2023-06-29T08:28:23-05:00 2022-12-31 521392008 GELMAN ROSENBERG & FREEDMAN 4550 MONTGOMERY AVE SUITE 800N BETHESDA MD 208142930 990 2022-01-01 133870223 INTERNATIONAL AIDS VACCINE INITIATIVE INC INTE 2128471111 125 BROAD STREET 9TH FL NEW YORK NY 10004 LOUIS D SCHWARTZ CFO 2128471111 2023-06-29 1 LOUIS SCHWARTZ 999009999 0 RICHARD J LOCASTRO CPA P00288314 3019519090 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z IAVI MARK B FEINBERG 125 BROAD STREET 9TH FL NEW YORK NY 10004 164971598 0 X WWW.IAVI.ORG X 1996 DE TRANSLATE SCIENTIFIC DISCOVERIES INTO AFFORDABLE, GLOBALLY ACCESSIBLE PUBLIC HEALTH SOLUTIONS 14 13 245 14 0 0 124414676 143987755 1706926 2569928 59888 -178814 171108 403411 126352598 146782280 26376831 30303444 0 0 39923469 44464122 0 0 437368 46851383 56421196 113151683 131188762 13200915 15593518 107049023 128948484 56078728 62681430 50970295 66267054 X A NONPROFIT SCIENTIFIC RESEARCH ORGANIZATION THAT DEVELOPS VACCINES AND ANTIBODIES FOR HIV, TUBERCULOSIS, EMERGING INFECTIOUS DISEASES, AND NEGLECTED DISEASES. 0 0 114601513 29224235 2569928 RESEARCH AND DEVELOPMENT: THROUGH SCIENTIFIC AND CLINICAL RESEARCH IN AFRICA, INDIA, EUROPE, AND THE U.S., IAVI DEVELOPS VACCINES AND ANTIBODIES IN AND FOR THE DEVELOPING WORLD AND SEEKS TO ACCELERATE THEIR INTRODUCTION IN LOW-INCOME COUNTRIES. IAVI ADVANCES SCIENTIFIC DISCOVERY AND DEVELOPMENT BY FOSTERING UNIQUE COLLABORATIONS AMONG ACADEMIA, INDUSTRY, LOCAL COMMUNITIES, GOVERNMENTS, AND FUNDERS TO EXPLORE NEW AND BETTER WAYS TO ADDRESS PUBLIC HEALTH THREATS THAT DISPROPORTIONATELY AFFECT PEOPLE LIVING IN POVERTY. VACCINE AND ANTIBODY CANDIDATES ARE PUT THROUGH A RIGOROUS PROCESS OF CLINICAL EVALUATION AMONG KEY POPULATIONS TO ESTABLISH THEIR SAFETY AND EFFICACY, AN EFFORT THAT ENABLES IAVI TO STRENGTHEN THE HEALTHCARE INFRASTRUCTURE AND SCIENTIFIC CAPACITY OF COUNTRIES WHERE OUR CLINICAL PARTNERS OPERATE. TO DATE, IAVI AND ITS PARTNERS HAVE ADVANCED DOZENS OF HIV VACCINE CANDIDATES INTO EARLY STAGE CLINICAL TRIALS, INCLUDING A VACCINE THAT RECENTLY YIELDED PROMISING RESULTS AND IS PART OF AN EXCITING NEW APPROACH TO HIV VACCINE DESIGN. OTHER NOTABLE ACHIEVEMENTS INCLUDE THE FIRST HIV VACCINE TRIALS IN SUB-SAHARAN COUNTRIES, WHERE HIV BURDEN IS GREATEST, AND THE FIRST TRIAL OF AN MRNA HIV VACCINE CANDIDATE IN AFRICA. IAVI HAS CONDUCTED MORE THAN 50 EPIDEMIOLOGICAL STUDIES AND PROVIDED VOLUNTARY HIV TESTING, COUNSELING SERVICES, AND HEALTH CARE REFERRALS TO MORE THAN 870,000 INDIVIDUALS IN AFRICA. IAVI ALSO SUPPORTS PRECLINICAL DEVELOPMENT AND CLINICAL TESTING OF VACCINE CANDIDATES FOR OTHER DISEASES, INCLUDING TUBERCULOSIS, LASSA FEVER, MARBURG, EBOLA SUDAN, AND COVID-19, AS WELL AS ANTIBODY CANDIDATES FOR DISEASE PREVENTION AND