2017-04-05T13:29:10-05:00 2016-09-30 521511275 RAFFA PC 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2015-10-01 431131436 THE LUPUS FOUNDATION OF AMERICA INC LUPU 2023491155 2121 K STREET NW NO 200 WASHINGTON DC 20037 SANDRA C RAYMOND PRESIDENT & CEO 2023491155 2017-04-05 1 FRANK H SMITH P00639053 2028225000 2017-04-05 2015 2021-01-29 14:40:06Z X SANDRA C RAYMOND 2121 K STREET NW NO 200 WASHINGTON DC 20037 15728029 0 X WWW.LUPUS.ORG X 1977 DC IMPROVE THE QUALITY OF LIFE FOR PEOPLE WITH LUPUS THROUGH RESEARCH, EDUCATION, SUPPORT AND ADVOCACY. 18 18 51 2530 49693 -2000 10659137 11096055 1341536 1151507 18850 32129 -38292 248488 11981231 12528179 971167 499540 0 0 4619551 4571725 127980 106826 2613491 6559124 7281308 12277822 12459399 -296591 68780 7442647 8069534 3502460 4025410 3940187 4044124 X THE LUPUS FOUNDATION OF AMERICA, INC. (THE FOUNDATION) IS DEDICATED TO IMPROVING THE QUALITY OF LIFE FOR ALL PEOPLE AFFECTED BY LUPUS THROUGH PROGRAMS OF RESEARCH, EDUCATION, SUPPORT, AND ADVOCACY. 0 0 4118392 11000 116556 PUBLIC INFORMATION AND EDUCATION: THIS PROGRAM AIMS TO INCREASE PUBLIC AWARENESS AND UNDERSTANDING OF LUPUS AND ITS HEALTH CONSEQUENCES AS A TOOL TO IMPROVE EARLY DIAGNOSIS AND TREATMENT OF THE DISEASE. THIS PROGRAM INCLUDES PUBLIC AWARENESS CAMPAIGNS, MEDIA RELATIONS, ONLINE AND SOCIAL MARKETING, AND AGGRESSIVE OUTREACH EFFORTS TO CORPORATE AND COMMUNITY PARTNERS. THROUGHOUT THIS PAST YEAR, THE FOUNDATION CONTINUED TO EXPAND ITS REACH THROUGH IN-PERSON PROGRAMS, SOCIAL MEDIA PLATFORMS AND THE FOUNDATION'S WEBSITES, AND BY ENGAGING CELEBRITIES AND PROMOTING ITS NATIONAL MULTI-MEDIA AWARENESS CAMPAIGN, KNOW LUPUS. THUS FAR THE CAMPAIGN HAS EDUCATED A GLOBAL AUDIENCE OF MORE THAN 735 MILLION PEOPLE ABOUT LUPUS, AND EARNED IN EXCESS OF $27.8 MILLION IN DONATED MEDIA. THE FOUNDATION REMAINS THE NUMBER ONE ONLINE SOURCE FOR LUPUS-RELATED INFORMATION, WITH AN AUDIENCE OF NEARLY NINE MILLION ANNUAL VISITS TO ITS WEBSITE, LUPUS.ORG, 200,000 FACEBOOK FANS AND 28,000 TWITTER FOLLOWERS. THE FOUNDATION ENTERED INTO A FIVE-YEAR COOPERATIVE AGREEMENT IN 2015 WITH THE U.S. CENTERS FOR DISEASE CONTROL AND PREVENTION (CDC) TO RAISE AWARENESS OF THE SIGNS AND SYMPTOMS OF LUPUS AND PROVIDE GUIDANCE ON THE NEXT STEPS TO TAKE IF LUPUS IS SUSPECTED. THE FOUNDATION DEVOTED MUCH OF ITS EFFORTS DURING 2016 ON DEVELOPING SEVERAL NEW INITIATIVES MADE POSSIBLE BY THIS AGREEMENT. THE FOUNDATION CREATED A NEW DIGITAL LUPUS AWARENESS CAMPAIGN SCHEDULED TO LAUNCH IN MAY 2017. THE CAMPAIGN, PRODUCED IN PARTNERSHIP WITH THE AMERICAN COLLEGE OF RHEUMATOLOGY, SEEKS TO REACH YOUNG LATINA AND AFRICAN AMERICAN WOMEN, TWO GROUPS BELIEVED TO BE MOST AT-RISK FOR DEVELOPING THE DISEASE. THE FOUNDATION'S GOAL ULTIMATELY IS TO GET YOUNG WOMEN TREATED EARLIER AND REDUCE THE LONG-TERM HEALTH CONSEQUENCES ASSOCIATED WITH LUPUS. ALSO DURING 2016, THE FOUNDATION WORKED TO BUILD THE NATIONAL RESOURCE CENTER ON LUPUS (NRCL), A NEW EXTENSIVE ONLINE COLLECTION THAT WILL PROVIDE ACCURATE, VALID AND UP-TO-DATE INFORMATION ON THE MOST RELEVANT TOPICS RELATED TO LUPUS TAILORED FOR PEOPLE LIVING WITH THE DISEASE, AND THEIR FAMILIES AND CAREGIVERS, AS WELL AS PROVIDE RESOURCES FOR HEALTH PROFESSIONALS WHO PROVIDE CARE AND SUPPORT FOR PATIENTS WITH LUPUS. THE NRCL WILL LAUNCH DURING THE FIRST QUARTER OF 2017. 