2014-11-14T11:21:20-06:00 2013-12-31 131517563 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2013-01-01 131739923 BOYCE THOMPSON INSTITUTE FOR PLANT RESEARCH INC BOYC 6072541234 533 TOWER ROAD ITHACA NY 148531801 SOPHIA DARLING VP FINANCE 6072541234 2014-11-14 1 ISRAEL TANNENBAUM P01589203 2128674000 2013 2015-11-30 17:44:51Z DAVID STERN 533 TOWER ROAD ITHACA NY 148531801 975017069 0 X WWW.BTI.CORNELL.EDU X 1924 NY THE BOYCE THOMPSON INSTITUTE FOR PLANT RESEARCH, INC. (BTI) WAS FOUNDED BY WILLIAM BOYCE THOMPSON OUT OF A CONVICTION THAT "ANY PRINCIPLES CONCERNING THE NATURE OF LIFE THAT YOU CAN ESTABLISH FOR PLANTS, WILL HELP YOU UNDERSTAND MAN, IN HEALTH AND IN DISEASE." HE ALSO SAW PLANT SCIENCE AS A MEANS OF ENDING HUNGER, THUS ULTIMATELY PROMOTING DEMOCRACY AND POLITICAL STABILITY. BTI SCIENTISTS INCREASE THE UNDERSTANDING OF PLANTS FOR THE BENEFIT OF PEOPLE AND THE ENVIRONMENT, CONCENTRATING PARTICULARLY ON PLANT DEVELOPMENT, MOLECULAR PLANT MICROBE INTERACTIONS, AND MOLECULAR AND CHEMICAL ECOLOGY. BTI ENVISIONS A WORLD IN WHICH NUTRITIOUS FOOD IS IN ABUNDANCE, THE ENVIRONMENT IS SECURE, AND PEOPLE LIVE FULLER, HEALTHIER LIVES. THIS VISION CAN BE REALIZED IN PART THROUGH THE STUDY OF PLANT BIOLOGY. AT BTI, WE STRIVE TO BE A WORLD LEADER IN PLANT BIOLOGY. 18 17 190 17 0 0 10232418 8370240 0 0 4342795 15120011 751598 331617 15326811 23821868 2258377 1756549 0 0 11774733 10786257 0 0 180811 4364119 3859422 18397229 16402228 -3070418 7419640 100249234 104102629 13402041 11454650 86847193 92647979 X TO ADVANCE AND COMMUNICATE SCIENTIFIC KNOWLEDGE IN PLANT BIOLOGY TO IMPROVE AGRICULTURE, PROTECT THE ENVIRONMENT, AND ENHANCE HUMAN HEALTH. 0 0 9588022 1569284 SEE SCHEDULE OIMPROVE AGRICULTURE/SUSTAINABLE FOOD PRODUCTION. INSTITUTE SCIENTISTS ADVANCE, COMMUNICATE, AND APPLY PLANT RESEARCH TOWARDS PRODUCING AN INCREASINGLY SUSTAINABLE FOOD SUPPLY. THE UNITED NATIONS FEBRUARY, 2010 FOOD SECURITY ANALYSIS CITES CLIMATE CHANGE, NATURAL DISASTER, RAPID URBANIZATION, AND UNPRECEDENTED POPULATION GROWTH AS GREAT CHALLENGES TO THE SUSTAINABLE FUTURE OF THE WORLD FOOD SUPPLY. AT BTI, SCIENTISTS ARE INVESTIGATING, AT THE MOLECULAR LEVEL, HOW PLANTS GROW, RESPOND TO LIGHT, AND MAKE USE OF THESE FUNCTIONS ON A SCALE THAT CAN MEET DEMAND. CURRENT RESEARCH IS FOCUSED ON IMPROVING THE NUTRITIVE QUALITY OF FOOD, INCREASING YIELD, AND FURTHERING THE SUSTAINABILITY OF AGRONOMICALLY VIABLE PLANT SPECIES. SPECIFIC RESEARCH FOCUSES ON INCREASED SHELF-LIFE TO REDUCE FOOD WASTE, NATURAL INSECT CONTROL TO FURTHER REDUCE THE NEED