2021-11-02T18:59:51-05:00 2020-12-31 271728945 PKF O'CONNOR DAVIES LLP 500 MAMARONECK AVENUE HARRISON NY 105281633 990 2020-01-01 020464400 ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY FOUNDATION ALLI 7737029171 125 S WACKER DRIVE NO 1600 CHICAGO IL 60606 MONICA BERTAGNOLLI MD PRESIDENT 7737029171 2021-11-02 1 MONICA BERTAGNOLLI MD 999009999 GARRETT M HIGGINS P00543209 9143818900 2021-11-02 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z MONICA BERTAGNOLLI MD 125 S WACKER DRIVE NO 1600 CHICAGO IL 60606 60880447 0 X WWW.ALLIANCEFORCLINICALTRIALSINONCOLOGY.ORG X 1993 IL THE FOUNDATION RAISES FUNDS TO HELP THE ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY ANSWER IMPORTANT TREATMENT QUESTIONS THROUGH LARGE-SCALE CLINICAL TRIALS. 35 35 67 38 0 0 13258308 9694439 34270939 27932721 3278624 3279981 1047 22395 50808918 40929536 8680905 8708372 0 0 4849410 5929584 0 0 0 33436599 22450294 46966914 37088250 3842004 3841286 101700356 98458667 55421556 48527258 46278800 49931409 X TO AID THE ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY NATIONAL CLINICAL TRIALS COOPERATIVE GROUP AND SUPPORT THE CLINICAL TRIALS AND LABORATORY RESEARCH OF THE ALLIANCE, AS WELL AS EFFORTS TO EDUCATE THE MEDICAL COMMUNITY ON METHODS OF CANCER DIAGNOSIS, TREATMENT, AND PREVENTION. THE RESULTS OF ALLIANCE RESEARCH ARE MADE AVAILABLE TO THE PUBLIC. 0 0 22784932 1514317 27949222 ALLIANCE FOUNDATION TRIALS CONDUCTS CANCER CLINICAL RESEARCH AND ADDRESSES MEDICAL CARE AND TREATMENT THROUGH LARGE-SCALE CLINICAL TRIALS INVOLVING VARIOUS RELATED PARTNERS. 4382248 3895923 STATISTICAL AND DATA MANAGEMENT GRANTS PROVIDE SUPPORT FOR COSTS INCURRED TO DEVELOP CLINICAL TRIALS, COLLECT PATIENT DATA FROM INSTITUTIONS AND ANALYZE DATA FOR PUBLICATION OF RESULTS OF STUDIES. 3298132 3298132 ANCILLARY PROJECT GRANTS PROVIDE SUPPORT FOR EXPENSES OF MULTIDISCIPLINARY COMPANION STUDIES OF ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY AND ALLIANCE TREATMENT STUDIES RELATING TO CANCER AND LEUKEMIA RESEARCH. 30465312 1 1 0 0 0 0 0 0 1 0 1 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 61 0 67 1 0 0 0 0 0 0 0 0 0 0 0 0 X 35 35 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 IL X DHRUVA GOLLERKERI 6177327898 221 LONGWOOD AVENUE BOSTON MA 02115 SHEILAH HURLEY CHIEF OPERATING OFFICER 40.00 X 223272 0 32109 DHRUVA GOLLERKERI TREASURER/CONTROLLER 20.00 20.00 X 173745 0 32341 KERI SAFAII SENIOR DIRECTOR, DATA LAB 40.00 X 184605 0 9273 CARTER DUFRANE DIRECTOR OF CLINICAL TRIALS OPERATIONS 40.00 X 182697 0 9285 JANE LANZILLOTTI SENIOR PROJECT MANAGER 40.00 X 147515 0 22422 ANDREA REINO DIRECTOR OF CONTRACTS ADMINISTRATION 40.00 X 146543 0 13201 SYLVIA HRBEK GROUP ASST. CONTROLLER 40.00 X 136629 0 22985 JESSICA LAMP SENIOR PROJECT MANAGER 