2012-11-14T17:02:35-06:00 2011-12-30 454084437 WARREN AVERETT LLC 2500 ACTON ROAD BIRMINGHAM AL 35243 990 2011-01-01 630288868 SOUTHERN RESEARCH INSTITUTE SOUT 2055812000 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 352555305 DAVID RUTLEDGE 2055812000 2012-10-30 1 JC ROUSE P00081132 2059794100 2011 2016-02-24 21:20:13Z DAVID RUTLEDGE 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 352555305 91660993 0 X WWW.SOUTHERNRESEARCH.ORG X 1941 AL TO OFFER RESEARCH & TECHNOLOGY SERVICES TO SUPPORT INDUSTRY AND FEDERAL GOVERNMENT AGENCIES. 9 9 574 0 720254 -459993 76822 410472 89828510 89724925 6077038 1280880 23075 -17732 96005445 91398545 39150 44843 0 0 44423338 42372079 0 0 0 41735946 43989812 86198434 86406734 9807011 4991811 165483524 170558689 36488102 38103201 128995422 132455488 X TO OFFER RESEARCH AND TECHNOLOGY SERVICES TO SUPPORT THE LIFE SCIENCES, ENGINEERING, ENERGY, AND ENVIRONMENTAL PROTECTION INDUSTRIES. THE ORGANIZATION PURSUES ENTREPRENEURIAL AND COLLABORATIVE INITIATIVES TO DEVELOP AND MAINTAIN A PIPLELINE OF INTELLECTUAL PROPERTY AND INNOVATIVE TECHNOLOGIES THAT CONTRIBUTE TO THE GROWTH OF THE ORGANIZATION AND POSITIVELY IMPACT REAL-WORLD PROBLEMS. 0 0 27124939 DRUG DEVELOPMENT PROVIDES DRUG DISCOVERY AND PRE-CLINICAL DRUG DEVELOPMENT TO PHARMACEUTICAL AND BIOTECHNOLOGY ON AN OUTSOURCED BASIS. SOUTHERN RESEARCH INSTITUTE HAS CAPABILITIES IN ALL PHASES OF THE EARLY-STAGE DRUG DISCOVERY AND DEVELOPMENT PROCESS AND PROVIDES CLIENTS WITH COMPREHENSIVE SERVICES AND SUPPORT TO ASSIST THEM IN STREAMLINING THEIR CUSTOM DRUG DISCOVERY AND DEVELOPMENT PROGRAMS. SOME OF SOUTHERN RESEARCH INSTITUTE'S SIGNIFICANT PRE-CLINICAL RESEARCH ACCOMPLISHMENTS INCLUDE: DEMONSTRATED THE EFFICACY OF COMBINATION CHEMOTHERAPY IN MICE, LEADING THE WAY FOR THE DEVELOPMENT OF THERAPEUTIC APPROACHES WITH IMPROVED CLINICAL OUTCOMES IN CERTAIN CANCERS, PERFORMED PRE-CLINICAL DRUG DEVELOPMENT EVALUATIONS AND ANALYSES ON APPROXIMATELY HALF OF THE FDA-APPROVED CANCER THERAPEUTICS CURRENTLY ON THE MARKET, AND CONTRIBUTED TO THE DEVELOPMENT OF THE FIRST DRUG DELIVERY TECHNOLOGY FOR THE EXTENDED RELEASE OF SYNTHETIC AGENTS THAT PROMOTE THE TREATMENT OF PROSTATE CANCER. 27450176 THE ENGINEERING DIVISION DEVELOPS ENGINEERING SOLUTIONS TO COMPLEX PROBLEMS THROUGH CHARACTERIZING THE MECHANICAL, THERMAL, PHYSICAL, AND CHEMICAL PROPERTIES OF ADVANCED MATERIALS. THE ENGINEERING DIVISION IS ALSO DEVELOPING NEW, LOW-COST PROCESSES TO PRODUCE CARBON/CARBON AND POLYMER MATRIX COMPOSITE MATERIALS AND AEROGELS (ULTRA-LIGHT FOAM), AS WELL AS PROCESSING METHODS TO FABRICATE THESE MATERIALS FOR A WIDE VARIETY OF APPLICATIONS FROM AUTOMOTIVE AND RECREATIONAL PRODUCTS TO THE MOST ADVANCED AEROSPACE APPLICATIONS. SOUTHERN RESEARCH INSTITUTE ALSO PROVIDES ENVIRONMENTAL RESEARCH AND SERVICES TO GOVERNMENT, INDUSTRY, AND PRIVATE INSTITUTIONS. THE RESEARCH HAS LED TO THE DEVELOPMENT OF NEW TEST METHODS AND INSTRUMENTS, THE IMPROVEMENT OF PROCESS AND EMISSION CONTROL TECHNOLOGIES, SOLUTIONS TO DAUNTING NEW ENVIRONMENTAL CHALLENGES, AND OTHER IMPORTANT CONTRIBUTIONS TO ENVIRONMENTAL SCIENCES. 