2022-11-15T15:08:30-06:00 2021-12-31 911194016 CLARK NUBER PS 10900 NE 4TH STREET SUITE 1400 BELLEVUE WA 98004 990 2021-01-01 911608978 ACCESS TO ADVANCED HEALTH INSTITUTE ACCE 2063810883 1616 EASTLAKE AVE E 400 SEATTLE WA 98102 JERRY KUO COO & CFO 2063810883 2022-11-14 1 JERRY KUO 999009999 MEGAN R RYAN P00737884 4254544919 2022-11-14 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z X INFECTIOUS DISEASE RESEARCH INSTITUTE JERRY KUO 1616 EASTLAKE AVE E 400 SEATTLE WA 98102 25818818 0 X WWW.IDRI.ORG X 1993 WA DEVELOP VACCINES, ADJUVANTS, DIAGNOSTICS & DRUGS TO PREVENT, DETECT & TREAT INFECTIOUS DISEASES OF GLOBAL IMPORTANCE. 1 0 65 0 25000 12382 3584439 6701932 10969518 12880960 -1719650 2746 508253 5672516 13342560 25258154 0 0 0 0 6532666 7522915 0 0 0 13282085 14774847 19814751 22297762 -6472191 2960392 13563097 16228599 19973185 19979338 -6410088 -3750739 X AS A "NONPROFIT BIOTECH," AAHI COMBINES THE HIGH-QUALITY SCIENCE OF A RESEARCH ORGANIZATION WITH THE PRODUCT DEVELOPMENT CAPABILITIES OF A BIOTECH COMPANY TO CREATE NEW DIAGNOSTICS, DRUGS AND VACCINES FOR INFECTIOUS DISEASES AND IMPROVE THE HEALTH OF THE WORLD. 0 0 8007308 7640653 VACCINE RESEARCH - IDRI SCIENTISTS ARE DEVELOPING INNOVATIVE TECHNOLOGIES THAT ENABLE VACCINES WHICH ARE HIGHLY EFFECTIVE, DURABLE, AND ACCESSIBLE TO PEOPLE ACROSS THE GLOBE. THESE VACCINES HAVE FEATURES THAT MAKE THEM UNIQUELY SUITED FOR THE PREVENTION OF INFECTIOUS DISEASE (INCLUDING PANDEMICS), CANCER AND ALLERGIC DISEASES, AND CAN ALSO BE USED AS THERAPEUTIC AGENTS. CURRENT TARGETS INCLUDE COVID-19, INFLUENZA, TUBERCULOSIS, HIV, ZIKA, YELLOW FEVER, LEPROSY, LEISHMANIASIS, AND CHIKUNGUNYA. IDRI SCIENTISTS ARE DEVELOPING AND MANUFACTURING NEXT GENERATION VACCINES INCLUDING THOSE BASED ON RNA AND ADJUVANT PROTEIN PLATFORMS TO RESPOND QUICKLY WHEN DISEASE OUTBREAKS OCCUR. IDRI HAS A ROBUST PIPELINE OF NEW VACCINE CANDIDATES WHICH ARE MOVING SUCCESSFULLY THROUGH EARLY CLINICAL TRIALS. 2440538 849851 MANUFACTURING - IDRI HAS CREATED MANUFACTURING CAPABILITIES THAT ALLOW RAPID SCALE-UP AND PRODUCTION OF VACCINES FOR USE IN PHASE 1 AND PHASE 2 CLINICAL TRIALS AND COMPLETES IDRI'S UNIQUE VACCINE DISCOVERY-DEVELOPMENT PROCESS. WHEN IDRI SCIENTISTS IDENTIFY A VACCINE CANDIDATE IN THE LABORATORY, THIS MANUFACTURING CAPABILITY ENABLES THEM TO APPLY THAT DISCOVERY BY PRODUCING VACCINES UNDER CONTROLLED CONDITIONS SO THAT THEY ARE SUITABLE FOR USE IN HUMAN STUDIES. THIS ENABLES IDRI TO MOVE A VACCINE FROM LATE-STAGE RESEARCH TO EARLY CLINICAL STUDIES. IDRI'S MANUFACTURING SUITE IS "GOOD MANUFACTURING PRACTICE" (GMP)-CERTIFIED AND IS AN INVALUABLE RESOURCE TO IDRI SCIENTISTS AND BIOTECHNOLOGY DEVELOPERS IN THE NON-PROFIT, ACADEMIC, AND FOR-PROFIT SECTORS. 1666830 1816394 IDRI'S CLINICAL GROUP DESIGNS AND CONDUCTS EARLY-STAGE CLINICAL TRIALS TO TEST THE VACCINE CANDIDATES IDENTIFIED BY IDRI SCIENTISTS OR COLLABORATORS. THROUGH OUR NETWORK OF GLOBAL COLLABORATIONS AND WITH DEEP KNOWLEDGE OF REGULATORY PROCESSES AND PROCEDURES IN THE US AND FOREIGN COUNTRIES, THE CLINICAL TEAM IS ABLE TO LAUNCH CLINICAL TRIALS ALMOST ANYWHERE IN THE WORLD. 