2372088 60873 570690 NETWORK SUPPORT AND SERVICES: THE FOUNDATION'S NATIONAL NETWORK IS COMPOSED OF CHAPTERS, REGIONAL OFFICES, COMMUNITY PARTNERS AND LOCAL SUPPORT GROUPS LOCATED THROUGHOUT THE UNITED STATES. THE NETWORK SUPPORTS PROGRAMS DESIGNED TO IMPROVE THE QUALITY OF LIFE FOR ALL PEOPLE WHO SUFFER FROM THE IMPACT OF LUPUS. THE FOUNDATION PROVIDED CAPACITY-BUILDING SERVICES, STRATEGIC SUPPORT, ON-SITE CONSULTATION, AND ON-GOING ORGANIZATIONAL DEVELOPMENT SUPPORT AND TRAINING TO OUR NETWORK, AND SPECIALIZED TRAINING FOR SUPPORT GROUP FACILITATORS WHO SERVE SEVERAL THOUSAND PEOPLE ACROSS THE UNITED STATES THROUGH APPROXIMATELY 200 SUPPORT GROUPS. ADDITIONALLY, OUR WALK TO END LUPUS NOW EVENTS RALLIED NEARLY 70,000 INDIVIDUALS IN 61 CITIES TO RAISE AWARENESS OF LUPUS AND FUNDS FOR LOCAL COMMUNITIES TO IMPROVE THE QUALITY OF LIFE FOR PEOPLE WITH LUPUS. THE FOUNDATION ALSO IS LEADING THE WORLD LUPUS FEDERATION, A COALITION OF GLOBAL LUPUS PATIENT ADVOCACY GROUPS TO ADVANCE LUPUS AWARENESS AND ADVOCACY INITIATIVES AROUND THE WORLD THAT WILL HELP BRING GREATER ATTENTION AND RESOURCES TO THE FIGHT TO END LUPUS. 1507764 427667 122550 RESEARCH: OUR NATIONAL RESEARCH PROGRAM SEEKS TO FIND SOLUTIONS TO PROBLEMS THAT FOR DECADES HAVE STALLED PROGRESS IN LUPUS RESEARCH AND HINDERED EFFORTS TO BETTER UNDERSTAND THE DISEASE. WE AGGRESSIVELY PURSUED STRATEGIES TO INCREASE FEDERAL, STATE AND INDUSTRY SUPPORT FOR RESEARCH ON LUPUS, FACILITATED STRATEGIC COLLABORATIONS, AND PROVIDED DIRECT FINANCIAL SUPPORT TO RESEARCHERS THROUGH THE FOUNDATION'S PEER REVIEWED RESEARCH GRANT PROGRAMS. SINCE 2009, WE HAVE IMPLEMENTED INITIATIVES TO OVERCOME BARRIERS TO THE DEVELOPMENT AND APPROVAL OF NEW, EFFECTIVE AND TOLERABLE TREATMENTS FOR LUPUS. THESE INITIATIVES INCLUDE BUILDING PRIVATE/PUBLIC COLLABORATIONS AND CREATING CONSENSUS, CREATING TOOLS, RESOURCES AND AN ONLINE PORTAL TO TRAIN HEALTH PROFESSIONALS ON DISEASE ACTIVITY INSTRUMENTS USED IN CLINICAL STUDIES AND OUR EFFORT TO CONDUCT FEASIBILITY RESEARCH TO BETTER UNDERSTAND IF IT IS POSSIBLE TO CREATE A NEW, SIMPLIFIED INSTRUMENT DESIGNED TO ASSESS DISEASE ACTIVITY IN THE CLINIC AND IN CLINICAL TRIALS. WE CONTINUED OUR PARTNERSHIP WITH THE FOUNDATION FOR THE NATIONAL INSTITUTES OF HEALTH (FNIH) TO SUPPORT A 5-YEAR INITIATIVE TO DEVELOP NEW MEDICINES FOR LUPUS AND OTHER DISEASES. ADDITIONALLY, WE CONTINUED EFFORTS TO USE POOLED CLINICAL TRIAL DATA (DE-IDENTIFIED) PROVIDED BY PARTICIPATING BIOPHARMA COMPANIES TO IMPROVE THE DESIGN OF LUPUS CLINICAL TRIALS. NEW FINDINGS WERE PUBLISHED IN A MAJOR RHEUMATOLOGY JOURNAL AND PRESENTED AT MAJOR SCIENTIFIC MEETINGS OF MEDICAL ORGANIZATIONS IN THE US AND ABROAD. OUR PEER REVIEWED, OPEN ACCESS JOURNAL, THE FIRST OF ITS KIND IN LUPUS, LUPUS SCIENCE & MEDICINE, CONTINUED TO PUBLISH PAPERS FROM IMPORTANT AND PIVOTAL BASIC, CLINICAL, TRANSLATIONAL AND EPIDEMIOLOGICAL STUDIES OF ALL ASPECTS OF LUPUS AND RELATED DISEASES. THE JOURNAL PROVIDES A BARRIER-FREE FORUM FOR PUBLICATION OF GROUND-BREAKING STUDIES IN LUPUS. WE PROVIDED NEW FUNDING TO ADDRESS ISSUES CRITICALLY IMPORTANT TO PEOPLE WITH LUPUS, INCLUDING EXPANDED PEDIATRIC LUPUS NEPHRITIS BIOMARKER RESEARCH, ADULT STEM CELL RESEARCH AND ADDRESS THE ONGOING DECLINE IN SCIENTIFIC MOMENTUM AND LOSS OF CURRENT AND FUTURE LUPUS INVESTIGATORS