2011-08-15T13:30:58-05:00 2010-12-31 LUTZ AND CARR CPAS LLP 300 EAST 42ND STREET NEW YORK NY 10017 990 2010-01-01 582492929 ALLIANCE FOR LUPUS RESEARCH INC ALLI 2122182840 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 DEBRA ROSE 2122182840 2011-08-16 1 2126972299 2010 2016-02-24 21:20:13Z KENNETH M FARBER 28 WEST 44TH STREET NO 501 NEW YORK NY 10036 11097801 0 X LUPUSRESEARCH.ORG X 1999 NY TO SUPPORT RESEARCH TO PREVENT, TREAT AND CURE LUPUS. THE MISSION OF THE ALLIANCE FOR LUPUS RESEARCH (ALR) IS TO SUPPORT RESEARCH INTO THE PREVENTION, TREATMENT AND CURE OF SYSTEMIC LUPUS ERYTHEMATOSUS (SLE). COMMONLY KNOWN AS LUPUS, THIS AUTOIMMUNE DISEASE AFFECTS AN ESTIMATED 1.4 MILLION AMERICANS, NINETY PERCENT OF WHOM ARE WOMEN. LUPUS IS THE LEADING CAUSE OF DEATH AMONG WOMEN WITH AUTOIMMUNE DISEASES WHO ARE IN THEIR CHILDBEARING YEARS. 11 11 27 300 0 0 49087239 6357332 0 0 -373954 1332677 258808 420900 48972093 8110909 4331452 6469720 0 0 2199194 2353801 46080 45000 1617974 2099437 1755787 8676163 10624308 40295930 -2513399 51896501 49816244 4969301 6995772 46927200 42820472 X THE MISSION OF THE ALLIANCE FOR LUPUS RESEARCH (ALR) IS TO FIND BETTER TREATMENTS AND ULTIMATELY PREVENT AND CURE SYSTEMIC LUPUS ERYTHEMATOSUS (SLE OR LUPUS), A DEBILITATING AUTOIMMUNE DISEASE, THROUGH MEDICAL RESEARCH. 0 0 7346313 6469720 RESEARCH:THE ALR ENGAGES IN ACTIVE GRANT MAKING MANAGEMENT, WORKING HAND-IN-HAND WITH INVESTIGATORS TO GUIDE AND DRIVE THE RESEARCH PROCESS. SINCE ITS INCEPTION, THE ALR HAS COMMITTED OVER $65 MILLION TO FUND LUPUS RESEARCH PROJECTS. IN 2005, THE ALR LAUNCHED A GLOBAL CONSORTIUM OF LUPUS RESEARCHERS. MEMBERS OF THE INTERNATIONAL SLE GENETICS (SLEGEN) CONSORTIUM POOLED THEIR RESOURCES AND INTELLECTS, DETERMINED TO FIND THE GENES RESPONSIBLE FOR LUPUS. RESEARCHERS UNCOVERED ROBUST EVIDENCE LINKING 13 GENETIC CANDIDATES TO LUPUS. THE THREE-YEAR PROJECT WAS SUPPORTED BY $2.5 MILLION IN FUNDING FROM THE ALR. IN 2010, AN ADDITIONAL $500,000 WAS AWARDED TO THE SLEGEN CONSORTIUM FOR AN IMMUNOCHIP PROCESS GEARED TOWARD UNDERSTANDING THE GENETIC BASIS OF LUPUS IN DIVERSE POPULATIONS.IN 2010, NEW GRANTS TOTALING $5.6 MILLION WERE AWARDED, OF WHICH APPROXIMATELY $3.6 MILLION WENT TO 10 INVESTIGATORS WITH PROMISING NEW AVENUES OF RESEARCH UNDER THE TARGET IDENTIFICATION IN LUPUS GRANT MECHANISM. IN ADDITION, $1.5 MILLION WAS AWARDED TO 6 INVESTIGATORS UNDER THE ALR'S GENETIC PATHWAYS GRANT MECHANISM WHICH PROVIDES A RESEARCHER UP TO $350,000 TO FURTHER THE STUDIES BEGUN BY THE SLEGEN CONSORTIUM. ALR'S UNIQUE FUNDING MODEL SUPPORTS PROMISING RESEARCH EFFORTS WITH THE GOAL OF IMPROVING THE LIVES OF PEOPLE WITH LUPUS IN THE NEAR FUTURE. THROUGH A COMPETITIVE PEER-REVIEW PROCESS AND AN INNOVATIVE VENTURE-CAPITALIST APPROACH, PROJECTS BY THE ALR AIM TO TRANSLATE RESULTS FROM THE RESEARCH BENCH TO THE BEDSIDE. BECAUSE THE ALR'S BOARD OF DIRECTORS FUNDS ADMINISTRATIVE AND FUNDRAISING EXPENSES, 100% OF ALL OTHER CONTRIBUTIONS GOES TO SUPPORT LUPUS RESEARCH PROGRAMS LIKE SLEGEN. 