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THE INSTITUTE CONSIDERED THE LONG-TERM EXPECTED RETURN ON ITS ENDOWMENT. SCHEDULE D, PART X, LINE 2 MANAGEMENT IS OF THE OPINION THAT SUBSTANTIALLY ALL OF TGEN'S AND THE FOUNDATION'S ACTIVITIES ARE RELATED TO THEIR EXEMPT PURPOSES, AND NO MATERIAL UNCERTAIN TAX POSITIONS HAVE BEEN IDENTIFIED OR RECORDED IN THE ACCOMPANYING CONSOLIDATED FINANCIAL STATEMENTS AT NOVEMBER 16, 2016. TGEN AND THE FOUNDATION FILE FORMS 990 IN THE U.S. FEDERAL JURISDICTION AND COMPARABLE FORMS IN THE STATE OF ARIZONA. TAX FILINGS FOR 2013 THROUGH 2016 ARE SUBJECT TO EXAMINATION; HOWEVER, THE INSTITUTE HAS NOT BEEN NOTIFIED OF ANY SUCH EXAMINATIONS. 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THESE EXPENSES WERE NOT CONSIDERED AS TAXABLE COMPENSATION TO THE RECIPIENT SINCE THEY WERE REIMBURSEMENTS FOR BUSINESS USE UNDER AN ACCOUNTABLE PLAN. SCHEDULE J, PART I, LINE 4B CITY OF HOPES PRESIDENT AND CEO, ROBERT STONE, PARTICIPATES IN THE CITY OF HOPES NON-QUALIFIED 457(F) EXECUTIVE SUPPLEMENTAL ACCUMULATION PLAN THAT IS DESIGNED AND MAINTAINED TO PROVIDE A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES WITH DEFERRED COMPENSATION. THE PLAN VESTS AFTER THREE (3) FISCAL YEARS OF SERVICES AND THE VESTED TOTALS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). PRIOR TO VESTING, THE ANNUAL AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN C. PURSUANT TO THE PLAN DOCUMENTS, VESTED PARTICIPANTS ARE ENTITLED TO WITHDRAW FROM THEIR VESTED ACCOUNT AN AMOUNT EQUAL TO THE FEDERAL, STATE, LOCAL, AND FICA TAXES. THESE AMOUNTS ARE REMITTED TO THE APPROPRIATE TAXING AUTHORITIES ON BEHALF OF THE PARTICIPANTS. DURING THE CALENDAR YEAR ENDING DECEMBER 31, 2016, ROBERT STONE AND GREGORY SCHETINA WITHDREW $24,525 AND $6,657, RESPECTIVELY TO COVER SUCH TAXES. THESE AMOUNTS HAVE BEEN INCLUDED IN THE PARTICIPANTS INCOME ON SCHEDULE J, PART II, COLUMN B (III). SCHEDULE J, PART I, LINE 7 SOME OF TGENS 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. SCHEDULE J, PART II SOME OF TGENS OFFICERS AND KEY EMPLOYEES LISTED IN PART VII HAVE RETENTION AGREEMENTS THROUGH 2019 AND 2020. AMOUNTS ACCRUED BY TGEN DURING CALENDAR YEAR 2016 UNDER THESE AGREEMENTS HAVE BEEN REPORTED IN SCHEDULE J, PART II, COLUMN (C) AS DEFERRED COMPENSATION. BENNETT DORRANCE BOARD MEMBER SEE PART V X 50000 50000 false true true 50000 SCHEDULE L, PART II, LINE 1, COLUMN (C) CAPITALIZE NEW ENTITY FORMED FOR BIOMARKER RESEARCH X COMPUTER EQUIP 1 431115 FMV false true false SCHEDULE M, PART I, COLUMN (B) THE ORGANIZATION IS REPORTING IN PART I, COLUMN (B) THE NUMBER OF CONTRIBUTIONS RECEIVED. FORM 990, PART I, LINE 1 AND PART III, LINE 1 THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN) IS A NONPROFIT BIOMEDICAL RESEARCH INSTITUTE FOCUSED ON DEVELOPING EARLIER AND SMARTER TREATMENTS BY EMPLOYING INNOVATIVE ADVANCES ARISING FROM THE HUMAN GENOME PROJECT AND APPLYING THEM TO THE DEVELOPMENT OF DIAGNOSTICS, PROGNOSTICS AND THERAPIES FOR CANCER, NEUROLOGICAL DISORDERS, DIABETES AND OTHER COMPLEX DISEASES. FORM 990, PART III, LINE 4A TGEN'S GENOTYPING TECHNOLOGY CENTER ANALYZES BITS OF DNA CALLED SINGLE NUCLEOTIDE POLYMORPHISMS (SNPS) WHICH GIVE RESEARCHERS THE POWER TO IDENTIFY DISEASE-CAUSING GENES, ASSOCIATIONS, AND DNA SIGNATURES, ALL OF WHICH HAVE PROFOUND IMPLICATIONS FOR DETECTION, PROGNOSIS AND THERAPEUTIC INTERVENTION. THE SNPS GENOTYPING CENTER OFFERS INNOVATIVE SOLUTIONS THAT ADDRESS THE REQUIREMENTS FOR FLEXIBILITY, SIMPLICITY, THROUGHPUT, ECONOMY AND ACCURACY. FORM 990, PART III, LINE 4B THE NEUROGENOMICS DIVISION HAS TWO GOALS, BOTH OF WHICH DERIVE FROM THE OVERARCHING MISSION OF TGEN. IT IS COMMON KNOWLEDGE THAT EARLY INTERVENTION AND TREATMENT SAVES LIVES WHEN IT COMES TO NEUROLOGICAL DISEASES. THEREFORE, OUR FIRST GOAL IS TO IMPROVE THE ABILITY TO DIAGNOSE NEUROLOGICAL DISEASE BEFORE IT STRIKES. BECAUSE THESE DISEASES IMPACT SO MANY LIVES AROUND THE WORLD EITHER DIRECTLY (BY HAVING A DISEASE), OR INDIRECTLY (BY CARING FOR A LOVED ONE WITH A DISEASE), THE SECOND GOAL CENTERS ON THE DEVELOPMENT OF NEW 'SMART-DRUG' THERAPIES. THERE ARE FIVE LABS WITHIN THE DIVISION, ENCOMPASSING THE ENTIRE BREADTH OF NEUROLOGICAL DISEASE. FORM 990, PART III, LINE 4C PANCREATIC CANCER IS THE FOURTH LEADING CAUSE OF DEATH FROM CANCER IN THE UNITED STATES. NEARLY 40,000 PEOPLE NATIONWIDE WILL DIE FROM PANCREATIC CANCER THIS YEAR. THE OVERALL FIVE-YEAR SURVIVAL IS LESS THAN 6%. THIS DISMAL PICTURE OF PANCREATIC CANCER IS MAINLY DUE TO THE LACK OF EARLY DIAGNOSIS AND EFFECTIVE TREATMENT FOR PATIENTS WITH ADVANCED DISEASE. TGEN INVESTIGATORS ARE PARTNERS IN INTER-INSTITUTIONAL, CROSS-FUNCTIONAL RESEARCH EFFORTS TO: (1) IDENTIFY AND VALIDATE BIOMARKERS OF DIAGNOSTIC VALUE, AS WELL AS THOSE THAT