2013-09-27T10:24:31-05:00 2012-12-31 135381590 BDO USA LLP 7101 WISCONSIN AVE SUITE 800 BETHESDA MD 208144827 990 2012-01-01 521842938 J CRAIG VENTER INSTITUTE JCRA 3017957000 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 ROBERT J WALDEN 3017957000 2013-09-27 1 MICHAEL SORRELLS CPA P00001737 3016544900 2012 2016-02-24 21:20:13Z JOHN CRAIG VENTER 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 41306767 0 X WWW.JCVI.ORG X 1993 MD A NON-PROFIT RESEARCH INSTITUTE DEDICATED TO THE ADVANCEMENT OF THE SCIENCE OF GENOMICS; UNDERSTANDING THE IMPLICATIONS FOR SOCIETY; AND COMMUNICATION OF RESULTS TO SCIENTIFIC COMMUNITIES, THE PUBLIC, AND POLICYMAKERS. 14 9 344 0 -7500 -7500 54703190 39677984 141800 20500 1184729 1137613 3963 375354 56033682 41211451 768282 1172769 0 0 32909673 27312802 0 0 110343 22352150 18888984 56030105 47374555 3577 -6163104 149891048 144361414 49943265 48909767 99947783 95451647 X A NON-PROFIT RESEARCH INSTITUTE DEDICATED TO THE ADVANCEMENT OF THE SCIENCE OF GENOMICS; UNDERSTANDING THE IMPLICATIONS FOR SOCIETY; AND COMMUNICATION OF RESULTS TO SCIENTIFIC COMMUNITIES, THE PUBLIC, AND POLICYMAKERS. 0 0 9555300 492618 DHHS/NIH - WITH CONTRACT AND GRANT SUPPORT FROM THIS SPONSOR, JCVI SERVES AS A GENOME SEQUENCING CENTER FOR NIAID TO PRODUCE REFERENCE GENOMES FOR PATHOGENS OF INTEREST TO NIH. ANOTHER CONTRACT INVOLVES USE OF SYNTHETIC GENOMICS APPROACHES TO SIMPLIFY INFLUENZA VACCINE PRODUCTION AND TO IMPROVE THE EFFECTIVENESS OF SEASONAL INFLUENZA VACCINE. JCVI PARTICIPATES IN A MAJOR SURVEY OF MICROBIAL FLORA ASSOCIATED WITH HUMAN ENVIRONMENTS SUCH AS THE VAGINA, ORAL CAVITY AND HUMAN GUT. NUMEROUS OTHER SMALLER PROJECTS ARE FOCUSED ON THE GENERATION OF BASIC SCIENCE DATA AND RELATED ANALYSIS AS WELL AS ON SOFTWARE AND ALGORITHM DEVELOPMENT AND ENHANCEMENT. 2063049 SGI - WITH SUPPORT FROM SGI, JCVI PERFORMS BASIC RESEARCH ON THE USE OF SYNTHETIC GENOMICS TECHNOLOGIES TO ENGINEER CHROMOSOMES OF BACTERIA AND EUKARYOTES AND TO STUDY THE ABILITY OF MICROBIAL COMMUNITIES TO IMPROVE WATER PURIFICATION. 1509521 175366 NSF - WITH SUPPORT FROM NSF, JCVI CONDUCTS A NUMBER OF ENVIRONMENTAL GENOMIC BASED INVESTIGATIONS FOCUSED PRIMARILY ON THE OCEANS AND SOILS AND ON MANY PLANT AND MICROBIAL SPECIES. 5256357 504785 49015 OTHER 5256357 504785 49015 18384227 1 1 0 0 0 0 0 1 0 0 1 1 0 0 1 1 1 0 0 0 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 1 52 0 1 344 1 1 1 1 BD CJ 0 0 0 0 0 0 0 0 X 14 9 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X ROBERT J WALDEN 3017957005 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 RITA R COLWELL PHD 1.00 X 0 0 0 THEODORE N DANFORTH 1.00 X 0 0 0 JACK DIXON PHD 1.00 X 0 0 0 WILLIAM HARMAN JD 1.00 X 0 0 0 KENNETH NEALSON PHD 8.00 X 57118 0 0 ERLING NORRBY MD PHD 1.00 X 0 0 0 DEAN ORNISH MD 1.00 X 0 0 0 ALFONSO ROMO 1.00 X 0 0 0 THOMAS SCHNEIDER PHD JD 1.00 X 0 0 0 HAMILTON O SMITH MD PHD 40.00 