2013-08-15T15:40:24-05:00 2012-12-31 131655065 LUTZ AND CARR CPAS LLP 300 EAST 42ND STREET NEW YORK NY 10017 990 2012-01-01 582492929 ALLIANCE FOR LUPUS RESEARCH INC ALLI 2122182840 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 DEBRA ROSE 2122182840 2013-08-15 1 LAUREN CRESCI P01268493 2126972299 2012 2016-02-25 16:41:14Z KENNETH M FARBER 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 15128416 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. 12 12 20 500 0 0 9496235 8871788 0 0 2038686 1379807 147214 57474 11682135 10309069 7695096 8751791 0 0 1749967 1955371 49000 49000 1903827 2001684 2175879 11495747 12932041 186388 -2622972 49323929 53990813 8402057 12257318 40921872 41733495 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 9570609 8751791 RESEARCH:THE ALR ENGAGES IN ACTIVE GRANT MAKING MANAGEMENT, WORKING HAND-IN-HAND WITH INVESTIGATORS TO GUIDE AND DRIVE THE RESEARCH PROCESS. SINCE ITS INCEPTION, THE ALR HAS COMMITTED OVER $81 MILLION TO FUND LUPUS RESEARCH PROJECTS. IN 2012, NEW GRANTS TOTALING $8.8 MILLION WERE AWARDED, OF WHICH APPROXIMATELY $5 MILLION WENT TO 9 INVESTIGATORS WITH PROMISING NEW AVENUES OF RESEARCH UNDER THE TARGET IDENTIFICATION IN LUPUS (TIL) GRANT MECHANISM AND $1.9 MILLION WAS AWARDED TO 9 INVESTIGATORS UNDER THE ALR'S GENETIC PATHWAYS GRANT MECHANISM WHICH PROVIDES A RESEARCHER UP TO $350,000 TO FURTHER THE STUDIES BEGUN BY THE SLEGEN CONSORTIUM. ALSO IN 2012, THE ALR BEGAN FUNDING THE TIL GRANT MECHANISM UP TO 3 YEARS INSTEAD OF JUST 2. THIRD-YEAR FUNDING IS BASED ON PAST SUCCESS, WHICH IS REVIEWED BY ALR'S SCIENTIFIC ADVISORY BOARD. WORK OF THE MOST INNOVATIVE, PIONEERING SCIENTISTS WILL RECEIVE THIRD-YEAR AWARDS OF UP TO $200,000. IN THE FIRST YEAR OF THIS NEW EXTENSION PROGRAM, 10 TIL GRANTEES FROM 2010 HAVE BEEN SELECTED FOR THIRD-YEAR FUNDING WITH GRANTS TOTALING $1.9 MILLION.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. 471343 SCIENTIFIC PROGRAMS:THE ALR ENCOURAGES CROSS-SECTOR AND CROSS-DISCIPLINE PARTNERSHIPS TO FOSTER AN INNOVATIVE RESEARCH ENVIRONMENT. IN 2012, 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. ALR SPONSORED A MEETING OF THE SLEGEN CONSORTIUM IN 2012 IN ORDER FOR THE MEMBERS OF THE CONSORTIUM TO CONTINUE A GROUP DISCUSSION OF ITS RESEARCH UTILIZING ADVANCED CHIP TECHNOLOGY, CALLED THE IMMUNOCHIP, TO CLOSE IN ON THE MORE THAN 30 PROBABLE GENES LINKED TO LUPUS. THIS RESEARCH INCLUDES COMPLETING GENOME-WIDE STUDIES FOR MULTIPLE ETHNICITIES INCLUDING AFRICAN AMERICAN, HISPANIC, NATIVE AMERICAN AND ASIAN DESCENT. THESE STUDIES WILL LIKELY RESULT IN A GREATER UNDERSTANDING OF HOW GENETIC VARIANCE IMPACTS AGE OF DISEASE ONSET AND LUPUS-RELATED COMPLICATIONS COMMON WITH THE DISEASE. FURTHERMORE, THE RESEARCH WILL ALLOW SCIENTISTS TO ASSESS THE CORRELATION OF LUPUS GENETICS TO THAT OF OTHER AUTOIMMUNE DISEASES. 112653 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.