2015-09-25T11:33:35-05:00 2015-06-30 420714325 MCGLADREY LLP 8040 EXCELSIOR DR STE 300 MADISON WI 53717 990 2014-07-01 390833612 WISCONSIN ALUMNI RESEARCH FOUNDATION WISC 6082632825 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 STEVEN MIXTACKI CFO/COO 6082632825 2015-09-25 1 JAMES G GRAHAM P00006111 6088333361 2014 2016-02-25 16:41:14Z STEVEN MIXTACKI 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 306191101 0 X WWW.WARF.ORG X 1925 WI TO PROVIDE THE MARGIN OF EXCELLENCE THE UNIVERSITY OF WISCONSIN - MADISON NEEDS TO FULFILL ITS ROLE AS A TWENTY-FIRST CENTURY LEADER IN RESEARCH, DISCOVERY AND INNOVATION.WE PROMOTE, ENCOURAGE, AND AID SCIENTIFIC INVESTIGATION AND RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH BY:-HELPING TO COMMERCIALIZE THE TECHNOLOGY ARISING FROM THAT RESEARCH FOR THE BENEFIT OF HUMANKIND-INVESTING THE PROCEEDS OF THE COMMERCIALIZATION EFFORTS AND USE THE ADDED VALUE FROM OUR INVESTMENTS TO PROMOTE, ENCOURAGE, AND AID FURTHER SCIENTIFIC INVESTIGATION AND RESEARCH AT AND WITHIN THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH. 16 15 123 370 95563 0 568735 357737 40515144 38069760 294178463 261839172 6702716 5924432 341965058 306191101 89180572 80735409 0 0 14215876 15528974 0 0 0 46454291 66386109 149850739 162650492 192114319 143540609 3224253090 3204149420 747367198 704836893 2476885892 2499312527 X SEE PART I, LINE 1 0 0 120363996 59962884 39518416 1) DIRECT FISCAL 2014-2015 GRANTS OF $59,962,884 WERE MADE TO THE UNIVERSITY OF WISCONSIN - MADISON. THE GRANTS PROVIDED THE UNIVERSITY THE FLEXIBILITY TO CREATE COMPETITIVE PACKAGES TO RECRUIT OR RETAIN 127 PROFESSORS AND HELP FUND PROGRAMS TO RECRUIT AND RETAIN TOP QUALITY GRADUATE STUDENTS. THROUGH THE FALL RESEARCH COMPETITION, THE FOUNDATION FUNDED 290 AWARDS AIMED AT SUPPORTING JUNIOR FACULTY AS THEY BUILD THEIR RESEARCH PROGRAMS. THE FOUNDATION ALSO MATCHED 75 GRANTS, WHICH ALLOWED THE UNIVERSITY TO APPLY FOR AND ACCEPT EXTERNAL RESEARCH SUPPORT REQUIRED A MATCH FROM THE INSTITUTION. THE DIRECT GRANTS ALSO SUPPORTED 8 NAMED PROFESSORSHIPS, 8 NEW KELLETT MID-CAREER FELLOWSHIPS AND 8 NEW ROMNES FACULTY FELLOWSHIPS. IN ADDITION, 131 WARF GRADUATE FELLOWSHIPS WERE WHOLLY OR PARTIALLY FUNDED BY THE FOUNDATION. THROUGH THE ENDOWMENT FOR EXCELLENCE, THE FOUNDATION FUNDED 45 INTERDISCIPLINARY FACULTY MEMBERS IN THE FOLLOWING AREAS; AGRONOMY, ANATOMY, ASTRONOMY, BACTERIOLOGY, BIOMEDICAL ENGINEERING, BIOCHEMISTRY, BIOMOLECULAR CHEMISTRY, BOTANY/STATISTICS, CHEMISTRY, COMPARATIVE BIOSCIENCES, COMPUTER SCIENCE, COMMUNICATIVE DISORDERS, ENTOMOLOGY, ELECTRICAL & COMPUTER ENGINEERING, ENGINEERING PHYSICS, GENERA AND WOMEN'S