2017-11-13T15:26:27-06:00 2016-12-31 KPMG LLP 60 South Street Boston MA 02111 990 2016-01-01 010211513 THE JACKSON LABORATORY % S CATHERINE LONGLEY JACK 2072886000 600 MAIN STREET BAR HARBOR ME 04609 S CATHERINE LONGLEY VP & CFO 2072886000 2017-11-08 true TARA D'AGOSTINO P01245482 6179881000 2017-11-08 167.68.102.5 04502320173175000013 2017-11-13 P F9EB1CD9B139F37890F72A574C7CABC22A10BBB9 5C203E30F98ED91BFEBCF91EA19CE9A9BC6641E7 2016 2017-02-10 21:41:12Z EDISON LIU 600 MAIN STREET BAR HARBOR ME 04609 331241336 false X WWW.JAX.ORG X 1929 ME THE PURPOSES OF THE LABORATORY ARE SCIENTIFIC, MEDICAL, CHARITABLE, AND EDUCATIONAL TO DISCOVER PRECISE GENOMIC SOLUTIONS FOR DISEASE AND EMPOWER THE BIOMEDICAL COMMUNITY. 26 24 2114 35 83753 89944366 88095298 210424017 231591680 2136894 8903048 1813476 2489423 304318753 331079449 1113816 1595400 0 0 150912017 157463695 175252 67546 2952669 129308727 141437013 281509812 300563654 22808941 30515795 754340048 795674359 167713329 162685891 586626719 632988468 X THE PURPOSES OF THE LABORATORY ARE SCIENTIFIC, MEDICAL, CHARITABLE, AND EDUCATIONAL. 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CABOT TRUSTEE 1.0 0.0 X X 0 0 0 PETER F GERRITY TRUSTEE 1.0 0.0 X X 0 0 0 CHARLES E HEWETT PHD EXECUTIVE VICE PRESIDENT & COO 40.0 0.0 X X 672159 0 220928 EDISON T LIU MD PRESIDENT & CEO 40.0 0.0 X X 1039273 0 327798 DAVID J ROUX CHAIR OF THE BOARD 1.0 0.0 X X 0 0 0 S CATHERINE LONGLEY CHIEF FINANCIAL OFFICER 40.0 0.0 X 152590 0 47876 ROBERT E BRAUN PHD VICE PRESIDENT RESEARCH 40.0 0.0 X 385194 0 31106 KENNETH H FASMAN VICE PRESIDENT FOR RESEARCH 40.0 0.0 X 404606 0 116404 CHARLES LEE PHD FACMG SCIENTIFIC DIRECTOR, JAX GM 40.0 0.0 X 333425 0 105772 AUROBINDO NAIR GENERAL MANAGER, JMCRS 40.0 0.0 X 532147 0 193551 NADIA A ROSENTHAL SCIENTIFIC DIRECTOR, JAX GM 40.0 0.0 X 415736 0 56085 JACQUES F BANCHEREAU PHD PROFESSOR 40.0 0.0 X 393074 0 71534 BRIAN R LESLIE GENERAL COUNSEL 40.0 0.0 X 455945 0 132429 KRISTEN B ROZANSKY VICE PRESIDENT, DEV & COMMUN 40.0 0.0 X 488601 0 36953 KATHY L VANDEGRIFT ASSOCIATE GM FINANCE & OP 40.0 0.0 X 357257 0 103144 GEORGE M WEINSTOCK DIRECTOR, MICROBIAL 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LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 (ASC 740) PART X, LINE 2 THE LABORATORY IS A NOT-FOR-PROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE CODE), AS AMENDED, AND IS GENERALLY EXEMPT FROM INCOME TAXES PURSUANT TO THE CODE. IN ACCORDANCE WITH GAAP, THE LABORATORY ASSESSES WHETHER THERE ARE UNCERTAIN TAX POSITIONS AND DETERMINED THERE WERE NO UNCERTAIN TAX POSITIONS THAT WOULD HAVE A MATERIAL EFFECT ON THE FINANCIAL STATEMENTS. OTHER REVENUE ON FINANCIAL STATEMENTS NOT ON RETURN PART XI, LINE 2D