2014-08-27T09:27:02-05:00 2013-12-31 131655065 LUTZ AND CARR CPAS LLP 300 EAST 42ND STREET NEW YORK NY 10017 990 2013-01-01 582492929 ALLIANCE FOR LUPUS RESEARCH INC ALLI 2122182840 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 DEBRA ROSE CHIEF OPERATING OFFICER 2122182840 2014-08-26 1 LAUREN CRESCI P01268493 2126972299 2013 2015-11-30 17:44:51Z KENNETH M FARBER 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 26195820 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. 10 10 27 500 0 0 8871788 8223868 0 0 1379807 3090321 57474 294023 10309069 11608212 8751791 7710350 0 0 1955371 2072442 49000 49000 1960073 2175879 2253959 12932041 12085751 -2622972 -477539 53990813 59870295 12257318 12828688 41733495 47041607 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. 0 0 8599123 7710350 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 $89 MILLION TO FUND LUPUS RESEARCH PROJECTS. IN 2013, NEW GRANTS TOTALING APPROXIMATELY $7.6 MILLION WERE AWARDED, OF WHICH APPROXIMATELY $6.6 MILLION WENT TO 12 INVESTIGATORS WITH PROMISING NEW AVENUES OF RESEARCH UNDER THE TARGET IDENTIFICATION IN LUPUS (TIL) THREE YEAR GRANT MECHANISM AND $1 MILLION WAS AWARDED TO 4 PROJECTS UNDER THE ALR'S NEW COLLABORATION WITH CENTERS FOR THERAPEUTIC INNOVATION, AN INNOVATIVE PFIZER PROGRAM, WHICH PROVIDES A RESEARCHER UP TO $250,000 PER YEAR FOR LUPUS RESEARCH WITH THE POTENTIAL FOR A SECOND YEAR OF FUNDING BASED UPON THE SUCCESS OF THE FIRST YEAR OF STUDIES.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.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. 513410 SCIENTIFIC PROGRAMS:THE ALR ENCOURAGES CROSS-SECTOR AND CROSS-DISCIPLINE PARTNERSHIPS TO FOSTER AN INNOVATIVE RESEARCH ENVIRONMENT. IN 2013, 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, THE GENETIC PATHWAYS GRANT MECHANISM, CONTINUED SUPPORT FOR THE SLE GENETICS CONSORTIUM AND ENCOURAGING PARTNERSHIPS AMONG INVESTIGATORS, PHARMACEUTICAL AND BIOTECH COMPANIES AND FOR CLINICAL TRIALS. (SEE SCHEDULE O). IN 2013, THE ALR EMBARKED ON A PARTNERSHIP WITH THE LUPUS RESEARCH INSTITUTE (LRI) TO EXPLORE A NEW PROGRAM DESIGNED TO EVALUATE DRUGS ALREADY APPROVED OR VERY CLOSE TO APPROVAL FOR OTHER INDICATIONS AS POSSIBLE CANDIDATES FOR REPURPOSING FOR LUPUS. THE SCIENTIFIC ASSESSMENT CONDUCTED WAS COMPREHENSIVE AND EVIDENCE-BASED, WITH EMPHASIS PLACED ON THE CANDIDATE DRUG'S MECHANISM OF ACTION, SAFETY PROFILE AND THE FEASIBILITY OF CONDUCTING A PROOF OF CONCEPT CLINICAL TRIAL IN LUPUS PATIENTS. THE INITIAL PHASE OF THIS PROJECT IS NOW COMPLETE; APPROXIMATELY 150 CANDIDATE DRUGS THAT MAY HAVE A REASONABLE BASIS FOR EFFICACY FOR SLE, CLE, LN AND/OR CNS LUPUS HAVE BEEN IDENTIFIED. THESE CANDIDATES ARE BEING PRIORITIZED BY AN EXPERT COMMITTEE IN 2014 AS THE ALR AND LRI ARE COMMITTED TO SUPPORTING SMALL, SCIENCE-RICH, PROOF OF CONCEPT TRIALS TO ASSESS AS MANY CANDIDATES AS REASONABLY POSSIBLE. 111715 PUBLIC POLICY: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 $10 MILLION TO LUPUS RESEARCHERS SINCE 2004.IN 2013, MEMBERS OF THE LUPUS COMMUNITY GATHERED IN WASHINGTON, DC FOR THE SECOND CONGRESSIONAL BRIEFING ON LUPUS. THE MEETING OF THE CONGRESSIONAL LUPUS CAUCUS GAVE THOSE ATTENDING A CHANCE TO SHARE THEIR PERSONAL STORIES AND TO SPEAK ABOUT WHY SUPPORTING LUPUS RESEARCH AND CONSIDERING FUTURE POLICY IS VITAL FOR ADVANCING TREATMENTS AND ULTIMATELY FINDING A CURE FOR LUPUS. THE ALR PARTNERED WITH THE LUPUS RESEARCH INSTITUTE TO SUPPORT THESE EFFORTS. 