2011-11-11T17:14:22-06:00 2010-12-31 DELOITTE TAX LLP 655 WEST BROADWAY SUITE 700 SAN DIEGO CA 921018590 990 2010-01-01 330328688 LA JOLLA INSTITUTE FOR ALLERGY & IMMUNOLOGY LAJO 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 92037 301510 8587526500 2011-11-11 1 DIANA J MCCUTCHEN 6192326500 2010 2016-02-24 21:20:13Z CHARLES CARPOWICH 9420 ATHENA CIRCLE LA JOLLA CA 92037 43646609 0 X WWW.LIAI.ORG X 1988 CA BIOMEDICAL RESEARCH MAKING BREAKTHROUGH DISCOVERIES LEADING TO NEW TREATMENTS AND CURES. 14 12 393 9 246498 60812 34487640 38763253 3904985 4264931 186114 102355 1865407 501829 40444146 43632368 6710 2500 0 0 21706140 24616497 0 0 290635 19223219 21197504 40936069 45816501 -491923 -2184133 25773788 30922104 7513259 14845708 18260529 16076396 X AT THE LA JOLLA INSTITUTE, OUR PURPOSE IS MAKING BREAKTHROUGH DISCOVERIES TOWARD NEW TREATMENTS OR CURES TO END THE SUFFERING WROUGHT BY THE HOST OF DISEASES RELATED TO IMMUNE SYSTEM FUNCTION. THESE RANGE FROM TYPE 1 DIABETES TO INFECTIOUS DISEASES TO CANCER. 0 0 40566382 2500 4264931 THE LA JOLLA INSTITUTE IS A NONPROFIT BIOMEDICAL RESEARCH INSTITUTE DEDICATED TO FIGHTING DISEASE THROUGH CUTTING-EDGE IMMUNOLOGY RESEARCH. SPECIFICALLY, OUR RESEARCHERS FOCUS ON UNDERSTANDING THE IMMUNE RESPONSE TO INFECTIOUS DISEASES AND CANCERS AND TO ADVANCING PROGRESS TOWARD THE PREVENTION, TREATMENT AND CURE OF NUMEROUS DISEASES RELATED TO IMMUNE SYSTEM FUNCTION. IMMUNE SYSTEM DISORDERS AFFECT MILLIONS AND INCLUDE MANY OF SOCIETY'S MOST DEBILITATING ILLNESSES. (SEE SCHEDULE O FOR CONTINUATION) OUR RESEARCH FOCUSES ON FIVE MAJOR DISEASE AREAS: 1. AUTOIMMUNE DISEASES SUCH AS TYPE 1 DIABETES AND RHEUMATOID ARTHRITIS 2. CANCER AND STIMULATING ANTI-TUMOR RESPONSES 3. INFECTIOUS DISEASES SUCH AS TUBERCULOSIS, FLU AND DENGUE VIRUS 4. ALLERGY AND ASTHMA AND CONTROLLING HARMFUL IMMUNE REACTIONS 5. VASCULAR IMMUNOLOGY INCLUDING HEART DISEASE AND TYPE 2 DIABETES.REGARDED AS A LEADING IMMUNOLOGY RESEARCH INSTITUTE, THE LA JOLLA INSTITUTE FOR ALLERGY & IMMUNOLOGY (LIAI) BRINGS TO BEAR A COMPREHENSIVE RESEARCH EFFORT TO UNDERSTAND THE DIVERSE ASPECTS OF IMMUNE-MEDIATED DISEASES AND TO ADVANCE PROGRESS TOWARD THEIR PREVENTION, TREATMENT AND CURE. IMMUNE SYSTEM DISORDERS AFFECT MILLIONS AND INCLUDE MANY OF SOCIETY'S MOST DEBILITATING ILLNESSES. THESE RANGE FROM CHRONIC, SEVERE AUTOIMMUNE DISORDERS SUCH AS RHEUMATOID ARTHRITIS, TYPE 1 DIABETES, MULTIPLE SCLEROSIS AND CROHN'S DISEASE TO IMMUNE SYSTEM MALFUNCTIONS UNDERLYING HEART DISEASE AND CANCER, THE NATION'S NO. 1 AND NO. 2 KILLERS RESPECTIVELY. ITS RESEARCHERS ALSO EXPLORE HOW THE IMMUNE SYSTEM RESPONDS TO INFECTIOUS DISEASES AND IS USING THIS KNOWLEDGE TO ADVANCE THE DEVELOPMENT OF NEW VACCINES. A NONPROFIT, THE INSTITUTE WAS FOUNDED IN 1988 AND IS HOME TO 22 INDEPENDENT LABORATORIES, EACH OPERATED BY A