2011-11-12T23:04:37-06:00 2010-12-31 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2010-01-01 134043587 NEW YORK STRUCTURAL BIOLOGY CENTER INC NEWY 2129390660 89 CONVENT AVENUE NEW YORK NY 10027 WILLA APPEL 2129390660 2011-11-11 1 FREDERICK H ROTHMAN 2128674000 2010 2016-03-07 17:11:31Z WILLA APPEL 89 CONVENT AVENUE NEW YORK NY 10027 9635517 0 X WWW.NYSBC.ORG X 1999 NY TO OPERATE A STATE-OF-THE-ART FACILITY FOR RESEARCH IN STRUCTURAL BIOLOGY PROVIDING ADVANCED RESOURCES TO THE FACULTY OF PARTICIPATING MEMBERS OF ITS TEN MEMBER INSTITUTIONS EACH OF WHICH IS A 501(C)(3) ORGANIZATION. 19 19 39 0 0 0 9165915 9501601 0 0 20554 32640 546986 101276 9733455 9635517 0 158333 0 0 3484814 3325580 0 0 0 7522218 6745707 11007032 10229620 -1273577 -594103 51738418 50850495 6487011 6193191 45251407 44657304 X THE NYSBC MISSION IS TO PROVIDE ADVANCED RESEARCH RESOURCES TO THE FACULTY OF NYSBC'S 10 MEMBER INSTITUTIONS IN THREE KEY AREAS OF STRUCTURAL BIOLOGY: NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY; CRYOELECTRON MICROSCOPY; AND X-RAY CRYSTALLOGRAPHY. THESE RESOURCES SERVE MORE THAN 100 PRINCIPAL INVESTIGATORS. IN ADDITION, THE NYSBC SERVES ITS MEMBER INSTITUTIONS BY OFFERING ACCREDITED ACADEMIC COURSES AND INFORMAL SEMINARS; AND BY DEVELOPING MULTI-INSTITUTIONAL RESEARCH COLLABORATIONS. 0 0 1858411 158333 NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY- NYSBC PROVIDES UNMATCHED RESOURCES IN HIGH-FIELD NUCLEAR MAGNETIC RESONANCE (NMR) SPECTROSCOPY TO FACULTY FROM ITS 10 MEMBER INSTITUTIONS. ITS INSTRUMENTATION INCLUDES NINE NMR SPECTROMETERS: 2 @ 900 MHZ, 3 @ 800 MHZ, AND 1 @ 750, 1 @ 700, 1 @ 600 AND 1 @500 MHZ. NYSBC RECEIVED ARRA FUNDS IN 2010 TO SUPPORT THE PURCHASE OF A DYNAMIC NUCLEAR POLARIZATION SOLID STATE NMR (DNPSSNMR) SPECTROMETER FOR BIOMOLECULAR STUDIES. THESE RESOURCES ALLOW RESEARCHERS TO DETERMINE THE STRUCTURE OF PROTEINS AT THE ATOMIC LEVEL OF RESOLUTION - PROVIDING DATA THAT ELUCIDATES THE FUNCTIONAL PROPERTIES OF THESE PROTEINS. IN 2010, MORE THAN 60 RESEARCHERS HAD ACCESS TO THE NMR FACILITY AND 38 INVESTIGATORS, THEIR STAFF AND AFFILIATED RESEARCH GROUPS, USED THE INSTRUMENTS. THIS WORK PRODUCED 19 PUBLICATIONS IN EMINENT SCIENTIFIC JOURNALS. THE CENTER ALSO CONDUCTED SEVERAL NMR COURSES TO TEACH ADVANCED NMR TECHNIQUES TO GRADUATE STUDENTS AND POSTDOCTORAL FELLOWS FROM ITS AFFILIATED INSTITUTIONS. IN FY10, 11 STUDENTS PARTICIPATED IN NYSBC'S NMR SPECTROSCOPY OF MACROMOLECULES COURSE AND 17 STUDENTS IN THE NMR TRAINING SHORT COURSE. 