X 344861 0 14709 SUSAN TAYLOR PHD 1.00 X 0 0 0 ROBERT M FRIEDMAN PHD 40.00 X X 316301 0 36327 KAREN NELSON PHD 40.00 X X 330741 0 20720 JOHN CRAIG VENTER PHD 40.00 X X 622368 0 24601 MARK ADAMS 40.00 X 258815 0 30842 JULIE ADELSON JD 40.00 X 218785 0 15272 AIMEE TURNER 40.00 X 309016 0 30119 JOHN I GLASS 40.00 X 159521 0 30680 VANESSA HAYES 40.00 X 198161 0 19000 ROBIN A HOESCH 40.00 X 254773 0 9969 CLYDE A HUTCHISON 40.00 X 283172 0 32010 EWEN KIRKNESS 40.00 X 172664 0 26603 ROGER LASKEN 40.00 X 209774 0 21350 BARBARA METHE 40.00 X 150209 0 13302 WILLIAM NIERMAN PHD 40.00 X 219316 0 19525 RICHARD H SCHEUERMANN 40.00 X 186029 0 6250 MARTIN STOUT 40.00 X 241825 0 27140 GRANGER G SUTTON III 40.00 X 164941 0 29459 CHRISTOPHER TOWN 40.00 X 194714 0 15098 DARNELL EDWARDS 40.00 X 157350 0 1640 REMBERT PIEPER 40.00 X 170133 0 13933 TIMOTHY B STOCKWELL 40.00 X 192628 0 25725 DAVID E WENTWORTH 40.00 X 167592 0 26030 SHIBU YOOSEPH 40.00 X 178582 0 26321 5759389 0 516625 64 0 1 0 ZIMMER GUNSUL FRASCA ARCHITECTS LLP 1223 SW WASHINGTON STREET STE 200 PORTLAND OR 97205 ARCHITECTS 606778 ASIAN FOUNDATION FOR TROPICAL MEDICINE FCC RITM COMPOUND ALABANG MUNTINLUPA CITY, PHILIPPINES RP 1770 SUBCONTRACT 309805 TATUM PO BOX 847872 DALLAS TX 75284 CONSULTANT 272426 CARPMAELS & RANSFORD PO BOX 845720 BOSTON MA 022845720 ATTORNEYS 231176 SUSTAINABLE SOCAL INC PO BOX 13426 LA JOLLA CA 92039 CONSULTANT 230400 12 29903737 9774247 846459 39677984 CLONE REVENUE 900099 20500 20500 20500 742190 742190 464739 26000 0 95316 464739 -69316 395423 395423 ANTI-TRUST SETTLEMENT 900099 354339 354339 OTHER REVENUE 900099 28515 28515 UBIT LOSS PARTNERSHIPS 900099 -7500 -7500 375354 41211451 49015 -7500 1491952 547461 547461 625308 625308 5316080 1944010 3372070 18525654 10864282 7582648 78724 541383 541383 1220453 1220453 1709232 1709232 399660 399660 105513 105513 281711 281711 1010630 75135 935495 175112 171845 3267 742223 165766 575567 890 1342002 48503 1293499 5402505 5402505 564470 403867 141804 18799 124745 32690 92055 85052 85052 2732224 2732224 726897 108512 618385 LAB EQUIPMENT/SUPPLIES 3583779 3462892 120887 MAINTENANCE AND REPAIRS 1096158 100631 995527 BOOKS AND SUBSCRIPTIONS 200368 5170 193946 1252 315935 308524 7411 47374555 18384227 28879985 110343 5730479 3256419 70640541 56428291 15531279 7674894 175196 193344 272283 245689 1643621 1287579 51697889 21619372 14063594 30078517 16971717 19261460 17061126 18780549 3231206 2783113 4570006 4371559 149891048 144361414 7488020 7258775 3033725 2431572 32500000 32500000 3508716 3508716 3412804 3210704 49943265 48909767 X 99751002 95264518 196781 187129 99947783 95451647 149891048 144361414 X -6163104 2778322 -1111354 X X 0 1 X 1 1 1 X 71547498 59963050 62235918 54703190 39677984 288127640 71547498 59963050 62235918 54703190 39677984 288127640 288127640 1765384 582135 352266 684153 742190 4126128 26130 11857 383454 421441 292675209 