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Opportunities 40.0 0.0 X 329042 0 12647 Sunil Sharma Deputy Dir of Clinic. Sciences 40.0 0.0 X 529255 0 12834 Daniel Von Hoff Physician in Chief 40.0 0.0 X 740017 0 68930 Thomas Royce Ashion Executive Director 40.0 0.0 X 323476 0 9823 Janine Lobello Ashion Clinical Lab Director 40.0 0.0 X 257228 0 4072 Johanna DiStefano Professor 40.0 0.0 X 246100 0 3619 Kendall Jensen Professor 40.0 0.0 X 244491 0 14229 David Duggan Associate Professor 40.0 0.0 X 229194 0 14291 Cornelis Van Den Berg Former Treasurer 0.0 60.0 X 0 781103 32318 4653839 6943410 1098609 63 true true false Ashion Analytics LLC 445 N 5th Street Suite 100 Phoenix AZ 85004 Laboratory services 5134987 PriceWaterhouseCoopers LLP PO Box 514038 Los Angeles CA 90051 Legal services 272142 Booth Udall PLC 1255 W Rio Salado Pkwy Suite 215 Tempe AZ 85281 Legal services 243469 FirstStrategic 300 W Clarendon Ave Suite 460 Phoenix AZ 85013 Consulting services 216580 ASG Group LLC 30 Poverty Road Southbury CT 06488 Consulting services 168000 10 34472187 7133988 20737403 237067 62343578 RESEARCH CONTRACTS 541711 17942426 17942426 0 0 17942426 219023 219023 0 0 2936797 6312551 -3375754 0 -3375754 -3375754 1424298 206461 1348149 21711 76149 184750 260899 260899 0 0 0 0 0 0 0 0 0 ALL OTHER REVENUE 900099 38376 38376 0 0 38376 77428548 17980802 0 -2895832 X 0 0 0 0 0 0 0 0 3939371 1374797 2564574 0 0 0 0 0 22251338 15294028 6957310 0 779315 494925 284390 0 1768611 1117493 651118 0 1636694 757605 879089 0 0 0 0 0 487795 0 487795 0 53738 5641 48097 0 129600 0 129600 0 0 0 47469 0 47469 0 10364129 10125684 238445 0 270240 6960 263280 0 12308256 11710175 598081 0 1798924 1573136 225788 0 0 0 0 0 424420 178113 246307 0 743976 389426 354550 0 0 0 0 0 468557 141582 326975 0 85749 15418 70331 0 0 0 0 0 6494360 3833130 2661230 0 400087 72703 327384 0 DUES & SUBSCRIPTIONS 155923 21406 134517 0 RECRUITMENT 143330 70484 72846 0 RELOCATION 48932 15857 33075 0 ALL OTHER EXPENSES 72008 65437 6571 0 64872822 47264000 17608822 0 0 8456670 14053892 10206319 6122458 5268723 11990764 103619 1135090 0 175000 0 0 228824 0 0 1206243 1636119 1311887 75731075 12379512 56197976 63351563 0 0 0 0 1627867 1627867 9143309 9118329 43150489 30798622 136019915 140891715 10223096 9342928 0 0 6704584 3286229 0 0 639298 426199 50000 50000 47305399 43944912 50000 50000 1210502 1382661 66182879 58482929 X 59568626 72631994 10268410 9776792 0 0 69837036 82408786 136019915 140891715 12555726 16024 0 0 0 0 X false true X true true true X 21230401 67494504 17588654 31879587 62347907 200541053 0 0 21230401 67494504 17588654 31879587 62347907 200541053 10330675 190210378 138143 143205 109024 4179409 3155820 7725601 0 5677144 5677144 213943798 93337920 0.88907 0.82970 