UNREALIZED GAIN ON INTEREST RATE SWAPS 990,086 FV ADJUSTMENT ON CT LOANS 7,748,230 TOTAL 8,738,316 OTHER REVENUE ON RETURN NOT IN FINANCIAL STATEMENTS PART XI, LINE 4B RECLASS OF FUNDRAISING EXPENSES (161,887) OTHER EXPENSES INCLUDED IN FINANCIAL STATEMENT NOT ON RETURN PART XII, LINE 2D RECLASS OF FUNDRAISING EXPENSES 161,887 Europe (Including Iceland and Greenland) 2 Program Services GENETIC RESOURCES 242840 Central America and the Caribbean INVESTMENTS 11079448 Europe (Including Iceland and Greenland) Program Services GENETIC RESOURCES East Asia and the Pacific Program Services WORKSHOP 2406 Middle East and North Africa Program Services GENETIC RESOURCES North America Program Services GENETIC RESOURCES South America Program Services GENETIC RESOURCES South Asia Program Services GENETIC RESOURCES Sub-Saharan Africa Program Services GENETIC RESOURCES 2 2 11324694 11324694 true false true true false true X X X X X X X true Grenzebach Glier and ASSOCIATES 401 North Michigan Avenue Suite 28 Chicago IL 60611 Consult false 67546 -67546 67546 -67546 CA CT FL ME MA NY PA DISCOVERY DAYS 20960 17560 3400 315 66105 44497 50970 0 20960 17560 3400 315 66105 44497 50970 161887 -158487 true TOWN OF BAR HARBOR 93 COTTAGE STREET BAR HARBOR ME 04609 016000061 GOV'T 88510 SUPPORT CONNECTICUT UNITED FOR RESEARCH EXCELLENCE 350 CHURCH ST 3RD FLOOR HARTFORD CT 06103 061304212 501(C)(3) 20000 SUPPORT SUPPORT HANCOCK COUNTY SHERIFF 50 STATE STREET ELLSWORTH ME 04605 016000006 GOV'T 7500 SUPPORT SUPPORT 3 0 SCHOLARSHIPS/STIPENDS 413 1453480 MONITORING THE USE OF GRANT FUNDS IN THE U.S. PART I, LINE 2 IN RECOGNITION OF THE CLOSE RELATIONSHIP BETWEEN THE LABORATORY AND THE TOWN OF BAR HARBOR, THE LABORATORY MADE A VOLUNTARY PAYMENT TO THE TOWN. THE LABORATORY PROVIDED CONNECTICUT UNITED FOR RESEARCH EXCELLENCE WITH MEMBERSHIP DUES THAT THE ORGANIZATION TREATS AS A CONTRIBUTION. THE LABORATORY PROVIDED HANCOCK COUNTY SHERIFF ASSISTANCE WITH PURCHASING AND TRAINING A K-9 UNIT THAT WAS COMPLETED BY JUNE 2016. VARYING AMOUNTS OF ASSISTANCE IN THE FORM OF GRANTS, FELLOWSHIPS AND STIPENDS ARE AWARDED TO SUMMER STUDENTS, LABORATORY INTERNS, GRADUATE STUDENTS, INSTRUCTORS AND COURSE ATTENDEES BASED ON NEED AND MERIT. ALL RECIPIENTS OF GRANT FUNDS EITHER WORK AT THE LABORATORY UNDER THE SUPERVISION OF LABORATORY EMPLOYEES OR ATTEND COURSES. CONFERENCE ORGANIZERS REGULARLY MONITOR ATTENDANCE OF COURSES BY GRANT RECIPIENTS, AND RESPONSIBLE FACULTY MEMBERS OVERSEE AND MONITOR OTHER FORMS OF SCHOLARSHIP ASSISTANCE TO INDIVIDUAL STUDENTS, INTERNS OR OTHER SCIENTISTS THROUGH OVERSIGHT OF THEIR ASSIGNMENTS. X true true X X X X X true true false false false false false true false CHARLES E HEWETT PHD EXECUTIVE VICE