947008 CRYOELECTRON MICROSCOPY - RESEARCH CONDUCTED AT THE EM FACILITY IS AIMED AT DETERMINING THE FUNCTION OF MACROMOLECULES FROM THEIR OBSERVED STRUCTURES. LOWER RESOLUTION IMAGING IS USED TO BRIDGE THE GAP BETWEEN THE STRUCTURES PRODUCED FROM LIGHT MICROSCOPY IMAGING AND THE ATOMIC RESOLUTION STRUCTURES DETERMINED BY OTHER MEANS SUCH AS NMR AND X-RAY DIFFRACTION. THE FACILITY HAS FOUR ELECTRON MICROSCOPES: 1 @ AT 120KV, 2 @ AT 200KV, AND 1 @ 300KV AND WILL SOON ACQUIRE A DUAL BEAM SCANNING MICROSCOPE. THREE PERMANENT STAFF MEMBERS PROVIDE TECHNICAL SUPPORT FOR STRUCTURAL ANALYSIS OF MACROMOLECULES AND MAINTAIN THE INSTRUMENTS. IN 2010, THE NYSBC ELECTRON MICROSCOPY FACILITY SERVED 32 PRINCIPAL INVESTIGATORS FROM AFFILIATED INSTITUTIONS AND THEIR STAFF. THIS RESULTED IN 3471 HOURS OF MICROSCOPE TIME USED IN ~867 SESSIONS. THE CENTER HELD ITS ANNUAL CRYO-EM COURSE TO TEACH ADVANCED ELECTRON MICROSCOPY TECHNIQUES TO GRADUATE STUDENTS AND POSTDOCTORAL FELLOWS.. THE CEM FACILITY HOSTS REGULAR SCIENTIFIC SEMINARS AND DISCUSSIONS TO ENABLE IT TO REMAIN ON THE PULSE OF ONGOING ACTIVITIES IN THE FIELD. THIRTEEN PUBLICATIONS RESULTED FROM RESEARCH IN THE EM FACILITY IN 2010. 782937 X-RAY CRYSTALLOGRAPHY -NYSBC HAS X-RAY CRYSTALLOGRAPHY RESOURCES AT THE NATIONAL SYNCHROTRON LIGHT SOURCE (NSLS) AT BROOKHAVEN NATIONAL LABORATORY ON LONG ISLAND, AND AT ITS MAIN FACILITY IN NEW YORK CITY. TWO EXPERIMENTAL STATIONS 'BEAMLINES', X4A AND X4C, ARE OPERATED AT NSLS FOR THE BENEFIT OF NYSBC SCIENTISTS, INCLUDING USERS FROM THE NORTHEAST STRUCTURAL GENOMICS CENTER (NESG) AND THE NEW YORK CENTER FOR MEMBRANE PROTEIN STUDY (NYCOMPS),BOTH OF WHICH ARE FUNDED BY THE NIH PROTEIN STRUCTURE INITIATIVE. THE BEAMLINES ALSO SERVE GENERAL USERS AT THE SYNCHROTRON. THE RESEARCH GOAL IS TO UNDERSTAND BIOCHEMICAL AND CELLULAR FUNCTIONS OF BIOLOGICAL MACROMOLECULES. NSLS DELIVERS X-RAY BEAMS FOR 200 DAYS PER YEAR, OPERATING AROUND THE CLOCK, DELIVERING X-RAY BEAMS TO EXPERIMENTERS FOR APPROXIMATELY 180 DAYS PER YEAR. PRODUCTIVITY IS MEASURED BY THE NUMBER OF PUBLICATIONS AND STRUCTURE DEPOSITS INTO THE PROTEIN DATA BANK (PDB). IN 2010, THERE WERE 30 PUBLICATIONS FROM X4A AND 17 PUBLICATIONS FROM X4C. THERE WERE 151 PDB DEPOSITS FROM X4A IN 2010 AND 54 DEPOSITS IN X4C FOR 2010. A SECOND HOME-SOURCE DETECTOR SYSTEM WAS ADDED TO THE X-RAY FACILITY AT NYSBC IN NEW YORK CITY IN 2010. THE TWO SYSTEMS ARE USED FOR SCREENING AND FOR DIFFRACTION CHARACTERIZATION OF CRYSTALS GROWN AT NYSBC. 4975903 1418663 MEMBRANE PROTEINS- IN 2010, WE COMPLETED A 5-YEAR GRANT FUNDED BY THE NIH'S PROTEIN STRUCTURE INITIATIVE , WHICH WAS OF TWO CENTERS FOCUSING ON THE STRUCTURES OF MEMBRANE PROTEINS, WHICH ARE HIGHLY IMPORTANT BIOMOLECULES IN HUMAN HEALTH AND DISEASE. DURING ITS DURATION, NYCOMPS SOLVED 10 NOVEL STRUCTURES MANY OF WHICH WERE PUBLISHED IN INTERNATIONALLY HIGHLY RANKED JOURNALS, INCLUDING FOUR "NATURE" PUBLICATIONS. AS A RESULT OF THESE ACCOMPLISHMENTS, NYSBC WAS AWARDED, IN 2010, TWO NEW 5-YEAR NIGMS PROTEIN STRUCTURE INITIATIVE GRANTS FOR MEMBRANE PROTEINS STRUCTURE DETERMINATION USING X-RAY CRYSTALLOGRAPHIC AND CRYO-ELECTRON MICROSCOPY APPROACHES. 