92641 2040347 PROCESS AND PRODUCT DEVELOPMENT - MODERN VACCINES ARE INCREASINGLY COMPLEX, AND THEIR DESIGN NEEDS TO BE TAILORED TO SUIT A SPECIFIC SET OF TARGET PRODUCT PROFILES. FOR EXAMPLE, VACCINES FOR GLOBAL HEALTH APPLICATIONS IN RESOURCE-LIMITED SETTINGS OFTEN NEED TO BE STABLE AT ROOM TEMPERATURES, AND VACCINES DIRECTED AT RESPIRATORY PATHOGENS OR DESIGNED FOR USE IN POPULATIONS WITH VACCINE HESITANCY MAY BEST BE DELIVERED INTRA-NASALLY. IDRI SCIENTISTS ARE WORLD-EXPERTS AT DEVELOPING PROCESSES FOR VACCINE MANUFACTURE OR ADVANCING NOVEL PRODUCTS THAT MEET THE NEEDS OF VACCINE DEVELOPERS BOTH WITHIN IDRI AND EXTERNALLY AMONG THE DOZENS OF ACADEMIC, NON-PROFIT, AND COMMERCIAL PARTNERS. 929828 533715 ADJUVANT RESEARCH - ADJUVANTS ARE POWERFUL SYNTHETIC SUBSTANCES WHICH CAN BE ADDED TO VACCINES TO ENHANCE THE QUANTITY, QUALITY, DIVERSITY, AND DURATION OF THE BODY'S IMMUNE RESPONSE. IDRI SCIENTISTS ARE PIONEERS IN OPTIMIZING ADJUVANT AND VACCINE FORMULATIONS AND IDRI POSSESS THE WORLD'S LEADING PORTFOLIO OF ADJUVANT FORMULATIONS. IDRI SCIENTISTS HAVE DEVELOPED MOLECULES THAT STIMULATE AN EARLY WARNING IN THE BODY'S IMMUNE SYSTEM CAUSING A POWERFUL, BROAD IMMUNE RESPONSE TO DEFINED ANTIGENS. THEY ARE FOCUSING ON HOW THAT STIMULATION TRANSLATES INTO BROAD PROTECTIION AGAINST VARIOUS PATHOGENS AND HELPS REDUCE THE REQUIRED VACCINE DOSE AND NUMBER OF SHOTS A PATIENT MAY NEED. IDRI'S DEEP EXPERIENCE IN ADJUVANT DEVELOPMENT PROVIDES A UNIQUE DEPTH OF KNOWLEDGE OF REGULATORY REQUIREMENTS OF BOTH US AND FOREIGN REGULATORY AGENCIES. 1022469 2574062 13137145 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 24 0 65 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 0 0 0 X JERRY KUO 2068586025 1616 EASTLAKE AVE E SUITE 400 SEATTLE WA 98102 COREY CASPER CEO 40.00 X 438281 0 18667 CANDICE DECAIRE CHIEF STRAT. OFFICER & GEN. COUNS. 40.00 X 265625 0 22512 NEIL O'CONNOR CFO & COO THRU 12/21 32.00 X 255208 0 30003 ANNA MARIE BECKMANN EVP, PRODUCT DEVELOPMENT 40.00 X 254688 0 30214 CHRISTOPHER FOX SENIOR VP, FORMULATIONS 40.00 X 229746 0 32109 LINDA HAWKINS DIR., QUALITY ASSURANCE & COMP. 40.00 X 183056 0 27270 ROBRICK SMITH DIR., INFORMATION TECHNOLOGY 40.00 X 179933 0 28132 ERIK LAURSEN DIR., GMP OPERATIONS 32.00 X 146700 0 16713 LISA MCNEILL DIR., MANUFACTURING 40.00 X 145207 0 17244 HARNIK GULATI DIR., STRATEGY & PRGRM MANAGEMENT 40.00 X 142625 0 16739 DARREN KLEMKOW DIR., FACILITIES & PROCUREMENT 40.00 X 141750 0 27533 JEFFREY GUDERIAN DIR., LABORATORY MANAGEMENT 40.00 X 139245 0 19148 JERRY KUO COO & CFO 40.00 X 17817 0 0 SHELLY CROCKER RECEIVER 40.00 X 0 0 0 2539881 0 286284 21 0 1 0 FHI CLINICAL INC 359 BLACKWELL ST STE 200 DURHAM NC 27701 CLINICAL SERVICES 1831389 SHELLY CROCKER LLC 4616 25TH AVENUE NE 401 