2015-11-13T14:58:33-06:00 2014-12-31 861065772 DELOITTE TAX LLP 655 WEST BROADWAY SUITE 700 SAN DIEGO CA 921018590 990 2014-01-01 330328688 LA JOLLA INSTITUTE FOR ALLERGY & IMMUNOLOGY LAJO 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 JENNIFER KEYES CFO 8587526500 2015-11-13 1 JOHN SADOFF JR P00540589 6192326500 2014 2016-04-25 22:37:26Z JENNIFER KEYES 9420 ATHENA CIRCLE LA JOLLA CA 920371387 49515524 0 X WWW.LJI.ORG X 1988 CA BIOMEDICAL RESEARCH DEDICATED TO IMPROVING HUMAN HEALTH THROUGH STUDIES OF THE IMMUNE SYSTEM. 21 20 413 48 165747 126855 46742132 44790248 4663486 4058346 141516 45528 851954 621402 52399088 49515524 4700 0 0 0 27545725 26674436 359634 61725 468031 24133644 24910207 52043703 51646368 355385 -2130844 31683652 27661104 11975664 10083960 19707988 17577144 X AT LA JOLLA INSTITUTE, OUR SCIENTISTS FOCUS ON UNDERSTANDING HOW THE IMMUNE SYSTEM WORKS IN ORDER TO PROMOTE HUMAN HEALTH AND PREVENT DISEASE. OUR DISCOVERIES APPLY TO MANY DISEASES, RANGING FROM DIABETES TO HEART DISEASE, INFECTIOUS DISEASES TO CANCER. 0 0 45461821 4058346 THE LA JOLLA INSTITUTE FOR ALLERGY AND IMMUNOLOGY ("LJI") IS A PRIVATE, NONPROFIT MEDICAL RESEARCH ORGANIZATION THAT IS RECOGNIZED AS A WORLD LEADER IN COMPREHENSIVE RESEARCH DEDICATED TO UNDERSTANDING THE INTRICACIES AND POWER OF THE IMMUNE SYSTEM AND APPLYING THAT KNOWLEDGE TOWARD ITS GOAL OF LIFE WITHOUT DISEASE. THE INSTITUTE IS HOME TO 23 INDEPENDENT LABORATORIES, EACH OPERATED BY A LEADING SCIENTIST HANDPICKED FOR HER CREATIVITY AND PIONEERING SPIRIT. EACH OF THESE LABS IS DEDICATED TO UNDERSTANDING THE FAR-REACHING INFLUENCE OF THE IMMUNE SYSTEM AND TO TRAINING TO THE NEXT GENERATION OF SCIENTISTS, TO PROMOTE HUMAN HEALTH AND PREVENT A WIDE RANGE OF DISEASES. THE INSTITUTE WAS RECENTLY RANKED AMONG THE TOP FIVE ORGANIZATIONS WITH THE GREATEST RESEARCH IMPACT IN IMMUNOLOGY WORLDWIDE BY THE RATING AGENCY THOMSON-REUTERS. IN ADDITION, THREE OF ITS SCIENTISTS ARE AMONG THE MOST HIGHLY CITED IMMUNOLOGISTS IN THE WORLD - A DISTINCTION HELD BY LESS THAN HALF OF ONE PERCENT OF ALL PUBLISHING SCIENTISTS. 2014 NOTABLE RESEARCH RESULTSIN 2014, LJI RESEARCH TEAMS MADE DISCOVERIES MERITING PUBLICATION IN LEADING PEER-REVIEWED SCIENTIFIC JOURNALS - 144 PAPERS IN ALL. NO FEWER THAN 32 ORIGINAL RESEARCH PAPERS APPEARED IN HIGH IMPACT JOURNALS, WHICH IS A MEASURE OF THE RESEARCH'S PIONEERING NATURE AND INFLUENCE. TOGETHER, THEY ILLUSTRATE THE RANGE AND POWER OF IMMUNOLOGY RESEARCH AND ITS IMPACT ON A BROAD GROUP OF HUMAN HEALTH ISSUES. SOME OF THE HIGHLIGHTS AMONG PAPERS PUBLISHED IN 2014 INCLUDE:THE KAWAKAMI LAB REVEALED A CRITICAL PLAYER, KNOWN AS STAT5, IN THE CELLULAR INTERACTIONS LEADING TO ECZEMA - A CHRONIC INFLAMMATORY SKIN CONDITION AFFECTING MORE THAN 14 MILLION U.S. CHILDREN AND ADULTS. THE DISCOVERY OPENS THE DOOR TO CREATING NEW THERAPIES TO PREVENT OR BETTER TREAT ECZEMA BASED ON BLOCKING STAT5 IN MAST CELLS. (PUBLISHED IN CELL