4975903 1418663 8564259 1 1 0 1 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 24 0 1 39 1 0 0 0 0 0 0 0 0 0 0 X 19 19 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 0 0 NY X RHONDA ALPHONSO 2129390660 89 CONVENT AVENUE NEW YORK NY 10027 DR DAVID HIRSH 1.00 X X 0 0 0 DR LAWRENCE S STURMAN 0.50 X X 0 0 0 DR ALLEN M SPIEGEL 0.30 X X 0 0 0 MR MICHAEL NAZARKO 0.30 X X 0 0 0 MR IRA M MILLSTEINESQ 0.20 X 0 0 0 DR SETH DARST 0.10 X 0 0 0 DR GILLIAN SMALL 0.20 X 0 0 0 DR JAMES WEYHENMEYER 0.20 X 0 0 0 DR JORGE V JOSE 0.20 X 0 0 0 DR MARK GIRVIN 0.20 X 0 0 0 DR DANIEL E LEMONS 0.10 X 0 0 0 DR ARTHUR PALMER III 0.20 X 0 0 0 DR CHRISTOPHER LIMA 0.20 X 0 0 0 DR DIANE TABARINI 0.20 X 0 0 0 DR MING-MING ZHOU 0.20 X 0 0 0 DR ANEEL AGGARWAL 0.20 X 0 0 0 DR JOHN TOOZE 0.20 X 0 0 0 DR FREDRICK MAXFIELD 0.20 X 0 0 0 DR PAUL HORN 0.20 X 0 0 0 DR ALEXANDER N CARTWRIGHT 0.20 X 0 0 0 DR WILLA APPEL 37.50 X 325711 0 47622 DR DAVID COWBURN 37.50 X 175599 0 27702 DR RUBEN DIAZ-AVALOS 37.50 X 107264 0 28546 MS RHONDA ALPHONSO 37.50 X 101254 0 20564 MR DANIEL MURPHY 37.50 X 120340 0 38860 DRMICHAEL GOGER 37.50 X 124628 0 34556 954796 0 197850 6 0 1 0 HUNTER ROBERTS CONSTRUCTION GROUP 102 MADISON AVENUE 2ND FL NEW YORK NY 10016 GENERAL CONTRACTORS 191587 1 6191441 3310160 250000 9501601 32640 32640 MISCELLANEOUS 900099 54076 54076 LIQUIDATED DAMAGES 900099 47200 47200 101276 9635517 0 0 133916 158333 158333 578910 306710 272200 2110791 1552321 558470 193367 125354 68013 248138 157760 90378 194374 132962 61412 64923 17720 47203 43700 43700 32088 32088 34915 23298 11617 333620 227282 106338 1230019 1034666 195353 24350 23139 1211 38618 35449 3169 2943337 2818874 124463 209793 165412 44381 SUBCONTRACT FROM FEDERA 1260330 1260330 LAB SUPPLIES AND EQUIPM 518104 515361 2743 MISCELLANEOUS 11910 9288 2622 10229620 8564259 1665361 0 500 500 4768458 6854750 5830336 3924170 725576 178517 56825951 16933393 40413548 39892558 51738418 50850495 2683974 3658501 3803037 2534690 6487011 6193191 X 45020207 44657304 231200 0 45251407 44657304 51738418 50850495 -594103 0 X X 0 1 1 X 1 1 X 11850324 12402094 9406772 9165915 9501601 52326706 11850324 12402094 9406772 9165915 9501601 52326706 52326706 110822 197468 87233 20554 32640 448717 29881 606652 459433 546986 101276 1744228 54519651 0.95980 0.96160 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISC. LIQUIDATED DAMAGES RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 32088 32088 10145379 10177467 658873 164718 0 0 659666 686754 700352 658873 2705645 4058468 58266 39827 76951 32088 207132 164917 171689 175088 164718 676412 1014618 4253220 886088 3367132 25309327 4949716 20359611 27263404 11097589 16165815 39892558 9635517 10229620 -594103 0 -594103 9635517 0 9635517 0 9635517 10229620 0 10229620 0 10229620 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: UNCERTAINTY IN INCOME TAXES - THE