2015-08-12T15:07:34-05:00 2014-12-31 131655065 LUTZ AND CARR CPAS LLP 300 EAST 42ND STREET NEW YORK NY 10017 990 2014-01-01 582492929 ALLIANCE FOR LUPUS RESEARCH INC ALLI 2122182840 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 DEBRA ROSE CHIEF OPERATING OFFICER 2122182840 2015-08-12 1 LAUREN CRESCI P01268493 2126972299 2014 2016-02-25 16:41:14Z KENNETH M FARBER 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 19658413 0 X LUPUSRESEARCH.ORG X 1999 NY TO SUPPORT RESEARCH TO PREVENT, TREAT AND CURE LUPUS. THE MISSION OF THE ALLIANCE FOR LUPUS RESEARCH (ALR) IS TO SUPPORT BIO-MEDICAL RESEARCH TO PREVENT, TREAT AND CURE LUPUS. 11 11 29 500 0 0 8223868 12504683 0 0 3090321 2171865 294023 29415 11608212 14705963 7710350 8556812 0 0 2072442 2211568 49000 49000 1982872 2253959 2887598 12085751 13704978 -477539 1000985 59870295 64157288 12828688 14643187 47041607 49514101 X THE MISSION OF THE ALLIANCE FOR LUPUS RESEARCH (ALR) IS TO FIND BETTER TREATMENTS AND ULTIMATELY PREVENT AND CURE SYSTEMATIC LUPUS ERYTHEMATOSUS (SLE OR LUPUS), A DEBILITATING AUTOIMMUNE DISEASE THROUGH BIO-MEDICAL RESEARCH. 1 0 9546970 8556812 RESEARCH:THE ALR ENGAGES IN ACTIVE GRANT MAKING MANAGEMENT, WORKING HAND-IN-HAND WITH INVESTIGATORS TO GUIDE AND DRIVE THE RESEARCH PROCESS. (SEE SCHEDULE O).SINCE ITS INCEPTION, THE ALR HAS COMMITTED NEARLY $97 MILLION TO FUND LUPUS RESEARCH PROJECTS. IN 2014, NEW GRANTS TOTALING $8.3 MILLION WERE AWARDED TO 15 INVESTIGATORS WITH PROMISING NEW AVENUES OF RESEARCH UNDER THE TARGET IDENTIFICATION IN LUPUS (TIL) THREE YEAR GRANT MECHANISM.IN 2005, THE ALR LAUNCHED A GLOBAL CONSORTIUM OF LUPUS RESEARCHERS. MEMBERS OF THE INTERNATIONAL SLE GENETICS (SLEGEN) CONSORTIUM POOLED THEIR RESOURCES AND INTELLECTS, DETERMINED TO FIND THE GENES RESPONSIBLE FOR LUPUS. THE PROJECT WAS ORIGINALLY SUPPORTED BY $2.5 MILLION IN FUNDING FROM THE ALR. IN 2010, AN ADDITIONAL $500,000 WAS AWARDED TO THE SLEGEN CONSORTIUM FOR AN IMMUNOCHIP PROCESS GEARED TOWARD UNDERSTANDING THE GENETIC BASIS OF LUPUS IN DIVERSE POPULATIONS AND WORK IS CONTINUING TO BE DONE TO ANALYZE THE CONSORTIUM'S DATA. RESULTS ARE EXPECTED TO BE PUBLISHED IN 2015.ALR'S UNIQUE FUNDING MODEL SUPPORTS PROMISING RESEARCH EFFORTS WITH THE GOAL OF IMPROVING THE LIVES OF PEOPLE WITH LUPUS IN THE NEAR FUTURE. THROUGH A COMPETITIVE PEER-REVIEW PROCESS AND AN INNOVATIVE VENTURE-CAPITALIST APPROACH, PROJECTS BY THE ALR AIM TO TRANSLATE RESULTS FROM THE RESEARCH BENCH TO THE BEDSIDE. BECAUSE THE ALR'S BOARD OF DIRECTORS FUNDS ADMINISTRATIVE AND FUNDRAISING EXPENSES, 100% OF ALL OTHER CONTRIBUTIONS GOES TO SUPPORT THE ALR'S LUPUS RESEARCH PROGRAMS. 