2013-11-13T13:38:56-06:00 2012-12-31 131517563 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2012-01-01 131739923 BOYCE THOMPSON INSTITUTE FOR PLANT RESEARCH INC BOYC 6072541234 533 TOWER ROAD ITHACA NY 148531801 SOPHIA DARLING 6072541234 2013-11-13 1 FREDERICK H ROTHMAN P01275277 2128674000 2012 2016-02-25 16:41:14Z X DAVID STERN 533 TOWER ROAD ITHACA NY 148531801 153525420 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 17 205 17 0 0 13226816 10232418 0 0 5516092 4342795 655683 751598 19398591 15326811 0 2258377 0 0 13168851 11774733 0 0 220310 7228376 4364119 20397227 18397229 -998636 -3070418 95776913 100249234 11783278 13402041 83993635 86847193 X TO ADVANCE AND COMMUNICATE SCIENTIFIC KNOWLEDGE IN PLANT BIOLOGY TO IMPROVE AGRICULTURE, PROTECT THE ENVIRONMENT, AND ENHANCE HUMAN HEALTH. 0 0 8245711 2258377 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 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 LONGER SHELF-LIFE, 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 PLANTS WITH HIGHER TOLERANCE FOR ENVIRONMENTAL STRESSORS SUCH AS DROUGHT, HEAT, AND COLD. 1525769 SEE SCHEDULE OPROTECT THE ENVIRONMENT AND RENEWABLE ENERGY. INSTITUTE SCIENTIST 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 (THE BOYCE THOMPSON INSTITUTE), 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. 1259376 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 STEM CELLS, ALZHEIMER'S DISEASE AND AGING; 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. 4406921 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 SPECIFIC LIFE PROCESSES AND IDENTIFY MOLECULES WITH POTENTIAL EVOLUTIONARY, BIOLOGICAL AND MEDICAL IMPORTANCE. 4406921 15437777 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 73 0 205 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 A DARLING 6072541225 533 TOWER ROAD ITHACA NY 148531801 DAVID STERN 40.00 X X 318352 0 66897 EZRA CORNELL 0.40 X 0 0 0 ROY H PARK JR 0.40 X 0 0 0 LAURA A PHILLIPS 0.40 X 0 0 0 BARBARA BAIRD 0.40 X 0 0 0 ANDY BASS 0.40 X 0 0 0 ALAN J BILOSKI 0.40 X 0 0 0 PETER BRUNS 0.40 X 0 0 0 THOMAS BURR 0.40 X 0 0 0 MARY CLUTTER 0.40 X 0 0 0 GREGORY GALVIN 0.40 X 0 0 0 GREGORY HARTZ 0.40 X 0 0 0 SABBEHA MERCHANT 0.40 X 0 0 0 KIRA SHEINERMAN 0.40 X 0 0 0 CRISPIN TAYLOR 0.40 X 0 0 0 KATHRYN BOOR 0.40 X 0 0 0 PAUL CHOMET 0.40 X 0 0 0 WILLIAM FRY 0.40 X 0 0 0 DONNA CLAES 40.00 X 61180 0 13698 JANE CALDER 40.00 X 51502 0 12713 JOAN CURTISS 36.00 X 102106 0 19115 SOPHIA DARLING 40.00 X 105152 0 22747 DR ERIC RICHARDS 40.00 X 268764 0 34115 DR MARIA HARRISON 40.00 X 158284 0 24343 DR DANIEL KLESSIG 40.00 X 222887 0 39961 1288227 0 233589 6 0 1 0 LVW ADVISORS LLC 67 MONROE AVE PITTSFORD NY 14535 INVESTMENT COUNSULTING 226008 1 9050074 1182344 10232418 2454757 2454757 749816 749816 140086647 138198609 1888038 1888038 1888038 MISCELLANEOUS 900099 1782 1782 1782 15326811 0 0 5094393 2140646 2140646 117731 117731 1076341 302880 773461 6679569 6201385 358739 119445 1670475 1418556 224942 26977 1889107 1598406 257943 32758 459241 371055 79676 8510 176371 138336 38035 59785 59785 416646 416646 559483 526370 29203 3910 1112044 922691 177458 11895 617637 508127 101260 8250 314243 229746 80892 3605 719857 701783 18074 86156 86156 EQUIPMENT MAINTENANCE 266116 229244 36872 0 PUBLICATIONS 35781 30821 0 4960 18397229 15437777 2739142 220310 368179 552019 4275178 3544061 1981023 1308560 43048 36239 10909683 6703390 4831395 4206293 56319973 65845048 24991350 24674572 2966767 82442 95776913 100249234 1230926 1113384 39175 106724 10513177 