CAUSED BY A DECLINE IN FEDERAL SUPPORT FOR RESEARCH. THE FOUNDATION ALSO PROVIDED SUMMER STUDENT FELLOWSHIPS AND SUPPORTED THE FOURTH LUPUS INSIGHT PRIZE FOR RESEARCH THAT HOLDS PROMISE TO GENERATE ADDITIONAL ADVANCES IN LUPUS. WE ALSO CONTINUED OUR CAREER DEVELOPMENT AWARD PROGRAM FOR FELLOWS INTERESTED IN A CAREER IN LUPUS RESEARCH. THROUGH OUR ADVOCACY EFFORTS THE FOUNDATION:- SUCCESSFULLY ADVOCATED TO SECURE AN ADDITIONAL $6 MILLION TO SUPPORT THE NATIONAL LUPUS PATIENT REGISTRY PROGRAM AT THE CDC, BRINGING TOTAL FUNDING TO $49.8 MILLION. - LEAD EFFORTS TO ESTABLISH A LUPUS-SPECIFIC RESEARCH PROGRAM WITHIN THE CONGRESSIONAL DIRECTED MEDICAL RESEARCH PROGRAM AT THE DEPARTMENT OF DEFENSE WHICH, IF ENACTED, WILL PROVIDE $5 MILLION FOR THE PROGRAM, BRINGING THE TOTAL DOD FUNDING FOR LUPUS RESEARCH TO MORE THAN $22 MILLION. - SECURED AN ADDITIONAL $2 MILLION FOR THE LUPUS INITIATIVE WHICH SUPPORTED A GRANT MECHANISM SPECIFICALLY FOCUSED ON ADDRESSING THE BARRIERS TO MINORITY PARTICIPATION IN CLINICAL TRIALS. - ADVOCATED FOR THE ENACTMENT OF THE 21ST CENTURY CURES ACT, THAT PROVIDES $4.8 BILLION IN NEW FUNDING FOR CRITICAL RESEARCH AT THE NATIONAL INSTITUTES OF HEALTH AND $500 MILLION TO THE FOOD AND DRUG ADMINISTRATION TO ACCELERATE DRUG APPROVALS. 561529 254795 PROFESSIONAL RELATIONS AND EDUCATION: OUR PROFESSIONAL EDUCATION PROGRAMS TRANSLATE RESEARCH FINDINGS INTO PUBLIC HEALTH RECOMMENDATIONS FOR PHYSICIANS, OTHER HEALTHCARE PROFESSIONALS AND THEIR RESPECTIVE ORGANIZATIONS. IN 2016, WE FOCUSED OUR EFFORTS ON EXPANDING PARTNERSHIPS WITH ORGANIZATIONS THAT SERVE MEDICAL AND OTHER HEALTH CARE PROFESSIONALS SUCH AS THE RHEUMATOLOGY NURSES SOCIETY. IN THE PAST WE HAD WORKED WITH THEM TO DEVELOP A CORE CURRICULUM ON LUPUS FOR THEIR MORE THAN 10,000 MEMBERS. THIS YEAR WE CONTINUE TO MAKE PROGRESS WITH THE PARTNERSHIP AND ARE DISCUSSING ADDITIONAL POTENTIAL PARTNERSHIP OPPORTUNITIES. OUR MULTI-DISCIPLINARY MEDICAL-SCIENTIFIC ADVISORY COUNCIL CONTINUES TO PROVIDE INSIGHT INTO NEWLY PUBLISHED SCIENCE THAT COULD HAVE AN IMPACT ON THE FIELD. WE SHARED THIS INFORMATION WITH THE PUBLIC AND PROFESSIONAL COMMUNITY VIA PRINT RESEARCH SUMMARIES, PODCASTS AND VIDEOS. 455616 86916 PATIENT EDUCATION AND SUPPORT: WE PROVIDED EDUCATION, SUPPORT AND OTHER ASSISTANCE TO INDIVIDUALS WITH LUPUS, THEIR FAMILIES AND CAREGIVERS. IN 2016, WE INITIATED AND COMPLETED A NATIONAL PATIENT, CAREGIVER AND HEALTH CARE PROFESSIONAL NEEDS ASSESSMENT. MORE THAN 3000 PEOPLE WITH OR TOUCHED BY LUPUS AND OVER 1000 PHYSICIANS/HEALTH CARE PROFESSIONALS WERE SURVEYED TO IDENTIFY THE BIGGEST NEEDS IN LIVING WITH THE DISEASE, TO IDENTIFY HOW PEOPLE WANT TO RECEIVE THIS HELP AND SUPPORT AND IN WHAT FORMAT THEY WOULD LIKE DELIVERY. IN ADDITION, WE CONDUCTED THE FIRST-EVER WEB BASED AND INTERVIEW BASED QUALITATIVE RESEARCH WITH CHILDREN AND TEENS WITH LUPUS (PARENTAL CONSENT RECEIVED) TO BETTER UNDERSTAND HOW TO SUPPORT THEM IN THEIR JOURNEY. THE LEARNINGS GAINED WILL HELP US TO DEVELOP THE VERY SPECIFIC RESOURCES AND OPPORTUNITIES NEEDED FOR CHILDREN AND TEENS LIVING WITH LUPUS. ALL RESEARCH RESULTS ARE CURRENTLY BEING PREPARED FOR PUBLICATION IN PEER REVIEW JOURNALS, HOWEVER THE FINDINGS SERVE AS A ROADMAP FOR FUTURE CONTENT AND PROGRAM DEVELOPMENT. OUR NATIONAL HEALTH EDUCATOR NETWORK RESPONDED TO MORE