LEADING SCIENTIST WHO OVERSEES RESEARCH EFFORTS TO ANALYZE IMMUNE SYSTEM FUNCTIONING. SUPPORTING THESE EFFORTS ARE THE INSTITUTE'S MORE THAN 300 EMPLOYEES -- NEARLY HALF OF WHOM HOLD DOCTORAL DEGREES (PH.D. OR M.D.) FROM NUMEROUS COUNTRIES AROUND THE WORLD. ALTHOUGH RELATIVELY YOUNG, THE INSTITUTE HAS ACCOMPLISHED MUCH IN ITS SHORT HISTORY, AND WAS RECENTLY RANKED AMONG TOP FIVE ORGANIZATIONS FOR RESEARCH IMPACT IN IMMUNOLOGY WORLDWIDE (AS MEASURED BY CITATIONS PER PUBLICATION) BY THE RATING AGENCY THOMSON REUTERS. IN ADDITION, THREE OF ITS SCIENTISTS ARE AMONG THE MOST HIGHLY CITED IMMUNOLOGISTS IN THE WORLD -- A DISTINCTION HELD BY LESS THAN ONE HALF OF ONE PERCENT OF ALL PUBLISHING SCIENTIFIC AUTHORS. SEVERAL OF ITS FACULTY MEMBERS ALSO SERVE ON NATIONAL INSTITUTES OF HEALTH (NIH) GRANT REVIEW PANELS, APPOINTMENTS THAT SIGNAL A HIGH DEGREE OF RESPECT FROM PEERS. ITS SCIENTISTS ALSO REGULARLY PUBLISH RESEARCH PAPERS DESCRIBING THEIR LATEST FINDINGS, MANY OF THESE APPEARING IN THE MOST PRESTIGIOUS SCIENTIFIC JOURNALS.THE INSTITUTE RECEIVES THE MAJORITY OF ITS FUNDING THROUGH COMPETITIVE RESEARCH GRANTS FROM THE NIH AND IS GROWING ITS PHILANTHROPIC OPPORTUNITIES TO FULFILL PRIORITY NEEDS. THIS INCLUDES FUNDING FOR NEW AREAS OF RESEARCH, CUTTING-EDGE TECHNOLOGIES AND CONTINUING RECRUITMENT OF THE VERY BEST SCIENTISTS.IT IS GUIDED BY A 14-MEMBER BOARD OF DIRECTORS, WHICH HAS INCLUDED FIVE MEMBERS OF THE NATIONAL ACADEMY OF SCIENCES. A SCIENTIFIC ADVISORY BOARD OF DISTINGUISHED OUTSIDE SPECIALISTS CONDUCTS ANNUAL EVALUATIONS OF SCIENTIFIC PROGRESS AND REVIEWS FUTURE RESEARCH OBJECTIVES.LA JOLLA INSTITUTE RESEARCHERS CONTINUED TO MAKE IMPRESSIVE RESEARCH ADVANCEMENTS IN 2010, WITH MORE THAN 150 RESEARCH PAPERS PUBLISHED IN SCIENTIFIC JOURNALS. THE HIGHEST ANNUAL TOTAL IN THE INSTITUTE'S HISTORY. SCIENTIFIC PAPERS-IN WHICH RESEARCHERS EXPLAIN THEIR LATEST FINDINGS-MUST GO THROUGH A RIGOROUS PEER-REVIEW PROCESS PRIOR TO PUBLICATION.THE INSTITUTE'S MAJOR PUBLISHED FINDINGS IN 2010 ILLUSTRATE THE RANGE AND POWER OF IMMUNOLOGY RESEARCH. SOME EXAMPLES INCLUDE DR. ANJANA RAO'S FINDING OF AN ENZYME MUTATION THAT PLAYS A MAJOR ROLE IN TUMOR FORMATION IN CERTAIN BLOOD CANCERS, PUBLISHED IN THE JOURNAL NATURE, DR. CATHERINE HEDRICK'S DISCOVERY OF AN IMPORTANT NEW CELLULAR PLAYER THAT COULD LEAD TO NEW THERAPIES THAT REDUCE DIABETES' SEVERITY, PUBLISHED IN THE JOURNAL OF CLINICAL INVESTIGATION, AND DR. SUJAN SHRESTA'S RESEARCH, WHICH PROVED A LONG-HELD AND CONTROVERSIAL HYPOTHESIS THAT SOME ANTIBODIES CAN BE HARMFUL IN DENGUE VIRUS INFECTION. HER WORK, PUBLISHED IN CELL HOST & MICROBE, IS INFLUENCING DENGUE VACCINE DEVELOPMENT WORLDWIDE. IN ADDITION, FIVE POTENTIAL THERAPIES, BASED ON INSTITUTE DISCOVERIES, ADVANCED IN THE PHARMACEUTICAL PIPELINE IN 2010, THREE OF THEM IN CLINICAL TRIALS. THESE