CORPORATION HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PERIODS ENDING DECEMBER 31, 2007 AND SUBSEQUENT REMAIN SUBJECT TO EXAMINATION BY APPLICABLE TAXING AUTHORITIES 1 TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK 630 W 168TH STREET NEW YORK NY 10032 135598093 501(C)(3) 158333 RESEARCH 1 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL SUBCONTRACTORS SIGN AN AGREEMENT WITH NYSBC TO PERFORM WORK IN ACCORDANCE WITH PROJECT AIMS AND SPONSOR GUIDELINES; NYSBC REVIEWS INVOICES AND ASKS FOR BACK UP DOCUMENTATION,AS NEEDED TO REVIEW AND APPROVE ALLOWABLE SUBCONTRACTOR EXPENSES. THE DIRECTOR OF ADMINISTRATION ALSO MONITORS EXPENDITURES ON SUBCONTRACTOR INVOICES TO ENSURE ALIGNMENT WITH THE ORIGINAL BUDGET. NYSBC ALSO REQUESTS AND REVIEWS INSURANCE CERTIFICATES AND A-133 REPORTS ON AN ANNUAL BASIS. NYSBC'S INVESTIGATOR RECEIVES PROGRESS REPORT FROM SUBCONTRACTORS. PROGRESS REPORTS ARE SUBMITTED, AT LEAST, ON AN ANNUAL BASIS TO THE SPONSORING AGENCIES. DURING THE PROJECT PERIOD, NYSBCS ADMINISTRATION AND PROGRAM STAFF ARE IN CONTACT WITH THE SUBCONTRACTOR'S STAFF TO DISCUSS PROGRAM PROGRESS, PREPARE PRESENTATIONS FOR SCIENTIFIC MEETINGS, AND DISCUSS ADMINISTRATIVE MATTERS. X X 0 0 0 0 0 0 0 1 0 DR WILLA APPEL 310711 0 15000 0 0 0 30467 0 17155 0 373333 0 0 0 DR DAVID COWBURN 175599 0 0 0 0 0 17391 0 10311 0 203301 0 0 0 MR DANIEL MURPHY 120340 0 0 0 0 0 10629 0 28231 0 159200 0 0 0 DRMICHAEL GOGER 124628 0 0 0 0 0 12401 0 22155 0 159184 0 0 0 PART I, LINE 7 A PERFORMANCE BASED BONUS WAS PAID TO THE EXECUTIVE DIRECTOR AND APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS. X 007 HF XRAY GENERATOR 1 250000 REPLACEMENT COST 0 0 0 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTORS. FORM 990, PART VI, SECTION A, LINE 4 ARTICLE IV. "OFFICERS" REFLECT CHANGES IN THE STRUCTURE OF THE ORGANIZATION. ORIGINALLY, THE BYLAWS DISCUSSED THE ROLE OF THE "PRESIDENT". THIS ROLE WAS ELIMINATED IN SEPTEMBER 2010 AND REPLACED BY THAT OF THE 'EXECUTIVE DIRECTOR'. FORM 990, PART VI, SECTION A, LINE 6 ON JUNE 30, 1999, THE CORPORATION ENTERED INTO A MEMBERS CONTRIBUTION AGREEMENT (THE AGREEMENT) WITH ITS MEMBER PARTIES. THE AGREEMENT INCLUDED, AMONG OTHER THINGS, A LEGAL REQUIREMENT THAT THE TEN MEMBER INSTITUTIONS (ALL TAX-EXEMPT UNDER THE INTERNAL REVENUE CODE) MAKE A STIPULATED CAPITAL CONTRIBUTION IN ORDER TO FUND THE CORPORATION'S CONSTRUCTION OF A RESEARCH FACILITY AND ACQUISITION OF HIGH-FIELD NUCLEAR MAGNETIC RESONANCE INSTRUMENTS. NINE MEMBERS ALSO MAKE ANNUAL OPERATING CONTRIBUTIONS. (CUNY IS EXEMPT FROM THIS REQUIREMENT BY VIRTUE OF ITS CAPITAL IN-KIND CONTRIBUTION OF A BUILDING AND LAND) ANNUAL OPERATING CONTRIBUTIONS ENTITLE EACH MEMBER INSTITUTION TO A PRO-RATA SHARE OF TIME ON THE INSTRUMENTS OWNED AND OPERATED BY THE CORPORATION. FORM 990, PART VI, SECTION A, LINE 7A AS PROVIDED