FOR PESTICIDES, ENHANCED DISEASE RESISTANCE IN PLANTS, CROPS THAT PRODUCE HIGHER YIELD WITH LESS LIGHT, REDUCED NEED FOR CHEMICAL FERTILIZATION AND BREED PLANTS WITH HIGHER TOLERANCE FOR ENVIRONMENTAL STRESSORS SUCH AS DROUGHT, HEAT AND COLD. 1302255 22536 SEE SCHEDULE OPROTECT THE ENVIRONMENT AND RENEWABLE ENERGY. INSTITUTE SCIENTISTS ADVANCE, COMMUNICATE AND APPLY PLANT RESEARCH TO PROTECTING THE ENVIRONMENT AND ADVANCING RENEWABLE ENERGY. PLANTS HELP OFFSET GLOBAL WARMING BY ABSORBING CARBON DIOXIDE. PLANTS ALSO PROVIDE RENEWABLE AND SUSTAINABLE SOURCES OF FOOD AND ENERGY, WORLDWIDE. AT BTI, SCIENTISTS USE A SUITE OF MODERN TECHNIQUES TO UNDERSTAND KEY PROCESSES SUCH AS PHOTOSYNTHESIS AND BIOMASS PRODUCTION AT THE MOLECULAR, BIOCHEMICAL AND GENETIC LEVEL. RESEARCH AT BTI AIMS TO IMPROVE PLANT GROWTH AND INCREASE YIELD WITH FEWER NEGATIVE EFFECTS ON THE ENVIRONMENT. 1632541 164729 SEE SCHEDULE OIMPROVED HUMAN HEALTH. INSTITUTE SCIENTISTS ADVANCE, COMMUNICATE, AND APPLY PLANT RESEARCH TOWARDS IMPROVED HUMAN HEALTH. CURRENT RESEARCH AT BTI MAY LEAD TO AN INCREASE IN OUR UNDERSTANDING OF HUMAN DISEASES SUCH AS DIABETES, ALZHEIMER'S DISEASE AND AGING-RELATED DISEASES; PRODUCE FOODS TO COMBAT VITAMIN DEFICIENCIES; PROVIDE NATURAL WAYS TO CONTROL BLOOD PRESSURE; AND USE GENETIC TOOLS TO COMBAT DISEASE IN HUMANS, SUCH AS THE EMPLOYMENT OF PLANT-DERIVED COMPOUNDS AS ANTI-CANCER AGENTS. 1011107 0 RESEARCH TOOLS & COMMUNICATIONS: INSTITUTE SCIENTISTS ADVANCE, COMMUNICATE, AND APPLY PLANT RESEARCH TOWARDS THE ADVANCEMENT OF SCIENTIFIC KNOWLEDGE. VIRTUALLY EVERY DAY, SCIENTISTS DISCOVER AND RECORD A STAGGERING AMOUNT OF NEW INFORMATION ABOUT THE GENES, PROTEINS AND CHEMICALS THAT DIRECT THE LIFE OF CELLS. THEY ARE ALSO CONTINUALLY DEVELOPING NEW TECHNIQUES FOR LABORATORY RESEARCH. BTI SCIENTISTS ARE DEVELOPING INNOVATIVE SOFTWARE AND DATABASES, ENABLING RESEARCHERS TO BETTER ORGANIZE, ACCESS AND RETRIEVE A WEALTH OF DATA, ISOLATE AND IDENTIFY SPECIFIC GENES CONTROLLING THE SPECIFIC LIFE PROCESSES AND IDENTIFY MOLECULES WITH POTENTIAL EVOLUTIONARY, BIOLOGICAL AND MEDICAL IMPORTANCES. 1011107 13533925 1 1 0 0 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 3 0 190 1 0 0 0 0 0 0 0 0 0 0 X 18 17 1 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X SOPHIA DARLING 6072541225 533 TOWER ROAD ITHACA NY 148531801 DAVID STERN PRESIDENT 40.00 X X 327894 0 77559 EZRA CORNELL DIRECTOR 0.40 X 0 0 0 ROY H PARK JR DIRECTOR 0.40 X 0 0 0 LAURA A PHILLIPS DIRECTOR 0.40 X 0 0 0 MACHI DILWORTH DIRECTOR 0.40 X 0 0 0 ANDY BASS