INCLUDE ONE TRIAL BEING LED BY INSTITUTE SCIENTIST DR. JOEL LINDEN ON SICKLE CELL DISEASE, A DEVASTATING DISEASE THAT AFFECTS SEVERAL MILLION PEOPLE WORLDWIDE. OTHER MAJOR HIGHLIGHTS IN 2010 INCLUDED THE INSTITUTE'S RECEIPT OF A $12.6 MILLION NIH GRANT TO DEVELOP AN RNA INTERFERENCE (RNAI) CENTER FOR GENETIC TESTING. RNAI IS A NOBEL PRIZE-WINNING TECHNOLOGY THAT ALLOWS SCIENTISTS TO EXPLORE NEW WAYS OF DISRUPTING DISEASE PROCESSES BASED ON ALTERING GENE FUNCTION. IN RECEIVING THE CENTER GRANT, THE LA JOLLA INSTITUTE SUCCEEDED IN A HIGHLY COMPETITIVE GRANT PROCESS, WHICH INCLUDED THOUSANDS OF APPLICATIONS ENCOMPASSING ALL BIOMEDICAL RESEARCH DISCIPLINES. THE CENTER, SLATED TO OPEN IN 2011, WILL BE ONE OF A SMALL, SELECT GROUP OF DEDICATED RNAI FACILITIES WORLDWIDE. ALSO IN 2010, THE INSTITUTE'S INFECTIOUS DISEASE EFFORTS CONTINUED TO MAKE IMPRESSIVE GAINS. A TEAM OF LA JOLLA INSTITUTE RESEARCHERS ARE CHARTING NEW TERRITORY IN THE WORLDWIDE SCIENTIFIC BATTLE AGAINST TUBERCULOSIS, A DANGEROUS INFECTIOUS DISEASE THAT KILLS ABOUT 1.7 MILLION PEOPLE WORLDWIDE EACH YEAR. AS PART OF A MULTI-MILLION DOLLAR PROJECT, FUNDED IN 2009 BY THE NIH, INSTITUTE RESEARCHERS BEGAN MAPPING THE BODY'S IMMUNE RESPONSE TO THE TUBERCULOSIS BACTERIA, MARKING THE FIRST TIME THIS MASSIVE EFFORT HAS EVER BEEN UNDERTAKEN. BY ILLUMINATING PREVIOUSLY UNKNOWN CELLULAR PLAYERS IN THE BODY'S TUBERCULOSIS DEFENSE, INSTITUTE RESEARCHERS HOPE TO FIND IMPORTANT CANDIDATES FOR DEVELOPING A NEW AND BETTER VACCINE. LA JOLLA INSTITUTE RESEARCHERS ARE ALSO WORKING TOWARD THE CREATION OF FIRST-EVER VACCINES FOR MALARIA AND DENGUE VIRUS. IN ADDITION TO THEIR RESEARCH ACTIVITIES IN 2010, INSTITUTE SCIENTISTS ALSO LECTURED AT MEDICAL RESEARCH SEMINARS THROUGHOUT THE WORLD AND ORGANIZED NUMEROUS SCIENTIFIC CONFERENCES. WHILE IT IS DIFFICULT TO DETERMINE THE NUMBER OF PERSONS BENEFITED BECAUSE OF THE BROAD APPLICABILITY OF THE LA JOLLA INSTITUTE'S FINDINGS AND ACCOMPLISHMENTS, THE INSTITUTE ESTIMATES THAT THOUSANDS OF RESEARCH AND CLINICAL SCIENTISTS ATTENDED THE ABOVE MENTIONED CONFERENCES, READ THE INSTITUTE'S PUBLICATIONS, AND/OR DIRECTLY COLLABORATED WITH OUR SCIENTISTS, AND AS A RESULT, NOW INCORPORATE PORTIONS OF OUR RESEARCH INTO THEIR WORK. 40566382 1 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 1 1 0 0 0 0 1 0 0 0 0 0 1 116 0 393 1 1 1 0 0 0 0 0 0 0 0 0 X 14 12 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA CT NY OH VA IL MD NC FL MI WI AZ NJ PA WA GA RI UT MO TX X CHARLES CARPOWICH 8587526500 9420 ATHENA CIRCLE LA JOLLA CA 920371387 MITCHELL KRONENBERG PHD 40.00 X X 389584 0 47408 SAMUEL STROBER MD 2.00 X 6000 0 0 SUSAN SWAIN PHD 2.00 X 5500 0 0 JOHN MAJOR 2.00 X 0 0 0 MARK FISCHER 2.00 X 0 0 0 RHONDA RHYNE 2.00 X 0 0 0 WILLIAM ROHN 2.00 X 0 0 0 ROBERT DYNES PHD 2.00 X 0 0 0 LEROY HOOD MD PHD 2.00 