STUDIES, GENETICS, MATERIAL SCIENCE AND ENGINEERING, MATH/ECE, MATHEMATICS, MATERIAL SCIENCE, MECHANICAL ENGINEERING, MED MICRO & IMMUNOLOGY, PHARMACY, PHARMACOLOGY, PHYSICS, PLANT PATHOLOGY, PSYCHOLOGY, PHYSIOLOGY, RADIOLOGY, AND URBAN & REGIONAL PLANNING.THE PATENT AND LICENSING FUNCTION PRODUCED THE FOLLOWING RESULTS DURING THE YEAR: THE UNIVERSITY OF MADISON DISCLOSED 386 INVENTIONS TO THE WISCONSIN ALUMNI RESEARCH FOUNDATION. THE FOUNDATION FILED 248 U.S. PATENT APPLICATIONS AND 215 FOREIGN PATENT APPLICATIONS ON BEHALF OF THE UNIVERSITY OF WISCONSIN. DURING THE 2014-2015 FISCAL YEAR 160 U.S. PATENTS AND 161 FOREIGN PATENTS WERE GRANTED TO THE FOUNDATION BY THE RESPECTIVE PATENT OFFICES.UNDER FEDERAL LAW (I.E. THE BAYH DOLE ACT) UNIVERSITIES OR THEIR 501(C)(3) PATENT MANAGEMENT ORGANIZATIONS HAVE THE RIGHT TO TAKE TITLE TO INVENTIONS MADE IN THE COURSE OF UNIVERSITY RESEARCH FUNDED IN WHOLE OR IN PART BY AN AGENCY OF THE FEDERAL GOVERNMENT. THE UNIVERSITY OF WISCONSIN - MADISON HAS DELEGATED THIS RIGHT TO WARF. WARF IS THE DESIGNATED PATENT MANAGEMENT ORGANIZATION FOR THE UNIVERSITY OF WISCONSIN- MADISON AND IN THAT ROLE WARF EXERCISES THE UNIVERSITY'S RIGHTS AND OBLIGATIONS UNDER THE BAYH DOLE ACT. DURING THE 2014-2015 FISCAL YEAR, 70 NEW COMMERCIAL LICENSES OR OPTIONS AND 1 EQUITY AGREEMENT WERE CLOSED. 20772525 20772525 4380213 MORGRIDGE INSTITUTE FOR RESEARCH, INC. WAS ESTABLISHED ON NOVEMBER 24, 2006 TO SUPPORT MEDICAL RESEARCH AND EDUCATION AT THE UNIVERSITY OF WISCONSIN-MADISON IN CONJUNCTION WITH THE UNIVERSITY OF WISCONSIN HOSPITALS AND CLINICS AUTHORITY. THE PRIMARY PURPOSES FOR MORGRIDGE ARE TO SOLVE MAJOR CHALLENGES TO HUMAN HEALTH BY SERVING AS AN INTERDISCIPLINARY RESEARCH CENTER AND A COLLABORATIVE HUB THAT ENABLES INVESTIGATORS TO ADDRESS AND ANSWER FUNDAMENTAL BIOMEDICAL QUESTIONS.DURING FISCAL 2014-2015, THE MORGRIDGE INSTITUTE FOR RESEARCH MAINTAINED THE FOLLOWING PROGRAMS:CORE COMPUTATIONAL TECHNOLOGY: -DEVELOP A CYBER-INFRASTRUCTURE THAT PROVIDES HIGH THROUGHPUT COMPUTING AND FOSTERS COLLABORATIVE WORK WITH GLOBAL PARTNERS-DEVELOP SOFTWARE ASSURANCE MARKETPLACE THAT AIDS OPEN SOURCE SOFTWARE DEVELOPERS AND SOFTWARE ASSURANCE TOOLS THAT DEVELOPERS CAN CREATE A MORE SECURE CYBER INFRASTRUCTURE BY OFFERING THE CAPACITY NEEDED TO CONTINUOUSLY TEST AND "REBUILD" THE CODE UNDERLYING CRITICAL INFRASTRUCTURE APPLICATIONS.REGENERATIVE BIOLOGY:- TO UNDERSTAND AND IDENTIFY THE GENOMICS OF THE HUMAN EMBRYONIC STEM CELL- TO CREATE PHYSIOLOGICALLY STABLE, SAFE, AND FUNCTIONAL CELLS TO REPAIR OR REPLACE DISEASED CELLS IN HUMANSMEDICAL ENGINEERING:- DEVELOP AN UNDERSTANDING OF MEDICAL PROBLEMS THAT CAN POTENTIALLY BE HELPED