PRESIDENT & COO 581952 0 50000 0 40207 0 199500 0 21428 0 893087 0 0 0 EDISON T LIU MD PRESIDENT & CEO 745050 0 200000 0 94223 0 301500 0 26298 0 1367071 0 0 0 S CATHERINE LONGLEY CHIEF FINANCIAL OFFICER 142715 0 0 0 9875 0 44375 0 3501 0 200466 0 0 0 ROBERT E BRAUN PHD VICE PRESIDENT RESEARCH 337913 0 10000 0 37281 0 29749 0 1357 0 416300 0 0 0 KENNETH H FASMAN VICE PRESIDENT FOR RESEARCH 362710 0 39600 0 2296 0 87700 0 28704 0 521010 0 0 0 CHARLES LEE PHD FACMG SCIENTIFIC DIRECTOR, JAX GM 277113 0 49934 0 6378 0 76434 0 29338 0 439197 0 0 0 AUROBINDO NAIR GENERAL MANAGER, JMCRS 417548 0 100000 0 14599 0 166500 0 27051 0 725698 0 0 0 NADIA A ROSENTHAL SCIENTIFIC DIRECTOR, JAX GM 391237 0 23748 0 751 0 55846 0 239 0 471821 0 0 0 JACQUES F BANCHEREAU PHD PROFESSOR 354487 0 35000 0 3587 0 61500 0 10034 0 464608 0 0 0 BRIAN R LESLIE GENERAL COUNSEL 367203 0 87500 0 1242 0 114000 0 18429 0 588374 0 0 0 KRISTEN B ROZANSKY VICE PRESIDENT, DEV & COMMUN 189796 0 32966 0 265839 0 22562 0 14391 0 525554 0 0 0 KATHY L VANDEGRIFT ASSOCIATE GM FINANCE & OP 288614 0 60500 0 8143 0 81500 0 21644 0 460401 0 0 0 GEORGE M WEINSTOCK DIRECTOR, MICROBIAL GENOMICS 329056 0 20000 0 6666 0 46500 0 9870 0 412092 0 0 0 BENEFITS PART I, LINE 1A TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: THE JACKSON LABORATORY GROSSES UP THE AMOUNT ADDED TO WAGES FOR IMPUTED INSURANCE PREMIUMS FOR LIFE, DISABILITIY, AND LONG TERM CARE BENEFITS FOR THE SENIOR MANAGEMENT GROUP TO COVER TAXES. THE LABORATORY ALSO GROSSES UP WAGES TO COVER THE TAX IMPACT OF GIFT CARDS AND OTHER AWARDS OR PRIZES TO EMPLOYEES SO THAT THE RECIPIENTS RECEIVE THE FULL VALUE OF THE GIFT OR AWARD. EFFECTIVE IN 2015, THE LABORATORY CHANGED ITS MATCHING CONTRIBUTIONS TO PARTICIPANT ACCOUNTS IN ITS SECTION 403B RETIREMENT PLAN (THROUGH AN ANNUAL "TRUE UP" PROCESS) TO REFLECT COMPENSATION PAID TO PARTICIPANTS FOR THE FULL PLAN YEAR. SEVERANCE ARRANGEMENT PART I, LINE 4A AN OFFICER OF THE ORGANIZATION HAS AN EMPLOYMENT AGREEMENT WITH A CONDITIONAL SEVERANCE CLAUSE. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PART I, LINE 4B THE LABORATORY MAINTAINS A DEFERRED COMPENSATION PLAN UNDER SECTION 457(F): CONTRIBUTIONS MADE: PRESIDENT/CEO $75,000 EXECUTIVE VICE PRESIDENT/COO $123,000 GENERAL MANAGER, JMCRS $40,000 NON-FIXED PAYMENTS PART I, LINE 7 THE TOTAL COMPENSATION PACKAGE OF CERTAIN OFFICERS, KEY EMPLOYEES, AND OTHER EMPLOYEES INCLUDES VARIABLE COMPENSATION AWARDED BASED ON PERFORMANCE. A FINANCE AUTHORITY OF MAINE 042456011 999999999 2012-08-31 42460000 REFUND false false false B ABAG FINANCE AUTHORITY FOR NONPROFIT CORPORATIONS 943130123 00037CTH3 2012-10-24 66355769 FINANCE CONSTRUCTION & REFUND false false false A 1920000 0 