2016-11-15T12:48:39-06:00 2015-12-31 271235638 MOUNTJOY CHILTON MEDLEY LLP 462 S FOURTH ST SUITE 2600 LOUISVILLE KY 402023445 990 2015-01-01 830392250 NATIONAL STEM CELL FOUNDATION INC NATI 5023798544 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 DR PAULA GRISANTI CHAIRMAN 5023798544 2016-11-14 1 REBECCA L PHILLIPS CPA P00024055 5027491900 2015 2017-02-10 21:41:12Z DR PAULA GRISANTI 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 2016355 0 X WWW.NATIONALSTEMCELLFOUNDATION.ORG X 2003 DC FUND, PROMOTE AND SUPPORT COLLABORATION IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION. FUND EARLY STAGE CLINICAL TRIALS. IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM DISEASES AND CONDITIONS THAT MAY BENEFIT FROM ADULT STEM CELL RESEARCH. THE FOUNDATION ALSO SUPPORTS NATIONAL EDUCATION INITIATIVES, PUBLIC AWARENESS CAMPAIGNS TO INCREASE THE POOL OF BONE MARROW DONORS AND PATIENT ADVOCACY AND ASSISTANCE EFFORTS. 5 4 6 4 0 0 1004349 965688 0 0 12061 123955 1572 0 1017982 1089643 504441 1739366 0 0 205629 456779 0 0 194679 171248 342014 881318 2538159 136664 -1448516 5172529 4643001 401482 1331551 4771047 3311450 X FUND, PROMOTE AND SUPPORT RESEARCH COLLABORATION IN THE FIELD OF ADULT STEM CELL AND REGENERATIVE MEDICINE TECHNOLOGIES, IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM CONDITIONS THAT WILL BENEFIT FROM ADVANCES IN THE FIELD AND MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. THE FOUNDATION ALSO SUPPORTS NATIONAL EDUCATION INITIATIVES, PUBLIC AWARENESS CAMPAIGNS TO INCREASE THE POOL OF BONE MARROW DONORS AND PATIENT ADVOCACY AND ASSISTANCE EFFORTS. 0 0 2210839 1739366 THE NATIONAL STEM CELL FOUNDATION (NSCF) SUPPORTS RESEARCH AND CLINICAL TRIALS IN THE FIELD OF ADULT STEM CELL AND REGENERATIVE MEDICINE TECHNOLOGIES IN FOUR PRIMARY FOCUS AREAS: AUTOIMMUNE DISEASE, NEURODEGENERATIVE DISEASE, RARE CHILDHOOD DISORDERS AND REGENERATIVE REPAIR. NSCF LOOKS FOR RESEARCH THAT NEEDS A PHILANTHROPIC BOOST TO MOVE FROM LABORATORY RESEARCH INTO CLINICAL TRIALS FOR PEOPLE IN NEED - WITH A PREFERENCE FOR PLATFORM TECHNOLOGIES WITH APPLICATION ACROSS A NUMBER OF DISORDERS. THE SUCCESSFULL TRANSLATION OF SCIENTIFIC BREAKTHROUGHS MEANS HOPE AND HELP FOR PATIENTS AND THEIR FAMILIES WORLDWIDE, BUT THE WIDESPREAD AVAILABITY OF TREATMENTS TO ELIMINATE THE NEED FOR ONGOING CARE WILL ALSO DRIVE SIGNIFICANT DOLLARS FROM THE CURRENT COST OF HEALTHCARE.THE FOUNDATION ALSO SUPPORTS NATIONAL EDUCATION INITIATIVES, PUBLIC AWARENESS CAMPAIGNS TO INCREASE THE POOL OF BONE MARROW DONORS AND PATIENT ADVOCACY AND ASSISTANCE EFFORTS. 