WITH MEDICAL DEVICES- INVENT, DESIGN, BUILD, ENHANCE, AND TEST MEDICAL DEVICES- MAKE THE TRANSLATION OF MEDICAL DEVICES TO THE CLINIC MORE EFFICIENT, EFFECTIVE, AND SAFEVIROLOGY:- ADVANCE PRACTICAL UNDERSTANDING, PREVENTION, AND TREATMENT OF VIRUSES AND THEIR DISEASES- ENHANCE UNDERSTANDING OF THE BIOLOGY OF HEALTHY CELLS AND TISSUES- DEVELOP NEW TOOLS DERIVED FROM VIRUSES FOR USE IN BIOTECHNOLOGY, NANOTECHNOLOGY, AND MEDICINE OUTREACH EXPERIENCES:- MAKE THE SCIENCE TAKING PLACE AT THE MORGRIDGE INSTITUTE ACCESSIBLE, EXCITING AND RELEVANT TO STUDENTS OF ALL AGES AND ALL WALKS OF LIFE- ASSIST THE MORGRIDGE EDUCATION RESEARCH CHALLENGE AREA IN DEVELOPING CONTENT FOR ITS DIGITAL LEARNING PLATFORMS- CREATE MATERIAL AND HANDS-ON INTERFACES RELATED TO MORGRIDGE RESEARCH FOR THE INFORMAL LEARNING ENVIRONMENT IN THE TOWN CENTER AT THE WISCONSIN INSTITUTES FOR DISCOVERY 0 0 WICELL RESEARCH INSTITUTE, INC.'S PRIMARY PURPOSE IS TO SUPPORT HUMAN EMBRYONIC STEM CELL RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON; PROVIDE SCIENTIFIC RESEARCH AND INVESTIGATION INTO THE CULTURE, DEVELOPMENT AND DIFFERENTIATION OF HUMAN AND ANIMAL EMBRYONIC STEM CELLS; DISTRIBUTE CELLS; TEACH SCIENTISTS HOW TO SUCCESSFULLY CULTURE THE CELLS; EDUCATE THE GENERAL PUBLIC ABOUT THE SCIENCE; LICENSE THE TECHNOLOGY TO OTHER QUALIFIED RESEARCH ORGANIZATIONS TO PROMOTE ADDITIONAL SCIENTIFIC RESEARCH IN THIS AREA. WICELL DISTRIBUTES HUMAN AND ANIMAL EMBRYONIC STEM CELLS AND LICENSES THE RELATED TECHNOLOGY ONLY TO QUALIFIED RESEARCH ORGANIZATIONS WHICH COMMIT TO CARRY ON SUCH RESEARCH IN AN ETHICAL MANNER.THE SCIENTIFIC RESEARCH CARRIED OUT BY WICELL AND OTHERS WHO ACQUIRE CELLS AND THE RIGHT TO USE THE RELATED TECHNOLOGY HAVE AS THEIR OBJECTIVE THE EVENTUAL, USE OF CELLS TO TREAT OR PREVENT DISEASE AND TO ENABLE DEFECTIVE OR INJURED BODY PARTS OR SYSTEMS TO BE REPAIRED OR REPLACED, AS WELL AS TO UNDERSTAND EARLY HUMAN DEVELOPMENT.DURING FISCAL YEAR 2014-2015 WICELL DISTRIBUTED 299 HUMAN CELL LINES TO COMMERCIAL AND ACADEMIC RESEARCH LABORATORIES BRINGING THE TOTAL CELL LINES DISTRIBUTED TO DATE TO 3,381.WICELL OPERATES ITS RESEARCH FACILITIES WITH 16 SCIENTISTS AND RESEARCH TECHNICIANS. 141136521 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 815 0 1 123 1 1 1 0 0 0 0 0 0 0 0 0 X 16 15 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 WI CA X X STEVEN MIXTACKI 6082611954 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 JOHN P MORGRIDGE TRUSTEE 2.00 2.00 X 0 0 0 DORIS MEISSNER TRUSTEE 2.00 X 15000 0 0 THOMAS F PYLE TRUSTEE/TREASURER 3.00 4.00 X X 20000 16000 0 CAROL N SKORNICKA TRUSTEE 2.00 2.00 X 15000 20000 0 JOAN E SPERO TRUSTEE 2.00 X 