2012-11-14T15:59:56-06:00 2012-06-30 MCGLADREY LLP 8040 EXCELSIOR DR STE 300 MADISON WI 53717 990 2011-07-01 390833612 WISCONSIN ALUMNI RESEARCH FOUNDATION WISC 6082632500 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 STEVEN MIXTACKI 6082632500 2012-11-12 JAMES G GRAHAM P00006111 6088333361 2011 2016-02-24 21:20:13Z STEVEN MIXTACKI 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 316462024 0 X WWW.WARF.ORG X 1925 WI TO PROVIDE THE MARGIN OF EXCELLENCE THE UNIVERSITY OF WISCONSIN - MADISON NEEDS TO FULFILL ITS ROLE AS A TWENTY-FIRST CENTURY LEADER IN RESEARCH, DISCOVERY AND INNOVATION.ALSO PROMOTE, ENCOURAGE, AND AID SCIENTIFIC INVESTIGATION AND RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH BY:-HELPING TO COMMERCIALIZE THE TECHNOLOGY ARISING FROM THAT RESEARCH FOR THE BENEFIT OF HUMANKIND-INVESTING THE PROCEEDS OF THE COMMERCIALIZATION EFFORTS AND USE THE ADDED VALUE FROM OUR INVESTMENTS TO PROMOTE, ENCOURAGE, AND AID FURTHER SCIENTIFIC INVESTIGATION AND RESEARCH AT AND WITHIN THE UNIVERSITY OF WISCONSIN - MADISON AND THE MORGRIDGE INSTITUTE FOR RESEARCH. 15 14 119 0 95705 -668722 50978372 540215 56126074 40119675 266202626 269861940 5076808 5940194 378383880 316462024 67754998 56194313 0 0 11323760 12757170 0 0 0 39681851 41103242 118760609 110054725 259623271 206407299 2516480610 2586641488 481777600 464463473 2034703010 2122178015 X SEE PART I, LINE 1 0 0 94311402 55343632 40298728 DIRECT FISCAL 2011-12 GRANTS OF $55,343,632 WERE MADE TO THE UNIVERSITY OF WISCONSIN - MADISON. THE DIRECT GRANTS SUPPORTED 60 NAMED PROFESSORSHIPS, 8 NEW KELLETT MID-CAREER FELLOWSHIPS AND 11 NEW ROMNES FACULTY FELLOWSHIPS BRINGING THE TOTAL OF SUCH FELLOWSHIPS TO 176 DURING THE YEAR. IN ADDITION, 145 WARF GRADUATE FELLOWSHIPS WERE WHOLLY OR PARTIALLY FUNDED BY THE FOUNDATION DURING 2011-12. THE FOUNDATION THROUGH THE ENDOWMENT FOR EXCELLENCE FUNDED 46 INTERDISCIPLINARY FACULTY MEMBERS IN THE FOLLOWING AREAS; AGROECOLOGY, AFRICAN DISPORA, CHEMICAL BIOLOGY, CHEMISTRY, COGNITIVE SCIENCE, COMPUTATIONAL SCIENCES, COMPUTER ENGINEERING, COSMOLOGY, DISABILITY STUDIES, ENERGY SOURCES/POLICY, FOOD SAFETY, FUNCTIONAL ORGANIC MATERIALS, LAND USE, MATERIALS DESIGN, MATHEMATICAL PHYSICS, MINIMALLY INVASIVE MEDICAL TECHNIQUES, MOLECULAR BIOMETRY, NATIVE AMERICAN INDIAN STUDIES NEURODEGENERATIVE DISEASES, STEM CELL AND REGENERATIVE MEDICINE, STRUCTURAL BIOLOGY, SYMBIOSIS, SYSTEMS BIOLOGY, VITAMIN D AND WOMEN'S HEALTH.THE PATENT AND LICENSING FUNCTION PRODUCED THE FOLLOWING RESULTS DURING THE YEAR: THE UNIVERSITY OF MADISON DISCLOSED 372 INVENTIONS TO THE WISCONSIN ALUMNI RESEARCH FOUNDATION. THE FOUNDATION FILED 247 U.S. PATENTS AND 257 FOREIGN PATENT APPLICATIONS ON BEHALF OF THE UNIVERSITY OF WISCONSIN. DURING THE 2011-12 FISCAL YEAR 151 U.S. PATENTS AND 194 FOREIGN PATENTS WERE GRANTED TO THE FOUNDATION BY THE RESPECTIVE