2013-10-22T14:26:17-05:00 2012-12-31 542076905 BST ADVISORS LLC 26 COMPUTER DRIVE WEST ALBANY NY 12205 990 2012-01-01 141401413 TRUDEAU INSTITUTE INC TRUD 5188913080 154 ALGONQUIN AVE SARANAC LAKE NY 12983 RONALD GOLDFARB 5188913080 2013-10-17 1 KEVIN T MCGRATH P00134182 5184596700 2012 2016-02-24 21:20:13Z RONALD GOLDFARB 154 ALGONQUIN AVENUE SARANAC LAKE NY 12983 12076334 0 X WWW.TRUDEAUINSTITUTE.ORG X 1889 NY TO UNDERSTAND THE BODY'S IMMUNE SYSTEM BY CONDUCTING EXPERIMENTAL STUDIES AT THE FRONTIER OF KNOWLEDGE. THAT UNDERSTANDING IS VITAL TO PROGRESS IN STRENGTHENING OUR BODIES' ABILITY TO FIGHT LIFE-THREATENING INFECTIONS, INFLAMMATORY DISEASES, AND CANCER. DISCOVERIES ABOUT THE INTRICATE WORKINGS OF THE IMMUNE SYSTEM APPLY NOT TO JUST A SINGLE DISEASE BUT TO A VAST ARRAY OF HUMAN AFFLICTIONS, THE LIST OF DISEASES CRITICALLY INVOLVING THE IMMUNE SYSTEM IS EXTENSIVE - TUBERCULOSIS, INFLUENZA, ARTHRITIS, ASTHMA, SEPSIS, COLITIS, MULTIPLE SCLEROSIS AMONG MANY OTHERS, AND INCLUDES CANCER. PROGRESS TOWARD FIGHTING THESE DISEASES AND FINDING CURES FOR THEM REQUIRES AN IN-DEPTH UNDERSTANDING OF THE WORKINGS OF THE IMMUNE SYSTEM. SCIENTISTS AT THE TRUDEAU INSTITUTE FOCUS EXCLUSIVELY ON UNDERSTANDING THE ROLES OF THE IMMUNE SYSTEM IN HEALTH AND DISEASE. 21 20 108 0 0 0 10591636 4777479 0 0 636967 1216540 45877 41872 11274480 6035891 0 0 0 0 8299824 6255701 36000 95600 333034 7579699 5686135 15915523 12037436 -4641043 -6001545 49719887 44001995 9104833 7905728 40615054 36096267 X TRUDEAU INSTITUTE'S MISSION IS TO UNDERSTAND THE BODY'S IMMUNE SYSTEM BY CONDUCTING EXPERIMENTAL STUDIES AT THE FRONTIERS OF KNOWLEDGE. THAT UNDERSTANDING IS VITAL TO PROGRESS IN STRENGTHENING OUR BODIES' ABILITY TO FIGHT LIFE-THREATENING INFECTIONS, IMFLAMMATORY DISEASES, AND CANCER. DISCOVERIES ABOUT THE INTRICATE WORKINGS OF THE IMMUNE SYSTEM APPLY NOT TO JUST A SINGLE DISEASE BUT TO A VAST ARRAY OF HUMAN AFFLICTIONS. THE LIST OF DISEASES CRITICALLY INVOLVING THE IMMUNE SYSTEM IS EXTENSIVE: TUBERCULOSIS, INFLUENZA, ARTHRITIS, ASTHMA, SEPSIS, COLITIS, MULTIPLE SCLEROSIS AMONG MANY OTHERS, INCLUDING CANCER. PROGRESS TOWARD FIGHTING THESE DISEASES AND FINDING CURES FOR THEM REQUIRES AN IN-DEPTH UNDERSTANDING OF THE WORKINGS OF THE IMMUNE SYSTEM. SCIENTISTS AT THE TRUDEAU INSTITUTE FOCUS EXCLUSIVELY ON UNDERSTANDING THE ROLES OF THE IMMUNE SYSTEM IN HEALTH AND DISEASE. 0 0 7468392 692600 THE TRUDEAU INSTITUTE IS A WORLD-RENOWNED LEADER IN THE EFFORT TO BETTER UNDERSTAND THE IMMUNE SYSTEM FOR THE PURPOSE OF PREVENTING AND TREATING HUMAN DISEASES. OUR EXPERTISE AND ENTHUSIASM FOR MOEDLING INFECTION, IMMUNITY, VACCINATION, INFLAMMATION, AND SEPSIS HAVE LED TO MANY PIONEERING DISCOVERIES. MOUSE MODELS CURRENTLY STUDIED AT THE INSTITUTE INCLUDE INFLUENZA, PARAINFLUENZA, INFLUENZA-ASSOCIATED BACTERIAL PNEUMONIA, BACTERIAL SEPSIS, PHEUMONIC PLAGUE, TUBERCULOSIS, TOXOPLASMOSIS, AND CHRONIC HERPESVIRUS INFECTION. IN 2012, THE TRUDEAU INSTITUTE CONTINUED ITS RESEARCH IN THE AREAS OF IMMUNOLOGY AND INFECTIOUS DISEASE. THE RESEARCH PROGRAMS WERE SUPPORTED BY GRANTS FROM THE NATIONAL INSTITUTE OF HEALTH AND SEVERAL SUBCONTRACTS THROUGH UNIVERSITIES AND FROM FOUNDATIONS. THE TRUDEAU RESEARCH STAFF PUBLISHED FIFTEEN (15) ARTICLES IN (10) LEADING JOURNALS SUCH AS, JOURNAL IMMUNOLOGY, NATURE IMMUNOLOGY, AND MUCOSAL IMMUNOLOGY. 