2017-11-15T02:48:25-06:00 2016-12-31 861065772 Deloitte Tax LLP 550 South Tryon Street Suite 2500 Charlotte NC 28202 990 2016-01-01 330328688 La Jolla Institute for Allergy & Immunology LAJO 8587526500 9420 Athena Circle La Jolla CA 920371387 Jennifer Keyes CFO 8587526500 2017-11-14 1 John Sadoff Jr P00540589 7048871500 183.83.67.91 2017-11-14 14:14:23 US P E2FF70B222BFC757283728F215E180A8BA832303 4A8E829812D54CAB6C2275BE50CB0148062D08BB 2016 2017-02-10 21:41:12Z Jennifer Keyes 9420 Athena Circle La Jolla CA 920371387 59429012 0 X www.lji.org X 1988 CA Biomedical research dedicated to improving human health through studies of the immune system. 24 23 421 93 226100 67815 55660152 51251936 5213453 6329766 -65153 293653 749233 1528905 61557685 59404260 3000 10000 0 0 26065694 27887172 9405 0 565084 26737812 30084309 52815911 57981481 8741774 1422779 36797526 38148822 10478608 10525525 26318918 27623297 X At La Jolla Institute, our scientists focus on understanding how the immune system works in order to promote human health and prevent disease. Our discoveries apply to many diseases, ranging from diabetes to heart disease, infectious diseases to cancer. 0 0 49793513 10000 6329766 The La Jolla Institute for Allergy and Immunology ("LJI") is a private, nonprofit medical research organization that is recognized as a world leader in comprehensive research dedicated to understanding the intricacies and power of the immune system and applying that knowledge toward its goal of Life Without Disease. The Institute is home to 23 independent laboratories, each operated by a leading scientist handpicked for his/her creativity and pioneering spirit. Each of these labs is dedicated to understanding the far-reaching influence of the immune system and to training to the next generation of scientists, to promote human health and prevent a wide range of diseases. The Institute was recently ranked among the top five organizations with the greatest research impact in immunology worldwide by the rating agency Thomson-Reuters. In addition, four of its scientists are among the most highly cited immunologists in the world-a distinction held by less than half of one percent of all publishing scientists.2016 Notable Research ResultsIn 2016, LJI research teams made discoveries meriting publication in leading peer-reviewed scientific journals - 164 papers in all, more than ever before. No fewer than 49 original research papers appeared in high impact journals, which is a measure of the research's pioneering nature and influence and represents a 36 percent increase over 2015. Together, they illustrate the range and power of immunology research, the caliber of LJI's faculty and their impact on a broad group of human health issues. Some of the highlights among papers published in 2016 include:The Shresta Lab strengthened the case for sexual transmission of Zika virus. Aedes aegypti mosquitoes harboring parasitic Zika virus are the primary transmitters of virus to humans, potentially causing catastrophic congenital microcephaly in babies born to women bitten by infected mosquitoes. LJI investigator Sujan Shresta, Ph.D., employed two different mouse models to confirm that live Zika virus placed directly in the vagina infects the mouse's reproductive tract, replicates, moves into the bloodstream, and causes clinical signs of disease. Intriguingly, also reports that the stage of the reproductive cycle during which a female mouse is exposed to virus determines vulnerability to infection. If applicable to humans, this discovery has public health implications for virus transmission to a population of great concern, women of child-bearing age. (Published in Cell Reports, December 2016 issue). In a bid to better understand the gene expression patterns that control T cell activity, the Rao lab mapped genome-wide changes in chromatin accessibility as T cells respond to acute and chronic virus infections. Their findings shed light on the molecular mechanisms that determine the fate of T lymphocytes and open new approaches to clinical intervention strategies to modulate T cell activity and improve immune function. (Published in Immunity, Dec. 2017).The Crotty lab was the first to directly track how the latest HIV vaccine candidate elicits a successful antibody response. Their findings revealed crucial immunological features and bottlenecks that determine whether immunization is successful and provide a valuable tool to track the potential of novel HIV vaccine candidates in upcoming human phase I clinical trials. In the global quest to get the ongoing AIDS epidemic under control, dozens