2012-10-25T12:37:24-05:00 2011-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2011-01-01 522317193 THE AMERICAN ASSOCIATION OF IMMUNOLOGISTS INC AMER 3016347178 9650 ROCKVILLE PIKE BETHESDA MD 208143994 M MICHELE HOGAN PHD 3016347178 2012-10-25 1 FRANK H SMITH P00639053 2028225000 2012-10-25 2011 2016-02-24 21:20:13Z M MICHELE HOGAN PHD 9650 ROCKVILLE PIKE BETHESDA MD 208143994 24154344 0 X WWW.AAI.ORG X 2001 MD TO ADVANCE AND DISSEMINATE THE KNOWLEDGE OF IMMUNOLOGY, PARTICULARLY NEW ADVANCES IN THE FIELD. 8 8 0 321 517064 275447 20538 39549 10055564 10264729 1247007 1637909 5697 1030 11328806 11943217 269318 457681 0 0 2890849 3172388 0 0 0 4932009 5211499 8092176 8841568 3236630 3101649 33341249 35710151 3352863 3705107 29988386 32005044 X TO ADVANCE KNOWLEDGE OF IMMUNOLOGY AND RELATED DISCIPLINES, TO FOSTER INTERCHANGE OF IDEAS AND INFORMATION AMONG INVESTIGATORS IN THE VARIOUS DISCIPLINES AND TO PROMOTE AN UNDERSTANDING OF THE FIELD OF IMMUNOLOGY. 0 0 4740720 6496771 THE JOURNAL OF IMMUNOLOGY - ONE OF THE MOST SIGNIFICANT WAYS THAT AAI PROVIDES EDUCATION ABOUT THE FIELD OF IMMUNOLOGY IS THROUGH ITS PUBLICATION OF THE JOURNAL OF IMMUNOLOGY ("THE JI"). THE JI, A SEMI-MONTHLY JOURNAL THAT PUBLISHES NOVEL RESULTS FROM ALL AREAS OF EXPERIMENTAL IMMUNOLOGY, IS THE LEADING SCHOLARLY JOURNAL IN THE FIELD OF IMMUNOLOGY. THIS JOURNAL IS PUBLISHED IN PRINT AND ELECTRONIC FORM AND DISTRIBUTED TO ALL AAI MEMBERS AND TO OTHER SUBSCRIBERS. ARCHIVES OF THE JI ARTICLES ARE ALSO AVAILABLE ONLINE TO THE PUBLIC 12 MONTHS AFTER THEIR INITIAL PUBLICATION AT WWW.JIMMUNOL.ORG. THE PUBLICATION OF THE JI EDUCATES AAI MEMBERS AND THE PUBLIC ABOUT THE LATEST DEVELOPMENTS IN THE FIELD OF IMMUNOLOGY. IT ALSO FOSTERS SCIENTIFIC DISCOURSE AMONG IMMUNOLOGISTS BY ESTABLISHING A FORUM FOR THE DISSEMINATION AND DISCUSSION OF CUTTING-EDGE RESEARCH IN IMMUNOLOGY. OVERSIGHT FOR THE ACTIVITIES AND POLICIES OF THE JI ARE CARRIED OUT BY AN EIGHT-MEMBER PUBLICATIONS COMMITTEE WHICH ALSO INCLUDES THE EXECUTIVE DIRECTOR WHO SERVES AS THE EXECUTIVE EDITOR OF THE JI. 1347997 1562031 ANNUAL MEETING - EACH YEAR, AAI HOLDS AN ANNUAL MEETING WHICH DRAWS THOUSANDS OF ATTENDEES AND HUNDREDS OF EXHIBITORS. ATTENDEES INCLUDE BOTH AAI MEMBERS AND NON-MEMBERS WHO HAVE AN INTEREST IN IMMUNOLOGY. DURING THE ANNUAL MEETING, AAI OFFERS A VARIETY OF LECTURES, SEMINARS, AND SYMPOSIA ON SCIENTIFIC TOPICS RELATED TO THE FIELD OF IMMUNOLOGY, WHICH ARE AVAILABLE TO ALL ATTENDEES. MUCH OF THE CONTENT OF THE ANNUAL MEETING IS FOCUSED