2017-11-14T16:59:33-06:00 2016-12-31 540618213 HANTZMON WIEBEL LLP CPA'S 818 E JEFFERSON ST PO BOX 1408 CHARLOTTESVILLE VA 22902 990 2016-01-01 311685355 THE IVY FOUNDATION IVY 4342962156 C/O DR BATTLE 1805 OWENSFIELD DR CHARLOTTESVILLE VA 22901 MARTHA BATTLE MD VICE PRESIDENT & TREASURER 4342962156 2017-11-13 1 PHILLIP W SHIFLETT P00319333 4342962156 216.30.185.162 2017-11-13 09:59:57 ES P 381C0FCDF672A1B75914BDE25125AEFC3451D5C1 7B6832AF23B0CF7376EA265A48073B07B2EA5A85 2016 2017-02-10 21:41:12Z ROBERT BATTLE MD C/O DR BATTLE 1805 OWENSFIELD DR CHARLOTTESVILLE VA 22901 2392988 0 X N/A X 1999 VA THE FOUNDATION IS ORGANIZED AND OPERATED EXCLUSIVELY FOR THE BENEFIT OF THE UNIVERSITY OF VIRGINIA BY PROVIDING FINANCIAL SUPPORT FOR SCIENTIFIC RESEARCH AT THE UNIVERSITY'S HEALTH SCIENCES CENTER, SCHOOL OF ENGINEERING AND APPLIED SCIENCES, AND COLLEGE OF ARTS AND SCIENCES. 6 0 0 0 0 0 0 0 0 0 224335 232533 0 0 224335 232533 250000 250000 0 0 5000 6000 0 0 0 47287 44985 302287 300985 -77952 -68452 4085278 4250535 0 0 4085278 4250535 THE FOUNDATION IS ORGANIZED AND OPERATED EXCLUSIVELY FOR THE BENEFIT OF THE UNIVERSITY OF VIRGINIA BY PROVIDING FINANCIAL SUPPORT FOR SCIENTIFIC RESEARCH AT THE UNIVERSITY'S HEALTH SCIENCES CENTER, SCHOOL OF ENGINEERING AND APPLIED SCIENCES, AND COLLEGE OF ARTS AND SCIENCES. 0 0 250000 250000 PROVIDE FINANCIAL SUPPORT AND PROGRAM SUPPORT FOR SCIENTIFIC RESEARCH AT THE UNIVERSITY OF VIRGINIA'S HEALTH SCIENCES CENTER. 250000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 7 0 0 0 0 0 0 0 0 0 0 0 0 X 6 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 0 0 0 X THE ORGANIZATION 4342962156 C/O DR BATTLE 1805 OWENSFIELD DR CHARLOTTESVILLE VA 22901 ROBERT BATTLE MD CHAIRMAN & PRESIDENT 1.00 X X 1000 0 0 MARTHA BATTLE MD VICE PRESIDENT & TREASURER 1.00 X X 1000 0 0 ALDEN ENGLISH SECRETARY 1.00 X X 1000 0 0 DEAN GIANAKOS MD DIRECTOR 1.00 X 1000 0 0 CHRISTOPHER KRAMER MD DIRECTOR 1.00 X 1000 0 0 DAVID WILKES MD DIRECTOR 1.00 X 1000 0 0 6000 0 0 0 0 0 0 0 84142 84142 2308846 2160455 148391 148391 148391 232533 0 0 232533 250000 250000 6000 6000 34669 34669 8750 8750 LICENSES AND TAXES 1566 1566 300985 250000 50985 0 382960 158084 3701724 4092451 594 4085278 4250535 0 0 X 4085278 4250535 4085278 4250535 4085278 4250535 -68452 233709 0 X X 0 1 X 1 0 X X 1 UNIVERSITY OF VIRGINIA 546001796 6 1 250000 0 1 250000 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 103218 84142 103218 84142 0 0 47257 44985 0 0 55961 39157 4061679 4171986 386129 45576 0 0 4447808 4217562 0 0 0 4447808 4217562 66717 63263 