2017-05-12T16:05:41-05:00 2016-06-30 910189318 MOSS ADAMS LLP 999 THIRD AVENUE SUITE 2800 SEATTLE WA 98104 990 2015-07-01 911019655 BLOODWORKS BLOO 2062926500 921 TERRY AVENUE SEATTLE WA 981041256 ROBERT GLEASON CHIEF FINANCIAL OFFICER 2062926500 2017-05-11 1 WENDY CAMPOS P00448102 2063026500 2017-05-11 2015 2021-01-29 14:40:06Z DR JAMES AUBUCHON 921 TERRY AVENUE SEATTLE WA 981041256 193188483 0 X WWW.BLOODWORKSNW.ORG X 1944 WA SAVING LIVES THROUGH EXCELLENCE IN BLOOD, MEDICAL AND LABORATORY SERVICES. 20 19 1147 1765 0 0 11548534 1510536 161263038 175586838 2741308 3615948 166238 149530 175719118 180862852 232299 552319 0 0 70442732 74814392 0 0 1374012 95588332 105433927 166263363 180800638 9455755 62214 138760482 140073386 52219505 54481038 86540977 85592348 SAVING LIVES THROUGH RESEARCH, INNOVATION, EDUCATION AND EXCELLENCE IN BLOOD, MEDICAL AND LABORATORY SERVICES IN PARTNERSHIP WITH OUR COMMUNITY. 0 0 146440901 165106589 RECRUITS DONORS, COLLECTS, TESTS, PROCESSES AND FRACTIONATES WHOLE BLOOD AND COMPONENTS INTO TRANSFUSION READY PRODUCTS (WHOLE BLOOD, RED BLOOD CELLS, PLATELETS, PLASMA AND CRYOPRECIPITATE) FOR USE IN NEARLY 90 HOSPITALS IN THE PACIFIC NORTHWEST (WESTERN WASHINGTON AND OREGON). 12008142 552319 9676237 RESEARCH INSTITUTE COMPRISES 70 SCIENTISTS AND INVESTIGATIVE TEAMS ENGAGED IN CLINICAL AS WELL AS BASIC RESEARCH INTO BLOOD BIOLOGY, TRANSFUSION MEDICINE, BLOOD STORAGE, BLOOD DISORDERS (HEMOPHILIA) AND DISEASE (SICKLE CELL), THROMBOSIS DIAGNOSIS AND PREVENTION, CANCER TREATMENT AND ORGAN TRANSPLANTATION. THE FOCUS IS ON TRANSLATING SCIENTIFIC BREAKTHROUGHS FROM "BENCH TO BEDSIDE" TO IMPROVE PATIENT CARE. 158449043 1 1 0 0 0 0 0 0 0 1 1 1 0 0 0 1 1 0 0 0 1 1 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 147 0 1 1147 1 0 0 0 0 0 1 1 0 0 0 0 0 X 20 19 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 0 WA OR X ROBERT GLEASON 2066896680 921 TERRY AVENUE SEATTLE WA 981041256 GLENN WISEGARVER BOARD CHAIR 1.00 X X 0 0 0 MEREDITH MATHEWS MD BOARD VICE-CHAIR 1.00 X X 0 0 0 WENDY APLAND BOARD TRUSTEE (THROUGH 6/30/16) 1.00 X 0 0 0 BILL BALDWIN BOARD TRUSTEE 1.00 X 0 0 0 KATERIE CHAPMAN BOARD TRUSTEE 1.00 X 0 0 0 ANNETTE E CLARK MD JD BOARD TRUSTEE 1.00 X 0 0 0 ANNE DAFFERN BOARD TRUSTEE 1.00 X 0 0 0 CARLA FOWLER MD PHD BOARD TRUSTEE 1.00 X 0 0 0 BILL HAMMOND MD BOARD TRUSTEE 1.00 X 0 0 0 HOLLI HARRIS BOARD TRUSTEE 1.00 X 0 0 0 MOHIT KATHURIA BOARD TRUSTEE 1.00 X 0 0 0 W CONRAD LILES MD PHD BOARD TRUSTEE 1.00 X 0 0 0 NANCY OSBORNE BOARD TRUSTEE (THROUGH 6/30/16) 1.00 X 0 0 0 JIM PALMERI BOARD TRUSTEE 1.00 X 0 0 0 SEAN W SIGMON