SEATTLE WA 98105 RECEIVERSHIP 907150 CAIRNCROSS & HEMPELMANN 524 SECOND AVE STE 500 SEATTLE WA 98104 LEGAL 573667 ADVANCED BIOSCIENCE LABORATORIES INC PO BOX 504705 SAINT LOUIS MO 631504705 CLINICAL SERVICES 544290 MCNAUL EBEL NAWROT & HELGREN PLLC ONE UNION SQUARE 600 UNIVERSITY ST SEATTLE WA 981013143 LEGAL 351231 20 6670906 31026 6701932 SERVICES AND CONTRACTS 541700 6736651 6736651 LICENSING 541700 6144309 6144309 12880960 1746 1746 645704 560664 85040 85040 25000 60040 1000 0 1000 1000 1000 LITIGATION SETTLEMENT 900099 5532500 5532500 PATENT FEES REIMB. 900099 22534 22534 REFUNDS 900099 19248 19248 13194 13194 5587476 25258154 12880960 25000 5650262 2013261 757083 1256178 4291537 3367772 923765 141927 108478 33449 601188 416877 184311 475002 313406 161596 1448382 1448382 2702140 2702140 274598 274598 1356402 1222346 134056 17588 2481 15107 365952 42486 323466 83940 83940 1818458 1389081 429377 3238 3238 1769 1169 600 33713 33713 1686559 939264 747295 95679 95679 SUBCONTRACTS 2881078 2881078 LAB SUPPLIES 1329652 1329652 REPAIRS & MAINTENANCE 399048 307937 91111 SHIPPING 45583 44235 1348 231068 13800 217268 22297762 13137145 9160617 0 675602 1775321 1587211 3926335 3268294 3819586 391189 403319 154808 117856 19985486 13895658 7383389 6089828 102604 96354 13563097 16228599 3996647 2806166 5341627 5299953 919046 0 1927711 1925000 7788154 9948219 19973185 19979338 X -7294061 -3750739 883973 0 -6410088 -3750739 13563097 16228599 2960392 -301043 0 X X 0 0 1 0 X 11656120 14143765 11251999 3584439 6701932 47338255 11656120 14143765 11251999 3584439 6701932 47338255 2569007 44769248 941071 45438 13436 532 622450 1622927 12382 12382 70307 -536 -13 193881 5587477 5851116 54824680 59673599 0.81660 0.89840 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2017 AMOUNT: $ 70,307. 2020 AMOUNT: $ 5,857. 2021 AMOUNT: $ 13,195. REIMBURSEMENTS - 2020 AMOUNT: $ 121,334. 2021 AMOUNT: $ 22,534. CURRENCY EXCHANGE - 2018 AMOUNT: $ -536. 2019 AMOUNT: $ -13. REFUNDS - 2020 AMOUNT: $ 66,690. 2021 AMOUNT: $ 19,248. LITIGATION SETTLEMENT - 2021 AMOUNT: $ 5,532,500. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 11377971 6643901 4734070 8607515 7251757 1355758 6089828 DEFERRED RENT 6696199 RECEIVERSHIP SETTLEMENTS PAYABLE 3252020 9948219 EAST ASIA AND THE PACIFIC 0 0 LEGAL N/A 28814 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE SUBCONTRACT, CLINICAL SUPPLIES 142371 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 LEGAL N/A 44622 MIDDLE EAST AND NORTH AFRICA 0 0 LEGAL N/A 2008 NORTH AMERICA 0 0 PROGRAM SERVICE SUBCONTRACT 183000 NORTH AMERICA 0 0 LEGAL N/A 8426 RUSSIA AND NEIGHBORING STATES 0 0 LEGAL N/A 5930 SOUTH AMERICA 0 0 LEGAL N/A 10100 SOUTH ASIA 0 0 LEGAL N/A 8049 SUB-SAHARAN AFRICA 0 0 LEGAL N/A 220 0 0 0 0 0 0 425271 8269 433540 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). X 0 0 0 0 0 0 0 0 0 COREY CASPER CEO 438281 0 0 0 0 0 10997 0 7670 0 456948 0 0 0 CANDICE DECAIRE CHIEF STRAT. OFFICER & GEN. COUNS. 