1092212 SCIENTIFIC PROGRAMS:THE ALR ENCOURAGES CROSS-SECTOR AND CROSS-DISCIPLINE PARTNERSHIPS TO FOSTER AN INNOVATIVE RESEARCH ENVIRONMENT. IN 2014, THERE WERE COLLABORATIVE MEETINGS FUNDED BY THE ALR WHERE RESEARCHERS WERE ENCOURAGED TO EXCHANGE IDEAS AND HELP THE ALR TARGET NEW RESEARCH OPPORTUNITIES. THIS INCLUDED SCIENTIFIC ADVISORY BOARD MEETINGS, OUT OF WHICH CAME SUPPORT FOR CONTINUING THE ALR'S TARGET IDENTIFICATION IN LUPUS GRANT PROGRAM, CONTINUED SUPPORT FOR THE SLE GENETICS CONSORTIUM AND ENCOURAGING PARTNERSHIPS AMONG INVESTIGATORS, PHARMACEUTICAL AND BIOTECH COMPANIES AND FOR CLINICAL TRIALS. (SEE SCHEDULE O).DRUG REPOSITIONING:THE ALR IS EMBARKING ON A MAJOR NEW CAMPAIGN THAT WILL RADICALLY SHIFT THE THINKING ABOUT HOW EXISTING MEDICINES ARE UTILIZED. THE GOAL IS TO OPEN UP NEW AVENUES OF TREATMENT FOR PEOPLE WITH LUPUS THROUGH AN EFFORT CALLED "DRUG REPOSITIONING" AND ACCELERATE THE PACE OF IDENTIFYING NEWER, SAFER, AND BETTER TREATMENTS FOR LUPUS PATIENTS. ALR HAS EVALUATED ALL OF THE FDA APPROVED MEDICINES FOR 6,800 DISORDERS IN ORDER TO ASCERTAIN WHETHER SOME OF THESE MEDICINES USED TO TREAT OTHER CONDITIONS MIGHT BE EFFECTIVE IN TREATING LUPUS. THERE ARE MANY ADVANTAGES TO OUR DRUG REPURPOSING STRATEGY. THESE ADVANTAGES INCLUDE: SAVING TIME TO DEVELOP NEW THERAPIES, SAVING COSTS ASSOCIATED WITH DEVELOPING NEW MEDICINES, SAFER OUTCOMES BECAUSE ALREADY APPROVED MEDICINES HAVE A WELL-ESTABLISHED SAFETY PROFILE, MINIMIZING THE NUMBER OF TRIALS AND PARTICIPANTS NEEDED TO GET A MEDICINE APPROVED, AND POTENTIALLY, FAR MORE EFFECTIVE TREATMENTS FOR PEOPLE WHO SUFFER WITH LUPUS. AS A RESULT OF OUR INITIAL SCREEN WE HAVE IDENTIFIED APPROXIMATELY 100 DRUGS (AND OTHER TREATMENTS) CURRENTLY BEING USED TO TREAT OTHER CONDITIONS THAT HAVE A GOOD LIKELIHOOD OF BEING EFFECTIVE TREATMENTS FOR LUPUS.ALR'S UNIQUE FUNDING MODEL SUPPORTS PROMISING RESEARCH EFFORTS WITH THE GOAL OF IMPROVING THE LIVES OF PEOPLE WITH LUPUS IN THE NEAR FUTURE. THROUGH A COMPETITIVE PEER-REVIEW PROCESS AND AN INNOVATIVE VENTURE-CAPITALIST APPROACH, PROJECTS BY THE ALR AIM TO TRANSLATE RESULTS FROM THE RESEARCH BENCH TO THE BEDSIDE.THE NEXT PHASE IS TO TRULY ASSESS THE" BEST OF THE BEST" OF THESE ALREADY FDA APPROVED MEDICINES FOR THEIR ABILITY TO TREAT LUPUS. TO DO THAT, ALR WILL RUN "PROOF OF CONCEPT" CLINICAL TRIALS TO EVALUATE WHETHER THESE MEDICINES IMPROVE THE OUTCOME IN PATIENTS WITH LUPUS. WE WILL BE BUILDING ALLIANCES AND PARTNERSHIPS WITH COMPANIES, ORGANIZATIONS, AND INDIVIDUALS WHO ARE WILLING TO ASSIST ALR IN REALIZING THE GREAT POTENTIAL OF THIS PROGRAM. OVER THE NEXT 5 YEARS WE WILL RUN MULTIPLE