ON THE NEEDS AND INTERESTS OF STUDENTS AND TRAINEES IN IMMUNOLOGY. TRAINEES MAY ATTEND THE MEETING AT A SIGNIFICANTLY REDUCED COST, AND THEY ARE ENCOURAGED TO PURSUE SPEAKING OPPORTUNITIES AT THE MEETING AND TO ATTEND PROGRAMS AND SEMINARS GEARED TOWARDS IMMUNOLOGY STUDENTS AND EARLY CAREER IMMUNOLOGISTS. INCLUDED AMONG THE WORKSHOPS AT THE ANNUAL MEETING ARE PROGRAMS ON GRANT-WRITING, FUNDING OPPORTUNITIES FOR IMMUNOLOGISTS, CAREERS IN SCIENCE, AND PROFESSIONAL CIRCUMSTANCES AND CHALLENGES UNIQUE TO WOMEN AND UNDER-REPRESENTED MINORITIES IN SCIENCE AND ACADEMICS.AT THE ANNUAL MEETING, AAI ALSO SPONSORS A CAREER RESOURCE PROGRAM FOR ALL REGISTRANTS. THIS PROGRAM PROVIDES ATTENDEES THE OPPORTUNITY TO POST THEIR CVS, LEARN ABOUT JOB OPPORTUNITIES, AND ATTEND SEMINARS ON INTERVIEWING FOR JOBS AND PREPARING RESUMES. 926863 843958 COMMITTEES AND MEMBER SERVICES - AN IMPORTANT FUNCTION OF AAI IS ITS INTERACTION WITH RELATED SCIENTIFIC ORGANIZATIONS, INSTITUTIONS, AND GOVERNMENT AGENCIES. IN ORDER TO PROMOTE THE KNOWLEDGE OF IMMUNOLOGY, AAI IS AFFILIATED WITH OTHER SCIENTIFIC ASSOCIATIONS AND PROVIDES ITS MEMBERS WITH CONCURRENT MEMBERSHIPS IN THE FEDERATION OF AMERICAN SOCIETIES FOR EXPERIMENTAL BIOLOGY ("FASEB") AND IN THE INTERNATIONAL UNION OF IMMUNOLOGICAL SOCIETIES ("IUIS"). AAI'S AFFILIATION WITH THESE OTHER SCIENTIFIC ASSOCIATIONS ALLOWS IT TO UTILIZE ALL SCIENTIFIC ADVANCEMENTS IN THE STUDY OF IMMUNOLOGY PRODUCED THROUGH DIFFERENT VENUES. THROUGH ITS ASSOCIATION WITH IUIS, AAI AND ITS MEMBERS PARTICIPATE IN INTERNATIONAL ISSUES CONFRONTING EDUCATION AND RESEARCH IN IMMUNOLOGY. AAI OFTEN NOMINATES ITS MEMBERS AND OTHER IMMUNOLOGISTS FOR GOVERNMENT AWARDS, ACTIVITIES, AND PANELS, INCLUDING PROGRAMS OF THE NATIONAL INSTITUTE FOR ALLERGY AND INFECTIOUS DISEASES ("NIAID"), THE AMERICAN ASSOCIATION FOR THE ADVANCEMENT OF SCIENCE ("AAAS"), AND THE ASSOCIATION OF AMERICAN MEDICAL COLLEGES ("AAMC"). AAI ALSO KEEPS IN CLOSE CONTACT WITH UNIVERSITY DEPARTMENTS OF IMMUNOLOGY AND MOLECULAR BIOLOGY TO NOTIFY ITS MEMBERS AND THE PUBLIC ABOUT FELLOWSHIP, AWARD, TRAINING, AND JOB OPPORTUNITIES. 488915 457681 AWARDS 111536 227045 ADVANCED COURSE 101585 261090 INTRODUCTORY COURSE 32842 27775 COLLEGE AND HIGH SCHOOL TEACHER PROGRAMS 734878 485456 488135 7750458 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 0 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 43 0 1 0 1 1 1 0 0 0 0 0 0 0 0 0 X 8 8 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 0 1 1 1 0 MD X TODD BREACH 