CONSTITUTE NEW DRUG TARGETS IN PANCREATIC CANCER; (2) IDENTIFY AND OPTIMIZE NEW AGENTS THAT AFFECT THE ACTIVITY OF THE TARGETS (3) PERFORM IN VITRO AND IN VIVO EVALUATION OF THE AGENTS, AND TAKE THE MOST PROMISING ONES TO CLINICAL TRIALS IN PATIENTS WITH ADVANCED PANCREATIC CANCER. FORM 990, PART III, LINE 4D SUMMARY OF 2016 ACTIVITIES AS THE COST OF READING A HUMAN GENOME HAS DROPPED DRAMATICALLY - FROM MILLIONS IN THE MID 2000S TO THE LOW THOUSANDS TODAY - OUR CLINICAL TRIALS UNDER THE DIRECTION OF DR. VON HOFF, OUR PHYSICIAN-IN-CHIEF CONTINUE BREAKING NEW GROUND IN DEMONSTRATING HOW THIS INFORMATION CAN IMPROVE PATIENT CARE. WE CONTINUE TO PROVIDE A STRONG ECONOMIC BENEFIT TO ARIZONA - $174 MILLION ANNUALLY. OF NOTE, STAND UP TO CANCER (SU2C) NAMED DR. VON HOFF TO CO-LEAD AN INTERNATIONAL DREAM TEAM TO ADVANCE NEW TREATMENTS AGAINST PANCREATIC CANCER. THIS IS THE THIRD SU2C DREAM TEAM AWARD FOR TGEN, AND THE SECOND FOR DR. VON HOFF. BRAIN CANCER RESEARCH, FUNDED BY THE BEN & CATHERINE IVY FOUNDATION, PRODUCED SEVERAL NOTABLE ADVANCEMENTS IN THE FIELD OVER THE PAST YEAR, AND ESPECIALLY IN RECENT MONTHS. ONE TGEN STUDY SHOWED THAT A DRUG, PROPENTOFYLLINE, PREVIOUSLY DEVELOPED FOR DEMENTIA, KNOCKS DOWN A PROTEIN THAT PROMOTES THE SPREAD OF THE BRAIN CANCER GLIOBLASTOMA, INCREASES SENSITIVITY TO A STANDARD CHEMOTHERAPY DRUG, AND INHIBITS GLIOBLASTOMA CELL INVASION. THIS NOW BECOMES A TARGET OF TREATMENT-FOCUSED RESEARCH. A PROOF-OF-CONCEPT PAPER, LED BY TGENS DR. MUHAMMED MURTAZA, SHOWED HOW MEASURING TUMOR DNA FLOATING FREE IN THE BLOOD CAN BE USED TO TRACK THE PROGRESS OF CANCER PATIENTS AND HELP DOCTORS MAKE CHOICES FOR TREATMENT. THE STUDY, PUBLISHED IN THE LEADING SCIENTIFIC JOURNAL "NATURE COMMUNICATIONS", FOLLOWED THE TREATMENT OF A WOMAN WITH BREAST CANCER FOR MORE THAN THREE YEARS, SHOWING HOW THIS METHOD PROVIDES A NON-INVASIVE AND MORE FREQUENT WAY TO TEST HOW THE PATIENT RESPONDED TO TREATMENT. WE EXPECT TO MAKE ADDITIONAL ADVANCES IN THE FIELD OF "liquid biopsies," ESPECIALLY FOR EARLY DETECTION OF CANCER. 2016 ALSO MARKS THE 10TH YEAR OF THE HELIOS SCHOLARS AT TGEN PROGRAM, WHICH SINCE ITS START IN 2007 HAS GRADUATED NEARLY 400 BUDDING SCIENTISTS AND PHYSICIANS. MANY HAVE ESTABLISHED CAREERS IN ARIZONAS BIOSCIENCE FIELDS. THE PROGRAM IS SUSTAINED FOR THE NEXT 15 YEARS BY A $6.5 MILLION GRANT FROM THE HELIOS EDUCATION FOUNDATION. SEVERAL OF THE SCHOLARS HAVE BEEN HIRED, AND BLOSSOMED, HERE AT TGEN AND ARE NOW MENTORING HELIOS SCHOLARS THEMSELVES. TGEN CONTINUES TO PUSH THE BOUNDARIES OF WHAT IS POSSIBLE. FROM NEW ADVANCED CANCER TREATMENTS, TO NOVEL STUDIES OF HOW DOGS CAN HELP INFORM HOW WE HELP HUMAN PATIENTS, TO A PENDING GLOBAL TEST FOR THE PATHOGENS THAT PLAGUE THE WORLDS HOSPITALS, TGEN REMAINS MATCHLESS IN A VARIETY OF WAYS FOR ITS ABILITY TO HARNESS THE POTENTIAL OF THE HUMAN GENOME FOR THE BENEFIT OF HUMANITY. TGEN NORTH IN FLAGSTAFF INITIATED A NEW STUDY OF VALLEY FEVER INVOLVING DOGS, WHICH ALSO ACQUIRE THIS DUST-BOUND FUNGAL PATHOGEN, ADDING TO THE ALREADY PROMISING WORK IN TGENS CANINE-CANCER AND CANINE-NEUROLOGICAL STUDIES. IN JUST TWO MONTHS, TGEN ASSISTANT PROFESSOR DR. BRIDGET BARKER HAS SIGNED UP MORE THAN A QUARTER OF THE 2,000 DOGS SHE PLANS FOR HER VALLEY FEVER PAWS REGISTRY, AND TESTING KITS ARE BEING READIED TO COLLECT GENETIC SPECIMENS. THROUGH OUR WORK WITH NORTHERN ARIZONA UNIVERSITY (NAU), WE RECENTLY RECEIVED PATENT PROTECTION FROM THE GOVERNMENT OF AUSTRALIA FOR OUR RAPID, ECONOMICAL AND HIGHLY ACCURATE TEST FOR ANTIBIOTIC-RESISTANT STRAINS OF STAPH INFECTIONS, SUCH AS MRSA. PATENT APPROVALS IN THE U.S., CANADA, JAPAN, BRAZIL, THE EUROPEAN UNION AND OTHERS ARE EXPECTED TO FOLLOW. FINALLY, TGENS ANNOUNCED AFFILIATION WITH CITY OF HOPE IN LATE 2016 HAS UNBOUNDED POTENTIAL TO ACCELERATE OUR RESEARCH ON MANY FRONTS, AND TOGETHER - PLAYING OFF EACH OTHERS COMPLIMENTARY STRENGTHS - WE SHOULD LOOK FORWARD TO MANY YEARS OF PROGRESSIVE RESEARCH AND BETTER PATIENT OUTCOMES. IN ADDITION, THE FOLLOWING OVERVIEW PROVIDES A SNAPSHOT OF RECENT PROGRESS ACROSS THE INSTITUTE, INCLUDING SCIENTIFIC PUBLICATIONS, EDUCATION AND OUTREACH, MEDIA, AND COMMUNITY RECOGNITION. GRANT SUPPORT IN ADDITION TO PHILANTHROPIC DONATIONS AND RESEARCH CONTRACTS, GRANT FUNDING IS AN IMPORTANT FUNDING SOURCE FOR RESEARCH. IN 2016, TGEN INVESTIGATORS SUBMITTED 102 GRANTS TOTALING $80M. DURING THIS PERIOD, TGEN WAS AWARDED 24 GRANTS, TOTALING $9.8M. AWARDS INCLUDE: A. TWO-YEAR GRANT FROM THE AMERICAN ASSOCIATION FOR CANCER RESEARCH AND STAND UP TO CANCER TOTALING $2.1 MILLION TO DR. DANIEL VON HOFF TO STUDY THE REPROGRAMING OF TRANSCRIPTIONAL CIRCUITRY IN PANCREATIC CANCER. B. THREE-YEAR GRANT FROM THE NATIONAL INSTITUTES OF HEALTH TOTALING $493,189 TO DR. NHAN TRAN TO STUDY TROY