2012-09-27T15:51:25-05:00 2011-12-31 135381590 BDO USA LLP 7101 WISCONSIN AVE SUITE 800 BETHESDA MD 208144827 990 2011-01-01 521842938 J CRAIG VENTER INSTITUTE JCRA 3017957000 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 AIMEE TURNER 3017957000 2012-09-27 1 MICHAEL SORRELLS CPA P00001737 3016544900 2011 2016-02-24 21:20:13Z AIMEE TURNER 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 56326045 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. 15 11 338 0 0 -7894 62235918 54703190 56053 141800 3994700 1184729 24993 3963 66311664 56033682 0 768282 0 0 36814405 32909673 0 0 122325 27167724 22352150 63982129 56030105 2329535 3577 121574587 149891048 18704188 49943265 102870399 99947783 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 21400936 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. 3030356 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. 2068832 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. 6120928 153657 WITH SUPPORT FROM VARIOUS OTHER SOURCES, JCVI CONDUCTS RESEARCH WHICH HAS UNCOVERED MILLIONS OF NEW GENES FROM ORGANISMS FOUND IN SEA WATER, EXPLORES THE USE OF MICROBES AS HYDROGEN PRODUCTION SYSTEMS, AND ESTABLISHES REFERENCE STANDARDS FOR DETECTION OF SPECIFIC PATHOGENS IN ENVIRONMENTAL SAMPLES. 6120928 153657 32621052 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 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 1 48 0 1 338 1 1 1 1 BD CJ 0 0 0 0 0 0 0 0 X 15 11 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA MD X AIMEE TURNER 3017957512 9704 MEDICAL CENTER DRIVE ROCKVILLE MD 20850 JOHN H COLEMAN PHD 1.00 X 0 0 0 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 94601 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 345477 0 16880 SUSAN TAYLOR PHD 1.00 X 0 0 0 ROBERT M FRIEDMAN PHD 40.00 X X 318094 0 37981 KAREN NELSON PHD 40.00 X X 339081 0 25790 JOHN CRAIG VENTER PHD 40.00 X X 622519 0 26020 MARK ADAMS PHD 40.00 X 91652 0 8220 JULIE ADELSON JD 40.00 X 358588 0 39112 AIMEE TURNER 40.00 X 308324 0 41168 LESLIE BISIGNANO 40.00 X 233530 0 19064 ROBERT FLEISCHMANN PHD 40.00 X 199917 0 19393 JOHN I GLASS PHD 40.00 X 157955 0 34746 VANESSA HAYES PHD 40.00 X 198840 0 22676 ROBIN A HOESCH 40.00 X 260214 0 26315 EWEN KIRKNESS PHD 40.00 X 181931 0 30184 ROGER LASKEN PHD 40.00 X 214720 0 23422 BARBARA METHE PHD 40.00 X 157111 0 13683 WILLIAM NIERMAN PHD 40.00 X 221886 0 18395 SCOTT PETERSON PHD 40.00 X 214969 0 23546 YU-HUI ROGERS 40.00 X 194348 0 31169 MARTIN STOUT 40.00 X 237879 0 35331 GRANGER G SUTTON III PHD 40.00 X 155874 0 34647 CHRISTOPHER TOWN PHD 40.00 X 183370 0 15775 CLYDE A HUTCHISON PHD 40.00 X 283736 0 33996 CLAUDIA HAYWOOD JD 40.00 X 161685 0 33884 KIM O'FARRELL 40.00 X 169663 0 21802 TIMOTHY B STOCKWELL 40.00 X 192932 0 25689 SHIBU YOOSEPH PHD 40.00 X 179145 0 30455 KATHERINE WELLMAN 40.00 X 168223 0 21508 6446264 0 710851 95 0 1 0 ZIMMER GUNSUL FRASCA ARCHITECTS 1223 SW WASHINGTON ST STE 200 PORTLAND OR 97205 ARCHITECTURAL SERVICES 2372804 UNIVERSITY OF CALIFORNIA 9500 GILMAN DRIVE LA JOLLA CA 92093 LAB SERVICES/TEMP HELP 1003719 ERNST & YOUNG 200 