PATENT OFFICES.UNDER FEDERAL LAW (I.E. THE BAYH DOLE ACT) UNIVERSITIES OR THEIR 501(C)(3) PATENT MANAGEMENT ORGANIZATIONS HAVE THE RIGHT TO TAKE TITLE TO INVENTIONS MADE IN THE COURSE OF UNIVERSITY RESEARCH FUNDED IN WHOLE OR IN PART BY AN AGENCY OF THE FEDERAL GOVERNMENT. THE UNIVERSITY OF WISCONSIN - MADISON HAS DELEGATED THIS RIGHT TO WARF. WARF IS THE DESIGNATED PATENT MANAGEMENT ORGANIZATION FOR THE UNIVERSITY OF WISCONSIN-MADISON AND IN THAT ROLE WARF EXERCISES THE UNIVERSITY'S RIGHTS AND OBLIGATIONS UNDER THE BAYH DOLE ACT. DURING FISCAL YEAR 2011-12, 57 LICENSES AND OPTIONS AGREEMENTS AND 3 EQUITY AGREEMENTS WERE CONCLUDED WITH INDUSTRIAL FIRMS. 450681 450681 THE MORGRIDGE INSTITUTE FOR RESEARCH WAS ESTABLISHED ON NOVEMBER 24, 2006 TO SUPPORT MEDICAL RESEARCH AND EDUCATION AT THE UNIVERSITY OF WISCONSIN-MADISON IN CONJUNCTION WITH THE UNIVERSITY OF WISCONSIN HOSPITALS AND CLINICS AUTHORITY. THE PRIMARY PURPOSES FOR THE INSTITUTE ARE AS FOLLOWS:1) COLLABORATION - SPARK RESEARCH COLLABORATIONS ACROSS THE SCIENCES AND THE UW-HOSPITAL THAT ACCELERATE BREAKTHROUGH DISCOVERIES TO IMPROVE HUMAN HEALTH.2) INTERACTION - FOSTER INTERACTION BETWEEN PUBLIC AND PRIVATE RESEARCH THAT BREAKS DOWN BARRIERS BETWEEN RESEARCHERS, LABS AND SCIENTIFIC DISCIPLINES.3) COMMUNITY - DEVELOP VIBRANT PUBLIC SPACE ON THE CAMPUS OF THE UNIVERSITY OF WISCONSIN-MADISON THAT BUILDS COMMUNITY AND ENGAGES THE PUBLIC IN THE SCIENCES AND HUMANITIES.DURING FISCAL 2011-12, THE MORGRIDGE INSTITUTE FOR RESEARCH MAINTAINED THE FOLLOWING PROGRAMS:REGENERATIVE BIOLOGY:- TO UNDERSTAND AND IDENTIFY THE GENOMICS OF THE HUMAN EMBRYONIC STEM CELL- TO CREATE PHYSIOLOGICALLY STABLE, SAFE, AND FUNCTIONAL CELLS TO REPAIR OR REPLACE DISEASED CELLS IN HUMANSEDUCATION RESEARCH:- SEEK TO IMPROVE PUBLIC UNDERSTANDING OF KEY CONCEPTS IN SCIENCE, BIOMEDICINE, AND HEALTHCARE BY BECOMING A "GO-TO" PLACE FOR GAMES AND SIMULATION-BASED LEARNING RESOURCES IN THE BIOMEDICAL AND HEALTH SCIENCESMEDICAL DEVICE:- DEVELOP AN UNDERSTANDING OF MEDICAL PROBLEMS THAT CAN POTENTIALLY BE HELPED WITH MEDICAL DEVICES- INVENT, DESIGN, BUILD, ENHANCE, AND TEST MEDICAL DEVICES- MAKE THE TRANSLATION OF MEDICAL DEVICES TO THE CLINIC MORE EFFICIENT, EFFECTIVE, AND SAFEVIROLOGY:- ADVANCE PRACTICAL UNDERSTANDING, PREVENTION, AND TREATMENT OF VIRUSES AND THEIR DISEASES- ENHANCE UNDERSTANDING OF THE BIOLOGY OF HEALTHY CELLS AND TISSUES- DEVELOP NEW TOOLS DERIVED FROM VIRUSES FOR USE IN BIOTECHNOLOGY, NANOTECHNOLOGY, AND MEDICINE PHARMACEUTICAL INFORMATICS:- DEVELOP A NETWORK OF FUNDAMENTAL RESEARCH PROJECTS IN COMPUTATIONAL CHEMISTRY AND COMPUTATIONAL BIOLOGY- DEVELOP COMPOUNDS THAT ARE SAFE AND VIABLE THAT SOLVE DISEASE MODELS- EXPAND THE CHEMICAL LIBRARY THROUGH PETASCALE COMPUTATIONAL CHEMISTRY- DEVELOP NEW ECONOMIC MODELS FOR ALLIANCES BETWEEN INDUSTRY AND UNIVERSITIESOUTREACH