TREATMENT. IAVI CONDUCTS TRIALS WITH THE HIGHEST SCIENTIFIC AND ETHICAL STANDARDS TO PROTECT THE RIGHTS, WELL-BEING, AND DIGNITY OF TRIAL VOLUNTEERS. IAVI HAS ALSO LAUNCHED RESEARCH CONSORTIA TO ADDRESS MAJOR SCIENTIFIC PROBLEMS OF BIOMEDICAL PRODUCT DEVELOPMENT. A SIGNIFICANT PORTION OF THE RESEARCH IAVI SUPPORTS IS CONDUCTED IN DEVELOPING COUNTRIES WHERE THE NEED FOR INFECTIOUS DISEASE PREVENTION IS GREATEST.IAVI ALSO SUPPORTS EXTERNAL RESEARCHERS BY PROVIDING TECHNICAL AND SCIENTIFIC EXPERTISE TO ACCELERATE THE DEVELOPMENT OF THEIR OWN PRODUCTS. 2674105 1079209 VACCINE ADVOCACY, PUBLIC AFFAIRS, AND POLICY: IAVI WORKS WITH POLICY MAKERS, ADVOCATES, AND REPRESENTATIVES OF THE COMMUNITIES WHERE DISEASE BURDEN IS GREATEST TO SUPPORT SCIENTIFIC RESEARCH AND DEVELOPMENT FOR ACCESSIBLE BIOMEDICAL PREVENTIVES AND TREATMENTS. 117275618 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 1 0 0 1 X 93 0 1 245 1 0 1 IN KE SF UK 0 0 0 0 0 0 0 0 0 0 X 14 13 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AL AR CA FL GA HI IL KS KY MD MA MI MN MS NH NJ NM NY NC OR PA RI SC TN UT VA WV WI X X X PATRICK MOUTON 2128471137 125 BROAD STREET 9TH FL NEW YORK NY 10004 MARK B FEINBERG PRESIDENT/CEO 35.00 X X 666687 0 96566 ERIC PAUL GOOSBY BOARD CHAIR 2.00 X X 0 0 0 ROBERT GOLDBERG BOARD TREASURER 2.00 X X 0 0 0 LINDA-GAIL BECKER BOARD MEMBER 1.00 X 0 0 0 DAVID BLUMBERG BOARD MEMBER 1.00 X 0 0 0 JIM CONNOLLY BOARD MEMBER 1.00 X 0 0 0 MARK DYBUL BOARD MEMBER 1.00 X 0 0 0 WAFAA EL-SADR BOARD MEMBER 1.00 X 0 0 0 JOHN NKENGASONG BOARD MEMBER (UNTIL 5/16/22) 1.00 X 0 0 0 ALEXIS M PINTO BOARD MEMBER 1.00 X 0 0 0 JOHN W SHIVER BOARD MEMBER 1.00 X 0 0 0 SUSAN SILBERMANN BOARD MEMBER 1.00 X 0 0 0 ANNE MARTIN SIMONDS BOARD MEMBER 1.00 X 0 0 0 RAJEEV VENKAYYA BOARD MEMBER 1.00 X 0 0 0 MARIJKE WIJNROKS BOARD MEMBER 1.00 X 0 0 0 ANA CESPEDES MONTOYA CHIEF OPERATING OFFICER 35.00 X 510065 0 109309 LOUIS D SCHWARTZ ASST. SEC. & CHIEF FINANCIAL OFFICER 35.00 X 363556 0 85739 MIN DING GEN. COUNS. & SEC. (FROM 3/14/22) 35.00 X 325059 0 67838 FRANCES SINHA CPO, VP OF HR (UNTIL 12/1/22) 35.00 X 345114 0 44733 SWATI GUPTA VP, HEAD OF EID & EPIDEMIOLOGY 35.00 X 364496 0 86183 THOMAS HASSELL VP, PDC (UNTIL 9/30/22) 35.00 X 353175 0 75197 DAGNA LAUFER VP & HEAD OF CLINICAL DEVELOPMENT 35.00 X 377615 0 43357 CHRISTOPHER PARKS - ASSOC VP, VIRAL VACCINES & HEAD OF THE DDL 35.00 X 340566 0 70686 ERIC SKJEVELAND VP, BUSINESS DEVELOPMENT 35.00 X 314481 0 17149 3960814 0 696757 108 0 1 0 EMMES CORPORATION 401 N WASHINGTON ST STE 700 ROCKVILLE MD 20850 CLINICAL RESEARCH STUDIES 996511 AUSTRALIAN BIOLOGICS PTY LTD PO BOX 587 CRAIGIEBURN VICTORIA AS 3064 REGULATORY CONSULTANT 421226 US MEDICAL EQUIP CONS INC 5601 NW 72ND ST 324 OKLAHOMA