HTS COMPOUND SCREENING. C. ONE-YEAR GRANT FROM THE NATIONAL INSTITUTES OF HEALTH AND NORTHERN ARIZONA UNIVERSITY TOTALING $326,531 TO DR. DAVE ENGELTHALER TO STUDY THE ANTIMICROBIAL RESISTANCE OMICS OF ACINETOBACTER BAUMANNII. D. THREE-YEAR GRANT FROM THE ALS FOUNDATION TOTALING $240,000 TO DR. KENDAL VAN KEUREN-JENSEN FOR AN ASSESSMENT OF EXTRACELLULAR VESICLE CONTENTS IN PATIENTS WITH ALS. E. ONE-YEAR GRANT FROM THE DEPARTMENT OF DEFENSE AND UNIVERSITY OF NORTH CAROLINA TOTALING $100,000 TO DR. BODOUR SALHIA TO STUDY THE TARGETING OF KRAS FOR PANCREATIC CANCER TREATMENT. F. TWO-YEAR GRANT FROM THE FOUNDATION KRIIBSKRAN KANNER IN LUXEMBOURG TOTALING $298,565 TO DR. PATRICK PIRROTTE TO CONDUCT A SYSTEMS BIOLOGY APPROACH TO TREATMENT RECOMMENDATIONS IN MEDULLOBLASTOMA. G. ONE-YEAR GRANT FROM UCSF AND NIH TOTALING $210,975 TO DR. DAVID ENGELTHALER FOR IMPROVING THE MOLECULAR DIAGNOSIS OF DRUG-RESISTANT TUBERCULOSIS. H. ONE-YEAR GRANT FROM THE ARIZONA ALZHEIMERS CONSORTIUM TO DR. MATT HUENTELMAN TOTALING $200,000 FOR FISCAL YEAR 2017 AAC PROJECTS. I. TWO-YEAR GRANT FROM STAND UP TO CANCER TOTALING $169,156 TO DR. MUHAMMED MURTAZA TO FINGERPRINT THE SYSTEMIC MICROBIOME IN PLASMA TO PREDICT IMMUNOTHERAPY OUTCOMES IN MELANOMA. J. THREE-YEAR GRANT FROM ST. JOSEPHS HOSPITAL AND MEDICAL CENTER AND THE ALZHEIMERS ASSOCIATION TOTALING $124,835 TO DR. MATT HUENTELMAN TO STUDY CIRCULATING RNA BIOMARKER PROFILING IN DOWN SYNDROME. K. TWO-MONTH GRANT FROM UCSF AND THE DORIS DUKE FOUNDATION TOTALING $20,000 TO DR. DAVID ENGELTHALER FOR NEW METHODS OF MONITORING LONG-TERM DRUG EXPOSURE AND RESISTANCE IN THE TREATMENT OF MULTI-DRUG-RESISTANT TUBERCULOSIS. L. TWO-YEAR GRANT FROM THE MICHAEL J. FOX FOUNDATION TOTALING $142,676 TO DR. KENDALL VAN KEUREN-JENSEN TO DEVELOP BIOMARKERS IN PARKINSONS DISEASE. M. FOUR-YEAR CONTRACT FROM THE DEPARTMENT OF HOMELAND SECURITY TOTALING $2,606,847 TO DR. PAUL KEIM TO DEVELOP A NEW APPROACH TO BIOSURVEILLANCE. N. THREE-YEAR CONTRACT FROM THE CDC TOTALING $1,472,866 TO DR. DAVID ENGELTHALER TO PROVIDE MICROBIAL GENOMICS AND BIOINFORMATICS ANALYSIS sUPPORT. O. TWO-YEAR GRANT FROM THE UNIVERSITY OF COLORADO AND NIH TOTALING $799,298 TO DR. MATTHEW HUENTELMAN TO STUDY THE INFLUENCES THAT SHAPE BRAIN GROWTH AND COGNITIVE DEVELOPMENT. OUTCOMES AND PROGRESS IN 2016, TGEN ADVANCED A SERIES OF INNOVATIVE RESEARCH INITIATIVES THAT YIELDED NUMEROUS SCIENTIFIC DISCOVERIES (A GOOD NUMBER WITH POTENTIAL CLINICAL APPLICATION), ESTABLISHED NATIONAL AND INTERNATIONAL COLLABORATIONS, AND LED NEW AND EXCITING CLINICAL TRIALS WITH PROMISING RESULTS. NOTABLE ARE: A STUDY FUNDED BY THE NATIONAL INSTITUTES OF HEALTH, THE ARCS FOUNDATION ELLER SCHOLARSHIP, SCIENCE FOUNDATION ARIZONA FELLOWSHIP, AND THE BEN & CATHERINE IVY FOUNDATION ENABLED TGEN RESEARCHERS TO IDENTIFY A PROTEIN CALLED SGEF THAT PROMOTES THE SURVIVAL OF GLIOBLASTOMA TUMOR CELLS AND HELPS THE CANCER INVADE BRAIN TISSUE. the findings suggest THAT SGEF COULD BE A NEW CANDIDATE FOR DEVELOPMENT OF TARGETED THERAPEUTICS. THE PUBLISHED RESULTS, "sGEF IS REGULATED VIA TWEAK/FN14/NF-?B signaling and promotes SURVIVAL BY MODULATION OF THE DNA REPAIR RESPONSE TO TEMOZOLOMIDe," APPEARED IN MOLECULAR CANCER RESEARCH, A JOURNAL OF THE AMERICAN ASSOCIATION FOR CANCER RESEARCH. TGEN NORTH FACULTY, WORKING WITH INTERNATIONAL INVESTIGATORS, DISCOVERED THE SOURCE OF A POTENTIAL DEADLY BLOOD INFECTION IN MORE THAN 50 SOUTH AMERICAN CANCER PATIENTS. USING ADVANCED GENOMIC SEQUENCING, THE INVESTIGATORS TRACED BACK A POTENTIALLY DEADLY AND THERAPY-RESISTANT FUNGUS, SAROCLADIUM KILIENSE, TO A TAINTED ANTI-NAUSEA MEDICATION GIVEN TO DOZENS OF CANCER PATIENTS IN CHILE AND COLOMBIA, ACCORDING TO A REPORT IN EMERGING INFECTIOUS DISEASES, PUBLISHED BY THE U.S. CENTERS FOR DISEASE CONTROL AND PREVENTION. UNCOVERING THE GENETIC MAKEUP OF PATIENTS USING DNA SEQUENCING HAS IN RECENT YEARS PROVIDED PHYSICIANS AND THEIR PATIENTS WITH A GREATER UNDERSTANDING OF HOW BEST TO DIAGNOSE AND TREAT THE DISEASES THAT PLAGUE HUMANITY. THIS IS THE ESSENCE OF TGENS PRECISION MEDICINE EFFORTS. IN A REVIEW ARTICLE - TRANSLATING RNA-SEQUENCING INTO CLINICAL DIAGNOSTICS: OPPORTUNITIES AND CHALLENGES - PUBLISHED IN NATURE REVIEWS GENETICS, TGEN SCIENTISTS HIGHLIGHTED THE MANY ADVANTAGES OF USING RNA-SEQUENCING IN THE DETECTION AND MANAGEMENT OF EVERYTHING FROM CANCER TO INFECTIOUS DISEASES, SUCH AS EBOLA AND THE RAPIDLY SPREADING ZIKA VIRUS. BUILDING ON THE INSIGHTS PROVIDED BY DNA PROFILING, THE ANALYSIS OF RNA PROVIDES AN EVEN MORE PRECISE LOOK AT HOW CELLS BEHAVE AND HOW MEDICINE CAN INTERVENE WHEN THINGS GO WRONG. IN EARLY MAY, STAND UP TO CANCER SELECTED TGENS DR. MUHAMMED MURTAZA AND UCLAS DR. ANTONI RIBAS AS RECIPIENTS OF A $200,000 SU2C PHILLIP A. SHARP INNOVATION