CLINICAL TRIALS WITH MEDICINES THAT LOOK THE MOST PROMISING. IN 2015 ALONE WE EXPECT TO INITIATE 4 "PROOF OF CONCEPT" CLINICAL TRIALS IN APPROXIMATELY 30-40 TRIAL SITES THROUGHOUT THE UNITED STATES.THE ALR IS IN THE PROCESS OF RECRUITING THE VERY BEST CLINICAL TRIAL SPECIALISTS IN LUPUS TO RUN TRIALS HAND IN HAND WITH THE ALR. OUR CONSORTIUM WILL CONSIST OF APPROXIMATELY 50 - 60 CLINICAL CENTERS WHICH WILL EXECUTE THE TRIALS. UP TO 90% OF THE PEOPLE WITH LUPUS ARE WOMEN AND THE DISORDER IS THREE TIMES MORE PREVALENT IN AFRICAN AMERICAN WOMEN THAN ANY OTHER GROUP. PATIENT RECRUITMENT WILL BE THE MOST CRITICAL ELEMENT IN THE SUCCESS OF THIS PROGRAM. 123897 PUBLIC POLICY (LOBBYING):THE MAIN GOALS OF THE ALR'S PUBLIC POLICY PROGRAM ARE TO EDUCATE MEMBERS OF CONGRESS AND THE ADMINISTRATION ABOUT THE IMPORTANCE OF FUNDING LUPUS RESEARCH, TO INCREASE FEDERAL FUNDING FOR LUPUS RESEARCH BY INCREASING OVERALL NATIONAL INSTITUTES OF HEALTH (NIH) FUNDS, AND TO SECURE ADDITIONAL FUNDING FOR LUPUS RESEARCH THROUGH OTHER KEY FEDERAL AGENCIES INCLUDING THE VETERANS ADMINISTRATION AND DEPARTMENT OF DEFENSE. (SEE SCHEDULE O).THROUGH THE ALR'S PUBLIC POLICY PROGRAM EFFORTS, FUNDING FOR LUPUS RESEARCH HAS BEEN OBTAINED UNDER THE DEPARTMENT OF DEFENSE PEER REVIEWED MEDICAL RESEARCH PROGRAM. THIS IS A $50 MILLION COMPETITIVE RESEARCH GRANT PROGRAM. ONLY THOSE DISEASES LISTED IN THE DEFENSE APPROPRIATIONS COMMITTEE REPORT ARE ELIGIBLE TO RECEIVE FUNDING. ALR WAS RESPONSIBLE FOR PERSUADING CONGRESS TO INCLUDE LUPUS ON THIS VERY COMPETITIVE LIST THE PAST NINE YEARS. THROUGH THE ALR'S CONTINUED EFFORTS TO INCLUDE LUPUS ON THE LIST OF DISEASES UNDER THE PRMRP IN THE DEFENSE APPROPRIATIONS BILLS, THE DOD HAS AWARDED OVER $14 MILLION TO LUPUS RESEARCHERS SINCE 2004.IN 2014, THE ALR PARTNERED WITH THE LUPUS RESEARCH INSTITUTE TO SUPPORT THE ACCELERATING MEDICINES PARTNERSHIP (AMP) RECENTLY LAUNCHED BY THE NATIONAL INSTITUTES OF HEALTH (NIH) TO ACCELERATE UNDERSTANDING OF AUTOIMMUNE DISEASES LUPUS AND RHEUMATOID ARTHRITIS (RA). THE NIH HAS AWARDED $6 MILLION IN GRANTS TO 11 RESEARCH GROUPS NATIONWIDE TO ESTABLISH THE ACCELERATING MEDICINES PARTNERSHIP IN RHEUMATOID ARTHRITIS AND LUPUS (AMP RA/LUPUS) NETWORK. OVER THE NEXT FIVE YEARS, THE AMP RA/LUPUS NETWORK WILL ANALYZE TISSUES AND BLOOD SAMPLES FROM PATIENTS WITH LUPUS OR RA TO GENERATE A COMPREHENSIVE UNDERSTANDING OF BOTH DISEASES AND UNCOVER NEW TARGETS FOR DRUG DEVELOPMENT. VALUABLE INSIGHTS INTO THE MECHANISMS OF AUTOIMMUNE DISEASE ARE ALSO ANTICIPATED. 