BOARD TRUSTEE 1.00 X 0 0 0 CRAIG M TREWET BOARD TRUSTEE 1.00 X 0 0 0 PHYLLIS T TURNER-BRIM ESQ BOARD TRUSTEE 1.00 X 0 0 0 BOB WALLACE BOARD TRUSTEE 1.00 X 0 0 0 NANCY SCLATER BOARD TRUSTEE (THROUGH 1/26/16) 1.00 X 0 0 0 DAVID H KOSLOFF BOARD TRUSTEE (THROUGH 6/30/16) 1.00 X 0 0 0 JAMES AUBUCHON MD PRESIDENT & CEO 40.00 X X 1066131 0 37787 ROBERT GLEASON TREASURER & CFO 40.00 X 234950 0 42903 MAXINE SELLERS SECRETARY 40.00 X 66515 0 15065 LINDA S BARNES CHIEF OPERATING OFFICER 40.00 X 299530 0 40738 KARYN L DENTON VICE PRESIDENT CLINICAL SERVICES 40.00 X 165958 0 26060 SANDRA E LINAUTS VICE PRESIDENT BLOOD SERVICES 40.00 X 197777 0 34309 KAREN NELSON VP SPECIALTY LABORATORIES 40.00 X 191792 0 27254 JOSE A LOPEZ MD CHIEF SCIENTIFIC OFFICER 40.00 X 322387 0 30793 YANYUN WU MD CHIEF MEDICAL OFFICER 40.00 X 341872 0 14946 KIRSTEN WATSON ALCORN MD MEDICAL DIRECTOR 40.00 X 273727 0 29060 BARBARA A KONKLE MD MEDICAL DIRECTOR 40.00 X 290049 0 31909 REBECCA KRUSE-JARRES MD MEDICAL DIRECTOR 40.00 X 213842 0 23632 SHERRIL J SLICHTER MD MEDICAL DIRECTOR 40.00 X 300150 0 38725 JAMES C ZIMRING MD MEDICAL DIRECTOR 40.00 X 291895 0 26667 THERESA NESTER MEDICAL DIR. (FORMER KEY EMPLOYEE) 40.00 X 213344 0 37294 4469919 0 457142 68 1 1 0 NEXTGEN HEALTHCARE INFORMATION SYSTEMS 18111 VON KARMAN AVE SUITE 700 IRVINE CA 92612 IT SUPPORT 677127 FENWICK & WEST LLP 801 CALIFORNIA STREET MOUNTAIN VIEW CA 94041 LEGAL SUPPORT 253705 NUWEST GROUP HOLDINGS LLC PO BOX 40285 BELLEVUE WA 98015 TEMPORARY HELP 227869 STRATUSG CONSULTING LLC 7438 SE 40TH ST MERCER ISLAND WA 98040 CONSULTING 190288 KELLER ROHRBACK 1201 THIRD AVENUE SUITE 3200 SEATTLE WA 98101 LEGAL SUPPORT 182434 15 575616 934920 113075 1510536 SERVICE FEES 541900 97077303 97077303 BLOOD DERIVATIVES 339110 61835206 61835206 RESEARCH REVENUE 541700 9649678 9649678 CTS MANAGEMENT AGREEMENT 531310 770104 770104 DELIVERY FEES 480000 665121 665121 5589426 5589426 175586838 1350694 1350694 1285661 1079942 205719 205719 205719 10107210 3200100 10381271 660785 -274061 2539315 2265254 2265254 181353 575616 203633 -22280 -22280 JOINT VENTURE INVESTMENT 621500 -33909 -33909 -33909 180862852 174782825 0 4569491 412495 412495 76299 76299 63525 63525 3010742 1204602 1806140 55577687 47918074 6939010 720603 3745670 3149963 567878 27829 7322281 6220132 1010121 92028 5158012 4335531 758881 63600 320735 77113 243622 119905 119905 210881 210881 5439976 2754487 2500412 185077 957215 394827 562388 3937685 1766435 2122115 49135 3883936 3231883 629392 22661 6212143 5146566 982748 82829 591691 397891 174249 19551 306213 132859 168854 4500 864279 