2014-10-15T17:37:55-05:00 2013-12-31 861065772 DELOITTE TAX LLP 655 WEST BROADWAY SUITE 700 SAN DIEGO CA 921018590 990 2013-01-01 330328688 LA JOLLA INSTITUTE FOR ALLERGY & IMMUNOLOGY LAJO 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 301510 SR DIRECTOR, FINANCE & CONTROLLER 8587526500 2014-10-16 1 DIANA J MCCUTCHEN P00545657 6192326500 2013 2015-11-30 17:44:51Z JENNIFER KEYES 9420 ATHENA CIRCLE LA JOLLA CA 920371387 52399088 0 X WWW.LJI.ORG X 1988 CA BIOMEDICAL RESEARCH DEDICATED TO IMPROVING HUMAN HEALTH THROUGH STUDIES OF THE IMMUNE SYSTEM. 19 17 390 48 136397 84697 43599639 46742132 3110250 4663486 137229 141516 2385529 851954 49232647 52399088 4900 4700 0 0 25931888 27545725 245000 359634 544609 21895381 24133644 48077169 52043703 1155478 355385 29571824 31683652 10219221 11975664 19352603 19707988 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 45391918 4700 4663486 LA JOLLA INSTITUTE IS A NONPROFIT BIOMEDICAL RESEARCH INSTITUTE RANKED AMONG THE TOP FIVE ORGANIZATIONS IN THE WORLD FOR RESEARCH IMPACT IN IMMUNOLOGY. SPECIFICALLY, OUR SCIENTISTS CARRY OUT RESEARCH TO UNDERSTAND HOW THE IMMUNE SYSTEM WORKS, AND TO APPLY THAT KNOWLEDGE TO PREVENT OR CURE DISEASE. IMMUNE SYSTEM DISORDERS AFFECT MILLIONS AND INCLUDE MANY OF SOCIETY'S MOST DEBILITATING ILLNESSES. OUR RESEARCH FOCUSES ON FIVE MAJOR AREAS: 1. AUTOIMMUNE DISEASES SUCH AS TYPE 1 DIABETES AND RHEUMATOID ARTHRITIS 2. CANCER AND STIMULATING ANTI-TUMOR RESPONSES 3. INFECTIOUS DISEASES AND VACCINE DEVELOPMENT TO COMBAT TUBERCULOSIS, FLU, DENGUE VIRUS, AND OTHER DANGEROUS PATHOGENS 4. ALLERGY AND ASTHMA AND CONTROLLING HARMFUL IMMUNE REACTIONS 5. VASCULAR IMMUNOLOGY INCLUDING HEART DISEASE AND TYPE 2 DIABETES.MILLIONS OF PEOPLE AROUND THE WORLD DIE EACH YEAR FROM DISEASES THAT COULD BE CURED OR PREVENTED IF THE IMMUNE SYSTEM WERE FUNCTIONING PROPERLY. LA JOLLA INSTITUTE FOR ALLERGY AND IMMUNOLOGY IS RECOGNIZED AS A WORLD LEADER IN COMPREHENSIVE RESEARCH FOCUSED ON UNDERSTANDING THE IMMUNE SYSTEM'S MECHANISMS AND THE DIVERSE ASPECTS OF IMMUNE-MEDIATED DISEASES, WHICH INCLUDE MANY OF SOCIETY'S MOST DEBILITATING ILLNESSES. THESE RANGE FROM CHRONIC, SEVERE AUTOIMMUNE DISORDERS SUCH AS RHEUMATOID ARTHRITIS, TYPE 1 DIABETES, MULTIPLE SCLEROSIS, AND CROHN'S DISEASE TO IMMUNE SYSTEM MALFUNCTIONS UNDERLYING HEART DISEASE AND CANCER, THE NATION'S NO. 1 AND NO. 2 KILLERS RESPECTIVELY. ITS RESEARCHERS ALSO EXPLORE HOW THE IMMUNE SYSTEM RESPONDS TO INFECTIOUS DISEASES AND ARE USING THIS KNOWLEDGE TO ADVANCE THE DEVELOPMENT OF VACCINES AGAINST DEADLY PATHOGENS SUCH AS MALARIA, TUBERCULOSIS, AND DENGUE FEVER, WHERE