X 0 0 0 HAROLD BUCHANAN 2.00 X 0 0 0 KATINA TSAKOPOULOS 2.00 X 0 0 0 RICHARD KORNFELD 2.00 X 0 0 0 MICHAEL MARTIN 2.00 X 0 0 0 TOSHIFUMI MIKAYAMA PHD 2.00 X 0 0 0 DAVID DOMINGUEZ 2.00 X 0 0 0 KIMISHIGE ISHIZAKA MD PHD 2.00 X 0 0 0 STEVEN ODRE 2.00 X 0 0 0 CHARLES CARPOWICH 40.00 X 299208 0 54394 AMNON ALTMAN 40.00 X 290248 0 49803 STEPHEN WILSON 40.00 X 195154 0 48158 MARYANN STEWART 40.00 X 203328 0 39486 CARL WARE 40.00 X 185944 0 31415 ALESSANDRO SETTE 40.00 X 294164 0 47339 STEPHEN SCHOENBERGER 40.00 X 246998 0 42548 KLAUS LEY 40.00 X 283801 0 49784 JOEL LINDEN 40.00 X 265102 0 20755 2665031 0 431090 37 0 1 0 SOL PACIFIC LLC 6336 GREENWICH DR SUITE B SAN DIEGO CA 92122 JANITORIAL SERVICES 133788 PILLSBURY WINTHROP SHAW PITTMAN LLP POBOX 60000 SAN FRANCISCO CA 94160 LEGAL 133276 2 183756 29971928 8607569 38763253 CONSORTIUM REVENUE 900099 4264931 4264931 4264931 83439 83439 137243 137243 33157 14241 18916 18916 18916 TECHNICAL SERVICES 541900 208129 208129 OTHER INCOME 900099 118088 118088 BUILDING MANAGEMENT 561700 38369 38369 364586 43632368 4264931 246498 357686 2500 2500 1627521 1432219 162752 32550 203528 203528 17446354 14966821 2412289 67244 1518369 1354532 151837 12000 2412457 2054536 345282 12639 1408268 1239276 140827 28165 184928 80376 104552 163837 163837 3700 3700 152353 84321 68032 249754 10156 152848 86750 204167 168559 34554 1054 588568 299868 285355 3345 4745590 4289767 431007 24816 341638 323515 16890 1233 106937 94502 11036 1399 1385225 1211842 173383 140633 124158 16475 LAB SUPPLIES 7209276 7193402 15874 CONSORTIUM EXPENSE 4121876 4121876 MINOR EQUIP & FURNITURE 474333 431026 43307 PAGE COSTS/MANUSCRIPT H 96535 96535 RELOCATION/RECRUITMENT 80840 80840 947314 702227 225647 19440 45816501 40566382 4959484 290635 1567 2568 8845805 14381604 7810089 7231938 393749 343749 91667 149404 622815 1051097 15598006 7836262 8008096 7761744 25773788 30922104 7022766 8298700 490493 6547008 7513259 14845708 X 17989164 15614175 271365 462221 18260529 16076396 25773788 30922104 -2184133 0 X 0 1 1 X 1 1 X UCSD MEDICAL CENTER SAN DIEGO CA RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 3700 3700 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: LA JOLLA INSTITUTE OF ALLERGY & IMMUNOLOGY IS A MEMBER OF THE ASSOCIATION OF INDEPENDENT RESEARCH INSTITUTES AND RESEARCH! AMERICA. THESE ORGANIZATIONS DESIGNATE A PORTION OF THE DUES THEY RECEIVE FOR LOBBYING ACTIVITIES. 5653826 1058930 4594896 9406297 6301190 3105107 537883 476142 61741 7761744 43632368 45816501 -2184133 0 -2184133 43385869 0 43385869 246499 246499 43632368 45570002 0 45570002 246499 246499 45816501 PART XII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDITED FINANCIAL STATEMENTS 246,499. PART XIII, LINE 4B - OTHER ADJUSTMENTS: EXPENSES NETTED AGAINST REVENUE ON AUDITED FINANCIAL STATEMENTS 246,499. 