CITY OK 73132 EQUIPMENT MAINTENANCE 349302 DUANE MORRIS LLP 30 SOUTH 17TH STREET PHILADELPHIA PA 191034196 LEGAL SERVICES 224013 NIXON & VANDERHYE PC 901 N GLEBE ROAD SUITE 1100 ARLINGTON VA 22203 LEGAL SERVICES 183443 10 102156755 41831000 143987755 CONTRACT SERVICE FEES 900099 2569928 2569928 2569928 751530 751530 17258974 18189318 -930344 -930344 -930344 MISCELLANEOUS 900099 403411 403411 403411 146782280 2569928 0 224597 11707831 11707831 18595613 18595613 2614665 143343 2471322 33612789 27404258 6195175 13356 2398098 2079706 317325 1067 3680070 2928950 749624 1496 2158500 1674973 482674 853 999622 638476 361146 176800 176800 247500 247500 88098 88098 1419598 252020 1116917 50661 844953 520185 310148 14620 1302438 982639 283891 35908 4922605 4613462 286413 22730 1231063 1042906 187603 554 491040 461134 29318 588 5784 5784 1714015 1630160 64980 18875 410773 298435 106435 5903 RESEARCH&CLINICAL SVCS 35599048 35599048 LAB SUPPLIES/EQUIPMENT 6131088 6131088 EQUIPMENT MAINT. 541846 487307 52236 2303 LICENSES & FEES 164563 13688 131228 19647 130362 70396 58659 1307 131188762 117275618 13475776 437368 35825161 29030740 33286783 53415955 891734 472428 198282 613872 47528252 45273924 3887856 2254328 32733205 31756089 226002 11405072 107049023 128948484 7483619 7733196 10451288 13914391 35515982 27962390 2627839 13071453 56078728 62681430 X 39462629 35250334 11507666 31016720 50970295 66267054 107049023 128948484 X 15593518 147445 -444204 X 0 1 X 1 1 1 X 75524844 84811837 88668597 124414676 143987755 517407709 75524844 84811837 88668597 124414676 143987755 517407709 137593858 379813851 921661 1171355 741488 613689 751530 4199723 349691 1207878 226173 171107 403411 2358260 523965692 12586924 0.72490 0.66570 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: RE TAXES REFUND - 2018 AMOUNT: $ 38,091. 2019 AMOUNT: $ 30,000. OTHER INCOME - 2018 AMOUNT: $ 41,790. 2019 AMOUNT: $ 49,560. 2020 AMOUNT: $ 114,697. 2021 AMOUNT: $ 103,555. 2022 AMOUNT: $ 403,411. LOAN FORGIVENESS - 2018 AMOUNT: $ 78,810. 2019 AMOUNT: $ 59,169. 2020 AMOUNT: $ 63,601. 2021 AMOUNT: $ 67,552. ASSET TRANSFER CREDIT - 2018 AMOUNT: $ 191,000. 2019 AMOUNT: $ 942,000. 2020 AMOUNT: $ 47,875. BANK CREDIT - 2019 AMOUNT: $ 127,149. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 247500 247500 130941262 131188762 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 267531 257550 247500 247500 1020081 250000 250000 250000 250000 1000000 1500000 20021853 18828912 1192941 27506399 26445012 1061387 2254328 SECURITY DEPOSITS 221297 LOAN & EXCHANGE 4824 RIGHT-OF-USE ASSETS 11178951 11405072 OPERATING LEASE LIABILITIES 12776438 DEFERRED COMPENSATION PAYABLE 295015 13071453 X 146822288 147445 221874 369319 146452969 88098 241213 