42460000 0 0 0 0 0 0 0 42460000 0 2002 true false true true B 1550000 0 66432099 0 0 0 623401 0 0 26665257 39143441 0 2015 false true true true A false false false true true 0.00128 0.00128 false false false true B false false true true true true 0.00176 0.00176 false false false true A false true false false true false 0 false 0 false true B false false false true false false 0 false 0 false true A true B true BOND PROCEEDS - BOND ISSUE B PART II, LINE 3 THE DIFFERENCE IN ISSUE PRICE AND LINE 3 PROCEEDS FOR BOND ISSUE B IS INTEREST INCOME FROM THE AMOUNTS HELD IN THE REFUNDING ESCROW ACCOUNT. PART IV, LINE 2(C) BOND ISSUE B - NO REBATE DUE, ARBITRAGE CALCULATION PERFORMED 01/05/2016 BY AMTEC (REFLECTING ACTIVITY THROUGH 10/31/2015). MADELEINE BRAUN PHD KEY EMPLOYEE - R. BRAUN 305228 EMPLOYMENT - FAMILY MEMBER false ALAN SAWYER KEY EMPLOYEE - N ROSENTHAL 142701 EMPLOYMENT - FAMILY MEMBER false X 30 740044 FMV X 4.1666% JAX PARTNERS 2 18204 FMV X 5.5556% JAX PARTNERS II 1 99661 FMV X PIANO 1 9500 FMV X OTHER GIFT IN KIND 1 250 FMV 2 false true false CONTRIBUTIONS PART I, COLUMN B THE NUMBER OF CONTRIBUTIONS ARE REPORTED IN COLUMN B. SUMMARY FORM 990, PART I, LINE 1 THE PURPOSES OF THE LABORATORY ARE SCIENTIFIC, MEDICAL, CHARITABLE, AND EDUCATIONAL. OUR MISSION IS TO DISCOVER PRECISE GENOMIC SOLUTIONS FOR DISEASE ADN EMPOWER THE GLOBAL BIOMEDICAL COMMUNITY IN ITS SHARED QUEST TO IMPROVE HUMAN HEALTH. ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 THE MISSION OF THE LABORATORY IS TO DISCOVER PRECISE GENOMIC SOLUTIONS FOR DISEASE AND EMPOWER THE GLOBAL BIOMEDICAL COMMUNITY IN THE SHARED QUEST TO IMPROVE HUMAN HEALTH. TO ACCOMPLISH THIS MISSION, THE LABORATORY: 1) CONDUCTS BASIC BIOMEDICAL RESEARCH TO INCREASE THE KNOWLEDGE OF DEVELOPMENT, GROWTH, REPRODUCTION, PHYSIOLOGY, AND PATHOPHYSIOLOGY THROUGH RESEARCH WITH GENETICALLY DEFINED EXPERIMENTAL MOUSE MODELS AND OTHER MODELS OF DISEASE; 2) CONDUCTS TRANSLATIONAL BIOMEDICAL RESEARCH TO IDENTIFY THE GENOMIC IMPACT ON HUMAN DISEASE, PROMOTE THE ESTABLISHMENT OF MORE PRECISE, TARGETED THERAPIES, OFFER CUTTING EDGE GENOMIC DIAGNOSTICS TO IMPROVE PATIENT CARE, AND PROVIDE ADVANCED COMPUTATIONAL TOOLS, DATABASES AND KNOWLEDGE MANAGEMENT SYSTEMS TO THE BIOMEDICAL RESEARCH AND MEDICAL COMMUNITIES; 3) TRAINS AND EDUCATES STUDENTS, SCIENTISTS, PHYSICIANS, AND OTHER PROFESSIONALS IN THESE AREAS; AND 4) PROMOTES SCIENTIFIC DISCOVERY THROUGH THE PROVISION OF MOUSE MODELS AND OTHER MODELS OF HUMAN DISEASE AND THE PROVISION OF RESEARCH, CLINICAL, COMPUTATIONAL AND INFORMATION SERVICES TO THE GLOBAL SCIENTIFIC AND MEDICAL COMMUNITIES. PROGRAM SERVICES FORM 990, PART III, LINE 4A-4C DEVELOP AND PROVIDE GENETIC RESOURCES IN 2016, OVER 130 