3 853337 10939 5914896 4907215 929760 77921 801032 666653 123988 10391 DRUGS & SUPPLIES 72631327 72631327 TRANSPORTATION 2571925 2291075 273902 6948 PROVISION FOR BAD DEBT 670088 670088 180800638 158449043 20977583 1374012 300 35469 3651923 2616698 1356259 2556112 22883233 23982724 1717503 2219340 1861160 2094753 130238224 81049883 50435683 49188341 46874061 47492462 9087142 8985737 893218 901750 138760482 140073386 23890414 28524450 23476479 22546457 4852612 3410131 52219505 54481038 X 82117737 80577237 881036 1469362 3542204 3545749 86540977 85592348 138760482 140073386 X 62214 -1012656 1813 X 0 1 X 1 1 1 X 6913549 1609433 1259917 11548534 1510536 22841969 150260881 147588876 159648812 161263038 174750729 793512336 478187 212351 200510 181353 1072401 157174430 149676496 161121080 173012082 176442618 817426706 39465 54169 72760 6879157 502912 7548463 1242940 1242940 39465 54169 72760 8122097 502912 8791403 808635303 1399319 2574831 3162201 2693945 2636355 12466651 1399319 2574831 3162201 2693945 2636355 12466651 158573749 152251327 164283281 175706027 179078973 829893357 0.97440 0.97620 0.01500 0.01350 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3581374 3545 41071 3625990 446312 3104500 33444 2882 3581374 437267 3400 43322 35416 2261 446312 459879 9143 25153 53991 2917 437267 315629 175802 -4010 23893 3649 459879 0.00000 0.97790 0.02210 1 1 0 4093717 4093717 43973415 22797633 21175782 19935147 13037961 6897186 52871984 42887070 9984914 9363961 2327219 7036742 49188341 INVESTMENT IN CTS 9000000 C INVESTMENT IN HEMEXCEL -14263 C 8985737 X 180924704 -1012656 1283576 270920 180653784 210881 -1813 209068 180862852 181873332 1283575 1283575 180589757 210881 210881 180800638 PART V, LINE 4: INTENDED USE OF ENDOWMENT FUND EARNINGS IS FOR MEDICAL RESEARCH AS WELL AS AN ANNUAL LECTURE SERIES. PART X, LINE 2: THE ORGANIZATION IS A NOTFORPROFIT CORPORATION AND HAS BEEN RECOGNIZED AS TAXEXEMPT PURSUANT TO SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE ORGANIZATION IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE EXCEPT TO THE EXTENT OF UNRELATED BUSINESS TAXABLE INCOME AS DEFINED UNDER IRC SECTIONS 511 THROUGH 515. ANY UNRELATED BUSINESS INCOME GENERATED IS NOT SIGNIFICANT; THEREFORE, NO PROVISION FOR INCOME TAXES HAS BEEN RECORDED. THE ORGANIZATION HAS ADOPTED ACCOUNTING FOR UNCERTAIN TAX POSITIONS. THE ACCOUNTING STANDARDS PRESCRIBE A RECOGNITION THRESHOLD AND MEASUREMENT PROCESS FOR UNCERTAIN TAX POSITIONS. AS OF JUNE 30, 2016 AND 2015, THE ORGANIZATION HAD NO UNCERTAIN TAX POSITIONS REQUIRING ACCRUAL. PART XI, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES NETTED WITH RENTAL REVENUE 1,079,942. FUNDRAISING FEES NETTED WITH FUNDRAISING REVENUE 203,633. ROUNDING 1. PART XI, LINE 4B - OTHER ADJUSTMENTS: JOINT VENTURE INVESTMENT BOOK/TAX ADJUSTMENT -1,813. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES NETTED WITH RENTAL REVENUE 1,079,942. FUNDRAISING FEES NETTED WITH FUNDRAISING REVENUE 203,633. 1 NORTH AMERICA - CANADA AND MEXICO 0 0 GRANTMAKING 63525 0 0 0 0 0 0 63525 0 63525 NORTH AMERICA - CANADA AND MEXICO CLINICAL TRIAL 63525 CHECK PAYMENT 1 0 0 0 0 0 0 PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANTS AND OTHER ASSISTANCE OUTSIDE THE UNITED STATES INCLUDE REVIEW OF THE SUBRECIPIENT'S FINANCIAL AUDIT AND FOLLOW UP, IF NEEDED, ON ANY FINDINGS. ADDITIONALLY, THERE IS A PROCESS TO REVIEW GENERAL LEDGERS AND WORK CLOSELY WITH THE FINANCIAL DEPARTMENT OF THE SUBRECIPIENT TO ENSURE THAT EXPENSES, INCLUDING SALARY EFFORTS, ARE REASONABLE, PRUDENT, WITHIN THE TERMS OF THE AGREEMENT AND COMPLIANT WITH FEDERAL GUIDELINES. PART I, LINE 3: CHECK PAYMENT FACES FOR LIFE 598302 490628 107674 41395 13406 62078 25687 SWIM FOR LIFE 80526 28355 52171 1542 7269 3 78141 56633 21508 2522 6991 41219 1524 756969 575616 181353 43917 21939 103297 34480 203633 -22280 1 UNIVERSITY OF WASHINGTON 4333 BROOKLYN AVENUE NE SEATTLE WA 98195 916001537 501(C)3 233576 BIOSYNTHETIC AND FUNCTIONAL CONSEQUENCES OF VON WILLEBRAND DISEASE MUTATIONS BAYLOR COLLEGE OF MEDICINE PO BOX 301207 DALLAS TX 75303 262506245 501(C)3 77642 MOLECULAR BIOLOGY, ETHNIC DIVERSITY AND DISEASE TERUMO BCT INC 10811 W COLLINS AVE LAKEWOOD CA 80215 841155788 58148 US ARMY MEDICAL RESEARCH ACQUISITION ACT DUKE UNIVERSITY 2608 ERWIN ROAD DURHAM NC 27710 560532129 501(C)3 19405 POST-PARTUM PROHYLAXIS IN WOMEN AT RISK ON VENOUS THROMBOSIS UNIVERSITY OF COLORADO 13001 E 17TH PLACE BLDG 500 ROOM W1126 AURORA CO 80045 846000555 501(C)3 17519 BIOSYNTHETIC AND FUNCTIONAL CONSEQUENCES OF VON WILLEBRAND DISEASE MUTATIONS 4 1 RESEARCH PARTICIPANTS FOR BLOOD STUDIES 156 76299 PART I, LINE 2: MONITORING/REVIEW/PROCEDURES: PRIOR TO ISSUING A SUBAWARD, BLOODWORKS REVIEWS THE ENTITY ON WWW.SAM.GOV FOR DEBARMENT OR SUSPENSION FROM RECEIVING FEDERAL FUNDS AND CONFIRMS THE CCR STANDING OF THE ENTITY. GRANT AND CONTRACTS SPECIALIST REVIEWS THIS INFORMATION ANNUALLY. IN ADDITION, BLOODWORKS RECEIVES AND REVIEWS THE ANNUAL OMB A-133 AUDIT FOR OUR SUBRECIPIENTS AND ADDRESSES ANY FINDINGS FROM THE AUDIT. THE SUBAWARD IDENTIFIES THE MAXIMUM AMOUNT OF AWARD AND BLOODWORKS STAFF VERIFIES THAT THE PAYMENTS DO NOT EXCEED THIS AMOUNT. SUBRECIPIENTS