2014-11-17T10:01:13-06:00 2014-06-30 420714325 MCGLADREY LLP 8040 EXCELSIOR DR STE 300 MADISON WI 53717 990 2013-07-01 390833612 WISCONSIN ALUMNI RESEARCH FOUNDATION WISC 6082632825 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 STEVEN MIXTACKI CFO/COO 6082632825 2014-11-14 1 JAMES G GRAHAM P00006111 6088333361 2013 2015-11-30 17:44:51Z STEVEN MIXTACKI 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 341965058 0 X WWW.WARF.ORG X 1925 WI TO PROVIDE THE MARGIN OF EXCELLENCE THE UNIVERSITY OF WISCONSIN - MADISON NEEDS TO FULFILL ITS ROLE AS A TWENTY-FIRST CENTURY LEADER IN RESEARCH, DISCOVERY AND INNOVATION.ALSO PROMOTE, ENCOURAGE, AND AID SCIENTIFIC INVESTIGATION AND RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH BY:-HELPING TO COMMERCIALIZE THE TECHNOLOGY ARISING FROM THAT RESEARCH FOR THE BENEFIT OF HUMANKIND-INVESTING THE PROCEEDS OF THE COMMERCIALIZATION EFFORTS AND USE THE ADDED VALUE FROM OUR INVESTMENTS TO PROMOTE, ENCOURAGE, AND AID FURTHER SCIENTIFIC INVESTIGATION AND RESEARCH AT AND WITHIN THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH. 16 15 130 296 136622 -1062107 1234743 568735 92021188 40515144 145897586 294178463 6581478 6702716 245734995 341965058 88398669 89180572 0 0 13640750 14215876 0 0 0 55004878 46454291 157044297 149850739 88690698 192114319 2664532026 3224253090 464115638 747367198 2200416388 2476885892 X SEE PART I, LINE 1 0 1 102421768 57967693 41999586 DIRECT FISCAL 2013-2014 GRANTS OF $57,967,693 WERE MADE TO THE UNIVERSITY OF WISCONSIN - MADISON. THE GRANTS PROVIDED THE UNIVERSITY THE FLEXIBILITY TO CREATE COMPETITIVE PACKAGES TO RECRUIT OR RETAIN 128 PROFESSORS AND HELP FUND PROGRAMS TO RECRUIT AND RETAIN TOP QUALITY GRADUATE STUDENTS. THROUGH THE FALL RESEARCH COMPETITION, THE FOUNDATION FUNDED 309 AWARDS AIMED AT SUPPORTING JUNIOR FACULTY AS THEY BUILD THEIR RESEARCH PROGRAMS. THE FOUNDATION ALSO MATCHED 257 GRANTS, WHICH ALLOWED THE UNIVERSITY TO APPLY FOR AND ACCEPT EXTERNAL RESEARCH SUPPORT REQUIRED A MATCH FROM THE INSTITUTION. THE DIRECT GRANTS ALSO SUPPORTED 9 NAMED PROFESSORSHIPS, 12 NEW KELLETT MID-CAREER FELLOWSHIPS AND 11 NEW ROMNES FACULTY FELLOWSHIPS. IN ADDITION, 145 WARF GRADUATE FELLOWSHIPS WERE WHOLLY OR PARTIALLY FUNDED BY THE FOUNDATION. THROUGH THE ENDOWMENT FOR EXCELLENCE, THE FOUNDATION FUNDED 45 INTERDISCIPLINARY FACULTY MEMBERS IN THE FOLLOWING AREAS; AGRONOMY, ANATOMY, ASTRONOMY, BACTERIOLOGY, BIOMEDICAL ENGINEERING, BIOCHEMISTRY, BIOMOLECULAR CHEMISTRY, BOTANY/STATISTICS, CHEMISTRY, COMPARATIVE BIOSCIENCES, COMPUTER SCIENCE, COMMUNICATIVE DISORDERS, ENTOMOLOGY, ELECTRICAL & COMPUTER ENGINEERING, ENGINEERING PHYSICS, GENERA AND WOMEN'S STUDIES, GENETICS, MATERIAL SCIENCE AND ENGINEERING, MATH/ECE, MATHEMATICS, MATERIAL