3016347178 9650 ROCKVILLE PIKE BETHESDA MD 208143994 LESLIE J BERG PHD 1.00 X X 0 0 0 GAIL A BISHOP PHD 1.00 X X 0 0 0 MITCHELL KRONENBERGPHD 1.00 X X 10000 0 0 BETTY A DIAMOND MD 1.00 X X 225 0 0 JEFFREY FRELINGER PHD 1.00 X X 0 0 0 MARC K JENKINS PHD 1.00 X 225 0 0 DAN LITTMAN MD PHD 1.00 X 0 0 0 ARLENE SHARPE MD PH D 1.00 X 0 0 0 LINDA A SHERMAN PHD 1.00 X 0 0 0 M MICHELE HOGAN PHD 37.50 X 300000 0 41670 KAYLENE KENYON PHD 37.50 X 150893 0 30830 LAUREN G GROSS JD 37.50 X 169807 0 19748 JAN C MASSEY CPA 37.50 X 171804 0 25069 MARY BRADSHAW 37.50 X 129795 0 20270 TODD BREACH CPA 37.50 X 145363 0 26522 1078112 0 164109 6 0 1 0 DARTMOUTH JOURNAL SERVICES 5 PILGRIM PARK ROAD WATERBURY VT 05676 PUBLICATIONS AND PRINTING 2000979 FASEB 9650 ROCKVILLE PIKE BETHESDA MD 20814 MGM'T/HR/PAYROLL SERVICES 368180 MORGANSTANLEY SMITHBARNEY 1650 TYSONS BLVD 10TH FLOOR MCLEAN VA 22102 INVESTMENT ADVISORY SERVICES 272217 FREEMAN 13101 ALMEDA ROAD HOUSTON TX 770459998 CONVENTION/MEETING CENERAL CONTRACTOR 181541 SMG F&B LLC 747 HOWARD STREET SAN FRANCISCO CA 941033181 CATERING SERVICES 149915 6 39549 39549 JOURNAL OF IMMUNOLOGY 541800 7009335 6496771 512564 ANNUAL MEETING 900099 1906459 1562031 344428 MEMBERSHIP DUES 900099 799436 799436 IMMUNOLOGY COURSES 900099 488135 488135 OPTIONAL JOURNALS 900099 44522 44522 16842 4500 12342 10264729 646535 646535 13202501 12211127 991374 991374 991374 MISCELLANEOUS 900099 1030 1030 1030 11943217 9390895 517064 1995709 10200 10200 437206 437206 10275 10275 533843 352558 181285 2058571 1861681 196890 199397 180868 18529 206928 185861 21067 173649 156147 17502 6127 1040 5087 31300 21986 9314 272217 272217 110763 57484 53279 133124 133124 257564 210384 47180 157290 72604 84686 228529 109457 119072 75220 59409 15811 1183547 1164032 19515 52388 31221 21167 13192 6231 6961 INCOME TAX EXPENSE 118031 118031 COST OF SALES 2417184 2417184 DUES AND PUBLICATIONS 142888 142888 STIPENDS 10425 10425 1710 162 1548 8841568 7750458 1091110 0 299853 5061031 6758008 1366251 334023 191578 267031 172137 447823 290210 155211 157613 25527123 28761541 33341249 35710151 286182 340138 2974354 3216709 92327 148260 3352863 3705107 X 29936742 31940332 51644 64712 29988386 32005044 33341249 35710151 X 3101649 -1084991 X X 0 1 0 X 0 X 93666 90097 56406 20538 39549 300256 8653020 8968078 9541483 9488690 9748865 46400136 8746686 9058175 9597889 9509228 9788414 46700392 10240 9772 9198 8324 11524 49058 15399 34782 96382 146563 10240 9772 24597 43106 107906 195621 46504771 734542 634319 495596 