PLAZA DRIVE SECAUCUS NY 07094 ACCOUNTING SERVICES 233893 THE SCRIPPS RESEARCH INSTITUTE 10550 NORTH TORREY PINES RD LA JOLLA CA 92037 SUBCONTRACTOR 200000 MCCARTHY BUILDING SERVICES 6165 GREENWICH DRIVE STE 340 SAN DIEGO CA 92166 CONSTRUCTION 191769 10 43127020 11576170 674560 54703190 CONFERENCE REVENUE 541700 111750 111750 CLONE REVENUE 900099 30050 30050 141800 684153 684153 609636 183303 0 292363 609636 -109060 500576 500576 OTHER REVENUE 900099 11857 11857 UBIT LOSS PARTNERSHIPS 900099 -7894 -7894 3963 56033682 153657 0 1176835 625587 625587 142695 142695 6152129 2388118 3764011 21912815 12898793 8939061 74961 698464 698464 2133446 2133446 2012819 2012819 261962 261962 281730 281730 277126 277126 543626 74883 452143 16600 882179 195648 685970 561 1488542 74253 1414049 240 6118480 770085 5348395 608223 405293 202683 247 137846 34197 103580 69 82617 14912 67705 3616654 561972 3054682 523146 79552 443594 LAB EQUIPMENT/SUPPLIES 5915262 5750367 164895 MAINTENANCE AND REPAIRS 1272245 483537 788708 BOOKS AND SUBSCRIPTIONS 191569 5418 186151 ALLOCATIONS 0 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PAYABLE 411365 DEFERRED GAIN ON SALE-LEASEBACK: OFFICE BLDNG 2767201 RISK MANAGEMENT LIABILITY 234238 3412804 56033682 56030105 3577 -2765002 -161191 -2926193 -2922616 53107489 -2765002 -169085 -2934087 56041576 -7894 -7894 56033682 56030105 0 56030105 0 56030105 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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 8 - OTHER ADJUSTMENTS: LOSS IN AFFILIATES -169,085. UBIT LOSS FROM PARTNERSHIPS 7,894. TOTAL TO SCHEDULE D, PART XI, LINE 8: -161,191. PART XII, LINE 2D - OTHER ADJUSTMENTS: LOSS IN AFFILIATES -169,085. PART XII, LINE 4B - OTHER ADJUSTMENTS: UBIT LOSS FROM PARTNERSHIPS -7,894. 1 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 85000 NORTH AMERICA 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 33189 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 18333 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES RESEARCH SUBGRANTS 6173 0 0 0 0 0 0 142695 0 142695 SUB-SAHARAN AFRICA RESEARCH 85000 CHECK OR WIRE NORTH AMERICA RESEARCH 33189 CHECK OR WIRE EAST ASIA AND THE PACIFIC RESEARCH 18333 CHECK OR WIRE EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 6173 CHECK OR WIRE 4 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 NC STATE 2701 SULLIVAN DR RALEIGH NC 27695 566000756 N. CAROLINA 29718 SUBGRANT MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG E LANSING MI 488241046 386005984 STATE-MICHIGAN 5715 SUBGRANT THE PENNSYLVANIA STATE UNIVERSITY 110 TECHNOLOGY CENTER BLDG UNIVERSITY PARK PA 168027000 246000376 PENNSYLVANIA 19341 SUBGRANT UNIVERSITY OF PITTSBURG 123 UNIVERSITY PLACE PITTSBURGH PA 15213 250965591 501 (C )(3) 93495 SUBGRANT UNIVERSITY OF CA - SAN DIEGO 9500 GILMAN DRIVE 934 LA JOLLA CA 920930934 956006144 STATE-CALIFORNIA 304040 SUBGRANT THE SCRIPPS RESEARCH INSTITUTE 3344 NORTH TORREY PINES CT SUITE 300 LA JOLLA CA 920371024 330435954 501 (C )(3) 78907 SUBGRANT THE REGENTS OF THE UNIVERSITY OF CALIFORNIA 11000 KINCROSS AVE LOS ANGELES