NO EFFECTIVE VACCINES CURRENTLY EXIST. SINCE ITS FOUNDING IN 1988 AS AN INDEPENDENT, NONPROFIT RESEARCH ORGANIZATION, THE INSTITUTE HAS MADE NUMEROUS ADVANCES LEADING TOWARD ITS GOAL: LIFE WITHOUT DISEASE. THE INSTITUTE IS HOME TO 23 INDEPENDENT LABORATORIES, EACH OPERATED BY A LEADING SCIENTIST, SUPPORTED BY MORE THAN 350 EMPLOYEES - ABOUT HALF OF WHOM HOLD DOCTORAL DEGREES (PH.D. OR M.D.) FROM NUMEROUS COUNTRIES AROUND THE WORLD. EACH OF THESE LABS IS DEDICATED TO UNDERSTANDING THE INTRICACIES AND POWER OF THE IMMUNE SYSTEM SO THAT THE KNOWLEDGE GAINED CAN BE APPLIED TO PROMOTE HUMAN HEALTH AND PREVENT A WIDE RANGE OF DISEASES.ALTHOUGH RELATIVELY YOUNG, THE INSTITUTE HAS ACCOMPLISHED MUCH IN ITS SHORT HISTORY, AND WAS RECENTLY RANKED AMONG THE TOP FIVE ORGANIZATIONS FOR RESEARCH IMPACT IN IMMUNOLOGY WORLDWIDE (AS MEASURED BY CITATIONS PER SCIENTIFIC PUBLICATION) 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 ONE HALF OF ONE PERCENT OF ALL PUBLISHING SCIENTIFIC AUTHORS. SEVERAL OF ITS FACULTY MEMBERS ALSO SERVE ON NATIONAL INSTITUTES OF HEALTH (NIH) GRANT REVIEW PANELS, WHICH ARE APPOINTMENTS THAT SIGNAL A HIGH DEGREE OF RESPECT FROM PEERS. ITS SCIENTISTS ALSO REGULARLY PUBLISH RESEARCH PAPERS DESCRIBING THEIR LATEST FINDINGS, MANY OF THESE APPEARING IN THE WORLD'S MOST PRESTIGIOUS SCIENTIFIC JOURNALS.THE INSTITUTE RECEIVES THE MAJORITY OF ITS FUNDING THROUGH COMPETITIVE RESEARCH GRANTS FROM THE NIH AND IS GROWING ITS PHILANTHROPIC OPPORTUNITIES TO FULFILL PRIORITY NEEDS. THIS INCLUDES FUNDING FOR NEW AREAS OF RESEARCH, CUTTING-EDGE TECHNOLOGIES AND CONTINUING RECRUITMENT OF THE VERY BEST SCIENTISTS.IT IS GUIDED BY A BOARD OF DIRECTORS COMPOSED OF RESPECTED BUSINESS EXECUTIVES, SCIENTISTS AND OTHER COMMUNITY LEADERS WHO DONATE THEIR TIME TO OVERSEE THE INSTITUTE'S ACTIVITIES. A SCIENTIFIC ADVISORY BOARD OF DISTINGUISHED OUTSIDE SPECIALISTS CONDUCTS ANNUAL EVALUATIONS OF SCIENTIFIC PROGRESS AND REVIEWS FUTURE RESEARCH OBJECTIVES.LA JOLLA INSTITUTE RESEARCHERS CONTINUED TO MAKE IMPRESSIVE RESEARCH ADVANCEMENTS IN 2013, WITH 202 RESEARCH PAPERS PUBLISHED IN SCIENTIFIC JOURNALS, A 30 PERCENT INCREASE OVER THE PREVIOUS YEAR. ALONG WITH INCREASING IN NUMBER, MANY OF THE INSTITUTE'S 2013 PAPERS WERE PUBLISHED IN HIGH-IMPACT, HIGH-PRESTIGE JOURNALS, A REFLECTION OF THE EXEMPLARY QUALITY OF THE INSTITUTE'S RESEARCH. THE INSTITUTE'S MAJOR PUBLISHED FINDINGS IN 2013 ILLUSTRATE THE RANGE AND POWER OF IMMUNOLOGY RESEARCH AND ITS IMPACT ON A BROAD GROUP OF HUMAN HEALTH ISSUES. THIS INCLUDED DR. SHANE CROTTY'S DISCOVERY, PUBLISHED IN THE JOURNAL IMMUNITY, THAT CERTAIN