2017-11-13T23:49:08-06:00 2016-12-31 910189318 Moss Adams LLP 4747 Executive Drive Suite 1300 San Diego CA 92121 990 2016-01-01 521842938 J Craig Venter Institute JCRA 8582001800 4120 Capricorn Lane La Jolla CA 92037 Nicole Deberg Chief Operating Officer 8582001800 2017-11-13 1 Patricia J Mayer P00188643 8586271400 12.129.7.100 2017-11-13 20:59:07 PS P 82B2967E87B0BCBFD086468C9F628B4E32DA0AA9 5AA2B9289D373ED9AECE1682C470BAAD2873C4EE 2016 2017-02-10 21:41:12Z John Craig Venter 4120 Capricorn Lane La Jolla CA 92037 62524265 0 X www.jcvi.org X 1993 MD A NON-PROFIT RESEARCH INSTITUTE DEDICATED TO THE ADVANCEMENT OF THE SCIENCE OF GENOMICS, UNDERSTANDING THE IMPLICATIONS FOR SOCIETY, AND COMMUNICATION OF RESULTS TO SCIENTIFIC COMMUNITIES, THE PUBLIC, AND POLICYMAKERS. 11 8 293 9 -2599 -2599 31545719 27058949 1736630 9400 1823795 1290352 30339167 107886 65445311 28466587 2053034 2133337 0 0 22719502 21212416 0 0 111539 23626778 14362394 48399314 37708147 17045997 -9241560 142398006 134554206 38243934 35265805 104154072 99288401 X A NON-PROFIT RESEARCH INSTITUTE DEDICATED TO THE ADVANCEMENT OF THE SCIENCE OF GENOMICS, UNDERSTANDING THE IMPLICATIONS FOR SOCIETY, AND COMMUNICATION OF RESULTS TO SCIENTIFIC COMMUNITIES, THE PUBLIC, AND POLICYMAKERS. 0 0 11262466 613298 Department of Health and Human ServicesDuring 2016, JCVI had 40 active research grants and five active contracts from agencies within DHHS. Among these was JCVI's largest funded program, a grant from the National Institute of Allergy and Infectious Diseases (NIAID/NIH) to serve as a Genome Center for Infectious Diseases (GCID). The GCID program scope includes analysis of viral, bacterial, and parasite pathogens. The bacterial and parasite programs have a particular emphases on antimicrobial resistance. The bacterial program is focused on the evolution and transmission of carbapenem-resistant Enterobacteriaceae and other Gram-negative bacteria. All genome sequence data produced with GCID funding is rapidly deposited in public repositories to promote the widest possible use among research scientists. Of the 45 funded awards, 29 involve formal collaborative agreements with 27 different universities, research institutes, and companies, reflecting a highly interactive research portfolio. JCVI, in collaboration with Northrup Grumman, serves as the main developer of the Viral Pathogen Resource (www.viprbrc.org) and the Influenza Research Database (www.fludb.org). These resources serve as free public portals to a wide range of information, data, and analytical tools for interpreting viral genomes in the context of disease. Over 3000 researchers throughout the world use these resources every week. Several additional DHHS grants are human microbiome studies. The microbiome is the collection of microbes that live in and on the human body; these have received considerable attention in recent years because a new appreciation of the complex roles that they play in health and disease. Some of these studies are aimed at basic characterization of the composition and activity of the microbiome, while others seek to understand the contribution of the microbiome to the development of various diseases including alcoholic hepatitis, type 1 diabetes, dental caries, diarrhea, and esophageal cancer, among others. The Institute also participates in the H3Africa program via a collaboration with Addis Ababa University to study the spread and pathogenesis of tuberculosis and a collaboration with the University of Cape Town to train collaborators in human microbiome analysis. The program is sponsored by the NIH Common Fund to bring technological resources and training in a capital investment-intensive field (genomics) to the African content via collaborations with U.S. scientists with expertise in this field.JCVI has numerous grants that are designed to understand the human genetic contribution to disease based on analysis of genetic variation in families and in case/control studies, particularly in the context of psychiatric disorders, the systems biology of infectious diseases and antimicrobial resistance/new antibiotics discovery. 