649657 SCIENTIFIC PROGRAMS:THE ALR ENCOURAGES CROSS-SECTOR AND CROSS-DISCIPLINE PARTNERSHIPS TO FOSTER AN INNOVATIVE RESEARCH ENVIRONMENT. IN 2010, THERE WERE COLLABORATIVE MEETINGS FUNDED BY THE ALR WHERE RESEARCHERS WERE ENCOURAGED TO EXCHANGE IDEAS AND HELP THE ALR TARGET NEW RESEARCH OPPORTUNITIES. THIS INCLUDED SCIENTIFIC ADVISORY BOARD MEETINGS, OUT OF WHICH CAME SUPPORT FOR CONTINUING THE ALR'S TARGET IDENTIFICATION IN LUPUS GRANT PROGRAM, THE GENETIC PATHWAYS GRANT MECHANISM, CONTINUED SUPPORT FOR THE SLE GENETICS CONSORTIUM AND ENCOURAGING PARTNERSHIPS AMONG INVESTIGATORS, PHARMACEUTICAL AND BIOTECH COMPANIES AND FOR CLINICAL TRIALS. 150604 PUBLIC POLICY:THE MAIN GOALS OF THE ALR'S PUBLIC POLICY PROGRAM ARE TO EDUCATE MEMBERS OF CONGRESS AND THE ADMINISTRATION ABOUT THE IMPORTANCE OF FUNDING LUPUS RESEARCH, TO INCREASE FEDERAL FUNDING FOR LUPUS RESEARCH BY INCREASING OVERALL NATIONAL INSTITUTES OF HEALTH (NIH) FUNDS, AND TO SECURE ADDITIONAL FUNDING FOR LUPUS RESEARCH THROUGH OTHER KEY FEDERAL AGENCIES INCLUDING THE VETERANS ADMINISTRATION AND DEPARTMENT OF DEFENSE.THROUGH THE ALR'S PUBLIC POLICY PROGRAM EFFORTS, FUNDING FOR LUPUS RESEARCH HAS BEEN OBTAINED UNDER THE DEPARTMENT OF DEFENSE PEER REVIEWED MEDICAL RESEARCH PROGRAM. THIS IS A $50 MILLION COMPETITIVE RESEARCH GRANT PROGRAM. ONLY THOSE DISEASES LISTED IN THE DEFENSE APPROPRIATIONS COMMITTEE REPORT ARE ELIGIBLE TO RECEIVE FUNDING. ALR WAS RESPONSIBLE FOR PERSUADING CONGRESS TO INCLUDE LUPUS ON THIS VERY COMPETITIVE LIST THE PAST SIX YEARS. THE ALR IS PLEASED TO REPORT THAT LUPUS HAS AGAIN BEEN LISTED UNDER THE DEPARTMENT OF DEFENSE PEER REVIEWED MEDICAL RESEARCH PROGRAM (PRMRP) IN THE HOUSE FY 2010 MILITARY QUALITY OF LIFE APPROPRIATIONS BILL. THROUGH THE ALR'S CONTINUED EFFORTS TO INCLUDE LUPUS ON THE LIST OF DISEASES UNDER THE PRMRP IN THE DEFENSE APPROPRIATIONS BILLS, THE DOD HAS AWARDED OVER $8 MILLION TO LUPUS RESEARCHERS SINCE 2004.THANKS IN PART TO THE ONGOING WORK OF OUR ADVOCATES, THE NIH, THE U.S. GOVERNMENT'S LARGEST FUNDER OF MEDICAL RESEARCH, HAS INCREASED ITS SUPPORT OF LUPUS RESEARCH BY A PROJECTED $41-MILLION. 