329311 146782280 132235638 4799396 4799396 127436242 88098 3664422 3752520 131188762 PART X, LINE 2: FOR THE YEAR ENDED DECEMBER 31, 2022, MANAGEMENT OF IAVI HAS DOCUMENTED ITS CONSIDERATION OF FASB ASC 740-10, INCOME TAXES, THAT PROVIDES GUIDANCE FOR REPORTING UNCERTAINTY IN INCOME TAXES AND HAS DETERMINED THAT NO MATERIAL UNCERTAIN TAX POSITIONS QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: REVENUE OF STICHTING INTERNATIONAL AIDS VACCINE INITIATIVE 330. INCLUDED IN CONSOLIDATED AUDIT REPORT BUT EXCLUDED FOR IAVI FORM 990 REPORTING PURPOSES. REVENUE OF IAVI INDIA, INCLUDED IN CONSOLIDATED AUDIT 140,863. REPORT BUT EXCLUDED FOR IAVI FORM 990 REPORTING PURPOSES. REVENUE OF IAVI-SA, INCLUDED IN CONSOLIDATED AUDIT 80,681. REPORT BUT EXCLUDED FOR FORM 990 REPORTING PURPOSES. PART XI, LINE 4B - OTHER ADJUSTMENTS: INTER-COMPANY REVENUE, ELIMINATED IN CONSOLIDATED AUDIT 241,213. REPORT BUT INCLUDED IN IAVI, INC. FORM 990. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES OF STICHTING INTERNATIONAL AIDS VACCINE INITIATIVE 1,688,757. INCLUDED IN CONSOLIDATED AUDIT REPORT BUT EXCLUDED FOR IAVI FORM 990 REPORTING PURPOSES. EXPENSES OF IAVI INDIA, INCLUDED IN CONSOLIDATED AUDIT 241,467. REPORT BUT EXCLUDED FOR FORM 990 REPORTING PURPOSES. EXPENSES OF IAVI-SA, INCLUDED IN CONSOLIDATED AUDIT 2,869,172. REPORT BUT EXCLUDED FOR FORM 990 REPORTING PURPOSES. PART XII, LINE 4B - OTHER ADJUSTMENTS: INTER-COMPANY GRANT EXPENSES, ELIMINATED IN CONSOLIDATED 3,664,422. AUDIT REPORT BUT INCLUDED IN IAVI, INC. FORM 990. 1 EUROPE 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 4051161 SOUTH ASIA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 536258 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION 14008194 NORTH AMERICA 0 0 PROGRAM SERVICE ACTIVITIES RESEARCH/ADVOCACY/POLICY 2355136 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE ACTIVITIES RESEARCH/ADVOCACY/POLICY 2100657 EUROPE 1 19 PROGRAM SERVICE ACTIVITIES RESEARCH/ADVOCACY/POLICY 4293558 SOUTH ASIA 1 24 PROGRAM SERVICE ACTIVITIES RESEARCH/ADVOCACY/POLICY 3757329 SUB-SAHARAN AFRICA 1 38 PROGRAM SERVICE ACTIVITIES RESEARCH/ADVOCACY/POLICY 1755991 3 81 0 0 3 81 32858284 0 32858284 EUROPE VACCINE ADVOCACY, PUBLIC AFFAIRS AND POLICY 1703890 WIRE TRANSFER 0 EUROPE RESEARCH & DEVELOPMENT 102751 WIRE TRANSFER 0 EUROPE RESEARCH & DEVELOPMENT 181476 WIRE TRANSFER 0 EUROPE RESEARCH & DEVELOPMENT 290505 WIRE TRANSFER 0 EUROPE RESEARCH & DEVELOPMENT 533709 WIRE TRANSFER 0 EUROPE RESEARCH & DEVELOPMENT 159621 WIRE TRANSFER 0 EUROPE VACCINE ADVOCACY, PUBLIC AFFAIRS AND POLICY 1079209 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 157021 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 24000 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 