ARE SELECTED BASED ON THE NEEDS OF THE AWARD AND WHICH ORGANIZATION IS ABLE TO BEST PARTNER WITH THE PRINCIPAL INVESTIGATOR. X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 JAMES AUBUCHON MD PRESIDENT & CEO 660784 0 25000 0 380347 0 18550 0 19237 0 1103918 0 233700 0 ROBERT GLEASON TREASURER & CFO 234950 0 0 0 0 0 23495 0 19408 0 277853 0 0 0 LINDA S BARNES CHIEF OPERATING OFFICER 299530 0 0 0 0 0 13250 0 27488 0 340268 0 0 0 KARYN L DENTON VICE PRESIDENT CLINICAL SERVICES 165958 0 0 0 0 0 9269 0 16791 0 192018 0 0 0 SANDRA E LINAUTS VICE PRESIDENT BLOOD SERVICES 197777 0 0 0 0 0 20404 0 13905 0 232086 0 0 0 KAREN NELSON VP SPECIALTY LABORATORIES 191792 0 0 0 0 0 19324 0 7930 0 219046 0 0 0 JOSE A LOPEZ MD CHIEF SCIENTIFIC OFFICER 322387 0 0 0 0 0 18550 0 12243 0 353180 0 0 0 YANYUN WU MD CHIEF MEDICAL OFFICER 341872 0 0 0 0 0 13250 0 1696 0 356818 0 0 0 KIRSTEN WATSON ALCORN MD MEDICAL DIRECTOR 273727 0 0 0 0 0 13250 0 15810 0 302787 0 0 0 BARBARA A KONKLE MD MEDICAL DIRECTOR 290049 0 0 0 0 0 18550 0 13359 0 321958 0 0 0 REBECCA KRUSE-JARRES MD MEDICAL DIRECTOR 213842 0 0 0 0 0 5580 0 18052 0 237474 0 0 0 SHERRIL J SLICHTER MD MEDICAL DIRECTOR 300150 0 0 0 0 0 26500 0 12225 0 338875 0 0 0 JAMES C ZIMRING MD MEDICAL DIRECTOR 291895 0 0 0 0 0 13250 0 13417 0 318562 0 0 0 THERESA NESTER MEDICAL DIR. (FORMER KEY EMPLOYEE) 213344 0 0 0 0 0 22090 0 15204 0 250638 0 0 0 PART I, LINE 1A FIRST CLASS TRAVEL IS PROVIDED TO THE PRESIDENT UNDER VERY SPECIFIC AND APPROVED CIRCUMSTANCES. SOCIAL CLUB DUES WERE PROVIDED FOR THE PRESIDENT. SOCIAL CLUBS ARE USED FOR BUSINESS RELATED MEETINGS. PART I, LINE 4B SCHEDULE I, PART I, LINE 4B: BLOODWORKS HAS A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN ESTABLISHED TO PROVIDE ADDITIONAL RETIREMENT COMPENSATION TO DR. JAMES AUBUCHON, PRESIDENT AND CEO. AS OF SEPTEMBER 2015 DR. AUBUCHON IS FULLY VESTED IN THE PLAN. FOR THE CURRENT YEAR, DR. AUBUCHON RECEIVED A DISTRIBUTION OF $380,347 FROM THE PLAN. PART I, LINE 7 THE BOARD DETERMINES AND APPROVES THE BONUSES FOR THE CEO, DR. AUBUCHON. IF APPLICABLE OTHER EMPLOYEE BONUSES ARE CONTRACTUALLY DRIVEN BY THE TERMS OF THEIR EMPLOYMENT AGREEMENTS. HUMAN RESOURCES REVIEWS AND MAINTAINS EMPLOYMENT AGREEMENTS. DR. AUBUCHON'S BONUS IS AT THE DISCRETION OF THE BOARD. A WA ECONOMIC DEVELOPMENT FINANCE AUTHORITY 911493002 2014-09-15 24140000 PURCHASE AND RENOVATION OF RENTON, WA FACILITY 0 0 0 A 24140000 209442 23930558 2009 1 0 1 1 A 0 1 1 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 0 1 1 0 0 0 1 A 1 PART II, LINE 14: THE PURPOSE OF THIS BOND WAS TO PROVIDE