2023-11-15T14:22:14-06:00 2022-12-31 911194016 CLARK NUBER PS 10900 NE 4TH STREET SUITE 1400 BELLEVUE WA 98004 990 2022-01-01 911608978 ACCESS TO ADVANCED HEALTH INSTITUTE ACCE 2063810883 1616 EASTLAKE AVE E 400 SEATTLE WA 98102 JERRY KUO COO & CFO 2063810883 2023-11-14 1 JERRY KUO 999009999 0 MEGAN R RYAN P00737884 4254544919 2023-11-14 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z INFECTIOUS DISEASE RESEARCH INSTITUTE JERRY KUO 1616 EASTLAKE AVE E 400 SEATTLE WA 98102 51810699 0 X WWW.AAHI.ORG X 1993 WA DEVELOP VACCINES, ADJUVANTS, DIAGNOSTICS & DRUGS TO PREVENT, DETECT & TREAT INFECTIOUS DISEASES OF GLOBAL IMPORTANCE. 7 5 79 5 30750 15171 6701932 33420108 12880960 17386494 2746 61987 5672516 317665 25258154 51186254 0 0 0 0 7522915 9652019 0 0 0 14774847 11710438 22297762 21362457 2960392 29823797 16228599 42840477 19979338 16927712 -3750739 25912765 X AAHI IS A NONPROFIT BIOTECH RESEARCH INSTITUTE, BRINGING TOGETHER THE BEST EXPERTS, TECHNOLOGIES, AND PLATFORMS TO CREATE ACCESSIBLE, HIGH-QUALITY PRODUCTS AND SOLUTIONS FOR HARNESSING THE IMMUNE SYSTEM TO ALLEVIATE DISEASE. 0 0 4430705 7821670 RNA VACCINES - RNA VACCINES HAVE BEEN SHOWN TO BE CRITICAL TOOLS FOR COMBATTING PANDEMICS AND HAVE BEEN SAFELY ADMINISTERED TO BILLIONS OF PEOPLE ACROSS THE GLOBE. AAHI'S RNA VACCINE PLATFORM IS DISTINCT FROM EXISTING LICENSED RNA VACCINES IN THAT IT IS BASED ON A SELF-AMPLIFYING RNA TECHNOLOGY AND DELIVERED BY A FLEXIBLE NANOSTRUCTURED LIPID CARRIER. TOGETHER, THESE FEATURES MEAN THAT THE VACCINE COULD BE STOCKPILED FOR YEARS, DELIVERED AT ROOM TEMPERATURE, AND MORE RAPIDLY MANUFACTURED TO ADDRESS FUTURE PANDEMICS. AAHI SCIENTISTS ARE ADVANCING RNA VACCINES AGAINST COVID-19, INFLUENZA, YELLOW FEVER, ZIKA, CHIKUNGUNYA, AND HIV, AND ADAPTING THE PLATFORM TO BE DELIVERED BY NASAL SPRAY OR DIRECTLY ADMINISTERED INTO TUMORS. 4260904 3135348 FORMULATIONS - ADJUVANTS ARE POWERFUL IMMUNE-STIMULATING MOLECULES THAT INCREASE THE EFFICACY OF VACCINES AND ENHANCE THE IMMUNE SYSTEM'S ABILITY TO DESTROY TUMORS. AAHI HAS AMONG THE LARGEST PORFOLIOS OF ADJUVANTS; IMPORTANTLY, AAHI SCIENTISTS FORMULATE THESE MOLECULES IN A WAY THAT MAKES THEM MINIMALLY TOXIC AND MAXIMALLY POTENT. IN PARTNERSHIP WITH VACCINE DEVELOPERS ACROSS THE WORLD, MANY AAHI ADJUVANT FORMULATIONS HAVE BEEN SAFELY ADMINISTERED TO THOUSANDS OF PEOPLE IN RIGOROUS CLINICAL TRIALS. AAHI'S ADJUVANT FORMULATIONS NOW ARE IN LEADING VACCINE CANDIDATES AGAINST HIV, TUBERCULOSIS, MALARIA, AND A MYRIAD OF OTHER INFECTIOUS DISEASES. 