2555394 498577 National Science FoundationDuring 2016, JCVI had 14 active research grants from the National Science Foundation (NSF). These encompassed diverse areas of research in environmental microbiology, bioremediation, computational biology, and education. JCVI, along with other collaborators, is the developer and host of the Arabidopsis Information Portal a public resource of information about this important model plant species. In addition to providing data and analysis tools, the Portal offers users the ability to design their own analytical "apps" that can be run within the system on all of the data accessible through the Portal, providing considerable latitude for new and innovative uses of the information. One large program is devoted to development of a vaccine to prevent bovine pleuropneumonia, an infectious disease of cattle in sub-Saharan Africa. Several grants pertain to environmental microbiology, analyzing the roles of microbes in important ecosystems throughout the world. 1805986 527773 Department of DefenseDuring 2016, JCVI had 5 active research awards from the Department of Defense (DOD). These awards focus on the understanding of polymicrobial infections in wounds, the development of synthetic genomic technologies for manipulation of chromosomes and genomes and for the development of safe methods for DNA isolation and analysis from biothreat agents.Funded by the Defense Threat Reduction Agency (DTRA), the JCVI is investigating an aspect of the wellrecognized public health threat of antibiotic drug resistance in pathogenic bacteria. In addition to standard bacterial resistance to antibiotics, infection causing bacteria are able to assume a metabolic state that makes the bacteria highly tolerant of massive doses of antibiotics. This state is termed the persister state and accounts for antibiotic failure in patients being treated for infections and for the reemergence of an infection after an apparent clearing of the disease by antibiotic treatment. JCVI is investigating the genetic/genomic infrastructure of the persister state in the public health and biothreat bacterial pathogen Burkholderia pseudomallei using both genome based technologies and traditional microbiology approaches with the ultimate goal of finding ways to eliminate even bacteria in the persister state from patients with bacterial infections.JCVI, funded through the Defense Advanced Research Projects Agency (DARPA) Biological Control Program is applying the lessons learned from minimizing and reorganizing a bacterial genome to remodel the genome of an industrially useful, vastly more complicated eukaryotic yeast, called Kluyveromyces marxianus. In using a single K. marxianus chromosome as a platform, JCVI is developing a generalized set of algorithms for minimization and defragmenting the genes into functional modules that could be applied to all small genome eukaryotes, such as yeasts, eukaryotic algae, and parasites. 15965434 493689 9400 Other Program ServicesThe JCVI grant portfolio also included support from several other federal agencies and foundations including:U.S. Department of Justice JCVI is developing a forensic microbiome database that will allow for human trafficking. As part of this award we will work with 5 international cohorts at diverse global locations. The Richard Lounsbery Foundation The JCVI team is working in collaboration with a group in Europe to decipher the genome of Leonardo Da Vinci and his relatives, and also using the microbiome as an approach to improve art conservation.Human Vaccines Project JCVI, in collaboration with the San Diego Supercomputer Center, serves as the main developer of the central data management and bioinformatics hub for the Human Vaccines Project (HVP), with direct support from the HVP general fund. The mission of the HVP is to accelerate the development of vaccines and