X SCHEDULE A, PART II THE AMOUNTS INCLUDED IN SCHEDULE A, PART II CORRESPOND TO THE FOLLOWING PERIODS: COLUMN (E) 2018: 10/01/2018-09/30/2019 COLUMN (D) 2017: 10/01/2017-09/30/2018 COLUMN (C) 2016: 01/01/2017-09/30/2017 (SHORT PERIOD) COLUMN (B) 2015: 01/01/2016-12/31/2016 COLUMN (A) 2014: 01/01/2015-12/31/2015 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false false false true 129600 129600 false SCHEDULE C, PART II-B, LINE 1I THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN) USES A THIRD PARTY COMMUNICATIONS AND PUBLIC AFFAIRS FIRM TO COORDINATE LOBBYING EFFORTS ON BEHALF OF TGEN THROUGH COMMUNICATIONS TO LOCAL GOVERNMENT, LEGISLATIVE AND FEDERAL OFFICIALS AND COMMUNITY LEADERS ON TGEN ACTIVITIES. false true X 5088052 1373720 227248 502735 6186285 5355690 75833 182488 525959 5088052 5258044 46076 525676 4658 469448 5355690 5384983 374012 500951 5258044 6125475 -202653 537839 5384983 0.00000 0.24440 0.75560 false true true 1803635 1803635 45642120 2842942 42799178 3228202 1147242 2080960 21849657 7571015 14278642 3207461 818313 2389148 63351563 DUE FROM CITY OF HOPE 21196713 DUE FROM TGEN FOUNDATION 8412737 INVESTMENT IN 457(B) PLAN 1189172 30798622 0 DUE TO EMPLOYEE 457(B) PLAN 1189172 DEFERRED RENT 193489 1382661 X 0 0 0 0 0 0 0 0 0 0 0 0 Schedule D, Part IV, Line 2B CERTAIN TENANT RENTAL OVER PAYMENTS WERE TRANSFERRED IN THE OCTOBER 2017 BUILDING TRANSACTION WITH THE CITY OF PHOENIX. PER THE TENANT LEASES, AMOUNTS WILL BE PAID IN CASH AND CREDITS OVER A FOUR YEAR PERIOD ENDING IN SEPT 2021. SCHEDULE D, PART V, LINE 4 TGEN'S POLICY FOR APPROPRIATING THE DISTRIBUTION OF ITS SUMMER INTERNSHIP PROGRAM ENDOWMENT HAS BEEN DESIGNED TO SUPPORT A SPECIFIC NUMBER OF SUMMER INTERNS EACH YEAR FOR 25 YEARS. THE INSTITUTE CONSIDERED THE LONG-TERM EXPECTED RETURN ON ITS ENDOWMENT. TGEN FOUNDATION CLASSIFIES AS PERMANENTLY RESTRICTED NET ASSETS (1) THE ORIGINAL VALUE OF THE GIFT DONATED TO THE PERMANENT ENDOWMENT, (2) THE ORIGINAL VALUE OF SUBSEQUENT GIFTS DONATED TO THE PERMANENT ENDOWMENT, AND (3) ACCUMULATIONS TO THE PERMANENT ENDOWMENT MADE IN ACCORDANCE WITH THE DIRECTION OF THE APPLICABLE DONOR GIFT INSTRUMENT. TGEN FOUNDATION HAS A TEMPORARILY RESTRICTED ASSET WHICH HAS BEEN DESIGNED TO SUPPORT A SUMMER INTERN EACH YEAR AT TGEN. TGEN FOUNDATION'S POLICY FOR APPROPRIATING THE DISTRIBUTION OF ITS SUMMER INTERNSHIP PROGRAM ENDOWMENT HAS BEEN DESIGNED TO SUPPORT A GRANT TO TGEN FOR AN INTERN EACH YEAR FOR 20 YEARS. THE FOUNDATION CONSIDERED THE LONG-TERM EXPECTED RETURN ON ITS ENDOWMENT. TGEN FOUNDATION HAS A RESTRICTED ASSET FOR THE ESTABLISHMENT OF AN ENDOWED CHAIR IN BRAIN CANCER RESEARCH. TGEN FOUNDATION ALSO HAS A RESTRICTED ASSET WHICH ALLOWS THEM TO USE ANY INVESTMENT INCOME FOR OPERATING EXPENSES. SCHEDULE