2019-11-15T16:29:01-06:00 2018-12-31 910605875 PETERSON SULLIVAN LLP CPA'S 601 UNION ST STE 2300 SEATTLE WA 981012345 990 2018-01-01 912155317 ALLEN INSTITUTE ALLE 2065487000 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 MARJORIE THOMAS CFO 2065487000 2019-11-15 1 MATTHEW R MATSON P00775671 2063827777 2019-11-15 38.100.226.178 2019-11-15 12:51:02 PS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 8806A3DB8D75E69CC7998BBD071AF0157C0288D1 2018 2020-03-31 21:24:44Z ALLAN JONES 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 63151187 0 X WWW.ALLENINSTITUTE.ORG X 2003 WA THE MISSION OF THE ALLEN INSTITUTE IS TO UNLOCK THE COMPLEXITIES OF BIOSCIENCE AND ADVANCE OUR KNOWLEDGE TO IMPROVE HUMAN HEALTH. USING AN OPEN SCIENCE, MULTI-SCALE, TEAM-ORIENTED APPROACH, THE ALLEN INSTITUTE FOCUSES ON ACCELERATING FOUNDATIONAL RESEARCH, DEVELOPING STANDARDS AND MODELS, AND CULTIVATING NEW IDEAS TO MAKE A BROAD, TRANSFORMATIONAL IMPACT ON SCIENCE. 7 4 556 0 0 386677 12672544 30630867 0 0 5504631 7768483 36852 114914 18214027 38514264 0 6708628 0 0 47821945 56978434 0 0 0 51766647 50136054 99588592 113823116 -81374565 -75308852 360573543 276340900 15559236 13303347 345014307 263037553 X THE MISSION OF THE ALLEN INSTITUTE IS TO UNLOCK THE COMPLEXITIES OF BIOSCIENCE AND ADVANCE OUR KNOWLEDGE TO IMPROVE HUMAN HEALTH. USING AN OPEN SCIENCE, MULTI-SCALE, TEAM-ORIENTED APPROACH, THE ALLEN INSTITUTE FOCUSES ON ACCELERATING FOUNDATIONAL RESEARCH, DEVELOPING STANDARDS AND MODELS, AND CULTIVATING NEW IDEAS TO MAKE A BROAD, TRANSFORMATIONAL IMPACT ON SCIENCE. 0 0 92991980 6708628 2885 THE GOAL OF THE ALLEN INSTITUTE IS TO ACCELERATE THE UNDERSTANDING OF HOW THE HUMAN BRAIN WORKS IN HEALTH AND DISEASE. USING A TEAM SCIENCE APPROACH, WE GENERATE USEFUL PUBLIC RESOURCES, DRIVE TECHNOLOGICAL AND ANALYTICAL ADVANCES, AND DISCOVER FUNDAMENTAL BRAIN PROPERTIES THROUGH INTEGRATION OF EXPERIMENTS, MODELING, AND THEORY. 92991980 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 1 256 0 1 556 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 7 4 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MARJORIE THOMAS 2065487000 615 WESTLAKE AVENUE NORTH SEATTLE WA 98109 ALLEN JO LYNN DIRECTOR 10.00 X 0 0 0 ISRAEL ALLEN D DIRECTOR 10.00 X 0 0 0 HALL STEPHEN DIRECTOR 10.00 X 0 0 0 BROWN NATHANIEL DIRECTOR 10.00 X 0 0 0 DANIEL THOMAS DIRECTOR 10.00 X 0 0 0 STRYKER MICHAEL DIRECTOR 10.00 X 15000 0 0 ALIVISATOS PAUL DIRECTOR 10.00 X 0 0 0 JONES ALLAN R PRESIDENT 40.00 X 762854 0 24328 SKALAK THOMAS COOPER VICE PRESIDENT 40.00 X 375629 0 9276 KOCH CHRISTOF VICE PRESIDENT 40.00 X 491743 0 15188 DANG CHINH N VICE PRESIDENT 40.00 X 268782 0 12177 HORWITZ ALAN FREDRICK VICE PRESIDENT 40.00 X 379624 0 20506 LARSON MAJA D VICE PRESIDENT, SECRETARY 40.00 X 302272 0 20506 THOMAS MARJORIE VICE PRESIDENT, TREASURER 40.00 X 399759 0 15320 BUMOL THOMAS VICE PRESIDENT 40.00 X 501790 0 19042 PETERSON TODD VICE PRESIDENT 40.00 X 22518 0 0 REID ROBERT CLAY