576415 646535 3087407 190519 168445 146657 296442 281447 1083510 925061 802764 642253 872857 927982 4170917 3477 11914 8466 5697 1030 30584 9675224 9872853 10248608 10387782 10717426 50901893 0.91360 0.91580 0.08190 0.08200 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 38126 38126 8594332 8632458 581623 145406 0 0 520309 545506 542495 581623 2189933 3284900 35117 31612 41785 38126 146640 130077 136377 135624 145406 547484 821226 100 100 30000 30000 27171 22606 4565 279869 132952 146917 140783 134652 6131 157613 DEFERRED COMPENSATION PLAN LIABILITY 148260 148260 11943217 8841568 3101649 -1084991 -1084991 2016658 10587209 -1084991 1200 -1083791 11671000 272217 272217 11943217 8570551 1200 1200 8569351 272217 272217 8841568 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: PRIOR TO 2009, AAI RECEIVED A PERMANENTLY RESTRICTED CONTRIBUTION OF $30,000 FROM HENRY J. SHOWELL, IN COORDINATION WITH PFIZER, INC. THE INCOME FROM THIS ENDOWMENT WAS TO BE USED TO SUPPORT AWARDS TO INDIVIDUALS TO ATTEND AAI'S ANNUAL CONFERENCE. AS OF DECEMBER 31, 2008 ALL THE INTEREST EARNED ON THE ENDOWMENT ASSETS HAD BEEN SPENT FOR THE PURPOSE RESTRICTED BY THE DONOR. DURING THE YEAR ENDED DECEMBER 31, 2009, THE DONOR AGREED THAT AAI MAY USE THE CORPUS OF THE ENDOWMENT FUNDS FOR THE TRAVEL AWARDS AS THE EARNINGS ON THE $30,000 GIFT WAS INSUFFICIENT TO FULLY PROVIDE FOR AN ANNUAL TRAVEL AWARD AS ORIGINALLY INTENDED. CONSEQUENTLY, THE $30,000 PERMANENTLY RESTRICTED NET ASSETS WERE RECLASSIFIED TO TEMPORARILY RESTRICTED NET ASSETS ON THE ACCOMPANYING STATEMENT OF ACTIVITIES BASED ON THE DONOR'S CONSENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: IN ACCORDANCE WITH ACCOUNTING STANDARDS CODIFICATION TOPIC 740, INCOME TAXES, AAI HAS EVALUATED ITS INCOME TAX POSITIONS FOR THE YEAR ENDED DECEMBER 31, 2011, AND HAS DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS OR WHICH MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. 1 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 GRANTS TO RECIPIENTS. 10275 0 0 0 0 0 0 10275 0 10275 IUIS EDUCATIONAL GRANT EUROPE (INCLUDING ICELAND AND GREENLAND) 5 10275 REGISTRATION & LODGING FOR AAI SUMMER COURSES FMV 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: FIVE FOREIGN INDIVIDUALS WERE GIVEN TRAVEL GRANTS TO ATTEND AAI IMMUNOLOGY COURSES IN THE U.S. PAYMENTS WERE MADE BASED ON ATTENDANCE AND EXPENSES WERE DOCUMENTED. 