SCIENCE, MECHANICAL ENGINEERING, MED MICRO & IMMUNOLOGY, PHARMACY, PHARMACOLOGY, PHYSICS, PLANT PATHOLOGY, PSYCHOLOGY, PHYSIOLOGY, RADIOLOGY, AND URBAN & REGIONAL PLANNING.THE PATENT AND LICENSING FUNCTION PRODUCED THE FOLLOWING RESULTS DURING THE YEAR: THE UNIVERSITY OF MADISON DISCLOSED 417 INVENTIONS TO THE WISCONSIN ALUMNI RESEARCH FOUNDATION. THE FOUNDATION FILED 221 U.S. PATENT APPLICATIONS AND 170 FOREIGN PATENT APPLICATIONS ON BEHALF OF THE UNIVERSITY OF WISCONSIN. DURING THE 2013-2014 FISCAL YEAR 164 U.S. PATENTS AND 109 FOREIGN PATENTS WERE GRANTED TO THE FOUNDATION BY THE RESPECTIVE PATENT OFFICES.UNDER FEDERAL LAW (I.E. THE BAYH DOLE ACT) UNIVERSITIES OR THEIR 501(C)(3) PATENT MANAGEMENT ORGANIZATIONS HAVE THE RIGHT TO TAKE TITLE TO INVENTIONS MADE IN THE COURSE OF UNIVERSITY RESEARCH FUNDED IN WHOLE OR IN PART BY AN AGENCY OF THE FEDERAL GOVERNMENT. THE UNIVERSITY OF WISCONSIN - MADISON HAS DELEGATED THIS RIGHT TO WARF. WARF IS THE DESIGNATED PATENT MANAGEMENT ORGANIZATION FOR THE UNIVERSITY OF WISCONSIN- MADISON AND IN THAT ROLE WARF EXERCISES THE UNIVERSITY'S RIGHTS AND OBLIGATIONS UNDER THE BAYH DOLE ACT. DURING THE 2013-2014 FISCAL YEAR, 63 LICENSES AND OPTIONS AGREEMENTS AND 2 EQUITY AGREEMENTS WERE CONCLUDED WITH INDUSTRIAL FIRMS. 31212879 31212879 2509675 THE MORGRIDGE INSTITUTE FOR RESEARCH WAS ESTABLISHED ON NOVEMBER 24, 2006, TO SUPPORT MEDICAL RESEARCH AND EDUCATION AT THE UNIVERSITY OF WISCONSIN-MADISON IN CONJUNCTION WITH THE UNIVERSITY OF WISCONSIN HOSPITALS AND CLINICS AUTHORITY. THE PRIMARY PURPOSES FOR THE INSTITUTE ARE AS FOLLOWS:1.COLLABORATION - SPARK RESEARCH COLLABORATIONS ACROSS THE SCIENCES AND THE UW HOSPITAL THAT ACCELERATE BREAKTHROUGH DISCOVERIES TO IMPROVE HUMAN HEALTH.2.INTERACTION - FOSTER INTERACTION BETWEEN PUBLIC AND PRIVATE RESEARCH THAT BREAKS DOWN BARRIERS BETWEEN RESEARCHERS, LABS AND SCIENTIFIC DISCIPLINES.DURING FISCAL 2013-2014, THE MORGRIDGE INSTITUTE FOR RESEARCH MAINTAINED THE FOLLOWING PROGRAMS:CORE COMPUTATIONAL TECHNOLOGY: -DEVELOP A CYBER-INFRASTRUCTURE THAT PROVIDES HIGH THROUGHPUT COMPUTING AND FOSTERS COLLABORATIVE WORK WITH GLOBAL PARTNERS-DEVELOP SOFTWARE ASSURANCE MARKETPLACE THAT AIDS OPEN SOURCE SOFTWARE DEVELOPERS AND SOFTWARE ASSURANCE TOOLS THAT DEVELOPERS CAN CREATE A MORE SECURE CYBER INFRASTRUCTURE BY OFFERING THE CAPACITY NEEDED TO CONTINUOUSLY TEST AND "REBUILD" THE CODE UNDERLYING CRITICAL INFRASTRUCTURE APPLICATIONS.REGENERATIVE BIOLOGY:- TO UNDERSTAND AND IDENTIFY THE GENOMICS OF THE HUMAN EMBRYONIC STEM CELL- TO CREATE PHYSIOLOGICALLY STABLE, SAFE, AND FUNCTIONAL CELLS TO REPAIR OR REPLACE DISEASED CELLS IN HUMANSMEDICAL DEVICE:- DEVELOP AN UNDERSTANDING OF MEDICAL PROBLEMS THAT CAN POTENTIALLY BE HELPED WITH MEDICAL