2014-11-14T14:16:00-06:00 2013-12-31 271235638 MOUNTJOY CHILTON MEDLEY LLP 462 S FOURTH ST SUITE 2600 LOUISVILLE KY 402023445 990 2013-01-01 830392250 NATIONAL STEM CELL FOUNDATION INC NATI 5023798544 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 DR PAULA GRISANTI CHAIRMAN 5023798544 2014-11-14 1 REBECCA L PHILLIPS CPA P00024055 5027491900 2013 2015-11-30 17:44:51Z X DR PAULA GRISANTI 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 5895573 0 X WWW.NATIONALSTEMCELLFOUNDATION.ORG X 2003 DC TO FUND, PROMOTE AND SUPPORT COLLABORATION BETWEEN RESEARCHERS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUND PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS, IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM DISEASES AND CONDITIONS THAT MAY BENEFIT FROM ADULT STEM CELL RESEARCH, AND MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 5 5 1 5 0 0 563050 112193 0 200000 441 3934734 0 7830 563491 4254757 506330 264537 0 0 69378 79586 0 0 13325 248985 198341 824693 542464 -261202 3712293 1685178 5040131 763088 405748 922090 4634383 X TO FUND, PROMOTE AND SUPPORT COLLABORATION BETWEEN RESEARCHERS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUND PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS, IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM DISEASES AND CONDITIONS THAT MAY BENEFIT FROM ADULT STEM CELL RESEARCH, AND MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 0 0 482765 264537 200000 THE NATIONAL FOUNDATION TO SUPPORT CELL TRANSPLANT RESEARCH, INC. FUNDED RESEARCH AND CLINICAL TRIAL COLLABORATIONS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUNDED PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS AND WORKED TO MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 482765 1 1 0 0 0 0 0 0 0 0 1 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 8 0 1 1 1 0 0 0 0 0 0 0 0 0 0 X 5 5 1 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 KY X PAULA GRISANTI DMD 5023798544 462 S 4TH STREET NO 1230 LOUISVILLE KY 40202 PAULA GRISANTI CHAIRMAN 40.00 X X 0 0 0 C DENNIS RIGGS SECRETARY/TREASURER 1.00 X X 0 0 0 MICHAEL GRISANTI DIRECTOR 2.00 X 0 0 0 BRUCE S WOLFF DIRECTOR 5.00 X 0 0 0 JOHN M CRANOR III DIRECTOR 1.00 X 0 0 0 DIANE CORNWELL CHIEF FINANCIAL OFFICER 1.30 X 16000 0 0 16000 0 0 0 0 0 0 LIFE-SCI CONSULTING 333 EAST MAIN ST 310 LOUISVILLE KY 40202 CONSULTING-TRANSFER OF PROGRAM ASSETS 600000 PROSKAUER ROSE LLP ELEVEN TIMES SQUARE NEW YORK NY 10036 LEGAL-TRANSFER OF PROGRAM ASSETS 560792 2 112193 112193 SUBLICENSE FEES 900099 200000 200000 200000 550 550 5575000 1640816 3934184 3934184 3934184 INTEREST FORGIVENESS 900099 7830 7830 7830 4254757 200000 0 3942564 264537 264537 16000 16000 57929 43457 5793 8679 1226 919 123 184 4431 3324 443 664 41537 41537 18804 4729 14075 878 516 186 176 2379 2308 71 3573 1557 1705 311 17755 13317 1775 2663 159 159 7400 7400 63122 58510 4612 35070 34110 383 577 INTELLECTUAL PROPERTY C 6544 6544 MISCELLANEOUS EXPENSE 1120 1120 542464 482765 46374 13325 650954 4545222 71348 61418 9328 7531 15325 9947 9990 5378 58510 0 885048 420582 1685178 5040131 74344 70748 440132 150000 185000 185000 63612 0 763088 405748 X 850743 4576162 71347 58221 922090 4634383 1685178 5040131 3712293 0 X X 0 1 X 1 0 X 235221 1540484 464817 563050 112193 2915765 235221 1540484 464817 563050 112193 2915765 789188 2126577 1966 568 641 441 550 4166 25 7830 7855 2927786 200000 0.72630 0.77750 X SCHEDULE A, PART IV, LIST OF UNUSUAL GRANTS: DESCRIPTION: ACCRUED ROYALTY FEES DATE: 04/21/11 AMOUNT: 1400000. DESCRIPTION: CHANGE IN DISCOUNTED PLEDGE DATE: 12/31/09 AMOUNT: 56017. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 15325 9947 5378 5378 OTHER PROGRAM RELATED ASSETS 420582 420582 X 4390195 135438 135438 4254757 0 4254757 677902 135438 135438 542464 0 542464 PART X, LINE 2: THE FOUNDATION HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING THAT IT IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF INTERNAL REVENUE CODE AND IS CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE FINANCIAL STATEMENTS. THE FOUNDATION RECOGNIZES UNCERTAIN INCOME TAX POSITIONS USING THE "MORE-LIKELY-THAN-NOT" APPROACH AS DEFINED IN THE ACCOUNTING STANDARDS CODIFICATION. NO LIABILITY FOR UNCERTAIN TAX POSITIONS HAS BEEN RECORDED IN THE ACCOMPANYING FINANCIAL STATEMENTS. THE FOUNDATION'S 2010 - 2013 TAX YEARS REMAIN OPEN AND SUBJECT TO EXAMINATION. 1 UNIVERSITY OF LOUISVILLE RESEARCH FOUNDATION CONTROLLERS OFFICE UNIVERSITY OF LOUISVILLE LOUISVILLE KY 40292 611029626 501(C)(3) 57750 1586 COST CRITICAL REAGENTS RESEARCH AND ADVANCEMENT OF CLINICAL TRIALS ASSOCIATED WITH ADULT STEM CELL THERAPIES. THE COMMUNITY FOUNDATION OF LOUISVILLE 325 W MAIN STREET SUITE 1110 LOUISVILLE KY 40202 310997017 501(C)(3) 200000 RESEARCH AND ADVANCEMENT OF CLINICAL TRIALS ASSOCIATED WITH ADULT STEM CELL THERAPIES. THE UNIVERSITY OF TEXAS MD ANDERSON CANCER CENTER 1515 HOLCOMBE BLVD HOUSTON TX 77030 746000203 501(C)(3) 5201 RESEARCH AND ADVANCEMENT OF CLINICAL TRIALS ASSOCIATED WITH ADULT STEM CELL THERAPIES. 3 PART I, LINE 2: THE ORGANIZATION MEETS REGULARLY WITH REPRESENTATIVES FROM THE GRANT RECIPIENT(S) AND RECEIVES UPDATES AND REPORTS REGARDING EXPENDITURE OF THE FUNDS. FORM 990, PART VI, SECTION A, LINE 2 PAULA GRISANTI, CHAIRMAN OF THE BOARD, AND MICHAEL GRISANTI, DIRECTOR, HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 3 THE ORGANIZATION HAS CONTRACTED ITS FINANCIAL MANAGEMENT OVERSIGHT TO AN OUTSIDE CHIEF FINANCIAL OFFICER AND ITS DAY TO DAY FINANCIAL DUTIES TO A CONTROLLER. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 WAS PREPARED BY OUTSIDE ACCOUNTING FIRM AND REVIEWED IN DETAIL BY CONTRACT CFO, CONTRACT CONTROLLER AND BOARD CHAIR. A COPY WAS THEN SENT TO EACH BOARD MEMBER FOR THEIR REVIEW BEFORE THE FORM 990 WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C EVERY PROPOSED TRANSACTION IS REVIEWED TO DETERMINE WHETHER A POSSIBLE CONFLICT COULD EXIST. TO DATE NO POTENTIAL CONFLICTS HAVE BEEN IDENTIFIED. FORM 990, PART VI, SECTION B, LINE 15 POLICY HAS BEEN ADOPTED; HOWEVER CURRENTLY THE CHAIR AND OTHER OFFICERS SERVE WITHOUT COMPENSATION. CONTRACTED CFO AND CONTRACTED CONTROLLER ARE PAID ON AN HOURLY BASIS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM PRIOR YEAR. THE ORGANIZATION'S BOARD OF DIRECTORS CONTINUE TO SELECT THE INDEPENDENT ACCOUNTANT. THE COMMITTEE CONTINUES TO MEET WITH THE INDEPENDENT AUDITOR AT THE CONCLUSION OF THE ANNUAL AUDIT.