THAN 4,539 TELEPHONE, EMAIL AND HANDWRITTEN INQUIRIES IN BOTH ENGLISH AND SPANISH AND HELD LOCAL, COMMUNITY BASED EDUCATION PROGRAMS WHICH REACHED MORE THAN 500 INDIVIDUALS LIVING WITH THE DISEASE. THE HEALTH EDUCATOR DECREASE IN INQUIRIES COMPARED TO 2015 CAN BE ATTRIBUTED TO THE INCREASE IN INFORMATION, AND ORGANIZATION OF THAT INFORMATION, ON THE LUPUS.ORG WEBSITE. THE SITE IS BEING UTILIZED MORE THAN EVER AS THE FIRST STOP FOR PEOPLE WHO ARE SEARCHING FOR BASIC INFORMATION FROM PEOPLE SEEKING LUPUS INFORMATION AND LOCAL RESOURCES. WE CONTINUE TO GENERATE ORIGINAL EDUCATION CONTENT, INCLUDING PODCASTS AND RESEARCH SUMMARIES, IN A VARIETY OF FORMATS AND LANGUAGES. IN 2016 WE COMPLETED DEVELOPMENT AND DESIGN OF OUR CAREGIVER TOOLKIT, A COMPREHENSIVE RESOURCE FOR LUPUS CAREGIVERS OF ALL AGES. THE TOOLKIT WILL BE LAUNCHED ON FOUNDATION'S WEBSITE IN EARLY 2017. 1017145 341711 9015389 1 1 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 0 1 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 70 0 1 51 1 1 1 0 0 0 0 1 1 0 0 0 1 0 X 18 18 0 0 0 0 0 0 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AL AK AR CA CT FL GA HI IL KS KY LA ME MD MA MI MN MS NH NJ NM NY NC OK OR PA RI SC TN UT VA WI WV X X SEUNG-AE CHUNG 2023491155 2121 K STREET NW NO 200 WASHINGTON DC 20037 CONRAD GEHRMANN CHAIR 5.00 1.00 X X 0 0 0 CAROL ANN PETREN FIRST VICE CHAIR 5.00 X X 0 0 0 SUSAN MANZI MD MPH VICE CHAIR - UNTIL 06/2016 5.00 X X 0 0 0 LYNN BLANDFORD TREASURER 5.00 X X 0 0 0 STEPHEN RABINOWITZ SECRETARY 5.00 X X 0 0 0 PETER M SCHWAB IMMEDIATE PAST CHAIR 5.00 X X 0 0 0 JANINE ALLEN DIRECTOR 1.00 X 0 0 0 JOSEPH A ARNOLD ESQ DIRECTOR 1.00 X 0 0 0 TAMARA ATKINS DIRECTOR 1.00 X 0 0 0 JUDY BARLIN DIRECTOR 1.00 X 0 0 0 KEITH BRUNINI DIRECTOR - UNTIL 06/2016 2.00 X 0 0 0 GARY GILKESON MD DIRECTOR 1.00 X 0 0 0 BRIDGET JORDAN LEVY DIRECTOR 1.00 X 0 0 0 MARGUERETE A LUTER DIRECTOR 1.00 X 0 0 0 PHONG NGUYEN DIRECTOR 1.00 X 0 0 0 KATHERINE A RUFFATTO DIRECTOR 1.00 X 0 0 0 KATHLEEN RUIZ DIRECTOR 1.00 X 0 0 0 MARJORIE S SUSMAN DIRECTOR 1.00 X 0 0 0 FRAN TSIMOYIANIS DIRECTOR 1.00 X 0 0 0 HALLIE VANDERHIDER DIRECTOR 1.00 X 0 0 0 SANDRA C RAYMOND PRESIDENT & CEO 40.00 1.00 X 300640 0 34595 SEUNG-AE CHUNG CFO 40.00 X 182038 0 23954 DONNA GROGAN VP, DEVELOPMENT AND FUNDRAISING 40.00 X 193305 0 16933 MARY T CRIMMINGS VP, MARKETING & COMMUNICATIONS 40.00 X 187536 0 14849 LESLIE HANRAHAN VP, EDUCATION & RESEARCH 40.00 X 180372 0 24704 DIANA GRAY - UNTIL 112015 VP, NETWORK DEVELOPMENT 40.00 X 155440 0 12227 DUANE PETERS SR. DIR. MARKETING & COMMUNICATIONS 40.00 X 142340 0 25278 KIMBERLY A CANTOR-UNTIL042016 VP, PUB. POL. & GOV'T RELATIONS 40.00 X 139993 0 8242 PATRICIA DAVIDSON SR. DIR., EDUCATION & RESEARCH 40.00 X 111881 0 14545 TRACY EVANS DIR., DEVELOPMENT AND FUNDRAISING 40.00 X 106712 0 9648 KRIS HOAGLAND FIELD DIRECTOR - UNTIL 02/2016 40.00 X 104582 0 18291 1804839 0 203266 13 0 1 0 GLS COMPANIES PO BOX 1450 MINNEAPOLIS MN 55486 POSTAGE AND MAILHOUSE SERVICES 1687266 PRODUCTION SOLUTIONS 1953 GALLOWS ROAD VIENNA VA 22182 POSTAGE, LETTERSHOP & MAILHOUSE SERVICES 362789 BLACKBAUD PO BOX 930256 ATLANTA GA 31193 DATABASES/CRM IMPLEMENTATION/SUBS 330803 MCMURRYTMG LLC 1129 20TH STREET NW 700 WASHINGTON DC 20036 PRODUCTION, DESIGN OF LFA MAGAZINE 215633 JEFFREY COMO 2 GEDNEY EXPLANADE WHITE