IN COLLABORATION AWARD, NAMED FOR THE NOBEL LAUREATE AND CHAIR OF SU2CS SCIENTIFIC ADVISORY COMMITTEE. THE AWARD SUPPORTS OPPORTUNITIES FOR SU2C SCIENTISTS FROM DIFFERENT TEAMS TO EXPLORE INNOVATIVE COLLABORATIONS TO ACCELERATE THE DEVELOPMENT OF NEW CANCER TREATMENTS. ONE OF FIVE AWARDS TOTALING $1 MILLION, THE AWARD TO DRS. MURTAZA AND RIBAS, SUPPORTS A COLLABORATION TO INVESTIGATE WHETHER ITS POSSIBLE TO PREDICT PATIENT RESPONSE TO IMMUNOTHERAPY BY STUDYING THE MAKEUP OF THEIR MICROBIOMES IN BLOOD SAMPLES. DR. MURTAZA IS A MEMBER OF THE SU2C-MELANOMA RESEARCH ALLIANCE (MRA) MELANOMA DREAM TEAM, CO-LED BY TGENS DR. JEFFREY TRENT AND YALES DR. PAT LORUSSO. ANTIBIOTIC-RESISTANT INFECTIONS SHOULD BE EASIER TO DETECT, AND HOSPITALS COULD BECOME SAFER, THANKS TO A TECHNOLOGY DEVELOPED BY TGEN AND NORTHERN ARIZONA UNIVERSITY (NAU), AND PROTECTED UNDER A PATENT ISSUED BY AUSTRALIA. WE EXPECT SIMILAR PATENT APPROVALS IN THE U.S., CANADA, EUROPEAN UNION, JAPAN, BRAZIL AND OTHER NATIONS FOR this "superbug" test DEVELOPED BY TGEN AND NAU, AND LICENSED TO DXNA LLC. THIS RAPID, 1-HOUR TEST WILL PRECISELY IDENTIFY A FAMILY OF ANTIBIOTIC-RESISTANT STAPH INFECTIONS BROADLY REFERRED TO AS MRSA. A STUDY DETAILING HOW BLOCKING NERVE GROWTH FACTOR KEEPS PANCREATIC CANCER CELLS FROM INVADING SURROUNDING NERVES MAY LEAD TO POTENTIAL DRUG TARGETS TO REDUCE PAIN IN PANCREATIC CANCER PATIENTS. TGEN RESEARCHERS HAVE FOUND THAT THE NERVE GROWTH FACTOR (NGF), A NEUROTROPHIC FACTOR, AND ITS RECEPTOR TRKA ARE ASSOCIATED WITH PERINEURAL INVASION (PNI), WHICH IS THE ABILITY OF PANCREATIC CANCER CELLS TO INVADE SURROUNDING NERVES. BLOCKING THE NGF SIGNALING THROUGH INHIBITORS OF NGF AND TRKA REDUCES THE POTENTIAL OF PANCREATIC CANCER CELLS TO MIGRATE TOWARDS THE SURROUNDING NERVES. THE STUDY RESULTS APPEARED IN PLOS ONE. SURVIVAL FOR PATIENTS WITH GLIOBLASTOMA, AN AGGRESSIVE AND DEADLY BRAIN CANCER, COULD BE DETERMINED BY THE COMPLEXITY OF THEIR TUMOR. THE FINDINGS FROM A TGEN-LED STUDY suggest - to THE RESEARCHERS surprise - that THE SURVIVAL OF THOSE PATIENTS WHOSE CANCER CELLS EXHIBIT A COMPLEX GENOMIC LANDSCAPE ON AVERAGE EXCEEDED THOSE PATIENTS WITH A LESS COMPLEX TUMOR STRUCTURE. THE PUBLISHED RESULTS APPEARED IN THE JOURNAL NEURO-ONCOLOGY. THE RESEARCHERS FOUND THAT STANDARD-OF-CARE WORKED BEST FOR PATIENTS WITH COMPLEX, THOUGH FRAGILE, TUMOR GENOMES, DEFINED AS THOSE WITH MORE ABNORMAL GENOMIC EVENTS, SUCH AS MUTATIONS, REARRANGEMENTS, OR AMPLIFICATIONS. THE MORE ABNORMAL THE TUMOR GENOME, THE MORE LIKELY THE THERAPY WAS TO IMPROVE PATIENT SURVIVAL. CONVERSELY, THOSE PATIENTS WITH SIMPLE, BUT ROBUST, CANCER GENOMES HAD SHORTER SURVIVAL. THIS WAS THE FIRST-EVER GENOMIC STUDY THAT COMPREHENSIVELY EXAMINED GBM OUTLIERS IN THE SURVIVAL SPECTRUM. CLINICAL TRIALS THE VIRGINIA G. PIPER CANCER CENTER (VGPCC) CLINICAL TRIALS PROGRAM AT HONORHEALTH (FORMERLY SCOTTSDALE HEALTHCARE) PROVIDES A DIRECT CLINICAL RESEARCH SITE FOR TGEN. TGEN PHYSICIAN-IN-CHIEF, DANIEL VON HOFF, M.D., F.A.C.P., SERVES AS CHIEF SCIENTIFIC OFFICER. PROGRAM CLINICIANS FOCUS ON CLINICAL TRIALS WITH TARGETED AGENTS AND GENOMICS-BASED INDIVIDUALIZED THERAPY. THEIR INITIAL FOCUS ON CANCER ALLOWS THE UNIQUE OPPORTUNITY FOR TGEN TO TRANSITION ITS LABORATORY-BASED RESEARCH TO PATIENT CARE CENTERED ON INDIVIDUALIZED THERAPY. PROGRAM STAFF ARE CURRENTLY WORKING ON PHASE I CLINICAL TRIALS. CLINICALLY, WE CONTINUE TO LAUNCH INNOVATIVE PROGRAMS THAT EXPAND THE BOUNDARIES OF SCIENCE AND MEDICINE. CURRENT INITIATIVES INCLUDE: 1. MULTIPLE CLINICAL TRIALS UNDERWAY TO INVESTIGATE NEW CHEMICAL AGENTS FOR A VARIETY OF TUMOR TYPES IN DIFFERENT CANCERS. 2. INCORPORATION OF MODERN TOOLS TO IDENTIFY PATIENTS GENOMIC CHARACTERISTICS THAT COULD LEAD TO A MORE TARGETED APPROACH. 3. PATENTS AND LICENSES DURING 2016, TGEN WAS ISSUED 16 PATENTS AND FILED 35 PATENT APPLICATIONS ON TGEN-GENERATED RESEARCH. PEER-REVIEWED LABORATORY RESEARCH PUBLICATIONS AND PRESENTATIONS IN 2016, TGENS 14TH YEAR OF OPERATIONS, WE EXPERIENCED SIGNIFICANT SCIENTIFIC AND MEDICAL PROGRESS ACROSS MULTIPLE AREAS OF THE INSTITUTE, MANY OF WHICH REACHED NEW HEIGHTS AND FORGED THE POTENTIAL FOR SIGNIFICANTLY GREATER ACHIEVEMENTS IN THE FUTURE. OUR CAPACITY TO UNDERSTAND AND LEVERAGE WHAT THE GENOME IS TELLING US HAS NEVER BEEN GREATER. LONG-TERM, OUR HOPE IS THAT DOCTORS WILL LEVERAGE THIS INFORMATION TO INFORM DECISIONS ABOUT PATIENT CARE AS THE STANDARD OF CARE RATHER THAN THE EXCEPTION. AND WHILE THIS IS HAPPENING TODAY ON A LIMITED BASIS, WE ENVISION A DAY IN THE NOT TOO DISTANT FUTURE WHERE IT WILL HAPPEN FOR ALL PATIENTS ACROSS ALL DISEASES. TOWARD THAT END, MUCH OF WHAT WE LEARN IS PUBLISHED IN LEADING SCIENTIFIC AND MEDICAL JOURNALS, WHICH CONTINUOUSLY ADDS TO THE GROWING KNOWLEDGE