2021-11-12T12:56:24-06:00 2020-12-31 366055558 GRANT THORNTON LLP 757 THIRD AVE 3RD FLOOR NEW YORK NY 100172013 990 2020-01-01 112013303 COLD SPRING HARBOR LABORATORY COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 LARI C RUSSO CHIEF FINANCIAL OFFICER 5163678448 2021-11-12 1 LARI RUSSO XXX-XX-XXXX DANIEL ROMANO P00504182 2125990100 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 365537856 0 X WWW.CSHL.EDU X 1924 NY THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 31 30 1129 47 128310 0 246028075 126503073 24277122 14892876 21094224 27641456 16204667 15397303 307604088 184434708 22484017 13177001 0 0 86894891 85432622 48000 39875 1776414 74525462 67315152 183952370 165964650 123651718 18470058 1055985344 1109130778 210164088 210126859 845821256 899003919 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 0 0 114673036 13177001 712475 RESEARCH: COLD SPRING HARBOR LABORATORY (CSHL), FOUNDED IN 1890, IS A WORLD-RENOWNED, PRIVATE RESEARCH AND EDUCATION INSTITUTION WITH RESEARCH PROGRAMS IN CANCER, NEUROSCIENCE, PLANT BIOLOGY, QUANTITATIVE BIOLOGY, AND BIOINFORMATICS & GENOMICS. THE RESEARCH ENVIRONMENT IS HIGHLY COLLABORATIVE, ALLOWING CSHL SCIENTISTS TO WORK TOGETHER ACROSS DISCIPLINES TO SOLVE BIOLOGY'S MOST CHALLENGING PROBLEMS. THE ULTIMATE GOAL IS TO APPLY THIS RESEARCH ON BASIC BIOLOGICAL MECHANISMS TO IMPROVE THE DIAGNOSIS AND TREATMENT OF CANCER, NEUROLOGICAL DISORDERS AND OTHER DISEASES. (SEE SCHEDULE O). (CONTINUED FROM PART III)RESEARCH AT THE LABORATORY IS ENRICHED BY COLLABORATIONS WITH SCIENTISTS AT OTHER UNIVERSITIES, HOSPITALS AND IN THE BIOTECH AND PHARMACEUTICAL SECTORS. THESE PARTNERINGS HAVE INCLUDED NYU, MEMORIAL SLOAN-KETTERING, WEILL CORNELL, YALE AND DANA-FARBER. THE INNOVATIVE SPIRIT, VISION AND TALENT OF THE LABORATORY'S OVER 600 SCIENTISTS CONTINUE TO PLACE CSHL AMONG THE TOP 1% OF LIFE SCIENCE INSTITUTIONS MOST CITED IN PUBLISHED RESEARCH. FOR OVER 25 YEARS THE LABORATORY HAS BEEN A NATIONAL CANCER INSTITUTE-DESIGNATED CANCER CENTER WITH AN NCI "OUTSTANDING" RATING. IT HAS BEEN HOME TO EIGHT NOBEL LAUREATES, INCLUDING BARBARA MCCLINTOCK, DISCOVERER OF THE "JUMPING GENES". THE LABORATORY OFFERS AN ADVANCED DRUG TESTING FACILITY DELIVERING WELL-VALIDATED DRUG CANDIDATES TO BOTH THE BIOTECH AND PHARMACEUTICAL INDUSTRY. IT HAS BEEN AN INCUBATOR FOR MORE THAN 25 BIOTECHNOLOGY START-UP COMPANIES. THE DYNAMIC, COLLABORATIVE ENVIRONMENT AT CSHL ALSO FOSTERS A SUPERB EDUCATIONAL EXPERIENCE FOR AN OUTSTANDING GROUP OF GRADUATE STUDENTS AND POSTDOCTORAL RESEARCHERS. 12015548 0 2805139 EDUCATIONAL MEETINGS & COURSES PROGRAM: CSHL'S REPUTATION AS ONE OF THE PREMIER HUBS OF ACTIVITY IN BIOLOGY AND GENETICS IS LINKED TO ITS MEETINGS AND COURSES PROGRAM. WITH ROOTS IN THE LEGENDARY ANNUAL SYMPOSIA IN QUANTITATIVE BIOLOGY SERIES, WHICH BEGAN IN 1933, THE PROGRAM ORGANIZES MORE THAN 60 MEETINGS AND COURSES ANNUALLY, COVERING A WIDE RANGE OF TOPICS IN THE BIOLOGICAL SCIENCES. IN 2020, THE PROGRAM WAS ABLE TO SHIFT TO A VIRTUAL PLATFORM, ATTRACTING