PLAINS NY 10605 DATABASE/CRM IMPLEMENTATION 136137 8 214753 329770 1046112 9505420 3127792 11096055 MEMBERSHIP DUES 900099 516493 516493 TRAINING/CONSULTING 900099 504535 504535 PUBLICATIONS 900099 130479 80786 49693 1151507 32129 32129 6406 6406 100000 329770 100265 -265 -265 3099585 3099585 0 LEASE TERMINATION 900099 229826 229826 MISCELLANEOUS 900099 10799 10799 LIST RENTAL INCOME 900099 1722 1722 242347 12528179 1101814 49693 280617 X 489540 489540 10000 10000 1098080 779463 208161 110456 2850690 2456207 230535 163948 30875 24645 3178 3052 306529 262666 24668 19195 285551 236507 27967 21077 104112 48774 53689 1649 49686 10929 38757 106826 106826 1550172 1476476 25599 48097 96968 49156 47812 141874 128480 4945 8449 685315 604644 14844 65827 629784 559374 19054 51356 287744 192338 2809 92597 512436 391649 3266 117521 1177 1044 36 97 9980 9980 200196 183247 4650 12299 44775 31688 10158 2929 POSTAGE & MAILHOUSE 2414569 697684 32812 1684073 PRINTING & PUBLICATIONS 384315 326151 2174 55990 MISCELLANEOUS 124685 1227 123217 241 PSA & VIDEO DEVELOPMENT 43520 43520 12459399 9015389 830519 2613491 X 2994817 916695 27558 2050564 1749157 779120 3223785 2571067 940512 1292061 218623 619039 71695 65633 2209717 597968 834542 1611749 253254 264169 151079 866696 7442647 8069534 1051300 1655975 1491667 925001 0 75000 0 247752 959493 1121682 3502460 4025410 X 2440735 2628104 1172262 1077297 327190 338723 3940187 4044124 7442647 8069534 X 68780 -1254 36411 X 0 1 X 1 1 1 X 12916423 9657896 11338917 10659137 11096055 55668428 12916423 9657896 11338917 10659137 11096055 55668428 3899573 51768855 73816 75462 72345 33403 40257 295283 137806 73274 81813 4589 10799 308281 56271992 7036887 0.92000 0.91320 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2011 AMOUNT: $ 137,806. 2012 AMOUNT: $ 73,274. 2013 AMOUNT: $ 81,813. 2014 AMOUNT: $ 4,589. 2015 AMOUNT: $ 10,799. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 79530 79530 12261187 12340717 767036 191759 0 0 806668 775701 755905 767036 3105310 4657965 85793 104168 116365 79530 385856 201667 193925 188976 191759 776327 1164491 327808 0 15228 3344 969 338723 331953 29 -144 2578 1452 327808 107300 220988 4483 481 337 331953 107300 481 481 107300 107300 535 535 107300 0.00000 1.00000 0.00000 1 0 1061513 6718 1054795 697271 398761 298510 450933 192489 258444 1611749 DEPOSITS 171155 OTHER RECEIVABLES 130462 OTHER ASSETS 565079 866696 CAPITAL LEASE OBLIGATIONS 18871 DEFERRED LEASE INCENTIVE 1009408 DEFERRED RENT 51553 OTHER PAYABLES 41850 1121682 X 12703336 -1254 140000 36411 175157 12528179 0 12528179 12599399 140000 140000 12459399 0 12459399 PART V, LINE 4: THE EARNINGS ON THE DONOR-RESTRICTED ENDOWMENT ARE FOR GENERAL OPERATIONS AND RESEARCH. THE FOUNDATION'S BOARD APPROVES THE SPENDING OF THE EARNINGS ON THE ENDOWMENT FUND ON AN ANNUAL BASIS WHEN IT APPROVES THE ANNUAL BUDGET. PART X, LINE 2: THE FOUNDATION PERFORMED AN EVALUATION OF UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015, AND DETERMINED THAT IT HAS NO MATERIAL UNCERTAIN INCOME TAX POSITIONS, AND ACCORDINGLY, IT HAS NOT RECOGNIZED ANY LIABILITY FOR UNRECOGNIZED INCOME TAX. EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES CONSULTING 46500 NORTH AMERICA 0 0 PROGRAM SERVICES CONSULTING 750 0 0 0 0 0 0 47250 0 47250 0 0 0 0 0 0 PART I, LINE 3: THE FOUNDATION