DEVICES- INVENT, DESIGN, BUILD, ENHANCE, AND TEST MEDICAL DEVICES- MAKE THE TRANSLATION OF MEDICAL DEVICES TO THE CLINIC MORE EFFICIENT, EFFECTIVE, AND SAFEVIROLOGY:- ADVANCE PRACTICAL UNDERSTANDING, PREVENTION, AND TREATMENT OF VIRUSES AND THEIR DISEASES- ENHANCE UNDERSTANDING OF THE BIOLOGY OF HEALTHY CELLS AND TISSUES- DEVELOP NEW TOOLS DERIVED FROM VIRUSES FOR USE IN BIOTECHNOLOGY, NANOTECHNOLOGY, AND MEDICINE OUTREACH EXPERIENCES:- MAKE THE SCIENCE TAKING PLACE AT THE MORGRIDGE INSTITUTE ACCESSIBLE, EXCITING AND RELEVANT TO STUDENTS OF ALL AGES AND ALL WALKS OF LIFE- ASSIST THE MORGRIDGE EDUCATION RESEARCH CHALLENGE AREA IN DEVELOPING CONTENT FOR ITS DIGITAL LEARNING PLATFORMS- CREATE MATERIAL AND HANDS-ON INTERFACES RELATED TO MORGRIDGE RESEARCH FOR THE INFORMAL LEARNING ENVIRONMENT IN THE TOWN CENTER AT THE WISCONSIN INSTITUTES FOR DISCOVERY 0 0 WICELL'S PRIMARY PURPOSE IS TO SUPPORT HUMAN EMBRYONIC STEM CELL RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON; PROVIDE SCIENTIFIC RESEARCH AND INVESTIGATION INTO THE CULTURE, DEVELOPMENT AND DIFFERENTIATION OF HUMAN AND ANIMAL EMBRYONIC STEM CELLS; DISTRIBUTE CELLS; TEACH SCIENTISTS HOW TO SUCCESSFULLY CULTURE THE CELLS; EDUCATE THE GENERAL PUBLIC ABOUT THE SCIENCE; LICENSE THE TECHNOLOGY TO OTHER QUALIFIED RESEARCH ORGANIZATIONS TO PROMOTE ADDITIONAL SCIENTIFIC RESEARCH IN THIS AREA. WICELL DISTRIBUTES HUMAN AND ANIMAL EMBRYONIC STEM CELLS AND LICENSES THE RELATED TECHNOLOGY ONLY TO QUALIFIED RESEARCH ORGANIZATIONS WHICH COMMIT TO CARRY ON SUCH RESEARCH IN AN ETHICAL MANNER.THE SCIENTIFIC RESEARCH CARRIED OUT BY WICELL AND OTHERS WHO ACQUIRE CELLS AND THE RIGHT TO USE THE RELATED TECHNOLOGY HAVE AS THEIR OBJECTIVE THE EVENTUAL, USE OF CELLS TO TREAT OR PREVENT DISEASE AND TO ENABLE DEFECTIVE OR INJURED BODY PARTS OR SYSTEMS TO BE REPAIRED OR REPLACED, AS WELL AS TO UNDERSTAND EARLY HUMAN DEVELOPMENT.WICELL LABORATORY OPERATIONS ARE LOCATED IN THREE SEPARATE FACILITIES: 1.A LABORATORY LOCATED AT 5501 RESEARCH PARK BLVD.IS USED FOR CYTOGENETIC TESTING. 2.A LABORATORY LOCATED IN THE UW RESEARCH PARK IN MADISON, WISCONSIN IS USED FOR CELL DISTRIBUTION, TEACHING ACTIVITIES INVOLVING FEDERALLY APPROVED CELL LINES AND CORE SCIENTIFIC SUPPORT FOR STEM CELL ACTIVITIES AT THE UNIVERSITY OF WISCONSIN-MADISON. DURING FISCAL YEAR 2013-2014 WICELL DISTRIBUTED 328 HUMAN CELL LINES TO COMMERCIAL AND ACADEMIC RESEARCH LABORATORIES BRINGING THE TOTAL CELL LINES DISTRIBUTED TO DATE TO 3,082.WICELL OPERATES ITS RESEARCH FACILITIES WITH 16 SCIENTISTS AND RESEARCH TECHNICIANS. 