COMMON LABORATORY STRAINS OF JAX MICE WERE DISTRIBUTED TO OVER 23,600 RESEARCHERS AT MORE THAN 1,300 INSTITUTIONS IN 52 COUNTRIES TO SUPPORT RESEARCHERS SEEKING CURES FOR THE WORLDS MOST PREVALENT HUMAN DISEASES AND BRINGING THERAPIES TO PATIENTS. THE IDENTIFICATION OF RARE GENETIC DEVIANTS IN MICE ASSISTS IN UNDERSTANDING THE GENETIC ETIOLOGY HUMAN DISEASE; IN 2016, 20 MUTANT MICE WERE IDENTIFIED AS GENETICALLY DEVIANT, PROVIDING POTENTIAL NEW RESEARCH MODELS FOR HUMAN DISEASE. THE LABORATORY MOUSE REPOSITORY, PRODUCTION AND RESEARCH SERVICES COLLECTS DATA CONCERNING THE ETHICAL CARE AND DEVELOPMENT OF MOUSE MODELS, WHICH ENHANCES KNOWLEDGE SHARED WITH THE GLOBAL RESEARCH COMMUNITY. IN 2016, THESE DATA WERE SHARED THROUGH 130 EDUCATIONAL SEMINARS AND WITH MORE THAN 10,000 RESEARCHERS VIA THE LABORATORYS WEBSITE. THESE DATA ARE ALSO SHARED VIA PEER-REVIEWED PUBLICATIONS AND PUBLICLY ACCESSIBLE DATABASES, INCLUDING THE MOUSE PHENOME (MPD) AND THE MOUSE TUMOR BIOLOGY (MTB) DATABASES, WHICH CURRENTLY CONTAIN MORE THAN 1.2 MILLION INDIVIDUAL DATA POINTS, INCLUDING OVER 4,800 DIFFERENT PHENOTYPIC MEASUREMENTS (TRAITS). IN 2016, 476 NEW MOUSE STRAINS AND DERIVATIVE CELL LINES WERE DONATED TO OR DEVELOPED BY RESEARCH STAFF AT THE LABORATORY THROUGH PUBLICLY FUNDED RESEARCH ACTIVITIES. THE LABORATORY MAKES THESE RESOURCES PUBLICLY ACCESSIBLE THROUGH ITS REPOSITORY, PRODUCTION AND RESEARCH SERVICES. DISTRIBUTION OF THESE STRAINS HELPS SUPPORT CURES FOR THE WORLD'S MOST PREVALENT HUMAN DISEASES AND ACCELERATES THE TIME TO BRING NEW THERAPIES TO PATIENTS. THE LABORATORY COLLABORATED WITH OTHER NON-PROFIT PATIENT FOUNDATIONS FOR RARE DISEASES TO ESTABLISH MOUSE RESOURCES TO FURTHER PRECLINICAL THERAPEUTIC STUDIES. FOR THE HUMAN GENOME, THE LABORATORY MAKES MATERIALS PUBLIC THROUGH THE JAX CLINICAL KNOWLEDGE BASE (CKB) ENABLING INTERPRETATION OF GENOMIC CANCER PROFILES, AND IS A RESOURCE FOR CLINICIANS AND TRANSLATIONAL RESEARCHERS. ACCEPTANCE AND USAGE OF CKB HAS BEEN STEADILY INCREASING; AT THE END OF 2016, OVER NINE THOUSAND USERS FROM 89 COUNTRIES HAD ACCESSED THE CKB. BIOMEDICAL RESEARCH IN ADDITION TO THE NUMEROUS GRANTS ALREADY ON HAND AT THE BEGINNING OF THE YEAR, SEVERAL SPONSORED RESEARCH AWARDS WERE RECEIVED BY THE LABORATORY INCLUDING A FIVE-YEAR, $2.4 MILLION GRANT BY THE NATIONAL INSTITUTE ON DRUG ABUSE TO PINPOINT GENETIC VARIANTS THAT INCREASE SUSCEPTIBILITY TO ADDICTION. THE NATIONAL INSTITUTE OF NEUROLOGICAL DISORDERS AND STROKE PROVIDED FUNDING TOTALING $1.2 MILLION TO DEVELOP MOUSE MODELS FOR INHERITED PERIPHERAL NEUROPATHIES AND NEURODEGENERATIVE DISEASES. ALSO, THE NATIONAL INSTITUTE ON DEAFNESS AND OTHER COMMUNICATION DISORDERS AWARDED THE LABORATORY A $1.9 MILLION