13950209 DRUG DISCOVERY HAS ACCOMPLISHED INNOVATIVE RESEARCH IN THE AREAS OF CANCER, INFECTIOUS DISEASE, AND NEUROSCIENCE. WITH A FOCUS ON THE DISCOVERY OF NEW, SMALL-MOLECULE THERAPEUTICS AND THE UNDERSTANDING OF HOW THESE MOLECULES WORK, DRUG DISCOVERY CARRIES OUT TRANSLATIONAL SCIENCE DESIGNED TO INVENT SMALL MOLECULES AND ADVANCE THEM FROM THE DESIGN STAGE TO THE CLINIC. GOVERNMENT FUNDING SUPPORTS OUR EFFORTS IN PIONEERING NEW SCIENTIFIC AREAS OF DRUG DISCOVERY. THE DRUG DISCOVERY STAFF PROVIDES EXPERTISE IN MEDICINAL CHEMISTRY, MOLECULAR BIOLOGY, BIOCHEMISTRY, AND HIGH-THROUGHPUT SCREENING TECHNOLOGIES, ALL FOCUSED ON MAKING DISCOVERIES THAT WILL CONTRIBUTE TO IMPROVING HUMAN HEALTH. THE DRUG DISCOVERY TEAM HAS BEEN VERY EFFECTIVE IN ITS EFFORTS AND HAS DISCOVERED MORE THAN 20 DRUGS THAT HAVE ENTERED CLINICAL TRIALS AND SIX DRUGS THAT HAVE BEEN APPROVED BY THE FDA FOR USE IN THE TREATMENT OF CANCER. 68525324 1 1 0 1 0 0 0 0 0 1 1 0 0 1 1 0 1 1 0 1 1 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 1 135 0 1 574 1 1 1 0 0 0 0 0 0 0 0 0 X 9 9 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 0 1 1 0 X DAVID RUTLEDGE 2055812000 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 352555305 CAROL Z GARRISON 1.00 X 0 616814 129548 SHIRLEY SALLOWAY KAHN 1.00 X 0 353522 83182 RICHARD L MARGISON 1.00 X 0 385095 69519 H CORBIN DAY 0.00 X 0 0 0 WILLIAM W FEATHERINGILL 0.00 X 0 0 0 CHARLES K PORTER 0.00 X 0 0 0 MALCOLM PORTERA 1.00 X 0 634085 115239 FOURNIER J GALE III 0.00 X 0 0 0 CHARLES MCCRARY 0.00 X 0 0 0 JOHN A SECRIST III PHD 40.00 X 520901 0 62165 DAVID A RUTLEDGE 40.00 X 276522 0 58945 NANCY M GRAY 40.00 X 290394 0 45455 ANDREW D PENMAN 40.00 X 335202 0 39827 MARK J SUTO 40.00 X 142811 0 28197 MICHAEL D JOHNS 40.00 X 279772 0 43476 ROBERT L MCCLURE 40.00 X 269594 0 57929 BRENDA H EHRENSPERGER 40.00 X 178169 0 32075 JILL B CORDLE 40.00 X 153888 0 9606 DAVID W MASON 40.00 X 153626 0 40587 WILLIAM B PARKER 40.00 X 212835 0 34160 MICHAEL G MURRAY 40.00 X 213430 0 23910 MARTIN V JONES 40.00 X 228535 0 31976 ANITA T FOWLER 40.00 X 218897 0 32062 SCOTT F GELLER 40.00 X 238408 0 20820 3712984 1989516 958678 82 0 1 0 SLOAN KETTERING INSTITUTE PO BOX 27718 NEW YORK NY 10087 INTELLECTUAL PROPERTY 2944102 KELLY SERVICES INC PO BOX 530437 ATLANTA GA 303530437 TEMPORARY EMPLOYEES 1709633 SAIC 1710 SAIC DRIVE MCLEAN VA 22102 SUBCONTRACT SERVICES 1145417 BRASFIELD & GORRIE CONSTRUCTION 3021 7TH AVENUE SOUTH BIRMINGHAM AL 352333502 CONSTRUCTION 1088624 UNIVERSITY OF ALABAMA AT BIRMINGHAM 701 20TH STREET SOUTH BIRMINGHAM AL 35205 SUBCONTRACT