2021-03-18T16:00:39-05:00 2020-08-31 134008324 PRICEWATERHOUSECOOPERS LLP 600 13th Street NW Ste 1000 Washington DC 20005 990 2019-09-01 590735717 Howard Hughes Medical Institute HOWA 3012158500 4000 JONES BRIDGE ROAD CHEVY CHASE MD 208156789 Monique L Marcus Controller 2021-03-18 true Michelle Michalowski P00755304 2024141000 2019 2022-09-23 18:48:47Z Erin O'Shea 4000 JONES BRIDGE ROAD CHEVY CHASE MD 208156789 66258851056 false X WWW.HHMI.ORG X 1953 DE THE HOWARD HUGHES MEDICAL INSTITUTE IS A PHILANTHROPY THAT SERVES SOCIETY THROUGH THE DIRECT CONDUCT OF BIOMEDICAL RESEARCH AND SUPPORT FOR PROGRAMS IN SCIENCE EDUCATION. 11 11 2474 0 16771155 0 2857498 1998109 2653609 3771764 1307204710 1451456638 98665366 10063170 1411381183 1467289681 34069870 56133715 0 504827068 396520729 0 0 542776572 494723216 1081673510 947377660 329707673 519912021 22544411510 23840455852 2405125561 2608555667 20139285949 21231900185 THE HOWARD HUGHES MEDICAL INSTITUTE ("INSTITUTE" OR "HHMI") IS THE NATION'S LARGEST PRIVATE BIOMEDICAL RESEARCH INSTITUTION, WITH OVER $21 BILLION IN NET ASSETS AT THE END OF ITS 2020 FISCAL YEAR. THE MISSION OF THE INSTITUTE HAS REMAINED CONSTANT SINCE ITS FOUNDING IN 1953. AS ITS RESTATED ARTICLES OF INCORPORATION STATE "THE PRIMARY PURPOSE AND OBJECTIVE OF THE HOWARD HUGHES MEDICAL INSTITUTE SHALL BE THE PROMOTION OF HUMAN KNOWLEDGE BY CONDUCTING DISCOVERY RESEARCH AND SCIENCE EDUCATION, PRINCIPALLY WITHIN FIELDS ASSOCIATED WITH BASIC BIOMEDICAL SCIENCES, AND THE DISSEMINATION AND APPLICATION OF THAT KNOWLEDGE FOR THE BENEFIT OF HUMANITY." false false 644804995 2427649 MEDICAL RESEARCH ORGANIZATION ACTIVITIES (A) THE HHMI INVESTIGATOR PROGRAM (B) JANELIA RESEARCH CAMPUS (A) The HHMI Investigator Program The Howard Hughes Medical Institute's approach to biomedical research can be summarized in three words: people, not projects. By employing scientists as HHMI Investigators - rather than awarding research grants - the Institute provides long-term, flexible funding that enables its researchers to pursue their scientific interests wherever they lead. HHMI believes that scientists of exceptional talent and imagination will make fundamental discoveries of lasting scientific value and benefit to humanity if they are given the resources, time, and freedom to pursue challenging questions. HHMI Investigators receive a seven-year appointment, which is renewable pending favorable scientific review. The Institute nurtures the creativity and intellectual daring of scientists who are willing to set aside conventional wisdom or the "easy" question for a fundamental problem that may take many years to solve. Among the characteristics that distinguish this group of scientists are qualities such as creativity, a penchant for risk-taking, and a commitment to discovery, productivity, and perseverance. This unique research model is an imaginative and powerful alternative to funding biomedical research through grants. The HHMI Investigator Program employs more than 250 HHMI researchers, among them 14 Nobel laureates and more than 150 members of the National Academy of Sciences. HHMI Investigators direct Institute research laboratories on the campuses of 55 universities and other research organizations throughout the United States. Since the early 1990s, Investigators have been selected through rigorous national competitions. The Institute solicits applications directly from scientists at medical schools and other research institutions in the United States, with the aim of identifying those who have the potential to make significant contributions to science. HHMI employs an open application process to ensure that it is selecting its researchers from a broad and deep pool of scientific talent. In October 2019, the Institute announced that it is seeking to appoint approximately 20 new Investigators through a national open competition. HHMI anticipates selecting the new Investigators in Summer 2021. (B) Janelia Research Campus HHMI's Janelia Research Campus in Ashburn, Virginia, helps open scientific fields by breaking through technical and intellectual barriers. At Janelia, integrated teams of lab scientists and tool-builders pursue a small number of scientific questions with potential for transformative impact. To drive science forward, methods, results, and tools are shared with the scientific community. In late 2017, Janelia moved to a 15-year research model. Under this new model, Janelia plans to develop a given research area for roughly 15 years to gain traction and attract outside interest, at which point it will cycle to a new area of focus. This approach enables Janelia to stay at the frontier of science, advancing one to three research areas at any point in time. Janelia's first research area is Mechanistic Cognitive Neuroscience. Janelia intends to announce its second research area in the next fiscal year. In January 2020, Ron Vale became Janelia's second Executive Director. Vale had been an HHMI investigator at the University of California, San Francisco. He succeeded Janelia's Founding Executive Director, Gerry Rubin, who remains at Janelia to continue his scientific work. In the current fiscal year, there were 36 group leaders, four fellows, and 11 senior fellows at Janelia, in addition to graduate students, other scientific trainees, and visiting scientists. Janelia also operates a vibrant scientific conference program, bringing many scientists to its campus each year for educational meetings. 84233055 50279066 1344115 SCIENCE EDUCATION AND RESEARCH GRANT PROGRAMS (A) SCIENCE EDUCATION GRANT AND RESEARCH PROGRAMS (B) EDUCATIONAL MEDIA GROUP (C) TANGLED BANK STUDIOS (D) HANNA H GRAY FELLOWS (E) FACULTY SCHOLARS (F) E-LIFE OPEN ACCESS JOURNAL (CONTINUED ON SCHEDULE O) 5883301 5854649 SUPPORT FOR INTERNATIONAL SCIENCE 4c: Support for International Science International Research Scholars Program HHMI continues to support forty-one scientists from 16 countries who were selected in 2017 as International Research Scholars, exceptional early-career scientists poised to advance biomedical research across the globe. HHMI teamed up with the Bill & Melinda Gates Foundation, the Wellcome Trust, and the Calouste Gulbenkian Foundation to develop scientific talent around the world, and with these partners awarded a total of over $29.3 million to this group of scholars. Each researcher receives a five-year award of $715,000, including indirect costs. The award is a major boost for scientists early in their careers and offers the freedom to pursue new research directions and creative projects that could develop into top-notch scientific programs. Africa Health Research Institute in South Africa In 2009, HHMI helped launch the KwaZulu-Natal Research Institute for TB-HIV (K-RITH) in collaboration with the University of KwaZulu-Natal (UKZN) and has provided significant funding to support its research efforts. In 2016, in a move to improve the health of people locally and globally, K-RITH joined forces with the Africa Centre for Population Health to form a groundbreaking new interdisciplinary institute to fight tuberculosis (TB), HIV and related diseases. The new organization, the Africa Health Research Institute (AHRI), is located at the heart of South Africa's TB and HIV co-epidemic in KwaZulu-Natal Province. The effort brings together the Africa Centre's detailed population data from over 100,000 participants, with K-RITH's expertise in basic science and its world-class laboratory facilities. HHMI, together with the Wellcome Trust, continues to provide grant support to AHRI, with the University College London and UKZN serving as significant academic partners. AHRI is committed to working towards the elimination of HIV and TB. To achieve this, the institute will bring together leading researchers from different fields, use cutting-edge science to improve people's health, and will help to train the next generation of African scientists. 