EXPERIENCES:- MAKE THE SCIENCE TAKING PLACE AT THE MORGRIDGE INSTITUTE ACCESSIBLE, EXCITING AND RELEVANT TO STUDENTS OF ALL AGES AND ALL WALKS OF LIFE- ASSIST THE MORGRIDGE EDUCATION RESEARCH CHALLENGE AREA IN DEVELOPING CONTENT FOR ITS DIGITAL LEARNING PLATFORMS- CREATE MATERIAL AND HANDS-ON INTERFACES RELATED TO MORGRIDGE RESEARCH FOR THE INFORMAL LEARNING ENVIRONMENT IN THE TOWN CENTER AT THE WISCONSIN INSTITUTES FOR DISCOVERY 400000 400000 WICELL'S PRIMARY PURPOSE IS TO SUPPORT HUMAN EMBRYONIC STEM CELL RESEARCH AT THE UNIVERSITY OF WISCONSIN - MADISON; PROVIDE SCIENTIFIC RESEARCH AND INVESTIGATION INTO THE CULTURE, DEVELOPMENT AND DIFFERENTIATION OF HUMAN AND ANIMAL EMBRYONIC STEM CELLS; DISTRIBUTE CELLS; TEACH SCIENTISTS HOW TO SUCCESSFULLY CULTURE THE CELLS; EDUCATE THE GENERAL PUBLIC ABOUT THE SCIENCE; LICENSE THE TECHNOLOGY TO OTHER QUALIFIED RESEARCH ORGANIZATIONS TO PROMOTE ADDITIONAL SCIENTIFIC RESEARCH IN THIS AREA. WICELL DISTRIBUTES HUMAN AND ANIMAL EMBRYONIC STEM CELLS AND LICENSES THE RELATED TECHNOLOGY ONLY TO QUALIFIED RESEARCH ORGANIZATIONS WHICH COMMIT TO CARRY ON SUCH RESEARCH IN AN ETHICAL MANNER.THE SCIENTIFIC RESEARCH CARRIED OUT BY WICELL AND OTHERS WHO ACQUIRE CELLS AND THE RIGHT TO USE THE RELATED TECHNOLOGY HAVE AS THEIR OBJECTIVE THE EVENTUAL, USE OF CELLS TO TREAT OR PREVENT DISEASE AND TO ENABLE DEFECTIVE OR INJURED BODY PARTS OR SYSTEMS TO BE REPAIRED OR REPLACED, AS WELL AS TO UNDERSTAND EARLY HUMAN DEVELOPMENT.WICELL LABORATORY OPERATIONS ARE LOCATED IN THREE SEPARATE FACILITIES: 1) THE WICELL LABORATORY LOCATED AT 5501 RESEARCH PARK BLVD.IS USED FOR CYTOGENETIC TESTING. 2) A LABORATORY LOCATED AT 505 ROSA ROAD IN THE UW RESEARCH PARK IN MADISON, WISCONSIN IS USED FOR CELL DISTRIBUTION AND CORE SCIENTIFIC SUPPORT FOR STEM CELL ACTIVITIES AT THE UNIVERSITY OF WISCONSIN-MADISON. 3) ANOTHER LABORATORY, ALSO LOCATED AT 505 ROSA ROAD, IS USED TO DERIVE AND CHARACTERIZE NEW, NON-FEDERALLY APPROVED, CELL LINES.DURING FISCAL YEAR 2011-12 WICELL DISTRIBUTED 290 HUMAN CELL LINES TO COMMERCIAL AND ACADEMIC RESEARCH LABORATORIES BRINGING THE TOTAL CELL LINES DISTRIBUTED TO DATE TO 2,485.WICELL OPERATES ITS RESEARCH FACILITIES WITH 22 SCIENTISTS AND RESEARCH TECHNICIANS. THE WISYS TECHNOLOGY FOUNDATION WAS ESTABLISHED IN MARCH 2000 TO PROVIDE TECHNOLOGY TRANSFER SERVICES FOR THE UNIVERSITY OF WISCONSIN CAMPUSES EXCLUDING THE UNIVERSITY OF WISCONSIN-MADISON. THE MISSION OF WISYS IS TO PROVIDE PROTECTION FOR TECHNOLOGY THROUGH PATENTS OR OTHER METHODS, FOR UW SYSTEMS FACULTYS DISCOVERIES AND TO NEGOTIATE LICENSE AGREEMENTS THAT ENABLE INDUSTRY TO COMMERCIALIZE INVENTIONS FROM UW-SYSTEMS INSTITUTIONS.DURING FISCAL 2011-12, WISYS REVIEWED 38 NEW INVENTION DISCLOSURES RECEIVED FROM UW-SYSTEM FACULTY AND ACCEPTED 14 OF THE DISCLOSURES FOR FURTHER STUDY AND PATENTING. DURING FISCAL 2011-12, WISYS APPLIED FOR 21 U.S. PATENTS AND DERIVATIVES. IN ADDITION WISYS RECEIVED 5 U.S. ISSUED PATENTS AND 4 FOREIGN ISSUED PATENTS. WISYS COMPLETE 3 NEW LICENSE AND OPTIONS AGREEMENTS AND 4 NEW MATERIAL TRANSFER AGREEMENTS. WISYS OPERATES ITS OFFICES LOCATED AT 614 WALNUT STREET, MADISON, WISCONSIN WITH 5 EMPLOYEES. 