8146574 1 1 0 1 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 1 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 30 0 1 27 1 0 0 0 0 0 1 1 0 0 0 0 X 11 11 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CT FL GA IL KS KY ME MD MA MI MN NH NJ NM NC ND OH OK OR PA RI SC TN UT VA WA WV WI MS NY MO X X X DEBRA ROSE 2122182840 28 WEST 44TH STREET SUITE 501 NEW YORK NY 10036 ROBERT WOOD JOHNSON IV 1.00 X X 0 0 0 NEIL J BURMEISTER 1.00 X X 0 0 0 EVA ANDERSSON-DUBIN 1.00 X 0 0 0 JAMES P ANDREW 1.00 X 0 0 0 ALISON HARMELIN 1.00 X 0 0 0 CHARLES J HUEBNER 1.00 X 0 0 0 JOSEPH MAURIELLO 1.00 X X 0 0 0 WILLIAM J MULVIHILL 1.00 X 0 0 0 ROBERT W PITTMAN 1.00 X 0 0 0 KEITH WOLD 1.00 X 0 0 0 IRA AKSELRAD 1.00 X 0 0 0 DEBRA ROSE 40.00 X 127840 0 19788 KEN FARBER STARTED 4110 40.00 X 228000 0 0 BARBARA BOYTS ENDED 41610 40.00 X 228475 0 16100 584315 0 35888 3 0 1 0 KIM KAISER & ASSOCIATES LLC 3820 WEST CLAY HOUSTON TX 77019 PHARMA CONSULTANT 121264 1 2993855 3363477 222062 6357332 1354291 1354291 340206 91683 248523 248523 248523 2748838 2770452 -21614 -21614 -21614 124406 2993855 124406 0 796 351 445 445 RETURN OF GRANTS 900099 171932 171932 171932 8110909 0 0 1753577 5943138 5943138 526582 526582 620204 312881 251026 56297 1308627 544670 204490 559467 75436 31369 11655 32412 212953 88120 42343 82490 136581 56373 30040 50168 6102 6102 40223 40223 45000 45000 12501 5160 2749 4592 244155 102578 27872 113705 29319 806 23689 4824 247933 133013 52369 62551 374250 154469 82313 137468 141696 36472 14583 90641 132006 118438 9128 4440 844 349 186 309 39297 16219 8643 14435 21371 8821 4700 7850 PRINTING & PUBLICATIONS 180259 30804 5435 144020 WALKATHON PROMOTIONAL E 103002 103002 POSTAGE, SHIPPING & DEL 79898 7480 5972 66446 DATA PROCESSING & CREDI 56137 14034 24547 17556 EQUIPMENT LEASE 21029 8681 4625 7723 25765 6117 7070 12578 10624308 8146574 859760 1617974 X 128752 25750 0 103002 1353918 2127610 3915874 3365675 377444 184987 82706 52455 3944521 255009 3698196 3689512 42374955 40302597 93408 93408 51896501 49816244 176840 181571 4764014 6771134 28572 28447 14495 4969301 6995772 X 4964900 13872989 41962300 28947483 46927200 42820472 51896501 49816244 X -2513399 -1593329 X X 0 1 1 X 0 X 11975623 9984546 8524565 9087239 6357332 45929305 11975623 9984546 8524565 9087239 6357332 45929305 24123276 21806029 605537 867492 522274 398450 1694497 4088250 1022 445 1467 50019022 0.43600 0.42000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 150604 150604 10473704 10624308 681215 170304 0 0 824391 719340 583808 681215 2808754 4213131 620322 604316 216125 150604 1591367 206098 179835 145952 170304 702189 1053284 0 10000000 -395839 9604161 0 0 0 0 0 0 0 0 0 0 0 0 1.00000 0 0 3600000 3600000 31101 5776 25325 313420 249233 64187 3689512 CAPITAL LEASE OBLIGATION 14495 14495 8110909 10624308 -2513399 -1593329 -1593329 -4106728 6345648 -1593329 -1593329 7938977 171932 171932 8110909 10452376 0 10452376 171932 171932 10624308 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: BOARD DESIGNATED (QUASI) ENDOWMENT FUND INCOME TO BE USED FOR RESEARCH PROGRAM GRANTS. PRINCIPAL TO REMAIN INTACT UNLESS HIGH PRIORITY LUPUS RESEARCH PROJECTS NEED TO BE FUNDED THAT COULD NOT BE FUNDED OTHERWISE. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: MANAGEMENT EVALUATED ALL INCOME TAX POSITIONS, INCLUDING THE POSITION THAT THE ORGANIZATION IS EXEMPT FROM INCOME TAXES OR NOT SUBJECT TO INCOME TAXES ON UNRELATED BUSINESS INCOME, AND CONCLUDED THAT NO DISCLOSURES RELATING TO UNCERTAIN TAX POSITIONS WERE REQUIRED IN THE FINANCIAL STATEMENTS. SCHEDULE D, PART XII, LINE 4B AND PART XIII, LINE 4B UNUSED PORTIONS OF GRANTS RETURNED TO ALR THAT WERE PAID IN PREVIOUS YEARS IN THE AMOUNT OF $171,932. THIS AMOUNT IS A RECONCILING ITEM BETWEEN THE REVENUE AND EXPENSES FROM THE AUDITED FINANCIAL STATEMENTS AND THOSE REPORTED ON FORM 990. 1 EUROPE 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION 354582 NORTH AMERICA 0 0 GRANT AWARDED TO INSTITUTION IN THE REGION 172000 0 0 0 526582 0 526582 EUROPE LUPUS RESEARCH 354582 CHECK FMV NORTH AMERICA LUPUS RESEARCH 172000 CHECK FMV 2 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: -BEFORE A GRANT IS AWARDED THE INSTITUTION MUST AGREE TO THE ALR'S CONDITIONS OF APPOINTMENT THAT INCLUDE: CONFIRMATION BY THE PRINCIPAL INVESTIGATOR (PI) AND THE INSTITUTION THAT FUNDS WILL BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE TO CONTACT THE ALR IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (1) TIL GRANTS: (A) 8 QUARTERLY PAYMENTS OVER THE COURSE OF THE TWO YEAR GRANT (B) PROGRESS REPORT IS REQUIRED BEFORE FIFTH PAYMENT IS DISTRIBUTED (C) BUDGET RECONCILIATION IS REQUIRED BEFORE 6TH PAYMENT IS DISTRIBUTED (2) PILOT GRANTS: (1) TWO SEMIANNUAL PAYMENTS (2) INTERIM PROGRESS REPORT IS REQUIRED BEFORE SECOND PAYMENT IS DISTRIBUTED. THE PI MUST SUBMIT THE FOLLOWING: A SIGNED LETTER OF ACCEPTANCE CONFIRMING THE FOLLOWING: A. PI'S WILLINGNESS TO ADHERE TO THE TERMS OF THE BUDGET AS OUTLINED ABOVE. B. PI'S WILLINGNESS TO COMPLY WITH ALL OF THE CONDITIONS OUTLINED IN THE ALR'S CONDITIONS OF APPOINTMENT AND PATENT AND INTELLECTUAL PROPERTY POLICY. C. THERE IS NO OVERLAPPING SOURCE OF SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THIS GRANT. OTHER FUNDING THAT MIGHT BE CONSTRUED AS OVERLAPPING, MUST BE EXPLAINED IN DETAIL. D. THE FOLLOWING STATEMENT SHOULD APPEAR AT THE CONCLUSION OF THE LETTER OF ACCEPTANCE, "I AGREE TO ACCEPT RESPONSIBILITY FOR THE SCIENTIFIC AND TECHNICAL CONDUCT OF THE RESEARCH PROJECT AND FOR THE PROVISION OF ALL PROGRESS REPORTS REQUIRED FROM INVESTIGATORS FUNDED BY A TARGET IDENTIFICATION IN LUPUS GRANT FROM THE ALLIANCE FOR LUPUS RESEARCH." - IF AN EXTENSION IS AWARDED ADDITIONAL INTERIM PROGRESS REPORTS AND BUDGET RECONCILIATIONS ARE REQUIRED TO BE SUBMITTED. - AT