MORE THAN 14,300 PARTICIPANTS ONLINE. (SEE SCHEDULE O)(CONTINUED FROM PART III)PARTICIPANTS RANGE FROM THE MOST ACCOMPLISHED SENIOR INVESTIGATORS TO GRADUATE STUDENTS AND POSTDOCS. PROGRAMS ARE PUT TOGETHER ON THE BASIS OF OPENLY SUBMITTED ABSTRACTS AND INCLUDE DISCUSSIONS OF UNPUBLISHED WORK. CSH ASIA, A CSHL-STYLED MEETING PROGRAM, WHICH BEGAN IN 2009, THRIVES IN SUZHOU, CHINA. IN 2020, MOST MEETINGS WERE LARGELY CANCELLED OR POSTPONED, BUT, TWO VIRTUAL CONFERENCES WERE OFFERRED ATTACTING OVER 750 PARTICIPANTS. 9527468 0 9665668 PUBLICATIONS: WITH ORIGINS IN THE 1930'S, CSHL PRESS ENHANCES THE LABORATORY'S EDUCATIONAL MISSION BY PUBLISHING ORIGINAL WORK THAT ASSISTS IN THE ADVANCE AND SPREAD OF SCIENTIFIC KNOWLEDGE. SALE OF ITS PUBLICATIONS ENHANCES THE LABORATORY'S INTERNATIONAL REPUTATION FOR EXCELLENCE. THE PRESS PUBLISHES RESEARCH AND REVIEW JOURNALS, BOOKS, MANUALS, PRIMERS AND OTHER INFORMATION SOURCES, IN ELECTRONIC AND PRINT FORM. IN 2020, THE PRESS PUBLISHED 275 PRINT BOOKS AND 93 EBOOKS, INCLUDING 8 NEW TITLES. THEY ARE ALSO RESPONSIBLE FOR PUBLISHING THE PROCEEDINGS OF THE LABORATORY'S MEETINGS PROGRAM. WIDELY REVIEWED AND HIGHLY PRAISED THESE PUBLICATIONS ARE MADE AVAILABLE IN A VARIETY OF LANGUAGES. THE PRESS ALSO PRODUCES 3 PRINT/ONLINE JOURNALS, 3 ONLINE ONLY JOURNALS AND 3 NO-CHARGE JOURNALS. 4333551 0 1709594 OTHER PROGRAMS SCHOOL OF BIOLOGICAL SCIENCES: THE CSHL SCHOOL OF BIOLOGICAL SCIENCES (SBS) TRAINS THE NEXT GENERATION OF BIOLOGISTS, OFFERING A PH.D. IN BIOLOGY IN AS LITTLE AS 4 YEARS TO A LIMITED NUMBER OF ACCOMPLISHED STUDENTS (APPROXIMATELY 50) DRAWN FROM AROUND THE WORLD. THE CURRICULUM IS DESIGNED TO TRAIN SELF-CONFIDENT, SELF-RELIANT YOUNG SCIENTISTS TO BECOME SCHOLARS AND TO ACQUIRE THE KNOWLEDGE THAT THEIR RESEARCH AND FUTURE CAREERS DEMAND. THE ACCOMPLISHMENTS OF SBS STUDENTS HAVE BEEN SPECTACULAR, WITH MORE THAN 250 PAPERS PUBLISHED IN THE APPROXIMATELY 20 YEARS SINCE THE SCHOOL'S LAUNCH. GRADUATES HAVE MOVED SWIFTLY INTO FACULTY POSITIONS AT LEADING ACADEMIC RESEARCH INSTITUTIONS WORLDWIDE. BANBURY CENTER: BANBURY CENTER, LOCATED ON THE GROUNDS OF THE HISTORIC ROBERTSON HOUSE, PROVIDES OPPORTUNITIES FOR SCIENTISTS AND OTHER LEADERS IN SOCIETY TO DISCUSS TOPICS OF COMMON INTEREST. APPROXIMATELY TWENTY MEETINGS ARE ORGANIZED EACH YEAR, FOR GROUPS OF UP TO 40 PARTICIPANTS. THE CONFERENCES ARE RECOGNIZED INTERNATIONALLY AS BEING AMONG THE BEST DISCUSSION WORKSHOPS FOR TOPICS IN MOLECULAR BIOLOGY, MOLECULAR GENETICS, HUMAN GENETICS, NEUROSCIENCE AND SCIENCE POLICY. IN 2020, THE CENTER SUCCESSFULLY PIVOTED TO A VIRTUAL MEETING SCHEDULE.DNA LEARNING CENTER:THE DNA LEARNING CENTER (DNALC) HAS A MAJOR IMPACT NOT ONLY IN THE NEW YORK METROPOLITAN AREA, BUT ALSO GLOBALLY IN PIONEERING PUBLIC SCIENCE EDUCATION FOR THE GENOME AGE. WITH TEACHING FACILITIES ON LONG ISLAND AND NEW YORK CITY, IT BRINGS A HANDS-ON APPROACH TO LEARNING ABOUT BIOLOGY AND GENOMES TO CLASSROOMS AND HOMES OF CHILDREN IN PRIMARY SCHOOLS, MIDDLE SCHOOLS AND HIGH SCHOOLS. RENOWNED FOR DEVISING MEANS FOR YOUNG PEOPLE, TEACHERS AND PARENTS TO CONDUCT SOPHISTICATED EXPERIMENTS WITH DNA, THE DNALC ALSO HAS A ROBUST PRESENCE ON THE INTERNET, POWERED BY A TEAM OF MULTIMEDIA INNOVATORS WHO BRING KNOWLEDGE OF THE LIFE SCIENCES TO COMPUTER, TABLET AND CELL PHONE USERS. 