4381091 4154299 153338 145400 0 0 153338 145400 55961 47567 153338 153338 0 153338 250000 0 0 0 0 0 250000 250000 153338 100.000000000000 153338 0 455286 250000 250000 955286 0 153338 801948 250000 0 250000 0 0 1051948 301948 250000 250000 250000 SCHEDULE A, PAGE 5, SECTION D, LINE 3. THE "SIGNIFICANT VOICE" TEST: - THE FOUNDATION'S OFFICERS AND BOARD OF DIRECTORS MAINTAIN AN ONGOING DIALOGUE WITH THE UNIVERSITY OF VIRGINIA'S (THE "UNIVERSITY") LEADERSHIP. THE BOARD OF THE FOUNDATION IS NORMALLY COMPOSED OF SIX TO SEVEN MEMBERS. ONE DIRECTOR IS APPOINTED BY THE SUPPORTED ORGANIZATION (UVA). THREE OTHER BOARD MEMBERS ARE FULL-TIME PHYSICIANS EMPLOYED BY THE SUPPORTED ORGANIZATION. HAVING THREE BOARD MEMBERS WITH STRONG AFFILIATION WITH THE SUPPORTED ORGANIZATION PROVIDES FOR A "SIGNIFICANT VOICE" IN THE FOUNDATIONS ACTIVITIES. IN ADDITION, REPRESENTATIVES FROM THE UNIVERSITY ATTEND ALL FOUNDATION BOARD MEETINGS AND COMMUNICATE INFORMATION REGARDING VARIOUS NEEDS AND INITIATIVES OF THE UNIVERSITY. DUE TO THIS CLOSE WORKING RELATIONSHIP, THE UNIVERSITY HAS A SIGNIFICANT VOICE IN DIRECTING THE FOUNDATION'S INVESTMENT POLICIES, AND THE USE OF THE FOUNDATION'S INCOME AND ASSETS TO PROVIDE FUNDING TO THE UNIVERSITY OF VIRGINIA. SCHEDULE A. PAGE 7 PART 5 SECTION D LINE 8 ATTENTIVENESS THIS FOUNDATION HAS A LONG HISTORY OF SUPPORTING THE UNIVERSITY OF VIRGINIA IN SUBSTANTIAL AND IMPORTANT WAYS SINCE ITS FORMATION. IN 2006, THE FOUNDATION MADE A $45,000,000 GRANT TO THE UNIVERSITY TO PROVIDE "LEAD GIFT" SUPPORT FOR THREE NEW FACILITIES. A CANCER CENTER, A CHILDREN'S HOSPITAL, AND THE UVA IVY TRANSLATIONAL RESEARCH BUILDING, HAVE BEEN ACQUIRED OR CONSTRUCTED AND PLACED IN SERVICE BY THE UNIVERSITY MEDICAL CENTER. THESE SIGNIFICANT PERMANENT FACILITIES WILL POSITIVELY IMPACT IN A MAJOR WAY THE UNIVERSITY'S PATIENT CARE AND RESEARCH EFFORTS FOR MANY YEARS TO COME. SINCE 2008, THE FOUNDATION HAS PROVIDED $200,000 TO $250,000 ANNUALLY TO THE UNIVERSITY TO PROVIDE FUNDING FOR A NUMBER OF SMALL RESEARCH PROJECTS UNDERTAKEN BY UVA STAFF. THIS FUNDING ALLOWS FOR THE INITIAL FUNDING FOR MANY IMPORTANT PROJECTS, WHICH MAY LATER BE CANDIDATES FOR LARGER GRANTS FROM NIH OR OTHER SPONSORS. THE AVAILABILITY OF THIS TYPE OF GRANT IS LIMITED. ACCORDINGLY, THE FOUNDATION FULFILLS AN IMPORTANT NICHE FOR RESEARCH AT THE UNIVERSITY OF VIRGINIA. SR. DEAN OF RESEARCH OF THE UNIVERSITY REPORTS ON PROGRAM TO THE FOUNDATION'S BOARD. THE CONSISTENT AND ONGOING INVOLVEMENT OF HIGH LEVEL UVA LEADERSHIP IN THIS PROGRAM CLEARLY DEMONSTRATES THE IMPORTANCE OF THIS GRANT PROGRAM TO RESEARCH EFFORTS AT THE UNIVERSITY. 