40.00 X 138766 0 16047 TRINIDAD AJAZI SECRETARY 6.00 6.00 X 88008 0 0 MONICA BERTAGNOLLI PRESIDENT/TRUSTEE 4.00 4.00 X X 5120 0 0 SUZANNE GEORGE VICE PRESIDENT/TRUSTEE 0.50 0.50 X X 0 0 0 STEVEN ALBERTS TRUSTEE 0.50 0.50 X 0 0 0 DANIEL ANDERSON TRUSTEE 0.50 0.50 X 0 0 0 C BABIS ANDREADIS TRUSTEE 0.50 0.50 X 0 0 0 JAMES ATKINS TRUSTEE 0.50 0.50 X 0 0 0 LUDA BAZHENOVA TRUSTEE 0.50 0.50 X 0 0 0 ROBERT BEHRENS TRUSTEE 0.50 0.50 X 0 0 0 CLARA BLOOMFIELD TRUSTEE (THRU 3/1/20) 0.50 0.50 X 0 0 0 HAROLD BURSTEIN TRUSTEE 0.50 0.50 X 0 0 0 JEFFREY CRAWFORD TRUSTEE 0.50 0.50 X 0 0 0 JENNIFER DILL TRUSTEE 0.50 0.50 X 0 0 0 KONSTANTIN DRAGNEV TRUSTEE 0.50 0.50 X 0 0 0 JOHN ELLERTON TRUSTEE 0.50 0.50 X 0 0 0 GINI FLEMING TRUSTEE 0.50 0.50 X 0 0 0 RICHARD GOLDBERG TRUSTEE 0.50 0.50 X 0 0 0 STEPHEN GRAZIANO TRUSTEE 0.50 0.50 X 0 0 0 STEPHEN GRUBBS TRUSTEE 0.50 0.50 X 0 0 0 OLWEN HAHN TRUSTEE 0.50 0.50 X 0 0 0 CLIFFORD HUDIS TRUSTEE 0.50 0.50 X 0 0 0 KELLY HUNT TRUSTEE 0.50 0.50 X 0 0 0 HEIDI KLEPIN TRUSTEE 0.50 0.50 X 0 0 0 JOHN LEONARD TRUSTEE 0.50 0.50 X 0 0 0 ELLIS LEVINE TRUSTEE 0.50 0.50 X 0 0 0 MINETTA LIU TRUSTEE 0.50 0.50 X 0 0 0 ALAN LYSS TRUSTEE 0.50 0.50 X 0 0 0 SUMITHRA MANDREKAR TRUSTEE 0.50 0.50 X 0 0 0 MICHAEL MORRIS TRUSTEE 0.50 0.50 X 0 0 0 ELECTRA PASKETT TRUSTEE 0.50 0.50 X 0 0 0 JANE PERLMUTTER TRUSTEE 0.50 0.50 X 0 0 0 STEVEN PIANTADOSI TRUSTEE 0.50 0.50 X 0 0 0 DEBORAH SCHRAG TRUSTEE 0.50 0.50 X 0 0 0 MICHAEL SCHWARTZ TRUSTEE 0.50 0.50 X 0 0 0 PHILLIP STELLA TRUSTEE 0.50 0.50 X 0 0 0 W FRASER SYMMANS TRUSTEE 0.50 0.50 X 0 0 0 EVERETT VOKES TRUSTEE (THRU 1/31/20) 0.50 0.50 X 0 0 0 ERIC WINER TRUSTEE (THRU 1/31/20) 0.50 0.50 X 0 0 0 MARIE WOOD TRUSTEE 0.50 0.50 X 0 0 0 1426900 0 157663 12 0 1 0 CCS RESEARCH CORP 1420 SPRINGHILL ROAD STE 335 MCLEAN VA 22102 SITE MONITORING 3136717 PRECOG LLC 1818 MARKET STREET STE 3000 PHILADELPHIA PA 19103 SITE MONITORING 3133478 MAYO CLINIC 200 FIRST STREET SW ROCHESTER MN 55905 STATISTICAL DATA CENTER 1926731 NSABP FOUNDATION INC NOVA TOWER TWO 2 ALLEGHENY CENTER PITTSBURGH PA 15212 SITE MONITORING 1887523 SYNEOS HEALTH CLINICAL INC 1030 SYNC STREET MORRISVILLE NC 27560 SITE MONITORING 1177503 37 9694439 5835 9694439 RESEARCH CONTRACTS 541700 27932721 27932721 27932721 1823979 1823979 21406913 19950911 1456002 1456002 1456002 REGISTRATION FEES 900099 16501 16501 OTHER REVENUE 900099 5894 5894 22395 40929536 27949222 0 3285875 8708372 8708372 746577 200559 546018 4142678 1338332 2804346 66063 20251 45812 546101 157778 388323 428165 128378 299787 107258 33024 74234 6081 2234 3847 56440 4320 52120 362845 362845 948512 153221 795291 428575 198619 229956 1445260 819799 625461 89462 14912 74550 17177 6208 10969 960 960 283631 109779 173852 134432 134432 SITE PAYMENTS 8786644 8786644 SITE