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 EIGHT 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 $9 MILLION TO LUPUS RESEARCHERS SINCE 2004.IN 2012, MEMBERS OF THE LUPUS COMMUNITY GATHERED IN WASHINGTON, DC FOR THE FIRST 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. THIS MEETING WAS JOINTLY HELD BY THE THREE MAJOR LUPUS GROUPS, INCLUDING THE ALR. 10154605 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 35 0 1 20 1 0 0 0 0 0 1 1 0 0 0 0 X 12 12 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 DEBRA ROSE 2122182840 28 WEST 44TH STREET SUITE 501 NEW YORK NY 10036 ROBERT WOOD JOHNSON IV 1.00 X X 0 0 0 JOSEPH MAURIELLO 1.00 X X 0 0 0 IRA AKSELRAD 1.00 X X 0 0 0 JAMES P ANDREW 1.00 X 0 0 0 NEIL J BURMEISTER 1.00 X 0 0 0 ALISON HARMELIN 1.00 X 0 0 0 CHARLES J HUEBNER MD 1.00 X 0 0 0 DANIEL LAVECCHIA 1.00 X 0 0 0 MICHELLE Y LEE 1.00 X 0 0 0 WILLIAM J MULVIHILL 1.00 X 0 0 0 ROBERT W PITTMAN 1.00 X 0 0 0 KEITH C WOLD 1.00 X 0 0 0 KENNETH M FARBER 30.00 X 292215 0 0 DEBRA ROSE 40.00 X 129693 0 22245 ROBERT D HINNEN 40.00 X 118855 0 15556 540763 0 37801 3 0 1 0 KIM KAISER & ASSOCIATES LLC 178 FLAX HILL ROAD NORWALK CT 06854 PHARMA CONSULTANT 125672 MOUTH INC 155 SIXTH AVENUE SUITE 701 NEW YORK NY 10013 COMMUNICATIONS AGENCY 120706 2 4406572 4465216 102142 8871788 1361891 1361891 35840 62627 -26787 -26787 -26787 4539402 4521486 17916 17916 17916 234572 4406572 234572 0 1021 662 359 359 SUBLET INCOME 532000 76420 76420 RETURN OF GRANTS 900099 7482 7482 83902 10309069 0 0 1437281 8561979 8561979 189812 189812 456514 227919 115143 113452 1128781 376214 165935 586632 88149 29975 13317 44857 179543 61165 31569 86809 102384 34883 19640 47861 3379 3379 43325 43325 49000 49000 59186 20123 11245 27818 331168 48185 138574 144409 38607 2286 25779 10542 211433 109700 47858 53875 424020 144468 81339 198213 218436 58868 33991 125577 217125 199420 10331 7374 27812 9475 5335 13002 21749 7410 4172 10167 PRINTING & PUBLICATIONS 202433 29805 31913 140715 WALKATHON PROMOTIONAL E 122293 0 0 122293 DATA PROCESSING & CREDI 121301 19494 66717 35090 POSTAGE, SHIPPING & DEL 71016 5451 5222 60343 62596 17973 18825 25798 12932041 10154605 873609 1903827 X 152866 122293 0 30573 1650770 3957910 3593394 5398665 380638 631800 68533 58358 1908530 227543 1689736 1680987 41847450 42169685 93408 93408 49323929 53990813 199911 287806 8189471 11943397 12675 26115 8402057 12257318 X 20041872 31215005 20880000 10518490 40921872 41733495 49323929 53990813 -2622972 3434595 0 X 0 1 X 1 0 X 8524565 9087239 6357332 9496235 8871788 42337159 8524565 9087239 6357332 9496235 8871788 42337159 20226929 22110230 522274 398450 1694497 1629738 1474151 5719110 445 386 359 1190 48057459 0.46010 0.45160 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 112653 112653 12819388 12932041 796602 199151 0 0 583808 681215 724787 796602 2786412 4179618 216125 150604 106989 112653 586371 145952 170304 181197 199151 696604 1044906 18416644 10000000 4761791 1960052 31218383 8416644 10000000 1899035 -1899035 18416644 10000000 -278316 -1305040 8416644 1.00000 0.00000 0.00000 0 0 1600000 1600000 40019 14970 25049 268511 212573 55938 1680987 SECURITY DEPOSIT PAYABLE 26115 26115 X 13676996 3434595 3434595 10242401 59186 7482 66668 10309069 12865373 0 12865373 59186 7482 66668 12932041 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: 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. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: 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 SCHEDULE D, PART XII, LINE 4B AND PART XIII, LINE 4B UNUSED PORTIONS OF GRANTS RETURNED TO ALR THAT WERE PAID IN PREVIOUS YEARS IN THE AMOUNT OF $7,482. THIS AMOUNT IS A RECONCILING ITEM BETWEEN THE REVENUE AND EXPENSES FROM THE AUDITED FINANCIAL STATEMENTS AND THOSE REPORTED ON FORM 990. 1 EUROPE 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION GRANT AWARDED 177133 NORTH AMERICA 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION GRANT AWARDED 12679 0 0 0 0 0 0 189812 0 189812 EUROPE LUPUS RESEARCH 177133 CHECK FMV NORTH AMERICA LUPUS RESEARCH 12679 CHECK FMV 2 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, 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 BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE TO CONTACT THE ALR IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (1) TIL/FGMP 2 YEAR GRANTS: (A) 8 QUARTERLY PAYMENTS OVER THE COURSE OF THE TWO YEAR GRANT (B) PROGRESS REPORT IS REQUIRED BEFORE FIFTH PAYMENT IS DISTRIBUTED (C) BUDGET RECONCILIATION IS REQUIRED BEFORE 6TH PAYMENT IS DISTRIBUTED (2) FGMP 1 YEAR PILOT GRANTS: (1) TWO SEMIANNUAL PAYMENTS (2) INTERIM PROGRESS REPORT IS REQUIRED BEFORE SECOND PAYMENT IS DISTRIBUTED. 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 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. METHOD USED TO ACCCOUNT FOR EXPENDITURES: SCHEDULE F, PART I, LINE 3: ALL INSTITUTIONS RECEIVE A PAYMENT 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 1352697 49000 1352697 1352697 49000 1352697 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 1692414 1510953 181461 181461 WALK-A-THONS 2948730 2895619 53111 53111 4641144 4406572 234572 234572 234572 0 EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) DS CONSULTING PLANNED AND MANAGED ALR'S GALA EVENT. CONTRACT AMOUNT FOR THE PERIOD COVERING 1/1/12 - 12/31/12 WAS $49,000 PLUS REIMBURSABLE EXPENSES. 1 BAYLOR RESEARCH INSTITUTE 3434 LIVE OAK DALLAS TX 75204 751921898 501(C)(3) 12257 BOOK LUPUS RESEARCH BENAROYA RESEARCH INSTITUTE AT VIRGINIA MASON VIRGINIA MASON - 1201 NINTH AVE SEATTLE WA 98101 910653422 501(C)(3) 330504 BOOK LUPUS RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 320738 BOOK LUPUS RESEARCH BRIGHAM AND WOMEN'S HOSPITAL INC 4 BLACK FAN CIRCLE BOSTON MA 02115 042312909 501(C)(3) 25414 BOOK LUPUS RESEARCH DUKE UNIVERSITY MEDICAL CENTER 508 FULTON STREET DURHAM NC 27705 560532129 501(C)(3) 187556 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) 533182 BOOK LUPUS RESEARCH MASSACHUSETTS GENERAL HOSPITAL 13TH STREET BUILDING 149 7TH FLOOR BOSTON MA 02129 042697983 501(C)(3) 74499 BOOK LUPUS RESEARCH NORTHWESTERN UNIVERSITY - CHICAGO CAMPUS 240 EAST HURON STREET CHICAGO IL 60611 362167817 501(C)(3) 190566 BOOK LUPUS RESEARCH STANFORD UNIVERSITY 269 CAMPUS DRIVE CCSR BUILDING ROOM 2215A STANFORD CA 94305 941156365 501(C)(3) 12737 BOOK LUPUS RESEARCH TEMPLE UNIVERSITY 3322 NORTH BROAD STREET MOB 205 PHILADELPHIA PA 19140 231365971 501(C)(3) 190080 BOOK LUPUS RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 1094714 BOOK LUPUS RESEARCH THE HOSPITAL FOR SPECIAL SURGERY 535 EAST 70TH STREET NEW YORK NY 10021 131624135 501(C)(3) 13673 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) 556894 BOOK LUPUS RESEARCH THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL LOCK BOX 402420 6000FELDWOOD ROAD COLLEGE PARK GA 30349 566001393 501(C)(3) 376076 BOOK LUPUS RESEARCH UMDNJ-NEW JERSEY MEDICAL SCHOOL 30 BERGEN STREET NEWARK NJ 07107 221775306 NJ STATE GOVERNMENT 263299 BOOK LUPUS RESEARCH UNIVERSITY OF CALIFORNIA LOS ANGELES BOX 951432 1125 MURPHY HALL 405 HILGARD AVE LOS ANGELES CA 900959000 956006143 501(C)(3) 400348 BOOK LUPUS RESEARCH UNIVERSITY OF COLORADO DENVER AMC AND DC BUILDING 500 13001 EAST 17TH PLACE W1126 AURORA CO 80045 846000555 501(C)(3) 549550 BOOK LUPUS RESEARCH UNIVERSITY OF FLORIDA 207 TIGERT HALL GAINESVILLE FL 32611 596002052 FL STATE GOVERNMENT 577222 BOOK LUPUS RESEARCH UNIVERSITY OF MASSACHUSETTS MEDICAL SCHOOL 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167325 MA STATE GOVERNMENT 187133 BOOK LUPUS RESEARCH UNIVERSITY OF MICHIGAN 1150 WEST MEDICAL CENTER DRIVE ANN ARBOR MI 48109 386006309 501(C)(3) 190111 BOOK LUPUS RESEARCH UNIVERSITY OF PENNSYLVANIA 421 CURIE BOULEVARD PHILADELPHIA PA 19104 231352685 501(C)(3) 12696 BOOK LUPUS RESEARCH UNIVERSITY OF VIRGINIA 914 EMMET ST BOX 400127 CHARLOTTESVILLE VA 22903 546001796 501(C)(3) 195653 BOOK LUPUS RESEARCH USCUNIVERSITY OF SOUTHERN CALIFORNIA 2011 ZONAL AVE LOS ANGELES CA 90089 951642394 501(C)(3) 546782 BOOK LUPUS RESEARCH UT SOUTHWESTERN MEDICAL CENTER 5323 HARRY HINES BOULEVARD DALLAS TX 75390 746000203 TX STATE GOVERNMENT 548944 BOOK LUPUS RESEARCH VANDERBILT UNIVERSITY MEDICAL CENTER NORTH PLANO ROAD 100 LB 40303 RICHARD TX 75081 620476822 501(C)(3) 75003 BOOK LUPUS RESEARCH VIRGINA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 1410 PRICES FORK ROAD BLACKSBURG VA 24061 546001805 VA STATE GOVERNMENT 13422 BOOK LUPUS RESEARCH WAKE FOREST UNIVERSITY HEALTH SCIENCES 1920 WEST 1ST STREET WINSTON SALEM NC 27104 223849199 501(C)(3) 546541 BOOK LUPUS RESEARCH YALE UNIVERSITY PO BOX 208239 NEW HAVEN CT 06520 060646973 501(C)(3) 536385 BOOK LUPUS RESEARCH 28 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, 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 BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE TO CONTACT THE ALR IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (1) TIL/FGMP 2 YEAR GRANTS: (A) 8 QUARTERLY PAYMENTS OVER THE COURSE OF THE TWO YEAR GRANT (B) PROGRESS REPORT IS REQUIRED BEFORE FIFTH PAYMENT IS DISTRIBUTED (C) BUDGET RECONCILIATION IS REQUIRED BEFORE 6TH PAYMENT IS DISTRIBUTED (2) FGMP 1 YEAR PILOT GRANTS: (1) TWO SEMIANNUAL PAYMENTS (2) INTERIM PROGRESS REPORT IS REQUIRED BEFORE SECOND PAYMENT IS DISTRIBUTED. 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 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 265650 0 26565 0 0 0 0 0 0 0 292215 0 0 0 DEBRA ROSE 119246 0 10447 0 0 0 12693 0 9552 0 151938 0 0 0 X 4 102142 AVG STOCK VALUE 0 1 1 THIRD PARTY USE: PART I, LINE 32B: REAL ESTATE BROKER USED TO SELL PROPERTY GIFTS. 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), ROBERT PITTMAN (DIRECTOR) AND GLENN DUBIN (HUSBAND OF EVA ANDERSSON-DUBIN) 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 2012, THE COMMITTEE REVIEWED AND APPROVED BASE SALARIES AND ANNUAL MERIT ADJUSTMENTS FOR ALL STAFF WITH SPECIAL ATTENTION TO THE CHIEF OPERATING OFFICER. 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.