10763079 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 0 0 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 39 0 1 29 1 0 0 0 0 0 1 1 0 0 0 0 X 11 11 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CT FL GA IL KS KY ME MD MA MI MN NH NJ NM NC ND OH OK OR PA RI SC TN VA WA WV WI CO HI MS MO NY X X X DEBRA ROSE 2122182840 28 WEST 44TH STREET SUITE 501 NEW YORK NY 10036 ROBERT WOOD JOHNSON IV CHAIRMAN OF THE BOARD 1.00 X X 0 0 0 JOSEPH MAURIELLO TREASURER 1.00 X X 0 0 0 IRA AKSELRAD SECRETARY 1.00 X X 0 0 0 NEIL J BURMEISTER DIRECTOR 1.00 X 0 0 0 ALISON HARMELIN DIRECTOR 1.00 X 0 0 0 DANIEL LAVECCHIA DIRECTOR 1.00 X 0 0 0 MICHELLE Y LEE DIRECTOR 1.00 X 0 0 0 WILLIAM J MULVIHILL DIRECTOR 1.00 X 0 0 0 ROBERT W PITTMAN DIRECTOR 1.00 X 0 0 0 KEITH C WOLD DIRECTOR 1.00 X 0 0 0 WILLIAM WOLFE DIRECTOR 1.00 X 0 0 0 KENNETH M FARBER PRESIDENT 30.00 X 330000 0 0 DEBRA ROSE CHIEF OPERATING OFFICER 40.00 X 137448 0 38767 ROBERT D HINNEN NAT'L BUS. 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DIRECTOR 40.00 X 122044 0 21319 589492 0 60086 3 0 1 0 AMPEL BIOSOLUTIONS LLC 1001 RESEARCH PARK BLVD SUITE 301 CHARLOTTESVILLE VA 22911 SCIENTIFIC CONSULTANT 385800 KIM KAISER & ASSOCIATES LLC 178 FLAX HILL ROAD NORWALK CT 06854 PHARMA CONSULTANT 183225 2 4297135 8207548 1325340 12504683 1681472 1681472 59590 -59590 -59590 -59590 5160885 4670492 490393 490393 490393 222026 4297135 222026 0 1017 342 675 675 SUBLET INCOME 532000 81648 81648 RETURN OF GRANTS & ADJUSTMENTS 900099 6682 6682 88330 14705963 0 0 2201280 8556110 8556110 702 702 507639 251056 127701 128882 1271473 454526 206386 610561 97544 34822 15394 47328 220999 78946 35353 106700 113913 41201 22867 49845 20265 20265 44827 44827 49000 49000 52355 52355 702064 504700 77138 120226 49147 6366 34452 8329 232152 118660 54837 58655 453437 164005 91022 198410 311186 115640 48476 147070 400516 340015 24535 35966 32659 11813 6555 14291 27659 10003 5553 12103 PRINTING & PUBLICATIONS 193758 32411 48674 112673 WALKATHON PROMOTIONAL E 156876 156876 POSTAGE, SHIPPING & DEL 86347 8913 10528 66906 DATA PROCESSING & CREDI 58873 14718 10188 33967 65477 18472 21921 25084 13704978 10763079 959027 1982872 X 196095 39219 0 156876 2315005 3119854 4714220 4471205 741831 1332793 163703 39642 1946532 291446 1677620 1655086 50164508 53444000 93408 94708 59870295 64157288 227825 444248 12588188 14186264 12675 12675 12828688 14643187 X 47021607 47138860 20000 2375241 47041607 49514101 59870295 64157288 1000985 1471509 0 X 0 1 X 1 0 X 6357332 9496235 8871788 8223868 12504683 45453906 6357332 9496235 8871788 8223868 12504683 45453906 18830426 26623480 1694497 1629738 1474151 1942593 1763120 8504099 445 386 359 389 675 2254 53960259 0.49340 0.43910 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 