REPORTS, JAN. 2014)THE LEY LAB IS LEADING AN EFFORT TOWARD THE WORLD'S FIRST VACCINE FOR HEART DISEASE, WHICH SEEKS TO REDUCE PLAQUE BUILD-UP IN THE ARTERIES BY TARGETING INFLAMMATION. IN A PROOF-OF-CONCEPT STUDY, THE VACCINE REDUCED ARTERIAL PLAQUE BY ABOUT 40 PERCENT IN TREATED MICE WHEN COMPARED TO UNTREATED MICE. (PUBLISHED IN FRONTIERS IN IMMUNOLOGY, JUNE 2014)THE VIJAYANAND LAB DEVELOPED A NEW APPROACH TO IDENTIFY GENES POISED TO RESPOND ON ASTHMA PATIENTS. BY APPLYING THE NEW TECHNIQUE, THE RESEARCHERS HIGHLIGHTED 33 GENETIC NEIGHBORHOODS THAT ARE HIGHLY ACTIVE IN DISEASES CELLS BUT INACTIVE IN HEALTHY CELLS. GENES THAT ARE LOCATED IN ACTIVE NEIGHBORHOODS IN DISEASED CELLS ARE LIKELY TO CONTRIBUTE TO ASTHMA AND CAN POTENTIALLY BE TARGETED WITH DRUG TREATMENTS. (PUBLISHED IN NATURE IMMUNOLOGY, JULY 2014)TESTIFYING TO THE HIGH LEVEL OF ACHIEVEMENT TAKING PLACE AT THE INSTITUTE ARE THE AWARDS AND HONORS INSTITUTE SCIENTISTS RECEIVED IN 2014:PROFESSOR MATTHIAS VON HERRATH, M.D., HAS BEEN NAMED BY EXPERTSCAPE AS THE WORLD'S TOP-RANKED EXPERT IN TYPE 1 DIABETES, ALSO KNOWN AS "JUVENILE DIABETES." EXPERTSCAPE IS A HEALTHCARE INFORMATION WEBSITE THAT ENABLES HEALTHCARE CONSUMERS TO IDENTIFY MEDICAL PROFESSIONALS AND INSTITUTIONS HAVING THE GREATEST KNOWLEDGE ABOUT A PARTICULAR MEDICAL PROBLEM. PROFESSOR ALESSANDRO "ALEX" SETTE, PH.D., HAS BEEN RANKED AS ONE OF THE WORLD'S 400 MOST INFLUENTIAL RESEARCHERS, INCLUDING THOSE PERFORMING RESEARCH IN ANY BIOMEDICAL DISCIPLINE. THE RANKING IS BASED ON A STUDY CONDUCTED BY SCIENTISTS FROM STANFORD AND TEMPLE UNIVERSITY, WHICH MEASURED RESEARCH IMPACT. SETTE IS A RENOWNED SPECIALIST IN VACCINE DEVELOPMENT WHOSE WORK HAS ADVANCED EFFORTS AGAINST A VAST ARRAY OF LIFE-THREATENING ILLNESSES.IN ADDITION, IN 2014 THE INSTITUTE SAW CONTINUED ADVANCEMENT OF ITS RESEARCH DISCOVERIES BY INDUSTRY PARTNERS IN THE PHARMACEUTICAL PIPELINE, INCLUDING ONE THERAPY FOR PSORIASIS AND ORGAN TRANSPLANT ENTERING PHASE II CLINICAL TRIALS. THE INSTITUTE ALSO FORGED A NUMBER OF NEW RESEARCH COLLABORATIONS WITH BOTH LARGE AND EMERGING PHARMACEUTICAL COMPANIES THAT BOTH HELP TRANSLATE EARLY STAGE RESEARCH FINDINGS INTO NOVEL THERAPIES AND UTILIZE LJI EXPERTISE TO IMPROVE THE DEVELOPMENT OF EXISTING AND NEW THERAPEUTICS FOR THE PREVENTION AND TREATMENT OF A VARIETY OF HUMAN DISEASES.COMPETITIVE RESEARCH GRANT FUNDING & RESEARCH AWARDS & DISTINCTIONSTHE ABILITY OF LA JOLLA INSTITUTE SCIENTISTS TO RECEIVE INCREASING NUMBERS OF COMPETITIVELY AWARDED RESEARCH GRANTS ATTESTS TO THE HIGH LEVEL OF RESEARCH PRODUCTIVITY PRESENT AT THE INSTITUTE. DURING 2014, LJI SCIENTISTS WORKED WITH THE SUPPORT OF 57 GRANTS AND FELLOWSHIPS FROM THE NATIONAL INSTITUTES OF HEALTH, THE AMERICAN HEART ASSOCIATION, THE CROHN'S AND COLITIS FOUNDATION OF AMERICA, THE AMERICAN COLLEGE OF RHEUMATOLOGY RESEARCH AND EDUCATION FOUNDATION, THE LEUKEMIA & LYMPHOMA SOCIETY, THE JUVENILE DIABETES RESEARCH