2021-08-12T19:59:56-05:00 2020-09-30 ERNST & YOUNG US LLP 101 E WASHINGTON ST STE 910 PHOENIX AZ 85004 990 2019-10-01 331092191 THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE FOUNDATION % KEVIN GROFF TRAN 6023438411 445 N 5TH STREET Suite 120 PHOENIX AZ 85004 MANUEL ESTRADA CFO, TGEN 6023438478 2021-08-09 true PATRICK SHIELDS P01508556 6023223000 2021-08-12 2019 2022-09-23 18:48:47Z ERIN MASSEY 445 N 5TH STREET PHOENIX AZ 85004 23062861 false X WWW.TGEN.ORG/GIVING/TGEN-FOUNDATION/ X 2004 AZ BIOGENOMIC MEDICAL RESEARCH FUNDRAISING FOR THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN). 22 18 0 45 0 0 9036988 22935783 0 0 65940 127078 0 0 9102928 23062861 7835263 10593325 0 0 1350253 1330040 0 0 1556627 564274 405501 9749790 12328866 -646862 10733995 24732906 36934555 9277173 10737751 15455733 26196804 X BIOGENOMIC MEDICAL RESEARCH FUNDRAISING FOR THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN). false false 10593325 10593325 0 SEE SCHEDULE O 10593325 true true false false false false false false false true false false false false false true false true false false false false false false false false false true false true false false false false false false false false true true false false false true true false false false true X 6 0 true 0 false false false false false true true true 1 false false true false false false X 22 18 true false false false true true true true true false false true true true true true true false false false X KEVIN GROFF 6023438478 445 N 5TH STREET SUITE 600 PHOENIX AZ 85004 X JEFFREY M TRENT PHD BOARD MEMBER 1.0 39.0 X 0 1332028 52921 TERESA BURLESON BOARD MEM/ASST SEC/ASST TREAS 1.0 39.0 X X 0 534670 117669 MANUEL ESTRADA CHIEF FINANCIAL OFFICER 1.0 39.0 X 0 319895 20250 ERIN MASSEY CHIEF DEVELOPMENT OFFICER 40.0 0.0 X 0 305087 15637 NADIA PHILLIPS VICE PRESIDENT (THRU 8/21/20) 40.0 0.0 X 0 131689 5520 BENNETT DORRANCE BOARD MEMBER/CHAIRMAN 1.0 1.0 X X 0 0 0 RICHARD J LEHMANN BOARD MEMBER/TREASURER 1.0 0.0 X X 0 0 0 KEN KENDRICK BOARD MEMBER 1.0 0.0 X X 0 0 0 PHIL FRANCIS BOARD MEMBER 1.0 0.0 X 0 0 0 STEVE HILTON BOARD MEMBER 1.0 0.0 X 0 0 0 CARRIE HULBURD BOARD MEMBER 1.0 0.0 X 0 0 0 MIKE INGRAM BOARD MEMBER 1.0 0.0 X 0 0 0 CATHERINE IVY BOARD MEMBER 1.0 0.0 X 0 0 0 MICHEAL KAPLAN BOARD MEMBER 1.0 0.0 X 0 0 0 DAVID LANE BOARD MEMBER 1.0 0.0 X 0 0 0 TERRY LEE BOARD MEMBER 1.0 0.0 X 0 0 0 RANDY MAY BOARD MEMBER 1.0 0.0 X 0 0 0 ARTE MORENO BOARD MEMBER 1.0 0.0 X 0 0 0 BILL POPE BOARD MEMBER 1.0 0.0 X 0 0 0 WILLIAM J POST BOARD MEMBER 1.0 1.0 X 0 0 0 J