REPORTED THE EXPENDITURES BASED ON THE ACCOUNTING METHOD USED IN ITS AUDITED FINANCIAL STATEMENTS WHICH IS ON AN ACCRUAL BASIS. X X X X X X X 1 APOGEE RETAIL NY LLC 7949 EAST ACOMA DRIVE SCOTTSDALE AZ 85260 BUYER OF DONATED GOODS 0 1909795 0 1909795 APOGEE RETAIL LLC 11400 SE 6TH STREET BELLEVUE WA 98004 BUYER OF DONATED GOODS 0 1189790 0 1189790 JOHN MINI CONSULTING INC 707 SAVANNAH ROAD LEWES DE 199581521 DIRECT MAIL 0 760096 63700 696396 THE WEBSTER GROUP 5185 MACARTHUR BOULEVARD NW 250 WASHINGTON DC 20016 GALA PRODUCTION & MGMT 0 0 43126 0 3859681 106826 3795981 AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI NYC BUTTERFLY GALA 429770 329770 100000 97765 2500 429770 329770 100000 97765 2500 100265 -265 SCHEDULE G, PART I: THE FOUNDATION ENGAGES A PROFESSIONAL FUNDRAISER, THE WEBSTER GROUP, TO PROVIDE EVENT MANAGEMENT AND PRODUCTION, AND REGISTRATION AND SEATING SERVICES FOR OUR ANNUAL GALA. THEY DO NOT SOLICIT CONTRIBUTIONS ON OUR BEHALF. SCHEDULE G, PART I: THE FOUNDATION SELLS ALL DISCARDED HOUSEHOLD PROPERTY DONATED TO APOGEE RETAIL NY, LLC AND APOGEE RETAIL, LLC. THE FOUNDATION BEARS ALL MANAGEMENT RESPONSIBILITY ASSOCIATED WITH MARKETING EFFORTS TO SOLICIT DONATIONS OF DISCARDED HOUSEHOLD PROPERTY THROUGH DIRECT MAIL, INCLUDING CREATING, PREPARING, AND MAILING ALL PRINTED PRODUCTS OR LANGUAGE UTILIZED IN ANY MARKETING EFFORT. AS BUYERS, BOTH APOGEE RETAIL NY, LLC AND APOGEE RETAIL, LLC PICK UP AT THEIR SOLE EXPENSE, FOR AND IN THE NAME OF THE FOUNDATION, THE DONATED HOUSEHOLD PROPERTY AT LOCATIONS SPECIFIED BY THE FOUNDATION. 1 ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVENUE BRONX NY 10461 131624225 501(C)(3) 70000 CAREER DEVELOPMENT AWARD MEDICAL UNIVERSITY OF SC 179 ASHLEY AVENUE CHARLESTON SC 29425 576000722 501(C)(3) 187000 STEM CELL RESEARCH GRANT LUPUS RESEARCH ALLIANCE 275 MADISON AVENUE NEW YORK NY 10016 582492929 501(C)(3) 66667 LUPUS INSIGHT PRIZE AWARD BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS STREET BOSTON MA 02115 135562308 501(C)(3) 70000 CAREER DEVELOPMENT AWARD LFA DCMDVA CHAPTER 1319 F STREET NW SUITE 305 WASHINGTON DC 20004 237448063 501(C)(3) 31000 PROGRAM GRANT LFA NEW JERSEY CHAPTER 150 MORRIS AVENUE SPRINGFIELD NJ 07081 222107053 501(C)(3) 25000 PROGRAM GRANT LFA PHILADELPHIA TRI-SATE CHAPTER 101 GREENWOOD AVENUE SUITE 200 JENKINTOWN PA 10946 237080555 501(C)(3) 6000 PROGRAM GRANT 7 0 MARY BETTY STEVENS YOUNG PRIZE 1 5000 EVELYN HESS AWARD 1 5000 PART I, LINE 2: ALL GRANT RECIPIENTS ARE REQUIRED TO SIGN THE FOUNDATION'S GRANT AWARD AGREEMENT AND MEET THE FOLLOWING CONDITIONS: - MEET ALL APPLICABLE AND RELEVANT GUIDELINES REGARDING THE USE OF ANIMAL AND HUMAN SUBJECTS. - MEET ALL INSTITUTIONAL POLICIES AND LOCAL, STATE, AND FEDERAL REGULATIONS GOVERNING THE CONDUCT OF RESEARCH. - SUBMIT INTERNAL REVIEW BOARD AND INSTITUTIONAL ANIMAL CARE AND USE COMMITTEE (IF APPLICABLE) APPROVAL FROM THE GRANT RECIPIENT'S INSTITUTION. - COMPLETE AND SUBMIT THE "PROPOSED BUDGET". - ADHERE TO THE FOUNDATION'S POLICY ON INVENTIONS AND DISCOVERIES. - NOTIFY THE FOUNDATION OF ANY PUBLICATION OR PROFESSIONAL PRESENTATION BASED ON FOUNDATION-FUNDED RESEARCH PROJECT AND PROVIDE THE FOUNDATION WITH ELECTRONIC COPIES OF ANY PUBLICATION OR PROFESSIONAL PRESENTATION MADE POSSIBLE, FACILITATED, EXPEDITED, OR SUPPORTED IN