95162083 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 779 0 1 119 1 1 1 0 0 0 0 0 0 0 0 0 X 15 14 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 WI X X STEVEN MIXTACKI 6082611954 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 ERNEST A MICEK 10.00 X X 15000 25000 0 JOHN P MORGRIDGE 10.00 X 0 0 0 CAROLYN MARTIN 10.00 X 10000 0 0 DORIS MEISSNER 10.00 X 20000 0 0 THOMAS F PYLE 10.00 X 20000 1500 0 CAROL N SKORNICKA 10.00 X 20000 0 0 JOAN E SPERO 10.00 X 20000 20000 0 JAN K VER HAGEN 10.00 X 15000 16500 0 GORDON F BRUNNER 10.00 X 16000 0 0 CARL E GULBRANDSEN 40.00 X X 593216 20000 211356 PATRICIA LIPTON 10.00 X X 20000 20000 0 KEITH R LOBO 10.00 X 25000 0 0 PETER P TONG 10.00 X 18000 0 0 NORMAN BOBINS 10.00 X 15000 0 0 JOHN ROWE 10.00 X X 15000 21500 0 DAVID WARD 10.00 X 10000 0 0 STEVE MIXTACKI 40.00 X 311206 0 115304 LEIGH CAGAN 40.00 X 273357 0 106120 MICHAEL FALK 40.00 X 295789 0 174754 CARRIE THOME 40.00 X 463760 0 156226 ALAIN HUNG 40.00 X 416773 0 122537 KENNETH LUTZ 40.00 X 225923 0 301317 STEPHANIE ADAMANY 40.00 X 194016 0 76942 LAURA HEISLER 40.00 X 160533 0 102145 KATHI STANEK 40.00 X 213859 0 89874 HOWARD BREMER 10.00 X 118741 0 6207 3506173 124500 1462782 36 1 1 0 QUARLES & BRADY LLP 411 E WISCONSIN AVE 2550 MILWAUKEE WI 53202 LEGAL SERVICES 2690224 CPA GLOBAL LTD CASTLE ST ST HEILER CHANNEL ISLANDS JE PATENT LEGAL/ANNUITY SERVICE 1325901 ANDRUS SCEALES STARKE & SAWALL 100 E WISCONSIN AVE SUITE 1100 MILWAUKEE WI 532024178 LEGAL SERVICES 766345 JH FINDORFF & SON INC 300 S BEDFORD ST MADISON WI 53703 BUILDING CONSTRUCTION 726674 BOYLE FREDERICKSON 840 N PLANKINTON AVE MILWAUKEE WI 53203 LEGAL SERVICES 723781 23 540215 540215 ROYALTIES 900099 38881287 38881287 LICENSING 900099 1238388 1238388 40119675 28625142 28625142 2621084 0 2621084 2621084 2621084 241236798 0 241236798 241236798 241236798 MIR BLDG COSTS REIMBUR 900099 1991352 1991352 MIR ADMIN REIMBURSEMEN 900099 1053000 1053000 OTHER INCOME 900099 179053 179053 95705 95705 3319110 316462024 40298728 95705 275527376 56194313 56194313 2615982 713794 1902188 7338851 3613569 3725282 1096937 519699 577238 1182194 653945 528249 523206 260240 262966 8138 8138 957952 957952 199078 5748 193330 262997 262997 5196089 5196089 1209638 1004960 204678 171447 544 170903 302477 192666 109811 533090 107290 425800 8335854 8335854 1039072 712919 326153 155458 80653 74805 4928 4928 -28669 -69113 40444 6766519 6694978 71541 5899454 5700344 199110 334374 181668 152706 DOMESTIC LEGAL/PATENTS 3319998 3319998 FOREIGN LEGAL/PATENTS 2739397 2739397 TECH