31109 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 99675 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 113549 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 24000 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 22000 WIRE TRANSFER 0 SOUTH ASIA RESEARCH & DEVELOPMENT 60137 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 956049 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 1797843 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 1054087 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 3396423 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 207695 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 957385 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 1184819 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 814308 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 110778 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 1104294 WIRE TRANSFER 0 SUB-SAHARAN AFRICA RESEARCH & DEVELOPMENT 2424513 WIRE TRANSFER 0 25 1 1 0 0 0 0 0 PART I, LINE 2: THE ORGANIZATION HAS A COMPLIANCE UNIT THAT MONITORS THE ADHERENCE OF SUB-GRANTEES TO THE CONTRACT AND DONOR TERMS WHICH INCLUDES REVIEW OF 2 CFR 200 AND THE FAR. ROUTINE COMPLIANCE AND SUBSTANTIVE AUDITS ARE PERFORMED BY A COMPLIANCE OFFICER LOCATED IN EAST AFRICA. ROUTINE INTERNAL CONTROL QUESTIONNAIRES, AND IN-DEPTH REVIEW OF QUARTERLY REPORTS OF SUB-GRANTEES TAKES PLACE ON A REGULAR BASIS. PART III ACCOUNTING METHOD: 1 TEXAS BIOMEDICAL RESEARCH INSTITUTE 8715 W MILITARY DR SAN ANTONIO TX 78227 741109630 501(C)(3) 2385977 0 RESEARCH & DEVELOPMENT THE SCRIPPS RESEARCH INSTITUTE 10550 NORTH TORREY PINES ROAD LA JOLLA CA 92037 330435954 501(C)(3) 1689071 0 RESEARCH & DEVELOPMENT THE UNIVERSITY OF TEXAS MEDICAL BRANCH GALVESTON 301 UNIVERSITY BLVD GALVESTON TX 77555 746000949 501(C)(3) 1556250 0 RESEARCH & DEVELOPMENT BOSTON UNIVERSITY 881 COMMONWEALTH AVENUE BOSTON MA 02115 042103547 501(C)(3) 1456079 0 RESEARCH & DEVELOPMENT GEORGE WASHINGTON UNIVERSITY 45155 RESEARCH PLACE STE 160 ASHBURN VA 20147 530196584 501(C)(3) 1020684 0 RESEARCH & DEVELOPMENT EMORY UNIVERSITY 1599 CLIFTON ROAD ATLANTA GA 30332 580566256 501(C)(3) 545693 0 RESEARCH & DEVELOPMENT SEATTLE CHILDREN'S HOSPITAL 4800 SAND POINT WAY NE SEATTLE WA 98105 910961784 501(C)(3) 520519 0 RESEARCH & DEVELOPMENT THE UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER SA 7703 FLOYD CURL DRIVE SAN ANTONIO TX 782293900 741586031 501(C)(3) 467885 0 RESEARCH & DEVELOPMENT UNIVERSITY OF WISCONSIN-MADISON 21 N PARK STREET STE 6401 MADISON WI 537151218 366006492 501(C)(3) 428165 0 RESEARCH & DEVELOPMENT THE BRIGHAM & WOMEN'S HOSPITAL INC 75 FRANCIS STREET BOSTON MA 02115 042312909 501(C)(3) 267630 