7468392 1 0 0 1 0 0 0 0 0 1 1 1 0 0 0 1 1 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 19 0 1 108 1 0 0 0 0 0 0 0 0 X 21 20 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X X BRIAN G PELKEY 5188913080 154 ALGONQUIN AVE SARANAC LAKE NY 12983 BENJAMIN BREWSTER 4.00 X 0 0 0 PATRICIA TSIEN 4.00 X 0 0 0 ALEXANDER CARDEN 1.00 X 0 0 0 ROBERT A CURTIS 4.00 X 0 0 0 DOROTHY S FEDERMAN 1.00 X 0 0 0 VINCENT A FISCHETTI 2.00 X 0 0 0 RAYMOND N JOHNSON 4.00 X 0 0 0 DANIEL LEFF 1.00 X 0 0 0 PATRICK MCDONALD 1.00 X 0 0 0 DAVID BEACH 2.00 X 0 0 0 DIANA BOURKE 2.00 X 0 0 0 HENRY SANDY FENN 4.00 X 0 0 0 ROBERT B KEET 1.00 X 0 0 0 LINDA F POWERS 2.00 X 0 0 0 MARCENE SONNEBORN 2.00 X 0 0 0 URSULA W TRUDEAU 1.00 X 0 0 0 HELEN BAUMEISTER 2.00 X 0 0 0 JOSEPH FERNADEZ 1.00 X 0 0 0 ELIZABETH LOWE 1.00 X 0 0 0 TIELMAN TREVOR VAN VLECK 1.00 X 0 0 0 MAURICIO PAGES 4.00 X 0 0 0 HOLLY HEMPHILL 4.00 X 0 0 0 RONALD H GOLDFARB 40.00 X 75000 0 0 LAWRENCE JOHNSON 40.00 X 138495 0 8986 TARAS GACH 40.00 X 79724 0 3845 LISA SHOVAN 40.00 X 139733 0 9979 STEPHEN SMILEY 40.00 X 159461 0 19434 ANDREA COOPER 40.00 X 131156 0 19219 MARCIA WOODLAND 40.00 X 146514 0 9615 MARKUS MOHRS 40.00 X 134139 0 19401 ROBERT DONAHUE 40.00 X 116002 0 7706 LAURA HAYNES 40.00 X 110542 0 11300 1230766 0 109485 8 0 1 0 0 21533 4154845 601101 1056 4777479 529930 529930 13986 13986 158751 152761 5990 5990 5990 6574292 5887682 686610 686610 686610 SCRAP METAL 900099 2026 2026 CLASS LITIGATION SETTLEMENT PROCE 900001 322 322 VENDING MACHINE 900099 224 224 19324 19324 21896 6035891 692600 0 565812 673451 97686 485159 90606 4484098 1964408 2476721 42969 278722 115362 161962 1398 505687 192609 301756 11322 313743 132551 178269 2923 211747 151140 60607 100550 100550 58182 58182 590 50 540 95600 95600 35258 35258 181317 180935 382 171699 159479 12220 350 350 1277568 1277568 64733 56919 7814 66727 51038 15689 114489 114489 1714980 960389 754591 LABORATORY SUPPLIES 964597 768676 195921 FACILITY REPAIRS & MAIN 383114 383114 PURCHASE TECHNICAL SERV 318023 1379154 -1062521 1390 ALL OTHER EXPENSES 22211 7174 10124 4913 1799345 -1799345 12037436 7468392 4236010 333034 407300 402600 686424 344433 29786 15965 371321 388984 159148 117302 44656692 21086282 25145298 23570410 22771535 19053221 149075 109080 49719887 44001995 940498 500146 19335 210582 5420000 4845000 2475000 2175000 250000 175000 9104833 7905728 X 32027678 27523325 7717 2372025 8579659 6200917 40615054 36096267 49719887 44001995 -6001545 1482758 0 X X 0 1 X 1 1 1 X 14847356 13822962 14717627 10591636 4777480 58757061 14847356 13822962 14717627 10591636 4777480 58757061 