D, PART X, LINE 2 TGEN AND THE FOUNDATION ARE EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE U.S. INTERNAL REVENUE CODE. TGEN AND THE FOUNDATION ARE EXEMPT FROM ARIZONA CORPORATE INCOME TAX UNDER SECTION 43-1201(A) OF THE ARIZONA REVISED STATUTES (A.R.S.) ACCORDINGLY, NO PROVISION FOR INCOME TAX IS INCLUDED IN THE ACCOMPANYING CONSOLIDATED FINANCIAL STATEMENTS. TGEN AND THE FOUNDATION HAVE NO SIGNIFICANT UNCERTAIN TAX POSITIONS OR TAX LIABILITY FOR TAX BENEFITS, INTEREST, OR PENALTIES ACCRUED AT SEPTEMBER 30, 2019. Europe (Including Iceland and Greenland) Program services Research services 120637 North America Program services Research services 60375 South Asia Program services Research services 23136 Russia and the Newly Independent States Program services Research services 240 Middle East and North Africa Program services Research services 95 204483 204483 false false false false false false SCHEDULE F, PART I, LINE 3, COLUMN (F) THE AMOUNTS REPORTED IN COLUMN (F) ARE DETERMINED BASED ON THE ACCRUAL METHOD OF ACCOUNTING. X X X X false true false false false false false true false Jeffrey M Trent PhD Board Member/Pres/Science Dir. 0 794935 0 140000 0 88928 0 22364 0 25478 0 1071705 0 0 Robert Stone BD & VICE CHRM/COH CEO & PRES. 0 1332774 0 1462909 0 106946 0 427364 0 36255 0 3366248 0 322334 Teresa Burleson Chief Operating Officer 468945 0 95744 0 1842 0 61538 0 9707 0 637776 0 0 0 Manuel Estrada CFO/Assistant Treasurer 267954 0 41845 0 725 0 0 0 10912 0 321436 0 0 0 James Lowey Chief Information Officer 230163 0 34766 0 1742 0 0 0 2150 0 268821 0 0 0 Stephanie McRae GENERAL COUNSEL/ASST SECRETARY 185381 0 27540 0 1627 0 0 0 13655 0 228203 0 0 0 Jennifer Parkhurst Treasurer/COH CFO 0 697794 0 410462 0 121977 0 54000 0 26629 0 1310862 0 0 Gregory Schetina Secretary/COH General Counsel 0 518551 0 443069 0 43962 0 141389 0 46408 0 1193379 0 111692 Michael Berens Deputy Director of Research 353149 0 36155 0 7458 0 33333 0 14664 0 444759 0 0 0 Timothy McDaniel Sr. VP of Emerg. 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Sciences 477808 0 49605 0 1842 0 0 0 12834 0 542089 0 0 0 Daniel Von Hoff Physician in Chief 699102 0 29190 0 11725 0 50000 0 18930 0 808947 0 0 0 Thomas Royce Ashion Executive Director 236822 0 86176 0 478 0 0 0 9823 0 333299 0 0 0 Janine Lobello Ashion Clinical Lab Director 256688 0 0 0 540 0 0 0 4072 0 261300 0 0 0 Johanna DiStefano Professor 235070 0 9840 0 1190 0 0 0 3619 0 249719 0 0 0 Kendall Jensen Professor 175570 0 67728 0 1193 0 0 0 14229 0 258720 0 43750 0 David Duggan Associate Professor 227401 0 0 0 1793 0 0 0 14291 0 243485 0 0 0 Cornelis Van Den Berg Former Treasurer 0 441999 0 193984 0 145120 0 23886 0 8432 0 813421 0 68842 SCHEDULE J, PART I, LINE 4B CERTAIN