SERVICES & TEMPORARY EMPLOYE 974452 92 410472 410472 CONTRACTS 541900 79603647 78883393 720254 INTELLECTUAL PROPERTY 541900 10121278 10121278 89724925 1401414 1401414 3716 3716 66853 90028 -23175 -23175 -23175 48170 172420 -124250 -124250 -124250 MISCELLANEOUS 900099 5443 5443 5443 91398545 78888836 720254 11378983 44843 44843 2600879 2080703 520176 26635308 21308246 5327062 13135892 10508714 2627178 1005526 195389 810137 190889 152711 38178 189325 151460 37865 17043 13634 3409 10281409 8225127 2056282 10287649 8230119 2057530 4242173 3393738 848435 1253211 1002569 250642 410480 328384 82096 5912682 4730146 1182536 840172 672138 168034 OTHER DIRECT COSTS 3893871 3115097 778774 EQUIPMENT MAINTENANCE 2161352 1729082 432270 DIRECT ANIMAL CARE 1260772 1008618 252154 DUES & SUBSCRIPTIONS 520144 416115 104029 1523114 1218491 304623 86406734 68525324 17881410 0 21810880 19491889 9200 344001 14579579 16811896 955270 1031947 1933802 2140150 121157462 60614781 56983078 60542681 56036566 59998904 13175149 10197221 165483524 170558689 13095531 13077973 2719431 3274515 20000000 19880000 673140 1870713 36488102 38103201 X 119586048 123113393 9409374 9342095 128995422 132455488 165483524 170558689 X 4991811 -1531745 X X 0 1 1 X 1 1 X 160834 96769 99615 76822 410472 844512 71594704 74184779 81844503 88959262 89004671 405587919 4519 57345 371 7234 5443 74912 71760057 74338893 81944489 89043318 89420586 406507343 0 0 0 406507343 1982005 1449548 1183992 1347741 1471983 7435269 4792556 5608133 1808949 869248 720254 13799140 6774561 7057681 2992941 2216989 2192237 21234409 78534618 81396574 84937430 91260307 91612823 427741752 0.95040 0.94540 0.04960 0.05460 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 10144 0 1 189325 199469 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: DURING THE YEAR, SRI CONTRACTED WITH THIRD PARTIES TO MONITOR AND EVALUATE VARIOUS LEGISLATIVE ISSUES. 9409374 -48953 18326 9342095 8180761 1246975 18362 9409374 6860965 1566975 230000 17179 8180761 8892035 -1993440 37630 6860965 1.00000 0 0 6653260 6653260 60512884 32077383 28435501 1071376 961100 110276 45262704 27576298 17686406 7657238 7657238 60542681 PATENTS, NET OF ACCUMULATED AMORTIZATION 2282946 OTHER RECEIVABLES 6627541 GOODWILL 50000 CAPITALIZED VACCINE COSTS 22824 BOND ISSUE COSTS 148734 DEFERRED OUTFLOW - INTEREST RATE SWAP 1065176 10197221 POST RETIREMENT BENEFITS 805537 DERIVATIVE INSTRUMENT - INTEREST RATE SWAP 1065176 1870713 91398545 86406734 4991811 -1531745 -1531745 3460066 89165675 -1531745 90028 -1441717 90607392 791153 791153 91398545 85705609 90028 90028 85615581 791153 791153 86406734 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE INTENDED USE OF THE FUNDS IS TO HELP CERTAIN OUTSTANDING NEWLY-HIRED SCIENTISTS GET THEIR LABORATORIES ESTABLISHED BEFORE THEY HAVE SECURED FUNDING FROM OUTSIDE SPONSORS. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES SHOWN AS OFFSET TO REVENUE IN THE RETURN 90,028. PART XII, LINE 4B - OTHER ADJUSTMENTS: INCOME SHOWN AS REDUCTION TO EXPENSES ON BOOKS 29,863. LEGAL EXPENSE SHOWN AS NEGATIVE INCOME ON BOOKS 761,290. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES SHOWN AS OFFSET TO REVENUE IN THE RETURN 90,028. PART XIII, LINE 4B - OTHER ADJUSTMENTS: INCOME SHOWN AS REDUCTION TO EXPENSES ON BOOKS 29,863. LEGAL EXPENSE SHOWN AS NEGATIVE INCOME ON BOOKS 761,290. RUSSIA AND THE NEWLY INDEPENDENT STATES 8 PROGRAM SERVICES CONSULTANT ASSISTING INTEGRATING CONTRACTOR IN SUPPORT OF THE DEFENSE THREAT REDUCTION AGENCY'S BIOLOGICAL THREAT REDUCTION INTEGRATING CONTRACT 1917007 ARMENIA PROGRAM SERVICES CONSULTANT ASSISTING INTEGRATING CONTRACTOR IN SUPPORT OF THE DEFENSE THREAT REDUCTION 156116 0 8 0 0 0 8 2073123 0 2073123 0 0 0 0 0 0 1 UNITED WAY OF CENTRAL ALABAMA PO BOX 320189 BIRMINGHAM AL 352320189 630288846 501(C)(3) 15000 GENERAL SUPPORT AMERICAN RED CROSS 114 22ND STREET SOUTH BIRMINGHAM AL 35233 630288801 501(C)(3) 14543 GENERAL SUPPORT 2 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE ORGANIZATION REVIEWS ANY GRANTS MADE TO ENSURE THEY ARE QUALIFYING RECIPIENTS. NO FURTHER SUBSTANTIATION OF USE OR ADDITIONAL REVIEW IS DONE. X 1 1 X X X X X 0 1 0 0 0 0 0 0 0 CAROL Z GARRISON 0 483850 0 128541 0 4423 0 95520 0 37237 0 749571 0 0 SHIRLEY SALLOWAY KAHN 0 309605 0 42550 0 1367 0 57793 0 27510 0 438825 0 0 RICHARD L MARGISON 0 333585 0 47590 0 3920 0 57526 0 14224 0 456845 0 0 MALCOLM PORTERA 0 514253 0 104541 0 15291 0 100454 0 17425 0 751964 0 0 JOHN A SECRIST III PHD 341680 0 177393 0 1828 0 56878 0 5287 0 583066 0 0 0 DAVID A RUTLEDGE 207108 0 66802 0 2612 0 53005 0 5940 0 335467 0 0 0 NANCY M GRAY 224100 0 65103 0 1191 0 39217 0 6238 0 335849 0 0 0 ANDREW D PENMAN 262059 0 72728 0 415 0 36100 0 3727 0 375029 0 0 0 MARK J SUTO 96274 0 45000 0 1537 0 26394 0 1803 0 171008 0 0 0 MICHAEL D JOHNS 209284 0 70239 0 249 0 33528 0 9948 0 323248 0 0 0 ROBERT L MCCLURE 197609 0 70157 0 1828 0 52462 0 5467 0 327523 0 0 0 BRENDA H EHRENSPERGER 152300 0 24678 0 1191 0 28348 0 3727 0 210244 0 0 0 JILL B CORDLE 129782 0 23549 0 557 0 5579 0 4027 0 163494 0 0 0 DAVID W MASON 126821 0 25749 0 1056 0 32060 0 8527 0 194213 0 0 0 WILLIAM B PARKER 153558 0 58086 0 1191 0 28462 0 5698 0 246995 0 0 0 MICHAEL G MURRAY 198048 0 14745 0 637 0 23660 0 250 0 237340 0 0 0 MARTIN V JONES 131648 0 96515 0 372 0 27128 0 4848 0 260511 0 0 0 ANITA T FOWLER 69681 0 148553 0 663 0 27770 0 4292 0 250959 0 0 0 SCOTT F GELLER 131564 0 106446 0 398 0 15888 0 4932 0 259228 0 0 0 THE COOPERATIVE DISTRICT OF THE CITY OF BIRMINGHAM-SOUTHERN RESEARCH INST 273338884 NONEAVAIL 2010-08-31 20000000 SOUTHSIDE AND OXMOOR CAMPUS CAPITAL IMPROVEMENTS 0 1 0 20000000 174000 6670310 13155690 0 0 1 1 0 0 