BASE OF MOLECULAR RESEARCH AND MEDICINE. IN 2016, TGEN RESEARCHERS PUBLISHED THEIR RESEARCH RESULTS EXTENSIVELY IN NUMEROUS SCHOLARLY PEER-REVIEWED ACADEMIC JOURNALS AND THROUGH PRESENTATIONS AT LEADING NATIONAL AND INTERNATIONAL CONFERENCES. THE LIST BELOW REFLECTS PUBLICATIONS AND PRESENTATIONS RESULTING FROM PROJECTS FUNDED BY EXTERNAL SPONSORS, BUT SUPPORTED BY UNDERLYING TECHNOLOGY PROVIDED FOR BY STATE OF ARIZONA FUNDING VIA THE $3M PER YEAR IN GENERAL FUNDS APPROPRIATION AS DISTRIBUTED BY NORTHERN ARIZONA UNIVERSITY, AS WELL AS THE $2M PER YEAR IN TOBACCO TAX FUNDING RECEIVED FROM THE ARIZONA DEPARTMENT OF HEALTH SERVICES. THESE INCLUDE PUBLICATION IN LEADING SCIENTIFIC JOURNALS SUCH AS AMERICAN JOURNAL OF HUMAN GENETICS, CELL, NATURE COMMUNICATIONS, JOURNAL OF NEUROSCIENCE, CLINICAL CANCER RESEARCH, CLINICAL INFECTIOUS DISEASE, JAMA NEUROLOGY, LANCET, MBIO, NEUROLOGY, NEW ENGLAND JOURNAL OF MEDICINE, AND SCIENCE TRANSLATIONAL MEDICINE. OUR ANNUAL SCIENTIFIC RETREAT BROUGHT TOGETHER NEARLY 150 REGISTRANTS FROM WITHIN TGEN, INCLUDING FACULTY, LAB PERSONNEL AND ADMINISTRATORS. THIS ANNUAL EVENT ALTERNATES YEARLY BETWEEN A FORMAT THAT INCLUDES A GREAT NUMBER OF OUR COLLABORATORS AND A CLOSED, INTERNAL MEETING FOCUSED SOLELY ON TGEN. THIS YEARS RETREAT, HELD IN FLAGSTAFF, FEATURED OPENING REMARKS BY THE HONORABLE JERRY NABOURS, FLAGSTAFF MAYOR AND NAU PRESIDENT DR. RITA CHENG. FULL-TIME POSITIONS FILLED (NEW AND REPLACEMENTS) IN 2016, 31 NEW FULL-TIME EQUIVALENT POSITIONS WERE CREATED WITH SALARIES AND BENEFITS TOTALING $1,822,294. SALARIES FOR TEMPORARY POSITIONS (THOSE POSITIONS CREATED FOR A FINITE PERIOD OF TIME) TOTALED $110,708, WHICH INCLUDES TEMPORARY TGEN STAFF AND TEMPORARY SERVICE FEES. STUDENT SALARIES WERE JUST OVER $356,800, BRINGING THE OVERALL 2016 TOTAL TO $2,179,094. IN TERMS OF EDUCATION LEVEL, EIGHTY-EIGHT PERCENT OF FULL-TIME TGEN STAFF HOLDS A COLLEGE DEGREE AND FORTY-NINE PERCENT HOLDS AN ADVANCED DEGREE. 2016 FULL-TIME POSITIONS FILLED (NEW AND REPLACEMENTS) INCLUDED: - ACCOUNTANT II - ADMINISTRATIVE ASSISTANT - ADMINISTRATIVE ASSISTANT, EXECUTIVE - ADMINISTRATIVE ASSISTANT, SR - PROJECT ADMINISTRATOR - ASSOCIATE, DEVELOPMENT - BIOINFORMATICIAN - BIOINFORMATICIAN, ASSOCIATE - BIOSPECIMEN DATA COORDINATOR - CLINICAL RESEARCH COORDINATOR - CONTROLLER - DATABASE SPECIALIST - GRANTS ADMINISTRATOR - GRANTS AND CONTRACTS ADMINISTRATOR, SR. - MANAGER, OPERATIONS - PAYROLL ADMINISTRATOR - POST-DOC FELLOW - PRINCIPAL ARCHITECT, EMERGING TECHNOLOGIES - PROFESSOR, DISTINGUISHED - PROFESSOR, RESEARCH ASSISTANT - RESEARCH ASSOCIATE - RESEARCH ASSOCIATE II - RESEARCH COMPLIANCE SPECIALIST - RESEARCH TECHNICIAN - SPECIALIST, EDUCATION AND OUTREACH - STAFF SCIENTIST - VICE PRESIDENT, TECHNOLOGY OPERATIONS - VICE PRESIDENT, TGEN FOUNDATION SELECT HIGHLIGHTS: EDUCATION AND OUTREACH HELIOS SCHOLARS AT TGEN THIS SUMMER MARKS THE 10TH ANNIVERSARY OF HELIOS SCHOLARS AT TGEN, OUR FLAGSHIP SUMMER INTERNSHIP PROGRAM IN BIOMEDICAL RESEARCH. THE 2016 SELECTION PROCESS NARROWED THE MORE THAN 500 APPLICANTS TO A HIGHLY COMPETITIVE CLASS OF 45 ARIZONA STUDENTS, RANGING IN EDUCATION LEVEL FROM HIGH SCHOOL, COLLEGE AND GRADUATE SCHOOL. THIS YEAR'S PROGRAM SCHOLARS ARRIVED ON JUNE 6, 2016, AND THE PROGRAM CONCLUDED JULY 29,2016 WITH A CAPSTONE INTERN RESEARCH SYMPOSIUM AT THE HYATT REGENCY PHOENIX. TO RECOGNIZE A DECADE OF ACHIEVEMENT IN DEVELOPING THE NEXT GENERATION OF ARIZONA BIOSCIENCE RESEARCHERS, TGEN AND THE HELIOS EDUCATION FOUNDATION PLANNED A CELEBRATORY BREAKFAST SEPTEMBER 30, 2016 AT THE ARIZONA BILTMORE FOR COMMUNITY, BUSINESS AND EDUCATION LEADERS, AS WELL AS HELIOS SCHOLARS ALUMNI. THE EVENT HIGHLIGHTED THE ACCOMPLISHMENTS AMONG THE NEARLY 400 PROGRAM ALUMNI, AND OUTSTANDING ALUMNI AND MENTORS WERE RECOGNIZED WITH AWARDS. ARIZONA GOVERNOR DOUG DUCEY PROVIDED A CONGRATULATORY VIDEO MESSAGE FOR THE EVENT. FIVE ALUMNI AND ONE MENTOR DELIVERED REMARKS, DETAILING THEIR EXPERIENCES WITH THE PROGRAM AND THE VALUE THE EXPERIENCE PROVIDES FOR THE INDIVIDUAL, THE INSTITUTE AND ARIZONA. EVENT ATTENDEES EACH RECEIVED A COPY OF THE ALUMNI REPORT, DETAILING AGGREGATE AND INDIVIDUAL DATA FROM THE 2007-2016 CLASSES. REPORT HIGHLIGHTS: - OUT OF 420 PARTICIPANTS, 20 PERCENT WERE INTERNS IN HIGH SCHOOL, 63 PERCENT ATTENDED IN-STATE COLLEGES, AND 17 PERCENT ATTENDED HIGH SCHOOL IN ARIZONA BUT CHOSE UNIVERSITIES OUT OF STATE. - 60 PERCENT OF ALUMNI STILL LIVE IN ARIZONA. OF THOSE NOT IN ARIZONA, 46 PERCENT SAY THEY ARE LIKELY TO RETURN. - MORE THAN HALF - 52 PERCENt- oF ALUMNI ARE WOMEN, COMPARED TO 30 PERCENT EMPLOYED IN SCIENCE AND ENGINEERING NATIONALLY. - PROFESSIONS INCLUDE PHYSICIANS, SCIENTISTS, GENETIC COUNSELORS, SCIENCE AND RESEARCH POLICY WORKERS, ENGINEERS, LAWYERS, NURSES, EDUCATORS