734921351 true true false true false false false false false true true false false true true false true false false true true false false false false false true true true true false false false false false false false false true false false false false false true true true true false false true X 585 0 true 2474 true true true true HK IN ID EI IT JA JE JO KS KV LU MY MT AS MP MX MJ NL NZ RP RS SN SF SP SW SZ TW TU BE AE UK BD BR VI CA CJ DA FI FR GM GK false false false false false false false false true false X 11 11 false false false false false false false true true false false true true true true true true true true false CA IL IN MA NY OR AZ X MONIQUE L MARCUS 3012158500 4000 JONES BRIDGE ROAD CHEVY CHASE MD 20815 ALISON F RICHARD PHD TRUSTEE, CHAIR EDUCATION COMM 4.0 0.0 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GROUP LEADER (AS OF 2/20) 40.0 0.0 X 849941 0 117423 HEIDI E HENNING ESQ VP & GENERAL COUNSEL & SECRETARY 40.0 0.0 X 683985 0 66374 JEREMY COMPTON ASSISTANT CONTROLLER 40.0 0.0 X 171487 0 27475 LANDIS ZIMMERMAN VP & CHIEF INVESTMENT OFFICER 40.0 0.0 X 1068101 0 62004 LAUREN T SPILIOTES ESQ DEPUTY GENERAL COUNSEL & ASSISTANT SECRETARY 40.0 0.0 X 465218 0 54435 MONIQUE L MARCUS CONTROLLER 40.0 0.0 X 214061 0 54783 RONALD VALE PHD VP & EXEC DIR, JANELIA RESEARCH CAMPUS (AS OF 2/20) 40.0 0.0 X 513211 0 61448 SEAN B CARROLL PHD VP FOR SCIENCE EDUCATION 40.0 0.0 X 762161 0 55923 STEPHEN JASKO CHIEF FINANCIAL OFFICER & TREASURER (UNTIL 10/19) 40.0 0.0 X 455247 0 40865 SUSAN S PLOTNICK DIRECTOR OF FINANCE & ASSISTANT TREASURER 40.0 0.0 X 248954 0 61603 GREGORY DENINNO MANAGING DIRECTOR, PRIVATE INVESTMENTS 40.0 0.0 X 470617 0 51971 RICHARD A PENDER MANAGING DIRECTOR, GLOBAL EQUITIES 40.0 0.0 X 554482 0 60795 ROBERT J KOLYER JR MANAGING DIRECTOR, DIVERSIFYING ASSETS 40.0 0.0 X 563329 0 59417 ERIC KANDEL MD INVESTIGATOR 40.0 0.0 X 721060 0 66630 GLEN ZWICKER MANAGING DIRECTOR & HEAD OF INVESTMENT OPS 40.0 0.0 X 694793 0 65509 RANDY W SCHEKMAN PHD INVESTIGATOR 40.0 0.0 X 681056 0 56792 RICHARD AXEL MD INVESTIGATOR 40.0 0.0 X 700343 0 59995 TOM CECH PHD INVESTIGATOR 40.0 0.0 X 690494 0 63537 DENNIS MCKEARIN PHD SENIOR SCIENTIFIC OFFICER/FORMER VP OF OPERATIONS 40.0 0.0 X 468787 0 61497 JOHN PALMISANO CHIEF OF BUSINESS SOLUTIONS/FORMER VP FOR INFORMATION TECHNOLOGY 40.0 0.0 X 310991 0 44525 ROBERT TJIAN PHD INVESTIGATOR/FORMER PRESIDENT 40.0 0.0 X 594895 0 72742 14989208 0 1434223 710 true true false ECHO STREET CAPITAL MGR LLC (VIA HHMI II LLC) 850 THIRD AVENUE NEW YORK NY 10022 INVESTMENT MGT 20985295 MAVERICK CAPITAL (VIA SPRUGOS INVESTMENTS IX LLC) 300 CRESCENT COURT 18TH FLOOR DALLAS TX 75201 INVESTMENT MGT 7510443 ARAMARK HARRISON LODGING 1101 MARKET ST PHILADELPHIA PA 19107 CONFERENCE CTR MGT 3845147 SELECT EQUITY GROUP INC (VIA SPRUGOS INVESTMENTS III LLC) 380 LAFEYETTE STREET NEW YORK NY 10003 INVESTMENT MGT 3722140 JONES LANG LASALLE AMERICAS INC 525 WILLIAM PENN PLACE PITTSBURGH PA 15259 FACILITIES MGT 3257601 145 1998109 1998109 RENTAL INCOME 900099 2427649 2427649 TV & FILM INCOME 900099 1344115 1344115 0 0 0 0 3771764 113783652 -20125595 133909247 10517318 10517318 786065 1475022 -688957 0 -688957 -663427 -25530 66090186553 37572786 64790086353 1300100200 37572786 1337672986 37560177 1300112809 CAFETERIA INCOME 900099 168698 168698 INVESTMENT REBATE 900099 -88808 -88808 CASH DISCOUNTS 900099 132640 132640 22279 0 0 22279 234809 1467289681 3771764 16771155 1444748653 43347143 43347143 6931923 6931923 5854649 5854649 13962872 3231619 10731253 1153337 1153337 294737317 255660948 39076369 22229053 18948802 3280251 47670907 41576275 6094632 16767243 14474884 2292359 3963420 1276380 2687040 1964383 3372 1961011 32500 32500 82859112 82859112 43252015 33362772 9889243 0 3198806 1685244 1513562 8579631 4121424 4458207 72423477 65671041 6752436 4797375 4034481 762894 4271652 2281295 1990357 22957411 16663902 6293509 86112671 76222962 9889709 514677 136550 378127 LAB & OTHER SCIENTIFIC SUPPLIES 100756192 100136810 619382 MINOR EQUIPMENT & RENOVATIONS 19776364 18266300 1510064 EQUIPMENT MAINTENANCE 14636246 10324420 4311826 INCOME TAX 123003 0 123003 24504281 9554818 14949463 0 947377660 734921351 212456309 0 790226562 1304223022 0 0 8703365 10887140 1937852035 1174643472 749921018 763208563 5272971863 3935124210 15420751528 16794781566 0 301837174 1032231351 22544411510 23840455852 596211961 428640716 103646545 82362891 768317285 770096096 0 39313915 39352107 897635855 1288103857 2405125561 2608555667 X 20139285949 21231900185 20139285949 21231900185 22544411510 23840455852 X 519912021 404908895 0 0 0 167793320 X false true X true false X BRIGHAM & WOMEN'S HOSPITAL BOSTON MA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 32500 false true 4278 36778 false Schedule C, Part II-B, Line 1 DETAILED DESCRIPTION OF THE LOBBYING ACTIVITY OTHER ACTIVITIES, SCHEDULE C, PART II-B, LINE 1g (OTHER ACTIVITIES) AMOUNTS PAID TO LOBBYING FIRM FOR DIRECT CONTACT WITH FEDERAL AND STATE LEGISLATORS AND THEIR STAFFS ON PENDING LEGISLATIVE MATTERS. OTHER ACTIVITIES, SCHEDULE C, PART II-B, LINE 1i (OTHER ACTIVITIES) DURING THE FISCAL YEAR, HHMI WAS A MEMBER OF A NUMBER OF NON-PROFIT ORGANIZATIONS THAT ENGAGED IN LOBBYING ACTIVITIES ON BEHALF OF THEIR MEMBERSHIPS. HHMI IS REPORTING AS LOBBYING EXPENDITURES A PORTION OF THE MEMBERSHIP DUES THAT HHMI PAID TO THESE ORGANIZATIONS. 