INVESTIGATOR, SENIOR 40.00 X 394965 0 23903 SMITH STEPHEN MERITORIOUS INVESTIGATOR 40.00 X 319245 0 15320 ZENG HONGKUI EXECUTIVE DIRECTOR, STRUCTURED SCIENCE 40.00 X 323424 0 15320 HAWRYLYCZ MICHAEL J INVESTIGATOR 40.00 X 292969 0 15760 PHILLIPS JOHN W EXECUTIVE DIRECTOR, STRATEGY AND EVALUATION 40.00 X 302904 0 21970 WOHNOUTKA PAUL FORMER SENIOR DIRECTOR OF OPERATIONS 40.00 X 231203 0 20923 5384681 0 249539 129 1 1 0 WASHINGTON BUILDERS LLC 505 FIFTH AVE SEATTLE WA 98104 GENERAL CONTRACTOR 626448 NUWEST GROUP HOLDINGS PO BOX 40285 BELLEVUE WA 98015 TEMP AGENCY 279227 DIVERSIFIED SEARCH 2005 MARKET STREET PHILADELPHIA PA 19103 EXECUTIVE SEARCH FIRM 161670 DECIDE SOLUTIONS LLC 8310 16TH AVE NW SEATTLE WA 98117 CONSULTING SERVICE FOR ORACLE ERP 116000 VACO SEATTLE LLC 5410 MARYLAND WAY BRENTWOOD TN 37027 AGENCY FOR TECH/ENGINEERING CONTRACTORS 108250 7 28521946 2108921 30630867 8298441 8298441 24000057 106908 24571722 65201 -571665 41707 -529958 -529958 CLAIM SETTLEMENT 900099 79524 79524 REBATES 900099 25609 25609 OTHER INCOME 900099 6896 6896 2885 2885 114914 38514264 2885 0 7880512 5533747 5533747 1174881 1174881 3656315 2929431 726884 42819557 34262525 8557032 2040404 1644536 395868 5159184 4158228 1000956 3302974 2642910 660064 460060 172967 287093 105060 105060 60000 60000 6430953 4894632 1536321 158301 122517 35784 2322092 903514 1418578 15312674 12349446 2963228 1016128 886180 129948 850608 699733 150875 13687641 11569302 2118339 LABORATORY SUPPLIES 8342144 8342144 RECRUITING 563554 403046 160508 PUBLIC EDUCATION 413526 212082 201444 MISCELLANEOUS 413313 90159 323154 113823116 92991980 20831136 0 903836 5610298 112405260 50588794 4151279 6665696 24585 59407 1178642 936722 2767873 4034051 128181191 48073061 86479209 80108130 152662859 128337802 360573543 276340900 10932916 11098762 3411663 1405223 1214657 799362 15559236 13303347 X 345014307 263037553 345014307 263037553 360573543 276340900 -75308852 -6667902 0 X 0 1 X 1 1 1 X UNIV OF WA SCHOOL OF MEDICINE AND MEDICAL CENTER SEATTLE WA OREGON HEALTH & SCIENCE UNIVERSITY PORTLAND OR RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 89443 89443 113733673 113823116 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 80124 85297 87183 89443 342047 250000 250000 250000 250000 1000000 1500000 65063957 10422551 54641406 59673450 35614815 24058635 3443784 2035695 1408089 80108130 DEFERRED RENT 799362 799362 31846362 -6667902 -6667902 38514264 0 38514264 113823116 0 113823116 0 113823116 1 MIDDLE EAST 0 0 SUBAWARD, CONFERENCES, PROGRAM SERVICES MEDICAL RESEARCH 117945 EAST ASIA AND PACIFIC 0 0 SUBAWARD, CONFERENCES, PROGRAM SERVICES MEDICAL RESEARCH, MATERIAL TRANSFERS 315649 EUROPE 0 0 SUBAWARD, CONFERENCES, PROGRAM SERVICES MEDICAL RESEARCH, MATERIAL TRANSFERS 1767760 NORTH AMERICA 0 0 CONFERENCES, PROGRAM SERVICES MEDICAL RESEARCH, MATERIAL TRANSFERS 24976 0 0 0 0 0 0 2226330 0 2226330 MIDDLE EAST SUBAWARD 103422 WIRE EAST ASIA AND PACIFIC SUBAWARD 252360 WIRE EUROPE