MONITORING SERVICE 6999901 6999901 SAFETY MANAGEMENT 678852 678852 DRUG DISTRIBUTION 503492 503492 1600772 1599677 1095 37088250 30465312 6622938 0 3615 22448252 12311118 3083841 4390256 3781647 10037636 136769 243764 3450545 2782240 946422 668305 70936186 70223710 367239 580263 101700356 98458667 12209941 8189480 42844376 40031149 367239 306629 55421556 48527258 X 44737983 48581042 1540817 1350367 46278800 49931409 101700356 98458667 X 3841286 1692767 -1881444 X X 0 1 X 1 0 X 5588356 8580882 13888018 13258308 9694439 51010003 5588356 8580882 13888018 13258308 9694439 51010003 13561034 37448969 389545 1405277 2364488 2664602 1823979 8647891 150 1047 5894 7091 59664985 148828696 0.62770 0.57000 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER REVENUE - 2018 AMOUNT: $ 150. 2019 AMOUNT: $ 1,047. 2020 AMOUNT: $ 5,894. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 X 17423742 17423742 1075914 574475 501439 430157 263291 166866 1944474 1944474 0 668305 X 45818261 1692767 204179 7349 2984430 4888725 40929536 0 40929536 41017042 204179 3724613 3928792 37088250 0 37088250 PART IV, LINE 2B: THE ORGANIZATION RECEIVES FUNDS ON BEHALF OF STUDY GROUPS AND PASSES THROUGH TO THEM AS REQUESTED. THE FUNDS ARE RECORDED ON FORM 990, PART X, LINE 21. PART X, LINE 2: THE ORGANIZATION RECOGNIZES THE EFFECT OF TAX POSITIONS ONLY WHEN THEY ARE MORE LIKELY THAN NOT TO BE SUSTAINED. MANAGEMENT HAS DETERMINED THAT THE ORGANIZATION HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. THE ORGANIZATION IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO DECEMBER 31, 2017. PART XI, LINE 2D - OTHER ADJUSTMENTS: REVENUE OF SUBSIDIARY INCLUDED IN CONSOLIDATED AFS 2,984,430. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES OF SUBSIDIARY INCLUDED IN CONSOLIDATED AFS 3,724,613. 1 MAYO CLINIC 200 FIRST STREET SW ROCHESTER MN 55905 416011702 501(C)(3) 2164694 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 3009 OLD BLINIC BLDG CHAPEL HILL NC 27599 566001393 501(C)(3) 894019 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH DANA-FARBER CANCER INSTITUTE INC 44 BINNEY STREET BOSTON MA 02115 042263040 501(C)(3) 492263 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH WASHINGTON UNIVERSITY 660 S EUCLID ST LOUIS MO 63110 430653611 501(C)(3) 479886 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH DUKE UNIVERSITY 2301 ERWIN ROAD DURHAM NC 27710 560532129 501(C)(3) 352283 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH UNIVERSITY OF CHICAGO 5841 S MARYLAND AVENUE CHICAGO IL 60637 362177139 501(C)(3) 320375 INSTITUTIONAL SUPPORT FOR CANCER RESEARCH OHIO STATE UNIVERSITY 1960 KENNY ROAD COLUMBUS OH 43210 316025986 501(C)(1) 240943 INSTITUTIONAL SUPPORT FOR CANCER 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PAYMENTS