76553 0.98450 0.98130 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 1421527 377100 1044427 846169 656499 189670 24098488 20585773 3512715 25331705 25331705 30078517 ALTERNATIVE STRATEGY FUNDS 16177542 F PRIVATE EQUITY SECURITIES 2603007 F 18780549 LEASES PAYABLE 242450 DEFERRED GAIN ON SALE-LEASEBACK: OFFICE BLDNG 2435136 RISK MANAGEMENT LIABILITY 533118 3210704 X 42878419 2778322 -1118854 1659468 41218951 -7500 -7500 41211451 47374555 0 47374555 0 47374555 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE INSTITUTE IS A NOT-FOR-PROFIT ORGANIZATION EXEMPT FROM FEDERAL INCOME TAXES ON INCOME UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, NO PROVISION FOR INCOME TAXES HAS BEEN MADE IN THE ACCOMPANYING FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: LOSS IN AFFILIATES -1,118,854. PART XI, LINE 4B - OTHER ADJUSTMENTS: UBIT LOSS FROM PARTNERSHIPS -7,500. 1 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 162888 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 97524 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 364896 0 0 0 0 0 0 625308 0 625308 SUB-SAHARAN AFRICA - ANGOLA, RESEARCH 162888 CHECK OR WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 97524 CHECK OR WIRE EAST ASIA AND THE PACIFIC - RESEARCH 364896 CHECK OR WIRE 3 0 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: EACH SUB GRANT IS A PASS THROUGH GRANT FROM A FEDERAL OR NON-FEDERAL GRANT OR CONTRACT AWARDED TO THE J. CRAIG VENTER INSTITUTE. ALL EXPENSES ARE MONITORED AS INVOICED AT LEAST QUARTERLY, BUT IN MOST CASES MONTHLY. THE INVOICES ARE REVIEWED AND APPROVED BASED ON RECEIPT OF GOODS OR SERVICES AND AGAINST AN APPROVED BUDGET. 1 LOS ALAMOS NATIONAL LABORATORY BIKINI ATOLL RD SM 30 LOS ALAMOS NM 87545 203104541 FED GOVT 37000 SUBGRANT CHILDREN'S RESEARCH INSTITUTE 111 MICHIGAN AVE NW WASHINGTON DC 20010 521654453 501(C)(3) 70591 SUBGRANT BATTELLE MEMORIAL INSTITUTE PND 902 BATTELLE BLVD RICHLAND WA 99352 314379427 501(C)(3) 39776 SUBGRANT BATTELLE MEMORIAL INSTITUTE 902 BATTELLE BLVD RICHLAND WA 99352 314379427 501(C)(3) 51323 SUBGRANT CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVE CLEVELAND OH 44106 341018992 501(C)(3) 15169 SUBGRANT SYNTHETIC GENOMICS VACCINES INC 11149 N TORREY PINES RD LA JOLLA CA 92037 273001571 83697 SUBGRANT REGENTS OF UNIVERSITY OF CALIFORNIA 11000 KINCROSS AVE LOS ANGELES CA 90095 956006143 STATE-CA 54287 SUBGRANT THE PENNSYLVANIA STATE UNIVERSITY 110 TECHNOLOGY CENTER BLDG UNIVERSITY PARK PA 16802 246000376 STATE-PA 26438 SUBGRANT UNIVERSITY OF PITTSBURGH 123 UNIVERSITY PLACE PITTSBURGH PA 15213 250965591 501(C)(3) 110054 SUBGRANT WASHINGTON UNIVERSITY - ST LOUIS 1 BROOKINGS DRIVE CAMPUS BOX 1054 ST LOUIS MO 63130 430653611 501(C)(3) 4283 SUBGRANT BRADLEY UNIVERSITY 1501 WEST BRADLEY AVE PEORIA IL 61625 370661494 501(C)(3) 9982 SUBGRANT CLAREMONT MCKENNA COLLEGE 500 E NINTH STREET CLAREMONT CA 91711 