9224248 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 1 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 37 0 1 27 1 0 0 0 0 0 1 1 0 0 0 0 X 10 10 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 TRESURER 1.00 X X 0 0 0 IRA AKSELRAD SECRETARY 1.00 X X 0 0 0 JAMES P ANDREW DIRECTOR 1.00 X 0 0 0 NEIL J BURMEISTER DIRECTOR 1.00 X 0 0 0 ALISON HARMELIN DIRECTOR 1.00 X 0 0 0 CHARLES J HUEBNER MD 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 KENNETH M FARBER PRESIDENT 30.00 X 273900 0 0 DEBRA ROSE CHIEF OPERATING OFFICER 40.00 X 121241 0 35561 ROBERT D HINNEN NAT'L BUS. DEV. DIRECTOR 40.00 X 114446 0 19301 509587 0 54862 3 0 1 0 MOUTH INC 155 SIXTH AVENUE SUITE 701 NEW YORK NY 10013 COMMUNICATIONS AGENCY 121500 KIM KAISER & ASSOCIATES LLC 178 FLAX HILL ROAD NORWALK CT 06854 PHARMA CONSULTANT 113063 2 3447653 4776215 40158 8223868 1606562 1606562 256800 111662 145138 145138 145138 15715308 14231549 1483759 1483759 1483759 244003 3447653 244003 0 783 394 389 389 SUBLET INCOME 532000 79231 79231 RETURN OF GRANTS & ADJUSTMENTS 900099 69265 69265 148496 11608212 0 0 3384344 7148120 7148120 562230 562230 432276 228650 87107 116519 1222708 428058 182826 611824 94122 32873 13447 47802 215302 75838 35898 103566 108034 38351 20404 49279 4660 4660 42659 42659 49000 49000 50859 50859 428875 54447 172547 201881 34907 679 23865 10363 225332 114356 53823 57153 448707 159288 84745 204674 194862 52382 37574 104906 262029 243462 9905 8662 31244 11092 5900 14252 24674 8759 4660 11255 WALKATHON PROMOTIONAL E 161325 161325 PRINTING & PUBLICATIONS 154709 26400 14436 113873 POSTAGE, SHIPPING & DEL 73943 8241 12771 52931 DATA PROCESSING & CREDI 58641 14669 20538 23434 56533 16353 22806 17374 12085751 9224248 901430 1960073 X 201656 40331 0 161325 3957910 2315005 5398665 4714220 631800 741831 58358 163703 1936407 258787 1680987 1677620 42169685 50164508 93408 93408 53990813 59870295 287806 227825 11943397 12588188 26115 12675 12257318 12828688 X 31215005 47021607 10518490 20000 41733495 47041607 53990813 59870295 -477539 5785651 0 X 0 1 X 1 0 X 9087239 6357332 9496235 8871788 8223868 42036462 9087239 6357332 9496235 8871788 8223868 42036462 20445034 21591428 398450 1694497 1629738 1474151 1942593 7139429 445 386 359 389 1579 49177470 0.43910 0.46010 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 111717 111717 11974034 12085751 754288 188572 0 0 681215 724787 796602 754288 2956892 4435338 150604 106989 112653 111717 481963 170304 181197 199151 188572 739224 1108836 31218383 10000000 8816260 3081606 46953037 18416644 10000000 4761791 1960052 31218383 8416644 10000000 1899035 -1899035 18416644 10000000 -278316 -1305040 8416644 1.00000 0.00000 0.00000 0 0 1600000 1600000 0 42129 20574 21555 294278 238213 56065 0 1677620 SECURITY DEPOSIT PAYABLE 12675 12675 X 17273739 5785651 5785651 11488088 50859 69265 120124 11608212 11965627 0 11965627 50859 69265 120124 12085751 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 $40,970 AND ADJUSTMENTS TO OUTSTANDING GRANTS IN THE AMOUNT OF 28,295. 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. 1 EUROPE 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION GRANT AWARDED 554751 NORTH AMERICA 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION GRANT AWARDED 7479 0 0 0 0 0 0 562230 0 562230 EUROPE LUPUS RESEARCH 554751 CHECK FMV NORTH AMERICA LUPUS RESEARCH 7479 CHECK FMV 2 0 0 0 0 0 0 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 X 1 DS CONSULTING GROUP 111 W 57TH STREET STE 419 NEW YORK NY 10019 SPECIAL EVENT CONSULTANT 1 566600 49000 566600 566600 49000 566600 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 901725 686538 215187 215187 WALK-A-THONS 2789931 2761115 28816 28816 3691656 3447653 244003 244003 244003 0 SCHEDULE G, PART I, LINE 2B, COLUMN (V) DS CONSULTING PLANNED AND MANAGED ALR'S GALA EVENT. CONTRACT AMOUNT FOR THE PERIOD COVERING 1/1/13 - 12/31/13 WAS $49,000 PLUS REIMBURSABLE EXPENSES. 