DANFORTH QUAYLE BOARD MEMBER 1.0 0.0 X 0 0 0 TROY RICHARDS BOARD MEMBER 1.0 0.0 X 0 0 0 STEVE STAGNER BOARD MEMBER 1.0 0.0 X 0 0 0 RAY THURSTON BOARD MEMBER 1.0 0.0 X 0 0 0 HOWARD YOUNG BOARD MEMBER 1.0 0.0 X 0 0 0 0 2623369 211997 0 false true false 0 22935783 101670 22935783 0 127078 127078 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 23062861 127078 X 10593325 10593325 0 0 0 0 0 0 283039 28304 254735 0 0 0 0 866918 0 86692 780226 0 0 0 0 180083 0 18008 162075 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2813 0 2813 0 16273 0 1627 14646 166713 0 16671 150042 0 0 0 0 0 0 0 0 101078 0 10108 90970 4646 0 465 4181 0 0 0 0 110836 0 11084 99752 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 DUES & SUBSCRIPTIONS 1264 0 1264 0 RECRUITMENT EXPENSES 39 0 39 0 ALL OTHER EXPENSES 1839 0 1839 0 12328866 10593325 178914 1556627 0 965989 2208026 18836557 24932881 4909839 9783792 20521 1433 0 0 0 0 0 0 0 0 0 8423 0 0 0 0 0 0 0 0 0 0 0 0 0 0 24732906 36934555 9100300 10636405 0 0 176873 101346 0 0 0 0 0 0 0 0 0 0 0 0 9277173 10737751 X -8113797 -8418531 23569530 34615335 15455733 26196804 24732906 36934555 10733995 7076 0 0 0 X false true X true false X 5831237 8383173 5436735 9036988 22935783 51623916 0 0 5831237 8383173 5436735 9036988 22935783 51623916 20523546 31100370 0 1763 4120 65940 127078 198901 0 0 0 0 51822817 0.60013 0.72820 X SCHEDULE A, PART II THE AMOUNTS INCLUDED IN SCHEDULE A, PART II CORRESPOND TO THE FOLLOWING PERIODS: COLUMN (E) 2019 : 10/01/2019-09/30/2020 COLUMN (D) 2018 : 10/01/2018-09/30/2019 COLUMN (C) 2017 : 10/01/2017-09/30/2018 COLUMN (B) 2016 : 01/01/2017-09/30/2017 (SHORT PERIOD) COLUMN (A) 2015 : 01/01/2016-12/31/2016 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1562158 378481 28796 7353 1962082 190389 1373720 11402 13353 1562158 108695 75833 13214 7353 190389 62093 46076 10642 4658 5458 108695 62093 8904 8904 62093 0.00000 0.96980 0.03020 false false 0 0 X SCHEDULE D, PART V, LINE 4 TGEN FOUNDATION CLASSIFIES AS PERMANENTLY RESTRICTED NET ASSETS (1) THE ORIGINAL VALUE OF THE GIFT DONATED TO THE PERMANENT ENDOWMENT, (2) THE ORIGINAL VALUE OF SUBSEQUENT GIFTS DONATED TO THE PERMANENT ENDOWMENT, AND (3) ACCUMULATIONS TO THE PERMANENT ENDOWMENT MADE IN ACCORDANCE WITH THE DIRECTION OF THE APPLICABLE DONOR GIFT INSTRUMENT. TGEN FOUNDATION HAS A TEMPORARILY RESTRICTED ASSET WHICH HAS BEEN DESIGNED TO SUPPORT A SUMMER INTERN EACH YEAR AT TGEN. TGEN FOUNDATION'S POLICY FOR APPROPRIATING THE DISTRIBUTION OF ITS SUMMER INTERNSHIP PROGRAM ENDOWMENT HAS BEEN DESIGNED TO