SUBAWARD 251196 WIRE EUROPE SUBAWARD 329022 WIRE EUROPE SUBAWARD 238881 WIRE 0 5 0 0 0 0 0 0 PART I, LINE 2: THE ALLEN INSTITUTE ASSIGNS RESPONSIBILITY FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE THE UNITED STATES TO ITS OFFICE OF SPONSORED RESEARCH. THIS OFFICE MONITORS ALL GRANT MAKING ACTIVITY INCLUDING ALL APPLICABLE COMPLIANCE REGULATIONS. MONITORING INCLUDES PERIODIC REVIEWS OF BUDGET TO ACTUAL REPORTS BY BOTH THE OFFICE OF SPONSORED RESEARCH AND THE PRINCIPAL INVESTIGATOR TO ENSURE FUNDS ARE USED ACCORDING TO THE AGREEMENT. EXPENSES ARE ACCOUNTED FOR ON AN ACCRUAL BASIS. 1 CALIFORNIA INSTITUTE OF TECHNOLOGY MC 114-96 1200 E CALIFORNIA BLVD PASEDENA CA 91125 951643307 501(C)3 6713 MEDICAL RESEARCH DUKE UNIVERSITY PO BOX 602651 CHARLOTTE NC 28260 560532129 501(C)3 678395 MEDICAL RESEARCH JOHNS HOPKINS UNIVERSITY GENERAL ACCOUNTING MP1-S186 LAUREL MD 20723 520595111 501(C)3 315754 MEDICAL RESEARCH THE REGENTS OF THE UC SAN FRANCISCO ACCOUNTING OFFICE - EMF BOX 0897 SAN FRANCISCO CA 94143 946036493 501(C)3 193770 MEDICAL RESEARCH UNIVERSITY OF NC AT CHAPEL HILL PO BOX 402420 BANK OF AMERICA LOCKBOX ATLANTA GA 30384 566001393 501(C)3 119956 MEDICAL RESEARCH THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY PO BOX 44253 SAN FRANCISCO CA 94144 941156365 501(C)3 134606 MEDICAL RESEARCH THE REGENTS OF THE UC DAVIS PO BOX 989062 WEST SACRAMENTO CA 95798 946036494 501(C)3 103623 MEDICAL RESEARCH THE BROAD INSTITUTE INC 415 MAIN STREET CAMBRIDGE MA 02142 263428781 501(C)3 590666 MEDICAL RESEARCH TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 125 SOUTH 31ST STREET SUITE 2000 PHILADELPHIA PA 19104 231352685 501(C)3 93742 MEDICAL RESEARCH UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE LA JOLLA CA 92093 956006144 CORPORATION 287525 MEDICAL RESEARCH PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 415649 BOSTON MA 02241 042103580 501(C)3 850494 MEDICAL RESEARCH BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA ROOM-BCM280 HOUSTON TX 77030 741613878 501(C)3 1003647 MEDICAL RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY CASHIERS OFFICE NE46-3160 77 MASSACHUSETTS AVE CAMBRIDGE MA 02139 042103594 501(C)3 100600 MEDICAL RESEARCH THE REGENTS OF THE UC BERKLEY 2080 ADDISON STREET BERKELEY CA 94720 946090626 501(C)3 1054256 MEDICAL RESEARCH 13 1 PART I, LINE 2: THE ALLEN INSTITUTE ASSIGNS RESPONSIBILITY FOR MONITORING THE USE OF GRANT FUNDS INSIDE THE UNITED STATES TO ITS OFFICE OF SPONSORED RESEARCH. THIS OFFICE MONITORS ALL GRANT MAKING ACTIVITY INCLUDING ALL APPLICABLE COMPLIANCE REGULATIONS. MONITORING INCLUDES PERIODIC REVIEWS OF BUDGET TO ACTUAL REPORTS BY BOTH THE OFFICE OF SPONSORED RESEARCH AND THE PRINCIPAL INVESTIGATOR TO ENSURE FUNDS ARE USED ACCORDING TO THE AGREEMENT. EXPENSES ARE ACCOUNTED FOR ON AN ACCRUAL BASIS. X X X X 0 1 X X X X 1 0 0 0 0 0 0 1 0 JONES ALLAN R PRESIDENT 570669 0 192185 0 0 0 9250 0 15078 0 787182 0 0 0 SKALAK THOMAS COOPER VICE PRESIDENT 