58757061 782075 677812 480561 481029 464599 2886076 196912 139772 143579 121863 101203 703329 62346466 0.94240 0.93750 X 0 1 0 0 0 0 1 1301 0 1 590 1891 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: (1) TRUDEAU INSTITUTE IS A MEMBER OF THE ASSOCIATION OF INDEPENDENT RESEARCH INSTITUTES (AIRI), WHICH IS A NATIONWIDE ASSOCIATION OF APPROXIMATELY 80 INDEPENDENT, NOT-FOR-PROFIT RESEARCH INSTITUTES. FIFTEEN PERCENT OF THE ANNUAL MEMBERSHIP DUES ARE APPLIED TO AIRI LOBBYING EXPENSES. AIRI'S POLITICAL EFFORTS CONTINUE TO ADDRESS ISSUES RELATED TO CONGRESSIONAL DECISIONS IN REGARD TO FUNDING OF THE NATIONAL INSTITUTE OF HEALTH. 19393009 2017862 6002991 6649 15401231 24505643 -663020 4430000 19614 19393009 24848020 3219248 3545548 16077 24505643 24129050 5170366 4428870 22526 24848020 1 0 132063 132063 30229874 9601613 20628261 409158 362477 46681 13885597 11122192 2763405 23570410 FUNDS HELD IN TRUST 3651990 F ENDOWMENT - MONEY MARKET FUNDS 1484348 F ENDOWMENT - EQUITY FUNDS 7730206 F ENDOWMENT - FIXED INCOME MUTUAL FUNDS 2313016 F ENDOWMENT - ALTERNATIVE INVESTMENTS 3873661 F 19053221 X 7671410 1482758 152761 1635519 6035891 0 6035891 12190197 152761 152761 12037436 0 12037436 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE TRUDEAU INSTITUTE ENDOWMENT CONSISTS OF THREE FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES, WHICH CONTINUES TO SUPPORT THE MAIN OBJECTIVE AND MISSION OF CONDUCTING BIOMEDICAL RESEARCH. THE TERM ENDOWMENT ARE THOSES ASSETS NOT SUBJECT TO DONOR-IMPOSED STIPULATIONS, WHICH MAY BE DESIGNATED FOR SPECIFIC PURPOSE BY ELECTION OF THE BOARD OF TRUSTEES. THE BOARD DESIGNATED (QUASI) ENDOWMENT PROVIDES EARNED INCOME IN SUPPORT OF THE INSTITUTE DIRECTOR. INCOME EARNED IN EXCESS OF THE STATED PURPOSE IS AVAILABLE FOR GENERAL OPERATIONS. THE PERMANENTLY RESTRICTED ENDOWMENT IS TO BE MAINTAINED IN PERPETUITY TO GENERATE INCOME FOR THE INSTITUTES OPERATIONAL NEEDS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE INSTITUTE FILES A FORM 990 ANNUALLY WITH THE INTERNAL REVENUE SERVICE. WHEN ANNUAL RETURNS ARE FILED, SOME TAX POSITIONS TAKEN ARE HIGHLY CERTAIN TO BE SUSTAINED UPON EXAMINATION BY THE TAXING AUTHORITIES, WHILE OTHER TAX POSITIONS ARE SUBJECT TO UNCERTAINTY ABOUT THE TECHNICAL MERITS OF THE POSITION OR AMOUNT OF POSITION'S TAX BENEFIT THAT WOULD ULTIMATELY BE SUSTAINED. MANAGEMENT EVALUATED THE INSTITUTE'S TAX POSITIONS, INCLUDING INTEREST AND PENALTIES ATTRIBUTABLE THERETO, AND CONCLUDED THAT THE INSTITUTE HAD TAKEN NO TAX POSITIONS THAT REQUIRED ADJUSTMENTS IN ITS FINANCIAL STATEMENTS AS OF DECEMBER 31, 2012 AND 2011. PART XI, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE 152,761. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE 152,761. X X X 1 JILL ELISOFON 1801 S FLAGER ST WEST PALM FL 33401 0 0 95600 -95600 95600 -95600 NY EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) TRUDEAU INSTITUTE ENGAGED CONSULTANT FOR ADVICE, REPRESENTATION, MANAGEMENT, AND IMPLEMENTATION OF FUNDRAISING ACTIVITIES. X X X X 0 0 0 0 0 0 0 0 0 STEPHEN SMILEY 159461 0 0 0 0 0 10989 0 8445 0 178895 0 0 0 ANDREA COOPER 131156 0 0 0 0 0 9070 0 10149 0 150375 0 0 0 MARCIA WOODLAND 146514 0 0 0 0 0 9615 0 0 0 156129 0 0 0 MARKUS MOHRS 134139 0 0 0 0 0 9252 0 10149 0 153540 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 UPON REVIEW OF THE IRS FORM 990 BY THE PRESIDENT DIRECTOR AND CEO, CHIEF OPERATING OFFICER, THE CONTROLLER, AND THE AUDIT COMMITTEE, THE FORM 990 IS THEN FORWARDED TO ALL MEMBERS OF THE BOARD OF TRUSTEES AND OFFICIALLY FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, THE OFFICERS, DIRECTORS, AND MEMBERS OF THE BOARD OF TRUSTEES RECEIVE A COPY OF THE TRUDEAU INSTITUTE CONFLICT OF INTEREST POLICY. EACH PERSON IS REQUIRED TO SUBMIT A SIGNED CERTIFICATION THAT THEY WILL READ, UNDERSTAND, AND AGREE TO COMPLY WITH THE POLICY. IF THERE IS A DISCLOSURE, THE BOARD OF TRUSTEES WILL ASCERTAIN THE VALIDITY OF THE POTENTIAL CONFLICT AND FOLLOW POLICY FOR COMPLIANCE. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING COMPENSATION FOR THE DIRECTOR/PRESIDENT WAS LAST COMPLETED IN DECEMBER 2007 TO FORMULATE A FIVE YEAR CONTRACT. THE PROCESS INCLUDED THE USE OF COMPARABLE COMPENSATION FOR THE SAME POSITION IN SIMILAR ORGANIZATIONS, WITH REVIEW AND APPROVAL BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. COMPENSATION FOR THE DIRECTOR WAS DEFINED THROUGH DECEMBER 31, 2012. THE PROCESS FOR DETERMINING COMPENSATION FOR ALL OTHER OFFICERS IS COMPLETED ANNUALLY. DETERMINATION IS BASED UPON BENCHMARK DATA FROM SIMILAR ORGANIZATIONS AND REQUIRES REVIEW AND APPROVAL BY THE DIRECTOR AND THE BOARD OF TRUSTEES COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION C, LINE 18 TRUDEAU INSTITUTE PROVIDES THE PUBLIC DIRECT ACCESS TO THE MOST RECENT AUDITED FINANCIAL STATEMENTS AND FORM 990 THROUGH THE ORGANIZATION'S WEBSITE. THE FINANCIAL STATEMENTS ARE ALSO PROVIDED TO ALL REGUALTORY AGENCIES, THE FEDERAL AND STATE GOVERNMENTS AND UPON REQUEST FROM VARIOUS INTERESTED PARTIES. FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND INSTITUTE POLICIES ARE IN THE CARE OF THE TREASURER AND SECRETARY AND ARE MADE AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 TRUDEAU INSTITUTE PROVIDES THE PUBLIC DIRECT ACCESS TO THE MOST RECENT AUDITED FINANCIAL STATEMENTS THROUGH THE ORGANIZATION'S WEBSITE. THE FINANCIAL STATEMENTS ARE ALSO PROVIDED TO ALL REGULATORY AGENCIES, THE FEDERAL AND STATE GOVERNMENTS AND UPON REQUEST FROM VARIOUS INTERESTED PARTIES. FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND INSTITUTE POLICIES ARE IN THE CARE OF THE TREASURER AND SECRETARY AND ARE MADE AVAILABLE UPON REQUEST. THE PROCESS OF REVIEWING THE FORM 990 HAS CHANGED FROM THE PRIOR YEAR. THE AUDIT COMMITTEE NO LONGER FORMALLY MEETS TO REVIEW THE 990, THEY REVIEW IT INDIVIDUALLY AND SUGGEST CHANGES TO THE FORM 990 AS NEEDED. UPON THEIR APPROVAL, THE FORM 990 IS FILED WITH THE INTERNAL REVENUE SERVICE.