2210839 1 1 0 0 0 0 0 0 0 0 1 1 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 7 0 1 6 1 0 0 0 0 0 0 0 0 0 0 X 5 4 1 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 KY X PAULA GRISANTI DMD 5023798544 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 PAULA GRISANTI CHAIRMAN AND CEO (SEE SCHEDULE J) 40.00 X X 297692 0 1260 C DENNIS RIGGS SECRETARY/TREASURER 1.00 X X 0 0 0 MICHAEL GRISANTI DIRECTOR 2.00 X 0 0 0 BRUCE S WOLFF DIRECTOR 5.00 X 0 0 0 JOHN M CRANOR III DIRECTOR 1.00 X 0 0 0 DIANE CORNWELL CHIEF FINANCIAL OFFICER 1.30 X 10200 0 0 307892 0 1260 1 0 1 0 0 965688 965688 45957 45957 1004710 926712 77998 77998 77998 1089643 0 0 123955 1739366 1739366 214829 141421 33003 40405 210014 83996 19324 106694 10303 4121 948 5234 21633 8652 1991 10990 540 540 36595 36595 13826 13826 1500 1500 29517 28631 886 28297 5334 18453 4510 37377 19959 3517 13901 7369 3388 327 3654 5012 4942 70 19533 9375 2150 8008 18986 18192 397 397 TRANSFER PROGRAM ASSETS 143462 143462 2538159 2210839 132641 194679 4567316 1216879 107526 117338 9002 13338 97358 35576 69557 61782 2954029 419128 279635 5172529 4643001 126482 27447 275000 1304104 401482 1331551 X 4659521 3244112 111526 67338 4771047 3311450 5172529 4643001 X -1448516 -143977 132896 X X 0 1 X 1 0 X 464817 313050 112193 1004349 965688 2860097 464817 313050 112193 1004349 965688 2860097 1720548 1139549 641 441 550 12061 45957 59650 7830 1572 9402 2929149 200000 0.38900 0.62090 X SCHEDULE A, PART VI, LIST OF UNUSUAL GRANTS: DESCRIPTION: CASH DATE: 12/01/12 AMOUNT: 250000. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 5476 1678 3798 91882 33898 57984 61782 INVESTMENT 2954029 C 2954029 OTHER PROGRAM RELATED ASSETS 279635 279635 X 1021020 9375 9375 1011645 77998 77998 1089643 2480617 9375 143977 153352 2327265 210894 210894 2538159 PART X, LINE 2: THE FOUNDATION HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING THAT IT IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF INTERNAL REVENUE CODE AND IS CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE FINANCIAL STATEMENTS. THE FOUNDATION RECOGNIZES UNCERTAIN INCOME TAX POSITIONS USING THE "MORE-LIKELY-THAN-NOT" APPROACH AS DEFINED IN THE ASC. NO LIABILITY FOR UNCERTAIN TAX POSITIONS HAS BEEN RECORDED IN THE ACCOMPANYING FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: GAIN ON SALE OF SECURITIES 77,998. PART XII, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED LOSSES 143,977. PART XII, LINE 4B - OTHER ADJUSTMENTS: GAIN ON SALE OF SECURITIES 77,998. DISCOUNTED GRANTS TO DOMESTIC ORGANIZATIONS 132,896. 1 SHARING AMERICAS MARROW 10211 WORTHINGTON LANE PROSPECT KY 40059 465647483 501(C)(3) 50000 SEE PART IV SUPPLEMENTAL INFORMATION WESTERN KENTUCKY UNIVERSITY FOUNDATION 292 ALUMNI AVENUE NO 305 BOWLING GREEN KY 42101 611251555 501(C)(3) 500000 SEE PART IV SUPPLEMENTAL INFORMATION MISSION EDGE FOR SUMMIT FOR STEM CELLS PO BOX 12319 SAN DIEGO CA 92112 272938491 501(C)(3) 250000 SEE PART IV SUPPLEMENTAL INFORMATION UNIVERSITY OF LOUISVILLE FOUNDATION FOR THE JAMES GRAHAM BROWN CANCER CENTE 529 SOUTH JACKSON STREET LOUISVILLE KY 40202 237078461 501(C)(3) 