immunotherapies against major global infectious diseases and cancers by decoding the human immune system. The goal of the HVP Bioinformatics Hub is to provide high-availability, standardized data and advanced analytical capabilities to the Human Vaccine Project. JCVI is also contributing single cell genomics assays and analysis examining cellular responses to Hepatitis B vaccination.California Institute for Regenerative Medicine (CIRM) JCVI, in collaboration with the University of California, Santa Cruz, the University of California, San Diego, and Stanford University, is involved in the development of the main data management portal for the CIRM Center of Excellence in Stem Cell Genomics (CESCG). JCVI's role has been to develop a series of data standards to support the integration and dissemination of CESCG experimental genomics data, and to develop novel statistical methods for single cell genomics data analysis.The Roddenberry Foundation for development of sustainable wastewater treatment solutions for the developing world.The Gates Foundation for understanding and optimizing the efficacy of pneumococcal vaccination NASA for understanding the impact of space travel on the human microbiome. 15965434 493689 9400 31589280 1 1 0 0 0 0 0 1 0 0 1 0 0 0 1 1 1 0 0 0 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 0 1 53 0 1 293 1 0 0 0 0 0 0 0 0 0 0 X 11 8 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA MD X Nicole Deberg 8587504043 4120 Capricorn Lane La Jolla CA 92037 Horowitz Reena Trustee 4.00 X 0 0 0 Kamen Dean Trustee 4.00 X 0 0 0 Knight Jessie Trustee 4.00 X 0 0 0 Kowalski Heather Trustee 4.00 X 0 0 0 McGrory Jack Trustee 4.00 X 0 0 0 Nelson Karen President 40.00 X X 440249 0 20507 Norrby Erling Trustee 4.00 X 0 0 0 Romo Alfonso Trustee 4.00 X 0 0 0 Ruggles Rudy Trustee 4.00 X 0 0 0 Venter John Craig Chairman & Chief Exec Officer 40.00 X X 809041 0 19802 Walton Bill Trustee 4.00 X 0 0 0 Adelson Julie VP, Leg. 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Relation 40.00 X 260707 0 22868 Peake Antony G VP for Research Administration 40.00 X 206128 0 11147 Pieper Rembert Campus Director, Rockville MD 40.00 X 229071 0 9538 Scheuermann Richard H Director, La Jolla Campus 40.00 X 276173 0 27415 Stout Martin Chief Technology Officer 40.00 X 279791 0 31876 Glass John Professor 40.00 X 183219 0 26502 Highlander Sarah Professor 40.00 X 208086 0 14642 Lasken Roger Director, Single Cell Genomics 40.00 X 231677 0 14481 Nierman William Professor 40.00 X 240676 0 20330 Smith Hamilton O Scientific Director 40.00 X 331576 0 10669 4516112 0 287239 53 0 1 0 KOWALSKI COMMUNICATIONS LLC 7510 HILLSIDE DRIVE LA JOLLA CA 92037 PUBLIC RELATIONS 210000 BDO USA LLP PO BOX 642743 PITTSBURGH PA 152642743 ACCOUNTING AND TAX 187692 ALLIED BARTON SECURITY SERVICES LLP PO BOX 828854 PHILADELPHIA PA 191828854 SECURITY SERVICES 167074 3 21888123 5170826 27058949 Clone REvenue 900099 9400 9400 9400 1371711 1371711 110485 110485 33971819 4500 34015163 42515 -43344 -38015 -81359 -81359 K-1 Passthrough 900099 -2599 -2599 -2599 28466587 9400 -2599 1400837 1485771 1485771 647566 647566 3521494 2946298 575196 14132010 8964843 5149486 17681 460008 267843 192165 1890563 1052222 830823 7518 1208341 759080 449261 404969 125592 279377 289050 289050 243374 243374 1254489 770145 417594 66750 41877 41877 945234 355758 587960 1516 1245083 294830 950253 2492371 1800682 691689 408425 208126 199257 1042 190938 131122 59816 60646 10065 50581 3585668 606831 2978837 530949 134953 395996 LAB EQUIPMENT/SUPPLIES 2050038 2045335 4703 BOOKS AND SUBSCRIPTIONS 171880 1091 167969 2820 ALLOCATION OF INDIRECT 0 8943920 -8943920 447403 37207 395984 14212 37708147 31589280 6007328 111539 11169 3264056 38224834 3560631 5582551 6993992 1423442 161292 70274 11706 896855 616193 73942424 20563331 56724904 53379093 33695203 61488267 2452923 2201847 250528 250528 3065323 2626601 142398006 134554206 4016459 4180381 2228200 1697871 28180000 27630689 3374026 1608716 445249 148148 38243934 35265805 X 100637053 98731636 3517019 556765 104154072 99288401 142398006 134554206 X -9241560 4076189 299700 X 0 1 X 1 1 1 X 39677984 48673331 35600497 31545719 26768604 182266135 39677984 48673331 35600497 31545719 26768604 182266135 8618044 173648091 742190 768277 2950770 31325751 1482196 37269184 382854 341125 208097 932076 220467395 1801952 0.78760 0.84580 X Schedule A, Part II, Line 10, Explanation of Other Income: Anti-trust Settlement - 2012 Amount: $ 354,339. 