123897 123897 13581081 13704978 835249 208812 0 0 724787 796602 754288 835249 3110926 4666389 106989 112653 111717 123897 455256 181197 199151 188572 208812 777732 1166598 46953037 3340405 2193188 48100254 31218383 10000000 8816260 3081606 46953037 18416644 10000000 4761791 1960052 31218383 8416644 10000000 1899035 -1899035 18416644 10000000 -278316 -1305040 8416644 1.00000 0 0 1600000 1600000 42129 31974 10155 304403 259472 44931 1655086 SECURITY DEPOSIT PAYABLE 12675 12675 X 16118435 1471509 1471509 14646926 52355 6682 59037 14705963 13645941 0 13645941 52355 6682 59037 13704978 PART V, LINE 4: BOARD DESIGNATED (QUASI) ENDOWMENT FUND INCOME TO BE USED FOR RESEARCH PROGRAM GRANTS. PRINCIPAL TO REMAIN INTACT UNLESS HIGH PRIORITY LUPUS RESEARCH PROJECTS NEED TO BE FUNDED THAT COULD NOT BE FUNDED OTHERWISE. PART X, LINE 2: MANAGEMENT EVALUATED ALL INCOME TAX POSITIONS, INCLUDING THE POSITION THAT THE ORGANIZATION IS EXEMPT FROM INCOME TAXES OR NOT SUBJECT TO INCOME TAXES ON UNRELATED BUSINESS INCOME, AND CONCLUDED THAT NO DISCLOSURES RELATING TO UNCERTAIN TAX POSITIONS WERE REQUIRED IN THE FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: RETURN OF GRANT PART XII, LINE 4B - OTHER ADJUSTMENTS: RETURN OF GRANT PART XI, LINE 4B AND PART XII, LINE 4B UNUSED PORTIONS OF GRANTS RETURNED TO ALR THAT WERE PAID IN PREVIOUS YEARS IN THE AMOUNT OF $6,682 THESE AMOUNTS ARE RECONCILING ITEMS BETWEEN THE REVENUE AND EXPENSES FROM THE AUDITED FINANCIAL STATEMENTS AND THOSE REPORTED ON FORM 990. SCHEDULE D PART VI, LINE 1A - LAND HELD FOR RESALE IN DECEMBER 2006, THE ORGANIZATION RECEIVED A DONATION OF LAND AND BUILDING CURRENTLY VALUED AT $1,600,000 WHICH IS BEING HELD FOR RESALE. X X X X X 1 DS CONSULTING GROUP 111 W 57TH STREET STE 419 NEW YORK NY 10019 SPECIAL EVENT CONSULTANT 1 1404200 49000 1404299 1404200 49000 1404299 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX VT VA WA WV WI WY GALA CELEBRATION 1894718 1700760 193958 165897 WALK-A-THONS 2323909 2295841 28068 28068 1 300534 300534 28061 4519161 4297135 222026 222026 222026 0 SCHEDULE G, PART I, LINE 2B, COLUMN (V) DS CONSULTING PLANNED AND MANAGED ALR'S GALA EVENT. CONTRACT AMOUNT FOR THE PERIOD COVERING 1/1/14 - 12/31/14 WAS $49,000 PLUS REIMBURSABLE EXPENSES. 