3238592 6374400 MANUFACTURING AND CLINICAL SUPPORT - AAHI'S IN-HOUSE MANUFACTURING CAPABILITIES SUPPORT RAPID SCALE-UP AND PRODUCTION OF VACCINES FOR USE IN PHASE 1 AND PHASE 2 CLINICAL TRIALS AND COMPLETE AAHIS'S UNIQUE VACCINE DISCOVERY-DEVELOPMENT PROCESS. AAHI'S RESEARCH SCIENTISTS AND FORMULATIONS/PROCESS DEVELOPMENT TEAMS WORK WITH AAHI'S MANUFACTURING EXPERTS TO DEVELOP MANUFACTURING PROCESSES TO PRODUCE VACCINE CANDIDATES UNDER CONTROLLED CONDITIONS SO THAT THEY ARE SUITABLE FOR USE IN HUMAN STUDIES. THIS ENABLES AAHI TO QUICKLY AND EFFICIENTLY MOVE A VACCINE FROM LATE-STAGE RESEARCH TO EARLY PHASE CLINICAL STUDIES. AAHI CONSULTS LATER STAGE CLINICAL STUDIES. AAHI'S MANUFACTURING SUITE FOLLOWS US FDA "GOOD MANUFACTURING PRACTICE" REGULATIONS AND IS AN INVALUABLE RESOURCE TO AAHI SCIENTISTS AND BIOTECHNOLOGY DEVELOPERS IN THE NON-PROFIT, ACADEMIC, AND FOR-PROFIT SECTORS. 152443 55076 PROCESS AND PRODUCT DEVELOPMENT - MODERN VACCINES ARE INCREASINGLY COMPLEX AND THEIR DESIGN NEEDS TO BE TAILORED TO SPECIFIC TARGET PRODUCT PROFILES TO ENSURE PRACTICAL ACCESSIBILITY. SUSTAINABLE SOURCING OF RAW MATERIALS, STREAMLINED MANUFACTURING METHODS, AND TEMPERATURE STABILITY ARE CRITICALLY IMPORTANT TO ENABLE VACCINES FOR GLOBAL HEALTH APPLICATIONS IN RESOURCE-LIMITED SETTINGS. ALTERNATIVE ROUTES OF ADMINISTRATION, SUCH AS INTRANASAL DELIVERY, NOT ONLY MAY BEST BE SUITED TO FIGHT RESPIRATORY PATHOGENS BUT ALSO HELP TO ADDRESS VACCINE HESITANCY AND TO INCREASE VACCINE UPTAKE. AAHI SCIENTISTS ARE WORLD-EXPERTS AT DEVELOPING PROCESSES AND METHODS TO ADVANCE NOVEL PRODUCTS THAT MEET THE NEEDS OF VACCINE DEVELOPERS BOTH WITHIN AAHI AND EXTERNALLY AMONG THE DOZENS OF ACADEMIC, NON-PROFIT, AND COMMERCIAL PARTNERS. 152443 55076 12082644 1 1 0 0 0 0 0 0 0 0 1 0 0 1 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 1 0 0 0 1 0 0 0 0 1 32 0 79 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 X 7 5 0 0 1 0 0 0 0 1 1 0 0 0 1 1 0 1 1 1 1 0 X SUZAN SNODGRASS 2068586025 1616 EASTLAKE AVE E SUITE 400 SEATTLE WA 98102 COREY CASPER CEO, PRESIDENT 40.00 X X 626233 0 33881 SHELLY CROCKER RECEIVER THRU 02/22 40.00 X 0 0 0 PATRICK SOON-SHIONG BOARD MEMBER 0.50 X 0 0 0 DAVID KERR BOARD MEMBER 0.50 X 0 0 0 EDWARD MOCARSKI BOARD MEMBER 0.50 X 0 0 0 EDWARD HSU BOARD MEMBER 0.50 X 0 0 0 GLENDA GRAY BOARD MEMBER 0.50 X 0 0 0 RAOUL CONCEPCION BOARD MEMBER 0.50 X 0 0 0 JERRY KUO COO & CFO, TREASURER 40.00 X 336867 0 41555 CANDICE DECAIRE CHIEF STRATEGY OFFICER, SECRETARY 40.00 X 333957 0 30338 ANNA MARIE BECKMANN EVP, PRODUCT DEVELOPMENT 40.00 X 273578 0 35556 CHRISTOPHER FOX SENIOR VP OF FORMULATIONS 32.00 X 252186 0 46526 LINDA HAWKINS DIR. QUALITY ASSURANCE 40.00 X 196618 0 33642 ROBRICK SMITH DIR. INFORMATION TECHNOLOGY 40.00 X 191231 0 36622 DARREN KLEMKOW DIR. FACILITIES & PROCUREMENT 40.00 X 161337 0 30284 ALAN LEW SENIOR CLINICAL TRIAL MANAGER 40.00 X 164664 0 21066 LISA MCNEILL DIR. MANUFACTURING 40.00 X 160719 0 19786 JEFFREY GUDERIAN DIR. LABORATORY MANAGEMENT 40.00 X 151752 0 26407 HARNIK GULATI DIR. PROJECT MANAGEMENT 40.00 X 152224 0 17955 EMILY VOIGT PRINCIPAL SCIENTIST 40.00 X 147121 0 37150 ZACHARY SAGAWA DIR. CLINICAL RESEARCH & REG. AFFAIRS 40.00 X 141190 0 31325 JOHN ARGERIOUS ASSOCIATE DIRECTOR, BUSINESS ADMIN 40.00 X 129738 0 26833 DAMON PANG CORPORATE COUNSEL 40.00 X 129630 0 26800 LISA BOUCHARD DIR. QUALITY CONTROL 36.00 X 128590 0 22109 3677635 0 517835 24 0 1 0 DANIEL J EDELMAN INC 21992 NETWORK PLACE CHICAGO IL 606731219 STRATEGY CONSULTANTS 411272 NEWPORT IP LLC 1400 112TH AVE SE SUITE 100 BELLEVUE WA 98004 LEGAL 227391 THE PETRIZZO GROUP INC 601 NEW JERSEY AVENUE NW STE 830 WASHINGTON DC 20001 STRATEGY CONSULTANTS 180000 CAIRNCROSS & HEMPELMANN 524 SECOND AVENUE SUITE 500 SEATTLE WA 98104 LEGAL 170116 LYOPHILIZATION TECHNOLOGY INC 30 INDIAN DRIVE IVYLAND PA 18974 DEVELOPMENT SCIENCES 166733 11 6074232 27345876 1042300 33420108 SERVICES AND CONTRACTS 541700 12694920 12694920 LICENSING 541700 4691574 4691574 17386494 43387 43387 820481 624445 196036 196036 30750 165286 18600 0 18600 18600 18600 LITIGATION SETTLEMENT 900099 100000 100000 PATENT FEES REIMB. 900099 13393 13393 REFUNDS 900099 7435 7435 801 801 121629 51186254 17386494 30750 348902 3400903 1382499 2018404 4863246 2719742 2143504 175111 88488 86623 602935 299680 303255 609824 303014 306810 808600 99646 708954 603926 603926 238612 238612 1082828 1078428 4400 163992 71140 92852 383841 383841 164387 164387 2092143 1598594 493549 61452 3421 58031 9160 1400 7760 1499826 750977 748849 159036 159036 SUBCONTRACTS 2202675 2202675 LAB SUPPLIES 1359958 1184033 175925 REPAIRS & MAINTENANCE 366981 226946 140035 BAD DEBT 200000 200000 313021 71961 241060 21362457 12082644 9279813 0 1775321 5799234 3926335 1116207 0 16839707 3819586 4108085 403319 746871 117856 651552 20838047 15215811 6089828 5622236 96354 1090104 0 6866481 16228599 42840477 2806166 1566507 5299953 2788673 1925000 0 9948219 12572532 19979338 16927712 X -3750739 9076058 0 16836707 -3750739 25912765 16228599 42840477 X 29823797 -160293 X X 0 1 X 1 1 1 X 14143765 11251999 3584439 6701932 33420108 69102243 14143765 11251999 3584439 6701932 33420108 69102243 26000959 43101284 45438 13436 532 622450 833118 1514974 12382 15171 27553 -536 -13 193881 5587477 121629 5902438 76547208 65900532 0.56310 0.81660 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2020 AMOUNT: $ 5,857. 2021 AMOUNT: $ 13,195. 2022 AMOUNT: $ 801. REIMBURSEMENTS - 2020 AMOUNT: $ 121,334. 