ANY WAY BY THE AWARD, EVEN IF DEVELOPED, INITIATED, OR FINALIZED AFTER THE AWARD PERIOD HAS EXPIRED, WITHIN 30 DAYS OF FINAL PRODUCTION. - ACKNOWLEDGE THE FOUNDATION IN ANY AND ALL PUBLICATIONS OR PRESENTATIONS BASED, PARTIALLY OR WHOLLY, ON OR DEVELOPED UNDER THE AWARD MUST, UNLESS OTHERWISE REQUESTED BY THE FOUNDATION, WITH THE FOLLOWING STATEMENT: "THIS RESEARCH WAS SUPPORTED BY THE LUPUS FOUNDATION OF AMERICA, INC." - ALL FUNDS ARE USED EXCLUSIVELY TOWARD EXPENDITURES FOR THE SAID RESEARCH, AND NO AMOUNT OF THE RESEARCH GRANT FUNDS CAN BE USED TO FINANCE INDIRECT COSTS. - KEEP COMPLETE AND ACCURATE RECORDS ON THE RECEIPT AND DISBURSEMENT OF ALL AWARD FUNDS, AND MAY NOT CO-MINGLE ANY FUNDS FROM OTHER SOURCES. MUST RETAIN ALL SUCH RECORDS FOR A PERIOD OF AT LEAST TWO YEARS AFTER THE EXPIRATION DATE OF THE AGREEMENT AND THE FOUNDATION HAS THE RIGHT TO REVIEW SUCH RECORDS UPON REQUEST. IN ADDITION, ALL GRANT RECIPIENTS ARE REQUIRED TO SUBMIT INTERIM AND FINAL REPORTS WITH A GRANT INSTALLMENT PAYMENT TIED TO REPORT SUBMISSION. THE FOUNDATION'S EDUCATION & RESEARCH TEAM REVIEWS THE INTERIM AND FINAL REPORTS TO CONFIRM THAT THE INVESTIGATOR ACHIEVED THE ORIGINAL STUDY OBJECTIVE. - AGREE THAT EITHER PARTY MAY TERMINATE THE AGREEMENT FOR CONVENIENCE UPON THIRTY (30) DAYS PRIOR WRITTEN NOTICE TO THE OTHER PARTY. THE FOUNDATION RESERVES THE RIGHT TO TERMINATE THE AGREEMENT EFFECTIVE IMMEDIATELY, UPON WRITTEN NOTICE, IF THE GRANT RECIPIENT (I) IS UNABLE TO COMPLETE THE STUDY; (II) MATERIALLY ALTER THE STUDY; (III) USES THE AWARD GRANT FOR PROHIBITED EXPENSES OR; (IV) BREACHES OF THE AGREEMENT AND FAILS TO CURE SUCH BREACH WITHIN TEN (10) DAYS FOLLOWING RECIPIENT'S OR INSTITUTION'S RECEIPT OF WRITTEN NOTICE THEREOF. - ACKNOWLEDGE THAT NEITHER THE FOUNDATION, THE INSTITUTION, NOR INVESTIGATOR SHALL BE LIABLE FOR ANY FAILURE TO PERFORM ANY OBLIGATIONS UNDER THE AGREEMENT IF SUCH FAILURE RESULTS FROM CAUSES BEYOND ITS REASONABLE CONTROL. - ACKNOWLEDGE THAT THE AGREEMENT SHALL BE GOVERNED BY THE LAWS OF THE DISTRICT OF COLUMBIA, WITHOUT REGARD TO ITS CONFLICT OF LAW RULES. - ACKNOWLEDGE THAT THE AGREEMENT MAY NOT BE ASSIGNED OR TRANSFERRED WITHOUT THE FOUNDATION'S PRIOR WRITTEN CONSENT. X X X 0 0 0 0 0 0 0 1 0 SANDRA C RAYMOND PRESIDENT & CEO 270640 0 30000 0 0 0 23850 0 10745 0 335235 0 0 0 SEUNG-AE CHUNG CFO 180688 0 1350 0 0 0 16696 0 7258 0 205992 0 0 0 DONNA GROGAN VP, DEVELOPMENT AND FUNDRAISING 191955 0 1350 0 0 0 9707 0 7226 0 210238 0 0 0 MARY T CRIMMINGS VP, MARKETING & COMMUNICATIONS 186186 0 1350 0 0 0 13567 0 1282 0 202385 0 0 0 LESLIE HANRAHAN VP, EDUCATION & RESEARCH 179022 0 1350 0 0 0 17914 0 6790 0 205076 0 0 0 DIANA GRAY - UNTIL 112015 VP, NETWORK DEVELOPMENT 155440 0 0 0 0 0 4760 0 7467 0 167667 0 0 0 DUANE PETERS SR. DIR. MARKETING & COMMUNICATIONS 141740 0 600 0 0 0 13556 0 11722 0 167618 0 0 0 PART I, LINE 7 THE PRESIDENT & CEO'S BONUS WAS AWARDED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS BASED ON A PERFORMANCE EVALUATION. OTHER OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES' BONUSES WERE AWARDED AT THE DISCRETION OF THE PRESIDENT & CEO. X 3099583 FAIR MARKET VALUE X 107 23067 FAIR MARKET VALUE X 8 5142 FAIR MARKET VALUE 0 1 1 PART I, COLUMN (B): THE FOUNDATION REPORTS THE NUMBER OF CONTRIBUTIONS IN PART I, COLUMN (B). PART I, LINE 