GRANT. THE LABORATORY RECEIVED A $3.2 MILLION FEDERAL RESEARCH GRANT TO DEVELOP ADJUVANTS TO IMPROVE THE EFFICACY OF VACCINES IN ELDERLY AND IMMUNOCOMPROMISED PATIENTS. ADDITIONALLY THE NATIONAL INSTITUTE OF ALLERGY AND INFECTIOUS DISEASES MADE A FIVE YEAR, $3.3 MILLION GRANT TO STUDY MYALGIC ENCEPHALOMYELITIS, THE CONDITION MORE GENERALLY KNOWN AS CHRONIC FATIGUE SYNDROME. A $1.8 MILLION GRANT FROM THE NATIONAL INSTITUTE OF GENERAL MEDICAL SCIENCES WILL FUND THE DEVELOPMENT OF NEW COMPUTATIONAL TOOLS TO ANALYZE GENOMIC DATA TO UNDERSTAND HOW MULTIPLE GENES INTERACT IN COMPLEX DISEASES. A FOUR-YEAR, $3.4 MILLION NIH GRANT TO THE LABORATORY WILL ASSIST WITH DEVELOPING NEW DATA RESOURCES AND MOUSE MODELS TO BETTER UNDERSTAND MENDELIAN GENETIC DISORDERS. THE LABORATORY RECEIVED ADDITIONAL NIH FUNDING OF $10.5 MILLION TO CONTINUE THE MAINTENANCE AND DEVELOPMENT OF THE GENE EXPRESSION DATABASE. THREE MULTI-YEAR GRANTS TOTALING $55 MILLION, FROM THE NATIONAL INSTITUTES OF HEALTH, LAUNCHED NEW CENTERS FOR THE STUDY OF ALZHEIMERS DISEASE AND ADDICTION, AND FOR THE NEXT PHASE OF THE KNOCKOUT MOUSE PROJECT TO UNDERSTAND GENE FUNCTION. NEW COLLABORATIVE RESEARCH PROJECTS WERE LAUNCHED IN THE FIELD OF ALZHEIMERS RESEARCH. THE LABORATORY AND INDIANA UNIVERSITY COLLABORATORS SECURED A FIVE-YEAR, $25 MILLION FEDERAL GRANT TO SUPPORT THE NEW CENTER, WHICH WILL DEVELOP PRECISION MODELS FOR ALZHEIMERS DISEASE RESEARCH. EDUCATION AND TRAINING IN 2016 THE LABORATORY, IN COLLABORATION WITH OTHER INSTITUTIONS, DIRECTED THE WHOLE SCIENTIST WORKSHOP AS PART OF THE ANNUAL SOCIETY FOR THE ADVANCEMENT OF CHICANOS AND NATIVE AMERICANS IN SCIENCE CONFERENCE IN LONG BEACH, CALIFORNIA. THE WORKSHOP INCLUDED 78 PARTICIPANTS, 95% OF WHOM WERE MINORITIES UNDER-REPRESENTED IN THE BIOMEDICAL SCIENCES. THE LABORATORYS CONTINUING AND CLINICAL EDUCATION TEAM IN COLLABORATION WITH OTHER INSTITUTIONS RELEASED A NEW MODULE, "PRECISION MEDICINE FOR YOUR PRACTICE: SOMATIC CANCER PANEL TESTING", FOCUSING ON BENEFITS AND LIMITAIONS OF TESTING CANCER CELLS FOR VARIANTS IN LARGE NUMBERS OF GENES ASSOCIATED WITH TARGETED TREATMENT OPTIONS. NINETY NINE INDIVIDUALS REGISTERED FOR THE FIRST MODULE AND 55 INDIVIDUALS REGISTERED FOR THE SECOND MODULE. THE THIRD MODULE WAS RELEASED AT THE END OF THE FOURTH QUARTER OF 2016. THE LABORATORY ORGANIZED 30 IN-PERSON COURSES, WORKSHOPS, SYMPOSIA AND CONFERENCES FOR GRADUATE AND POST-DOCTORAL STUDENTS, RESEARCH ASSISTANTS, AND ADVANCED UNDERGRADUATE STUDENTS IN GENETICS AND GENOMICS. 