2021 AMOUNT: $ 22,534. 2022 AMOUNT: $ 13,393. CURRENCY EXCHANGE - 2018 AMOUNT: $ -536. 2019 AMOUNT: $ -13. REFUNDS - 2020 AMOUNT: $ 66,690. 2021 AMOUNT: $ 19,248. 2022 AMOUNT: $ 7,435. LITIGATION SETTLEMENT - 2021 AMOUNT: $ 5,532,500. 2022 AMOUNT: $ 100,000. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 11377971 7403575 3974396 9460076 7812236 1647840 5622236 RIGHT-OF-USE ASSET 6866481 6866481 OPERATING LEASE LIABILITY 12572532 12572532 51467419 -160293 -164387 -324680 51792099 -605845 -605845 51186254 21803915 605845 605845 21198070 164387 164387 21362457 PART XI, LINE 2D - OTHER ADJUSTMENTS: ROYALTIES EXPENSE REPORTED ON PART IX -164,387. PART XI, LINE 4B - OTHER ADJUSTMENTS: GAIN/LOSS ON SALE OF ASSET REPORTED ON PART VIII 18,600. SUBLEASE EXPENSE REPORTED ON PART VIII -624,445. PART XII, LINE 2D - OTHER ADJUSTMENTS: GAIN/LOSS ON SALE OF ASSET REPORTED ON PART VIII -18,600. SUBLEASE EXPENSE REPORTED ON PART VIII 624,445. PART XII, LINE 4B - OTHER ADJUSTMENTS: ROYALTIES EXPENSE REPORTED ON PART IX 164,387. EAST ASIA AND THE PACIFIC 0 0 LEGAL N/A 39560 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 LEGAL N/A 74203 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE SUBCONTRACT, SUPPLIES, SOFTWARE 255453 MIDDLE EAST AND NORTH AFRICA 0 0 LEGAL N/A 9628 NORTH AMERICA 0 0 PROGRAM SERVICE SUBCONTRACT, SUPPLIES 207956 NORTH AMERICA 0 0 LEGAL N/A 8233 RUSSIA AND NEIGHBORING STATES 0 0 LEGAL N/A 2367 SOUTH AMERICA 0 0 LEGAL N/A 11687 SOUTH ASIA 0 0 LEGAL N/A 32410 SUB-SAHARAN AFRICA 0 0 LEGAL N/A 3514 0 0 0 0 0 0 609087 35924 645011 1 0 0 0 0 0 PART III ACCOUNTING METHOD: SCHEDULE F, PART IV, LINE 1: FORM 926 IS NOT REQUIRED TO BE FILED BECAUSE THE TRANSFER TO A FOREIGN CORPORATION DOES NOT MEET THE REPORTING REQUIREMENTS IN THE IRC SEC. 6038(A)(1)(A). 1 X X X 0 0 0 0 0 0 0 1 0 COREY CASPER CEO, PRESIDENT 525375 0 44625 0 56233 0 8612 0 25269 0 660114 0 0 0 JERRY KUO COO & CFO, TREASURER 334867 0 0 0 2000 0 10652 0 30903 0 378422 0 0 0 CANDICE DECAIRE CHIEF STRATEGY OFFICER, SECRETARY 331957 0 0 0 2000 0 10414 0 19924 0 364295 0 0 0 ANNA MARIE BECKMANN EVP, PRODUCT DEVELOPMENT 261785 0 11588 0 205 0 10945 0 24611 0 309134 0 0 0 CHRISTOPHER FOX SENIOR VP OF FORMULATIONS 192868 0 59113 0 205 0 10305 0 36221 0 298712 0 0 0 LINDA HAWKINS DIR. QUALITY ASSURANCE 188004 0 8411 0 203 0 8025 0 25617 0 230260 0 0 0 ROBRICK SMITH DIR. INFORMATION TECHNOLOGY 182842 0 8186 0 203 0 5858 0 30764 0 227853 0 0 0 DARREN KLEMKOW DIR. FACILITIES & PROCUREMENT 154384 0 6750 0 203 0 6568 0 23716 0 191621 0 0 0 ALAN LEW SENIOR CLINICAL TRIAL MANAGER 157508 0 6953 0 203 0 6677 0 14389 0 185730 0 0 0 EMILY