0 RESEARCH & DEVELOPMENT LA JOLLA INSTITUTE FOR ALLERGY & IMMUNOLOGY 9420 ATHENA CIRCLE LA JOLLA CA 92037 330328688 501(C)(3) 208350 0 RESEARCH & DEVELOPMENT FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVENUE NORTH SEATTLE WA 98109 237156071 501(C)(3) 197765 0 RESEARCH & DEVELOPMENT DAVID FITZ-PATRICK MD INC AKA EAST-WEST MEDICAL RESEARCH INSTITUTE 1585 KAPIOLANI BLVD SUITE 1500 HONOLULU HI 96814 651163705 OTHER 156994 0 RESEARCH & DEVELOPMENT MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 042697983 501(C)(3) 135849 0 RESEARCH & DEVELOPMENT FAMILY HEALTH INTERNATIONAL 359 BLACKWELL STREET SUITE 200 DURHAM NC 27701 237413005 501(C)(3) 128195 0 RESEARCH & DEVELOPMENT UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 3200 ATLANTIC AVE RALEIGH NC 27604 561545517 501(C)(3) 124411 0 RESEARCH & DEVELOPMENT UNIVERSITY OF CALIFORNIA SAN FRANCISCO 3333 CALIFORNIA STREET SUITE 315 SAN FRANCISCO CA 94158 943067788 501(C)(3) 103700 0 RESEARCH & DEVELOPMENT EMMES CORPORATION 401 N WASHINGTON STREET SUITE 700 ROCKVILLE MD 20850 541058268 501(C)(3) 91468 0 RESEARCH & DEVELOPMENT THE POPULATION COUNCIL INC ONE DAG HAMMARSKJOLD PLAZA 3RD FL NEW YORK NY 10017 131687001 501(C)(3) 75781 0 RESEARCH & DEVELOPMENT TULANE UNIVERSITY THE ADMIN OF THE TULANE EDUCATIONAL FUND 6823 ST CHARLES AVE NEW ORLEANS LA 70118 720423889 501(C)(3) 53500 0 RESEARCH & DEVELOPMENT NATIONAL INSTITUTE OF ALLERGY-INFECTIOUS DISEASES 6610 ROCKLEDGE DRIVE RM 2800 BETHESDA MD 20892 530196960 501(C)(3) 50000 0 RESEARCH & DEVELOPMENT DFNET RESEARCH INC 140 LAKESIDE AVE SUITE 310 SEATTLE WA 98122 200852149 501(C)(3) 40440 0 RESEARCH & DEVELOPMENT 21 1 PART I, LINE 2: THE ORGANIZATION HAS A COMPLIANCE UNIT THAT MONITORS THE ADHERENCE OF SUB-GRANTEES TO THE CONTRACT AND DONOR TERMS WHICH INCLUDES REVIEW OF 2 CFR 200 AND THE FAR. REVIEW OF 2 CFR 200 AUDITS AND IN-DEPTH REVIEW OF QUARTERLY REPORTS OF SUB-GRANTEES TAKES PLACE ON A REGULAR BASIS. X X X X 0 0 0 0 0 0 0 1 0 MARK B FEINBERG PRESIDENT/CEO 575310 0 56581 0 34796 0 95023 0 1543 0 763253 0 0 0 ANA CESPEDES MONTOYA CHIEF OPERATING OFFICER 443088 0 44995 0 21982 0 86153 0 23156 0 619374 0 0 0 SWATI GUPTA VP, HEAD OF EID & EPIDEMIOLOGY 328559 0 33975 0 1962 0 51814 0 34369 0 450679 0 0 0 LOUIS D SCHWARTZ ASST. SEC. & CHIEF FINANCIAL OFFICER 326755 0 33327 0 3474 0 51891 0 33848 0 449295 0 0 0 THOMAS HASSELL VP, PDC (UNTIL 9/30/22) 235587 0 84466 0 33122 0 51109 0 24088 0 428372 0 0 0 DAGNA LAUFER VP & HEAD OF CLINICAL DEVELOPMENT 339185 0 30900 0 7530 0 41430 0 1927 0 420972 0 0 0 CHRISTOPHER PARKS - ASSOC VP, VIRAL VACCINES & HEAD OF THE DDL 315838 0 20492 0 4236 0 47239 0 23447 0 411252 0 0 0 MIN DING GEN. COUNS. & SEC. (FROM 3/14/22) 293145 0 30000 0 1914 0 33990 