226030 0 42742 0 106857 0 3389 0 5887 0 384905 0 0 0 KOCH CHRISTOF VICE PRESIDENT 418612 0 71041 0 2090 0 9250 0 5938 0 506931 0 0 0 DANG CHINH N VICE PRESIDENT 223882 0 44900 0 0 0 6815 0 5362 0 280959 0 0 0 HORWITZ ALAN FREDRICK VICE PRESIDENT 350076 0 28559 0 989 0 9250 0 11256 0 400130 0 0 0 LARSON MAJA D VICE PRESIDENT, SECRETARY 278241 0 24031 0 0 0 9250 0 11256 0 322778 0 0 0 THOMAS MARJORIE VICE PRESIDENT, TREASURER 354452 0 45056 0 251 0 9250 0 6070 0 415079 0 0 0 BUMOL THOMAS VICE PRESIDENT 341790 0 10000 0 150000 0 9250 0 9792 0 520832 0 0 0 REID ROBERT CLAY INVESTIGATOR, SENIOR 350631 0 44334 0 0 0 8825 0 15078 0 418868 0 0 0 SMITH STEPHEN MERITORIOUS INVESTIGATOR 319245 0 0 0 0 0 9250 0 6070 0 334565 0 0 0 ZENG HONGKUI EXECUTIVE DIRECTOR, STRUCTURED SCIEN 294036 0 26369 0 3019 0 9250 0 6070 0 338744 0 0 0 HAWRYLYCZ MICHAEL J INVESTIGATOR 285837 0 7132 0 0 0 9250 0 6510 0 308729 0 0 0 PHILLIPS JOHN W EXECUTIVE DIRECTOR, STRATEGY AND EVA 278717 0 23543 0 644 0 9250 0 12720 0 324874 0 0 0 WOHNOUTKA PAUL FORMER SENIOR DIRECTOR OF OPERATIONS 231203 0 0 0 0 0 9250 0 11673 0 252126 0 0 0 PART I, LINE 1A PERIODICALLY, SENIOR EXECUTIVES MAY TAKE FIRST CLASS TRAVEL DUE TO LENGTH OF THE TRIP, TIMING OF FLIGHT OR VISIT SCHEDULE. TAX GROSS UPS OF MOVING EXPENSES MAY BE PAID TO RECRUIT NEW EMPLOYEES. ALL EMPLOYEES ARE ENTITLED TO 75% OF HEALTH CLUB DUES REIMBURSEMENT (UP TO $140 OF REIMBURSEMENT/MONTH), BUT NOT UNDER A QUALIFIED BENEFIT PLAN. PART I, LINE 1B WE FOLLOWED THE WRITTEN POLICIES FOR 'HEALTH CLUB REIMBURSEMENT GUIDELINES'. WE DO NOT HAVE A WRITTEN 'HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE' POLICY. THE HOUSING ALLOWANCE BENEFIT IS REVIEWED BY HUMAN RESOURCES AND THE PRESIDENT. PART I, LINE 4A THOMAS SKALAK, $106,857 PART I, LINE 7 THE PRESIDENT AND CERTAIN SENIOR INSTITUTE LEADERS ARE ELIGIBLE FOR AN ANNUAL PERFORMANCE BONUS BASED UPON ATTAINMENT OF INSTITUTE-WIDE OR, IN CERTAIN CASES, INDIVIDUAL GOALS. AT THE END OF THE COMPENSATION YEAR (JUNE 1, 2017 - MAY 31, 2018) INSTITUTE SENIOR LEADERSHIP ASSESSED PERFORMANCE COMPARED TO THE INSTITUTE-WIDE GOALS DURING THE PERIOD. THE SENIOR-MOST LEADERS WHO ALSO WERE MEASURED TO INDIVIDUAL GOALS ALSO REVIEWED AND AGREED, WITH THEIR MANAGERS, THEIR PERFORMANCE COMPARED TO THEIR INDIVIDUAL GOALS. BASED UPON INPUT FROM THESE ASSESSMENTS, THE PRESIDENT PROPOSED RECOMMENDED BONUS AMOUNTS FOR EACH BONUS-ELIGIBLE EMPLOYEE. THE COMPENSATION COMMITTEE REVIEWED AND ULTIMATELY APPROVED THE BONUS AWARDS. FOUNDERCREATOR AIBS LEASING 13458784 LEASE PAYMENTS 0 MICHAEL STRYKER SCIENTIFIC ADVISORY MEMBER 15000 HONORARIUM 0 FORM 990, PART VI, SECTION A, LINE 2 JO LYNN ALLEN HAS A BUSINESS RELATIONSHIP WITH ALLEN ISRAEL. ALLEN ISRAEL HAS A BUSINESS RELATIONSHIP WITH JO LYNN ALLEN. FORM 990, PART VI, SECTION A, LINE 4 THE INSTITUTE'S BYLAWS WERE AMENDED IN JUNE 2018. THE MAXIMUM NUMBER ALLOWABLE ON THE BOARD OF DIRECTORS WAS INCREASED FROM SIX TO TWELVE MEMBERS AND A MAXIMUM