4333551 0 1709594 140549603 1 1 0 1 0 0 1 0 0 1 1 1 0 0 1 1 0 1 0 1 1 1 0 1 1 0 0 1 0 1 1 1 0 0 0 0 1 0 1 0 0 1 0 0 0 1 1 1 1 0 0 1 600 0 1 1129 1 1 1 1 CH 0 0 0 1 1 0 0 0 0 0 0 X 31 30 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 NY X X LARI RUSSO CFO 5163678446 PO BOX 100 ONE BUNGTOWN RD COLD SPRING HARBOR NY 11724 BRUCE STILLMAN PHD CEO AND TRUSTEE 39.00 1.00 X X 774869 0 200993 THOMAS A SAUNDERS III TRUSTEE 1.00 0.00 X 0 0 0 DOUGLAS SCHLOSS TRUSTEE 1.00 0.00 X 0 0 0 LALIT R BAHL PHD TRUSTEE 1.00 0.00 X 0 0 0 JOANNE BERGER-SWEENEY PHD TRUSTEE 1.00 0.00 X 0 0 0 DAVID BOIES TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL R BOTCHAN PHD TRUSTEE 1.00 0.00 X 0 0 0 CHARLES I COGUT VICE CHAIRMAN 1.00 0.00 X X 0 0 0 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EMPLOYEE DINING - 2016 AMOUNT: $ 339,453. 2017 AMOUNT: $ 336,971. 2018 AMOUNT: $ 356,902. 2019 AMOUNT: $ 384,779. 2020 AMOUNT: $ 166,513. SPECIAL EVENTS - 2016 AMOUNT: $ 289,151. 2017 AMOUNT: $ 297,140. 2018 AMOUNT: $ 275,172. 2019 AMOUNT: $ 300,832. 2020 AMOUNT: $ 12,660. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 57000 0 0 57000 0 X X 3 125.00 1 1 0 100.00 3500 0 545182919 5701836 61596613 20960131 2363097 589158140 427614703 66086909 74216987 20375537 2360143 545182919 411317208 53579680 -18331605 16066216 2884364 427614703 365428604 11591636 50674566 14858267 1519331 411317208 344987006 17651257 17292915 13134515 1368059 365428604 0.71000 0.19000 0.10000 0 0 18670324 18670324 329443257 121940263 207502994 891258 780216 111042 110928251 85197249 25731002 14600741 365630 14235111 266250473 ALTERNATIVE INVESTMENTS 444938049 F 444938049 INTEREST RATE SWAP 41196290 OTHER NOTES PAYABLE 871941 42068231 X PART II, LINE 9: CONSERVATION EASEMENTS THE LABORATORY INCLUDES ANY EXPENSES FROM THE CONSERVATION EASEMENTS IN ITS GENERAL EXPENSES. THE EASEMENTS DO NOT GENERATE ANY OTHER MATERIAL EXPENSES OR LIABILITIES AND ARE THEREFORE NOT SEPARATELY DISCLOSED IN THE NOTES TO THE FINANCIAL STATEMENTS. PART V, LINE 4: ENDOWMENT FUNDS THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 160 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, OPERATIONS AND FACILITIES COST. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. PART X, LINE 2: FIN 48 THE LABORATORY AND ROBERTSON ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THEY ARE NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT THERE IS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO THE EXEMPT PURPOSES. THE LABORATORY RECEIVES INCOME FROM UNRELATED ACTIVITIES, INCLUDING ADVERTISING INCOME ON ITS JOURNALS AND VARIOUS ALTERNATIVE INVESTMENT VEHICLES. THE LABORATORY RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. CSH ASIA WAS ESTABLISHED AS A TAXABLE ORGANIZATION IN CHINA. PROVISIONS FOR BOTH LOCAL AND UNRELATED BUSINESS INCOME TAXES ARE INCLUDED IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES IN 2020 AND 2019 CONSOLIDATED BALANCE SHEETS. THE LABORATORY ESTIMATES UNRELATED BUSINESS INCOME TAX EXPENSE OF $30,000 IN 2020 AND PAID $12,996 IN 2019. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 203002095 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SCIENTIFIC CONFERENCE 1172120 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 80085361 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 645384 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 189427 0 0 0 0 0 0 285094387 0 285094387 EUROPE RESEARCH 46303 WIRE EUROPE RESEARCH 54635 WIRE EUROPE RESEARCH 253002 WIRE EUROPE RESEARCH 88266 WIRE EUROPE RESEARCH 203177 WIRE EAST ASIA/PACIFIC RESEARCH 189427 WIRE EUROPE RESEARCH 101677 WIRE 0 7 1 0 1 1 1 0 PART I, LINE 2: SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF SINGLE AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS. CONSIDERATON OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COST CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL SINGLE AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET SINGLE AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE SINGLE AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS TO CSHL'S RECORDS ARE NEEDED. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE SINGLE AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. PART III ACCOUNTING METHOD: X X X X X X X 1 MICHAEL O'BRIEN 40 SHUTTER LANE OYSTER BAY NY 11771 PLANNED GIVING 0 104875 39875 65000 104875 39875 65000 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI AWARD DINNER 4585014 4585014 GOLF OUTING 86136 86136 1 146126 133466 12660 7011 4817276 4804616 12660 7011 7011 5649 1 ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVE BRONX NY 10461 131624225 501(C)(3) 102922 BOOK VALUE RESEARCH ALLEN INSTITUTE FOR BRAIN 551 N 34TH STREET SEATTLE WA 98103 912155317 501(C)(3) 102099 BOOK VALUE RESEARCH AMERICAN SOCIETY FOR PLANT BIOLOGISTS 15501 MONONA DRIVE ROCKVILLE MD 20855 530258999 501(C)(3) 65520 BOOK VALUE RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVE BOSTON MA 02215 042103881 501(C)(3) 30000 BOOK VALUE RESEARCH BOYCE THOMPSON INSTITUTE 533 TOWER ROAD ITHACA NY 14853 131739923 501(C)(3) 340494 BOOK VALUE RESEARCH CALIFORNIA INST OF TECHNOLOGY 1200 E CALIFORNIA BLVD M/C 359-86 PASADENA CA 91125 951643307 501(C)(3) 113035 BOOK VALUE RESEARCH COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10087 135598093 501(C)(3) 17000 BOOK VALUE RESEARCH FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 1073145 BOOK VALUE RESEARCH HARVARD UNIVERSITY 16 DIVINITY AVENUE CAMBRIDGE MA 02138 042103580 501(C)(3) 2114087 BOOK VALUE RESEARCH ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI 1 GUSTAVE L LEVY PLACE NEW YORK NY 10029 136171197 501(C)(3) 470979 BOOK VALUE RESEARCH JACKSON LABORATORY 600 MAIN STREET BAR HARBOR