of HIV vaccine candidates have been tested in clinical trials but a safe and effective HIV vaccine has yet to emerge. Until now, researchers trying to understand why so many attempts have failed, had been limited to measuring antibody titers in peripheral blood weeks or months after immunization with a vaccine candidate, while germinal centers, the central hub for the generation and fine-tuning of high-affinity antibodies, had remained something of a "black box." A novel technique, developed in the Crotty lab, allowed the LJI researchers to directly probe germinal centers and shed light on the immunological processes by which a vaccine elicits a protective immune response (Published in Cell Reports, November 2016). Concerns over the Zika virus have focused on pregnant women due to mounting evidence that it causes brain abnormalities in developing fetuses. However, research from the Shresta lab suggested that certain adult brain cells may be vulnerable to infection as well. Among these are populations of cells that serve to replace lost or damaged neurons throughout adulthood, and are also thought to be critical to learning and memory. Although more research is needed to determine if this damage has long-term biological implications or the potential to affect behavior, the findings suggest the possibility that the Zika virus, which has become widespread in Central and South America over the past eight months, may be more harmful than previously believed.A study from the Surh Lab indicated why children are likelier to develop food allergies. An estimated 15 million Americans suffer from food allergies, many of them children. These are non-trivial concerns, as food allergy or intolerance can cause symptoms ranging from a harmless skin rash to a potentially lethal anaphylactic shock. The good news is that many affected children outgrow their allergy, presumably as the immune system learns to tolerate food initially mistaken as "foreign". Coupling molecular approaches with a long-forgotten model of "antigen-free" mice, Surh and his team were the first to demonstrate that consumption of a normal diet stimulates cells in the gut that suppress rejection of food by the immune system. Knowing this could explain why children, who have more limited exposure to novel foods than adults, are more susceptible to food allergies and how food tolerance emerges over time in normal individuals. (Published in Science, January 2016).Competitive Research Grant Funding & Research Awards & Distinctions:In 2016, La Jolla Institute scientists continued to attract increasing numbers of competitively awarded research grants attesting to the high level of research productivity present at the Institute. During 2016, LJI scientists worked with the support of 152 grants and fellowships, an increase of 25% over the previous year. The granting institutions included: National Institutes of Health, Naval Medical Research Center, Boston Children's Hospital, Benaroya Research Institute at Virginia Mason, University of California Berkeley, Case Western University, Cedars Sinai Medical Center, Dana-Farber Cancer Institute, Albert Einstein College of Medicine, Emory University, University of Georgia, Harvard Medical School, University of Wisconsin, Ichan School of Medicine at Mount Sinai, Sanford Burnham Prebys Medical Discovery Institute, The Scripps Research Institute, University of Florida, University of Alabama at Birmingham, University of California Los Angeles, University of California San Diego, University of North Carolina, American Association for Cancer, Research, American Diabetes Association, American Heart Association, Arthritis National Research Foundation, University of Michigan, Crohn's and Colitis Foundation of America, Cancer Research Institute, Immune Deficiency Foundation, Immunotherapy Foundation, Jane Coffin Childs Memorial Fund for Medical Research, Jeffrey Modell Foundation, Johns Hopkins University, Leukemia and Lymphoma Society, Melanoma Research Alliance, The Michael J. Fox Foundation, National Parkinson's Foundation, Oregon Health Science University, The Pew Charitable Trusts, Rady Children's Hospital - San Diego, Rheumatology Research Foundation, Thrasher Research Fund, University of Cape Town, and the University of Miami.With new and recurring grant support, the Institute received more than $47 million in research funding in 2016, which is supplemented by corporate funding sources as well as philanthropic support. 