FUNDS FOR A REFUNDING OF BONDS ISSUES AUGUST 14, 2008. PART IV, LINE 2C: THE REBATE COMPUTATION WAS PERFORMED IN AUGUST OF 2014. X 2 65597 FAIR VALUE X VACATIONS 5 26100 FAIR VALUE X AUCTION ITEMS 76 21378 FAIR VALUE 0 1 0 FORM 990, PART VI, SECTION B, LINE 11 INTERNALLY, DATA FOR THE FORM 990 IS PREPARED BY THE ACCOUNTING DEPARTMENT AND REVIEWED BY THE CONTROLLER AND THE CHIEF FINANCIAL OFFICER. THE FORM 990 IS THEN PREPARED BY OUR CPA FIRM. EXTERNAL REVIEW CONSISTS OF THE FORM 990 BEING POSTED TO THE BOARD OF TRUSTEE WEBSITE, AND THE BOARD MEMBERS ARE EMAILED A LINK TO THIS PASSWORD PROTECTED SITE SO THAT THE FORM 990 CAN BE REVIEWED. FORM 990, PART VI, SECTION B, LINE 12C BLOODWORKS HAS ALL HUMAN RESOURCE POLICIES (INCLUDING CONFLICT OF INTEREST) ONLINE AND ACCESSIBLE. ANY CHANGES ARE HIGHLIGHTED AND SENT TO ALL EMPLOYEES. UPON HIRE AND UPON MAJOR POLICY CHANGES, EMPLOYEE SIGNS ACKNOWLEDGEMENT FORM TO EVIDENCE THAT SHE/HE IS RESPONSIBLE TO READ AND BECOME ACQUAINTED WITH THE POLICIES. ANNUALLY BOARD MEMBERS MUST SIGN A FORM AND DISCLOSE CONFLICTS OF INTEREST. THESE ARE REVIEWED BY THE BOARD CHAIR AND PRESIDENT. IF A CONFLICT OF INTEREST EXISTS, AN INTERESTED PERSON MAY MAKE A PRESENTATION, BUT MUST LEAVE THE MEETING DURING ANY DISCUSSION OF THE MATTER. THE CHAIRPERSON MAY, IF APPROPRIATE, APPOINT A DISINTERESTED PERSON TO INVESTIGATE ALTERNATIVES. THE BOARD OR COMMITTEE SHALL EXERCISE DUE DILIGENCE TO DETERMINE WHETHER THE ORGANIZATION CAN OBTAIN WITH REASONABLE EFFORTS A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT THAT DOES NOT CREATE A CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD REVIEWS AND APPROVES THE PRESIDENT'S COMPENSATION BASED ON RESEARCH OF OTHER COMPARABLE ORGANIZATIONS AND INDUSTRY STANDARDS PERFORMED BY A COMPENSATION CONSULTING FIRM. IN 2014 AN OUTSIDE CONSULTING FIRM PROVIDED TRENDS IN BOTH PERFORMANCE INCREASES AND BONUSES FOR CEOS. THE BOARD USED THIS INFORMATION IN THE PRESIDENT'S COMPENSATION REVIEW. KEY EMPLOYEES AND OFFICERS' SALARIES ARE REVIEWED AGAINST MARKET DATA WITH CONSIDERATION OF INTERNAL EQUITY. MARKET DATA INCLUDES ANNUAL SURVEY FROM INDUSTRY ASSOCIATION AND COMPARISON TO ADDITIONAL REGIONAL AND NATIONAL MARKET DATA APPROXIMATELY EVERY TWO TO THREE YEARS. IN ADDITION, MEDICAL STAFF SALARIES ARE REVIEWED AGAINST UNIVERSITY RANGES FOR PHYSICIANS OF LIKE SPECIALTIES. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. BLOODWORKS HAS ALL HUMAN RESOURCE POLICIES (INCLUDING CONFLICT OF INTEREST) ONLINE AND ACCESSIBLE. FORM 990, PART XI, LINE 9: JOINT VENTURE INVESTMENT BOOK/TAX ADJUSTMENT 1,813.