COMMERCIAL ACCEL 1487815 1487815 FOREIGN PATENT MTC FEES 1253468 1253468 954668 499382 455286 110054725 95162083 14892642 0 11815079 9229781 732583 131544 50989417 29879960 2763067 210153 225177 431244 182820179 11946302 183551433 170873877 322047292 289449230 1847638058 1962275103 96718504 124160596 2516480610 2586641488 5452485 7942623 245272446 219501100 160301655 159725748 70751014 77294002 481777600 464463473 X 1887069010 1967786779 147634000 154391236 2034703010 2122178015 2516480610 2586641488 X 206407299 -118932294 X X 0 1 1 X 0 X X 0 0 0 UNIVERSITY OF WISCONSIN-MADISON 396006492 2 1 1 1 55343632 1 55343632 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 262997 262997 95066378 95329375 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 340584 235428 351485 262997 1190494 250000 250000 250000 250000 1000000 1500000 15340740 15340740 142371139 5439229 136931910 924429 731233 193196 24183871 5775840 18408031 170873877 MONEY MARKET FUNDS 439445604 F HEDGE FUNDS 709621377 F INVESTMENT IN WICELL 2474006 F INVESTMENT IN WISYS 980928 F FIXED INCOME 538684730 F PRIVATE EQUITY - LTD PS 231627435 F INVESTMENT IN MORGRIDGE 16878412 F INVESTMENT IN WARF STARTUP COMPANIES 16430012 F VENTURE CAPITAL PARTNERSHIPS 6132599 F 1962275103 ROYALTIES PAYABLE 252162 DUE TO BROKER 10869104 SECURITIES LENDING CASH COLLATERAL OBLIGATION 62445851 LIABILITY FOR PENSION BENEFITS 3726885 77294002 316462024 110054725 206407299 -89811449 -29120845 -118932294 87475005 212553581 -89811449 -89811449 302365030 14096994 14096994 316462024 95957731 0 95957731 14096994 14096994 110054725 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION, WICELL, WISYS, PROPERTIES, AND MORGRIDGE HAVE BEEN GRANTED AN EXEMPTION FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. UNDER THIS EXEMPTION, INCOME TAX IS PAID ONLY ON NET UNRELATED BUSINESS INCOME. THE ORGANIZATIONS ARE ALSO EXEMPT FROM WISCONSIN INCOME AND REAL ESTATE TAX. THE ORGANIZATION FOLLOWS THE GUIDANCE RELATIVE TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, THE ORGANIZATION MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. EXAMPLES OF TAX POSITIONS INCLUDE THE TAX-EXEMPT STATUS OF THE ORGANIZATION AND VARIOUS POSITIONS RELATED TO THE POTENTIAL SOURCES OF UNRELATED BUSINESS TAXABLE INCOME (UBIT). ANY TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50 PERCENT LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE ORGANIZATION FILES FORMS 990 IN THE U.S. FEDERAL JURISDICTION AND THE STATE OF WISCONSIN. WITH FEW EXCEPTIONS, THE ORGANIZATION IS NO LONGER SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR YEARS BEFORE 2009. PART XI, LINE 8 - OTHER ADJUSTMENTS: ALLOCATION OF INVEST APPREC TO DEPT ROYALTY TRUSTS,UNIVERSITY & DONOR FUNDS -8,274,314. EQUITY GAIN IN SUBSIDIARIES -20,425,999. APPRECIATION IN DONOR DIRECTED FUNDS 6,714,417. CHANGE IN MINIMUM PENSION OBLIGATION -7,134,949. TOTAL TO SCHEDULE D, PART XI, LINE 8: -29,120,845. PART XII, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST INCOME IN AUDIT 8,335,853. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 5,665,436. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 95,705. PART XIII, LINE 4B - OTHER ADJUSTMENTS: SHARED ROYALTIES NETTED AGAINST EXPENSES IN AUDIT 8,335,853. REIMBURSED EXPENSES FROM AFFILIATE NETTED AGAINST EXPENSES IN AUDIT 5,665,436. UBIT REVENUE RECORDED IN EXPENSES IN AUDIT 95,705. 1 UNIVERSITY OF WISCONSIN - MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 501(C)(3) 55343632 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4A MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 501(C)(3) 450681 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4B WICELL RESEARCH INSTITUTE INC 614 WALNUT ST 13TH FLOOR MADISON WI 53726 391972235 501(C)(3) 400000 SEE PROGRAM SERVICE ACCOMPLISHMENTS; FORM 990, PART III, LINE 4C 3 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: 1) UW - THE UNIVERSITY PROVIDES WARF WITH AN ANNUAL SUMMARY OF GRANT EXPENDITURES THAT DETAILS HOW THE GRANT FUNDS WERE SPENT FROM THE PREVIOUS YEAR 2) MIR & WICELL - WARF HAS ACCESS TO THE FINANCIAL STATEMENTS OF THESE ORGANIZATIONS. ALSO, THE WARF MANAGING DIRECTOR CARL GULBRANDSEN SITS ON THE BOARD OF MIR AND WICELL. X X X X X 0 0 0 0 0 0 0 0 0 CARL E GULBRANDSEN 476216 20000 117000 0 0 0 181362 0 29994 0 804572 20000 0 0 STEVE MIXTACKI 265206 0 46000 0 0 0 90430 0 24874 0 426510 0 0 0 LEIGH CAGAN 238857 0 34500 0 0 0 80763 0 25357 0 379477 0 0 0 MICHAEL FALK 258221 0 37568 0 0 0 149071 0 25683 0 470543 0 0 0 CARRIE THOME 303760 0 160000 0 0 0 128108 0 28118 0 619986 0 0 0 ALAIN HUNG 271773 0 145000 0 0 0 95100 0 27437 0 539310 0 0 0 KENNETH LUTZ 200933 0 24990 0 0 0 276648 0 24669 0 527240 0 0 0 STEPHANIE ADAMANY 170761 0 23255 0 0 0 53275 0 23667 0 270958 0 0 0 LAURA HEISLER 142459 0 18074 0 0 0 78424 0 23721 0 262678 0 0 0 KATHI STANEK 186259 0 27600 0 0 0 65379 0 24495 0 303733 0 0 0 HOWARD BREMER 117741 0 1000 0 0 0 0 0 6207 0 124948 0 0 0 COMMUNITY DEVELOPMENT AUTHORITY- CITY OF MADISON 396006968 2009-12-17 161453470 FOR CONSTRUCTING A RESEARCH FACILITY LOCATED ON THE CAMPUS OF UW-MADISON 0 0 0 161453470 2569756 151462411 7421303 2010 0 0 0 1 0 1 0 1 1 0.00000 0.00000 0.00000 1 0 0 0 0 0 0 SCH K, PART III, #2 PRIVATE BUSINESS USE ALTHOUGH THERE IS PRESENTLY NO PRIVATE BUSINESS USE OF THE BOND-FINANCED PROPERTY, A SIGNIFICANT PORTION OF THE PROPERTY IS CURRENTLY OCCUPIED BY THE MORGRIDGE INSTITUTE FOR RESEARCH, INC., A 501(C)(3) ORGANIZATION ("MORGRIDGE"). AS A MEDICAL RESEARCH ORGANIZATION THAT COLLABORATES WITH PRIVATE INDUSTRY IT IS POSSIBLE THAT SOME OF THE ACTIVITY ON THE PROPERTY COULD RESULT IN PRIVATE BUSINESS USE. HOWEVER, MORGRIDGE IS AWARE OF THE LIMITATIONS ON PRIVATE USE, AND PROCEDURES HAVE BEEN PUT IN PLACE FOR WARF AND MORGRIDGE TO TRACK PRIVATE USE TO ENSURE COMPLIANCE WITH BOND REQUIREMENTS. X 2 0 FMV 0 0 0 NON REPORTING OF REVENUE: PART I, LINE 33: THE ORGANIZATION RECEIVED SHARES OF STOCK VALUED AT $16,744,036 TO OFFSET A PLEDGE RECEIVABLE THAT WAS RECORDED AS REVENUE IN THE PRIOR YEAR. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS INITIALLY REVIEWED AND APPROVED BY THE CFO, CONTROLLER AND OTHER MEMBERS OF THE MANAGEMENT TEAM. AN ELECTRONIC COPY OF THE FINAL VERSION OF THE FORM 990 IS SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES FOR REVIEW PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE WARF MANAGING DIRECTOR REQUIRES THAT THE TRUSTEES REVIEW THE CONFLICT OF INTEREST POLICY AND COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY. WARF REVIEWS CONFLICT MATTERS AS DISCLOSED THROUGH THE ANNUAL DISCLOSURE AND ON A ROLLING BASIS AND CONSIDERS THEM IN THE MATTER PROSCRIBED IN ITS CONFLICT POLICY. A CONFLICT OF INTEREST COMMITTEE OF THE BOARD OF TRUSTEES ALSO MEETS AS APPROPRIATE TO CONSIDER CONFLICT SITUATIONS. ALL WARF EMPLOYEES SIGN A CONFLICT OF INTEREST AGREEMENT. THE AGREEMENT REQUIREMENTS ARE REVIEWED ANNUALLY AT AN EMPLOYEE MEETING. FORM 990, PART VI, SECTION B, LINE 15 A) WARF RETAINS A MADISON, WISCONSIN-BASED INDEPENDENT HUMAN RESOURCES CONSULTING FIRM SPECIALIZING IN COMPENSATION ACTIVITIES TO REVIEW COMPENSATION FOR THE CEO, TOP MANAGEMENT, OFFICERS AND KEY EMPLOYEES OF THE ORGANIZATION. THE CONSULTANT IS RETAINED BY AND REPORTS TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE AND TO THE TRUSTEE PRESIDENT. B) EACH YEAR IN MID AUGUST THE CONSULTANT PROVIDES COMPARATIVE COMPENSATION DATA TO THE TRUSTEE PRESIDENT AND THE SALARY AND FRINGE BENEFITS COMMITTEE. C) THE TRUSTEE PRESIDENT REVIEWS A WRITTEN SUMMARY OF EXECUTIVE ACCOMPLISHMENTS FOR THE FISCAL YEAR. THIS INFORMATION IS SHARED WITH THE SALARY AND FRINGE BENEFITS COMMITTEE AND WITH THE BOARD'S EXECUTIVE COMMITTEE. D) IN LATE AUGUST OR EARLY SEPTEMBER THE SALARY AND FRINGE BENEFITS COMMITTEE HOLDS A TELECONFERENCE TO DISCUSS THE GENERAL DIRECTION AND SCOPE/RANGE OF EXECUTIVE COMPENSATION. THE OUTSIDE CONSULTANT PARTICIPATES IN THE DISCUSSION. E) IN MID SEPTEMBER THE BOARD PRESIDENT AND THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DISCUSS THE EXECUTIVE EVALUATION AND DETERMINE THE COMPENSATION ADJUSTMENT. F) THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE RECOMMENDATION IN (E) ABOVE AND APPROVES FINAL COMPENSATION ADJUSTMENTS. G) THE CHAIRMAN OF THE SALARY AND FRINGE BENEFITS COMMITTEE REVIEWS THE COMPENSATION ADJUSTMENTS WITH THE FULL BOARD AT THE FALL TRUSTEE MEETING. H) THE OUTSIDE CONSULTANT PROVIDES A LETTER TO THE CHAIR OF THE SALARY AND FRINGE BENEFIT COMMITTEE DESCRIBING THE CONSULTANT'S ROLE IN ESTABLISHING THE REBUTTABLE PRESUMPTION OF REASONABLENESS STANDARD UNDER THE INTERMEDIATE SANCTIONS REGULATIONS AND HOW THE CONSULTANT PROVIDED THE ANALYSIS TO DETERMINE THE REASONABLENESS OF THE EXECUTIVE COMPENSATION PACKAGE. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE NOT MADE AVAILABLE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -89,811,449. ALLOCATION OF INVEST APPREC TO DEPT ROYALTY TRUSTS,UNIVERSITY & DONOR FUNDS -8,274,314. EQUITY GAIN IN SUBSIDIARIES -20,425,999. APPRECIATION IN DONOR DIRECTED FUNDS 6,714,417. CHANGE IN MINIMUM PENSION OBLIGATION -7,134,949. TOTAL TO FORM 990, PART XI, LINE 5: -118,932,294. FORM 990, PART XII, LINE 2C THERE WERE NO CHANGES FROM THE PRIOR YEAR FILING OF FORM 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH ORGANIZATION FORM 8621: WISCONSIN ALUMNI RESEARCH FOUNDATION OWNS A STAKE IN THE FOLLOWING PARTNERSHIPS WHICH HAVE INDIRECT INVESTMENTS IN PASSIVE FOREIGN INVESTMENT COMPANIES (PFICS), AND HAVE FILED FORM 8621 ON BEHALF OF WISCONSIN ALUMNI RESEARCH FOUNDATION: SIGULER GUFF BRIC OPPORTUNITIES FUND, LP SIGULER GUFF BRIC OPPORTUNITIES FUND II, LP DISCLOSURE OF REPORTABLE TRANSACTIONS FORM 8886: THE FOLLOWING INVESTMENTS OF WISCONSIN ALUMNI RESEARCH FOUNDATION HAVE FILED FORM 8886 DISCLOSING REPORTABLE TRANSACTIONS. AS A LIMITED PARTNER IN THESE INVESTMENTS, WISCONSIN ALUMNI RESEARCH FOUNDATION'S ALLOCABLE SHARE FROM THE RESPECTIVE PASSTHROUGH ENTITIES DOES NOT EXCEED THE THRESHOLD AMOUNTS. THEREFORE, WISCONSIN ALUMNI RESEARCH FOUNDATION HAS NOT PARTICIPATED IN A LOSS TRANSACTION REPORTABLE ON FORM 8886: COMMONFUND CAPITAL INTERNATIONAL PARTNERS V, LP COMMONFUND CAPITAL PRIVATE EQUITY PARTNERS VI, LP COMMONFUND CAPITAL VENTURE PARTNERS VII, LP OAK HILL CAPITAL PARTNERS II (CAYMAN) LP WIND POINT PARTNERS V, L.P. WARF PROPERTIES LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 203521556 HOLDING REAL ESTATE WI 507237 WISCONSIN ALUMNI RESEARCH FOUNDATION TOWN CENTER DINING LLC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 272845458 EVENT COORDINATOR WI MORGRIDGE INSTITUTE FOR RESEARCH 330 N ORCHARD ST MADISON WI 537151119 208325570 RESEARCH WI 501(C)(3) LINE 4 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 WICELL RESEARCH INSTITUTE INC 614 WALNUT STREET 13TH FLOOR MADISON WI 53726 391972235 RESEARCH WI 501(C)(3) LINE 7 WISCONSIN ALUMNI RESEARCH FOUNDATION 1 UNIVERSITY OF WISCONSIN-MADISON 1025 W JOHNSON ST MADISON WI 53706 396006492 EDUCATION WI 501(C)(3) LINE 2 0 0 1 0 0 0 0 0 0 0 0 0 0 1 1 0 1 0 0 WICELL RESEARCH INSTITUTE INC N 278631 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC N 1142385 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC M 353934 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC B 450681 CASH WICELL RESEARCH INSTITUTE INC B 400000 CASH WICELL RESEARCH INSTITUTE INC M 86325 PERCENT ALLOCATION MORGRIDGE INSTITUTE FOR RESEARCH INC P 5665436 CASH