2012-11-13T13:05:23-06:00 2011-12-31 271235638 MOUNTJOY CHILTON MEDLEY LLP 462 S FOURTH ST SUITE 2000 LOUISVILLE KY 402023445 990 2011-01-01 830392250 NATIONAL FOUNDATION TO SUPPORT CELL TRANSPLANT RESEARCH INC NATI 5023798544 333 E MAIN ST NO 400 LOUISVILLE KY 40202 DR PAULA GRISANTI 5023798544 2012-11-07 1 REBECCA L PHILLIPS CPA P00024055 5027491900 2011 2016-02-24 21:20:13Z DR PAULA GRISANTI 333 E MAIN ST NO 400 LOUISVILLE KY 40202 1865458 0 X WWW.NFCTR.ORG X 2003 DC TO FUND, PROMOTE AND SUPPORT COLLABORATION BETWEEN RESEARCHERS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUND PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS, IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM DISEASES AND CONDITIONS THAT MAY BENEFIT FROM ADULT STEM CELL RESEARCH, AND MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 5 5 4 10 0 0 1540484 1864817 0 0 568 641 0 0 1541052 1865458 1548687 448547 0 0 49727 110993 0 0 73767 431548 297157 2029962 856697 -488910 1008761 3198911 2407776 2974380 1224484 224531 1183292 X TO FUND, PROMOTE AND SUPPORT COLLABORATION BETWEEN RESEARCHERS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUND PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS, IMPROVE THE LIVES OF PEOPLE WORLDWIDE SUFFERING FROM DISEASES AND CONDITIONS THAT MAY BENEFIT FROM ADULT STEM CELL RESEARCH, AND MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 0 0 730257 448547 THE NATIONAL FOUNDATION TO SUPPORT CELL TRANSPLANT RESEARCH, INC. FUNDED RESEARCH AND CLINICAL TRIAL COLLABORATIONS IN THE FIELD OF ADULT STEM CELL TRANSPLANTATION, FUNDED PATIENTS PARTICIPATING IN THE RESULTING EARLY STAGE CLINICAL TRIALS AND WORKED TO MAKE CURATIVE THERAPIES ACCESSIBLE TO ALL. 730257 1 1 0 0 0 0 0 0 0 0 1 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 11 0 1 4 1 0 0 0 0 0 0 0 0 0 0 X 5 5 1 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 KY X PAULA GRISANTI DMD 5023798544 333 E MAIN STREET SUITE 400 LOUISVILLE KY 40202 X PAULA GRISANTI 40.00 X X 0 0 0 C DENNIS RIGGS 1.00 X X 0 0 0 MICHAEL GRISANTI 2.00 X 0 0 0 BRUCE S WOLFF 5.00 X 0 0 0 JOHN M CRANOR III 1.00 X 0 0 0 0 0 0 0 0 0 0 0 22021 1842796 1864817 641 641 1865458 0 0 641 448547 448547 98132 40688 5717 51727 5149 525 74 4550 7712 3197 450 4065 3941 2982 959 36088 36088 7722 1235 2993 3494 66517 64501 2016 12506 8056 2148 2302 674 674 12042 7230 1604 3208 3223 2256 322 645 451 451 9945 9945 61925 61058 867 34458 32126 572 1760 INTELLECTUAL PROPERTY C 46786 46786 MISCELLANEOUS EXPENSE 879 879 856697 730257 52673 73767 415078 889084 1716979 501348 3252 7415 12400 3268 1535 9132 180626 119568 881441 881229 3198911 2407776 1468490 67870 1257278 908002 185000 185000 63612 63612 2974380 1224484 X 41824 1032195 182707 151097 224531 1183292 3198911 2407776 X 1008761 -50000 X X 0 1 1 X 0 X 157171 84885 235221 1540484 464817 2482578 157171 84885 235221 1540484 464817 2482578 342182 2140396 2587 11544 1966 568 641 17306 410 25 435 2500319 0.85600 0.93310 X SCHEDULE A, PART IV, LIST OF UNUSUAL GRANTS: ACCRUED ROYALTY FEES DATE: 04/21/11 AMOUNT: 1400000. CHANGE IN DISCOUNTED PLEDGE DATE: 12/31/09 AMOUNT: 56017. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 12400 3268 9132 9132 DEFERRED RESEARCH AND DEVELOPMENT 881229 881229 1865458 856697 1008761 -50000 -50000 958761 1977794 162336 162336 1815458 50000 50000 1865458 1019033 162336 162336 856697 0 856697 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION HAS RECEIVED A DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE INDICATING THAT IT IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF INTERNAL REVENUE CODE AND IS CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE FINANCIAL STATEMENTS. THE FOUNDATION RECOGNIZES UNCERTAIN INCOME TAX POSITIONS USING THE MORE-LIKELY-THAN-NOT APPROACH AS DEFINED IN THE ACCOUNTING STANDARDS CODIFICATION. NO LIABILITY FOR UNCERTAIN TAX POSITIONS HAS BEEN RECORDED IN THE ACCOMPANYING FINANCIAL STATEMENTS. THE FOUNDATIONS 2008 - 2011 TAX YEARS REMAIN OPEN AND SUBJECT TO EXAMINATION. PART XI, LINE 8 - OTHER ADJUSTMENTS: RETURNED GRANT -50,000. PART XII, LINE 4B - OTHER ADJUSTMENTS: RETURNED GRANT 50,000. 1 UNIVERSITY OF LOUISVILLE RESEARCH FOUNDATION CONTROLLERS OFFICE UNIVERSITY OF LOUISVILLE LOUISVILLE KY 40292 611029626 501(C)(3) 406248 5297 COST CRITICAL REAGENTS RESEARCH AND ADVANCEMENT OF CLINICAL TRIALS ASSOCIATED WITH ADULT STEM CELL THERAPIES. NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 60208 362167817 501(C)(3) 37002 RESEARCH AND ADVANCEMENT OF CLINICAL TRIALS ASSOCIATED WITH ADULT STEM CELL THERAPIES. 2 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE ORGANIZATION MEETS REGULARLY WITH REPRESENTATIVES FROM THE GRANT RECIPIENT(S) AND RECEIVES UPDATES AND REPORTS REGARDING EXPENDITURE OF THE FUNDS. FORM 990, PART VI, SECTION A, LINE 2 PAULA GRISANTI, CHAIRMAN OF THE BOARD, AND MICHAEL GRISANTI, DIRECTOR, HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 3 THE ORGANIZATION HAS CONTRACTED ITS FINANCIAL MANAGEMENT OVERSIGHT TO AN OUTSIDE CHIEF FINANCIAL OFFICER AND ITS DAY TO DAY FINANCIAL DUTIES TO A CONTROLLER. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 WAS PREPARED BY OUTSIDE ACCOUNTING FIRM AND REVIEWED IN DETAIL BY CONTRACT CFO, CONTRACT CONTROLLER AND BOARD CHAIR. A COPY WAS THEN SENT TO EACH BOARD MEMBER FOR THEIR REVIEW BEFORE THE FORM 990 WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C EVERY PROPOSED TRANSACTION IS REVIEWED TO DETERMINE WHETHER A POSSIBLE CONFLICT COULD EXIST. TO DATE NO POTENTIAL CONFLICTS HAVE BEEN IDENTIFIED. FORM 990, PART VI, SECTION B, LINE 15 POLICY HAS BEEN ADOPTED; HOWEVER CURRENTLY THE CHAIR AND OTHER OFFICERS SERVE WITHOUT COMPENSATION. CONTRACTED CFO AND CONTRACTED CONTROLLER ARE PAID ON AN HOURLY BASIS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: RETURNED GRANT -50,000. TOTAL TO FORM 990, PART XI, LINE 5: -50,000. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM PRIOR YEAR. THE ORGANIZATIONS BOARD OF DIRECTORS CONTINUE TO SELECT THE INDEPENDENT ACCOUNTANT. THE COMMITTEE CONTINUES TO MEET WITH THE INDEPENDENT AUDITOR AT THE CONCLUSION OF THE ANNUAL AUDIT. DESCRIPTION OF RETURNED GRANT FORM 990, PART XI, LINE 5 AND SCHEDULE D, PART XI, LINE 8 IN 2009 AND 2010, THE FOUNDATION WAS AWARDED GRANTS TO PROVIDE A SPECIFIC TREATMENT TO A DEFINED PATIENT CLASS. AS PART OF THE GRANT AGREEMENT, THE FUNDS WERE TO BE USED PRIOR TO AUGUST 31, 2010 AND 2011, RESPECTIVELY. CERTAIN PROTOCOLS, OUT OF THE CONTROL OF THE FOUNDATION, WERE NOT APPROVED WITHIN THE TIME FRAME ALLOWED IN THE GRANT AGREEMENTS, THUS THE FUNDS WERE UNABLE TO BE USED AND THE GRANTS EXPIRED. THE DONOR HAS INDICATED THAT THE FOUNDATION COULD BE ELIGIBLE FOR FUTURE FUNDING ONCE THE PROTOCOL ISSUES THAT PREVENTED THE FUNDS BEING USED ARE RESOLVED.