FOR IN THE BY-LAWS, THE SUSTAINING, CONTRIBUTING AND ASSOCIATE MEMBER REPRESENTATIVES VOTE BY CLASS FOR DIRECTORS USING PRINCIPLES OF CUMULATIVE VOTING. IN EACH CASE, MEMBERS OF A CLASS DIVIDE THEIR VOTES EVENLY AMONG THE INDIVIDUALS NOMINATED BY THE MEMBERS. THIS ELECTION OCCURS AT EVERY ANNUAL MEETING. FORM 990, PART VI, SECTION A, LINE 7B MEMBERS HAVE THE POWER TO ELECT DIRECTORS OF THE CORPORATION AND ARE ENTITLED TO VOTE ON ALL OTHER BUSINESS OF THE CORPORATION ON WHICH MEMBERS OF A NOT-FOR-PROFIT CORPORATION ARE ENTITLED TO VOTE PURSUANT TO NOT-FOR-PROFIT CORPORATION LAWS OF THE STATE OF NEW YORK OR PURSUANT TO THE BY-LAWS OF THE CORPORATION. FORM 990, PART VI, SECTION B, LINE 11 THE CHAIRMAN OF THE FINANCE COMMITTEE HAS BEEN DESIGNATED TO REVIEW AND APPROVE THE FORM 990 ON BEHALF OF ITS BOARD OF DIRECTORS PRIOR TO FILING WITH THE IRS. THE ACCOUNTING STAFF AND THE EXECUTIVE VICE PRESIDENT / CHIEF OPERATING OFFICER COMPLETE A 990 QUESTIONNAIRE PROVIDED TO NYSBC BY ITS INDEPENDENT AUDIT FIRM. A DRAFT FORM 990 IS PREPARED BY THE INDEPENDENT AUDIT FIRM AND REVIEWED AND APPROVED BY THE CHAIRMAN OF THE FINANCE COMMITTEE AND THE EVP/COO OF THE CORPORATION BEFORE THE FINAL FORM 990 IS SUBMITTED TO THE IRS. THE FORM 990 IS THEN MADE AVAILABLE TO THE REMAINING BOARD OF DIRECTORS UPON REQUEST. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF DIRECTORS APPROVED THE CREATION OF A CONFLICTS RESOLUTION COMMITTEE COMPOSED OF MEMBERS OF THE BOARD OF DIRECTORS. NYSBC'S CONFLICT OF INTEREST POLICY IS REVIEWED AND REVISED PERIODICALLY BY THE ORGANIZATION'S OFFICERS AND COUNSEL. ALL EMPLOYEES ARE PROVIDED WITH A COPY OF THE POLICY AND ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE FORM ANNUALLY. DISCLOSURE FORMS ARE REVIEWED BY THE DIRECTOR OF ADMINISTRATION AND CONFLICTS ARE SUBMITTED TO THE EVP/COO AND TO THE CONFLICT RESOLUTION COMMITTEE.THE COI POLICY IS POSTED ON NYSBC'S INTRANET. FORM 990, PART VI, SECTION B, LINE 15A THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS DETERMINES COMPENSATION FOR OFFICERS AND KEY PERSONNEL. THE PROCESS INCLUDES A COMPARISON OF COMPENSATION FOR SIMILAR POSITIONS AT SIMILAR INSTITUTIONS.THE EXECUTIVE COMMITTEE MEETS TO DISCUSS EXECUTIVE COMPENSATION. COMPARISON ADMINISTRATOR DATA WAS REVIEWED FROM IVY LEAGUE SCHOOLS AND A COHORT OF NOT-FOR-PROFIT RESEARCH INSTITUTES (MERCER SURVEY). ON NOVEMBER 3, 2010, THE EXECUTIVE COMMITTEE HELD A MEETING REGARDING WILLA APPEL'S COMPENSATION FOR FY 2011. FORM 990, PART VI, SECTION C, LINE 19 THE CORPORATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, WHISTLEBLOWER POLICY WITHIN THE SCIENTIFIC MISCONDUCT POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. THE POLICIES WERE NOT COMPLETED PRIOR TO THE END OF FY10 BUT HAVE NOW BEEN WRITTEN. FORM 99O, PART XI, LINE 2C THE PROCESS HAS NOT CHANGED SINCE PRIOR YEAR.