OF THREE, THREE YEAR TERMS WAS IMPLEMENTED. FORM 990, PART VI, SECTION B, LINE 11B THE FINANCE DEPARTMENT AND THE LEGAL DEPARTMENT PERFORM A THOROUGH REVIEW BEFORE FILING, AND THE BOARD MEMBERS ARE GIVEN COPIES BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C THE PERSONS COVERED UNDER THE ALLEN INSTITUTE BOARD OF DIRECTORS CONFLICT OF INTEREST POLICY ARE THE ALLEN INSTITUTE'S BOARD OF DIRECTORS. THE ALLEN INSTITUTE PLACES UPON ALL DIRECTORS COVERED UNDER THIS POLICY, A DUTY TO DISCLOSE ANY ACTUAL OR POSSIBLE CONFLICTS OF INTEREST TO THE ALLEN INSTITUTE. FURTHERMORE, DIRECTORS ANNUALLY AFFIRM THAT THEY HAVE READ AND AGREE TO COMPLY WITH THE POLICY. AFTER DISCLOSURE OF AN ACTUAL OR POSSIBLE CONFLICT, PERSONS WITH A CONFLICT SHALL BE EXCUSED FROM THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION INVOLVING THE POSSIBLE CONFLICT. THE REMAINING DISINTERESTED DIRECTORS WILL DETERMINE WHETHER A CONFLICT OF INTEREST EXISTS. IF A CONFLICT IS FOUND, THE BOARD CHAIRPERSON, IF APPROPRIATE, WILL APPOINT A DISINTERESTED PERSON TO INVESTIGATE ALTERNATIVES TO THE TRANSACTION THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. IF ANY ALTERNATIVE TRANSACTIONS ARE NOT REASONABLE, THE BOARD SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE CONFLICTED TRANSACTION IS FAIR, REASONABLE, AND IN THE BEST INTEREST OF THE ALLEN INSTITUTE. THE PERSONS COVERED UNDER THE ALLEN INSTITUTE CONFLICT OF INTEREST POLICY ARE ALL EMPLOYEES, INCLUDING THE ALLEN INSTITUTE'S PRINCIPAL OFFICERS AND KEY EMPLOYEES. THE ALLEN INSTITUTE PLACES UPON ALL PRINCIPAL OFFICERS AND KEY EMPLOYEES UNDER THIS POLICY A DUTY TO DISCLOSE ANY ACTUAL OR POSSIBLE CONFLICTS OF INTEREST TO THE ALLEN INSTITUTE. FURTHERMORE, ALL EMPLOYEES, INCLUDING PRINCIPAL OFFICERS AND KEY EMPLOYEES ANNUALLY UPDATE AND REVIEW EXISITING DISCLOSURES, AS WELL AS DISCLOSE NEW CONFLICTS OF INTEREST. AFTER DISCLOSURE OF AN ACTUAL OR POSSIBILE CONFLICT, THE ALLEN INSTITUTE DETERMINES THE APPROPRIATE OVERSIGHT AND CONTROL, BASED ON THE CIRCUMSTANCES, TO PROPERLY MANAGE THE CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE MAKES A RECOMMENDATION TO THE BOARD OF DIRECTORS REGARDING THE COMPENSATION OF THE PRESIDENT USING THE FOLLOWING PRACTICES: CHIEF ADMINISTRATIVE OFFICER AND THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT BENCHMARK SENIOR INSTITUTE EXECUTIVE LEADERSHIP CASH COMPENSATION TO ASSESS MARKET CONSISTENCY. THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THESE ASSESSMENTS AND EXTERNAL COMPENSATION RESOURCES COMPILED BY THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT. BASED ON THESE REVIEWS THE COMPENSATION COMMITTEE ESTABLISHES SALARY ADJUSTMENTS FOR THE PRESIDENT AND THE PRESIDENT'S DIRECT REPORTS. FORM 990, PART VI, SECTION C, LINE 19 THE ALLEN INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, AND FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. THE FINANCIAL CONFLICT OF INTEREST IS AVAILABLE ON THE ALLEN INSTITUTE WEBSITE.