32B: THE FOUNDATION USES THE SERVICES OF APOGEE RETAIL TO ASSIST IN THE COLLECTION OF DONATED HOUSEHOLD GOODS. FORM 990, PART VI, SECTION A, LINE 7B THE CHAPTERS HAVE THE AUTHORITY TO VOTE ON ANY PROPOSED CHANGES BY THE BOARD OF THE DIRECTORS TO THE FOUNDATION'S BYLAWS. FORM 990, PART VI, SECTION B, LINE 11 THE FOUNDATION HIRES AN INDEPENDENT ACCOUNTING FIRM TO PREPARE THE FORM 990. A DRAFT OF THE FORM 990 IS FIRST REVIEWED BY THE CFO AND THE FINAL DRAFT OF THE FORM 990 IS REVIEWED BY BOTH THE CFO AND THE PRESIDENT & CEO. BEFORE FILING THE FORM WITH THE INTERNAL REVENUE SERVICE (IRS), A COPY OF THE FINAL DRAFT IS DISTRIBUTED TO THE FINANCE COMMITTEE AND THE FORM IS REVIEWED AND APPROVED VIA A TELEPHONE CONFERENCE. ONCE APPROVED BY THE FINANCE COMMITTEE, A COMPLETE COPY OF THE FORM 990 IS PROVIDED TO ALL MEMBERS OF THE BOARD OF DIRECTORS BEFORE FILING THE FORM WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C AT THE FOUNDATION'S BOARD MEETING IN THE FALL, THE CONFLICT OF INTEREST STATEMENT AND QUESTIONNAIRE ARE COMPLETED AND SIGNED BY EACH OFFICER, DIRECTOR, COMMITTEE MEMBER AND KEY EMPLOYEE. ALL CONFLICT OF INTEREST STATEMENTS AND QUESTIONNAIRES ARE REVIEWED BY THE PRESIDENT & CEO AND CFO WHO NOTE ANY ACTUAL OR POTENTIAL CONFLICTS. THERE HAVE BEEN NO CONFLICTS NOTED DURING THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD (EC) CONDUCTS AN ANNUAL PERFORMANCE EVALUATION OF THE PRESIDENT & CEO AND RECOMMENDS SALARY LEVEL CHANGES TO THE BOARD OF DIRECTORS FOR APPROVAL. THE RECOMMENDED CHANGES ARE BASED ON THE MOST CURRENTLY AVAILABLE COMPARABILITY DATA FROM THE MANAGEMENT COMPENSATION SURVEY STUDY PUBLISHED JOINTLY BY THE NATIONAL HEALTH COUNCIL AND THE NATIONAL HUMAN SERVICES ASSEMBLY. ONCE APPROVED, ONE OF THE MEMBERS OF THE EC, GENERALLY THE CHAIRMAN OR THE TREASURER, NOTIFIES THE CFO OF THE NEW APPROVED COMPENSATION ARRANGEMENT FOR THE PRESIDENT & CEO. ALL OTHER KEY EMPLOYEES RECEIVE AN ANNUAL PERFORMANCE REVIEW BY THE PRESIDENT & CEO AND APPROVED SALARY INCREASES ARE DOCUMENTED ON EACH INDIVIDUAL'S ANNUAL PERFORMANACE EVALUATION FORM. FORM 990, PART VI, SECTION C, LINE 19 THE FOUNDATION MAKES ITS FINANCIAL STATEMENTS, FEDERAL FORM 990, AND ANNUAL REPORT AVAILABLE TO THE PUBLIC UPON REQUEST AND BY POSTING THEM ON ITS WEBSITE. ALL OTHER GOVERNING DOCUMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G FULFILLMENT SERVICES: PROGRAM SERVICE EXPENSES 33,579. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 44,645. TOTAL EXPENSES 78,224. PAYROLL SERVICES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 9,772. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 9,772. OTHER CONTRACTUAL SERVICES: PROGRAM SERVICE EXPENSES 49,151. MANAGEMENT AND GENERAL EXPENSES 12,353. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 61,504. CONSULTING: PROGRAM SERVICE EXPENSES 1,321,723. MANAGEMENT AND GENERAL EXPENSES 3,474. FUNDRAISING EXPENSES 3,452. TOTAL EXPENSES 1,328,649. MEDICAL WRITING SERVICES: PROGRAM SERVICE EXPENSES 72,023. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 72,023. FORM 990, PART XI, LINE 9: RECOVERIES OF PRIOR YEAR GRANTS 36,411. LUPUS AMERICA COMMUNITIES 2121 K STREET NW SUITE 200 WASHINGTON DC 20037 900870868 SUPPORTING ORGANIZATION DC 501(C)(3) LINE 11C, III-FI 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0