0 X 466242 233709 233709 232533 0 232533 300985 0 300985 0 300985 PART X, LINE 2: THE FOUNDATION HAS REVIEWED AND EVALUATED THE RELEVANT TECHNICAL MERITS OF EACH OF ITS TAX POSITIONS IN ACCORDANCE WITH GUIDANCE ESTABLISHED BY THE FINANCIAL ACCOUNTING STANDARDS BOARD AND DETERMINED THAT THERE ARE NO UNCERTAIN TAX POSITIONS THAT WOULD HAVE A MATERIAL IMPACT ON THE FINANCIAL STATEMENTS OF THE FOUNDATION. 1 UNIVERSITY OF VIRGINIA MEDICAL RESEARCH-UVA 400 RAY C HUNT DRIVE CHARLOTTESVILLE VA 22904 546001796 501(C)(3) 250000 PROVIDE FINANCIAL SUPPORT & PROGRAM SUPPORT FOR SCIENTIFIC RESEARCH AT UVA'S HEALTH SCIENCES CENTER. 1 0 PART I, LINE 2: THE FOUNDATION GETS REPORTS AND FEEDBACK FROM GRANT RECIPIENTS ON HOW THE GRANTS WERE USED. THE UNIVERSITY OF VIRGINIA REPRESENTATIVES ATTEND AND REPORT AT BOARD MEETINGS. FORM 990, PART VI, SECTION A, LINE 2 DR. ROBERT BATTLE, OFFICER, AND DR. MARTHA BATTLE, OFFICER, ARE HUSBAND AND WIFE. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS DISTRIBUTED TO BOARD MEMBERS A REASONABLE PERIOD BEFORE FILING. FEEDBACK FROM BOARD MEMBERS IS ENCOURAGED. FORM 990, PART VI, SECTION B, LINE 12C PURSUANT TO THE FOUNDATION'S BY-LAWS, THE FOUNDATION ENFORCES AND MONITORS OFFICERS, DIRECTORS, AND EMPLOYEES' COMPLIANCE WITH ITS CONFLICT OF INTEREST POLICY IN TWO WAYS: 1. OFFICERS, DIRECTORS, AND EMPLOYEES SIGN THE "CONFLICT OF INTEREST ACKNOWLEDGEMENT AND DISCLOSURE FORM" ATTESTING TO THEIR AWARENESS OF THE POLICY AS WELL AS THE PRESENCE AND/OR ABSENCE OF CONFLICT OF INTEREST. 2. OFFICERS, DIRECTORS, AND EMPLOYEES OF THE FOUNDATION ARE REQUIRED TO FULLY DISCLOSE ALL CONFLICTS OF INTEREST PROMPTLY. FORM 990, PART VI, SECTION B, LINE 15 FORM 990, PART VI, SECT B, LINE 15: ALTHOUGH THE FOUNDATION HAS AN EXECUTIVE COMPENSATION POLICY, IT CURRENTLY DOES NOT HAVE ANY COMPENSATED EXECUTIVES OR KEY EMPLOYEES. ONLY SMALL STIPENDS ARE PAID TO DIRECTORS ( SEE PART VII COLUMN D). FORM 990, PART VI, SECTION C, LINE 18 THE FOUNDATION'S INFORMATION IS AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION PROVIDES THOSE DOCUMENTS IN THE SAME MANNER AS PUBLIC INSPECTION OF THE FORM 990. FORM 990, PART XI, QUESTION 2C: BOARD'S REVIEW OF AUDITED FINANCIALS THERE WERE NO CHANGES IN THE BOARD'S REVIEW PROCESS FROM PRIOR YEAR. UNIVERSITY OF VIRGINIA MEDICAL RESEARCH - UVA 400 RAY C HUNT DRIVE CHARLOTTESVILLE VA 22904 546001796 THE FOUNDATION PROVIDES GRANTS FOR SCIENTIFIC RESEARCH. VA 501(C)(3) LINE 6 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0