10000 SEE PART IV SUPPLEMENTAL INFORMATION NEW YORK STEM CELL FOUNDATION 1995 BROADWAY SUITE 600 NEW YORK NY 10023 202905531 501(C)(3) 302000 SEE PART IV SUPPLEMENTAL INFORMATION MICHAEL J FOX FOUNDATION FOR PARKINSONS RESEARCH GRAND CENTRAL STATION PO BOX 4777 NEW YORK NY 10163 134141945 501(C)(3) 325000 SEE PART IV SUPPLEMENTAL INFORMATION NORTHWESTERN MEMORIAL HOSPITAL 251 E HURON 541 N FAIRBANKS CHICAGO IL 60611 363152959 501(C)(3) 50000 SEE PART IV SUPPLEMENTAL INFORMATION NATIONAL MULTIPLE SCLEROSIS SOCIETY 733 THIRD AVENUE 3RD FLOOR NEW YORK NY 10017 135661935 501(C)(3) 250000 SEE PART IV SUPPLEMENTAL INFORMATION 8 0 PART I, LINE 2: THE ORGANIZATION MEETS REGULARLY WITH REPRESENTATIVES FROM THE GRANT RECIPIENT(S) AND RECEIVES UPDATES AND REPORTS REGARDING EXPENDITURE OF THE FUNDS. PART II, LINE 1, COLUMN (H): NAME OF ORGANIZATION OR GOVERNMENT: NATIONAL MULTIPLE SCLEROSIS SOCIETY (H) FUNDING RESEARCH TO REGENERATE MYELIN TO RESCUE CHILDREN WITH RATE, FATAL GENETIC DISORDERS OF MYELIN PRODUCTION AND RESTORE FUNCTION LOST AS A RESULT OF MYELIN DAMAGE. NAME OF ORGANIZATION OR GOVERNMENT: SHARING AMERICAS MARROW (H) OPERATING SUPPORT TO ORGANIZE BONE MARROW REGISTRATION CAMPAIGN. NAME OF ORGANIZATION OR GOVERNMENT: WESTERN KENTUCKY UNIVERSITY FOUNDATION (H)FUND THE NATIONAL STEM CELL FOUNDATION SCHOLARS PROGRAM AT THE CAROL MARTIN GATTON ACADEMY OF MATH AND SCIENCE. NAME OF ORGANIZATION OR GOVERNMENT: MISSION EDGE FOR SUMMIT FOR STEM CELLS (H)RESEARCH AT SCRIPPS RESEARCH INSTITUTE TO HALT AND POTENTIALLY REVERSE PARKINSON'S DISEASE. NAME OF ORGANIZATION OR GOVERNMENT: UNIVERSITY OF LOUISVILLE FOUNDATION FOR THE JAMES GRAHAM BROWN CANCER CENTER (H) SUPPORT OF THE HERZIG MEMORIAL SYMPOSIUM AT THE JAMES GRAHAM BROWN CANCER CENTER. NAME OF ORGANIZATION OR GOVERNMENT: NEW YORK STEM CELL FOUNDATION (H) TO FUND CELL-CROSS TALK RESEARCH FOR THE TREATMENT OF MULTIPLE CENTRAL NERVOUS SYSTEM DISORDERS. NAME OF ORGANIZATION OR GOVERNMENT: MICHAEL J. FOX FOUNDATION FOR PARKINSONS RESEARCH (H) RESEARCH TO HALT AND POTENTIALLY REVERSE PARKINSON'S DISEASE. NAME OF ORGANIZATION OR GOVERNMENT: NORTHWESTERN MEMORIAL HOSPITAL FOUNDATION (H) PATIENT ASSISTANCE FUND TO HELP ELIGIBLE CANDIDATES PARTICIPATE IN FDA-APPROVED CLINICAL TRIALS OR THERAPIES. NAME OF ORGANIZATION OR GOVERNMENT: NATIONAL MULTIPLE SCLEROSIS SOCIETY (H) FUNDING RESEARCH TO REGENERATE MYELIN TO RESCUE CHILDREN WITH RARE FATAL GENETIC DISORDERS OF MYELIN PRODUCTION AND RESTORE FUNCTION LOST AS A RESULT OF MYELIN DAMAGE IN PATIENTS WITH MULTIPLE SCLEROSIS. X X X X 0 0 0 0 0 0 0 0 0 PAULA GRISANTI CHAIRMAN AND CEO (SEE SCHEDULE J) 197692 0 0 0 100000 0 0 0 1260 0 298952 0 0 0 PART II, COLUMN B & F, DR. PAULA GRISANTI INCLUDED IN THE 2015 FORM W-2 FOR PAULA GRISANTI IS $100,000 FOR COMPENSATION EARNED IN 2014 BUT PAID IN 2015. TOTAL COMPENSATION EARNED IN 