THE END OF THE GRANT A FINAL PROGRESS REPORT AND BUDGET RECONCILIATION IS REQUIRED TO BE SUBMITTED, UNSPENT AMOUNTS ARE TO BE RETURNED TO THE ALR. METHOD USED TO ACCCOUNT FOR EXPENDITURES: SCHEDULE F, PART I, LINE 3: ALL INSTITUTIONS RECEIVE A PAYMENT SCHEDULE AND THE PROJECT IS MONITORED BY: - PERIODIC PROGRESS REPORTS - PERIODIC BUDGET RECONCILIATIONS - ALL PUBLICATIONS RELATED TO THE GRANT ARE TO BE SUBMITTED TO THE ALR. X X X X X 1 DS CONSULTING GROUP 111 W 57TH STREET STE 419 NEW YORK NY 10019 SPECIAL EVENT CONSULTANT 1 874850 45000 874850 874850 45000 874850 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY ONE LOVE.ONE CAUSE.GALA 1004695 898487 106208 106208 WALK-A-THONS 2113566 2095368 18198 18198 3118261 2993855 124406 124406 124406 0 EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) DS CONSULTING PLANNED AND MANAGED ALR'S GALA EVENT. CONTRACT AMOUNT FOR THE PERIOD COVERING 1/1/10 - 12/31/10 WAS $45,000 PAYABLE IN 6 INSTALLMENTS PLUS REIMBURSABLE EXPENSES. 1 BENROYA RESEARCH INSTITUTE AT VIRGINIA MASON 1201 NINTH AVE SEATTLE WA 98101 910653422 501(C)(3) 151266 LUPUS RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 518274 LUPUS RESEARCH UNIVERSITY OF CALIFORNIA SAN FRANCISCO 2200 UNIVERSITY HALL BERKELEY CA 94720 946036493 501(C)(3) 173920 LUPUS RESEARCH UNIVERSITY OF MINNESOTA - TWIN CITIES 200 OAK STREET SE MINNEAPOLIS MN 55455 416007513 MN STATE GOVERNMENT 55385 LUPUS RESEARCH THE TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 421 CURIE BLVD SUITE 757 PHILADELPHIA PA 19104 231352685 501(C)(3) 216420 LUPUS RESEARCH USCUNIVERSITY OF SOUTHERN CALIFORNIA 2011 ZONAL AVE HMR 705 LOS ANGELES CA 90089 951642394 501(C)(3) 227140 LUPUS RESEARCH BRIGHAM AND WOMEN'S HOSPITAL INC 4 BLACK FAN CIRCLE BOSTON MA 02115 042312909 501(C)(3) 288360 LUPUS RESEARCH BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVENUE BOSTON MA 02215 042103881 501(C)(3) 215340 LUPUS RESEARCH THE UNIVERSITY OF CHICAGO 5841 S MARYLAND AVENUE MC 0930 CHICAGO IL 60637 362177139 501(C)(3) 122380 LUPUS RESEARCH SUNY UPSTATE MEDICAL UNIVERSITY 750 EAST ADAMS STREET SYRACUSE NY 13210 141368361 501(C)(3) 229380 LUPUS RESEARCH BOSTON MEDICAL CENTER CORPORATION 650 ALBANY STREET BOSTON MA 02118 043314093 501(C)(3) 226060 LUPUS RESEARCH UNIVERSITY OF VIRGINIA 914 EMMET ST BOX 400127 CHARLOTTESVILLE VA 22903 546001796 501(C)(3) 370619 LUPUS RESEARCH NEW YORK UNIVERSITY SCHOOL OF MEDICINE 550 FIRST AVENUE NEW YORK NY 10016 135562308 501(C)(3) 74520 LUPUS RESEARCH UMDNJ-NEW JERSEY MEDICAL SCHOOL 30 BERGEN STREET NEWARK NJ 07107 221775306 NJ STATE GOVERNMENT 373492 LUPUS RESEARCH YALE UNIVERSITY BOX 208239 NEW HAVEN CT 06520 060646973 501(C)(3) 377079 LUPUS RESEARCH OKLAHOMA MEDICAL RESEARCH