12181933 11783278 13402041 X 79541046 82465764 1430389 1359229 3022200 3022200 83993635 86847193 95776913 100249234 X -3070418 5977534 -53558 X 0 1 X 0 1 1 X 9814962 11161857 12519600 13226816 10232418 56955653 1954415 1804267 1527898 1614589 1580263 8481432 11769377 12966124 14047498 14841405 11812681 65437085 65437085 1031533 1612527 1578754 1580796 3204573 9008183 10361645 44194 13434 1782 10421055 84866323 0.77110 0.77100 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS REVENUE REVENUE RELATED TO INTELLECTUAL PROPERTY RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3351611 468313 130222 3689702 3640860 -138472 150777 3351611 3388364 405030 152354 3640860 3022200 501441 135277 3388364 4384184 -1282325 3022200 0.02000 0.98000 0 0 4900636 2666948 2233688 6008047 4036442 1971605 1000 1000 4206293 PRIVATE EQUITIES - LLC'S 8670068 F EQUITY - LLC'S 16004504 F 24674572 ACCRUED POST-RETIREMENT BENEFITS 3006713 DUE TO INVENTORS 165112 DEFERRED COMPENSATION 611376 ACCRUED PENSION PAYABLE 8398732 12181933 X 22467962 5977534 1580263 7557797 14910165 416646 416646 15326811 18235708 1580263 1580263 16655445 416646 1325138 1741784 18397229 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE INCOME HAS BEEN BOARD DESIGNATED TO SUPPORT A POSITION IN PLANT MOLECULAR BIOLOGY. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: 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, 2009 AND SUBSEQUENT REMAIN SUBJECT TO EXAMINATION BY APPLICABLE TAXING AUTHORITIES. PART XII, LINE 4B - OTHER ADJUSTMENTS: ADJUSTMENT TO REFLECT PENSION FUNDING STATUS 1,325,138. 1 EUROPE (INCLUDING ICELAND & GREENLAND) GRANTS TO RECIPIENTS LOCATED IN REGION 21998 SOUTH AMERICA GRANTS TO RECIPIENTS LOCATED IN REGION 95733 0 0 0 0 0 0 117731 0 117731 SOUTH AMERICA COLLABORATIVE RESEARCH 95733 WIRE TRANSFER EUROPE (INCLUDING ICELAND & GREENLAND) COLLABORATIVE RESEARCH 11832 WIRE TRANSFER EUROPE (INCLUDING ICELAND & GREENLAND) COLLABORATIVE RESEARCH 10166 WIRE TRANSFER 3 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: 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 COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10087 135598093 501(C)(3) 84299 COLLABORATIVE RESEARCH CORNELL UNIVERSITY PO BOX 22 ITHACA NY 14851 150532082 501(C)(3) 125374 COLLABORATIVE RESEARCH COLORADO STATE UNIVERSITY 2002 CAMPUS DEL FORT COLLINS CO 80523 846000545 STATE OF CO 98131 COLLABORATIVE RESEARCH UNIVERSITY OF OKLAHOMA 201 DAVID BOREN BLVD NORMAN OK 73019 736017987 STATE OF OK 1714998 COLLABORATIVE RESEARCH IOWA STATE UNIVERSITY 3609 ADMIN SERVICES BLDG AMES IA 50011 426004224 STATE OF IA 86936 COLLABORATIVE RESEARCH UNIVERSITY OF MIAMI PO BOX 248106 CORAL GABLES FL 33124 590624458 501(C)(3) 30908 COLLABORATIVE RESEARCH 6 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: 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 311076 0 0 0 7276 0 48873 0 18024 0 385249 0 0 0 DR ERIC RICHARDS 268488 0 0 0 276 0 23184 0 10931 0 302879 0 0 0 DR MARIA HARRISON 158104 0 0 0 180 0 6386 0 17957 0 182627 0 0 0 DR DANIEL KLESSIG 222095 0 0 0 792 0 31455 0 8506 0 262848 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 47692 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/CFO 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 COMMITTED MET IN NOVEMBER 2009 TO REVIEW AND SET THE 2010 COMPENSATION FOR THE PRESIDENT, VICE PRESIDENT, AND CFO/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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: LOSS ON DISPOSAL OF FIXED ASSETS -53,558.