20000 0 0 JEFFREY C SPRECHER TRUSTEE 2.00 X 5000 0 0 GORDON F BRUNNER TRUSTEE 2.00 1.00 X 10262 500 0 CARL E GULBRANDSEN TRUSTEE/MANAGING DIRECTOR 34.00 6.00 X X 684805 20000 74484 PATRICIA LIPTON TRUSTEE/SECRETARY 3.00 2.00 X X 20000 20000 0 KEITH R LOBO TRUSTEE 2.00 X 22000 0 0 PETER P TONG TRUSTEE/CHAIR 5.00 X X 16750 0 0 NORMAN BOBINS TRUSTEE 2.00 X 10000 0 0 JOHN ROWE TRUSTEE 2.00 3.00 X 20000 15000 0 REBECCA BLANK TRUSTEE 2.00 X 10000 0 0 JAMES BERBEE VICE CHAIR/TRUSTEE 3.00 3.00 X X 15000 10000 0 SARGENT WINSLOW TRUSTEE 2.00 X 0 0 0 LEIGH CAGAN CHIEF TECHNOLOGY COMMERCIALIZATION OFFICER 40.00 X 337434 0 159934 STEVE MIXTACKI CHIEF FINANCIAL OFFICER/COO 39.00 1.00 X 358703 0 137324 MICHAEL FALK GENERAL COUNSEL/CHIEF OF S 39.00 1.00 X 343576 0 117062 CARRIE THOME DIRECTOR OF INVESTMENTS 40.00 X 882464 0 121644 ALAIN HUNG ASSOC DIR OF INVESTMENTS 40.00 X 543078 0 125202 STEPHANIE ADAMANY ASSOC GENERAL COUNSEL 39.00 1.00 X 216079 0 79834 LAURA HEISLER DIRECTOR OF PROGRAMMING 40.00 X 180130 0 91933 CRAIG HEIM ASSISTANT PORTFOLIO MANAGE 40.00 X 216341 0 74088 RYAN ABRAMS ASSISTANT PORTFOLIO MANAGE 40.00 X 210960 0 38224 4172582 101500 1019729 30 0 1 0 IRELL & MANELLA LLP 1800 AVENUE OF THE STARS SUITE 900 LOS ANGELES CA 90067 LEGAL SERVICES 3147962 QUARLES & BRADY LLP 33 E MAIN ST SUITE 900 MADISON WI 53703 LEGAL SERVICES 2151216 CPA GLOBAL LTD LIBERATION HOUSE CASTLE STREET ST HELIER CHANNEL ISLANDS JE JE1 1BL PATENT LEGAL/ANNUITY SERVICE 1595553 PERKINS COIE 1201 THIRD AVENUE 40TH FLOOR SEATTLE WA 98101 LEGAL SERVICES 1035867 UNITED STATES PATENT AND TRADEMARK OFFIC PO BOX 1450 ALEXANDRIA VA 22313 PATENT SERVICES 820000 22 357737 19797 357737 ROYALTIES 900099 35140360 35140360 LICENSING 900099 2929400 2929400 38069760 28355636 28355636 2523696 0 2523696 2523696 2523696 233478536 5000 0 0 233478536 5000 233483536 233483536 MIR BLDG COSTS REIMBURSEMENT 900099 1576509 1576509 WARF PATENT REVENUE 900099 1426330 1426330 MIR ADMIN REIMBURSEMENT 900099 280008 280008 117889 22326 95563 3400736 306191101 43898629 95563 261839172 80735409 80735409 5689480 1717927 3971553 6688204 4279921 2408283 1600894 1076709 524185 1124257 744145 380112 426139 292126 134013 36555 36555 18268168 18268168 135700 135700 240445 240445 11476334 11476334 472550 388709 83841 97080 48159 48921 247655 110104 137551 685179 138846 546333 7711234 7711234 2491269 2103181 388088 182441 101543 80898 117395 77572 39823 6496910 6446216 50694 5820663 5733756 86907 401482 194913 206569 DOMESTIC LEGAL/PATENTS 4078345 4078345 TECH COMMERCIAL ACCEL 2020581 2020581 FOREIGN LEGAL/PATENTS 2010558 2010558 FOREIGN PATENT MTC FEES 1774959 1774959 1620606 1083440 537166 