SUPPORT A GRANT TO TGEN FOR AN INTERN EACH YEAR FOR 20 YEARS. THE FOUNDATION CONSIDERED THE LONG-TERM EXPECTED RETURN ON ITS ENDOWMENT. TGEN FOUNDATION HAS A RESTRICTED ASSET WHICH ALLOWS THEM TO USE ANY INVESTMENT INCOME FOR OPERATING EXPENSES. SCHEDULE D, PART X, LINE 2 TGEN AND THE FOUNDATION ARE EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE U.S. INTERNAL REVENUE CODE. TGEN AND THE FOUNDATION ARE EXEMPT FROM ARIZONA CORPORATE INCOME TAX UNDER SECTION 43-1201(A) OF THE ARIZONA REVISED STATUTES (A.R.S.) ACCORDINGLY, NO PROVISION FOR INCOME TAX IS INCLUDED IN THE ACCOMPANYING CONSOLIDATED FINANCIAL STATEMENTS. TGEN AND THE FOUNDATION HAVE NO SIGNIFICANT UNCERTAIN TAX POSITIONS OR TAX LIABILITY FOR TAX BENEFITS, INTEREST, OR PENALTIES ACCRUED AT SEPTEMBER 30, 2020. true TRANSLATIONAL GENOMICS RESEARCH INSTITUTE 445 NORTH 5TH ST STE 600 PHOENIX AZ 85004 753065445 501(c)(3) 10593325 0 FUNDRAISING FOR TGEN 1 SCHEDULE I, PART I, LINE 2 THE FOUNDATION IS ORGANIZED EXCLUSIVELY TO BENEFIT TGEN, A RELATED 501(C)(3) TAX-EXEMPT ORGANIZATION, BY SUPPORTING TGEN'S FUNDRAISING AND DEVELOPMENT FUNCTIONS. THE FOUNDATION RELIES UPON THE GOVERNANCE PRACTICES OF TGEN TO MONITOR USE OF GRANT FUNDS. false false false false false false false true false TERESA BURLESON BOARD MEM/ASST SEC/ASST TREAS 0 482828 0 50000 0 1842 0 107327 0 10342 0 652339 0 0 JEFFREY M TRENT PHD BOARD MEMBER 0 815491 0 427500 0 89037 0 22684 0 30237 0 1384949 0 0 MANUEL ESTRADA CHIEF FINANCIAL OFFICER 0 275385 0 43100 0 1410 0 8409 0 11841 0 340145 0 0 ERIN MASSEY CHIEF DEVELOPMENT OFFICER 0 263247 0 40000 0 1840 0 10990 0 4647 0 320724 0 0 SCHEDULE J, PART I, LINE 3 TGEN FOUNDATION DOES NOT DETERMINE OR PAY ANY COMPENSATION OR BENEFITS. ALL COMPENSATION AND BENEFITS ARE DETERMINED AND PAID BY TGEN, A RELATED TAX-EXEMPT ORGANIZATION. SCHEDULE J, PART I, LINE 7 SOME OF TGEN'S OFFICERS, KEY EMPLOYEES AND 5-HIGHEST PAID INDIVIDUALS LISTED IN FORM 990, PART VII, WERE PAID BONUSES WHICH WERE BASED ON ACCOMPLISHMENTS OF SPECIFIC MILESTONES AND/OR PERFORMANCE METRICS, AS APPROVED BY THE TGEN BOARD OF DIRECTORS. X 1 100000 FMV X PPE Supplies 1 1670 FMV 1 false true true SCHEDULE M, PART I, COLUMN (B) THE ORGANIZATION IS REPORTING IN PART I, COLUMN (B) THE NUMBER OF CONTRIBUTIONS RECEIVED. SCHEDULE M, PART I, LINE 32B DONATED VEHICLES ARE PUT ON CONSIGNMENT WITH AN AUCTION COMPANY. VEHICLES ARE ENTERED INTO THE AUCTION WITHOUT A RESERVE. CONSIGNMENT FEES ARE WAIVED FOR CHARITY VEHICLES AND BOTH THE SELLER COMMISSION AND BUYERS PREMIUM ARE ALSO