTS FOR THE CEO AND THE CEO'S DIRECT REPORTS AND ANY SENIOR LEADER ELIGIBLE FOR THE VARIABLE COMPENSATION PLAN. FORM 990, PART VI, SECTION C, LINE 19 THE ALLEN INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, AND FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. THE FINANCIAL CONFLICT OF INTEREST IS AVAILABLE ON THE ALLEN INSTITUTE WEBSITE.