0 1 1 1 0 1 1 BBVA COMPASS 6.000000000000 1 0 0 0 1 MAYNARD COOPER & GALE PC FOURNIER J. GALE, III IS A SHAREHOLDER OF THE ABOVE ENTITY 465864 LEGAL SERVICES 0 PORTER WHITE & COMPANY CHARLES K. PORTER IS AN OFFICER OF THE ABOVE ENTITY 140216 FINANCIAL ADVISORY SERVICES 0 ALABAMA POWER COMPANY CHARLES MCCRARY & MALCOLM PORTERA ARE DIRECTORS OF THE ABOVE ENTITY 2299301 ELECTRICITY & STEAM 0 THE UNIVERSITY OF ALABAMA AT BIRMINGHAM SHIRLEY SALLOWAY KAHN IS AN OFFICER OF THE ABOVE ENTITY 974452 CONTRACT SERVICES 0 THE UNIVERSITY OF ALABAMA AT BIRMINGHAM RICHARD L. MARGISON IS AN OFFICER OF THE ABOVE ENTITY 974452 CONTRACT SERVICES 0 THE UNIVERSITY OF ALABAMA AT BIRMINGHAM CAROL Z. GARRISON IS AN OFFICER OF THE ABOVE ENTITY 974452 CONTRACT SERVICES 0 FORM 990, PART VI, SECTION B, LINE 11 THE BOARD OF DIRECTORS HAS ADOPTED THE POLICY THAT THE FINANCE COMMITTEE WOULD REVIEW AND APPROVE THE FORM 990 PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS, DIRECTORS, AND KEY/HIGHLY COMPENSATED EMPLOYEES ARE REQUIRED TO DISCLOSE ANNUALLY ANY POTENTIAL CONFLICTS OF INTEREST OR CERTIFY THAT NO SUCH CONFLICTS EXIST. THE ORGANIZATION INVESTIGATES DISCLOSURES OF ANY POTENTIAL CONFLICTS AND TAKES STEPS TO MITIGATE THE OCCURRENCE OF ACTUAL CONFLICTS OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 FOR THE COMPENSATION OF ITS EXECUTIVE MANAGEMENT, SOUTHERN RESEARCH INSTITUTE HIRES AN OUTSIDE FIRM TO MAKE RECOMMENDATIONS FOR MARKET TARGETS AND THEN AGES THE TARGETS SLIGHTLY EACH YEAR. AN OUTSIDE FIRM ALSO PROVIDES THE COMPENSATION COMMITTEE WITH A LETTER REGARDING PAY PRACTICES AND INTERMEDIATE SANCTIONS. HUMAN RESOURCES USES EXTERNAL MARKET DATA TO ESTABLISH A MARKET TARGET AND SALARY RANGES FOR THE COMPENSATION OF KEY EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 AS A GENERAL RULE, THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, OR FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. ANY WRITTEN REQUEST BY THE PUBLIC WOULD BE REVIEWED AND ACTED UPON BY THE BOARD. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -1,531,745. FORM 990, PART XII, LINE 2C: THE FINANCE COMMITTEE OF THE ORGANIZATION ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. BIOSAFETY SOLUTIONS LLC 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 262310782 SAFETY & HEALTH RISK MANAGEMENT COMPANY AL N/A UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 THIRD AVENUE SOUTH BIRMINGHAM AL 352941150 636005396 HIGHER EDUCATON FACILITY AL POLITICAL SUBDV N/A 0 SOUTHERN RESEARCH INSTITUTE VEBA 2000 NINTH AVENUE SOUTH BIRMINGHAM AL 35205 562439567 VOLUNTARY EMPLOYEE BENEFIT ASSOCIATION AL 501(C)(9) N/A 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 UNIVERSITY OF ALABAMA AT BIRMINGHAM O 974452 CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM P 403266 CASH UNIVERSITY OF ALABAMA AT BIRMINGHAM B 2800 CASH