133634647 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 1040 0 1 130 1 1 1 0 0 0 0 0 0 0 0 0 X 16 15 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 WI CA X X STEVEN MIXTACKI 6082611954 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 ERNEST A MICEK TRUSTEE 2.00 2.00 X 15000 35000 0 JOHN P MORGRIDGE TRUSTEE 2.00 2.00 X 0 0 0 DORIS MEISSNER TRUSTEE 2.00 X 10000 0 0 THOMAS F PYLE TRUSTEE/TREASURER 2.00 3.00 X X 15000 12000 0 CAROL N SKORNICKA TRUSTEE 2.00 2.00 X 15000 20000 0 JOAN E SPERO TRUSTEE 2.00 2.00 X 15000 0 0 JEFFREY C SPRECHER TRUSTEE 2.00 X 0 0 0 GORDON F BRUNNER TRUSTEE 2.00 1.00 X 16500 0 0 CARL E GULBRANDSEN TRUSTEE/MANAGING DIRECTOR 34.00 6.00 X X 636644 20000 72524 PATRICIA LIPTON TRUSTEE/SECRETARY 2.00 2.00 X X 15000 20000 0 KEITH R LOBO TRUSTEE 2.00 X 22375 0 0 PETER P TONG TRUSTEE 2.00 X 17500 0 0 NORMAN BOBINS TRUSTEE 2.00 X 15000 0 0 JOHN ROWE TRUSTEE/PRESIDENT 2.00 3.00 X X 15000 22000 0 REBECCA BLANK TRUSTEE 2.00 X 5000 0 0 JAMES BERBEE TRUSTEE 2.00 2.00 X 10000 0 0 STEVE MIXTACKI CHIEF FINANCIAL OFFICER 39.00 1.00 X 331117 0 135703 LEIGH CAGAN CHIEF TECHNOLOGY COMMERCIA 40.00 X 291295 0 158021 MICHAEL FALK GENERAL COUNSEL/CHIEF OF S 39.00 1.00 X 316119 0 115300 CARRIE THOME DIRECTOR OF INVESTMENTS 40.00 X 521513 0 112045 ALAIN HUNG ASSOC DIR OF INVESTMENTS 40.00 X 394376 0 120591 STEPHANIE ADAMANY ASSOC GENERAL COUNSEL 39.00 1.00 X 204582 0 78447 LAURA HEISLER DIRECT PROG DEVELOP'T 40.00 X 170410 0 90675 CRAIG HEIM ASSISTANT PORTFOLIO MANAGER 40.00 X 169480 0 49033 RYAN ABRAMS ASSISTANT PORTFOLIO MANAGER 40.00 X 157000 0 29146 3378911 129000 961485 30 0 1 0 QUARLES & BRADY LLP 33 E MAIN ST SUITE 900 MADISON WI 53703 LEGAL SERVICES 2833761 CPA GLOBAL LTD LIBERATION HOUSE CASTLE STREET ST HELIER CHANNEL ISLANDS JE JE1 1BL PATENT LEGAL/ANNUITY SERVICE 1532290 ROBINS KAPLAN MILLER & CIRESI LLP 2800 LASALLE PLAZA 800 LASALLE AVE MINNEAPOLIS MN 554022015 LEGAL SERVICES 1142676 BOYLE FREDERICKSON 840 N PLANKINTON AVE MILWAUKEE WI 53203 LEGAL SERVICES 753427 DEWITT ROSS & STEVENS 2 E MIFFLIN ST SUITE 600 MADISON WI 537032865 LEGAL SERVICES 719921 28 568735 568735 ROYALTIES 900099 36885876 36885876 LICENSING 900099 3629268 3629268 40515144 34480146 34480146 2571977 0 2571977 2571977 2571977 259698317 0 259698317 259698317 259698317 MIR BLDG COSTS REIMBURSEMENT 900099 2239675 2239675 WARF PATENT REVENUE 900099 1477711 1477711 MIR ADMIN REIMBURSEMENT 900099 270000 270000 143353 6731 136622 4130739 341965058 44509261 136622 296750440 89180572 89180572 4549933 1417163 3132770 6737639 4109084 2628555 1334043 896568 437475 1038666 636945 401721 555595 318982 236613 2975 2975 2902401 2902401 195545 195545 242537 242537 6563996 6563996 1238143 1058504 179639 220747 82302 138445 332484 212558 119926 483459 106157 377302 8471878 8471878 2258475 1867379 391096 165720 91671 74049 -244676 -298513 53837 6623082 6569545 53537 5852099 5732543 119556 559192 198083 361109 DOMESTIC LEGAL/PATENTS 