807737 90410181 91217918 10248413 756574696 377255249 389567860 351020735 335954807 15065928 574213544 440768064 133445480 921448 153655281 20665352 133911377 763208563 PRIVATE EQUITY & REAL ESTATE 5841084282 F DISTRESSED & CREDIT SENSITIVE 2206190654 F HEDGED EQUITY 2307393966 F MARKET NEUTRAL 2077656400 F EQUITY COMMINGLED 4362456264 F 16794781566 SHORT POSITIONS 120898890 INVESTMENT PURCH PENDING SALES 37783336 CURRENCY EXCH CONTRACTS PAY 9285353 DEFERRED COMPENSATION LIAB 59629260 SWAP UNREALIZED LOSS 237564713 INVESTMENT MANAGEMENT FEES PAYABLE 3400673 DEFERRED INCOME 1508585 INTEREST & DIVIDENDS ON SHORT STOCKS & BONDS 412283 CONTRACT FOR DIFFERENCES LIABILITY 1263700 FUTURE CONTRACTS LIABILITY POSITION 9121632 REPURCHASE OBLIGATIONS 604997573 LEASE OBLIGATIONS 157498335 EQUITY SWAPS - LIABILITIES 344412 OBLIGATION TO RETURN SECURITIES LENDING COLLATERAL 44395112 1288103857 X Schedule D, Part X, Line 2 FIN 48 (ASC 740) footnote In accordance with the guidance on accounting for uncertainty in income taxes, management regularly evaluates its tax positions and does not believe the Institute has any uncertain tax positions that result in a material impact on the Institute's consolidated financial position or change in total net assets. The Institute is subject to routine audits by taxing jurisdictions. The Institute believes it is no longer subject to income tax examinations for fiscal years prior to August 31, 2016. true Central America and the Caribbean Investments 7724488361 North America (Canada & Mexico only) Investments 133517973 Europe (Including Iceland and Greenland) Investments 1178072896 East Asia and the Pacific Investments 170303390 Sub-Saharan Africa Investments 1678612 Central America and the Caribbean ,Investment Management Fees 8806397 North America (Canada & Mexico only) ,Investment Management Fees 402826 Europe (Including Iceland and Greenland) ,Investment Management Fees 14981722 Europe (Including Iceland and Greenland) Grantmaking 3854649 Sub-Saharan Africa Grantmaking 2000000 0 0 0 0 0 0 9238106826 0 9238106826 Europe (Including Iceland and Greenland) Medical Research 3648950 WIRE Europe (Including Iceland and Greenland) Open Access 121715 WIRE Europe (Including Iceland and Greenland) Open Access 83984 WIRE Sub-Saharan Africa Science Education 2000000 WIRE 4 0 true true true true true false Schedule F, Part I, Line 2 Procedures for monitoring use of grant funds DURING ITS 2020 FISCAL YEAR, HHMI CONTINUED TO SUPPORT INTERNATIONAL RESEARCH SCHOLARS SELECTED THROUGH ONE OR MORE COMPETITIONS OPEN TO ALL ELIGIBLE APPLICANTS. THE PROCEDURES DESCRIBED IN THIS SECTION ARE RELATED TO GRANTS THAT WERE ACCRUED IN A PREVIOUS FISCAL YEAR. ELIGIBILITY REQUIREMENTS INCLUDED, BUT WERE NOT LIMITED TO, A FULL-TIME APPOINTMENT AT A NONPROFIT SCIENTIFIC RESEARCH ORGANIZATION IN A COUNTRY OTHER THAN THE UNITED STATES, AND A RESEARCH FOCUS ON BASIC BIOLOGICAL PROCESSES OR DISEASE MECHANISMS. QUALIFIED APPLICANTS WERE EVALUATED BY A PANEL OF SCIENTIFIC EXPERTS WITH FINAL SELECTIONS MADE BY HHMI LEADERSHIP. A SMALL NUMBER OF GRANTS ARE AWARDED BASED ON DIRECT APPLICATION TO HHMI FOR SPECIFIC INITIATIVES DIRECTLY RELATED TO SCIENCE EDUCATION. THE DISBURSEMENT OF GRANT FUNDS TO SUPPORT THE WORK OF INTERNATIONAL EARLY CAREER SCIENTISTS AND SENIOR INTERNATIONAL RESEARCH SCHOLARS IS MADE IN ACCORDANCE WITH ALL APPLICABLE U.S. LAWS. FUNDS ARE PAID TO AN INSTITUTIONAL ACCOUNT. IN ORDER TO MONITOR THE ACTIVITIES AND PRODUCTIVITY OF THE GRANTS, EACH SCIENTIST IS REQUIRED TO SUBMIT AN ANNUAL PROGRESS REPORT CONCERNING HIS OR HER RESEARCH AND EACH GRANTEE INSTITUTION IS REQUIRED TO SUBMIT ANNUAL FINANCIAL REPORTS. THESE REPORTS ARE REVIEWED BY HHMI STAFF. SITE VISITS AND AUDITS ARE CONDUCTED IF WARRANTED AND GRANTEES ATTEND SCIENTIFIC MEETINGS OF HHMI US-BASED SCIENTISTS. Schedule F, Part I, Line 2 PROCEDURES FOR MONITORING USE OF GRANT FUNDS DURING ITS 2020 FISCAL YEAR, HHMI CONTINUED TO SUPPORT INTERNATIONAL RESEARCH SCHOLARS SELECTED THROUGH ONE OR MORE COMPETITIONS OPEN TO ALL ELIGIBLE APPLICANTS. THE PROCEDURES DESCRIBED IN THIS SECTION ARE RELATED TO GRANTS THAT WERE ACCRUED IN A PREVIOUS FISCAL YEAR. ELIGIBILITY REQUIREMENTS INCLUDED, BUT WERE NOT LIMITED TO, A FULL-TIME APPOINTMENT AT A NONPROFIT SCIENTIFIC RESEARCH ORGANIZATION IN A COUNTRY OTHER THAN THE UNITED STATES, AND A RESEARCH FOCUS ON BASIC BIOLOGICAL PROCESSES OR DISEASE MECHANISMS. QUALIFIED APPLICANTS WERE EVALUATED BY A PANEL OF SCIENTIFIC EXPERTS WITH FINAL SELECTIONS MADE BY HHMI LEADERSHIP. A SMALL NUMBER OF GRANTS ARE AWARDED BASED ON DIRECT APPLICATION TO HHMI FOR SPECIFIC INITIATIVES DIRECTLY RELATED TO SCIENCE EDUCATION. THE DISBURSEMENT OF GRANT FUNDS TO SUPPORT THE WORK OF INTERNATIONAL EARLY CAREER SCIENTISTS AND SENIOR INTERNATIONAL RESEARCH SCHOLARS IS MADE IN ACCORDANCE WITH ALL APPLICABLE U.S. LAWS. FUNDS ARE PAID TO AN INSTITUTIONAL ACCOUNT. IN ORDER TO MONITOR THE ACTIVITIES AND PRODUCTIVITY OF THE GRANTS, EACH SCIENTIST IS REQUIRED TO SUBMIT AN ANNUAL PROGRESS REPORT CONCERNING HIS OR HER RESEARCH AND EACH GRANTEE INSTITUTION IS REQUIRED TO SUBMIT ANNUAL FINANCIAL REPORTS. THESE REPORTS ARE REVIEWED BY HHMI STAFF. SITE VISITS AND AUDITS ARE CONDUCTED IF WARRANTED AND GRANTEES ATTEND SCIENTIFIC MEETINGS OF HHMI US-BASED SCIENTISTS. true Cold Spg Hbr Lab Cold Spg Hbr Lab Cold Spg Hbr NY 11724 112013303 501 (C) (3) 1500000 Advanced Courses Jackson Lab Jackson Lab Bar Harbor ME 04609 010211513 501 (C) (3) 900000 Advanced Courses Marine Bio Lab Marine Bio Lab Woods Hole MA 02543 042014690 501 (C) (3) 1950000 Advanced Courses Brown Univ Brown Univ Providence RI 02912 050258809 501 (C) (3) 10927 Hanna Gray Scholars CA Inst of Technology CA Inst of Technology Pasadena CA 91125 951643307 501 (C) (3) 394627 Hanna Gray Scholars CA Inst of Technology CA Inst of Technology Pasadena CA 91125 951643307 501 (C) (3) 10000 Hanna Gray Scholars Columbia University Columbia University New York NY 10032 135598093 501 (C) (3) 372773 Hanna Gray Scholars Danforth Plant Science Ctr Danforth Plant Science Ctr St Louis MO 63132 311584621 501 (C) (3) 372773 Hanna Gray Scholars FHutchinson Cncr Ctr FHutchinson Cncr Ctr Seattle WA 98109 237156071 501 (C) (3) 10000 Hanna Gray Scholars FHutchinson Cncr Ctr FHutchinson Cncr Ctr Seattle WA 98109 237156071 501 (C) (3) 21536 Hanna Gray Scholars Harvard Medical Sch Harvard Medical Sch Cambridge MA 02138 042103580 501 (C) (3) 469844 Hanna Gray Scholars Memorial Sloan - 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HHMI AWARDS INSTITUTIONAL GRANTS IN SUPPORT OF PRECOLLEGE, UNDERGRADUATE, AND GRADUATE EDUCATION IN THE US THROUGH PERIODIC NATIONAL COMPETITIONS FOR WHICH SELECT INSTITUTIONS ARE ELIGIBLE TO APPLY. EACH PROGRAM SETS OUT SPECIFIC CRITERIA AND OBJECTIVES, PROPOSALS ARE EVALUATED BY A PANEL OF EXPERTS WITH THE FINAL SELECTION MADE BY HHMI LEADERSHIP. THE INSTITUTE ALSO AWARDS FELLOWSHIPS TO DOCTORAL STUDENTS (THE GILLIAM FELLOWS). THESE GRANTS ARE ALSO AWARDED ON A COMPETITIVE BASIS. A SMALL NUMBER OF GRANTS ARE AWARDED BASED ON DIRECT APPLICATION TO HHMI FOR SPECIFIC INITIATIVES DIRECTLY RELATED TO SCIENCE EDUCATION. THE DISBURSEMENT OF FUNDS OCCURS PRINCIPALLY THROUGH BIOMEDICAL RESEARCH INSTITUTIONS, UNIVERSITIES, AND COLLEGES. HHMI GRANTEES ARE REQUIRED TO FILE ANNUAL PROGRESS REPORTS THAT DETAIL EXPENDITURES IN ACCORDANCE WITH THE TERMS OF THE GRANT, AS WELL AS FULL DESCRIPTION OF PROGRAM ACTIVITIES UNDERTAKEN WITH THE FUNDS. THESE ARE SUBJECT TO CAREFUL REVIEW AND ANALYSIS BY HHMI STAFF WITH MORE DETAILED REVIEW BY THE INSTITUTE AUDITORS AS WARRANTED. THE INSTITUTE CONTINUES TO ASSESS REPORTING REQUIREMENTS TO ENSURE THE QUALITY AND TIMELINESS OF BOTH FINANCIAL AND PROGRAMMATIC REPORTS. IN ADDITION TO SITE VISITS MADE BY HHMI STAFF, PROGRAM