2013 Amount: $ 0. 2014 Amount: $ 0. 2015 Amount: $ 0. 2016 Amount: $ 0. Misc Revenue - 2012 Amount: $ 28,515. 2013 Amount: $ 341,125. 2014 Amount: $ 208,097. 2015 Amount: $ 0. 2016 Amount: $ 0. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 2545000 X X X 0 52010331 4262668 47747663 15624922 13470214 2154708 6307171 2830449 3476722 53379093 leases payable 148148 148148 X 33202476 4076189 360000 297101 4733290 28469186 -2599 -2599 28466587 38068147 360000 360000 37708147 0 37708147 Part III, Line 4: Collection of scientific writings relevant to genomic research. Part X, Line 2: The Institute is a notfor profit organization exempt from federal income taxes under section 501(c)(3) of the Internal Revenue Code. The Institute does not believe there are any material uncertain tax positions and accordingly, no provision for income taxes has been made in the accompanying financial statements. The Institute is subject to routine audits by taxing jurisdictions; however, there are currently no audits for any tax period in progress. Part XI, Line 2d - Other Adjustments: Unrealized Gain on Interest Rate Swap 297,101. Part XI, Line 4b - Other Adjustments: K-1 Passthrough -2,599. 1 North America 0 0 Program Services Research Subgrants 23853 East Asia and the Pacific 0 0 Program Services Research Subgrants 347118 Sub-Saharan Africa 0 0 Program Services Research Subgrants 276595 Cayman Islands 0 0 Investments 34455 0 0 0 0 0 0 682021 0 682021 North America Program Services 23853 Wire East Asia and the Pacific Program Services 347118 wire Sub-Saharan Africa Program Services 276595 wire 3 1 0 0 1 1 0 Part I, Line 2: Each subgrant is a pass through grant from a federal or non-federal grant or contract awarded to j. craig venter institute. all expenses are monitored as invoiced at least quarterly, but in most cases monthly. the invoices are reviewed and approved based on receipt of goods or services and against an approved budget. 1 UNIVERSITY OF CALIFORNIA LOS ANGELES 924 Westwood Blvd Los Angeles CA 90095 956006143 501(C)(3) 7702 Research Subgrant UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 Gilman Dr La Jolla CA 92037 566001393 501(C)(3) 47989 Research Subgrant SANFORD BURNHAM PRESBYS 10901 North Torrey Pines Road La Jolla CA 92037 510197108 501(C)(3) 94252 Research Subgrant UNIVERSITY OF TEXAS PO Box 660120 Dallas TX 752660120 740000949 501(C)(3) 40363 Research Subgrant PURDUE UNIVERSITY 23510 Network Place Chicago IL 606731235 356002041 501(C)(3) 18302 Research Subgrant HARVARD UNIVERSITY P O Box 415649 Boston MA 022415649 042103580 501(C)(3) 43706 Research Subgrant BRADLEY UNIVERSITY 1501 W Bradley Ave Peoria IL 61625 370661494 501(C)(3) 15185 Research Subgrant THE UNIVERSITY OF TEXAS AUSTIN P O Box 7159 Austin TX 78713 356002041 501(C)(3) 204184 Research Subgrant SYNTHETIC GENOMICS 11149 N Torrey Pines Rd La Jolla CA 92037 273001571 258773 Research Subgrant WCHN FOUNDATION 24 Hospital Ave Danbury CT 06810 222594968 501(C)(3) 124878 Research Subgrant SALK INSTITUTE 10010 N Torrey Pines Rd La Jolla CA 92037 952160097 501(C)(3) 64788 Research Subgrant UC IRVINE 120 Theory Suite 200 Irvine CA 92697 952226406 501(C)(3) 53227 Research Subgrant STANFORD PO Box 44253 San Francisco CA 941444253 941156365 501(C)(3) 57001 Research Subgrant UNITED STATES TREASURY-MD 1425 Porter St Fort Detrick MD 21702 GOVT 455421 Research Subgrant 13 1 Part I, Line 2: Each subgrant is a pass through grant from a federal or non-federal grant or contract awarded to j. craig venter institute. all expenses are