951664101 501(C)(3) 13673 SUBGRANT SOUTHERN ILLINOIS UNIVERSITY 900 S NORMAL AVE CARBONDALE IL 62901 376005961 STATE-IL 3216 SUBGRANT NC STATE 2701 SULLIVAN DRIVE RALEIGH NC 27695 566000756 STATE-NC 27972 SUBGRANT 13 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: EACH SUB GRANT IS A PASS THROUGH GRANT FROM A FEDERAL OR NON-FEDERAL GRANT OR CONTRACT AWARDED TO THE J. CRAIG VENTER INSTITUTE. ALL EXPENSES ARE MONITORED AS INVOICED AT LEAST QUARTERLY, BUT IN MOST CASES MONTHLY. THE INVOICES ARE REVIEWED AND APPROVED BASED ON RECEIPT OF GOODS OR SERVICES AND AGAINST AN APPROVED BUDGET. X X X X 1 1 X X X X X 0 0 0 0 0 0 0 1 0 HAMILTON O SMITH MD PHD 333737 0 0 0 11124 0 0 0 14709 0 359570 0 0 0 ROBERT M FRIEDMAN PHD 308777 0 0 0 7524 0 10899 0 25428 0 352628 0 0 0 KAREN NELSON PHD 327854 0 0 0 2887 0 6887 0 13833 0 351461 0 0 0 JOHN CRAIG VENTER PHD 607890 0 0 0 14478 0 10554 0 14047 0 646969 0 0 0 MARK ADAMS 255575 0 0 0 3240 0 11100 0 19742 0 289657 0 0 0 JULIE ADELSON JD 210084 0 0 0 8701 0 11032 0 4240 0 234057 0 0 0 AIMEE TURNER 285224 0 15480 0 8312 0 7434 0 22685 0 339135 0 0 0 JOHN I GLASS 157199 0 0 0 2322 0 6662 0 24018 0 190201 0 0 0 VANESSA HAYES 197621 0 0 0 540 0 0 0 19000 0 217161 0 0 0 ROBIN A HOESCH 136103 0 0 0 118670 0 3865 0 6104 0 264742 0 0 0 CLYDE A HUTCHISON 268340 0 0 0 14832 0 11541 0 20469 0 315182 0 0 0 EWEN KIRKNESS 171422 0 0 0 1242 0 7542 0 19061 0 199267 0 0 0 ROGER LASKEN 206210 0 0 0 3564 0 8438 0 12912 0 231124 0 0 0 BARBARA METHE 149399 0 0 0 810 0 6097 0 7205 0 163511 0 0 0 WILLIAM NIERMAN PHD 212458 0 0 0 6858 0 8639 0 10886 0 238841 0 0 0 RICHARD H SCHEUERMANN 153144 0 7541 0 25344 0 6250 0 0 0 192279 0 0 0 MARTIN STOUT 231463 0 7740 0 2622 0 7631 0 19509 0 268965 0 0 0 GRANGER G SUTTON III 163699 0 0 0 1242 0 6867 0 22592 0 194400 0 0 0 CHRISTOPHER TOWN 175850 0 7740 0 11124 0 7200 0 7898 0 209812 0 0 0 DARNELL EDWARDS 156810 0 0 0 540 0 0 0 1640 0 158990 0 0 0 REMBERT PIEPER 164323 0 5000 0 810 0 6636 0 7297 0 184066 0 0 0 TIMOTHY B STOCKWELL 188490 0 0 0 4138 0 8040 0 17685 0 218353 0 0 0 DAVID E WENTWORTH 161782 0 5000 0 810 0 6751 0 19279 0 193622 0 0 0 SHIBU YOOSEPH 178042 0 0 0 540 0 7324 0 18997 0 204903 0 0 0 PART I, LINE 1A CERTAIN AWARDS AND BONUSES ARE GROSSED UP FOR INCOME TAX. PART I, LINE 7 NON-FIXED PAYMENTS: THE INSTITUTE PROVIDES SERVICE AWARDS FOR ITS EMPLOYEES FOR FIVE, TEN, FIFTEEN AND TWENTY YEARS OF SERVICE. IN ADDITION, BONUSES ARE PAID FOR PERFORMANCE OR OTHER ACCOMPLISHMENTS. A CA MUNICIPAL FINANCE AUTHORITY 201563466 2011-09-01 32500000 CONSTRUCTION 0 0 0 A 32500000 930817 693868 6618779 0 0 0 1 A 0 0 0 0 0 0 0 A 0 0 0 0 1 1 CAPITAL ONE NA 6.000000000000 0 0 0 0 0 SCHEDULE K, PART VI TAX-EXEMPT BONDS: EXPECTED PROJECT COMPLETION DATE: THE ORGANIZATION EXPECTS THE PROJECT TO BE COMPLETED IN LATE 2013. HEATHER KOWALSKI COMMUNICATIONS THE WIFE OF J. CRAIG VENTER OWNS HEATHER KOWALSKI