CITY OF HOPE'S EXECUTIVES PARTICIPATE IN THE CITY OF HOPE'S NON-QUALIFIED 457(F) EXECUTIVE SUPPLEMENTAL ACCUMULATION PLAN THAT IS DESIGNED AND MAINTAINED TO PROVIDE A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES WITH DEFERRED COMPENSATION. THE PLAN VESTS AFTER THREE (3) FISCAL YEARS OF SERVICES AND THE VESTED TOTALS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B (III). PRIOR TO VESTING, THE ANNUAL AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN C. PURSUANT TO THE PLAN DOCUMENTS, VESTED PARTICIPANTS ARE ENTITLED TO WITHDRAW FROM THEIR VESTED ACCOUNT AN AMOUNT EQUAL TO THE FEDERAL, STATE, LOCAL, AND FICA TAXES THEY OWE. THESE AMOUNTS ARE REMITTED TO THE APPROPRIATE TAXING AUTHORITIES ON BEHALF OF THE PARTICIPANTS. DURING THE CALENDAR YEAR ENDING DECEMBER 31, 2018, THE FOLLOWING INDIVIDUALS WITHDREW THE REFERENCED AMOUNTS TO COVER SUCH TAXES: ROBERT STONE $ 30,601 GREGORY SCHETINA $ 9,682 THESE AMOUNTS HAVE BEEN INCLUDED IN THE PARTICIPANTS INCOME ON SCHEDULE J, PART II, COLUMN B (III). SCHEDULE J, PART I, LINE 7 SOME OF TGENS OFFICERS AND KEY EMPLOYEES LISTED IN PART VII WERE PAID BONUSES WHICH WERE BASED ON ACCOMPLISHMENTS OF SPECIFIC MILESTONES AND/OR PERFORMANCE METRICS, AS APPROVED BY THE TGEN BOARD OF DIRECTORS. SCHEDULE J, PART II SOME OF TGENS OFFICERS AND KEY EMPLOYEES LISTED IN PART VII HAVE RETENTION AGREEMENTS THROUGH 2019, 2020 AND 2021. AMOUNTS ACCRUED BY TGEN DURING CALENDAR YEAR 2019 UNDER THESE AGREEMENTS HAVE BEEN REPORTED IN SCHEDULE J, PART II, COLUMN (C) AS DEFERRED COMPENSATION. BENNETT DORRANCE BOARD MEMBER SEE PART V X 50000 50000 false true true KENDALL JENSEN EMPLOYEE RELOCATION ASSIST. X 250000 175000 false true true 225000 TECH66 LLC WILLIAM BURLESON SPOUSE OF OFFICER 147290 CONSULTING FEES false SCHEDULE L, PART II, LINE 1, COLUMN (C) CAPITALIZE NEW ENTITY FORMED FOR BIOMARKER RESEARCH. X COMPUTER EQUIPMENT 1 84340 FMV X LAB EQUIPMENT & SUPPLIES 1 152727 FMV false true false SCHEDULE M, PART I, COLUMN (B) THE ORGANIZATION IS REPORTING IN PART I, COLUMN (B) THE NUMBER OF CONTRIBUTIONS RECEIVED. FORM 990, PART I, LINE 1 AND PART III, LINE 1 THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE (TGEN) IS A NONPROFIT BIOMEDICAL RESEARCH INSTITUTE FOCUSED ON DEVELOPING EARLIER AND SMARTER TREATMENTS BY EMPLOYING INNOVATIVE ADVANCES ARISING FROM THE HUMAN GENOME PROJECT AND APPLYING THEM TO THE DEVELOPMENT OF DIAGNOSTICS, PROGNOSTICS AND THERAPIES FOR CANCER, NEUROLOGICAL DISORDERS, DIABETES AND OTHER COMPLEX DISEASES. FORM 990, PART III, LINE 4A TGEN'S CLINICAL GENOMIC SEQUENCING IS PROVIDED THROUGH ASHION, A TGEN SPECIALTY LAB, ESTABLISHED IN 2011, WHICH IS A CAP ACCREDITED AND CLIA-CERTIFIED TESTING LABORATORY COMMITTED TO ACCELERATING THE ADOPTION OF PRECISION