monitored as invoiced at least quarterly, but in most cases monthly. the invoices are reviewed and approved based on receipt of goods or services and against an approved budget. X 1 1 X X X X 0 0 0 0 0 0 0 1 0 Nelson Karen President 436588 0 0 0 3661 0 10600 0 9907 0 460756 0 0 0 Venter John Craig Chairman & Chief Exec Officer 789346 0 0 0 19695 0 10600 0 9202 0 828843 0 0 0 Adelson Julie VP, Leg. Affrs/General Counsel 203196 0 0 0 6950 0 8232 0 3228 0 221606 0 0 0 DeBerg Nicole Chief Operating Officer 311341 0 0 0 4089 0 10600 0 5926 0 331956 0 0 0 Adams Mark Campus Director, La Jolla, CA 290102 0 0 0 4040 0 10600 0 18876 0 323618 0 0 0 Friedman Robert M VP for Policy & Univ. Relation 247376 0 0 0 13331 0 10300 0 12568 0 283575 0 0 0 Peake Antony G VP for Research Administration 204526 0 0 0 1602 0 11147 0 0 0 217275 0 0 0 Pieper Rembert Campus Director, Rockville MD 226713 0 0 0 2358 0 9078 0 460 0 238609 0 0 0 Scheuermann Richard H Director, La Jolla Campus 269835 0 0 0 6338 0 9625 0 17790 0 303588 0 0 0 Stout Martin Chief Technology Officer 274310 0 0 0 5481 0 10600 0 21276 0 311667 0 0 0 Glass John Professor 178639 0 0 0 4580 0 7626 0 18876 0 209721 0 0 0 Highlander Sarah Professor 203440 0 0 0 4646 0 8240 0 6402 0 222728 0 0 0 Lasken Roger Director, Single Cell Genomics 223709 0 0 0 7968 0 8998 0 5483 0 246158 0 0 0 Nierman William Professor 232407 0 0 0 8269 0 9477 0 10853 0 261006 0 0 0 Smith Hamilton O Scientific Director 320997 0 0 0 10579 0 0 0 10669 0 342245 0 0 0 Part I, Line 1a Certain awards are grossed up for income tax. Part I, Line 7 The institute provides service awards for its employees for five, ten, fifteen and twenty years of service. A CA Municipal Finance Authortiy 201563466 2016-03-22 29152000 refund prior issue 0 0 0 A 29152000 549311 1 0 1 1 A 0 0 0 0 1 0 1 A 0 1 0 0 0 0 0 0 1 A 1 Schedule K - Tax Exempt Bonds Project completed in November 2013. 2011 Bond was refinanced in 2016. HEATHER KOWALSKI COMMUNICATIONS LLC See Part V 120000 Public Relations Services 0 Schedule L, Part IV (A) NAME OF PERSON: HEATHER KOWALSKI COMMUNICATIONS LLC(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: ENTITY SET UP IN THE NAME OF HEATHER KOWALSKI, SPOUSE OF FOUNDER, BOARD MEMBER SINCE 2014 (C) AMOUNT OF TRANSACTION $ 120,000(D) DESCRIPTION OF TRANSACTION: PUBLIC RELATIONS SERVICES Form 990, Part VI, Section A, line 2 J. CRAIG VENTER, ROBERT HARIRI, RICHARD SCHEUERMANN HAVE A BUSINESS RELATIONSHIP. BOARD MEMBERS HEATHER KOWALSKI AND J. CRAIG VENTER HAVE A FAMILY RELATIONSHIP. Form 990, Part VI, Section B, line 11b The form 990 is reviewed by management. a complete copy of the form 990 and supporting schedules was provided to the full board for review prior to being filed. Form 990, Part VI, Section B, line 12c JCVI MONITORS COMPLIANCE OF ITS CONFLICT OF INTEREST POLICY THROUGH AN ANNUAL SOLICITATION OF CONFLICT OF INTEREST STATEMENTS FROM TRUSTEES, OFFICERS, AND EMPLOYEES. IF A PERSON HAS A CONFLICT WITH RESPECT TO A TRANSACTION, SUCH PERSON IS NOT ALLOWED TO VOTE. Form 990, Part VI, Section B, line 15 JCVI USES AN OUTSIDE COMPENSATION CONSULTANT, TO PROVIDE A LIST OF COMPARABLE SALARIES FOR THE CEO AND OFFICERS THESE ARE REVIEWED BY THE JCVI COMPENSATION COMMITTEE AND CEO BEFORE A FINAL DETERMINATION IS MADE. THIS PROCESS WAS DOCUMENTED AND LAST DONE iN June 2016. Form 990, Part VI, Section C, line 19 THE ORGANIZATION'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICY ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. Form 990, Part XI, line 9: Unrealized Gain on Interest Rate Swap 297,101. K-1 Passthrough 2,599. Ocean solution llc 4120 Capricorn Lane La Jolla CA 92037 260145075 Development DE 0 2200000 JCVI SORCERER II LLC 4120 Capricorn Lane La Jolla CA 92037 562370157 Research RI 0 4100000 JCVI Venter Institute Vaccines Inc 9714 Medical Center Drive Rockville MD 20850 271936205 inactive MD N/A C 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 Ocean solution llc R 222001 CASH SORCERER II LLC R 392834 CASH