AND SURGEONS. - MORE THAN HALF ARE IN CAREERS DIRECTLY RELATED TO THEIR TGEN RESEARCH. - 22 PERCENT ARE FROM RACIAL/ETHNIC POPULATIONS UNDERREPRESENTED IN THE BIOSCIENCES. IVY NEUROLOGICAL SCIENCES INTERNSHIP PROGRAM THE 2016-2017 IVY NEUROLOGICAL SCIENCES INTERNSHIP PROGRAM BEGAN IN JUNE WITH TWO HIGH SCHOOL STUDENTS IN TGENS BRAIN TUMOR UNIT. THIS IS THE FIFTH YEAR OF THE UNIQUE PROGRAM FOCUSED ON EDUCATING AND TRAINING THE NEXT GENERATION OF RESEARCHERS AND PHYSICIANS FOCUSED ON BRAIN TUMOR AND NEUROLOGICAL DISEASE RESEARCH. THE PROGRAM SERVES AS A KEY MECHANISM FOR TGEN TO RETAIN MOTIVATED TALENT IN A CRITICAL RESEARCH AREA. TWO UNDERGRADUATES WILL WORK IN BRAIN TUMOR AND NEUROLOGICAL DISEASE RESEARCH CONCOMITANTLY WITH THEIR ACADEMIC COURSEWORK THROUGH THE SUMMER OF 2017. ONE ASPIRING MEDICAL SCHOOL STUDENT WILL COMMIT A FULL CALENDAR YEAR TO A BRAIN TUMOR PROJECT. INTEL INTERNATIONAL SCIENCE AND ENGINEERING FAIR LOCAL ARRANGEMENTS COMMITTEE TGENS EDUCATION AND OUTREACH STAFF WORKED CLOSELY WITH THE SOCIETY FOR SCIENCE AND THE PUBLIC, AND THE PHOENIX LOCAL ARRANGEMENTS COMMITTEE, TO MAKE THE 2016 INTEL INTERNATIONAL SCIENCE AND ENGINEERING FAIR (INTEL ISEF) A SUCCESS. INTEL ISEF IS THE WORLDS LARGEST HIGH SCHOOL SCIENCE FAIR, WITH THOUSANDS OF STUDENTS FROM DOZENS OF COUNTRIES COMPETING FOR AWARDS. PHOENIX HOSTED THE FAIR IN 2013, 2016 AND WILL HOST AGAIN IN 2019. TGENS INVOLVEMENT FOCUSED ON RECRUITING HIGHLY EDUCATED, SCIENTIFIC-PROJECT JUDGES AND OPERATIONS VOLUNTEERS FROM THROUGHOUT ARIZONA, DEMONSTRATING OUR COMMITMENT TO SCIENCE EDUCATION AND SHOWCASING PHOENIX AS A KNOWLEDGE-BASED URBAN CENTER. SELECT HIGHLIGHTS: COMMUNICATIONS TGEN CONTINUALLY PURSUES EARNED MEDIA ABOUT THE INSTITUTES RESEARCH ACTIVITIES. TGEN MEDIA RELEASES RESULTED IN NUMEROUS MEDIA MENTIONS LOCALLY, NATIONALLY AND INTERNATIONALLY. PUBLICATIONS INCLUDE: THE ARIZONA REPUBLIC, PHOENIX BUSINESS JOURNAL, PHOENIX MAGAZINE, AZ BUSINESS MAGAZINE, CHANNEL 3, CHANNEL 5, CHANNEL 12, NORTH SCOTTSDALE INDEPENDENT, TOWN OF PARADISE VALLEY INDEPENDENT, MOHAVE VALLEY DAILY NEWS (BULLHEAD CITY, ARIZONA), EMERGING INFECTIOUS DISEASES (CDC), UPI, ORANGE COUNTY REGISTER, NBC 10 WSLS (VIRGINIA), PR NEWSWIRE, PIVOTAL SOURCES, INTERNATIONAL BUSINESS TIMES, GENETIC ENGINEERING & BIOTECHNOLOGY NEWS, TARGETED NEWS SERVICE, US OFFICIAL NEWS, PLUS PATENT NEWS, US FED NEWS, PHARMA & HEALTHCARE MONITOR WORLDWIDE, PROFESSIONAL SERVICES CLOSE-UP, BIOMEDREPORTS, BIOSPACE, FURNITURE TODAY, HEALTH DAILY DIGEST, ENP NEWSWIRE, FINANCIALWIRE, HEALTH & BEAUTY CLOSE-UP, M2 PRESSWIRE, SPACE DAILY, STATES NEWS SERVICE, TENDERSINFO, NEWS BITES- PEOPLE IN BUSINESS, GLOBAL IP NEWS, BIOTECHNOLOGY PATENT NEWS, PHARMA & HEALTHCARE MONITOR WORLDWIDE, JOURNAL OF ENVIRONMENTAL HEALTH, FAIR DISCLOSURE NEWS, ACTIVE POST, PHYSORG, ICT MONITOR WORLDWIDE, AUSTRALIAN GOVERNMENT NEWS, INDIAN PHARMA INDUSTRY, INDIAN TECHNOLOGY NEWS, ASIAN NEWS INTERNATIONAL. HIGHLIGHTS FOR 2016 INCLUDE: A. PHOENIX MAGAZINES MOST POPULAR ANNual "bEST DOCTOrs" iSSUE HONORS DR. JEFFREY TRENT AND DR. DANIEL VON HOFF As "maestros of medicine." B. CBS 5 NEWS INTERVIEWS DR. MATT HUENTELMAN IN A STORY ABOUT UNCOVERING THE GENES ASSOCIATED WITH BROKEN HEART SYNDROME. C. AZ LIFESTYLE MAGAZINE FEATURES TGEN AS ITS FIRST STORY IN THEIR HEALTH & FITNESS ISSUE WITH THE HEADLINE: "TGEN - CREATING TOMORROW'S MEDICINE," INCLUDING INTERVIEWS WITH TGEN'S C4RCD MEDICAL DIRECTOR DR. VINODH NARAYANAN AND TGEN FOUNDATION PRESIDENT MICHAEL BASSOFF. D. TGEN NORTHS NEW STUDY OF VALLEY FEVER IN DOGS AND HOW THAT RESEARCH MIGHT ALSO BENEFIT HUMANS WAS FEATURED ON KJZZ, PHOENIXS NPR STATION, AND BY CBS 5 NEWS. E. TGEN NORTHS STUDY IN THE CDCS EMERGING INFECTIOUS DISEASES JOURNAL ABOUT AN OUTBREAK IN FLAGSTAFF OF A VIRULENT FORM OF STREP INFECTION IS COVERED BY: KNAU, KJZZ, KTAR, 12 NEWS, AND CRONKITE NEWS. F. THE ARIZONA REPUBLIC COVERS: TGENS CANINE CANCER RESEARCH; TGENS VALLEY FEVER PAWS PROGRAM TO STUDY VALLEY FEVER; AND DR. JEFFREY TRENTS COMMENCEMENT ADDRESS FOR THE U OF A COLLEGE OF MEDICINE-PHOENIX. G. CHANNEL 8 PBSS CRONKITE NEWS FEATURES: TGEN NORTHS DEVELOPMENT OF A NEW TEST FOR LYME DISEASE; TGENS CANINE CANCER RESEARCH. H. PHOENIX BUSINESS JOURNAL DOCUMENTS TWO NEW TGEN-LED CLINICAL trials - TGEN TRIPLE AND GRAND slam - for ADVANCED PANCREATIC CANCER. I. WOMENS RUNNING MAGAZINE FEATURES TGENS CARLY BENFORD FOR TGENS SU2C MELANOMA CLINICAL TRIAL. J. SCIENCE WRITERS MAGAZINE FEATURES TGEN IN A STORY ABOUT THE STATEWIDE ARIZONA NPR SCIENCE DESK. K. THE ARIZONA REPUBLIC PUBLISHED A FRONT PAGE STORY NOVEMBER 30, 2016, ABOUT TGENS NEW AFFILIATION WITH CITY OF HOPE. THE STORY CAME ON THE SAME DAY AS OUR OFFICIAL ANNOUNCEMENT, AND FOLLOWED A PRODUCTIVE MEETING THE PREVIOUS DAY WITH DR. JEFFREY