1 AMPEL LLC 1545 LONDON ROAD CHARLOTTESVILLE VA 22901 463230076 28175 BOOK LUPUS RESEARCH UNIVERSITY OF MICHIGAN 1150 WEST MEDICAL CENTER DRIVE ANN ARBOR MI 48109 386006039 501(C)(3) 200000 BOOK LUPUS RESEARCH FOUNDATION FOR THE NATIONAL INSTITUTES OF HEALTH INC 9650 ROCKVILLE PIKE BETHESDA MD 20814 521986675 501(C)(3) 50000 BOOK LUPUS RESEARCH CHILDREN'S HOSPITAL BOSTON 300 LONGWOOD AVENUE BOSTON MA 02115 042774441 501(C)(3) 546485 BOOK LUPUS RESEARCH YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 06520 060646973 501(C)(3) 1094614 BOOK LUPUS RESEARCH UNIVERSITY OF SOUTHERN CALIFORNIA ZONAL AVEHMR 705 LOS ANGELES CA 90089 951642394 501(C)(3) 564250 BOOK LUPUS RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 540701 BOOK LUPUS RESEARCH UNIVERSITY OF LOUISVILLE RESEARCH FOUNDATION INC 505 SOUTH HANCOCK ST ROOM 602A LOUISVILLE KY 40202 611029626 501(C)(3) 544188 BOOK LUPUS RESEARCH UNIVERSITY OF CALIFORNIA LOS ANGELES 1125 MURPHY HALL 405 HILGARD AVE LOS ANGELES CA 90095 956006143 501(C)(3) 538243 BOOK LUPUS RESEARCH BRIGHAM AND WOMEN'S HOSPITAL INC 4 BLACK FAN CIRCLE BOSTON MA 02115 042312909 501(C)(3) 542909 BOOK LUPUS RESEARCH UNIVERSITY OF CALIFORNIA SAN FRANCISCO 2200 UNIVERSITY HALL BERKELEY CA 94720 946036493 501(C)(3) 542653 BOOK LUPUS RESEARCH CEDARS-SINAI MEDICAL CENTER 8700 BEVERLY BLVD NORTH TOWER LEVEL ROOM 2114 LOS ANGELES CA 90048 951644600 501(C)(3) 363371 BOOK LUPUS RESEARCH UNIVERSITY OF WASHINGTON 1959 NE PACIFIC STREET SEATTLE WA 98195 916001537 501(C)(3) 533719 BOOK LUPUS RESEARCH STANFORD UNIVERSITY 269 CAMPUS DRIVE CCSR BUILDING ROOM 2215A STANFORD CA 94305 941156365 501(C)(3) 533104 BOOK LUPUS RESEARCH UNIVERSITY OF VIRGINIA 914 EMMET ST BOX 400127 CHARLOTTESVILLE VA 22903 546001796 501(C)(3) 569752 BOOK LUPUS RESEARCH THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL LOCK BOX 402420 6000 FELDWOOD ROAD COLLEGE PARK GA 30349 566001393 501(C)(3) 79839 BOOK LUPUS RESEARCH THE OHIO STATE UNIVERSITY 333 WEST TENTH AVENUE COLUMBUS OH 43210 316025986 SEC 115 UNIT OF OH 550343 BOOK LUPUS RESEARCH UT SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BOULEVARD DALLAS TX 75390 746000203 TX STATE GOVERNMENT 570732 BOOK LUPUS RESEARCH DUKE UNIVERSITY MEDICAL CENTER 508 FULTON STREET DURHAM NC 27705 560532129 501(C)(3) 12815 BOOK LUPUS RESEARCH JOAN AND SANFORD I WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 525 LEXINGTON AVENUE 9TH FLOOR NEW YORK NY 10025 131623978 501(C)(3) 8176 BOOK LUPUS RESEARCH TEMPLE UNIVERSITY 3322 NORTH BORAD STREET MOB205 PHILADELPHIA PA 19140 231965971 501(C)(3) 13865 BOOK LUPUS RESEARCH THE CHILDREN'S HOSPITAL OF PHILADELPHIA 3615 CIVIC CENTER BOULEVARD PHILADELPHIA PA 19104 231352166 501(C)(3) 14375 BOOK LUPUS RESEARCH THE FEINSTEIN INSTITURE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 8567 BOOK LUPUS RESEARCH THE HOSPITAL FOR SPECIAL SURGERY 535 EAST 70TH STREET NEW YORK NY 10021 131624135 501(C)(3) 13806 BOOK LUPUS RESEARCH THE REGENTS OF THE UNIVERISTY OF CALIFORNIA