DIRECTOR 0.40 X 0 0 0 ALAN J BILOSKI DIRECTOR 0.40 X 0 0 0 PETER BRUNS DIRECTOR 0.40 X 0 0 0 THOMAS BURR DIRECTOR 0.40 X 0 0 0 MARY LOU GUERINOT DIRECTOR 0.40 X 0 0 0 GREGORY GALVIN DIRECTOR 0.40 X 0 0 0 GREGORY HARTZ DIRECTOR 0.40 X 0 0 0 PAMELA RONALD DIRECTOR 0.40 X 0 0 0 KIRA SHEINERMAN DIRECTOR 0.40 X 0 0 0 CRISPIN TAYLOR DIRECTOR 0.40 X 0 0 0 KATHRYN BOOR DIRECTOR 0.40 X 0 0 0 PAUL CHOMET DIRECTOR 0.40 X 0 0 0 WILLIAM FRY DIRECTOR 0.40 X 0 0 0 SOPHIA DARLING VP FINANCE 40.00 X 124601 0 13541 JOAN CURTISS COO 40.00 X 107412 0 19810 BRIDGET RIGAS-GARZON VP - COMMUNICATIONS AND DEVELOPMENT 40.00 X 86009 0 13572 JANE CALDER ASSISTANT SECRETARY 40.00 X 57831 0 14083 KAREN KINDLE VP RESEARCH 40.00 X 30377 0 4232 VANESSA GREENLEE SECRETARY 40.00 X 8767 0 1328 DR ERIC RICHARDS PROFESSOR 40.00 X 231661 0 31097 DR DANIEL KLESSIG PROFESSOR 40.00 X 224246 0 39678 DR MARIA HARRISON SCIENTIST 40.00 X 167512 0 24920 GEORG JANDER ASSOCIATE PROFESSOR 40.00 X 108331 0 28290 LUKAS MUELLER ASSOCIATE PROFESSOR 40.00 X 103435 0 20935 1578076 0 289045 8 0 1 0 LVW ADVISORS LLC 67 MONROE AVE PITTSFORD NY 14535 INVESTMENT COUNSULTING 184805 1 7468529 901711 8370240 507430 507430 299445 299445 965730559 77223 951021258 173943 14709301 -96720 14612581 14612581 MISCELLANEOUS 900099 32172 32172 32172 23821868 0 0 15451628 1619230 1619230 137319 137319 887016 237335 550101 99580 7087144 6439759 647385 1137896 1020928 116968 1222643 1100379 122264 451558 378108 67811 5639 97458 82957 14501 61071 61071 337423 337423 263026 171080 80578 11368 1015386 850346 157060 7980 619449 386660 185781 47008 360282 230319 120727 9236 708051 684770 23281 196826 196826 EQUIPMENT MAINTENANCE 200450 194735 5715 16402228 13533925 2687492 180811 552019 214190 3544061 2805272 1308560 1651497 36239 34114 105897 10798458 7283313 4206293 3515145 65845048 862690 24674572 94904338 82442 9486 100249234 104102629 1113384 7031593 106724 874940 12181933 3548117 13402041 11454650 X 82465764 87965416 1359229 1660363 3022200 3022200 86847193 92647979 100249234 104102629 X 7419640 -4915426 3296572 X X 0 1 X 1 1 1 X 11161857 12519600 13226816 10232418 8370138 55510829 1804267 1527898 1614589 1580263 1717336 8244353 12966124 14047498 14841405 11812681 10087474 63755182 63755182 1612527 1578754 1580796 3204573 806875 8783525 10361645 44194 13434 1782 32172 10453227 82991934 0.76820 0.77110 X SCHEDULE A, PART II, LINE 10 MISCELLANEOUS REVENUE REVENUE IS RELATED TO INTELLECTUAL PROPERTY AND RENTAL OF EQUIPMENT TO OTHER LABORATORIES. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3689702 472899 124306 4038295 3351611 468313 130222 3689702 3640860 -138472 150777 3351611 3388364 405030 152354 3640860 3022200 501441 135277 3388364 0.75000 0.25000 0 0 4900636 2947531 1953105 5896822 4335782 1561040 1000 1000 3515145 PRIVATE EQUITIES - LLC'S 94780535 F EQUITY - LLC'S 123803 F 94904338 ACCRUED POST-RETIREMENT BENEFITS 2958995 DUE TO INVENTORS 22835 DEFERRED COMPENSATION 566287 3548117 X 20286355 -4915426 1717336 -3198090 23484445 337423 337423 23821868 17782141 1717336 1717336 16064805 337423 337423 16402228 PART V, LINE 4: THE INCOME HAS BEEN BOARD DESIGNATED TO SUPPORT A POSITION IN PLANT MOLECULAR BIOLOGY. PART X, LINE 2: THE INSTITUTE HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. TAX RETURNS FOR THE YEARS DECEMBER 31, 2010 AND SUBSEQUENT REMAIN SUBJECT TO EXAMINATION BY APPLICABLE TAXING AUTHORITIES. PART XII, LINE 2D ADJUSTMENT TO REFLECT PENSION FUNDING STATUS $3,296,572 1 EUROPE 0 0 GRANTS TO RECIPIENTS IMPROVE AGRICULTURE 17774 SOUTH AMERICA 0 0 GRANTS TO RECIPIENTS IMPROVE AGRICULTURE 119545 0 0 0 0 0 0 137319 0 137319 EUROPE COLLABORATIVE RESEARCH 17774 WIRE TRANSFER 0 SOUTH AMERICA COLLABORATIVE RESEARCH 119545 WIRE TRANSFER 0 2 0 0 0 0 0 0 0 SCHEDULE F, PART I, LINE 2 THE ORGANIZATION MONITORS EACH SUB-RECIPIENT OF A GRANT, BOTH DOMESTIC AND FOREIGN, WITH A YEARLY REVIEW OF AUDIT COMPLIANCE AND BUDGETS. EACH SUB-RECIPIENT IS REQUIRED TO REPORT FINANCIAL STATEMENTS, PERFORMANCE REPORTS, AUDIT REPORTS, AND TIMELY RESOLUTION OF AUDIT FINDINGS. SUPERVISORY REVIEWS ARE PERFORMED TO DETERMINE THE ADEQUACY OF SUB-RECIPIENT MONITORING. 1 COLORADO STATE UNIV 2002 CAMPUS DEL FORT COLLINS CO 80523 846000545 501(C)(3) 81061 FMV COLLABORATIVE RESEARCH COLUMBIA UNIVERSTIY PO BOX 29789 NEW YORK NY 10087 135598093 501(C)(3) 113832 FMV COLLABORATIVE RESEARCH CORNELL UNIVERSTIY PO BOX 22 ITHACA NY 14851 150532082 501(C)(3) 235421 FMV COLLABORATIVE RESEARCH IOWA STATE UNIVERSTIY 3609 ADM SVC BLDG AMES IA 50011 426004224 STATE OF IOWA 81387 FMV COLLABORATIVE RESEARCH UNIV OF ILLINOIS- URBANA-CHAMP PO BOX 4610 SPRINGFIELD IL 62708 376000511 STATE OF IL 120079 FMV COLLABORATIVE RESEARCH UNIVERSITY OF MIAMI PO BOX 248106 CORAL GABLES FL 33124 590624458 501(C)(3) 15634 FMV COLLABORATIVE RESEARCH UNIVERSITY OF OKLAHOMA 201 DAVID BOREN BLVD NORMAN OK 73019 736017987 STATE OF OK 821576 FMV COLLABORATIVE RESEARCH USDA ARS 950 COLLEGE STATION RD ATHENS GA 30605 720564834 FEDERAL 150240 FMV COLLABORATIVE RESEARCH 8 0 SCHEDULE I, PART I, LINE 2 THE ORGANIZATION MONITORS EACH SUB-RECIPIENT