WAIVED. FORM 990, PART III, LINE 4A RESEARCH PROGRESSED MARKEDLY IN 2020, RESULTING IN SIGNIFICANT RESULTS ACROSS A NUMBER OF BIOMEDICAL INVESTIGATIONS; FROM ALZHEIMER'S DISEASE TO CHILDREN'S BRAIN CANCER, COMPARATIVE ONCOLOGY AND DIABETES. VALIDATION OF TECHNOLOGY SUPPORTING THE MANY POTENTIAL FACETS OF TGEN'S CENTER FOR NONINVASIVE DIAGNOSTICS CREATED NEW OPPORTUNITIES AND NEW PATHWAYS FOR DIAGNOSING DISEASE. TGEN'S CAPABILITIES AND STRENGTH IN GENOMICS ALSO CAME TO THE FORE WHEN THE THREAT POSED BY SARS-COV-2 BECAME AN INTERNATIONAL PUBLIC THREAT. WITHIN DAYS OF HEARING OF THE POTENTIALLY DEADLY SARS-COV-2, TGEN NORTH SCIENTISTS BEGAN DEVELOPING A GENOMIC-BASED CLINICAL TEST TO CONFIRM INFECTION. FIVE WEEKS LATER, THE SCIENTISTS AT TGEN NORTH RECEIVED FDA EMERGENCY USE AUTHORIZATION FOR A PCR-BASED GENETIC TEST FOR SARS-COV-2, WHILE SIMULTANEOUSLY STANDING UP AND RECEIVING STATE CERTIFICATION FOR ITS CLIA LABORATORY, A STEP NECESSARY TO RETURN TESTING RESULTS TO PATIENTS AND THEIR PHYSICIANS. THIS IS A TESTAMENT TO THE FORESIGHT OF TGEN NORTH LEADERSHIP WHO IN 2018 PUT TOGETHER TGEN'S ONE HEALTH COLLABORATIVE, AN INITIATIVE FOR PROTECTING PUBLIC HEALTH AND THE ENVIRONMENT, WORKING WITH LOCAL, STATE, FEDERAL AND INTERNATIONAL PUBLIC HEALTH OFFICIALS AND OTHERS TO TRACK THE CAUSE AND SOURCE OF DISEASE OUTBREAKS, ANTIBIOTIC RESISTANCE, HOSPITAL-ACQUIRED INFECTIONS, MICROBIAL EVOLUTION, PATHOGEN DISPERSAL, AND EMERGING INFECTIONS. WHILE SARS-COV-2 MAY HAVE SHAPED HOW WE WORKED AND LIVED FOR MUCH OF THE YEAR, IT DID NOT IMPEDE THE PROGRESS OF OUR FACULTY, NOR OUR COLLEAGUES AT CITY OF HOPE AND BEYOND. WHILE OUR WORK TOWARD SAFEGUARDING OUR COMMUNITIES AGAINST SARS-COV-2 BECAME PARAMOUNT, EFFORTS AROUND OUR CORE MISSION - HELPING PATIENTS SUFFERING FROM CANCER, NEUROLOGICAL DISEASES, DIABETES AND RARE CHILDHOOD DISORDERS - NEVER WANED. TGEN'S PARTNERSHIPS HAVE RESULTED IN VARIOUS MULTI-YEAR, MULTI-MILLION DOLLAR EFFORTS FUNDED BY THE NATIONAL INSTITUTES OF HEALTH CENTERED ON: CHLOROTOXIN-PREDICTED CHIMERIC ANTIGEN RECEPTOR T CELLS FOR TREATMENT IN GLIOBLASTOMA, A SCALABLE PLATFORM FOR HIGHLY-MULTIPLEXED ANALYSIS OF ANTIBODY REACTIVITY FROM 1UL OF BLOOD, AND TREATMENT MONITORING IN EARLY AND LOCALLY ADVANCED BREAST CANCER USING CIRCULATING TUMOR DNA ANALYSIS. ADDITIONALLY, TGEN INVESTIGATORS WERE AWARDED GRANTS IN MULTIPLE FIELDS, INCLUDING NEUROGENOMICS, CANCER THERAPEUTICS AND TREATMENTS, AND DISEASE DETECTION AND MONITORING. TGEN ADVANCED A SERIES OF INNOVATIVE RESEARCH INITIATIVES THAT YIELDED NUMEROUS SCIENTIFIC