ME 04609 010211513 501(C)(3) 394872 BOOK VALUE RESEARCH JOHN HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501(C)(3) 614499 BOOK VALUE RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY PO BOX 3972 BOSTON MA 02241 042103594 501(C)(3) 141418 BOOK VALUE RESEARCH MEMORIAL SLOAN-KETTERING PO BOX 26338 NEW YORK NY 10087 912154267 501(C)(3) 449270 BOOK VALUE RESEARCH NEW YORK UNIVERSITY PO BOX 5166 NEW YORK NY 10087 135562308 501(C)(3) 92481 BOOK VALUE RESEARCH NORTHWELL HEALTH 972 BRUSH HOLLOW ROAD WESTBURY NY 11590 451004103 501(C)(3) 319849 BOOK VALUE RESEARCH OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 973391086 936022772 501(C)(3) 290416 BOOK VALUE RESEARCH PRINCETON UNIVERSITY PO BOX 5292 PRINCETON NJ 08544 210634501 501(C)(3) 95642 BOOK VALUE RESEARCH PURDUE UNIVERSITY 22612 NETWORK PLACE CHICAGO IL 606731226 356002041 501(C)(3) 63929 BOOK VALUE RESEARCH THE STATE UNIVERSITY OF NJ RUTGERS 102 RYDERS LANE NEW BRUNSWICK NJ 08901 226001086 501(C)(3) 313739 BOOK VALUE RESEARCH SCRIPPS RESEARCH INSTITUTE 10550 N TORREY PINES ROAD LA JOLLA CA 92037 330435954 501(C)(3) 36655 BOOK VALUE RESEARCH SUNY AT STONY BROOK 310 ADMINISTRATION BUILDING STONY BROOK NY 11794 116077945 501(C)(3) 15928 BOOK VALUE RESEARCH THE BROAD INSTITUTE INC 415 MAIN STREET CAMBRIDGE MA 02142 263428781 501(C)(3) 3074115 BOOK VALUE RESEARCH THE NEW YORK BOTANICAL GARDENS 2900 SOUTHERN BLVD BRONX NY 10458 131693134 501(C)(3) 118360 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA BERKELEY 481 UNIVERSITY HALL BERKELEY CA 94720 194600212 501(C)(3) 149417 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA DAVIS 1 SHIELDS AVENUE DAVIS CA 95616 946036494 501(C)(3) 45523 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE MC 0009 LA JOLLA CA 92093 956006144 501(C)(3) 94881 BOOK VALUE RESEARCH UNIVERSITY OF GEORGIA RESEARCH FDN 200 DW BROOKS DRIVE ATHENS GA 30602 586001998 501(C)(3) 255233 BOOK VALUE RESEARCH UNIVERSITY OF NORTH CAROLINA 103 SOUTH BUILDING CAMPUS BOX 9100 CHAPEL HILL NC 27599 566001393 501(C)(3) 182759 BOOK VALUE RESEARCH UNIVERSITY OF DELAWARE PO BOX 7449 WILKESBARRE PA 18773 516000297 501(C)(3) 58129 BOOK VALUE RESEARCH UNIVERSITY OF MASSACHUSETTS-AMHERST 100 VENTURE WAY STE 201 HADLEY MA 01035 542084125 501(C)(3) 225287 BOOK VALUE RESEARCH UNIVERSITY OF MISSOURI 4011 DISCOVERY DRIVE COLUMBIA MO 65201 436003859 501(C)(3) 186030 BOOK VALUE RESEARCH PENNSYLVANIA STATE UNIVERSITY 227 BEAVER AVE STE 401 STATE COLLEGE PA 16801 246000376 501(C)(3) 68741 BOOK VALUE RESEARCH UNIVERSITY OF TEXAS AT DALLAS 800 W CAMPBELL ROAD RICHARDSON TX 75080 751305566 501(C)(3) 45869 BOOK VALUE RESEARCH UNIVERSITY SOUTHERN CALIFORNIA FILE NO 52095 LOS ANGELES CA 90074 951642394 501(C)(3) 342367 BOOK VALUE RESEARCH WEILL CORNELL MEDICAL COLLEGE 100 BROADWAY 8TH FLOOR NEW YORK NY 10005 133376695 501(C)(3) 129800 BOOK VALUE RESEARCH 37 PART I, LINE 2: SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND THE OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS. - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS, CONSIDERATION OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $XXX OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 BRUCE STILLMAN PHD CEO AND TRUSTEE 749700 0 0 0 25169 0 104606 0 96387 0 975862 0 0 0 JOHN TUKE CHIEF OPERATING OFFICER 489600 0 0 0 57435 0 6120 0 40200 0 593355 0 0 0 DAVID SPECTOR DIRECTOR OF RESEARCH 442750 0 0 0 13540 0 58563 0 27615 0 542468 0 0 0 MICHAEL WIGLER SCIENTIST 395085 0 0 0 5560 0 34901 0 27134 0 462680 0 0 0 DAVID TUVESON SCIENTIST 405000 0 0 0 -4665 0 34901 0 25691 0 460927 0 0 0 CHARLES V PRIZZI VP ADVANCEMENT 365268 0 0 0 -841 0 34903 0 28684 0 428014 0 0 0 NICHOLAS TONKS SCIENTIST 355000 0 0 0 5765 0 34901 0 28653 0 424319 0 0 0 WALTER GOLDSCHMIDTS VP, SPONSORED PROGRAMS 310682 0 20000 0 26558 0 34901 0 28528 0 420669 0 0 0 ADRIAN KRAINER SCIENTIST 355000 0 0 0 3836 0 34901 0 19379 0 413116 0 0 0 STEPHEN MONEZ VP CHIEF FACILITIES OFFICER 280500 0 0 0 28011 0 34901 0 27031 0 370443 0 0 0 LARI C RUSSO CHIEF FINANCIAL OFFICER 319800 0 0 0 4656 0 34901 0 1477 0 360834 0 0 0 PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. THE FOLLOWING PAYMENTS WERE MADE IN 2020: BRUCE STILLMAN $69,705 DAVID SPECTOR $23,662 PART I, LINE 7 A BONUS OF $20,000 WAS PAID TO WALTER GOLDSCHMIDTS, THE EXECUTIVE DIRECTOR OF SPONSORED PROGRAMS FOR OUTSTANDING PERFORMANCE. PART II, COLUMN B (III) OTHER REPORTABLE COMPENSATION OF DR. BRUCE STILLMAN INCLUDES CLUB DUES AND THE TAXABLE PORTION OF A GROUP TERM LIFE POLICY. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. PART II, COLUMN D ADDITIONAL DISCLOSURE COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN WITH A HOME ON ITS CAMPUS AND REQUIRES IT TO BE USED AS A CONDITION OF HIS EMPLOYMENT. THE PRESIDENT NEEDS TO BE AVAILABLE TO RESPOND 24/7 TO ANY LABORATORY EMERGENCY. THE PRESIDENT'S HOME IS AVAILABLE FOR VISITING SCIENTISTS AND SPECIAL EVENTS. THE NON-TAXABLE VALUE OF THE HOME ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D. A NASSAU COUNTY IDA 112559657 631657JS3 2006-06-27 55000000 CONSTRUCTION OF RESEARCH BLDG 0 0 0 A 55000000 739727 1003854 52709095 547324 2009 0 0 1 1 A 0 0 1 0 1 0 0 0 0 A 1 1 1 JP MORGAN 35.000000000000 0 0 1 PALLAS CAPITAL 1.800000000000 1 1 0 A 0 SCHEDULE K, PART II, LINE 11 IDA FEE, NYS BOND ISSUANCE CHARGE, AND TITLE INSURANCE $547,324. SCHEDULE K, PART V THE ORGANIZATION HAS NOT ESTABLISHED WRITTEN PROCEDURES TO ENSURE THAT VIOLATIONS OF FEDERAL TAX REQUIREMENTS ARE TIMELY IDENTIFIED AND CORRECTED THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM. IF SELF-REMEDIATION IS NOT AVAILABLE UNDER APPLICABLE REGULATIONS, THE ORGANIZATION DOES COMPLY WITH THE REQUIREMENTS. CHARLES PRIZZI VP, DEV. MORTGAGE X 400000 326640 0 1 1 326640 DAVID SPECTOR SEE PART V 201566 SEE PART V 0 JOHN TUKE SEE PART V 352386 SEE PART V 0 PART IV, COLUMN(B) BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS - IN 1996, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR DAVID SPECTOR (A THEN NON-KEY EMPLOYEE). IN 2007, MR. SPECTOR WAS PROMOTED TO DIRECTOR OF RESEARCH, A KEY POSITION.