OF A GRANT, BOTH DOMESTIC AND FOREIGN, WITH A YEARLY REVIEW OF AUDIT COMPLIANCE AND BUDGETS. EACH SUB-RECIPIENT IS REQUIRED TO REPORT FINANCIAL STATEMENTS, PERFORMANCE REPORTS, AUDIT REPORTS, AND TIMELY RESOLUTION OF AUDIT FINDINGS. SUPERVISORY REVIEWS ARE PERFORMED TO DETERMINE THE ADEQUACY OF SUB-RECIPIENT MONITORING. X 1 1 X X X X 0 0 0 0 0 0 0 0 0 DAVID STERN PRESIDENT 327378 0 0 0 516 0 54100 0 23459 0 405453 0 0 0 DR ERIC RICHARDS PROFESSOR 231385 0 0 0 276 0 19049 0 12048 0 262758 0 0 0 DR DANIEL KLESSIG PROFESSOR 223454 0 0 0 792 0 31425 0 8253 0 263924 0 0 0 DR MARIA HARRISON SCIENTIST 167236 0 0 0 276 0 19516 0 5404 0 192432 0 0 0 PART I, LINE 1A ACCORDING TO THE PRESIDENT'S CONTRACT WITH THE ORGANIZATION, FIRST-CLASS TRAVEL IS ALLOWED AND IS REIMBURSED AS A NON-TAXABLE BENEFIT. RALPH WF HARDY FORMER DIRECTOR 44167 INDEPENDENT CONTRACTOR 0 FORM 990, PART VI, SECTION A, LINE 2 THE BOARD CHAIR, MR. CORNELL, HAD A BUSINESS RELATIONSHIP WITH MR. STERN, BTI'S PRESIDENT. FORM 990, PART VI, SECTION A, LINE 6 THE BOYCE THOMPSON INSTITUTE, INC. IS A NYS MEMBERSHIP CORPORATION. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS ELECT DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11 BOARD MEMBERS WERE PROVIDED AN ELECTRONIC DRAFT OF THIS RETURN PRIOR TO FILING. INPUT WAS PROVIDED TO THE VP FOR FINANCE. FORM 990, PART VI, SECTION B, LINE 12C ANNUAL CERTIFICATIONS ARE PROVIDED BY DIRECTORS AND OFFICERS TO THE CORPORATE SECRETARY AND DIRECTOR OF HUMAN RESOURCES. CONFLICTS ARE DISCLOSED TO AND REVIEWED BY THE AUDIT COMMITTEE AND BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD COMPENSATION COMMITTEE ESTABLISHES THE SALARIES OF THE PRESIDENT AND THE VICE PRESIDENT, ANNUALLY. COMPARABLE SALARIES AND COST OF LIVING DATA IS PROVIDED BY THE DIRECTOR OF HUMAN RESOURCES. MEETING MINUTES, RECOMMENDATIONS AND SUPPORTING DATA ARE RETAINED BY THE COPORATE SECRETARY. SALARY REVIEWS ARE PERFORMED ANNUALLY, IN NOVEMBER. THE COMPENSATION COMMITTEE MET IN NOVEMBER 2012 TO REVIEW AND SET THE 2013 COMPENSATION FOR THE PRESIDENT, VICE PRESIDENTS, AND VP FOR FINANCE. FORM 990, PART VI, SECTION C, LINE 18 DOCUMENTS ARE AVAILABLE ON REQUEST TO THE CORPORATE SECRETARY. FORM 990, PART VI, SECTION C, LINE 19 DOCUMENTS ARE AVAILABLE ON REQUEST TO THE CORPORATE SECRETARY. FORM 990, PART XI, LINE 9: ADJUSTMENT TO REFLECT PENSION AND POSTRETIREMENT BENEFITS PLAN FUNDING 3,296,572. FORM 990, PART XII, LINE 2C: THE BTI AUDIT COMMITTEE IS RESPONSIBLE FOR OVERSIGHT OF THE AUDIT. THIS PROCESS HAS NOT CHANGED FROM PRIOR YEARS.