FOUNDATION 825 NE 13TH STREET OKLAHOMA CITY OK 73104 730580274 501(C)(3) 162646 LUPUS RESEARCH WAKE FOREST UNIVERSITY HEALTH SCIENCES MEDICAL CENTER BLVD WINSTON SALEM NC 27104 223849199 501(C)(3) 171287 LUPUS RESEARCH UNIVERSITY OF LOUISVILLE 505 SOUTH HANCOCK STREET LOUISVILLE KY 40202 611029626 501(C)(3) 168423 LUPUS RESEARCH TEMPLE UNIVERSITY 3322 NORTH BROAD STREET MOB 205 PHILADELPHIA PA 191405104 231365971 501(C)(3) 372958 LUPUS RESEARCH UNIVERSITY OF MICHIGAN 1150 WEST MEDICAL CENTER DRIVE ANN ARBOR MI 48109 386006309 501(C)(3) 375118 LUPUS RESEARCH MASSACHUSETTS GENERAL HOSPITAL 13TH STREET BUILDING 149 7TH FLOOR BOSTON MA 021292060 042697983 501(C)(3) 201080 LUPUS RESEARCH UNIVERSITY OF MASSACHUSETTS MEDICAL SCHOOL 55 LAKE AVENUE NORTH WORCESTER MA 01655 043167325 MA STATE GOVERNMENT 371991 LUPUS RESEARCH UNIVERSITY OF ALABAMA AT BIRMINGHAM 1530 3RD AVENUE SOUTH BIRMINGHAM AL 352940111 636005396 501(C)(3) 500000 LUPUS RESEARCH 23 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: * BEFORE A GRANT IS AWARDED THE INSTITUTION MUST AGREE TO THE ALR'S CONDITIONS OF APPOINTMENT THAT INCLUDE: CONFIRMATION BY THE PRINCIPAL INVESTIGATOR (PI) AND THE INSTITUTION THAT FUNDS WILL BE USED AS DESCRIBED IN THE APPLICATION SUBMITTED AND APPROVED FOR FUNDING. AGREE TO CONTACT THE ALR IF THERE NEEDS TO BE A SIGNIFICANT CHANGE TO THE BUDGET AS SUBMITTED. AGREE TO SUBMIT ALL DELIVERABLES AND REPORTS AS SCHEDULED: (1) TIL GRANTS: (A) 8 QUARTERLY PAYMENTS OVER THE COURSE OF THE TWO YEAR GRANT (B) PROGRESS REPORT IS REQUIRED BEFORE FIFTH PAYMENT IS DISTRIBUTED (C) BUDGET RECONCILIATION IS REQUIRED BEFORE 6TH PAYMENT IS DISTRIBUTED (2) PILOT GRANTS: (1) TWO SEMIANNUAL PAYMENTS (2) INTERIM PROGRESS REPORT IS REQUIRED BEFORE SECOND PAYMENT IS DISTRIBUTED. THE PI MUST SUBMIT THE FOLLOWING: A SIGNED LETTER OF ACCEPTANCE CONFIRMING THE FOLLOWING: A. PI'S WILLINGNESS TO ADHERE TO THE TERMS OF THE BUDGET AS OUTLINED ABOVE. B. PI'S WILLINGNESS TO COMPLY WITH ALL OF THE CONDITIONS OUTLINED IN THE ALR'S CONDITIONS OF APPOINTMENT AND PATENT AND INTELLECTUAL PROPERTY POLICY. C. THERE IS NO OVERLAPPING SOURCE OF SUPPORT FOR THE SPECIFIC PROJECT THAT IS THE SUBJECT OF THIS GRANT. OTHER FUNDING THAT MIGHT BE CONSTRUED AS OVERLAPPING, MUST BE EXPLAINED IN DETAIL. D. THE FOLLOWING STATEMENT SHOULD APPEAR AT THE CONCLUSION OF THE LETTER OF ACCEPTANCE, "I AGREE TO ACCEPT RESPONSIBILITY FOR THE SCIENTIFIC AND TECHNICAL CONDUCT OF THE RESEARCH PROJECT AND FOR THE PROVISION OF ALL PROGRESS REPORTS REQUIRED FROM INVESTIGATORS FUNDED BY A TARGET IDENTIFICATION IN LUPUS GRANT FROM THE ALLIANCE FOR LUPUS RESEARCH." * IF AN EXTENSION IS AWARDED ADDITIONAL INTERIM PROGRESS REPORTS AND BUDGET RECONCILIATIONS ARE REQUIRED TO BE