SAN DIEGO 374 PARNASSUS AVENUE 1ST FLOOR SAN FRANCISCO CA 94143 956006144 501(C)(3) 8418 BOOK LUPUS RESEARCH UNIVERSITY OF COLORADO DENVER AMC AND DC BUILDING 500 13001 EAST 17TH PLACE W1126 AURORA CO 80045 846000555 501(C)(3) 8288 BOOK LUPUS RESEARCH UNIVERSITY OF FLORIDA 207 TIGERT HALL GAINESVILLE FL 32611 596000205 FLORIDA STATE GOVERN 31117 BOOK LUPUS RESEARCH UNIVERSITY OF HOUSTON 5000 GULF FREEWAY HOUSTON TX 77204 646001399 TX STATE GOVERNMENT 7711 BOOK LUPUS RESEARCH UNIVERSITY OF MINNESOTA TWIN CITIES 2000 OAK STREET SE MINNEAPOLIS MN 55455 416007513 MN STATE GOVERNMENT 13671 BOOK LUPUS RESEARCH UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER 7703 FLOYD CURL DRIVE SAN ANTONIO TX 78229 746000203 TX STATE GOVERNMENT 13921 BOOK LUPUS RESERACH WAKE FOREST UNIVERSITY HEALTH SCIENCES 1920 WEST 1ST STREET WINSTON SALEM NC 27104 223849199 501(C)(3) 8302 BOOK LUPUS RESEARCH 24 7 PART I, LINE 2: BEFORE A GRANT IS AWARDED THE INSTITUTION MUST AGREE TO THE ALR'S CONDITIONS OF APPOINTMENT THAT INCLUDE: CONFIRMATION BY THE PRINCIPAL INVESTIGATOR (PI) AND THE INSTITUTION THAT FUNDS WILL ONLY BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE TO GET APPROVAL FROM THE ALR IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO GET APPROVAL FROM THE ALR IF ADDITIONAL TIME IS NEEDED TO COMPLETE THE PROJECT WORK AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (1) TIL RESEARCH 2 OR 3 YEAR GRANTS: (A) 8 OR 12 QUARTERLY PAYMENTS OVER THE COURSE OF THE GRANT PERIOD (B) ANNUAL PROGRESS REPORTS (C) ANNUAL BUDGET RECONCILIATION IS REQUIRED THE PI MUST SUBMIT THE FOLLOWING: A SIGNED LETTER OF ACCEPTANCE CONFIRMING THE FOLLOWING: A. PI'S WILLINGNESS TO ADHERE TO THE TERMS OF THE BUDGET AS OUTLINED ABOVE. B. PI'S WILLINGNESS TO COMPLY WITH ALL OF THE CONDITIONS OUTLINED IN THE ALR'S CONDITIONS OF APPOINTMENT AND PATENT AND INTELLECTUAL PROPERTY POLICY. C. THERE IS NO OVERLAPPING SOURCE OF SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THIS GRANT. OTHER FUNDING THAT MIGHT BE CONSTRUED AS OVERLAPPING, MUST BE EXPLAINED IN DETAIL. D. THE FOLLOWING STATEMENT SHOULD APPEAR AT THE CONCLUSION OF THE LETTER OF ACCEPTANCE, "I AGREE TO ACCEPT RESPONSIBILITY FOR THE SCIENTIFIC AND TECHNICAL CONDUCT OF THE RESEARCH PROJECT AND FOR THE PROVISION OF ALL PROGRESS REPORTS REQUIRED FROM INVESTIGATORS FUNDED BY A TARGET IDENTIFICATION IN LUPUS GRANT FROM THE ALLIANCE FOR LUPUS RESEARCH." - IF AN EXTENSION IS AWARDED ADDITIONAL INTERIM PROGRESS REPORTS AND BUDGET RECONCILIATIONS ARE REQUIRED TO BE SUBMITTED. - AT THE END OF THE GRANT A FINAL PROGRESS REPORT AND BUDGET RECONCILIATION IS REQUIRED TO BE