2011-05-10T13:49:49-05:00 2010-06-30 Sciarabba Walker & Co LLP 200 E Buffalo St Suite 402 Ithaca NY 14850 990 2009-07-01 166050703 CORNELL RESEARCH FOUNDATION INC CORN 6072571081 395 Pine Tree Road Suite 310 Ithaca NY 14850 ALAN PAAU 6072571081 2011-05-10 1 Rita J French 6072725550 2009 2016-02-24 21:20:13Z Cornell Center for Technology ALAN PAAU 395 Pine Tree Road Suite 310 Ithaca NY 14850 92861737 0 X www.cctec.cornell.edu X 1932 NY TO FOSTER INVENTIVENESS AT CORNELL AND PROTECT AND MANAGE CORNELL'S INTELLECTUAL PROPERTY. 5 5 0 0 -691 -940 0 8070290 92713774 44727 148644 142 -691 8115159 92861727 0 0 2934174 2656700 0 705 11251125 31561789 14185299 34218489 -6070140 58643238 50172 57046579 66461347 64814517 -66411175 -7767938 The organization's mission is to foster inventiveness at Cornell, protect Cornell's intellectual property interests and manage those interests for the benefit of Cornell, its inventors and the public. 0 0 33685514 92862418 CORNELL RESEARCH FOUNDATION (CRF) HOLDS PATENTS ON TECHNICAL PROCESSES DEVELOPED BY CORNELL UNIVERSITY'S FACULTY AND STAFF. INCOME FROM HOLDING THE PROPERTY INURES TO THE BENEFIT OF CORNELL, A SECTION 501(C)(3) RESEARCH UNIVERSITY. CRF HOLDS A TOTAL OF 1,451 PATENTS. FOR FISCAL YEAR ENDED JUNE 30, 2010 CRF APPLIED FOR 407 NEW PATENTS (99 were filed for Cornell University for a total of 407 applications). 33685514 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 326 0 1 0 0 0 0 0 0 0 0 5 5 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 0 NY X LEWIS GOODWIN 6072542347 395 PINE TREE ROAD SUITE 310 ITHACA NY 14850 robert burhman 1.00 X X 0 0 0 PATRICIA JOHNSON 1.00 X X 0 0 0 MICHAEL KIMBERLY 1.00 X X 0 0 0 JOHN E ALEXANDER 1.00 X 0 0 0 ALAN PAAU 40.00 X 0 364664 6700 Richard Cahoon 40.00 X 0 252476 0 0 617140 6700 0 0 1 0 Nixon Peabody LLP Clinton Square Rochester NY 14603 patent application prep and prosecution 1881843 Sidley Austin LLP 555 W Fifth Street Los Angeles CA 90013 patent litigation services 705419 Schwegman Lundberg & Woessner 1600 TCF Tower 121 South Eighth St Minneapolis MN 55402 patent prosecution services 566486 Computer Packages Inc 414 Hungerford Drive rockville MD 20850 intellectual property tracking services 418605 bacon and thomas 625 Slaters lane - 4th floor alexandria VA 22314 patent prosecution services 348848 15 patent infringement in 900099 74500000 74500000 Patent Royalties 541900 14213774 14213774 Cornell University Pym 541900 4000000 4000000 92713774 148654 10 148644 148644 148644 VET-AIRE S Corp 541700 -691 -691 -691 92861727 92862418 -691 0 375505 319179 56326 1615032 1372780 242252 199054 169196 29858 294927 250688 44239 172182 146354 25828 5995165 5995165 1737 1737 47771 40605 7166 33334 28334 5000 24592845 24592845 13311 11314 1997 34274 32750 819 705 33992 28893 5099 2891 2457 434 WEILL MEDICAL COLLEGE E 515759 438395 77364 SERVICES 127645 108498 19147 BI-CAMPUS MANAGEMENT 63518 53990 9528 COMMUNICATIONS 31062 26403 4659 MARKET RESEARCH SUBSCRI 28500 28500 39985 37431 2554 34218489 33685514 532270 