SUBMITTED. * AT THE END OF THE GRANT A FINAL PROGRESS REPORT AND BUDGET RECONCILIATION IS REQUIRED TO BE SUBMITTED, UNSPENT AMOUNTS ARE TO BE RETURNED TO THE ALR. X X X X 1 0 0 0 0 0 0 0 0 KEN FARBER STARTED 4110 228000 0 0 0 0 0 0 0 0 0 228000 0 0 0 BARBARA BOYTS ENDED 41610 73878 0 0 0 154597 0 7333 0 8767 0 244575 0 0 0 PART I, LINE 4A BARBARA BOYTS, PRESIDENT RECEIVED A SEVERANCE PAYMENT OF $145,833. X 3 222062 AVG STOCK VALUE 0 1 1 FORM 990, PART VI, SECTION A, LINE 2 1. NEIL J. BURMEISTER, (SECRETARY OF THE BOARD) AND IRA AKSELRAD (DIRECTOR) AND ROBERT WOOD JOHNSON, IV, (CHAIRMAN OF THE BOARD), HAVE A BUSINESS RELATIONSHIP. 2. ROBERT WOOD JOHNSON IV, ROBERT PITTMAN (DIRECTOR) AND GLENN DUBIN (HUSBAND OF DIRECTOR EVA ANDERSSON-DUBIN) HAVE A BUSINESS RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 AFTER PREPARATION OF FORM 990 BY ALR'S AUDITOR, LUTZ AND CARR, THE 990 IS REVIEWED BY THE ALR'S SENIOR OFFICERS, THE CHIEF OPERATING OFFICER AND THE PRESIDENT. THE FINANCE AND AUDIT COMMITTEE OF THE BOARD THEN MEETS TO REVIEW THE 990 BEFORE FILING AND APPROVES FOR FILING WITH ANY NOTED CHANGES. A DRAFT OF THE 990 IS THEN SENT OUT TO THE FULL BOARD FOR COMMENT PRIOR TO FILING WITH THE IRS. THE FINAL FORM 990 IS PRESENTED TO THE FULL BOARD AT THE SEPTEMBER MEETING. FORM 990, PART VI, SECTION B, LINE 12C THE GOVERNANCE COMMITTEE OF THE BOARD IS RESPONSIBLE FOR MONITORING CONFLICTS OF INTEREST. AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM IS REQUIRED TO BE FILLED OUT EACH YEAR BY BOARD MEMBERS, OFFICERS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS ASSISTED THE BOARD IN FULFILLING ITS OVERSIGHT RESPONSIBILITIES RELATING TO THE COMPENSATION AND BENEFITS OF THE PRESIDENT AND OTHER EXECUTIVE OFFICERS; AND PROVIDED RECOMMENDATIONS REGARDING MANAGEMENT SUCCESSORS. ANNUALLY THE COMMITTEE REVIEWS AND RECOMMENDS TO THE BOARD THE SALARY FOR THE PRESIDENT AND OTHER OFFICERS/KEY EMPLOYEES. IN 2010, THE COMMITTEE REVIEWED AND APPROVED BASE SALARIES AND ANNUAL MERIT ADJUSTMENTS FOR ALL STAFF WITH SPECIAL ATTENTION TO THE CHIEF OPERATING OFFICER. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST AND ON GUIDESTAR.ORG CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -1,593,329. FORM 990, PART XI, QUESTION 2C THE ORGANIZATION DID NOT CHANGE ITS OVERSIGHT PROCESS OR SELECTION PROCESS DURING THE YEAR. FORM 990, PART V, QUESTION 2A THE ALR CONTRACTS WITH AMBROSE EMPLOYER GROUP, LLC, A PROFESSIONAL EMPLOYER ORGANIZATION (PEO), TO PROVIDE PAYROLL AND BENEFITS AS A CO-EMPLOYER WITH THE ALR. ALR PAYROLL AND BENEFITS ARE ADMINISTERED BY AMBROSE GROUP AS APPROVED BY ALR OFFICERS. ALR PAYROLL IS THEREFORE UNDER THE AMBROSE GROUP EIN: 13-3867443 AND W-2'S ARE PREPARED UNDER THAT EIN BY AMBROSE.