DIRECTORS MEET ON A REGULAR BASIS TO DISCUSS THEIR ACTIVITIES AND SHARE INFORMATION ABOUT BEST EDUCATIONAL PRACTICES. X X true true X X X X X X false false false false false false false true true true ERIN H O'SHEA PHD PRESIDENT 1370202 0 0 0 22422 0 28000 0 29747 0 1450371 0 0 0 SEAN B CARROLL PHD VP FOR SCIENCE EDUCATION 739693 0 0 0 22468 0 28000 0 27923 0 818084 0 0 0 DAVID CLAPHAM PHD VP & CHIEF SCIENTIFIC OFFICER 669434 0 0 0 150448 0 28000 0 40129 0 888011 0 0 0 HEIDI E HENNING ESQ VP & GENERAL COUNSEL & SECRETARY 661865 0 0 0 22120 0 28000 0 38374 0 750359 0 0 0 GERALD M RUBIN PHD VP&EXEC DIR, JRC (UNTIL 1/20); SENIOR GROUP LEADER (AS OF 2/20) 771767 0 15000 0 63174 0 28000 0 89423 0 967364 0 0 0 RONALD VALE PHD VP & EXEC DIR, JANELIA RESEARCH CAMPUS (AS OF 2/20) 464995 0 45000 0 3216 0 28000 0 33448 0 574659 0 0 0 LANDIS ZIMMERMAN VP & CHIEF INVESTMENT OFFICER 1041595 0 0 0 26506 0 28000 0 34004 0 1130105 0 0 0 BODO STERN PHD CHIEF OF STRATEGIC INITIATIVES 360258 0 0 0 19898 0 28000 0 14604 0 422760 0 0 0 STEPHEN JASKO CHIEF FINANCIAL OFFICER & TREASURER (UNTIL 10/19) 370153 0 33000 0 52094 0 28000 0 12865 0 496112 0 0 0 SUSAN S PLOTNICK DIRECTOR OF FINANCE & ASSISTANT TREASURER 247301 0 0 0 1653 0 25783 0 35820 0 310557 0 0 0 MONIQUE L MARCUS CONTROLLER 212715 0 0 0 1346 0 22225 0 32558 0 268844 0 0 0 JEREMY COMPTON ASSISTANT CONTROLLER 164278 0 7000 0 209 0 16526 0 10949 0 198962 0 0 0 LAUREN T SPILIOTES ESQ DEPUTY GENERAL COUNSEL & ASSISTANT SECRETARY 438958 0 4100 0 22160 0 28000 0 26435 0 519653 0 0 0 GREGORY DENINNO MANAGING DIRECTOR, PRIVATE INVESTMENTS 450475 0 0 0 20142 0 28000 0 23971 0 522588 0 0 0 ROBERT J KOLYER JR MANAGING DIRECTOR, DIVERSIFYING ASSETS 540417 0 0 0 22912 0 28000 0 31417 0 622746 0 0 0 RICHARD A PENDER MANAGING DIRECTOR, GLOBAL EQUITIES 531662 0 0 0 22820 0 28000 0 32795 0 615277 0 0 0 ERIC KANDEL MD INVESTIGATOR 689385 0 0 0 31675 0 28000 0 38630 0 787690 0 0 0 RICHARD AXEL MD INVESTIGATOR 685437 0 0 0 14906 0 28000 0 31995 0 760338 0 0 0 GLEN ZWICKER MANAGING DIRECTOR & HEAD OF INVESTMENT OPS 424919 0 250171 0 19703 0 28000 0 37509 0 760302 0 0 0 TOM CECH PHD INVESTIGATOR 656810 0 0 0 33684 0 28000 0 35537 0 754031 0 0 0 RANDY W SCHEKMAN PHD INVESTIGATOR 647711 0 0 0 33345 0 28000 0 28792 0 737848 0 0 0 ROBERT TJIAN PHD INVESTIGATOR/FORMER PRESIDENT 565840 0 0 0 29055 0 28000 0 44742 0 667637 0 0 0 DENNIS MCKEARIN PHD SENIOR SCIENTIFIC OFFICER/FORMER VP OF OPERATIONS 450383 0 12450 0 5954 0 28000 0 33497 0 530284 0 0 0 JOHN PALMISANO CHIEF OF BUSINESS SOLUTIONS/FORMER VP FOR INFORMATION TECHNOLOGY 289919 0 0 0 21072 0 28000 0 16525 0 355516 0 0 0 Schedule J, Part I, Line 1a First-class or charter travel Under HHMI policies, HHMI reimburses its Trustees for the reasonable cost of airfare one class above coach for domestic or international flights, and its President, Vice Presidents, and certain advisory group members for the reasonable cost of airfare at one class above coach for domestic or international flights of three hours or more. If a particular aircraft does not have a business class section, one class above coach may be first class. As an alternative, HHMI may reimburse for the cost of coach airfare plus the cost of an upgrade to travel at one level above coach for a flight of three hours or more. Such travel reimbursements are excluded from taxable compensation in accordance with HHMI's accountable plan. During fiscal year 2020, one officer, one trustee and one key employee flew first class. Schedule J, Part I, Line 1a Housing allowance or residence for personal use In fiscal year 2020, HHMI's President resides in an HHMI-owned house on the headquarters campus, for which she pays HHMI at a fair market rental rate. Because HHMI's President was also required to spend time at HHMI's Janelia campus, where she runs a research laboratory as well as attends meetings and participates in conferences, HHMI made an apartment available to her at that location. HHMI's Vice President and Executive Director, Janelia Research Campus, is required as a condition of employment to reside on the Janelia campus in housing built for that purpose. HHMI's Vice President and Chief Scientific Officer currently resides in an HHMI-owned apartment on the headquarters campus, for which he pays HHMI at a fair market rental rate. The Institute provides a housing assistance program for one individual who relocated to take a position with HHMI, which may be used to cover the individual's mortgage or rent payments. The housing assistance program is treated as additional taxable compensation. Schedule J, Part I, Line 7 Non-fixed payments HHMI has an incentive compensation plan for its senior investment staff under which a portion of their compensation is determined based on performance of HHMI's portfolio against market benchmarks. HHMI also makes one-time payments to some of its other employees, including but not limited to officers, in recognition of exceptional performance. Schedule J, Part I, Line 8 Payments on contract that is subject to the initial contract exception When recruiting individuals for high-level positions, HHMI typically enters into initial contracts. HHMI has entered into initial contracts with a number of Vice Presidents. HHMI's standard practice is to have independent compensation consultants regularly review and confirm the reasonableness of compensation of HHMI's officers and key employees, regardless of whether the initial contract exception applies. A LOUDOUN COUNTY IDA 521310230 545910AL5 2003-02-27 500000000 FINANCE CONSTRUCTION OF JANELIA RESEARCH CAMPUS false false false B LOUDOUN COUNTY IDA 521310230 545910AP6 2009-10-02 23000000 FINANCE CONSTRUCTION OF JANELIA APT false false false C LOUDOUN COUNTY IDA 521310230 545910AQ4 2013-05-15 33130000 FINANCE CONSTRUCTION OF JANELIA APT B false false false D MEDCO 521376562 574205FY1 2008-02-15 83500000 FINANCE CONSTRUCTION OF HQ EXPANSION false false false A 0 0 534028000 0 54203000 0 200000 0 0 479625000 0 0 2006 false false true true B 0 0 23022042 0 904914 0 0 0 43305 22073823 0 0 2011 false false true true C 0 0 33145417 0 1173864 0 397311 0 0 31574242 0 0 2015 false false true true D 0 0 84953297 0 5954687 0 631673 0 0 78366937 0 0 2010 false false true true A false false true true true true 0.0 0.0 0.0 false false false B false false true true false 0.0 0.0 0.0 false false false C false false true true false 0.0 0.0 0.0 false false false D false false true true false 0.0 0.0 0.0 false false false A true true true WELLS FARGO 20.0 false false false false true B false false false true true true JPMORGAN CHASE 30.0 false false false false true C false false false true true true WELLS FARGO BANK 30.0 false false false false true D false false false true true true JP MORGAN 30.0 false false false false true A false B false C false D false Schedule K, Part I Part I The bond issued February 27, 2003 also includes CUSIPS 545910AM3, 545910AG6, 545910AH4, 545910AJO, and 545910AK7. Schedule K, Part II, Line 3 Part II, Line 3 - Total