265625 0 0 0 0 0 9984 0 12528 0 288137 0 0 0 NEIL O'CONNOR CFO & COO THRU 12/21 255208 0 0 0 0 0 10208 0 19795 0 285211 0 0 0 ANNA MARIE BECKMANN EVP, PRODUCT DEVELOPMENT 254688 0 0 0 0 0 10188 0 20026 0 284902 0 0 0 CHRISTOPHER FOX SENIOR VP, FORMULATIONS 229746 0 0 0 0 0 9844 0 22265 0 261855 0 0 0 LINDA HAWKINS DIR., QUALITY ASSURANCE & COMP. 183056 0 0 0 0 0 7322 0 19948 0 210326 0 0 0 ROBRICK SMITH DIR., INFORMATION TECHNOLOGY 179933 0 0 0 0 0 5398 0 22734 0 208065 0 0 0 ERIK LAURSEN DIR., GMP OPERATIONS 146700 0 0 0 0 0 0 0 16713 0 163413 0 0 0 LISA MCNEILL DIR., MANUFACTURING 145207 0 0 0 0 0 5808 0 11436 0 162451 0 0 0 HARNIK GULATI DIR., STRATEGY & PRGRM MANAGEMENT 142625 0 0 0 0 0 4992 0 11747 0 159364 0 0 0 DARREN KLEMKOW DIR., FACILITIES & PROCUREMENT 141750 0 0 0 0 0 5670 0 21863 0 169283 0 0 0 JEFFREY GUDERIAN DIR., LABORATORY MANAGEMENT 139245 0 0 0 0 0 2400 0 16748 0 158393 0 0 0 PART I, LINE 3 SHELLY CROCKER LLC REVIEWED/ESTABLISHED COMPENSATION OF CEO. SHELLY CROCKER LLC 35% CONTROLLED ENTITY 907150 RECEIVERSHIP FEES. SHELLY CROCKER LLC WAS APPOINTED RECEIVER OVER IDRI ON JANUARY 2, 2020, BY THE KING COUNTY SUPERIOR COURT, CASE NO. 20-2-00183-0 SEA. ALL PAYMENTS TO SHELLY CROCKER LLC HAVE BEEN SUBJECT TO COURT OVERSIGHT. 0 FORM 990, PART VI, SECTION A, LINE 1A THE COMPANY WAS IN RECEIVERSHIP. THE RECEIVER WAS PAID FOR THEIR SERVICES, AND THE RECEIVER WAS THE GOVERNING PERSON FOR THE COMPANY. FORM 990, PART VI, SECTION A, LINE 8A DURING 2021 THE RECEIVER HAD FINAL AUTHORITY. NOTES WERE KEPT OF EXECUTIVE LEADERSHIP TEAM MEETINGS. FORM 990, PART VI, SECTION A, LINE 8B DURING 2021 THE RECEIVER HAD FINAL AUTHORITY. NOTES WERE KEPT OF EXECUTIVE LEADERSHIP TEAM MEETINGS. FORM 990, PART VI, SECTION B, LINE 11B A DRAFT OF THE FORM 990 IS REVIEWED BY THE COO & CFO FOR REVIEW AND COMMENT. FORM 990, PART VI, SECTION B, LINE 12C MEMBERS OF SENIOR MANAGEMENT ARE GIVEN A COPY OF THE CONFLICT OF INTEREST POLICY. THEY ARE REQUIRED TO FILL IT OUT AND RETURN IT IN THE FIRST QUARTER. THE CHIEF OPERATING OFFICER AND GENERAL COUNSEL REVIEW THE QUESTIONNAIRES AND SUMMARIZES THE RESULTS. THE RESULTS ARE COMMUNICATED TO THE RECEIVER. TO THE EXTENT THAT THERE ARE ANY CONFLICTS, THE MEMBER IS RECUSED FROM ANY DECISION MAKING THAT WOULD INCLUDE THE CONFLICT. WHEN THE OCCASION ARISES, THOSE MEMBERS ALSO REMIND THE MANAGEMENT TEAM THAT THERE IS A POTENTIAL CONFLICT WHEN SPECIFIC DISCUSSION TOPICS ARISE. AS PART OF BECOMING A COURT-APPOINTED RECEIVER IN A RECEIVERSHIP, THE RECEIVER MUST CONFIRM THAT THE RECEIVER HAS NO CONFLICTS OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE RECEIVER REVIEWED AND APPROVED THE COMPENSATION AND ANY COMPENSATION CHANGES OF ALL EMPLOYEES. 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 XII, LINE 2B: THE ORGANIZATION IS UNDERGOING A FINANCIAL STATEMENT AUDIT BUT IT WILL NOT BE COMPLETE AT THE TIME OF FILING THE FORM 990.