2016 PARTICIPATION GREW 13% WITH OVER 1200 PARTICIPANTS. THE LABORATORY HOSTED THE 2016 SUMMER STUDENT PROGRAM (SSP) IN WHICH STUDENTS CONDUCTED INDEPENDENTLY MENTORED RESEARCH PROJECTS WITH SCIENTISTS. ADDITIONALLY THE SSP INCLUDED SUPPLEMENTAL PROGRAMS IN ETHICAL, LEGAL AND SOCIAL ISSUES IN GENETICS RESEARCH, PROFESSIONAL SEMINARS DELIVERED BY ALUMNI OF THE PROGRAM AND A WEEKLY PROGRAM LED BY POSTDOCTORAL STUDENTS. IN 2016, IN COLLABORATION WITH THE AMERICAN SOCIETY OF HUMAN GENETICS, THE LABORATORY HELD A WORKSHOP WITH THE GENOMICS OFFICE OF THE CONNECTICUT DEPARTMENT OF PUBLIC HEALTH AND THE CONNECTICUT NURSES ASSOCIATION. TOPICS COVERED CANCER GENETICS SKILLS, INCLUDING FAMILY HISTORY RISK ASSESSMENT, PATIENT COMMUNICATION AND COUNSELING, AND DECISION-MAKING REGARDING GENETIC REFERRAL AND GENETIC TESTING. SIGNIFICANT CHANGES TO BYLAWS FORM 990, PART VI, SECTION A, LINE 4 THE MISSION OF THE JACKSON LABORATORY HAS BEEN REVISED TO PROVIDE ADDITIONAL TRANSPARENCY REGARDING THE ORGANIZATION'S KEY OBJECTIVES AND PURPOSE. THE REVISED MISSION STATEMENT IS REFLECTED IN FORM 990, PART III, LINE 1. IN CONCERT WITH THIS REVISION, THE BYLAWS OF THE JACKSON LABORATORY HAVE BEEN REVISED TO MODERNIZE AND IMPROVE THE GOVERNANCE STRUCTURE. THE REVISIONS TO THE BYLAWS INCLUDE THE FOLLOWING: -ALL TRUSTEES WHO SERVE AS ELECTED OFFICERS OF THE BOARD SHOULD BE RECOGNIZED AS MEMBERS OF THE EXECUTIVE COMMITTEE. -MEMBERS OF THE BOARD OF TRUSTEES CAN NOW BE REELECTED WHO EXCEED A CERTAIN AGE LIMIT IN SUCH CASES WHERE AN INDIVIDUAL CLEARLY POSSESSES UNUSUAL SKILLS, KNOWLEDGE AND/OR EXPERIENCE NEEDED BY THE BOARD AT A PARTICULAR POINT IN TIME. -THE MAXIMUM NUMBER OF TRUSTEES HAS BEEN INCREASED FROM 27 TO 30. FORM 990 REVIEW PROCESS FORM 990, PART VI, SECTION B, QUESTION 11B THE AUDIT COMMITTEE OF THE JACKSON LABORATORY'S BOARD OF TRUSTEES REVIEWS A DRAFT COPY OF THE IRS FORM 990 BEFORE IT IS PROVIDED TO THE BOARD OF TRUSTEES. AFTER THE AUDIT COMMITTEE'S REVIEW, THE PUBLIC DISCLOSURE COPY OF IRS FORM 990 IS FINALIZED AND PROVIDED TO THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE. CONFLICT OF INTEREST POLICY FORM 990, PART VI, SECTION B, QUESTION 12C THE JACKSON LABORATORY PROVIDES ALL OFFICERS, BOARD MEMBERS AND KEY EMPLOYEES WITH A CONFLICT OF INTEREST, CODE OF ETHICS AND DISCLOSURE FORMS AS WELL AS THE DISTRIBUTION OF ALL POLICIES REGARDING THE CONFLICT OF INTEREST AND CODE OF ETHICS. THIS PROCESS IS DONE ANNUALLY. THE DISCLOSURE AND COMPLIANCE ATTESTATIONS ARE RETURNED TO THE GENERAL COUNSEL, WHERE THEY ARE RECORDED AND TALLIED FOR COMPLETENESS. DISCLOSURES, AS WELL AS ANY FOLLOW UP QUESTIONS, ARE ROUTED THROUGH GENERAL COUNSEL, AND IF NECESSARY THE AUDIT COMMITTEE. TRUSTEES AND EXECUTIVES WITH AN APPARENT OR ACTUAL CONFLICT OF INTEREST RECUSE THEMSELVES FROM DECISION MAKING. COMPENSATION POLICY FORM 990, PART VI, SECTION B, QUESTION 15B THE COMPENSATION AND HUMAN RESOURCES COMMITTEE OF