Proceeds The bonds issued on 2/27/2003, 10/2/2009, 2/15/2008, 5/15/2013 and 6/6/2019 included investment proceeds that made up the difference between the amount of the bond issue and the total proceeds. Schedule K, Part IV Part IV - Name of Provider The other counterparties pertaining to the bond issued on 2/27/2003 were Bank of America (30 years), Goldman Sachs (30 years) and JP Morgan (30 years.) Schedule K, Part IV, Line 4a Part IV, Line 4a Yes, for the bonds issued on 2/27/2003, 10/2/2009, 2/15/2008, 5/15/2008 and 5/15/2013. Schedule K, Part IV, Line 2c COLUMN B Issuer name: LOUDOUN COUNTY IDA The calculation for computing no rebate due was performed on 10/07/2019 Schedule K, Part IV, Line 2c COLUMN C Issuer name: LOUDOUN COUNTY IDA The calculation for computing no rebate due was performed on 05/09/2018 Schedule K, Part IV, Line 2c COLUMN D Issuer name: MEDCO The calculation for computing no rebate due was performed on 02/19/2018 A MEDCO 521376562 574205FZ8 2008-05-15 76500000 REFUNDING OF ISSUE TO FINANCE HQ CONSTRUCTION ORIGINALLY ISSUED 11/08/1990 false false false B LOUDOUN COUNTY IDA 521310230 54601TAA4 2019-06-06 51773425 FINANCE CONSTRUCTION OF JANELIA APT C false false false A 0 0 76500000 0 0 0 0 0 0 0 76500000 0 1993 true false true true B 0 0 52378424 0 0 0 772575 0 0 39113585 0 12494807 false false false true A 0.0 0.0 0.0 B false false true true false 0.0 0.0 0.0 false false false A false true true true GOLDMAN SACHS 30.0 false false false false true B false true false false false false false false true A false B false VIKNESH SIVANATHAN SPOUSE 137607 SALARY & BENEFITS false Schedule L, Part IV, Column (d) REPORTABLE BUSINESS TRANSACTIONS AN OFFICER OF THE CORPORATION IS MARRIED TO A STAFF MEMBER. Form 990, Part I, Line 15 Salaries, other compensation, employee benefits - PY vs CY Starting in FY20, the Institute reports other components of periodic pension cost outside of operating expenses. These amounts are to be included in "other changes in net assets". The net effect of this change results in a large reduction in salaries and benefits expense on the Form 990, page 1, Part I, line 15, which is attributable to actuarial pension adjustments. The Institute included $124 million of other components of periodic pension cost on its fiscal year 2019 Form 990 that arose from the postretirement benefit plan. This loss is included on Part I, line 15 of the current year Form 990 in the prior year column. (See ASU 2017-07, Compensation - Retirement Benefits (Topic 715): Improving the Presentation of Net Periodic Pension Cost and Net Periodic Postretirement Benefit Cost) Form 990, Part III, Line 4b Program Service Description Through its Science Education initiatives, HHMI invests in individuals, institutions, initiatives, and media that advance learning. HHMI also nourishes the public understanding of science by bringing important stories of scientific discovery to a wide variety of audiences. (A) Science Education Grant and Research Programs HHMI's Inclusive Excellence initiative aims to help colleges and universities increase their capacity for inclusion in science of all students, especially those students who come to college via non-traditional pathways. These "new majority" students include persons from groups excluded because of their ethnicity or race, first-generation college students, students who transfer from community colleges, and working adults with families. In two earlier rounds of competition, 812 proposals from 594 colleges and universities were submitted from which 57 institutions were selected to receive 5-year grants beginning in 2017 and 2018. In the spring of 2019, HHMI announced the third round of competition for the initiative, with the goal of adding up to 30 more schools to the program in the fall of 2021; 354 proposals were submitted. HHMI completed a pilot project with the University of Maryland, Baltimore County (UMBC), the Pennsylvania State University, and the University of North Carolina at Chapel Hill, in the collaborative Meyerhoff Adaptation Project. The pilot project aims to learn whether elements of UMBC's highly regarded Meyerhoff Scholars Program can be adapted and successfully implemented at other research universities. Building on what is being learned through the Meyerhoff Adaptation Project pilot, in 2019 HHMI announced a new initiative called Driving Change, with plans to make up to six grants to U.S. research universities beginning in the fall of 2021. In response to the call for proposals, 99 universities submitted Letters of Intent. Driving Change grantees will: (i) create and implement their version of UMBC's Meyerhoff Scholars Program; (ii) develop and implement activities aimed at creating a more inclusive STEM learning environment for all students; and (iii) actively participate in a learning community of Driving Change institutions. The HHMI Professors program empowers accomplished science faculty at leading research universities to apply the rigor and creativity that make them successful in research to important challenges in undergraduate science education. HHMI Professors model fundamental reform in the way undergraduate science is taught at research universities through innovative teaching and are encouraged to share ideas and collaborate with their peers to improve science education. In addition to their commitment to student learning, these highly visible scientists have developed new educational resources and implemented novel mentoring programs to support students. To date, 69 scientists have been named HHMI Professors. In 2020, the Science Education Alliance Phage Hunters Advancing Genomics and Evolutionary Science (SEA-PHAGES) added 16 colleges and universities to the alliance. SEA-PHAGES is a two-semester course-based research experience designed to replace the traditional introductory biology lab sequence in the undergraduate curriculum. Developed in 2008, the SEA-PHAGES program has been implemented at more than 150 colleges and universities and has produced more than 100 publications, many including SEA-PHAGES students and faculty as co-authors. In the fall of 2019, more than 6,000 students, primarily college freshmen and sophomores, participated in the program. HHMI's Gilliam Fellowships for Advanced Study Program supports PhD students who plan to pursue careers in academic science and who are committed to advancing diversity and inclusion in science. In FY20, HHMI made 45 new awards. Each award provides an annual payment of $50,000, which includes the fellow's stipend, a research allowance for the fellow, an institutional allowance to offset tuition and fees, and an allowance to support diversity and inclusion activities on the fellow's campus. In addition to supporting the graduate student, the award provides the Fellow's dissertation adviser training in culturally aware mentoring. In 2020, HHMI continued support of three laboratories that provide professional development to scientists. The three grantee institutions are the Cold Spring