2015 IS $197,692. FROM 2002 THROUGH JUNE 30, 2014, DR. GRISANTI DONATED HER SERVICES AS CEO TO THE ORGANIZATION X 1 500746 FMV 0 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 PAULA GRISANTI, CHAIRMAN OF THE BOARD, AND MICHAEL GRISANTI, DIRECTOR, HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 3 THE ORGANIZATION HAS CONTRACTED ITS FINANCIAL MANAGEMENT OVERSIGHT TO AN OUTSIDE CHIEF FINANCIAL OFFICER AND ITS DAY TO DAY FINANCIAL DUTIES TO A CONTROLLER. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 WAS PREPARED BY OUTSIDE ACCOUNTING FIRM AND REVIEWED IN DETAIL BY CONTRACT CFO, CONTRACT CONTROLLER AND BOARD CHAIR. A COPY WAS THEN SENT TO EACH BOARD MEMBER FOR THEIR REVIEW BEFORE THE FORM 990 WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C INTERESTED PERSONS WILL ANNUALLY DISCLOSE OR UPDATE TO THE CHAIRMAN OF THE BOARD OF DIRECTORS ON A FORM PROVIDED BY THE ORGANIZATION THEIR INTERESTS THAT COULD GIVE RISE TO CONFLICTS OF INTEREST, SUCH AS A LIST OF FAMILY MEMBERS, SUBSTANTIAL BUSINESS OR INVESTMENT HOLDINGS AND OTHER TRANSACTIONS OR AFFILIATION WITH BUSINESSES AND OTHER ORGANIZATIONS OR THOSE OF FAMILY MEMBERS. FOR EACH INTEREST DISCLOSED TO THE CHAIRMAN OF THE BOARD OF DIRECTORS, THE CHAIRMAN WILL DETERMINE WHETHER TO: (A) TAKE NO ACTION; (B) ASSURE FULL DISCLOSURE TO THE BOARD OF DIRECTORS AND OTHER INDIVIDUALS COVERED BY THE POLICY; (C) ASK THE PERSON TO RECUSE FROM PARTICIPATION IN RELATED DISCUSSIONS OR DECISION WITHIN THE ORGANIZATION; OR (D) ASK THE PERSON TO RESIGN FROM HIS OR HER POSITION IN THE ORGANIZATION OR, IF THE PERSON REFUSES TO RESIGN, BECOME SUBJECT TO POSSIBLE REMOVAL IN ACCORDANCE WITH THE ORGANIZATION'S REMOVAL PROCEDURES. THE ORGANIZATION'S CHIEF EMPLOYED EXECUTIVE AND CHIEF EMPLOYED FINANCE EXECUTIVE WILL MONITOR PROPOSED OR ONGOING TRANSACTIONS FOR CONFLICTS OF INTEREST AND DISCLOSE THEM TO THE CHAIRMAN OF THE BOARD OF DIRECTORS IN ORDER TO DEAL WITH POTENTIAL OR ACTUAL CONFLICTS, WHETHER DISCOVERED BEFORE OR AFTER THE TRANSACTION HAS OCCURRED. TO DATE NO POTENTIAL CONFLICTS HAVE BEEN IDENTIFIED. FORM 990, PART VI, SECTION B, LINE 15 POLICY HAS BEEN ADOPTED; DURING 2014 THE BOARD DETERMINED THAT IT WAS APPROPRIATE TO PAY THE CHAIR/CEO A SALARY BEGINNING 7/1/2014. AN OUTSIDE CONSULTING FIRM IN 2015 DETERMINED AN APPROPRIATE SALARY RANGE FOR THE POSITION WHICH WAS APPROVED BY THE BOARD. SALARY WAS ACCRUED AS OF 12/31/2014 BUT WAS NOT PAID UNTIL MAY 2015. CONTRACTED CFO AND CONTRACTED CONTROLLER ARE PAID ON AN HOURLY BASIS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: DISCOUNTED GRANTS TO DOMESTIC ORGANIZATIONS 132,896. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. THE ORGANIZATION'S BOARD OF DIRECTORS CONTINUE TO SELECT THE INDEPENDENT ACCOUNTANT. THE COMMITTEE CONTINUES TO MEET WITH THE INDEPENDENT AUDITOR AT THE CONCLUSION OF THE ANNUAL AUDIT.