HELPER T CELLS ARE IMPORTANT FOR TRIGGERING A STRONG ANTIBODY RESPONSE AGAINST HIV, THE VIRUS THAT CAUSES AIDS. THIS MAJOR FINDING WILL SIGNIFICANTLY ADVANCE EFFORTS TO CREATE THE WORLD'S FIRST ANTIBODY-BASED AIDS VACCINE. AS PART OF HIS FINDINGS, DR. CROTTY ALSO DEVELOPED A ROBUST TEST FOR IDENTIFYING PHENOTYPIC MARKERS FOR A TYPE OF T CELLS IN THE BLOOD, A MAJOR NEW TOOL FOR AIDS RESEARCHERS. AMONG THE INSTITUTE'S OTHER MAJOR FINDINGS IN 2013 WERE: DRS. PATRICK HOGAN, ANJANA RAO, AND SONIA SHARMA'S DISCOVERY, PUBLISHED IN NATURE, THAT A CERTAIN TYPE OF PROTEIN, CALLED SEPTINS, PLAY A CRITICAL ROLE IN ACTIVATING A CALCIUM CHANNEL ON THE SURFACE OF T CELLS THAT IS NECESSARY FOR THEIR SURVIVAL, ACTIVATION, AND ABILITY TO FIGHT DISEASE; DR. ALEX SETTE'S FINDING THAT T CELLS PLAY AN IMPORTANT PROTECTIVE ROLE IN CONTROLLING DENGUE VIRUS INFECTION, RATHER THAN CREATING AN ABERRANT RESPONSE THAT CAN ULTIMATELY WORSEN THE DISEASE AS IS THE PREVAILING BELIEF IN THE SCIENTIFIC COMMUNITY; AND DR. HILDE CHEROUTRE'S DISCOVERY OF THE MECHANISM THAT ENABLES CD4 HELPER T CELLS TO ASSUME THE MORE AGGRESSIVE ROLE OF KILLER T CELLS IN MOUNTING AN IMMUNE ATTACK AGAINST VIRUSES, CANCEROUS TUMORS, AND OTHER DAMAGED OR INFECTED CELLS. THE FINDING, MADE IN COLLABORATION WITH RESEARCHERS FROM THE RIKEN INSTITUTE IN JAPAN, COULD ENABLE THE DEVELOPMENT OF MORE POTENT DRUGS FOR AIDS, CANCER, AND MANY OTHER DISEASES BASED ON USING THIS MECHANISM TO TRIGGER LARGER ARMIES OF KILLER T CELLS AGAINST INFECTED OR DAMAGED CELLS.IN ADDITION, IN 2013 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. THE INSTITUTE ALSO FORMED ADDITIONAL RESEARCH COLLABORATIONS WITH OTHER PHARMACEUTICALS TO HELP TRANSLATE EARLY STAGE RESEARCH FINDINGS INTO NEW THERAPIES FOR THE TREATMENT AND PREVENTION OF VARIOUS DISEASES. OTHER MAJOR HIGHLIGHTS IN 2013 INCLUDE: -RECOGNIZED AS A "BEST PLACE TO WORK" IN THE U.S. RESEARCH COMMUNITY -- THE INSTITUTE EARNED THE NATION'S NUMBER 1 SPOT FOR "BEST PLACES TO WORK IN ACADEMIA" BASED ON A SURVEY CONDUCTED BY THE SCIENTISTS MAGAZINE OF MORE THAN 1,200 FULL-TIME LIFE SCIENTISTS WORKING IN ACADEMIC OR NONCOMMERCIAL RESEARCH INSTITUTIONS WORLDWIDE. THE INSTITUTE ALSO EARNED THE NUMBER 2 SPOT FOR "BEST PLACES TO WORK FOR POSTDOCS," BASED ON A U.S. SURVEY OF 2,081 POSTGRADUATE RESEARCHERS, KNOWN IN THE SCIENTIFIC COMMUNITY AS "POSTDOCS." POSTDOCS HAVE COMPLETED THEIR DOCTORAL DEGREES (PH.D., M.D., OR EQUIVALENT) AND TYPICALLY SPEND SEVERAL YEARS AT A RESEARCH INSTITUTION, GAINING TRAINING AND EXPERIENCE UNDER SENIOR SCIENTISTS. -MAJOR AWARDS RECEIVED BY SEVERAL RESEARCHERS: DR. KOK-FAI