Harbor Laboratory on Long Island, New York, the Jackson Laboratory in Bar Harbor, Maine, and the Marine Biological Laboratory in Woods Hole, Massachusetts. Together, the three institutions are important resources for the scientific community, annually engaging hundreds of scientists at different levels of professional development-graduate students, postdoctoral scientists, and faculty members-in advanced courses and workshops, mainly during the summer. In 2020, HHMI continued support of K-12 science education activities in Maryland and Virginia. These local grantee organizations include: the Audubon Naturalist Society, the Chesapeake Bay Foundation, Loudoun County (Virginia) Public Schools, Montgomery County (Maryland) Public Schools, and Prince George's (Maryland) Public Schools. HHMI funded programs include: nature-based learning activities for students, parents, teachers, and principals; research internships for high school students; science curriculum development; professional development for middle school and high school teachers; and resource centers that enable teachers to provide authentic laboratory experiences for their students. (B) Educational Media Group HHMI BioInteractive, a resource for general high school biology, AP/IB biology, and college-level introductory biology teachers, has been in existence for nearly two decades and receives 3 million visitors per year through its website. The Educational Media Group produces the science education resources for BioInteractive, including interactive multimedia materials, scientific animations, videos, in-class activities, as well as award-winning, broadcast-quality short films. The resources are then made available to educators online, through the BioInteractive.org website and YouTube channel, and at workshops and conventions. In March 2020, the BioInteractive team met the challenge and transitioned its activities to the virtual world due to COVID 19 restrictions. On July 6-7, 2020, approximately 30 high school and higher education educators met virtually for the fourth annual HHMI Educator Professional Development Conference. The two-day conference focused on community building, implicit bias awareness and inclusive learning environments. The featured speaker was Dr. Mays Imad, Professor of Genetics, Biotechnology and Bioethics at Pima Community College. On July 20-21, 2020, BioInteractive convened the approximately 30 educators for a two-day virtual workshop to develop strategies and plans around inclusive teaching. Looking ahead, HHMI BioInteractive announced the selection of 30 educators for the first BioInteractive Ambassador Academy in September 2020. This 2020-2023 cohort will work with BioInteractive to spread inclusive and equitable science teaching practices. The Academy is a research-based professional development pathway focused on building professional learning leadership capacity and will include workshops, coaching, professional networking, and opportunities to participate in and present at science education conferences. In 2020 the Educational Media Group also developed and released two multipart animation series - one exploring the process of cellular respiration and one the biology of SARS-CoV-2 - and a short classroom film on evolution; Out of the Ashes: Dawn of the Age of Mammals. Form 990, Part III, Line 4b Program Service Description (Continued) (C) Tangled Bank Studios Tangled Bank Studios, LLC, is a mission-driven production company dedicated to crafting compelling, immersive films about science and scientists for broadcast, theatrical, and digital distribution. As an extension of HHMI's longstanding science education mission, the studio aims to produce programs that capture compelling stories of discovery across all branches of scientific inquiry, with particular focus on the life sciences. Together with world class partners, the studio creates innovative outreach initiatives to amplify the reach and deepen the impact around each project. Despite enormous challenges presented by the global pandemic, Tangled Bank was able to move forward with planned productions, launches and events this year. New films released this year: NATURE'S FEAR FACTOR - This film exploring how fear affects animal behavior in different ecosystems debuted in October 2020 on NOVA/PBS and now streams for free on the PBS website. The film features exclusive footage of the reintroduction of wild dogs (or painted wolves) to Gorongosa National Park in Mozambique. Tangled Bank also screened the film at the Jackson Wild film festival, the Nature Environment Wildlife Filmmakers (NEWF) Congress, and the Society for Environmental Journalists virtual conference followed by panel discussions. OLIVER SACKS: HIS OWN LIFE - Scheduled to debut theatrically in the spring of 2020, after debuting at the Telluride Film Festival in 2019, the film ultimately launched theatrically in September. With most theaters closed, the film debuted in the U.S. and Canada mostly virtually through an innovative new platform called Kino Marquis that allowed patrons to watch the film at home. The NY Times selected the film as a "critic's pick" and wrote a glowing review of the film. The NYT review is one of a long list of positive reviews including Variety which called it "a tender and thrilling look at the sacred demons that drove the poetic neurologist of 'Awakenings,'" Science, AARP which listed it as one of the 20 must see films this Fall, and Gold Derby, which listed the film as a serious awards contender. Film Updates: THE SERENGETI RULES - The film, which debuted at the Tribeca film festival in 2018 and then aired on Nature/PBS in 2019 won the Emmy for Best Nature Documentary in 2020. The film continued to be shown at virtual film festivals and in classrooms and is available to stream for free on PBS. INVENTING TOMORROW - The film, which premiered at Sundance in 2018, was featured at film festivals around the world premiered on POV on PBS in July 2019, won the prestigious Peabody award in 2020. The film was screened at the NAAEE virtual conference and will be screened at the NABT virtual conference. SPILLOVER - Due to an increase in demand for information about viruses that spill over from animals to humans, PBS requested an additional broadcast of the film. It was rebroadcast on March 19 with a slate communicating to audiences that the science explored in the film applied to the coronavirus. OUR GORONGOSA - The film debuted theatrically at the Wild and Scenic Film Festival in January, was broadcast to virtual audiences at the Smithsonian's Earth Optimism Summit in April and the Wildscreen virtual film festival in October followed by panel discussions with scientists and filmmakers. The film won awards from the Portland Eco Film Festival and the Friday Harbor Film Festival and earned an honorable mention for the Inspiring Change award from the Silbersalz Science & Media Awards. The film was also distributed by Impact (Ed) international to more than 1900 learning centers that support school