0 33848 0 392897 0 0 0 FRANCES SINHA CPO, VP OF HR (UNTIL 12/1/22) 267606 0 30000 0 47508 0 34259 0 10474 0 389847 0 0 0 ERIC SKJEVELAND VP, BUSINESS DEVELOPMENT 283885 0 15000 0 15596 0 15125 0 2024 0 331630 0 0 0 PART I, LINE 7 BONUS COMPENSATION HAS BEEN REFLECTED IN PART II, COLUMN (B)(II). PART II, LINE 5, COLUMN (B)(II): THOMAS HASSELL RECEIVED A $50,000 BONUS FOR DELIVERING 2022 GOALS AND SCORECARD TARGETS, CONTRIBUTING TO THE SELECTION AND ONBOARDING OF THE NEW PDC LEADER, AND RETENTION UNTIL THE ONBOARDING WAS COMPLETE. DESMOND TUTU HIV FOUNDATION AN IAVI BOARD MEMBER IS THE DEPUTY DIRECTOR AND COO OF THE ENTITY. 123104 IAVI HAS A SUB-AWARD AGREEMENT WITH DESMOND TUTU INSTITUTE FOR HIV RESEARCH FOUNDATION. 0 FORM 990, PART VI, SECTION B, LINE 11B THE AUDIT AND FINANCE COMMITTEE REVIEWED AND APPROVED THE FORM 990 IN DETAIL WITH THE CONTROLLER AND CFO. IT WAS THEN SENT TO THE FULL BOARD BEFORE IT WAS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C IAVI HAS A CONFLICT OF INTEREST POLICY WHICH APPLIES TO ALL DIRECTORS, OFFICERS, KEY PERSONS, EMPLOYEES, CONSULTANTS AND ADVISORY COMMITTEE MEMBERS. THE POLICY REQUIRES THAT ALL DIRECTORS, OFFICERS, KEY PERSONS, EMPLOYEES AND ADVISORY COMMITTEE MEMBERS FILE AN ANNUAL DISCLOSURE FORM, INDICATING WHETHER THERE ARE ANY POSSIBLE OR ACTUAL CONFLICTS AS DEFINED UNDER THE POLICY. IN ADDITION, ALL ARE REQUIRED TO DISCLOSE ANY POSSIBLE OR ACTUAL CONFLICTS ON AN ONGOING BASIS. ANNUAL DISCLOSURE FORMS, AS WELL OTHER CONFLICT OF INTEREST DISCLOSURES THAT ARISE DURING THE YEAR, ARE FILED WITH AND REVIEWED BY THE GENERAL COUNSEL'S OFFICE. IN ADDITION, THE AUDIT & FINANCE COMMITTEE REVIEWS CONFLICT OF INTEREST DISCLOSURES THAT INVOLVE A DIRECTOR, OFFICER, OR KEY PERSON. IN EACH CASE, THE REVIEW ENSURES THAT ANY CONFLICT OF INTEREST OR POSSIBLE CONFLICT OF INTEREST IS PROPERLY ADDRESSED, MITIGATED, AND/OR MANAGED. CONFLICT OF INTEREST DISCLOSURES ARE SUMMARIZED AND PROVIDED TO THE CHAIR OF THE AUDIT & FINANCE COMMITTEE FOR REVIEW BY THE AUDIT & FINANCE COMMITTEE. IF ANY CONFLICT OF INTEREST OR POSSIBLE CONFLICT OF INTEREST DISCLOSURE INVOLVES THE CHAIR OF THE AUDIT & FINANCE COMMITTEE, THE COMMITTEE MEETS WITHOUT THE CHAIR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD PERIODICALLY COMMISSIONS A COMPENSATION SURVEY OF THE CEO'S COMPENSATION PACKAGE. THE SURVEY COMPARES COMPENSATION PACKAGES OF CEOS OF ORGANIZATIONS THAT ARE COMPARABLE TO IAVI. THE COMMITTEE REVIEWS THE RESULTS OF THE SURVEY AND RECOMMENDATIONS MADE, DISCUSSES THIS WITH THE BOARD BEFORE PROVIDING SPECIFIC GUIDANCE AND APPROVAL TO IAVI'S MANAGEMENT. THE COMPENSATION COMMITTEE DETERMINES THE APPROPRIATE PACKAGE FOR THE CEO AND THE BOARD CHAIR SHARES THIS INFORMATION WITH