3918719 3918719 FOREIGN LEGAL/PATENTS 2085897 2085897 TECH COMMERCIAL ACCEL 1833877 1833877 FOREIGN PATENT MTC FEES 1260029 1260029 1487712 982303 505409 149850739 133634647 16216092 0 12431085 11701583 4446588 7328897 1348672 243341 121825 760672 182915770 23721996 165014812 159193774 330088648 258195554 1949837599 2642430450 16935662 35293138 184307135 109105681 2664532026 3224253090 7653446 9050080 215729443 243602400 26671 28162 156405120 152755703 84300958 341930853 464115638 747367198 X 2040724388 2298509892 159692000 178376000 2200416388 2476885892 2664532026 3224253090 X 192114319 28412030 55943155 X X 0 1 X 1 0 X X 0 0 0 UNIVERSITY OF WISCONSIN-MADISON 396006492 2 1 1 1 57967693 1 57967693 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 240441 240441 133634647 133875088 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 351485 262997 240229 240441 1095152 250000 250000 250000 250000 1000000 1500000 15340740 15340740 142310126 12582026 129728100 970611 825101 145510 24294293 10314869 13979424 159193774 MONEY MARKET FUNDS 179406997 F HEDGE FUNDS 1110569046 F FIXED INCOME 1049417458 F PRIVATE EQUITY - LTD PS 265852923 F INVESTMENT IN WARF STARTUP COMPANIES 24184026 C VENTURE CAPITAL PARTNERSHIPS 13000000 F 2642430450 ROYALTIES PAYABLE 2552179 DUE TO BROKER 286727228 SECURITIES LENDING CASH COLLATERAL OBLIGATION 52651446 341930853 X 356686936 28412030 28412030 328274906 13690152 13690152 341965058 136160587 0 136160587 13690152 13690152 149850739 PART X, LINE 2: THE FOUNDATION, WICELL, PROPERTIES, AND MORGRIDGE HAVE BEEN GRANTED AN EXEMPTION FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. UNDER THIS EXEMPTION, INCOME TAX IS PAID ONLY ON NET UNRELATED BUSINESS INCOME. THE ORGANIZATIONS ARE ALSO EXEMPT FROM WISCONSIN INCOME AND REAL ESTATE TAX. THE ORGANIZATION FOLLOWS THE GUIDANCE RELATIVE TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. EXAMPLES OF TAX POSITIONS INCLUDE THE TAX-EXEMPT STATUS OF THE ORGANIZATION AND VARIOUS POSITIONS RELATED TO THE POTENTIAL SOURCES OF UNRELATED BUSINESS TAXABLE INCOME (UBIT). ANY TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50 PERCENT LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE ORGANIZATION FILES FORMS 990 IN THE U.S. FEDERAL JURISDICTION AND THE STATE OF WISCONSIN. WITH FEW EXCEPTIONS, THE ORGANIZATION IS NO LONGER SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR YEARS BEFORE FISCAL YEAR 2011. PART XI, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST INCOME IN AUDIT 8,471,878. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 136,622. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 5,081,652. PART XII, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST EXPENSES IN AUDIT 8,471,878. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 136,622. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 5,081,652. 1 UNIVERSITY OF WISCONSIN - MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 115 57967693 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4A MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 501(C)(3) 31212879 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4B 2 PART I, LINE 2: 1) UW - THE UNIVERSITY PROVIDES WARF WITH AN ANNUAL SUMMARY OF GRANT EXPENDITURES THAT DETAILS HOW THE GRANT FUNDS WERE SPENT FROM THE PREVIOUS YEAR. 2) MIR & WICELL - WARF HAS ACCESS TO THE FINANCIAL STATEMENTS OF THESE ORGANIZATIONS. ALSO, THE WARF MANAGING DIRECTOR, CARL GULBRANDSEN, SITS ON THE BOARD OF MIR AND WICELL. X X X X X 0 0 0 0 0 0 0 0 0 CARL E GULBRANDSEN TRUSTEE/MANAGING DIRECTOR 511644 20000 125000 0 0 0 37511 0 35013 0 709168 20000 0 0 STEVE MIXTACKI CHIEF FINANCIAL OFFICER 288912 0 42205 0 0 0 105050 0 30653 0 466820 0 0 0 LEIGH CAGAN CHIEF TECHNOLOGY COMMERCIA 254815 0 36480 0 0 0 131124 0 26897 0 449316 0 0 0 MICHAEL FALK GENERAL COUNSEL/CHIEF OF S 275874 0 40245 0 0 0 81712 0 33588 0 431419 0 0 0 CARRIE THOME DIRECTOR OF INVESTMENTS 432963 0 88550 0 0 0 73630 0 38415 0 633558 0 0 0 ALAIN HUNG ASSOC DIR OF INVESTMENTS 311148 0 83228 0 0 0 85164 0 35427 0 514967 0 0 0 STEPHANIE ADAMANY ASSOC GENERAL COUNSEL 177864 0 26718 0 0 0 47480 0 30967 0 283029 0 0 0 LAURA HEISLER DIRECT PROG DEVELOP'T 148071 0 22339 0 0 0 60245 0 30430 0 261085 0 0 0 CRAIG HEIM ASSISTANT PORTFOLIO MANAGER 136786 0 32694 0 0 0 39526 0 9507 0 218513 0 0 0 RYAN ABRAMS ASSISTANT PORTFOLIO MANAGER 125320 0 31680 0 0 0 12392 0 16754 0 186146 0 0 0 A COMMUNITY DEVELOPMENT AUTHORITY- CITY OF MADISON 396006968 2009-12-17 161453470 FOR CONSTRUCTING A RESEARCH FACILITY LOCATED ON THE CAMPUS OF UW-MADISON 0 0 0 A 8697767 161453470 2531768 151543609 7378093 2010 0 0 1 1 A 0 1 0 1 1 0 0 0 A 0 0 0 0 0 0 0 0 0 A 1 SCH K, PART III, #2 ALTHOUGH THERE IS PRESENTLY NO PRIVATE BUSINESS USE OF THE BOND-FINANCED PROPERTY, A SIGNIFICANT PORTION OF THE PROPERTY IS CURRENTLY OCCUPIED BY THE MORGRIDGE INSTITUTE FOR RESEARCH, INC., A 501(C)(3) ORGANIZATION ("MORGRIDGE"). AS A MEDICAL RESEARCH ORGANIZATION THAT COLLABORATES WITH PRIVATE INDUSTRY IT IS POSSIBLE THAT SOME OF THE ACTIVITY ON THE PROPERTY COULD RESULT IN PRIVATE BUSINESS USE. HOWEVER, MORGRIDGE IS AWARE OF THE LIMITATIONS ON PRIVATE USE, AND PROCEDURES HAVE BEEN PUT IN PLACE FOR WARF AND MORGRIDGE TO TRACK PRIVATE USE TO ENSURE COMPLIANCE WITH BOND REQUIREMENTS. FORM 990, PART III, LINE 3 THE WYSYS TECHNOLOGY FOUNDATION WAS NO LONGER A PART OF WISCONSIN ALUMNI RESEARCH FOUNDATION AS OF JUNE 2013. THE WISYS TECHNOLOGY FOUNDATION WAS ESTABLISHED IN MARCH 2000 TO PROVIDE TECHNOLOGY TRANSFER SERVICE FOR THE UNIVERSITY OF WISCONSIN CAMPUSES EXCLUDING THE UNIVERSITY OF WISCONSIN-MADISON AND THE UNIVERSITY OF WISCONSIN-MILWAUKEE. THE MISSION OF WISYS IS TO PROVIDE PROTECTION FOR TECHNOLOGY THROUGH PATENTS OR OTHER METHODS, FOR THE UW SYSTEM FACULTY'S DISCOVERIES AND TO NEGOTIATE LICENSE AGREEMENTS THAT ENABLE INDUSTRY TO COMMERCIALIZE INVENTIONS FROM UW SYSTEMS' INSTITUTIONS. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS INITIALLY REVIEWED AND APPROVED BY THE CFO, CONTROLLER AND OTHER MEMBERS OF THE MANAGEMENT TEAM. AN ELECTRONIC COPY OF THE FINAL VERSION OF THE FORM 990 IS SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES FOR REVIEW PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE WARF MANAGING DIRECTOR REQUIRES THAT THE TRUSTEES REVIEW THE CONFLICT OF INTEREST POLICY AND COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. WARF REVIEWS CONFLICT MATTERS AS DISCLOSED THROUGH THE ANNUAL DISCLOSURE AND ON A ROLLING BASIS AND CONSIDERS THEM IN THE MATTER PROSCRIBED IN ITS CONFLICT POLICY. A CONFLICT OF INTEREST COMMITTEE OF THE BOARD OF TRUSTEES ALSO MEETS AS APPROPRIATE TO CONSIDER CONFLICT SITUATIONS. ALL WARF EMPLOYEES SIGN A CONFLICT OF INTEREST AGREEMENT. THE AGREEMENT REQUIREMENTS ARE REVIEWED ANNUALLY AT AN EMPLOYEE MEETING. FORM 990, PART VI, SECTION B, LINE 15 A) WARF RETAINS A NATIONAL INDEPENDENT HUMAN RESOURCES CONSULTING FIRM SPECIALIZING IN COMPENSATION ACTIVITIES TO REVIEW COMPENSATION FOR THE MANAGING DIRECTOR AND SENIOR MANAGEMENT OF THE ORGANIZATION. THE CONSULTANT IS RETAINED BY AND REPORTS TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE AND TO THE TRUSTEE PRESIDENT. B) EVERY OTHER YEAR THE CONSULTANT PROVIDES COMPARATIVE COMPENSATION DATA TO THE TRUSTEE PRESIDENT AND THE SALARY AND FRINGE BENEFITS COMMITTEE. C) THE TRUSTEE PRESIDENT REVIEWS A WRITTEN SUMMARY OF EXECUTIVE ACCOMPLISHMENTS FOR THE FISCAL YEAR. THIS INFORMATION IS SHARED WITH THE SALARY AND FRINGE BENEFITS COMMITTEE AND WITH THE BOARD'S EXECUTIVE COMMITTEE. D) IN LATE AUGUST OR EARLY SEPTEMBER THE SALARY AND FRINGE BENEFITS COMMITTEE HOLDS A TELECONFERENCE TO DISCUSS THE GENERAL DIRECTION AND SCOPE/RANGE OF EXECUTIVE COMPENSATION. THE OUTSIDE CONSULTANT PARTICIPATES IN THE DISCUSSION. E) IN MID-SEPTEMBER THE BOARD PRESIDENT AND THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DISCUSS THE EXECUTIVE EVALUATION AND DETERMINE THE COMPENSATION ADJUSTMENT. F) THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE RECOMMENDATION IN (E) ABOVE AND APPROVES FINAL COMPENSATION ADJUSTMENTS. G) THE CHAIRMAN OF THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE COMPENSATION ADJUSTMENTS WITH THE FULL BOARD AT THE FALL TRUSTEE MEETING. H) THE OUTSIDE CONSULTANT PROVIDES A LETTER TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DESCRIBING THE CONSULTANT'S ROLE IN ESTABLISHING THE REBUTTABLE PRESUMPTION OF REASONABLENESS STANDARD UNDER THE INTERMEDIATE SANCTIONS REGULATIONS AND HOW THE CONSULTANT PROVIDED THE ANALYSIS TO DETERMINE THE REASONABLENESS OF THE EXECUTIVE COMPENSATION PACKAGE EVERY OTHER YEAR. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE NOT MADE AVAILABLE. FORM 990, PART XI, LINE 9: EQUITY GAIN IN SUBSIDIARIES 18,357,476. APPRECIATION IN DONOR DIRECTED FUNDS 39,966,735. CHANGE IN MINIMUM PENSION OBLIGATION 122,736. TRANSFER FROM UNRESTRICTED TO BOARD DEGIGNATED FUNDS -2,500,000. OTHER CHANGES -3,792. FORM 990, PART XII, LINE 2C: THE PROCESS DID NOT CHANGE FROM PRIOR YEAR. FORM 8621: FILING 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH ORGANIZATION WISCONSIN ALUMNI RESEARCH FOUNDATION OWNS A STAKE IN THE FOLLOWING PARTNERSHIPS WHICH HAVE INDIRECT INVESTMENTS IN PASSIVE FOREIGN INVESTMENT COMPANIES (PFICS), AND HAVE FILED FORM 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH FOUNDATION: CHARTERHOUSE CAPITAL PARTNERS VII LP NO 2.1 PINEBRIDGE GLOBAL EMERGING MARKETS PARTNERS, LLC SIGULER GUFF BRIC OPPORTUNITIES FUND, LP SIGULER GUFF BRIC OPPORTUNITIES FUND II, LP FORM 8886: DISCLOSURE OF REPORTABLE TRANSACTIONS THE FOLLOWING INVESTMENTS OF WISCONSIN ALUMNI RESEARCH FOUNDATION HAVE FILED FORM 8886 DISCLOSING REPORTABLE TRANSACTIONS. AS A LIMITED PARTNER IN THESE INVESTMENTS, WISCONSIN ALUMNI RESEARCH FOUNDATION'S ALLOCABLE SHARE FROM THE RESPECTIVE PASSTHROUGH ENTITIES DOES NOT EXCEED THE THRESHOLD AMOUNTS. THEREFORE, WISCONSIN ALUMNI RESEARCH FOUNDATION HAS NOT PARTICIPATED IN A LOSS TRANSACTION REPORTABLE ON FORM 8886: COMMONFUND CAPITAL INTERNATIONAL PARTNERS V, LP OAK HILL CAPITAL PARTNERS II (CAYMAN) LP WARF PROPERTIES LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 203521556 HOLDING REAL ESTATE WI 507237 WISCONSIN ALUMNI RESEARCH FOUNDATION TOWN CENTER DINING LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 272845458 EVENT COORDINATOR WI MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 RESEARCH WI 501(C)(3) LINE 4 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 WICELL RESEARCH INSTITUTE INC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 391972235 RESEARCH WI 501(C)(3) LINE 7 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 UNIVERSITY OF WISCONSIN-MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 EDUCATION WI 115 LINE 2 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 WICELL RESEARCH INSTITUTE INC O 141756 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC O 583637 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC B 31212879 CASH WICELL RESEARCH INSTITUTE INC N 22933 PERCENT ALLOCATION