and club learning in Nigeria, Ghana and Kenya. Efforts to screen the film for the 200,000+ people who live in the Park's buffer zone were delayed by COVID but will get underway once it is safe to do so. (D) Hanna H. Gray Fellows Program In June 2016, HHMI announced a new program to recruit and retain early-career scientists who are from gender, racial, ethnic, and other groups underrepresented in the life sciences, including those from disadvantaged backgrounds. Through an open competition, HHMI selects scientists early in their training to become Hanna Gray Fellows. Each fellow will receive funding for up to eight years, with mentoring and active involvement within the HHMI community. In this two-phase program, fellows will be supported from early postdoctoral training through several years of a tenure-track faculty position. Through the current fiscal year, HHMI has selected 45 fellows to support, and will invest a total of up to $75 million for their support over eight years. A fourth competition is currently underway, with plans to select an additional 15 by the winter of 2020. (E) Faculty Scholars HHMI, together with the Simons Foundation, and the Bill & Melinda Gates Foundation continued to provide grant support to 66 Faculty Scholars during the current fiscal year, early-career scientists who have great potential to make unique contributions to their field. The scientists represent 36 institutions across the United States. Through the Faculty Scholars Program, HHMI and its partner philanthropies will spend up to $67.5 million over five years to support the scientists selected to receive grants. The range of five-year grant award totals is $600,000-$1.8 million, including indirect costs. Faculty Scholars are required to devote at least 50 percent of their total effort to the direct conduct of research. (F) eLife Open Access Journal HHMI, together with the Wellcome Trust and the Max Planck Society, continues to support a top tier scientific journal called eLife. The online journal follows an open access model and is directed by practicing scientists. eLife Sciences Publications, Ltd., is an independent non-profit entity governed by a separate board of directors. eLife began publishing research articles in late 2012 and is publishing articles online on a regular basis. Form 990, Part VI, Line 11b Review of form 990 by governing body The Howard Hughes Medical Institute's Form 990 is initially prepared by its Tax Compliance Department, in coordination with other HHMI departments as needed. The draft return is reviewed by senior management of HHMI and by attorneys in HHMI's Office of the General Counsel. Following these reviews and the resolution of any questions that have been raised, the draft return is reviewed by HHMI's outside tax preparer. Finally, a copy of the return is provided to the members of HHMI's Board of Trustees so that they have an opportunity to review and comment on the return before it is filed. Form 990, Part VI, Line 12c Conflict of interest policy In addition to HHMI's code of conduct, which addresses conflicts of interest and applies to all HHMI employees, officers, Trustees, and advisors, HHMI has specific conflict of interest policies for different categories of personnel. Under the HHMI policies that apply to Trustees, officers, and key employees, these individuals must disclose annually interests that could give rise to conflicts of interest, and must certify annually their compliance with the conflict of interest policy that applies to them. Annual disclosures and certifications are reviewed by HHMI's Office of the General Counsel, and by other HHMI managers as needed. The conflict of interest policy covering HHMI's Trustees also requires each Trustee to disclose to the other Trustees any actual or apparent conflict of interest with respect to a proposed HHMI transaction. If the other Trustees decide that there is only the appearance of a conflict of interest, and that it could not reasonably be considered to affect the independent, unbiased judgment of the disclosing Trustee with respect to the transaction at issue, no further action is required to address the apparent conflict. In all other cases, including all actual conflicts of interest, the disclosing Trustee is not permitted to participate in the deliberation or decision regarding the transaction under consideration, and must leave the room during the deliberation and vote. The conflict of interest policies covering HHMI's officers and key employees require each covered individual to obtain supervisory approval up to the level of HHMI's President before entering into an affiliation with or acquiring an interest of 1% or more in any entity that is or may become a recipient of HHMI funds. HHMI's President, in consultation with HHMI's General Counsel, may permit the affiliation or interest if it would not interfere with the covered individual's performance of his or her HHMI responsibilities, would not create the appearance of a conflict of interest, and would be consistent with sound business judgment. HHMI's President may set conditions on approval, for example that there be no remuneration to the covered individual. Proposed affiliations and interests of 1% or more of HHMI's President are subject to the approval of the Chairman of the Trustees. Form 990, Part VI, Line 15a Process to establish compensation of top management official THE COMPENSATION FOR HHMI'S PRESIDENT, OTHER OFFICERS, AND KEY EMPLOYEES IS SET USING THE FOLLOWING PROCEDURES: EVERY OTHER YEAR, THE AUDIT AND COMPENSATION COMMITTEE OF HHMI'S BOARD OF TRUSTEES ENGAGES ONE OR MORE INDEPENDENT COMPENSATION CONSULTANTS TO CONDUCT A STUDY OF COMPARABLE MARKET DATA. THE STUDY INCLUDES DATA FOR HHMI'S PRESIDENT, OTHER OFFICERS, AND KEY EMPLOYEES. THE INDEPENDENT COMPENSATION CONSULTANTS ALSO PROVIDE AN OPINION REGARDING THE REASONABLENESS OF THE COMPENSATION ARRANGEMENTS FOR THE POSITIONS INCLUDED IN THE STUDY. THE STUDY INCLUDES COMPARABLE MARKET DATA FOR ALL COMPONENTS OF COMPENSATION FOR EACH PERSON COVERED BY THE STUDY, INCLUDING BASE SALARY, INCENTIVE COMPENSATION (IF ANY), AND BENEFITS. THE BOARD OF TRUSTEES RELIES ON THE MARKET DATA AND OPINION PROVIDED BY THE COMPENSATION CONSULTANT IN MAKING COMPENSATION DECISIONS FOR HHMI'S PRESIDENT, OTHER OFFICERS AND KEY EMPLOYEES. THE DECISION IS MADE BY INDEPENDENT TRUSTEES. ANY TRUSTEE WHO HAS A CONFLICT OF INTEREST WITH RESPECT TO A SPECIFIC OFFICER OR KEY EMPLOYEE MUST RECUSE HIMSELF OR HERSELF FROM THE DECISION ON THAT PERSON'S COMPENSATION, AND LEAVE THE MEETING ROOM DURING THE DEBATE AND VOTING ON IT. IN THE ALTERNATE YEARS WHEN A STUDY IS NOT DONE, THE TRUSTEES CONFIRM WITH THE INDEPENDENT COMPENSATION CONSULTANTS THAT THE RANGE OF ANY PROPOSED MERIT INCREASES FOR HHMI EMPLOYEES, INCLUDING SENIOR MANAGEMENT, IS REASONABLE COMPARED WITH GENERALLY PREVAILING COMPENSATION INCREASES IN THE MARKET OVER THE PAST YEAR. THE BOARD OF TRUSTEES RELIES ON THIS ADVICE IN MAKING COMPENSATION DECISIONS FOR HHMI'S PRESIDENT, OTHER