HUMAN RESOURCES FOR IMPLEMENTATION. IAVI ENGAGES AN EXTERNAL SPECIALIZED FIRM WITH EXPERTISE TO CONDUCT THE SURVEY AND PROVIDE RECOMMENDATION TO THE COMPENSATION COMMITTEE. THE DELIBERATIONS OF THE COMPENSATION COMMITTEE OF THE BOARD ARE DOCUMENTED IN THE COMPENSATION COMMITTEE MINUTES FOR EACH MEETING OF THE MEMBERS. ALSO THE SAME IS CAPTURED IN THE BOARD MINUTES AS REPORTED OUT BY THE COMPENSATION COMMITTEE CHAIR FOR BOARD DISCUSSIONS AND APPROVAL. THE LAST COMPENSATION REVIEW TOOK PLACE IN DECEMBER 2022. IN CONJUNCTION WITH THE CEO'S COMPENSATION REVIEW, THE COMPENSATION COMMITTEE OF THE BOARD ALSO COMMISSIONS AN EXTERNAL COMPARATIVE COMPENSATION SURVEY OF ORGANIZATIONS SIMILAR TO IAVI, IN WHICH THE COMPENSATION PACKAGES OF ALL OTHER OFFICERS AND KEY EMPLOYEES ARE BENCHMARKED AGAINST THE LABOR MARKET TO DETERMINE APPROPRIATENESS OF PAY. THE COMMITTEE REVIEWS THE RESULTS AND RECOMMENDATIONS FROM THIS SURVEY AND PROVIDES MANAGEMENT WITH SPECIFIC GUIDANCE IN ADDRESSING ANY DISPARITIES. USING BENCHMARK JOB CLASSIFICATIONS, AT LEAST ONCE EVERY 2 YEARS IAVI COMMISSIONS A COMPENSATION SURVEY, ACROSS ALL ITS OFFICES TO DETERMINE THE COMPETITIVENESS OF ITS COMPENSATION PROGRAMS AND TO ENABLE THE ORGANIZATION TO CONTINUE TO ATTRACT AND RETAIN THE RIGHT TALENT IN THESE VARIOUS MARKETS. IN MOST CASES THE LOCAL LABOR MARKET IS CONSIDERED AND FOR CERTAIN POSITIONS, REGIONAL MARKETS MUST BE TARGETED. THE RESULTS OF EACH SURVEY MAY BE REVIEWED WITH THE COMPENSATION COMMITTEE OF THE BOARD, WHICH GIVES MANAGEMENT OVERALL GUIDANCE ON COMPENSATION DIRECTION. BASED ON RECOMMENDATIONS AND GUIDANCE OF THE COMPENSATION COMMITTEE, THE EXECUTIVE OFFICE AND HUMAN RESOURCES COMMUNICATE CHANGES TO ANY AFFECTED EMPLOYEES. ANY COMPENSATION CHANGES ARE DETERMINED BASED ON EXTERNAL COMPETIVENESS, RELATIVE INTERNAL VALUE, INDIVIDUAL PERFORMANCE, TEAM DYNAMIC, AND IAVI'S ABILITY TO PAY. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE ON ITS WEBSITE. FORM 990, PART XI, LINE 9: FOREIGN EXCHANGE LOSS -444,204. IAVI LAB LLC 125 BROAD STREET 9TH FL NEW YORK NY 10004 262031769 LAB RESEARCH DE 0 939131 IAVI INC STICHTING IAVI VAN DIEMENSTRAAT 48 1013 NH AMSTERDAM NL RESEARCH SUPPORT NL N/A N/A IAVI INC 1 IAVI INDIA 4 FACTORY ROAD GROUND FLOOR ANSARI NAGAR WEST NEW DELHI-110029 IN RESEARCH SUPPORT IN N/A N/A IAVI INC 1 IAVI SOUTH AFRICA NPC (IAVI-SA) BLACK RIVER PARK 2 FIR ST OBSERVA CAPETOWN SF RESEARCH SUPPORT SF N/A N/A IAVI INC 1 IAVI AFRICA LIMITED 11TH FL MUTHANGARI DR PO BOX 340 NAIROBI KE RESEARCH SUPPORT KE N/A N/A IAVI INC 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 STICHTING IAVI B 1079209 ACTUAL IAVI-SA B 2424513 ACTUAL STICHTING IAVI C 49925 ACTUAL IAVI-INDIA B 73849 ACTUAL IAVI-INDIA C 36925 ACTUAL