TRENT AND ROBERT STONE VISITING THE REPUBLICS EDITORIAL BOARD. L. KJZZ 91.5 FM, PHOENIXS NATIONAL PUBLIC RADIO STATION, AIRED A 12-MINUTE INTERVIEW DECEMBER 7, 2016 WITH DR. JEFFREY TRENT, COO TESS BURLESON, AND ASSOCIATE PROFESSOR DR. KENDALL VAN-KEUREN JENSEN, ABOUT TGENS NEW AFFILIATION WITH CITY OF HOPE AND THE FUTURE OF PRECISION MEDICINE. Form 990, Part VI, Line 2 RICHARD BOALS AND WILLIAM POST HAVE A BUSINESS RELATIONSHIP. RICHARD BOALS AND ROBERT BULLA HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, LINE 4 ON NOVEMBER 16, 2016, THE INSTITUTE ENTERED INTO AN AFFILIATION AGREEMENT (THE AGREEMENT) WITH THE CITY OF HOPE (COH), A CALIFORNIA NONPROFIT PUBLIC BENEFIT TAX-EXEMPT CORPORATION UNDER 501(C)(3) OF THE INTERNAL REVENUE CODE. PURSUANT TO TERMS OF THE AGREEMENT, COH HAS BECOME THE SOLE MEMBER OF TGEN. TGEN WILL REMAIN AN ARIZONA-BASED NONPROFIT WITH HEADQUARTERS IN PHOENIX, ARIZONA. COH AND TGEN SHARE THE GOAL TO COLLABORATE ON RESEARCH ADVANCES IN PRECISION MEDICINE, SCIENTIFIC AND CLINICAL RESEARCH AND THE FIELD OF TRANSLATIONAL GENOMICS TO IMPROVE HEALTH AND WELL-BEING WHILE SUPPORTING EACH ORGANIZATIONS MISSION. PURSUANT TO THE AGREEMENT, COH WILL PROVIDE $10.0 MILLION ANNUALLY IN UNRESTRICTED SUPPORT OVER A FIVE-YEAR PERIOD. SUBSEQUENT TO THE AGREEMENT, IN NOVEMBER 2016, THE INSTITUTE AMENDED ITS ARTICLES OF INCORPORATION TO CHANGE ITS FISCAL YEAR-END FROM DECEMBER 31 TO SEPTEMBER 30, BEGINNING WITH THE FISCAL PERIOD ENDING SEPTEMBER 30, 2017, TO ALIGN WITH CITY OF HOPE'S FISCAL YEAR. FORM 990, PART VI, LINE 6 THE SOLE CORPORATE MEMBER OF TGEN IS CITY OF HOPE. FORM 990, PART VI, LINE 7A THE AFFILIATION AGREEMENT BETWEEN TGEN AND CITY OF HOPE GRANTS CITY OF HOPE THE RIGHT TO APPOINT DIRECTORS. FORM 990, PART VI, LINE 7B THE CORPORATION AND THE BOARD OF DIRECTORS SHALL NOT, AND SHALL ENSURE THE CORPORATION AFFILIATES AND THE GOVERNING BODIES OF CORPORATION AFFILIATES SHALL NOT, WITHOUT THE PRIOR WRITTEN APPROVAL OF THE MEMBER, TAKE, APPROVE, PERFORM OR COMMIT OR AUTHORIZE OR DIRECT ANY OFFICER OF THE CORPORATION OR ANY CORPORATION AFFILIATE TO TAKE, APPROVE, PERFORM OR COMMIT ANY OF THE ACTS OR ACTIONS DESCRIBED IN SECTIONS 1(F) THROUGH 1(U), INCLUSIVE, OF THE AMENDED AND RESTATED BYLAWS (EFFECTIVE NOVEMBER 16, 2016), WITH RESPECT TO THE CORPORATION OR ANY CORPORATION AFFILIATE, PROVIDED THAT MEMBER APPROVAL SHALL NOT BE REQUIRED FOR THOSE ACTS OR ACTIONS DESCRIBED IN SECTIONS 1(G), 1(N), 1(O), 1(P), 1(Q), 1(R) OR 1(T) TO THE EXTENT SUCH ACTS OR ACTIONS ARE SPECIFICALLY APPROVED IN AN OPERATING AND/OR CAPITAL BUDGET OR PLAN APPROVED BY THE MEMBER. THE SECTIONS REFERRED TO ABOVE ARE PROVIDED AS FOLLOWS: (F) TO APPROVE BY A FULL MAJORITY ANY MERGER BY, DISSOLUTION OF, OR SALE OF ALL OR SUBSTANTIALLY ALL OF THE ASSETS OF THE CORPORATION; (G) EXCEPT TO THE EXTENT INCLUDED IN SUBSECTION (F) ABOVE, TO APPROVE OR IMPLEMENT ANY MERGER OF THE CORPORATION OR ANY CORPORATION AFFILIATE WITH OR INTO ANY ENTITY OR ANY SALE, TRANSFER, PLEDGE OR OTHER DISPOSITION OF ANY MATERIAL ASSETS OF THE CORPORATION OR ANY CORPORATION AFFILIATE; (H) TO ADOPT, AMEND OR REPEAL THE ARTICLES OF INCORPORATION, THESE BYLAWS, OR THE JOINT NOMINATING COMMITTEE CHARTER, IN EACH CASE BY APPROVAL OF THE FULL MAJORITY, IN ADDITION TO ANY OTHER COMMITTEE CHARTER THAT, BY ITS TERMS, REQUIRES THE APPROVAL OF THE BOARD OF DIRECTORS; (I) EXCEPT TO THE EXTENT INCLUDED IN SUBSECTION (H) ABOVE, TO ADOPT, AMEND OR REPEAL THE ARTICLES OF INCORPORATION OR ORGANIZATION, BYLAWS OR OPERATING AGREEMENT, ANY COMMITTEE CHARTER, THE BOARD STANDING POLICIES MANUAL, OR ANY OTHER GOVERNING DOCUMENTS OF THE CORPORATION OR ANY CORPORATION AFFILIATE; (J) TO APPROVE AN INCREASE OR DECREASE IN THE NUMBER OF VOTING DIRECTORS; (K) TO FIX THE COMPENSATION, IF ANY, OF THE DIRECTORS OF THE CORPORATION OR PERSONS SERVING ON THE BOARD OF DIRECTORS OR GOVERNING BODY OF ANY CORPORATION AFFILIATE; (L) TO COMMENCE OR ALLOW ANY (I) ASSIGNMENT FOR THE BENEFIT OF CREDITORS OF THE CORPORATION OR ANY CORPORATION AFFILIATE, (II) FILING OF A PETITION SEEKING ANY REORGANIZATION, ARRANGEMENT, COMPOSITION, READJUSTMENT, LIQUIDATION, DISSOLUTION OR SIMILAR RELIEF UNDER ANY STATUTE, LAW, OR RULE, (III) FILING OF AN ANSWER OR OTHER PLEADING ADMITTING OR FAILING TO CONTEST THE MATERIAL ALLEGATIONS OF A PETITION FILED AGAINST THE CORPORATION OR ANY CORPORATION AFFILIATE IN ANY PROCEEDING OF THIS NATURE, OR (IV) SEEKING, CONSENTING, OR ACQUIESCING TO THE APPOINTMENT OF A TRUSTEE, RECEIVER OR LIQUIDATOR FOR THE CORPORATION OR ANY CORPORATION AFFILIATE OR ALL OR ANY SUBSTANTIAL PART OF THE CORPORATIONS OR THE CORPORATION AFFILIATES PROPERTY; (M) TO EXERCISE ANY MATERIAL SHAREHOLDER, MEMBER OR OTHER GOVERNANCE RIGHTS OR ELECTIONS HELD BY THE CORPORATION