SUBMITTED, UNSPENT AMOUNTS ARE TO BE RETURNED TO THE ALR. ALL INSTITUTIONS RECEIVE A PAYMENT AND DELIVERABLE SCHEDULE AND THE PROJECT IS MONITORED BY: - PERIODIC PROGRESS REPORTS - PERIODIC BUDGET RECONCILIATIONS - ALL PUBLICATIONS RELATED TO THE GRANT ARE TO BE SUBMITTED TO THE ALR X X X X 0 0 0 0 0 0 0 0 0 KENNETH M FARBER PRESIDENT 330000 0 0 0 0 0 0 0 0 0 330000 0 0 0 DEBRA ROSE CHIEF OPERATING OFFICER 130788 0 6660 0 0 0 11988 0 26779 0 176215 0 0 0 X 10 1325340 AVG STOCK VALUE 0 1 1 FORM 990, PART III, LINE 2 SEE DESCRIPTION FOR "DRUG REPOSITIONING" ON 990 PART III, LINE 4B. FORM 990, PART VI, SECTION A, LINE 2 1. NEIL J. BURMEISTER, IRA AKSELRAD (SECRETARY OF THE BOARD) AND ROBERT WOOD JOHNSON, IV'S, (CHAIRMAN OF THE BOARD), HAVE A BUSINESS RELATIONSHIP. 2. ROBERT WOOD JOHNSON IV (CHAIR) AND ROBERT PITTMAN (DIRECTOR) HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 AFTER PREPARATION OF FORM 990 BY ALR'S AUDITOR, LUTZ AND CARR, THE 990 IS REVIEWED BY THE ALR'S SENIOR OFFICERS, THE CHIEF OPERATING OFFICER AND THE PRESIDENT. THE FINANCE AND AUDIT COMMITTEE OF THE BOARD THEN MEETS TO REVIEW THE 990 BEFORE FILING AND APPROVES FOR FILING WITH ANY NOTED CHANGES. A DRAFT OF THE 990 IS THEN SENT OUT TO THE FULL BOARD FOR COMMENT PRIOR TO FILING WITH THE IRS. THE FINAL FORM 990 IS PRESENTED TO THE FULL BOARD AT THE SEPTEMBER MEETING. FORM 990, PART VI, SECTION B, LINE 12C THE GOVERNANCE COMMITTEE OF THE BOARD IS RESPONSIBLE FOR MONITORING CONFLICTS OF INTEREST. AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM IS REQUIRED TO BE FILLED OUT EACH YEAR BY BOARD MEMBERS, OFFICERS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS ASSISTED THE BOARD IN FULFILLING ITS OVERSIGHT RESPONSIBILITIES RELATING TO THE COMPENSATION AND BENEFITS OF THE PRESIDENT AND OTHER EXECUTIVE OFFICERS; AND PROVIDED RECOMMENDATIONS REGARDING MANAGEMENT SUCCESSORS. ANNUALLY THE COMMITTEE REVIEWS AND RECOMMENDS TO THE BOARD THE SALARY FOR THE PRESIDENT AND OTHER OFFICERS/KEY EMPLOYEES. IN 2014, THE COMMITTEE REVIEWED AND APPROVED BASE SALARIES AND ANNUAL MERIT ADJUSTMENTS FOR ALL STAFF WITH SPECIAL ATTENTION TO THE CHIEF OPERATING OFFICER AND PRESIDENT. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST AND ON GUIDESTAR.ORG FORM 990, PART V, QUESTION 2A THE ALR CONTRACTS WITH AMBROSE EMPLOYER GROUP, LLC, A PROFESSIONAL EMPLOYER ORGANIZATION (PEO), TO PROVIDE PAYROLL AND BENEFITS AS A CO-EMPLOYER WITH THE ALR. ALR PAYROLL AND BENEFITS ARE ADMINISTERED BY AMBROSE GROUP AS APPROVED BY ALR OFFICERS. ALR PAYROLL IS THEREFORE UNDER THE AMBROSE GROUP EIN: 13-3867443 AND W-2'S ARE PREPARED UNDER THAT EIN BY AMBROSE.