FOUNDATION, THE AMERICAN DIABETES ASSOCIATION, THE LIFE SCIENCES RESEARCH FOUNDATION, THE PEW CHARITABLE TRUST, THE JAN COFFIN CHILDS MEMORIAL FUND FOR MEDICAL RESEARCH, THE CANCER RESEARCH INSTITUTE, THE MELANOMA RESEARCH ALLIANCE FOUNDATION, AND THE NATIONAL SCIENCE FOUNDATION. WITH NEW AND RECURRING GRANT SUPPORT, THE INSTITUTE RECEIVED MORE THAN $42 MILLION IN RESEARCH FUNDING IN 2014, WHICH IS SUPPLEMENTED BY CORPORATE FUNDING SOURCES AS WELL AS PHILANTHROPIC SUPPORT. 45461821 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 1 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 134 0 1 413 1 1 1 0 0 0 0 0 0 0 0 0 0 X 21 20 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA CT FL GA MD MO NC OH PA VA NY MI RI TX WI X JENNIFER KEYES 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 MITCHELL KRONENBERG PHD PRESIDENT/CSO 40.00 X X 437074 0 55362 PAMELA W BLAKELY DIRECTOR 2.00 X 0 0 0 ANTHONY CARR DIRECTOR 2.00 X 0 0 0 DAVID DOMINGUEZ DIRECTOR 2.00 X 0 0 0 ROBERT C DYNES PHD DIRECTOR 2.00 X 0 0 0 LEROY HOOD MD PHD DIRECTOR 2.00 X 0 0 0 SERGIO JINICH DIRECTOR 2.00 X 0 0 0 RICHARD K KORNFELD DIRECTOR 2.00 X 0 0 0 JOHN E MAJOR DIRECTOR 2.00 X 0 0 0 TOSHIFUMI MIKAYAMA PHD DIRECTOR 2.00 X 0 0 0 GAIL K NAUGHTON PHD DIRECTOR 2.00 X 0 0 0 TINA S NOVA PHD DIRECTOR 2.00 X 0 0 0 DAVID A PERKINS DIRECTOR 2.00 X 0 0 0 GENE W RAY PHD DIRECTOR 2.00 X 0 0 0 RHONDA F RHYNE DIRECTOR 2.00 X 0 0 0 FRED WASSERMAN DRPH DIRECTOR 2.00 X 0 0 0 DAVID R WEBB PHD DIRECTOR 2.00 X 0 0 0 HERBERT A WERTHEIM OK DSC DIRECTOR 2.00 X 0 0 0 TIMOTHY J WOLLAEGER DIRECTOR 2.00 X 0 0 0 ERIC V ZWISLER DIRECTOR 2.00 X 0 0 0 CHARLES J CASHION DIRECTOR 2.00 X 0 0 0 JENNIFER K KEYES CFO 40.00 X 67878 0 4437 TAI NGUYEN CFO THROUGH 08/18/2014 40.00 X 188174 0 28099 AMNON ALTMAN DIR, SCIENTIFIC AFFAIRS 40.00 X 322782 0 60483 STEPHEN WILSON EVP, CHIEF ADMINISTRATIVE OFFICER 40.00 X 253547 0 61752 HILDE CHEROUTRE DIVISION HEAD/PROFESSOR 40.00 X 260289 0 47973 KLAUS LEY DIVISION HEAD/PROFESSOR 40.00 X 306497 0 50711 JOEL LINDEN PROFESSOR 40.00 X 286465 0 48192 ANJANA RAO DIVISION HEAD/PROFESSOR 40.00 X 319129 0 48192 ALESSANDRO SETTE CENTER HEAD/DIVISION HEAD/PROFESSOR 40.00 X 324302 0 64932 CHARLES CARPOWICH EVP/COO/CFO THROUGH 11/21/2013 0.00 X 323783 0 0 3089920 0 470133 38 1 1 0 SOL PACIFIC LLC 6336 GREENWICH DR SUITE B SAN DIEGO CA 92122 JANITORIAL SERVICES 141815 PILLSBURY WINTHROP SHAW PITTMAN LLP POBOX 742262 LOS ANGELES CA 90074 PATENT RELATED 139565 2 110466 32199599 12480183 44790248 CONSORTIUM REVENUE 900099 4058346 4058346 4058346 45528 45528 186675 186675 OTHER INCOME 900099 268980 268980 BUILDING MANAGEMENT 561700 131722 131722 TECHNICAL SERVICES 541900 34025 34025 434727 49515524 4058346 165747 501183 1263315 1111717 146557 5041 19431621 17154919 2253854 22848 2031963 1825516 203196 3251 2499391 2218215 276935 4241 1448146 1301051 144813 2282 338149 140820 197329 451692 199014 252678 3912 3912 61725 61725 