DISCOVERIES (MANY WITH POTENTIAL CLINICAL APPLICATION), ESTABLISHED NATIONAL AND INTERNATIONAL COLLABORATIONS, AND LED NEW AND EXCITING CLINICAL TRIALS WITH PROMISING RESULTS IN THE AREAS OF PATHOGENIC DISEASE, CANCER DIAGNOSIS AND MONITORING, NEUROGENOMICS, AND CANINE CANCER. SPECIFICALLY, TGEN INVESTIGATORS ARE SEQUENCING SAMPLES FROM SARS-COV-2 PATIENTS TO ANALYZE THE VIRUS' GENETIC CODES AND TRACK ITS DIFFERENT STRAINS, IDENTIFYING THAT CERTAIN GENETIC ALTERATIONS IN KIDNEY CANCER TUMORS PREDICT WHICH PATIENTS WILL FAIL TO RESPOND TO THE LATEST CANCER DRUGS WHICH WORK BY BOOSTING THE PATIENT'S IMMUNE SYSTEM, DETECTING A PREDATOR-PREY RELATIONSHIP BETWEEN CIRCULATING IMMUNE CELL DYNAMICS AND TUMOR RESPONSE TO IMMUNOTHERAPY, USING ORGANOIDS, ORGAN-LIKE LABORATORY CULTURES DERIVED FROM PATIENT TUMORS, TO PROVIDE A NEW LEVEL OF ACCURACY IN PRESCRIBING ANTI-CANCER TREATMENTS, AND DETECTING UNIQUE LUNG CELLS THROUGH ONE OF THE FIRST COMPREHENSIVE LOOKS AT THE CELLS USING A TECHNOLOGY CALLED SINGLE-CELL RNA SEQUENCING THAT MAY DRIVE IDIOPATHIC PULMONARY FIBROSIS, A DEADLY LUNG DISEASE THAT AFFECTS HUNDREDS OF THOUSANDS OF AMERICANS AND FOR WHICH THERE IS NO CURE. TGEN INVESTIGATORS PUBLISHED THEIR RESEARCH RESULTS EXTENSIVELY IN SCHOLARLY PEER-REVIEWED ACADEMIC JOURNALS AND PRESENTED VIRTUALLY AT LEADING NATIONAL AND INTERNATIONAL CONFERENCES; INCLUDING PUBLICATION IN LEADING SCIENTIFIC JOURNALS SUCH AS AMERICAN JOURNAL OF HUMAN GENETICS, CELL, NATURE COMMUNICATIONS, JOURNAL OF NEUROSCIENCE, CLINICAL CANCER RESEARCH, JAMA NEUROLOGY, NEUROLOGY, NEW ENGLAND JOURNAL OF MEDICINE, SCIENCE TRANSLATIONAL MEDICINE, AND PRESENTATIONS AT LEADING CONFERENCES SUCH AS THE SU2C SCIENTIFIC SUMMIT. TGEN INVESTIGATORS FURTHER SERVE AS RESOURCES TO MEDICAL AND SCIENTIFIC RESEARCH CENTERS THROUGHOUT THE COUNTRY IN THEIR AREAS OF RESEARCH. IN EDUCATION AND OUTREACH, TGEN PROVIDED VIRTUAL INTERNSHIPS TO STUDENTS IN PROGRAMS THAT FOCUSED ON DEVELOPING PROFESSIONAL AND SCIENTIFIC SKILLS. ADDITIONALLY, TGEN PROVIDED A VIRTUAL BIOSCIENCE LEADERSHIP ACADEMY FOR STUDENTS WHERE THEY LEARNED ABOUT A VARIETY OF TOPICS WITHIN THE THEMES OF PROFESSIONAL DEVELOPMENT, LEADERSHIP, TRANSLATIONAL MEDICINE, AND HOT TOPICS IN THE BIOSCIENCES. FORM 990, PART V, LINE 2A; PART VII, SECTION A; AND PART IX TGEN FOUNDATION DOES NOT HAVE EMPLOYEES, BUT SHARES THE COST OF PERSONNEL, SERVICES, FACILITIES AND EXPENSES WITH TGEN, A RELATED TAX-EXEMPT ORGANIZATION. FORM 990, PART VI, LINE 2 MICHEAL KAPLAN AND BENNETT DORRANCE HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, LINE 6 THE SOLE CORPORATE MEMBER OF TGEN FOUNDATION IS THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN). FORM 990, PART VI, LINE 7A TGEN, AS THE SOLE CORPORATE MEMBER OF TGEN FOUNDATION, HAS THE RIGHT TO ELECT THE BOARD OF DIRECTORS OF TGEN FOUNDATION. FORM 990, PART VI, LINE 7B THE SOLE CORPORATE MEMBER'S VOTE SHALL BE REQUIRED ON: (A) THE ELECTION AND REMOVAL OF ELECTED DIRECTORS AS SET FORTH IN THE BYLAWS; (B) THE ADOPTION OF ANY PLAN OF MERGER OR CONSOLIDATION; (C) THE SALE OF ALL OR SUBSTANTIALLY ALL THE FOUNDATION'S ASSETS IN A SINGLE TRANSACTION OR SERIES OF RELATED TRANSACTIONS; (D) THE AMENDMENT OF THE FOUNDATION'S ARTICLES OF INCORPORATION OR BYLAWS; (E) THE INSTITUTION, OR CONSENT TO INSTITUTION, OF PROCEEDINGS TO ADJUDICATE THE FOUNDATION BANKRUPT OR INSOLVENT, OR THE FILING OF A PETITION SEEKING OR CONSENTING TO REORGANIZATION OR RELIEF UNDER ANY LAW RELATING TO BANKRUPTCY, INSOLVENCY, OR OTHER RELIEF FOR DEBTORS, OR THE CONSENT TO THE APPOINTMENT OF A RECEIVER, LIQUIDATOR, ASSIGNEE, TRUSTEE, SEQUESTRATOR (OR SIMILAR OFFICIAL) OF THE FOUNDATION OR OF ALL OR ANY SUBSTANTIAL PART OF ITS PROPERTY, OR THE MAKING OF ANY ASSIGNMENT FOR THE BENEFIT OF CREDITORS, OR THE ADMISSION IN WRITING OF THE FOUNDATION'S INABILITY TO PAY ITS DEBTS GENERALLY AS THEY BECOME DUE, OR ANY STEPS IN FURTHERANCE OF SUCH ACTIONS; AND (F) THOSE MATTERS UPON WHICH THE MEMBER IS GRANTED VOTING RIGHTS IN THE ARTICLES OF INCORPORATION, BYLAWS, OR THE ARIZONA NONPROFIT CORPORATION ACT. THE SOLE CORPORATE MEMBER HAS THE FOLLOWING RESERVE POWERS: (A) APPOINT AND REMOVE THE PRESIDENT; (B) APPROVE THE ESTABLISHMENT OF NEW CORPORATE PARTNERSHIP ENTITIES CREATED OR JOINED BY THE FOUNDATION; (C) APPROVE THE FOUNDATION'S EXECUTION OF MATERIAL CONTRACTS; AND (D) APPROVE THE FOUNDATION'S INCURRENCE OF MATERIAL DEBTS. FORM 990, PART VI, LINE 11B THE FORM 990 IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM BASED ON INFORMATION PROVIDED BY THE TGEN FINANCE DEPARTMENT. THE FORM 990 IS THEN REVIEWED BY THE FINANCE DEPARTMENT, OTHER MEMBERS OF MANAGEMENT AND THE AUDIT AND COMPLIANCE COMMITTEE OF THE CITY OF HOPE. THE FORM 990 IS POSTED ON THE BOARD WEBSITE FOR BOARD REVIEW PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, LINE 12C TGEN FOUNDATION DISTRIBUTES A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY TO ALL DIRECTOR LEVEL POSITIONS AND ABOVE, IN ADDITION TO ANY OFFICERS AND KEY EMPLOYEES DESIGNATED BY THE TGEN CHIEF OPERATING OFFICER. THE QUESTIONNAIRES ARE REVIEWED BY THE TGEN