OF GRANTS ARE NOT MADE UNTIL THE GRANTEE SUBMITS AN INVOICE, REFERENCING A STUDY UNDERWAY. ALL INVOICES ARE REVIEWED AND APPROVED BY OPERATIONS. THE DISBURSEMENTS ARE ALSO MONITORED BY THE BOARD TREASURER. THE ORGANIZATION RUNS AND MAINTAINS REPORTS IDENTIFYING GRANT PAYMENT OBLIGATIONS AND GRANT PAYMENTS. X X X 0 0 0 0 0 0 0 1 0 SHEILAH HURLEY CHIEF OPERATING OFFICER 204867 0 18405 0 0 0 16500 0 15609 0 255381 0 0 0 DHRUVA GOLLERKERI TREASURER/CONTROLLER 143745 0 30000 0 0 0 5212 0 27129 0 206086 0 0 0 KERI SAFAII SENIOR DIRECTOR, DATA LAB 169569 0 15036 0 0 0 0 0 9273 0 193878 0 0 0 CARTER DUFRANE DIRECTOR OF CLINICAL TRIALS OPERATIONS 172500 0 10197 0 0 0 0 0 9285 0 191982 0 0 0 JANE LANZILLOTTI SENIOR PROJECT MANAGER 139196 0 8319 0 0 0 11470 0 10952 0 169937 0 0 0 ANDREA REINO DIRECTOR OF CONTRACTS ADMINISTRATION 135653 0 10890 0 0 0 4396 0 8805 0 159744 0 0 0 SYLVIA HRBEK GROUP ASST. CONTROLLER 125379 0 11250 0 0 0 4099 0 18886 0 159614 0 0 0 JESSICA LAMP SENIOR PROJECT MANAGER 131041 0 7725 0 0 0 6938 0 9109 0 154813 0 0 0 PART I, LINE 7 THE FOLLOWING EMPLOYEES RECEIVED A NONFIXED BONUS THAT WAS MADE BASED ON MERIT AND AT THE DISCRETION OF MANAGEMENT. THE PAYMENTS ARE INCLUDED IN PART VII, COLUMN (D) AND SCHEDULE J, PART II, COLUMN (B)(II). -CARTER DUFRANE: $10,197 -DHRUVA GOLLERKERI: $30,000 -SYLVIA HRBEK: $11,250 -SHEILAH HURLEY: $18,405 -JESSICA LAMP: $7,725 -JANE LANZILLOTTI: $8,319 -KERI SAFAII: $15,036 -ANDREA REINO: $10,890 FORM 990, PART VI, SECTION A, LINE 3 ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY FOUNDATION (THE "FOUNDATION") USES INSPERITY, A PROFESSIONAL EMPLOYER ORGANIZATION ("PEO"). AS A PROFESSIONAL EMPLOYER ORGANIZATION, INSPERITY PROVIDES PROFESSIONAL EMPLOYER SERVICES TO THE FOUNDATION. IN THE PEO RELATIONSHIP, INSPERITY AND THE FOUNDATION SHARE CERTAIN RESPONSIBILITIES AND ALLOCATE OTHER EMPLOYER RESPONSIBILITIES BETWEEN EACH OTHER. THE FOUNDATION REMAINS AN EMPLOYER OF THE WORKSITE EMPLOYEES AND INSPERITY IS A CO-EMPLOYER. THE FOUNDATION INCURRED EXPENSES IN THE AMOUNT OF $107,258 FOR PEO SERVICES DURING THE YEAR ENDING DECEMBER 31, 2020. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD RETAINS THE SERVICES OF AN INDEPENDENT CPA FIRM TO PREPARE THE ORGANIZATION'S FORM 990. THE FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE AND THE CORPORATE OFFICERS PRIOR TO FILING WITH A REASONABLE AMOUNT OF TIME TO REVIEW AND PROVIDE ANY QUESTIONS OR OBSERVATIONS DIRECTLY TO THE ORGANIZATION. THE GOVERNING BODY IS GIVEN AN OPPORTUNITY TO REVIEW THE RETURN AND PROVIDE ANY QUESTIONS OR OBSERVATIONS DIRECTLY TO THE ORGANIZATION'S MANAGEMENT OR THE CONTACT AT THE INDEPENDENT CPA FIRM PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS A CONFLICT OF INTEREST POLICY APPLICABLE