VOIGT PRINCIPAL SCIENTIST 140865 0 6048 0 208 0 6345 0 30805 0 184271 0 0 0 LISA MCNEILL DIR. MANUFACTURING 153818 0 6698 0 203 0 6475 0 13311 0 180505 0 0 0 JEFFREY GUDERIAN DIR. LABORATORY MANAGEMENT 145069 0 6480 0 203 0 2518 0 23889 0 178159 0 0 0 ZACHARY SAGAWA DIR. CLINICAL RESEARCH & REG. AFFAIR 134943 0 6030 0 217 0 5588 0 25737 0 172515 0 0 0 HARNIK GULATI DIR. PROJECT MANAGEMENT 145532 0 6489 0 203 0 5448 0 12507 0 170179 0 0 0 JOHN ARGERIOUS ASSOCIATE DIRECTOR, BUSINESS ADMIN 123958 0 5562 0 218 0 5307 0 21526 0 156571 0 0 0 DAMON PANG CORPORATE COUNSEL 123787 0 5625 0 218 0 5473 0 21327 0 156430 0 0 0 LISA BOUCHARD DIR. QUALITY CONTROL 127922 0 450 0 218 0 5312 0 16797 0 150699 0 0 0 PART I, LINE 1B THE CEO APPROVED THE PROVISION OF THIS BENEFIT. PART I, LINE 7 BONUS AMOUNTS FOR THE EXECUTIVE TEAM ARE DETERMINED BY THE BOARD OF DIRECTORS. THE EXECUTIVE DETERMINES BONUS AMOUNTS FOR ALL OTHER STAFF. IMMUNITY BIO BOARD MEMBER >35% OWNER OF THE ORGANIZATION 6009977 ANNUAL LICENSING AGREEMENT, CONTRACT SERVICES, PRODUCT & MATERIALS PROCEEDS 0 X 1 1000000 FAIR MARKET VALUATION X LAB EQUIPMENT 6 42300 COST 0 0 0 0 PART I, COLUMN (B): THE AMOUNT IN COLUMN (B) REPRESENTS THE NUMBER OF ITEMS RECEIVED. FORM 990, PART I, LINE 6: ACCESS TO ADVANCED HEALTH INSTITUTE HAD FIVE VOLUNTEER BOARD MEMBERS IN 2022. FORM 990, PART VI, SECTION A, LINE 4 THE ORGANIZATION CAME OUT OF RECEIVERSHIP IN FEBRUARY OF 2022. THE ORGANIZATION FORMALLY CHANGED IT'S NAME AND DRAFTED AND APPROVED NEW GOVERNING DOCUMENTS INCLUDING ARTICLES OF INCORPORATON AND BYLAWS. FORM 990, PART VI, SECTION B, LINE 11B A DRAFT OF THE FORM 990 IS REVIEWED BY THE COO & CFO AND DIRECTOR OF FINANCE. IN ADDITION, THE CHAIR OF THE FINANCE AND AUDIT COMMITTEE WILL REVIEW PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD ESTABLISHED A COMPENSATION COMMITTEE AND A COMPENSATION POLICY. COMPENSATION FOR THE CEO IS REVIEWED AND SET BY THE BOARD AFTER REVIEWING KEY PERFORMANCE INDICATORS FOR THE ORGANIZATION. THE CEO REVIEWS AND SETS THE WAGES TO THE OTHER EXECUTIVE TEAM MEMBERS. FORM 990, PART VI, SECTION C, LINE 19 REQUESTS FOR INFORMATION SUCH AS AUDITED FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICY ARE HANDLED THROUGH OUR FINANCE DEPARTMENT AND INFORMATION IS DISTRIBUTED AS REQUESTED UNLESS CONFIDENTIAL IN NATURE. FORM 990, PART XI, LINE 9: PRESENT VALUE ADJUSTMENT TO PLEDGE RECEIVABLE -160,293. FORM 990, PART XII, LINE 2C: THE ORGANIZATION EXITED RECEIVERSHIP AND FORMED A BOARD AND FINANCE AND AUDIT COMMITTEE. TIGER DEVELOPMENT LLC 3800 N CENTRAL AVE 460 PHOENIX AZ 85010 PATENT HOLDING COMPANY AZ 0 1000000 ACCESS TO ADVANCED HEALTH INSTITUTE