1 MIDWINTER CONFERENCE OF IMMUNOLOGISTS PO BOX 135036 BIG BEAR LAKE CA 92315 510169612 501 (C)(3) 5200 TO SUPPORT SPEAKERS, PRESENTATIONS, AND ATTENDEE AWARDS 1 0 TRAINEE ABSTRACT AWARDS 284 142000 JUNIOR FACULTY TRAVEL AWARDS 102 120105 LABORATORY TRAVEL GRANTS 96 110342 TRAINEE ACHIEVEMENT AWARDS 6 13540 HIGH SCHOOL TEACHER GRANTS 7 17500 MERITORIOUS CAREER AWARDS 1 11500 DISTINGUISHED SERVICE AWARD 3 4121 AWARD FOR HUMAN IMMUNOLOGY RESEARCH 1 6500 AAI-BD BIOSCIENCES INVESTIGATOR AWARD 1 6500 PFIZER-SHOWELL TRAVEL GRANT 1 1500 LIFETIME ACHIEVEMENT AWARD 1 1469 EXCELLENCE IN MENTORING AWARD 1 1129 CHAMBERS EBIOSCIENCE AWARD 1 1000 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: GRANTS AND AWARDS MADE INSIDE THE UNITED STATES ARE FOR PAST SCIENTIFIC RESEARCH EXCELLENCE AND REQUIRE A LECTURE AND ATTENDANCE AT THE ANNUAL SCIENTIFIC MEETING. OTHER GRANTS AND AWARDS REQUIRE A SELECTED ABSTRACT PRESENTATION AND/OR TRAVEL TO THE ANNUAL SCIENTIFIC MEETING OR SUPERVISED PERFORMANCE IN A LABORATORY SETTING. X X X X X 0 0 0 0 0 0 0 0 0 M MICHELE HOGAN PHD 300000 0 0 0 0 0 33250 0 8420 0 341670 0 0 0 KAYLENE KENYON PHD 150893 0 0 0 0 0 15121 0 15709 0 181723 0 0 0 LAUREN G GROSS JD 169807 0 0 0 0 0 17314 0 2434 0 189555 0 0 0 JAN C MASSEY CPA 171804 0 0 0 0 0 17382 0 7687 0 196873 0 0 0 MARY BRADSHAW 129795 0 0 0 0 0 12947 0 7323 0 150065 0 0 0 TODD BREACH CPA 145363 0 0 0 0 0 10875 0 15647 0 171885 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 AAI HAS SIX CLASSES OF MEMBERSHIP. THEY ARE: ACTIVE, HONORARY, TRAINEE, SUSTAINING, CORPORATE ASSOCIATE (COLLECTIVELY REFERRED TO REGULAR MEMBERS), AND EMERITUS MEMBER. FORM 990, PART VI, SECTION A, LINE 7A REGULAR AND EMERITUS MEMBERS OF AAI ANNUALLY ELECT THE OFFICERS AND AT LEAST ONE NEW COUNCILLOR. FORM 990, PART VI, SECTION A, LINE 7B REGULAR AND EMERITUS MEMBERS OF AAI HAVE THE AUTHORITY TO APPROVE CERTAIN RECOMMENDATIONS MADE BY THE COUNCIL (BOD), SUCH AS CHANGES IN ANNUAL DUES AND AMENDMENTS TO THE BYLAWS. FORM 990, PART VI, SECTION B, LINE 11 THE FEDERAL FORM 990 IS PREPARED BY AN EXTERNAL AUDITING FIRM AND THEN REVIEWED BY THE DIRECTOR OF FINANCE AND THE SENIOR ACCOUNTANT. AFTER REVIEW AND MODIFICATION, AS NECESSARY, THE RETURN IS REVIEWED BY THE SECRETARY/TREASURER, AS THE DESIGNEE OF THE COUNCIL (BOD). FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY THE AAI COUNCIL, KEY EMPLOYEES, AND KEY COMMITTEE CHAIRMEN AND MEMBERS COMPLETE THE CONFLICT OF INTEREST STATEMENT WHICH IS AVAILABLE TO ALL COUNCIL MEMBERS AND THE EXECUTIVE DIRECTOR. IF A CONFLICT OR PERCEIVED CONFLICT ARISES, THE APPROPRIATE PERSON IS RECUSED FROM DELIBERATION