THE BOARD OF TRUSTEES SETS COMPENSATION AND BENEFITS FOR THE CHIEF EXECUTIVE OFFICER, EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER, THE VICE PRESIDENT OF RESEARCH, THE VICE PRESIDENT OF EXTERNAL AFFAIRS AND STRATEGIC PARTNERSHIPS, THE CHIEF FINANCIAL OFFICER AND EQUIVALENT POSITIONS AS WELL AS ANY OTHER EMPLOYEES OF THE LABORATORY WHO WOULD BE CONSIDERED 'INSIDERS'DISQUALIFIED PERSONS' WITHIN THE MEANING OF THE INTERMEDIATE SANCTIONS RULES UNDER THE INTERNAL REVENUE CODE. MEMBERS OF THE COMMITTEE ARE INDEPENDENT TRUSTEES SELECTED BY THE CHAIR OF THE BOARD OF TRUSTEES. THE COMMITTEE IS GUIDED BY MARKET DATA OF COMPENSATION PACKAGES FOR SIMILAR POSITIONS IN COMPARABLE ORGANIZATIONS. MARKET DATA IS PREPARED FOR THE COMMITTEE BY AN EXTERNAL EXECUTIVE COMPENSATION FIRM WHICH CONSIDERS COMPENSATION INFORMATION REPORTED IN FORM 990'S OF COMPARABLE ORGANIZATIONS AND THE RESULTS OF RECOGNIZED COMPENSATION SURVEYS. THE SENIOR DIRECTOR OF HUMAN RESOURCES IS AVAILABLE TO THE COMMITTEE TO PROVIDE ANY OTHER DATA NEEDED. THE CEO MEETS WITH THE COMMITTEE AT LEAST ANNUALLY TO PROVIDE THE COMMITTEE MEMBERS WITH ANNUAL PERFORMANCE REVIEWS OF HIS REPORTS. THE COMMITTEE'S REVIEW PROCESS AND RESULTS ARE DOCUMENTED IN MINUTES OF THE MEETINGS. PUBLIC DISCLOSURE FORM 990, PART VI, SECTION C, QUESTION 19 THE ORGANIZATION'S FORM 990 IS AVAILABLE ON WWW.GUIDESTAR.ORG AND ON THE ORGANIZATION'S PUBLIC WEBSITE WWW.JAX.ORG. THE ORGANIZATION'S FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY IS ALSO AVAILABLE AT WWW.JAX.ORG. THE GOVERNING DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. OFFICERS & KEY EMPLOYEES PART VII THE LABORATORY DISCLOSES COMPENSATION INFORMATION FOR OFFICERS WITH DECISION-MAKING AND BUDGET AUTHORITY PURSUANT TO THE CORPORATIONS BYLAWS AND BOARD RESOLUTIONS. THE LABORATORY ALSO DISCLOSES KEY EMPLOYEES THAT MEET THE RESPONSIBILITY TEST AND COMPENSATION REPORTING THRESHOLD PURSUANT TO THE INSTRUCTIONS OF THE FORM 990. THE LABORATORY STRIVES FOR TRANSPARENT REPORTING AS DEMONSTRATED BY MAKING ITS FORM 990 AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE AS WELL AS FOR FULL COMPLIANCE WITH ALL TAX REPORTING REQUIREMENTS. SECURED MORTGAGES AND NOTES PAYABLE FORM 990, PART X, LINE 23 REPAYMENT TERMS: THE CT INNOVATIONS LOANS WILL BE FORGIVEN IF AND WHEN THE LABORATORY MEETS AN EMPLOYMENT GOAL OF AT LEAST 300 EMPLOYEES LOCATED IN CONNECTICUT FOR A PERIOD OF SIX MONTHS, INCLUDING A MINIMUM OF 90 SENIOR SCIENTISTS. IN ADDITION, THE AVERAGE WAGE FOR SUCH EMPLOYEES MUST EXCEED A MINIMUM TARGET LEVEL. OTHER CHANGES IN NET ASSETS FORM 990, PART XI, LINE 9 UNREALIZED GAIN ON INTEREST RATE SWAPS 990,086 FAIR MARKET VALUE ADJUSTMENT ON LOANS 7,748,230 TOTAL 8,738,316