OR ANY CORPORATION AFFILIATE; (N) TO ACQUIRE, PURCHASE, DEVELOP, MATERIALLY IMPROVE, SELL, LEASE, OR MORTGAGE ANY CORPORATE REAL ESTATE OR ANY MATERIAL INTEREST THEREIN OR ENTER INTO ANY CONTRACT FOR ANY SUCH PURPOSES BY THE CORPORATION OR ANY CORPORATION AFFILIATE; (O) TO BORROW MONEY OR PLEDGE PROPERTY (REAL OR PERSONAL) OF THE CORPORATION OR ANY CORPORATION AFFILIATE AS SECURITY FOR SUCH LOANS; (P) TO MAKE ANY LOAN TO OR ON BEHALF OF ANY PERSON OR ENTITY BY THE CORPORATION OR ANY CORPORATION AFFILIATE; (Q) TO FORM ANY CORPORATION AFFILIATE OR MAKE ANY INVESTMENT IN ANY BUSINESS OR VENTURE; (R) TO DEVELOP OR IMPLEMENT ANY MATERIAL CHANGE IN THE OPERATIONS OR ACTIVITIES OF THE CORPORATION OR ANY CORPORATION AFFILIATE, OR ANY MATERIAL CHANGE IN THE ALLOCATION OF THE CORPORATIONS OR ANY CORPORATION AFFILIATES RESOURCES AMONG THE OPERATIONS OR ACTIVITIES OF THE CORPORATION OR THE CORPORATION AFFILIATE; (S) TO ASSIGN, TRANSFER, PLEDGE, COMPROMISE OR RELEASE ANY OF THE CLAIMS OR DEBTS OF THE CORPORATION OR ANY CORPORATION AFFILIATE, EXCEPT ON PAYMENT IN FULL OR FOR ADJUSTMENTS INCURRED IN THE ORDINARY COURSE OF BUSINESS; (T) TO ENTER INTO ANY CONTRACT OR INCUR ANY LIABILITIES BY THE CORPORATION OR ANY CORPORATION AFFILIATE FOR OTHER THAN FAIR CONSIDERATION OR OUTSIDE OF THE ORDINARY COURSE OF BUSINESS; AND (U) TO ADOPT OR IMPLEMENT ANY STRATEGIC PLAN FOR THE CORPORATION AND/OR ANY CORPORATION AFFILIATE, OR ANY MATERIAL MODIFICATIONS OR AMENDMENTS THERETO. FURTHER, NOTWITHSTANDING ANYTHING IN THE BYLAWS TO THE CONTRARY, IN ADDITION TO THE OTHER RIGHTS SET FORTH IN THE BYLAWS, THE MEMBER SHALL HAVE THE SOLE AND EXCLUSIVE POWER AND AUTHORITY WITH RESPECT TO: (A) THE APPROVAL AND ADOPTION (AS OPPOSED TO THE APPROVAL FOR RECOMMENDATION TO THE MEMBER) OF THE CAPITAL AND/OR OPERATING BUDGETS AND PLANS OF THE CORPORATION AND THE CORPORATION AFFILIATES, AND ANY MATERIAL MODIFICATIONS OR AMENDMENTS THERETO, AS DESCRIBED IN SECTION 1.6 OF THE AFFILIATION AGREEMENT; (B) SUBJECT TO SECTION 3(E) OF THIS ARTICLE III OF THE BYLAWS, THE REMOVAL OF A DIRECTOR, EXCEPT IN THE CASE OF A DIRECTOR WHO HAS BEEN DECLARED OF UNSOUND MIND BY AN ORDER OF COURT, CONVICTED OF A FELONY, OR FOUND BY FINAL ORDER OR JUDGMENT OF ANY COURT TO HAVE BREACHED A DUTY UNDER THESE BYLAWS OR THE ANCA; AND (C) THE SELECTION OF THE AUDITOR AND APPROVAL OF THE AUDIT REPORT FOR THE CORPORATION OR ANY CORPORATION AFFILIATE. 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 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 CHIEF OPERATING OFFICER. THE QUESTIONNAIRES ARE REVIEWED BY THE CHIEF FINANCIAL OFFICER AND TGEN'S OFFICE OF RESEARCH COMPLIANCE. THOSE EMPLOYEES WITH CONFLICTS ARE SENT FOR FURTHER REVIEW TO THE 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. COMMITTE OF TGEN. NOT WITHSTANDING THE FORGEGOING. FORM 990, PART VI, LINES 15A AND 15B THE EXECUTIVE COMPENSATION AND GOVERNANCE COMMITTEE OF THE MEMBER SHALL BE THE EXECUTIVE COMPENATION COMMITTE OF TGEN. NOT WITHSTANDING THE FORGEGOING, TGEN'S GOVERNANCE AND EXECUTIVE COMPENSATION 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 2016. FORM 990, PART VI, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE PROVIDED TO THE GENERAL PUBLIC UPON REQUEST. FORM 990, PART VII, SECTION A, LINE 1A TGEN HAS A BOARD OF GOVERNORS THAT IS COMPRISED OF CURRENT VOTING DIRECTORS AND SOME FORMER DIRECTORS THAT REMAIN AFFILIATED WITH TGEN IN AN ADVISORY ROLE. THE CURRENT NONVOTING ADVISORY GOVERNORS NOT LISTED AS DIRECTORS IN PART VII, SECTION A INCLUDE: BETSY BAYLESS RITA CHENG WYATT DECKER GOVERNOR DOUG DUCEY THE HONORABLE DELBERT RAY THE HONORABLE JIM SLATTERY FORM 990, PART XI, LINE 9 BOOK TO TAX DIFFERENCE - K-1 PARTNERSHIP INCOME $ (86,522) OTHER CHANGES IN NET ASSETS AS A RESULT OF CITY OF HOPE AFFILIATION $10,619,397 ----------- TOTAL $10,532,875 FORM 990, PART XII, LINE 3B TGEN DID UNDERGO AN AUDIT AS SET FORTH BY THE UNIFORM GUIDANCE FOR FY2016AND HAD AN UNQUALIFIED OPINION. FORM 990 PART IX LINE 11G DESCRIPTION:CONSORTIUM/CONTRACTUAL TOTAL FEES:5470821 FORM 990 PART IX LINE 11G DESCRIPTION:OUTSIDE RESEARCH SERVICES TOTAL FEES:2269744 FORM 990 PART IX LINE 11G DESCRIPTION:CONSULTING TOTAL FEES:1361406 FORM 990 PART IX LINE 11G DESCRIPTION:TEMPORARY SERVICES TOTAL FEES:16542 TGEN ACCELERATORS LLC (TGAM) 445 NORTH 5TH STREET SUITE 600 PHOENIX AZ 85004 753065445 GENOMICS AZ 0 0 TGEN THE CENTER FOR TRANSLATIONAL DRUG DEV 445 N 5TH STREET SUITE 600 PHOENIX AZ 85004 432047329 DRUG DEVEL. AZ -125563 1627883 TGAM LLC TRANSLATIONAL SYSTEMS LLC 445 N 5TH STREET SUITE 600 PHOENIX AZ 85004 461309498 ADV. RESEARCH AZ 0 0 TGEN PET CANCER DIAGNOSTICS LLC 445 N 5TH STREET SUITE 600 PHOENIX AZ 85004 753065445 ANIMAL DIAG. 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