49793513 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 68 0 1 421 1 1 1 0 0 0 0 0 0 0 0 0 X 24 23 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA CT IL MA MI MT NJ NY NC PA TX UT VA WA X Jennifer Keyes 8587526500 9420 Athena Circle La Jolla CA 920371387 Pamela W Blakely Director 2.00 0.00 X 0 0 0 Richard S Bodman Director 2.00 0.00 X 0 0 0 Mark V Bowles Director (start 2/12/16) 2.00 0.00 X 0 0 0 David A Brenner MD Director (start 5/13/16) 2.00 0.00 X 0 0 0 Anthony Carr Director 2.00 0.00 X 0 0 0 Kristine Charton JD Director 2.00 0.00 X 0 0 0 Barton J Cohen Director (start 02/12/16) 2.00 0.00 X 0 0 0 Michael D Coit Director (start 11/18/16) 2.00 0.00 X 0 0 0 David Dominguez Director 2.00 0.00 X 0 0 0 Robert C Dynes PhD Director 2.00 0.00 X 0 0 0 Leroy Hood MD PhD Director (end 7/29/16) 2.00 0.00 X 0 0 0 Sergio Jinich Director 2.00 0.00 X 0 0 0 Richard K Kornfeld Director 2.00 0.00 X 0 0 0 Robert W Mahley MD PhD Director (start 8/12/16) 2.00 0.00 X 0 0 0 John E Major Director 2.00 0.00 X 0 0 0 Toshifumi Mikayama PhD Director (end 2/13/16) 2.00 0.00 X 0 0 0 Gail K Naughton PhD Director 2.00 0.00 X 0 0 0 Hiroshi Okazaki PhD Director (start 2/13/16) 2.00 0.00 X 0 0 0 David A Perkins Director (end 4/4/16) 2.00 0.00 X 0 0 0 Hunt Pettit Director 2.00 0.00 X 0 0 0 Rhonda F Rhyne Director (end 11/12/16) 2.00 0.00 X 0 0 0 Larry S Spitcaufsky Director 2.00 0.00 X 0 0 0 Thomas L Tullie Director (start 8/12/16) 2.00 0.00 X 0 0 0 Fred Wasserman DrPH Director 2.00 0.00 X 0 0 0 David R Webb PhD Director 2.00 0.00 X 0 0 0 Herbert A Wertheim OK DSC Director 2.00 0.00 X 0 0 0 Eric V Zwisler Director 2.00 0.00 X 0 0 0 Mitchell Kronenberg PhD President/CSO 40.00 0.00 X X 472206 0 57544 Jennifer K Keyes CFO 40.00 0.00 X 162407 0 33432 Amnon Altman Dir, Scientific Affairs 40.00 0.00 X 332256 0 61482 Stephen Wilson EVP Chief Administrative Officer 40.00 0.00 X 320310 0 58594 Hilde Cheroutre Division Head/Professor 40.00 0.00 X 269445 0 49166 Klaus Ley Division Head/Professor 40.00 0.00 X 333459 0 49945 Joel Linden Professor 40.00 0.00 X 282900 0 60095 Stephen P Schoenberger Professor 40.00 0.00 X 309553 0 66597 Alessandro Sette Center Head/Division Head/Prof 40.00 0.00 X 368968 0 66631 2851504 0 503486 43 0 1 0 0 80000 35736905 15435031 51251936 Consortium Revenue 900099 6329766 6329766 6329766 318405 318405 626474 626474 4618 20134 -4618 -20134 -24752 -24752 Other Income 900099 676331 676331 Building Management 561700 185455 185455 Technical Services 541900 40645 40645 902431 59404260 6329766 226100 1596458 10000 10000 1498231 1318443 152733 27055 20355338 17761181 2521706 72451 2041746 1781423 253177 7146 2508880 2269713 225928 13239 1482977 1293898 183889 5190 401652 399980 1672 195454 195454 591991 31825 286292 273874 145732 6287 139445 205154 161805 19419 23930 913217 361965 543900 7352 7176447 5806470 1369977 607952 512642 62720 32590 213933 189646 20327 3960 1796573 1796573 216334 212320 4014 UBIT Taxes 24654 24654 Lab Supplies & Svcs 8948444 8759879 188565 Consortiums 6142311 6142311 Manuscripts Cost 1523261 621431 803533 98297 981200 355721 625479 57981481 49793513 7622884 565084 2267 2267 6369621 4812686 16253586 14197357 433509 620781 396004 762088 23576602 17193129 6501326 6383473 6841213 11370170 36797526 38148822 9357485 9560172 1121123 965353 10478608 10525525 X 25562176 26866555 756742 756742 26318918 27623297 36797526 38148822 X 1422779 -118751 351 X 0 1 X 1 1 1 X The University of California San Diego San Diego CA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 140772 130557 10215 6452873 3032313 3420560 16967957 14030259 2937698 15000 15000 6383473 X 59084444 -118751 351 -118400 59202844 201416 201416 59404260 57780065 0 57780065 201416 201416 57981481 Part X, Line 2: The Institute is subject to federal and state income taxes on unrelated business income as defined under IRS Section 511 through 515. For each of the years ended December 31, 2016 and 2015, taxes are recorded when paid and no provision for income tax has been made. The Institute had no unrecognized tax benefits or liabilities as of December 31, 2016 and 2015. Part XI, Line 2d - Other Adjustments: Rounding 351. Part XI, Line 4b - Other Adjustments: Expenses Netted Against Revenue on Audited Financial Statement 201,416. Part XII, Line 4b - Other Adjustments: Expenses Netted Against Revenue on Audited Financial Statements 201,416. 1 South Asia 0 0 Program services Research 341245 Europe (including Iceland and Greenland) 0 0 Program services Research 259205 North America 0 0 Program services Research 3750 Europe (including Iceland and Greenland) 0 0 Program services Research 77802 South America 0 0 Program services Research 89087 East Asia and the Pacific 0 0 Program services Research 4769 0 0 0 0 0 0 775858 0 775858 0 0 0 0 0 0 1 JDRF 5665 Oberlin Drive Suite 106 San Diego CA 92121 231907729 501(c)(3) 10000 To Cure Type I Diabetes and Promiss Ball 2016. 