705 1 4494 3793 57000000 42786 42786 59684 59684 2891 0 50172 57046579 2950975 16990345 63510372 47824172 66461347 64814517 X -66411175 -7767938 -66411175 -7767938 50172 57046579 X 0 0 0 52592 52592 0 7092 7092 0 0 due to cornell university 47768748 Outstanding checks 55424 47824172 0 0 0 ALAN PAAU 0 309764 0 38400 0 16500 0 0 0 6700 0 371364 0 0 Richard Cahoon 0 244326 0 8150 0 0 0 0 0 0 0 252476 0 0 Supplemental Information Part III SCHEDULE J, PART I, QUESTION 3: THIS SECTION WAS NOT COMPLETED BECAUSE THE COMPENSATION DECISIONS WERE MADE BY CORNELL UNIVERSITY, a 501 (C)(3) related oRGANIZATION, NOT CORNELL RESEARCH FOUNDATIOn. CORNELL RESEARCH FOUNDATION DOES NOT HAVE ACCESS TO INFORMATION REGARDING CORNELL UNIVERSITY COMPENSATION DECISIONS. Form 990, Part VI, Section B, line 11 THE FORM 990 IS REVIEWED BY THE TREASURER BEFORE IT IS FILED. Form 990, Part VI, Section C, line 19 These documents are not available to the public. PART V LINE 2A and 2B W-3 ALL EMPLOYEES OF THE FOUNDATION ARE TREATED AS EMPLOYEES OF CORNELL UNIVERSITY AND ARE INCLUDED IN PAYROLL REPORTS FILED BY THE UNIVERSITY. THEREFORE, THE FOUNDATION DOES NOT FILE ANY W-2S, W-3S OR FEDERAL EMPLOYMENT TAX RETURNS. PART VI, LINE 12A CONFLICT OF INTEREST POLICY THE FOUNDATION DOES NOT HAVE A CONFLICT OF INTEREST POLICY. THE BOARD MEMBERS AND EMPLOYEES FOLLOW THE CORNELL UNIVERSITY CONFLICT OF INTEREST POLICY AS THEY ARE EMPLOYEES OF CORNELL. PART VI, LINE 13 WHISTLEBLOWER POLICY THE FOUNDATION DOES NOT HAVE A WRITTEN WHISTLEBLOWER POLICY. THE EMPLOYEES HAVE ACCESS TO THE CORNELL UNIVERSITY WHISTLEBLOWER POLICY AS THEY ARE EMPLOYEES OF CORNELL. PART VI, LINE 14 DOCUMENT RETENTION POLICY THE FOUNDATION DOES NOT HAVE A DOCUMENT RETENTION POLICY. THE FOUNDATION STAFF FOLLOWS THE CORNELL UNIVERSITY DOCUMENT RETENTION POLICY. PART VI, LINE 15 DETERMINING COMPENSATION THE FOUNDATION DOES HAVE A PROCESS FOR DETERMINING COMPENSATION. CORNELL UNIVERSITY, WHICH EMPLOYS THE FOUNDATION STAFF AND PRESIDENT DOES HAVE A PROCESS FOR DETERMINING COMPENSATION. Part VI line 16A JOINT VENTURES THE ORGANIZATION HAS A DE MINIMUS (8%) INTEREST IN ONE S Corporation that has patent rights from CRF. AS A POLICY, THE ORGANIZATION WILL NOT ENTER INTO JOINT VENTURES. THEREFORE, IT DOES NOT NEED A WRITTEN POLICY TO MANAGE JOINT VENTURES. PART VII, LINE 1A OFFICERS AND DIRECTORS THE BOARD SERVES WITHOUT COMPENSATION. THE TREASURER AND SECRETARY SERVE WITHOUT COMPENSATION. THEY ARE EMPLOYEES OF A RELATED ORGANIZATION, CORNELL UNIVERSITY. THEIR COMPENSATION AND BENEFITS FROM THE AFFILIATED ORGANIZATION EXCEED $100,000. THE PRESIDENT OF THE FOUNDATION IS ALSO AN EMPLOYEE OF CORNELL UNIVERSITY. THE FOUNDATION REIMBURSES CORNELL FOR HIS SALARY AND BENEFITS. CORNELL UNIVERSITY 341 PINE TREE ROAD ITHACA NY 14850 150532082 A 501(C)(3) ORGANIZATION THAT IS AN INSTITUTION OF HIGHER EDUCATION NY 501(C)(3) 170(b)(1) (A)(vi) 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 CORNELL UNIVERSITY O 2656701 CORNELL UNIVERSITY O 515759 CORNELL UNIVERSITY P 4000000