211607 6496 205111 112277 98599 13678 154483 91700 41164 21619 607255 304954 298255 4046 5391446 4661977 703259 26210 496332 400422 16004 79906 102840 97208 3500 2132 2132160 2130257 1903 524824 524824 LAB SUPPLIES & SERVICES 7759952 7737199 22753 0 CONSORTIUMS 4086348 4086348 0 0 RESEARCH CONSULTANT 1238003 859544 361551 16908 MINOR EQUIPMENT 871756 344533 527223 0 427171 173004 241456 12711 51646368 45461821 5716516 468031 1766 2267 12529028 7606147 5420262 7894492 419232 500108 418687 606318 22918817 14713471 8944695 8205346 3949982 2846426 31683652 27661104 10855706 8832162 1119958 1251798 0 11975664 10083960 X 18951246 16820402 756742 756742 0 19707988 17577144 31683652 27661104 -2130844 0 X 0 1 X 1 1 1 X UCSD MEDICAL CENTER SAN DIEGO CA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 3912 3912 0 0 0 PART II-B, LINE 1: LA JOLLA INSTITUTE FOR ALLERGY AND IMMUNOLOGY IS A MEMBER OF THE ASSOCIATION OF INDEPENDENT RESEARCH INSTITUTES, CALIFORNIA HEALTHCARE INSTITUTE AND RESEARCH! AMERICA. THESE ORGANIZATIONS DESIGNATE A PORTION OF THE DUES THEY RECEIVE FOR LOBBYING ACTIVITIES. 6201681 2338517 3863164 15645852 11403495 4242357 1071284 971459 99825 8205346 49349778 0 49349778 165746 165746 49515524 51480622 0 51480622 165746 165746 51646368 PART XI, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDIT FINANCIAL STATEMENTS 165,746. PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDIT FINANCIAL STATEMENTS 165,746. MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 134867 EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 219133 0 0 0 0 0 0 354000 0 354000 0 0 0 0 0 0 X X X X 1 GREENWOOD COMPANY 201 CALIFORNIA STREET STE 630 SAN FRANCISCO CA 94111 DESIGNS DEVELOPMENT PROGRAMS 0 0 50400 -50400 MAGUIREMAGUIRE INC 1100 LARKSPUR LANDING CIRCLE LARKSPUR CA 94939 MARKETING 0 0 11325 -11325 61725 -61725 CA CT FL GA MD MO NC OH PA VA NY MI RI TX WI X X X X 1 0 0 0 0 0 0 0 0 MITCHELL KRONENBERG PHD PRESIDENT/CSO 432308 0 0 0 4766 0 39000 0 16362 0 492436 0 0 0 TAI NGUYEN CFO THROUGH 08/18/2014 107086 0 0 0 81088 0 16380 0 11719 0 216273 0 0 0 AMNON ALTMAN DIR, SCIENTIFIC AFFAIRS 291276 0 0 0 31506 0 39000 0 21483 0 383265 0 0 0 STEPHEN WILSON EVP, CHIEF ADMINISTRATIVE OFFICER 235072 0 0 0 18475 0 39000 0 22752 0 315299 0 0 0 HILDE CHEROUTRE DIVISION HEAD/PROFESSOR 257469 0 0 0 2820 0 38744 0 9229 0 308262 0 0 0 KLAUS LEY DIVISION HEAD/PROFESSOR 280177 0 0 0 26320 0 39000 0 11711 0 357208 0 0 0 JOEL LINDEN PROFESSOR 281968 0 0 0 4497 0 39000 0 9192 0 334657 0 0 0 ANJANA RAO DIVISION HEAD/PROFESSOR 314363 0 0 0 4766 0 39000 0 9192 0 367321 0 0 0 ALESSANDRO SETTE CENTER HEAD/DIVISION HEAD/PROFESSOR 304874 0 0 0 19428 0 39000 0 25932 0 389234 0 0 0 CHARLES CARPOWICH EVP/COO/CFO THROUGH 11/21/2013 0 0 0 0 323783 0 0 0 0 0 323783 0 0 0 PART I, LINE 4A CHARLES CARPOWICH RECEIVED SEVERANCE PAYMENTS IN 2014 IN THE AMOUNT OF $323,783. SEE PART V 0 SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS: (A) NAME OF PERSON: HILDE CHEROUTRE(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: SPOUSE OF PRESIDENT AND CSO (C) AMOUNT OF TRANSACTION $257,469(D) DESCRIPTION OF TRANSACTION: FULL TIME EMPLOYEE(E) SHARING OF ORGANIZATION REVENUES? = NO(A) NAME OF PERSON: KYOWA HAKKO KIRIN CALIFORNIA INC. ("KKC")(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:KKC IS A SUBSTANTIAL CONTRIBUTOR TO THE ORGANIZATION(C) AMOUNT OF TRANSACTION $4,487,187(D) DESCRIPTION OF TRANSACTION:RESEARCH FUNDING, FACILITY RENT, COST REIMBURSEMENTS (E) SHARING OF ORGANIZATION REVENUES? = NO FORM 990, PART VI, SECTION B, LINE 11 IN ACCORDANCE WITH WRITTEN INSTITUTE POLICY, A DRAFT OF FORM 990 IS PROVIDED TO ALL BOARD MEMBERS FOR THEIR REVIEW AND COMMENT PRIOR TO FILING THE RETURN. COMMENTS AND SUGGESTED CHANGES TO THE DRAFT ARE INCORPORATED INTO THE FINAL VERSION OF FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE INSTITUTE ADMINISTERS THREE SEPARATE CONFLICT OF INTEREST POLICIES APPLYING TO 1) THE BOARD OF DIRECTORS, 2) FACULTY AND SENIOR ADMINISTRATION, AND 3) AN INVESTIGATOR FINANCIAL CONFLICT OF INTEREST POLICY REQUIRED UNDER NATIONAL INSTITUTES OF HEALTH REGULATIONS. THE INSTITUTE REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES THESE POLICIES IN ACCORDANCE WITH WRITTEN PROCEDURES, WHICH INCLUDE THE COMPLETION OF DISCLOSURE FORMS BY COVERED INDIVIDUALS, EVALUATION OF COMPLETED FORMS BY A DESIGNATED CONFLICT REVIEW OFFICER, AND AS NECESSARY, FURTHER EVALUATION AND DETERMINATION BY A DESIGNATED CONFLICT REVIEW COMMITTEE. IF A CONFLICT IS DETERMINED, A MANAGEMENT PLAN IS DESIGNED AND MONITORED FOR THE SPECIFIC SITUATION. SUCH PLAN MAY REQUIRE THE COVERED INDIVIDUAL TO ELIMINATE THE CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DECISIONS FOR THE INSTITUTE'S CEO AND OTHER KEY EMPLOYEES ARE MADE ANNUALLY. ADJUSTMENTS, IF ANY, TYPICALLY TAKE EFFECT ON A JANUARY 1ST CYCLE. FOR THESE PURPOSES, THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT OBTAINS RELEVANT MARKET COMPARABILITY DATA FOR EACH POSITION ON AN ANNUAL BASIS. THE INSTITUTE ALSO PERIODICALLY ENGAGES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO PERFORM COMPENSATION STUDIES FOR KEY INDIVIDUALS AND TO EVALUATE THE INSTITUTE'S EXECUTIVE COMPENSATION AND BENEFITS PROGRAMS FOR REASONABLENESS. IN ACCORDANCE WITH ITS CHARTER, THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS AND DISCUSSES THIS INFORMATION, AND THE PERFORMANCE OF THE INSTITUTE'S CEO AND KEY EMPLOYEES, AND FORMULATES RECOMMENDED COMPENSATION ACTIONS TO THE FULL BOARD OF DIRECTORS. THE BOARD OF DIRECTORS REVIEWS THESE RECOMMENDATIONS AND RELATED INFORMATION IN DECIDING COMPENSATION LEVELS FOR EACH POSITION. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. SUMMARIZED FINANCIAL DATA IS ALSO MADE AVAILABLE AS PART OF THE INSTITUTE'S ANNUAL REPORT, WHICH IS WIDELY DISTRIBUTED, AND CAN BE DOWNLOADED FROM THE INSTITUTE'S WEB SITE.