1 AMPEL LLC 1545 LONDON ROAD CHARLOTTESVILLE VA 22901 463230076 28175 BOOK LUPUS RESEARCH DUKE UNIVERSITY MEDICAL CENTER 508 FULTON STREET DURHAM NC 27705 560532129 501(C)(3) 564122 BOOK LUPUS RESEARCH JOAN & SANFORD I WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY 525 LEXINGTON AVENUE 9TH FLOOR NEW YORK NY 10025 131623978 501(C)(3) 12850 BOOK LUPUS RESEARCH PARTNERS HEALTHCARE 101 HUNTINGTON AVENUE BOSTON MA 02199 432300350 501(C)(3) 246132 BOOK LUPUS RESEARCH TEMPLE UNIVERSITY 3322 NORTH BROAD STREET MOB 205 PHILADELPHIA PA 191405104 231365971 501(C)(3) 553789 BOOK LUPUS RESEARCH CHILDREN'S HOSPTIAL OF PHILADELPHIA 3615 CIVIC CENTER BOULEVARD PHILADELPHIA PA 19104 231352166 501(C)(3) 358458 BOOK LUPUS RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 13649 BOOK LUPUS RESEARCH THE HOSPITAL FOR SPECIAL SURGERY 535 EAST 70TH STREET NEW YORK NY 10021 131624135 501(C)(3) 1046377 BOOK LUPUS RESEARCH THE REGENTS OF THE UNIVERSITY OF CALIFORNIA SAN DIEGO 374 PARNASSUS AVENUE 1ST FLOOR SAN FRANCISCO CA 94143 956006144 501(C)(3) 13543 BOOK LUPUS RESEARCH THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL LOCK BOX 402420 6000FELDWOOD ROAD COLLEGE PARK GA 30349 566001393 501(C)(3) 9991 BOOK LUPUS RESEARCH UNIVERSITY OF COLORADO DENVER AMC AND DC BUILDING 500 13001 EAST 17TH PLACE W1126 AURORA CO 80045 846000555 501(C)(3) 13383 BOOK LUPUS RESEARCH UNIVERSITY OF FLORIDA 207 TIGERT HALL GAINESVILLE FL 32611 596002052 FL STATE GOVERNMENT 936975 BOOK LUPUS RESEARCH UNIVERSITY OF HOUSTON 5000 GULF FREEWAY HOUSTON TX 77204 746001399 TX STATE GOVERNMENT 192289 BOOK LUPUS RESEARCH UNIVERSITY OF MINNESOTA - TWIN CITIES 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 MN STATE GOVERNMENT 548937 BOOK LUPUS RESEARCH UNIVERSITY OF PITTSBURGH 116 ATWOOD STREET SUITE 201 PITTSBURGH PA 15260 250965591 501(C)(3) 66667 BOOK LUPUS RESEARCH UNIVERSITY OF VIRGINIA 914 EMMET ST BOX 400127 CHARLOTTESVILLE VA 22903 546001796 501(C)(3) 554039 BOOK LUPUS RESEARCH USCUNIVERSITY OF SOUTHERN CALIFORNIA 2011 ZONAL AVE LOS ANGELES CA 90089 951642394 501(C)(3) 560820 BOOK LUPUS RESEARCH UT SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BOULEVARD DALLAS TX 75390 746000203 TX STATE GOVERNMENT 569914 BOOK LUPUS RESEARCH UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER 7703 FLOYD CURL DRIVE SAN ANTONIO TX 78229 746000203 TX STATE GOVERNMENT 549615 BOOK LUPUS RESEARCH WAKE FOREST UNIVERSITY HEALTH SCIENCES 1920 WEST 1ST STREET WINSTON SALEM NC 27104 223849199 501(C)(3) 13250 BOOK LUPUS RESEARCH ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI ONE GUST AVE L LEVY PLACE NEW YORK NY 100296500 136171197 501(C)(3) 250000 BOOK LUPUS RESEARCH BAYLOR RESEARCH INSTITUTE 3434 LIVE OAK DALLAS TX 75204 751921898 501(C)(3) 7231 BOOK LUPUS RESEARCH BRIGHAM AND WOMEN'S HOSPITAL INC 4 BLACK FAN CIRCLE BOSTON MA 02115 042312909 501(C)(3) 14993 BOOK LUPUS RESEARCH STANFORD UNIVERSITY 269 CAMPUS DRIVE CCSR BUILDING ROOM 2215A STANFORD CA 94305 941156365 501(C)(3) 7513 BOOK LUPUS RESEARCH UNIVERSITY OF PENNSYLVANIA 421 CURIE BOULEVARD PHILADELPHIA PA 19104 231352685 501(C)(3) 7490 BOOK LUPUS RESEARCH VIRGINA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 914 EMMET ST BOX 400127 CHARLOTTESVILLE VA 22903 546001796 501(C)(3) 7918 BOOK LUPUS RESEARCH 20 6 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 273900 0 0 0 0 0 0 0 0 0 273900 0 0 0 DEBRA ROSE CHIEF OPERATING OFFICER 121241 0 0 0 0 0 11988 0 23573 0 156802 0 0 0 X 3 40158 AVG STOCK VALUE 0 1 1 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 2013, 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.