COMMUNICATIONS 118387 PUBLIC RELATIONS SERVICES 0 X 1 670760 INDEPENDENT VALUATION X LABORATORY EQUIPMENT 2 139990 FAIR MARKET VALUE X LABORATORY SUPPLIES 3 35709 FAIR MARKET VALUE 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 J. CRAIG VENTER IS THE CEO OF THE J. CRAIG VENTER INSTITUTE, SYNTHETIC GENOMICS, INC., AND SYNTHETIC GENOMICS VACCINES, INC. HE IS THE CHAIRMAN OF THE J. CRAIG VENTER INSTITUTE, A CO-CHAIRMAN OF AGRADIS, INC., AND A BOARD MEMBER OF SYNTHETIC GENOMICS, INC. AND SYNTHETIC GENOMIC VAACCINES, INC. HE IS A SHAREHOLDER OF SYNTHETIC GENOMICS, INC. JCVI TRUSTEE AND EMPLOYEE HAMILTON O. SMITH IS A CO-FOUNDER, BOARD MEMBER, OFFICER, EMPLOYEE, AND SHAREHOLDER OF SYNTHETIC GENOMICS, INC. JCVI TRUSTEE AND EMPLOYEE KEN NEALSON IS A MEMBER OF THE SCIENTIFIC ADVISORY BOARD OF SYNTHETIC GENOMICS, INC. AND IS A CONSULTANT. JCVI EMPLOYEE CLYDE HUTCHISON IS THE CHAIRMAN OF THE SCIENTIFIC ADVISORY BOARD OF SYTHETIC GENOMICS, INC. AND IS A SHAREHOLDER OF SYNTHETIC GENOMICS, INC. ERLING NORRBY IS A BOARD MEMBER OF THE J. CRAIG VENTER INSTITUTE AND SYNTHETIC GENOMICS VACCINES, INC. JCVI BOARD MEMBERS THEODORE DANFORTH, WILLIAM HARMAN, AND DEAN ORNISH ARE SHAREHOLDERS OF SYNTHETIC GENOMICS, INC. JCVI BOARD MEMBERS THEODORE DANFORTH AND WILLIAM HARMAN ARE SHAREHOLDERS OF SYNTHETIC GENOMIC VACCINES, INC. ALFONSO ROMO IS A BOARD MEMBER OF JCVI AND SYNTHETIC GENOMICS, INC. AND CO-CHAIRMAN OF ARGADIS, INC. FORM 990, PART VI, SECTION B, LINE 11 THE AUDIT COMMITTEE OF THE BOARD REVIEWED THE FORM 990 AND THE SUPPORTING SCHEDULES WITH THE INTERIM CFO AND THE ORGANIZATION'S PREPARER IN DETAIL. A COMPLETE COPY OF THE FORM 990 AND SUPPORTING SCHEDULES WAS ALSO PROVIDED TO THE FULL BOARD FOR REVIEW AND APPROVAL PRIOR TO BEING FILED. FORM 990, PART VI, SECTION B, LINE 12C JCVI MONITORS COMPLIANCE OF ITS CONFLICT OF INTEREST POLICY THROUGH AN ANNUAL SOLICITATION OF CONFLICT OF INTEREST STATEMENTS FROM TRUSTEES, OFFICERS, AND EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 15 JCVI USES MERCER, AN OUTSIDE COMPENSATION CONSULTANT, TO PROVIDE A LIST OF COMPARABLE SALARIES FOR THE CEO AND OFFICERS. THESE ARE REVIEWED BY THE JCVI COMPENSATION COMMITTEE AND CEO BEFORE A FINAL DETERMINATION IS MADE. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: LOSS IN AFFILIATES -1,118,854. UBIT LOSS FROM PARTNERSHIPS 7,500. OVERSIGHT OF AUDIT: FORM 990, PART XI, LINE 2C THERE HAVE BEEN NO CHANGES DURING THE YEAR IN THE PROCESS FOR OVERSIGHT OF THE AUDIT OF THE FINANCIAL STATEMENTS. AVERAGE HOURS PER WEEK: FORM 990, PART VII, SECTION A., LINE 1 FOLLOWING OFFICERS AND EXECUTIVES ROUTINELY WORK MORE THAN 40 HOURS PER WEEK: J. CRAIG VENTER, MARK ADAMS, JULIE ADELSON, ROBERT FRIEDMAN, KAREN NELSON AND AIMEE TURNER. VENTER INSTITUTE VACCINES INC 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 271936205 INACTIVE MD C 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0