1 0 Part I, Line 2: LJI supports certain charities whose mission is inline with our research. This support is not in the form of grants, but rather contributions. Therefore, documentation exists over payment of contributions. Formal monitoring and selections procedures not considered necessary. X X X X 0 0 0 0 0 0 0 0 0 Mitchell Kronenberg PhD President/CSO 467166 0 0 0 5040 0 39750 0 17794 0 529750 0 0 0 Jennifer K Keyes CFO 158706 0 0 0 3701 0 24383 0 9049 0 195839 0 0 0 Amnon Altman Dir, Scientific Affairs 299976 0 0 0 32280 0 39750 0 21732 0 393738 0 0 0 Stephen Wilson EVP Chief Administrative Officer 301136 0 0 0 19174 0 39750 0 18844 0 378904 0 0 0 Hilde Cheroutre Division Head/Professor 265022 0 0 0 4423 0 39750 0 9416 0 318611 0 0 0 Klaus Ley Division Head/Professor 298948 0 0 0 34511 0 39750 0 10195 0 383404 0 0 0 Joel Linden Professor 278168 0 0 0 4732 0 39750 0 20345 0 342995 0 0 0 Stephen P Schoenberger Professor 281220 0 0 0 28333 0 39750 0 26847 0 376150 0 0 0 Alessandro Sette Center Head/Division Head/Prof 347946 0 0 0 21022 0 39750 0 26881 0 435599 0 0 0 SEE PART V 0 Sch L, Part IV, Business Transactions Involving Interested Persons: (a) Name of Person: Hilde Cheroutre(b) Relationship Between Interested Person and Organization: Spouse of President and CSO (c) Amount of Transaction $269,445(d) Description of Transaction: Full Time Employee(e) Sharing of Organization Revenues? = No(a) Name of Person: Kyowa Kirin Pharmaceutical Research, Inc.(b) Relationship Between Interested Person and Organization:KKR is a Substantial Contributor to the Organization.(c) Amount of Transaction $3,393,315(d) Description of Transaction: Research Funding, Facility Rent, Cost Reimbursements (e) Sharing of Organization Revenues? = No Form 990, Part VI, Section A, line 2 Mitchell Kronenberg, Ph.D. and Hilde Cheroutre have a family relationship. Form 990, Part VI, Section B, line 11b In accordance with written Institute Policy, a draft of Form 990 is provided to all Board Members for their review and comment approximately 10 days prior to filing. This provides an opportunity for members of the Board to ask questions and obtain additional information. Comments and suggested changes to the draft are incorporated into the final version of Form 990. Form 990, Part VI, Section B, line 12c The Institute administers three separate conflict of interest policies applying to 1) The Board of Directors, 2) Faculty and Senior Administration, and 3) An investigator financial conflict of interest policy required under National Institutes of Health Regulations. The Institute regularly and consistently monitors and enforces these policies in accordance with written procedures, which include the completion of disclosure forms by covered individuals, evaluation of completed forms by a designated conflict review officer, and as necessary, further evaluation and determination by a designated conflict review committee. If a conflict is determined, a management plan is designed and monitored for the specific situation. Such plan may require the covered individual to eliminate the conflict. Form 990, Part VI, Section B, line 15 Compensation decisions for the Institute's CEO and other Key Employees are made annually. Adjustments, if any, typically take effect on a January 1st cycle. For these purposes, the Institute's human resources department obtains relevant market comparability data for each position on an annual basis. The Institute also periodically engages an independent compensation consulting firm to perform compensation studies for key individuals and to evaluate the institute's executive compensation and benefits programs for reasonableness. In accordance with its charter, the Compensation Committee of the Board of Directors reviews and discusses this information, and the performance of the institute's CEO and Key Employees, and formulates recommended compensation actions to the full Board of Directors. The Board of Directors reviews these recommendations and related information in deciding compensation levels for each position. Form 990, Part VI, Section C, line 19 The Institute makes its governing documents, Conflict of Interest Policy, and Financial Statements available to the public upon request. Summarized Financial data is also made available as part of the Institute's Annual Report, which is widely distributed, and can be downloaded from the Institute's web site. Form 990, Part XI, line 9: Rounding 351.