AND VOTING, AND THE MINUTES OF THE MEETING ALSO REFLECT THAT ACTION. ADDITIONALLY THE EXECUTIVE DIRECTOR KEEPS ABREAST OF THE ACTIVITIES OF AAI AND QUESTIONS ANY POTENTIAL CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 OFFICERS ARE NOT COMPENSATED FOR THEIR SERVICE AS COUNCILLORS OR OFFICERS. AAI MAINTAINS AN EMPLOYMENT CONTRACT WITH THE EXECUTIVE DIRECTOR AND ANNUALLY, AT ITS FALL MEETING, DETERMINES THE COMPENSATION OF THE EXECUTIVE DIRECTOR FOR THE SUBSEQUENT YEAR. THE DETERMINATION IS MADE AFTER REVIEW OF SEVERAL SALARY SURVEYS OF SIMILAR ORGANIZATIONS IN THE SAME GEOGRAPHIC AREA AND AN EVALUATION OF THE EXECUTIVE DIRECTOR'S PERFORMANCE. A MEMORANDUM FOR THE RECORD IS PREPARED SOON THEREAFTER DOCUMENTING THE PROCESS AND THE ACTION AND STATING THE INTENT TO ESTABLISH A REBUTTABLE PRESUMPTION OF REASONABLENESS. THE EXECUTIVE DIRECTOR ALSO RELIES ON SIMILAR SALARY SURVEYS AS WELL AS PERFORMANCE APPRAISALS WHEN DETERMINING THE COMPENSATION OF OTHER KEY EMPLOYEES. IN 2011 A COMPENSATION AND BENEFITS BENCHMARKING STUDY WAS PREPARED BY AN INDEPENDENT CONSULTING FIRM FOR THE AAI EXECUTIVE DIRECTOR POSITION. THE STUDY WAS PROVIDED TO THE AAI BOARD OF DIRECTORS PRIOR TO ITS REVIEW OF THE EXECUTIVE DIRECTOR'S COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 THE BYLAWS OF AAI ARE AVAILABLE ON AAI'S WEBSITE AND ARE PROVIDED IN HARD COPY AS REQUESTED. THE FEDERAL FORM 990 AND FINANCIAL STATEMENTS ARE ON THIRD PARTY WEBSITES AND ARE PROVIDED IN HARD COPY AS REQUESTED. THE CONFLICT OF INTEREST STATEMENTS OF EACH AFFECTED MEMBER ARE NOT PUBLIC DOCUMENTS. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -1,084,991. FORM 990, PART XI, LINE 2C: AAI DOES NOT HAVE A SEPARATE COMMITTEE, OTHER THAN THE GOVERNING BODY, THAT PERFORMS THESE FUNCTIONS DUE TO THE SMALL SIZE OF THE BOARD OF DIRECTORS. THE ORGANIZATION BELIEVES IT IS MORE PRACTICAL FOR THE FULL BOARD OF DIRECTORS TO HANDLE THIS RESPONSIBILITY. FORM 990, PART I, LINE 5 & PART V, LINE 2A: AAI HAS ENTERED INTO AN AGREEMENT WITH THE FEDERATION OF AMERICAN SOCIETIES FOR EXPERIMENTAL BIOLOGY (FASEB), AN UNRELATED SECTION 501 (C)(3) TAX EXEMPT ORGANIZATION, TO HANDLE PAYROLL AND HUMAN RESOURCE SERVICES. ALTHOUGH AAI HAS ALL HIRING AUTHORITY REGARDING ITS EMPLOYEES, FASEB IS RESPONSIBLE FOR THE TAX FILINGS. FOR THIS REASON, OUR FEDERAL FORM 990 IS ACCURATE BUT APPEARS INCONSISTENT IN REPORTING EMPLOYEE COMPENSATION IN PART VII OF THE FORM AND, AT THE SAME TIME, REPORTING ZERO EMPLOYEES ON PART I, LINE 5 AND PART V, LINE 2A.