- IN 2018, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR JOHN TUKE, CHIEF OPERATING OFFICER, A KEY POSITION.PART IV, COLUMN(B)- JOINT INVESTMENT IN RESIDENCE X 19 316240 MEAN VALUE 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 BUSINESS RELATIONSHIPS MR. LEO GUTHART, A BOARD MEMBER, AND DR. MARILYN SIMONS, CHAIRMAN, HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 4 THE CHARTER OF THE ORGANIZATION WAS AMENDED TO CHANGE THE NAME OF ITS GRADUATE SCHOOL TO "COLD SPRING HARBOR LABORATORY, SCHOOL OF BIOLOGICAL SCIENCE." THE BYLAWS OF THE ORGANIZATION WERE AMENDED TO INCREASE THE TERM LIMIT FOR TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B 990 REVIEW THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE CFO THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, WITH ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO GRANT THORNTON, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT AND RISK COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL OFFICERS, TRUSTEES AND KEY PERSONNEL TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER AND THE OFFICE OF THE GENERAL COUNSEL FOR OFFICERS, TRUSTEES AND KEY PERSONNEL AND THE CONFLICT OF INTEREST AND COMPLIANCE COORDINATOR AND THE OFFICE OF THE GENERAL COUNSEL FOR SENIOR STAFF. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITEE OF THE BOARD OF TRUSTEES UPON RECOMMENDATION OF THE COMPENSATION REVIEW AND ADVISORY SUB-COMMITTEE. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMPENSATION REWIEW AND ADVISORY SUB-COMMITTEE, WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE SUB-COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION BY THE COMPENSATION REVIEW AND ADVISORY SUB-COMMITTEE AND THE EXECUTIVE COMMITTEE IS MAINTAINED BY THE VP OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS FOR PUBLIC INSPECTION AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU. FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF INTEREST RATE SWAP -8,128,837. FAMILY THEATER LLC 1 BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 112013303 INVESTMENT NY -158976 0 CSHL VIDRIO TECHNOLOGIES 44050 ASHBURN PLAZA ASHBURN VA 20147 462183115 INVESTMENT VA 0 0 CSHL ROBERTSON RESEARCH FUND INC PO BOX 100 COLD SPRING HARBOR NY 11724 237224244 SUPPORT DE 501(C)(3) LINE 11 CSHL 1 COLD SPRING HARBOR LABORATORY ASSOC PO BOX 100 COLD SPRING HARBOR NY 11724 111631792 SUPPORT NY 501(C)(3) LINE 11 N/A 0 COLD SPRING HARBOR ASIA (SIP) LTD 218 XIN HU ST SUZHOU CH 215125 SCIENTIFIC CO CH N/A C 1813393 2914013 1.00000 1 CHARITABLE REMAINDER TRUST(3) INVESTMENT NY CSHL T 1.00000 1 UNITRUST(1) INVESTMENT MA CSHL T 0.25000 0 CHARITABLE REMAINDER TRUST(1) INVESTMENT WI CSHL T 1.00000 1 DEPYMED IND 800 THIRD AVE 11TH FLOOR NEW YORK NY 10022 SCIENTIFIC CO NY N/A C 0.32150 0 0 0 1 0 1 0 0 0 0 0 0 1 1 1 1 0 1 1 1 COLD SPRING HARBOR LABORATORY ASIA (SIP) LP Q 51385 CASH BASIS COLD SPRING HARBOR LABORATORY ASIA (SIP) LP R 11880 CASH BASIS