162650492 141136521 21513971 0 11701583 19579115 7328897 4778117 243341 398790 760672 323054 182944008 29542660 159193774 153401348 258195554 242560218 2642430450 2671440452 35293138 42045044 109105681 69623282 3224253090 3204149420 9050080 14598000 243602400 259618118 28162 28162 152755703 149297804 341930853 281294809 747367198 704836893 X 2298509892 2317233527 178376000 182079000 2476885892 2499312527 3224253090 3204149420 X 143540609 -139403581 18289607 X X 0 1 X 1 0 X X 1 UNIVERSITY OF WISCONSIN-MADISON 396006492 2 1 59962884 0 1 59962884 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 X PART IV, SECTION E, ITEM 1C: THE ORGANIZATION'S MISSION IS TO SUPPORT THE UNIVERSITY OF WISCONSIN-MADISON IN ITS ROLE AS A TWENTY-FIRST CENTURY LEADER IN RESEARCH, DISCOVERY AND INNOVATION. IT DOES SO VIA GRANTS THAT SUPPORT UNIVERSITY PROGRAMS, RECRUIT OR RETAIN PROFESSORS, JUNIOR FACULTY AND TOP QUALITY GRADUATE STUDENTS. THE ORGANIZATION ALSO PROVIDES SUPPORT TO RELATED ORGANIZATIONS THAT FURTHER THE UNIVERSITY'S RESEARCH AND EDUCATION VIA THE PROGRAMS DESCRIBED IN FORM 990, PART III, ITEM 4. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 240446 240446 141136521 141376967 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 262997 240229 240441 240446 984113 250000 250000 250000 250000 1000000 1500000 15340740 15340740 142332565 16163673 126168892 970611 869875 100736 24300092 12509112 11790980 153401348 MONEY MARKET FUNDS 178570340 F HEDGE FUNDS 1211959654 F FIXED INCOME 959066700 F PRIVATE EQUITY - LTD PS 299370392 F INVESTMENT IN WARF STARTUP COMPANIES 22473366 C 2671440452 ROYALTIES PAYABLE 4559878 DUE TO BROKER 226615946 SECURITIES LENDING CASH COLLATERAL OBLIGATION 49150539 ACCRUED PENSION FUND 968446 281294809 X 154364000 -139403581 -139403581 293767581 12423520 12423520 306191101 150006000 0 150006000 12644492 12644492 162650492 PART X, LINE 2: THE FOUNDATION, WICELL, PROPERTIES, AND MORGRIDGE HAVE BEEN GRANTED AN EXEMPTION FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. UNDER THIS EXEMPTION, INCOME TAX IS PAID ONLY ON NET UNRELATED BUSINESS INCOME. THE ORGANIZATIONS ARE ALSO EXEMPT FROM WISCONSIN INCOME AND REAL ESTATE TAX. THE ORGANIZATION FOLLOWS THE GUIDANCE RELATIVE TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. EXAMPLES OF TAX POSITIONS INCLUDE THE TAX-EXEMPT STATUS OF THE ORGANIZATION AND VARIOUS POSITIONS RELATED TO THE POTENTIAL SOURCES OF UNRELATED BUSINESS TAXABLE INCOME (UBIT). ANY TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50 PERCENT LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE ORGANIZATION FILES FORMS 990 IN THE U.S. FEDERAL JURISDICTION AND THE STATE OF WISCONSIN. PART XI, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST INCOME IN AUDIT 7,711,234. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 95,563. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 4,380,213. OTHER REVENUE 236,510. PART XII, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST EXPENSES IN AUDIT 7,711,234. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 95,563. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 4,380,213. OTHER DEDUCTION 457,482. 1 UNIVERSITY OF WISCONSIN - MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 115 59962884 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4A MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 501(C)(3) 20772525 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4B 2 PART I, LINE 2: 1) UW-MADISON - THE UNIVERSITY PROVIDES WARF WITH AN ANNUAL SUMMARY OF GRANT EXPENDITURES THAT DETAILS HOW THE GRANT FUNDS WERE SPENT FROM THE PREVIOUS YEAR. 2) MORGRIDGE INSTITUTE FOR RESEARCH - WARF HAS ACCESS TO THE FINANCIAL STATEMENTS OF THE ORGANIZATION. ALSO, THE WARF MANAGING DIRECTOR, CARL GULBRANDSEN, SITS ON THE ORGANIZATION'S BOARD. X X X X X 0 0 0 0 0 0 0 0 0 CARL E GULBRANDSEN TRUSTEE/MANAGING DIRECTOR 528805 20000 156000 0 0 0 37511 0 36973 0 759289 20000 0 0 LEIGH CAGAN CHIEF TECHNOLOGY COMMERCIALIZATION O 267928 0 69506 0 0 0 131124 0 28810 0 497368 0 0 0 STEVE MIXTACKI CHIEF FINANCIAL OFFICER/COO 297571 0 61132 0 0 0 105050 0 32274 0 496027 0 0 0 MICHAEL FALK GENERAL COUNSEL/CHIEF OF S 282525 0 61051 0 0 0 81712 0 35350 0 460638 0 0 0 CARRIE THOME DIRECTOR OF INVESTMENTS 485588 0 396876 0 0 0 73630 0 48014 0 1004108 0 0 0 ALAIN HUNG ASSOC DIR OF INVESTMENTS 320828 0 222250 0 0 0 85164 0 40038 0 668280 0 0 0 STEPHANIE ADAMANY ASSOC GENERAL COUNSEL 183166 0 32913 0 0 0 47480 0 32354 0 295913 0 0 0 LAURA HEISLER DIRECTOR OF PROGRAMMING 152365 0 27765 0 0 0 60245 0 31688 0 272063 0 0 0 CRAIG HEIM ASSISTANT PORTFOLIO MANAGE 140798 0 75543 0 0 0 39526 0 34562 0 290429 0 0 0 RYAN ABRAMS ASSISTANT PORTFOLIO MANAGE 139536 0 71424 0 0 0 12392 0 25832 0 249184 0 0 0 A COMMUNITY DEVELOPMENT AUTHORITY - CITY OF MADISON 396006968 2009-12-17 161453470 FOR CONSTRUCTING A RESEARCH FACILITY LOCATED ON THE CAMPUS OF UW-MADISON 0 0 0 A 12155666 161453470 2531768 151543609 7378093 2010 0 0 1 1 A 0 1 0 1 1 0 0 0 A 0 0 0 0 0 0 0 0 0 A 1 SCH K, PART III, #2 ALTHOUGH THERE IS PRESENTLY NO PRIVATE BUSINESS USE OF THE BOND-FINANCED PROPERTY, A SIGNIFICANT PORTION OF THE PROPERTY IS CURRENTLY OCCUPIED BY THE MORGRIDGE INSTITUTE FOR RESEARCH, INC., A 501(C)(3) ORGANIZATION ("MORGRIDGE"). AS A MEDICAL RESEARCH ORGANIZATION THAT COLLABORATES WITH PRIVATE INDUSTRY IT IS POSSIBLE THAT SOME OF THE ACTIVITY ON THE PROPERTY COULD RESULT IN PRIVATE BUSINESS USE. HOWEVER, MORGRIDGE IS AWARE OF THE LIMITATIONS ON PRIVATE USE, AND PROCEDURES HAVE BEEN PUT IN PLACE FOR WARF AND MORGRIDGE TO TRACK PRIVATE USE TO ENSURE COMPLIANCE WITH BOND REQUIREMENTS. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS INITIALLY REVIEWED AND APPROVED BY THE CFO, CONTROLLER AND OTHER MEMBERS OF THE MANAGEMENT TEAM. AN ELECTRONIC COPY OF THE FINAL VERSION OF THE FORM 990 IS SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES FOR REVIEW PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE WARF MANAGING DIRECTOR REQUIRES THAT THE TRUSTEES REVIEW THE CONFLICT OF INTEREST POLICY AND COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. WARF REVIEWS CONFLICT MATTERS AS DISCLOSED THROUGH THE ANNUAL DISCLOSURE AND ON A ROLLING BASIS AND CONSIDERS THEM IN THE MATTER PROSCRIBED IN ITS CONFLICT POLICY. A CONFLICT OF INTEREST COMMITTEE OF THE BOARD OF TRUSTEES ALSO MEETS AS APPROPRIATE TO CONSIDER CONFLICT SITUATIONS. ALL WARF EMPLOYEES SIGN A CONFLICT OF INTEREST AGREEMENT. THE AGREEMENT REQUIREMENTS ARE REVIEWED ANNUALLY AT AN EMPLOYEE MEETING. FORM 990, PART VI, SECTION B, LINE 15 A) WARF RETAINS A NATIONAL INDEPENDENT HUMAN RESOURCES CONSULTING FIRM SPECIALIZING IN COMPENSATION ACTIVITIES TO REVIEW COMPENSATION FOR THE MANAGING DIRECTOR AND SENIOR MANAGEMENT OF THE ORGANIZATION. THE CONSULTANT IS RETAINED BY AND REPORTS TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE AND TO THE TRUSTEE PRESIDENT. B) EVERY OTHER YEAR THE CONSULTANT PROVIDES COMPARATIVE COMPENSATION DATA TO THE TRUSTEE PRESIDENT AND THE SALARY AND FRINGE BENEFITS COMMITTEE. C) THE TRUSTEE PRESIDENT REVIEWS A WRITTEN SUMMARY OF EXECUTIVE ACCOMPLISHMENTS FOR THE FISCAL YEAR. THIS INFORMATION IS SHARED WITH THE SALARY AND FRINGE BENEFITS COMMITTEE AND WITH THE BOARD'S EXECUTIVE COMMITTEE. D) IN LATE AUGUST OR EARLY SEPTEMBER THE SALARY AND FRINGE BENEFITS COMMITTEE HOLDS A TELECONFERENCE TO DISCUSS THE GENERAL DIRECTION AND SCOPE/RANGE OF EXECUTIVE COMPENSATION. THE OUTSIDE CONSULTANT PARTICIPATES IN THE DISCUSSION EVERY OTHER YEAR. E) IN MID-SEPTEMBER THE BOARD PRESIDENT AND THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DISCUSS THE EXECUTIVE EVALUATION AND DETERMINE THE COMPENSATION ADJUSTMENT. F) THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE RECOMMENDATION IN (E) ABOVE AND APPROVES FINAL COMPENSATION ADJUSTMENTS. G) THE CHAIRMAN OF THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE COMPENSATION ADJUSTMENTS WITH THE FULL BOARD AT THE FALL TRUSTEE MEETING. H) THE OUTSIDE CONSULTANT PROVIDES A LETTER TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DESCRIBING THE CONSULTANT'S ROLE IN ESTABLISHING THE REBUTTABLE PRESUMPTION OF REASONABLENESS STANDARD UNDER THE INTERMEDIATE SANCTIONS REGULATIONS AND HOW THE CONSULTANT PROVIDED THE ANALYSIS TO DETERMINE THE REASONABLENESS OF THE EXECUTIVE COMPENSATION PACKAGE EVERY OTHER YEAR. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE NOT MADE AVAILABLE. FORM 990, PART XI, LINE 9: EQUITY GAIN IN SUBSIDIARIES 6,751,902. APPRECIATION IN DONOR DIRECTED FUNDS 11,753,116. CHANGE IN MINIMUM PENSION OBLIGATION -454,897. OTHER CHANGES 239,486. FORM 990, PART XII, LINE 2C: THE PROCESS DID NOT CHANGE FROM PRIOR YEAR. FORM 8621: FILING 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH ORGANIZATION WISCONSIN ALUMNI RESEARCH FOUNDATION OWNS A STAKE IN THE FOLLOWING PARTNERSHIPS WHICH HAVE INDIRECT INVESTMENTS IN PASSIVE FOREIGN INVESTMENT COMPANIES (PFICS), AND HAVE FILED FORM 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH FOUNDATION: PINEBRIDGE GLOBAL EMERGING MARKETS PARTNERS, LLC SIGULER GUFF BRIC OPPORTUNITIES FUND, LP SIGULER GUFF BRIC OPPORTUNITIES FUND II, LP VERSANT VENTURE CAPITAL V, L.P. FORM 8886: DISCLOSURE OF REPORTABLE TRANSACTIONS THE FOLLOWING INVESTMENTS OF WISCONSIN ALUMNI RESEARCH FOUNDATION HAVE FILED FORM 8886 DISCLOSING REPORTABLE TRANSACTIONS. AS A LIMITED PARTNER IN THESE INVESTMENTS, WISCONSIN ALUMNI RESEARCH FOUNDATION'S ALLOCABLE SHARE FROM THE RESPECTIVE PASSTHROUGH ENTITIES DOES NOT EXCEED THE THRESHOLD AMOUNTS. THEREFORE, WISCONSIN ALUMNI RESEARCH FOUNDATION HAS NOT PARTICIPATED IN A LOSS TRANSACTION REPORTABLE ON FORM 8886: COMMONFUND CAPITAL INTERNATIONAL PARTNERS V, LP OAK HILL CAPITAL PARTNERS II (CAYMAN) LP WARF PROPERTIES LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 203521556 HOLDING REAL ESTATE WI 507237 WISCONSIN ALUMNI RESEARCH FOUNDATION TOWN CENTER DINING LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 272845458 EVENT COORDINATOR WI MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 RESEARCH WI 501(C)(3) LINE 4 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 WICELL RESEARCH INSTITUTE INC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 391972235 RESEARCH WI 501(C)(3) LINE 7 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 UNIVERSITY OF WISCONSIN-MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 EDUCATION WI 115 LINE 2 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 WICELL RESEARCH INSTITUTE INC O 123978 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC O 615483 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC B 20772525 CASH WICELL RESEARCH INSTITUTE INC N 38114 PERCENT ALLOCATION