OFFICERS AND KEY EMPLOYEES. RECUSAL PROCEDURES ARE THE SAME AS IN THE YEARS WHEN A STUDY IS DONE. IN EACH YEAR, MINUTES OF THE DISCUSSIONS AND DECISIONS REGARDING COMPENSATION ARE PREPARED AFTER EACH MEETING AND ARE SUBMITTED FOR APPROVAL AT THE NEXT MEETING. APPROVED MINUTES ARE KEPT IN HHMI'S RECORDS. ALL MINUTES INCLUDE THE DATE OF THE MEETING, IDENTIFY THOSE TRUSTEES WHO ATTENDED AND VOTED ON THE COMPENSATION ARRANGEMENTS, AND NOTE ANY RECUSALS OF TRUSTEES WITH A CONFLICT OF INTEREST. THE COMPARABILITY STUDIES AND OPINIONS RELIED ON AT THE MEETING ARE REFERENCED IN THE MINUTES, AND COPIES OF THESE MATERIALS ARE ALSO KEPT IN HHMI'S RECORDS. HHMI'S BOARD OF TRUSTEES FOLLOWED THIS PROCESS IN AUGUST 2018 AND AUGUST 2019 IN DETERMINING COMPENSATION FOR THE FOLLOWING POSITIONS FOR FISCAL YEAR 2020: PRESIDENT, VICE PRESIDENTS, AND MANAGING DIRECTORS - INVESTMENTS. Form 990, Part VI, Line 15b Process to establish compensation of other employees THE COMPENSATION FOR HHMI'S PRESIDENT, OTHER OFFICERS, AND KEY EMPLOYEES IS SET USING THE FOLLOWING PROCEDURES: EVERY OTHER YEAR, THE AUDIT AND COMPENSATION COMMITTEE OF HHMI'S BOARD OF TRUSTEES ENGAGES ONE OR MORE INDEPENDENT COMPENSATION CONSULTANTS TO CONDUCT A STUDY OF COMPARABLE MARKET DATA. THE STUDY INCLUDES DATA FOR HHMI'S PRESIDENT, OTHER OFFICERS, AND KEY EMPLOYEES. THE INDEPENDENT COMPENSATION CONSULTANTS ALSO PROVIDE AN OPINION REGARDING THE REASONABLENESS OF THE COMPENSATION ARRANGEMENTS FOR THE POSITIONS INCLUDED IN THE STUDY. THE STUDY INCLUDES COMPARABLE MARKET DATA FOR ALL COMPONENTS OF COMPENSATION FOR EACH PERSON COVERED BY THE STUDY, INCLUDING BASE SALARY, INCENTIVE COMPENSATION (IF ANY), AND BENEFITS. THE BOARD OF TRUSTEES RELIES ON THE MARKET DATA AND OPINION PROVIDED BY THE COMPENSATION CONSULTANT IN MAKING COMPENSATION DECISIONS FOR HHMI'S PRESIDENT, OTHER OFFICERS AND KEY EMPLOYEES. THE DECISION IS MADE BY INDEPENDENT TRUSTEES. ANY TRUSTEE WHO HAS A CONFLICT OF INTEREST WITH RESPECT TO A SPECIFIC OFFICER OR KEY EMPLOYEE MUST RECUSE HIMSELF OR HERSELF FROM THE DECISION ON THAT PERSON'S COMPENSATION, AND LEAVE THE MEETING ROOM DURING THE DEBATE AND VOTING ON IT. IN THE ALTERNATE YEARS WHEN A STUDY IS NOT DONE, THE TRUSTEES CONFIRM WITH THE INDEPENDENT COMPENSATION CONSULTANTS THAT THE RANGE OF ANY PROPOSED MERIT INCREASES FOR HHMI EMPLOYEES, INCLUDING SENIOR MANAGEMENT, IS REASONABLE COMPARED WITH GENERALLY PREVAILING COMPENSATION INCREASES IN THE MARKET OVER THE PAST YEAR. THE BOARD OF TRUSTEES RELIES ON THIS ADVICE IN MAKING COMPENSATION DECISIONS FOR HHMI'S PRESIDENT, OTHER OFFICERS AND KEY EMPLOYEES. RECUSAL PROCEDURES ARE THE SAME AS IN THE YEARS WHEN A STUDY IS DONE. IN EACH YEAR, MINUTES OF THE DISCUSSIONS AND DECISIONS REGARDING COMPENSATION ARE PREPARED AFTER EACH MEETING AND ARE SUBMITTED FOR APPROVAL AT THE NEXT MEETING. APPROVED MINUTES ARE KEPT IN HHMI'S RECORDS. ALL MINUTES INCLUDE THE DATE OF THE MEETING, IDENTIFY THOSE TRUSTEES WHO ATTENDED AND VOTED ON THE COMPENSATION ARRANGEMENTS, AND NOTE ANY RECUSALS OF TRUSTEES WITH A CONFLICT OF INTEREST. THE COMPARABILITY STUDIES AND OPINIONS RELIED ON AT THE MEETING ARE REFERENCED IN THE MINUTES, AND COPIES OF THESE MATERIALS ARE ALSO KEPT IN HHMI'S RECORDS. HHMI'S BOARD OF TRUSTEES FOLLOWED THIS PROCESS IN AUGUST 2018 AND AUGUST 2019 IN DETERMINING COMPENSATION FOR THE FOLLOWING POSITIONS FOR FISCAL YEAR 2020: PRESIDENT, VICE PRESIDENTS, AND MANAGING DIRECTORS - INVESTMENTS. Form 990, Part VI, Line 19 Required documents available to the public HHMI's practice has been to make a copy of its charter and by-laws available on request. HHMI's code of conduct, which addresses conflicts of interest, is available to the public on the HHMI website. A downloadable copy of HHMI's most recent audited financial statements is also available to the public on the website. Form 990, Part VIII, Line 11d Other Miscellaneous Revenue - Total Revenue: 22279, Related or Exempt Function Revenue: , Unrelated Business Revenue: , Revenue Excluded from Tax Under Sections 512, 513, or 514: 22279; Form 990, Part XI, Line 9 Other changes in net assets or fund balances Grant write-offs - 1992632; Grant refunds - 1552109; Deferred tax benefit - -9367421; Pension Actuarial Adjustments - XXX-XX-XXXX; Schedule A, Part I, Line 4 List of Hospital Affiliations List of hospital affiliations for e-filing: Hospital, City, State, Zip Code- Baylor-affil hosps, Houston, TX 77030/ Brandeis-affil hsps, Waltham, MA 02254/ CalTech-affil hosps, Pasadena, CA 91125/ Carnegie-affil hsps, Baltimore, MD 21218/ Children's Hosp, Boston, MA 02115/ Children's Hosp, Cincinnati, OH 45229/ Columbia-affil hsps, New York, NY 10027/ Cornell-affil hosps, New York, NY 14853/ CSHL-affil hosps, Cold Spring Harbor, NY 11724/ Dana-Farber, Boston, MA 02115/ Duke-affil hosps, Durham, NC 27706/ Fred Hutch , Seattle, WA 98109/ Harvard-affil hosps, Cambridge, MA 02138/ Indiana-affil hosp, Bloomington, IN 47405/ JHopkins Hosp, Baltimore, MD 21205/ JHU-affil hosps, Baltimore, MD 21218/ Mass Gen Hosp, Boston, MA 02129/ MichSU-affil hosps, Lansing, MI 48824/ MIT-affil hosps, Boston, MA 02139/ MSKCC-affil hosps, New York, NY 10021/ NWU-affil hosps, Evanston, IL 60208/ NYU-NYU Hosps, New York, NY 10016/ OHSU-OHSU Hosp, Portland, OR 97239/ Princeton-affil hosps, Princeton, NJ 08544/ PSU-affil hosps, State College, PA 16802/ Rockefeller-Hosp, New York, NY 10021/ Salk-affil hosps, La Jolla, CA 92093/ Scripps-affil hosps, La Jolla, CA 92037/ St. Jude, Memphis, TN 38105/ Stanford-affil hosps, Palo Alto, CA 94305/ Stowers-affil hosps, Kansas City, MO 64110/ TJL-affil hosps, Bar Harbor, ME 04609/ UCB-affil hosps, Berkeley, CA 94720/ UC-Davis-affil hsp, Davis, CA 95616/ UChi-affil hosp, Chicago, IL 60637/ UCLA-Med Ctr-affil hosps, Los Angeles, CA 90095/ UColo-affil hosp, Boulder, CO 80309/ UColo-affil hosp, Denver, CO 80204/ UCSC-affil hosps, Santa Cruz, CA 95064/ UCSD-affil hosps, San Diego, CA 92093/ UCSF-UCSF Hosps, San Francisco, CA 94143/ UIllinois-affil hsp, Urbana, IL 61801/ UIowa-UIowa Hosps, Iowa City, IA 52242/ UMass-Med Ctr, Worcester, MA 01605/ UMD-affil hosp, Baltimore, MD 21201/ UMD-affil hosp, College Park, MD 20742/ UMich-UMich Hosp, Ann Arbor, MI 48109/ UMinn-affil hosps, Minneapolis, MN 55414/ UNC-affil hosps, Chapel Hill, NC 27599/ UOregon-affil hsp, Eugene, OR 97403/ UPenn-UPenn Hosp, Philadelphia, PA 19104/ UT-Austin-UT Hosp, Austin, TX 78712/ UTSW-UTSW Hosps, Dallas, TX 75390/ UUtah-UUtah Hosps, Salt Lake City, UT 84112/ UWash-Med Ctr, Seattle, WA 98195/ UWisc-affil hosps, Madison, WI 53706/ WashU-affil hosp, St. Louis, MO 63130/ Whitehead-affil hosps, Cambridge, MA 02138/ YaleU-affil hosp, New Haven, CT 06520 Schedule A, Part I, Line 4 MRO Qualification The Institute is a medical research organization for its taxable year ended August 31, 2020, as its expenditures of $797,911,575 on a cash basis for the year ended August 31 , 2019 exceeded the MRO requirement of $726,736,514 (3.5% of the HHMI endowment). 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