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("KKC")(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION: KKC KEY EMPLOYEE IS A DIRECTOR OF INSTITUTE(C) AMOUNT OF TRANSACTION $5,036,993(D) DESCRIPTION OF TRANSACTION: RESEARCH FUNDING, FACILITY RENT, COST REIMBURSEMENTS(E) SHARING OF ORGANIZATION REVENUES? = NO FORM 990, PART VI, SECTION B, LINE 11 IN ACCORDANCE WITH WRITTEN INSTITUTE POLICY, A DRAFT OF FORM 990 IS PROVIDED TO ALL BOARD MEMBERS FOR THEIR REVIEW AND COMMENT APPROXIMATELY 30 DAYS PRIOR TO FILING. THIS PROVIDES AN OPPORTUNITY FOR MEMBERS OF THE BOARD TO ASK QUESTIONS AND OBTAIN ADDITIONAL INFORMATION. COMMENTS AND SUGGESTED CHANGES TO THE DRAFT ARE INCORPORATED INTO THE FINAL VERSION OF FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE INSTITUTE ADMINISTERS THREE SEPARATE CONFLICT OF INTEREST POLICIES APPLYING TO 1) THE BOARD OF DIRECTORS, 2) FACULTY AND SENIOR ADMINISTRATION, AND 3) AN INVESTIGATOR FINANCIAL CONFLICT OF INTEREST POLICY REQUIRED UNDER NATIONAL INSTITUTES OF HEALTH REGULATIONS. THE INSTITUTE REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES THESE POLICIES IN ACCORDANCE WITH WRITTEN PROCEDURES, WHICH INCLUDE THE COMPLETION OF DISCLOSURE FORMS BY COVERED INDIVIDUALS, EVALUATION OF COMPLETED FORMS BY A DESIGNATED CONFLICT REVIEW OFFICER, AND AS NECESSARY, FURTHER EVALUTION AND DETERMINATION BY A DESIGNATED CONFLICT REVIEW COMMITTEE. IF A CONFLICT IS DETERMINED, A MANAGEMENT PLAN IS DESIGNED AND MONITORED FOR THE SPECIFIC SITUATION. SUCH PLAN MAY REQUIRE THE COVERED INDIVIDUAL TO ELIMINATE THE CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DECISIONS FOR THE INSTITUTE'S CEO AND OTHER KEY EMPLOYEES ARE MADE ANNUALLY. ADJUSTMENTS, IF ANY, TYPICALLY TAKE EFFECT ON A JANUARY 1ST CYCLE. FOR THESE PURPOSES, THE INSTITUTE'S HUMAN RESOURCES DEPARTMENT OBTAINS RELEVANT MARKET COMPARABILITY DATA FOR EACH POSITION ON AN ANNUAL BASIS. THE INSTITUTE ALSO PERIODICALLY ENGAGES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO PERFORM COMPENSATION STUDIES FOR KEY INDIVIDUALS AND TO EVALUATE THE INSTITUTE'S EXECUTIVE COMPENSATION AND BENEFITS PROGRAMS FOR REASONABLENESS. IN ACCORDANCE WITH ITS CHARTER, THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS AND DISCUSSES THIS INFORMATION, AND THE PERFORMANCE OF THE INSTITUTE'S CEO AND KEY EMPLOYEES, AND FORMULATES RECOMMENDED COMPENSATION ACTIONS TO THE FULL BOARD OF DIRECTORS. THE BOARD OF DIRECTORS REVIEWS THESE RECOMMENDATIONS AND RELATED INFORMATION IN DECIDING COMPENSATION LEVELS FOR EACH POSITION. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. SUMMARIZED FINANCIAL DATA IS ALSO MADE AVAILABLE AS PART OF THE INSTITUTE'S ANNUAL REPORT, WHICH IS WIDELY DISTRIBUTED, AND CAN BE DOWNLOADED FROM THE INSTITUTE'S WEB SITE. 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