TO OFFICERS, TRUSTEES, EMPLOYEES, AND INDEPENDENT CONTRACTORS. ANY INDIVIDUAL INVOLVED IN A FOUNDATION DECISION-MAKING PROCESS HAS AN OBLIGATION TO DISCLOSE ANY CONFLICTING OR POTENTIALLY CONFLICTING PERSONAL, PROFESSIONAL OR BUSINESS INTEREST HE OR SHE MAY HAVE, DIRECTLY OR INDIRECTLY, TO THE COMPLIANCE OFFICER OF THE FOUNDATION. UNLESS SUCH INTEREST HAS FIRST BEEN DISCLOSED TO THE OTHER PARTICIPANTS IN THE DECISION-MAKING BODY, NO TRUSTEE SHALL VOTE ON ANY MATTER IN WHICH HE OR SHE HAS AN INTEREST. IN SOME CASES, RECUSAL FROM VOTING ON A MATTER AND LIMITING THE INDIVIDUAL'S PARTICIPATION ONLY TO PROVIDING FACTUAL INFORMATION BENEFITING THE GROUP DISCUSSION MAY BE NECESSARY. OFFICERS, TRUSTEES AND KEY EMPLOYEES ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT AS A PRECURSOR TO THEIR SERVICE TO THE ORGANIZATION AND COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT ON AN ANNUAL BASIS. POTENTIAL CONFLICTS ARE LOGGED WITH AND MONITORED BY THE SECRETARY OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD OF TRUSTEES USES VARIOUS COMPARABILITY DATA FROM INDEPENDENT CONSULTANTS AS WELL AS OTHER MARKET SURVEYS TO SET GUIDELINES FOR DETERMINING THE COMPENSATION OF THE CHIEF OPERATING OFFICER, CONTROLLER, SECRETARY, AND THE DIRECTOR OF CLINICAL TRIALS OPERATIONS. THESE GUIDELINES INCLUDE REVIEW OF THE MARKET BY LOOKING AT SALARIES FOR COMPARABLE POSITIONS AS WELL AS A MERIT AND BONUS PROGRAM BASED ON PERFORMANCE. COMPENSATION DECISIONS ARE MADE BY PERSONS WHO ARE INDEPENDENT OF THE EMPLOYEES FOR WHOM THE COMPENSATION IS BEING DETERMINED. CONTEMPORANEOUS DOCUMENTATION OF THE DECISIONS IS MAINTAINED BY THE ORGANIZATION. COMPENSATION REVIEW IS PERFORMED ON AN ANNUAL BASIS AND WAS LAST CONDUCTED IN 2020. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: RECOVERIES OF PRIOR YEAR GRANTS 7,349. NET ASSET TRANSFER TO RELATED ORGANIZATION -1,888,793. FORM 990, PART XII, LINE 2C: THE ORGANIZATION HAS A COMMITTEE THAT ASSUMES RESPONSIBILITY FOR THE AUDIT OF ITS FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. ALLIANCE FOUNDATION TRIALS LLC 125 S WACKER DR SUITE 1600 CHICAGO IL 60606 465750590 CLINICAL TRIALS IL 29302750 31910898 ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY FOUNDATION ALLIANCE DATA INNOVATION LAB LLC 125 S WACKER DR SUITE 1600 CHICAGO IL 60606 844021263 CLINICAL TRIALS IL 1 1887180 ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY FOUNDATION ALLIANCE NCTN FOUNDATION 125 S WACKER DR SUITE 1600 CHICAGO IL 60606 844029941 PROVIDES SCIENTIFIC AND OPERATIONAL INFRASTRUCTURE IL 501(C)(3) LINE 7 ALLIANCE FOR CLINICAL TRIALS IN ONCOLOGY FOUNDATION 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 1 1 0 0 ALLIANCE NCTN FOUNDATION O 232682 COST ALLIANCE DATA INNOVATION LAB LLC B 1792622 COST