CA 90095 956006143 STATE-CALIFORNIA 70000 SUBGRANT WASHINGTON UNIVERSITY - ST LOUIS 1 BROOKINGS DRIVE CAMPUS BOX 1054 ST LOUIS MO 631304889 430653611 501 (C )(3) 11738 SUBGRANT MONTANA STATE UNIVERSITY 309 MONTANA HALL BOZEMAN MT 59717 816010045 STATE-MONTANA 12630 SUBGRANT 9 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 1 1 X X X X X 1 0 0 0 0 0 0 1 0 HAMILTON O SMITH MD PHD 332739 0 0 0 12738 0 0 0 16880 0 362357 0 0 0 ROBERT M FRIEDMAN PHD 308956 0 0 0 9138 0 9800 0 28181 0 356075 0 0 0 KAREN NELSON PHD 325047 0 7500 0 6534 0 9800 0 15990 0 364871 0 0 0 JOHN CRAIG VENTER PHD 606427 0 0 0 16092 0 9800 0 16220 0 648539 0 0 0 JULIE ADELSON JD 347898 0 2500 0 8190 0 9800 0 29312 0 397700 0 0 0 AIMEE TURNER 305555 0 10 0 2759 0 9800 0 31368 0 349492 0 0 0 LESLIE BISIGNANO 135493 0 0 0 98037 0 6671 0 12393 0 252594 0 0 0 ROBERT FLEISCHMANN PHD 197268 0 0 0 2649 0 7977 0 11416 0 219310 0 0 0 JOHN I GLASS PHD 154672 0 0 0 3283 0 6600 0 28146 0 192701 0 0 0 VANESSA HAYES PHD 197127 0 0 0 1713 0 0 0 22676 0 221516 0 0 0 ROBIN A HOESCH 252244 0 2510 0 5460 0 9800 0 16515 0 286529 0 0 0 EWEN KIRKNESS PHD 179610 0 0 0 2321 0 7398 0 22786 0 212115 0 0 0 ROGER LASKEN PHD 205654 0 2500 0 6566 0 8341 0 15081 0 238142 0 0 0 BARBARA METHE PHD 147194 0 5000 0 4917 0 5925 0 7758 0 170794 0 0 0 WILLIAM NIERMAN PHD 213809 0 0 0 8077 0 8629 0 9766 0 240281 0 0 0 SCOTT PETERSON PHD 212940 0 2029 0 0 0 8633 0 14913 0 238515 0 0 0 YU-HUI ROGERS 192385 0 0 0 1963 0 7909 0 23260 0 225517 0 0 0 MARTIN STOUT 233854 0 0 0 4025 0 9627 0 25704 0 273210 0 0 0 GRANGER G SUTTON III PHD 153672 0 0 0 2202 0 6560 0 28087 0 190521 0 0 0 CHRISTOPHER TOWN PHD 175481 0 7889 0 0 0 7072 0 8703 0 199145 0 0 0 CLYDE A HUTCHISON PHD 267357 0 0 0 16379 0 9800 0 24196 0 317732 0 0 0 CLAUDIA HAYWOOD JD 155789 0 2500 0 3396 0 6613 0 27271 0 195569 0 0 0 KIM O'FARRELL 163975 0 2550 0 3138 0 6718 0 15084 0 191465 0 0 0 TIMOTHY B STOCKWELL 188032 0 0 0 4900 0 7759 0 17930 0 218621 0 0 0 SHIBU YOOSEPH PHD 177539 0 0 0 1606 0 7315 0 23140 0 209600 0 0 0 KATHERINE WELLMAN 153173 0 0 0 15050 0 6840 0 14668 0 189731 0 0 0 PART I, LINE 1A CERTAIN AWARDS AND BONUSES ARE GROSSED UP FOR INCOME TAX. PART I, LINE 4A LESLIE BISIGNANO - SEVERANCE PAYMENT $68,706.38. 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. CA MUNICIPAL FINANCE AUTHORITY 201563466 2011-09-01 32500000 CONSTRUCTION 0 0 0 32500000 32500000 0 0 0 0 0 0 0 0 1 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 674560 INDEPENDENT VALUATION 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 GENOMIC, 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 SYNTHETIC GENOMICS, INC. AND IS 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 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 STATEMENT 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 NOT GENERALLY MADE AVAILABLE TO THE PUBLIC. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -2,765,002. LOSS IN AFFILIATES -169,085. UBIT LOSS FROM PARTNERSHIPS 7,894. TOTAL TO FORM 990, PART XI, LINE 5: -2,926,193. 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