KONG, A RESEARCHER IN THE LAB OF SENIOR FACULTY MEMBER AMNON ALTMAN, PH.D., WAS AWARDED A GRANT BY THE MELANOMA RESEARCH ALLIANCE TO SUPPORT HIS RESEARCH IN TUMOR IMMUNOLOGY, WITH A FOCUS ON MELANOMA. THREE POSTDOCTORAL FELLOWS IN THE LAB OF ANJANA RAO, PH.D. WERE AWARDED MAJOR FELLOWSHIPS FROM THE CANCER RESEARCH INSTITUTE: AGELIKI TSANGARATOU, PH.D., WHO IS WORKING TO DEFINE THE ROLE OF DNA MODIFICATIONS PRODUCED BY CERTAIN ENZYMES INVOLVED IN T-CELL LEUKEMIAS, SARA TRIFARI, PH.D., WHO EXPLORES GENETIC CHANGES IN T CELLS CRUCIAL FOR ANTI-VIRAL AND ANTI-TUMOR RESPONSES, AND CHAN-WANG LIO, WHO IS STUDYING NOVEL MOLECULES BELIEVED TO INFLUENCE LEUKEMIA DEVELOPMENT.IN ADDITION TO THEIR RESEARCH ACTIVITIES IN 2013, INSTITUTE SCIENTISTS ALSO LECTURED AT MEDICAL RESEARCH SEMINARS THROUGHOUT THE WORLD AND ORGANIZED NUMEROUS SCIENTIFIC CONFERENCES. WHILE IT IS DIFFICULT TO DETERMINE THE NUMBER OF PERSONS BENEFITED BECAUSE OF THE BROAD APPLICABILITY OF LA JOLLA INSTITUTE'S FINDINGS AND ACCOMPLISHMENTS, THE INSTITUTE ESTIMATES THAT THOUSANDS OF RESEARCH AND CLINICAL SCIENTISTS ATTENDED THE ABOVE MENTIONED CONFERENCES, READ THE INSTITUTE'S PUBLICATIONS, AND/OR DIRECTLY COLLABORATED WITH OUR SCIENTISTS, AND AS A RESULT, NOW INCORPORATE PORTIONS OF OUR RESEARCH INTO THEIR WORK TO BETTER UNDERSTAND THE COMPLEXITY OF HUMAN BIOLOGY TO MORE EFFECTIVELY FIGHT DISEASE. 45391918 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 1 128 0 1 390 1 1 1 0 0 0 0 0 0 0 0 0 0 X 19 17 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 428510 0 50040 ANTHONY CARR DIRECTOR 2.00 X 0 0 0 CHARLES J CASHION 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 SAMUEL STROBER MD FORMER DIRECTOR 2.00 X 0 0 0 CHARLES CARPOWICH EVP/COO/CFO 40.00 X 332314 0 58274 AMNON ALTMAN DIR, SCIENTIFIC AFFAIRS 40.00 X 311377 0 52780 STEPHEN WILSON EVP CHIEF TECH. 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AMERICA. THESE ORGANIZATIONS DESIGNATE A PORTION OF THE DUES THEY RECEIVE FOR LOBBYING ACTIVITIES. 0 6139454 2000306 4139148 14645231 9956815 4688416 1071284 954153 117131 8944695 52262696 0 52262696 136392 136392 52399088 51907311 0 51907311 136392 136392 52043703 PART XI, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDITED FINANCIAL STATEMENTS 136,392. PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDITED FINANCIAL STATEMENTS 136,392. 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("KKC")(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:AN OFFICER OF KKC IS A DIRECTOR OF THE INSTITUTE(C) AMOUNT OF TRANSACTION $4,725,010(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.