CHIEF FINANCIAL OFFICER AND TGEN'S OFFICE OF RESEARCH COMPLIANCE. THOSE EMPLOYEES WITH CONFLICTS ARE SENT FOR FURTHER REVIEW TO THE TGEN CHIEF OPERATING OFFICER TO ENSURE AN APPROPRIATE PLAN IS SET FORTH. UPDATES TO THE LIST ARE HANDLED ON AN AS-NEEDED BASIS, BASED ON CONTRACT REVIEWS AND EMPLOYEE INFORMATION. FORM 990, PART VI, LINES 15A AND 15B THE FOUNDATION DOES NOT HAVE ANY DIRECT EMPLOYEES. COMPENSATION IS DETERMINED BY THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN) USING THE FOLLOWING PROCESS: THE EXECUTIVE COMPENSATION AND GOVERNANCE COMMITTEE OF THE MEMBER SHALL BE THE EXECUTIVE COMPENSATION COMMITTEE OF TGEN. NOTWITHSTANDING THE FOREGOING, TGEN'S EXECUTIVE COMPENSATION AND GOVERNANCE COMMITTEE WILL ACT IN AN "ADVISE AND CONSENT" CAPACITY REVIEWING THE RECOMMENDATIONS OF THE PRESIDENT AND SCIENTIFIC DIRECTOR REGARDING THE COMPENSATION OF DISQUALIFIED PERSONS CONSISTENT WITH THE MEMBER'S COMPENSATION PHILOSOPHY AND WITHIN THE COMPENSATION RANGES APPROVED AT LEAST ANNUALLY BY THE MEMBER, AND FORWARDING FINAL RECOMMENDATIONS TO THE FULL TGEN BOARD FOR APPROVAL. DISQUALIFIED PERSONS (EXCEPT FOR THE PRESIDENT AND SCIENTIFIC DIRECTOR) WILL NOT BE PRESENT FOR, OR PARTICIPATE IN, COMMITTEE DELIBERATIONS CONCERNING THEIR COMPENSATION (OTHER THAN TO ANSWER QUESTIONS). THE PRESIDENT AND SCIENTIFIC DIRECTOR WILL PARTICIPATE IN THE DELIBERATIONS CONCERNING THE COMPENSATION OF DIRECT REPORTS. DURING THE DECISION MAKING PROCESS, THE COMMITTEE WILL ADHERE TO THE EXECUTIVE COMPENSATION PHILOSOPHY OF THE MEMBER. THE COMMITTEE IS AUTHORIZED (AND PROVIDED WITH SUFFICIENT FUNDING) TO ANNUALLY ENGAGE OUTSIDE INDEPENDENT COMPENSATION AND LEGAL ADVISORS, WHEN DEEMED NECESSARY AND ADVISABLE. THE COMMITTEE WILL COMPLY WITH THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE WHENEVER POSSIBLE. THE COMMITTEE WILL REVIEW AND UNDERSTAND THE INTERNAL REVENUE CODE PROVISIONS DEALING WITH "EXCESS BENEFIT TRANSACTIONS CONCERNING DISQUALIFIED PERSONS' COMPENSATION." WHEN DEVELOPING A COMPENSATION PHILOSOPHY, TGEN KEPT IN MIND THE FOLLOWING FACTORS: - THE TGEN MISSION AND STRATEGY - THE TGEN CULTURE - TRENDS IN COMPENSATION IN THE EXTERNAL ENVIRONMENT - TRENDS IN RECRUITMENT OF NEW EMPLOYEES - TRENDS IN ORGANIZATIONAL EMPLOYEE TURNOVER - TGEN'S LIFE CYCLE STAGE THE COMPENSATION REVIEW PROCESS WAS LAST COMPLETED IN 2020. FORM 990, PART VI, LINE 19 TGEN FOUNDATION PROVIDES ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY TO THE GENERAL PUBLIC UPON REQUEST. 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