MEDICINE IN THE CARE STREAM. THE LABORATORY USES NEXT-GENERATION SEQUENCING TECHNOLOGY AND PROPRIETARY INFORMATICS SYSTEMS FOR ANALYSIS AND DRUG MATCHING. TUMOR/NORMAL SEQUENCING IS PERFORMED FOR ALL OF TGEN'S PRECISION MEDICINE ONCOLOGY TRIALS. THE LABORATORY ALSO PROVIDES GENOMIC SEQUENCING SERVICES FOR TGEN'S CENTER FOR RARE CHILDHOOD DISORDERS. THE TEST MENU INCLUDES CLIA-CERTIFIED EXOME AND RNA SEQUENCING. FORM 990, PART III, LINE 4B THE DIVISION OF INTEGRATED CANCER GENOMICS IS UTILIZING STATE-OF-THE-ART MOLECULAR TECHNOLOGIES TO UNCOVER THE MULTIPLE DIMENSIONS OF MOLECULAR CHANGES THAT OCCUR IN CANCER, AND INTEGRATE THESE DATASETS TO CAPTURE A HIGH-RESOLUTION IMAGE OF THE TUMOR MOLECULAR LANDSCAPE. AMONG ICG FACULTY, THE DIVISION BOASTS AN AMAZING ARRAY OF COMPETENCIES INCLUDING GENOMIC PROFILING USING VARIOUS TECHNOLOGIES THAT INCLUDE NEXT-GENERATION SEQUENCING INCLUDING SINGLE-CELL, EPIGENETICS, NEOANTIGEN ANALYSIS, CANCER CELL BIOLOGY AND BIOINFORMATICS. ACROSS THE VARIOUS LABORATORIES, WE STUDY A MULTITUDE OF ADULT AND PEDIATRIC CANCERS, TRYING TO UNDERSTAND THE EVENTS THAT DRIVE CANCER PROGRESSION FROM PRIMARY TO ADVANCED METASTATIC DISEASE IN ADDITION TO UNDERSTANDING WHY AND HOW CANCER AFFECTS INDIVIDUALS FROM DIFFERENT ETHNICITIES AND ANCESTRAL BACKGROUNDS. ICG FACULTY ALSO ARE INVOLVED IN APPLYING HIGH-RESOLUTION GENOMIC TECHNOLOGIES TO PATIENT SAMPLES IN REAL TIME, DURING CLINICAL MANAGEMENT, TO ASSIST ONCOLOGISTS IN MAKING THERAPEUTIC RECOMMENDATIONS FOR CANCER PATIENTS. ICG IS DIRECTLY AIMING ITS EFFORTS TO DRIVE EARLIER DIAGNOSTICS AND SMARTER TREATMENTS TOWARDS PATIENTS. FORM 990, PART III, LINE 4C THIS DIVISION HAS TWO MISSIONS INCLUDING: (A) ENABLE GENOMIC DISCOVERIES TO BE ACCELERATED TO CLINICAL EVALUATION THROUGH INNOVATIVE DESIGN STRATEGIES OF CLINICAL TRIALS. THE FOCUS IS ON THE DESIGN AND CONDUCT OF THE FIRST CLINICAL TRIALS OF NEW THERAPIES IN PEOPLE. APPROXIMATELY, TWO NEW AGENTS PER WEEK ARE BROUGHT TO OUR TEAM FOR DEVELOPMENT BY BASIC CANCER INVESTIGATORS, ACADEMIC INSTITUTIONS, AND BIOTECHNOLOGY TEAMS. (B) TO CURE PANCREATIC CANCER (THROUGH DEVELOPMENT OF NEW THERAPIES AND METHODS FOR EARLY DETECTION). THE TEAM HAS SUBSTANTIAL GRANT SUPPORT AND HAS SET NEW STANDARDS OF CARE FOR PATIENTS WITH ADVANCED PANCREATIC CANCER. FORM 990, PART III, LINE 4D TGEN SUMMARY OF 2019 ACTIVITIES TGEN PRODUCES SIGNIFICANT SCIENTIFIC AND MEDICAL PROGRESS ACROSS MULTIPLE AREAS THROUGH OUR CAPACITY TO UNDERSTAND AND LEVERAGE INFORMATION FROM THE GENOME. WITH THE AFFILIATION WITH CITY OF HOPE NEARING OUR THIRD FULL YEAR, TGEN AND CITY OF HOPE TOGETHER CONTINUE TO GROW AS NATIONAL AND INTERNATIONAL LEADERS IN THE TREATMENT OF DISEASE AND STRIVING TO QUICKLY BRING MEDICAL BENEFIT TO OUR PATIENTS. TGEN'S CLINICAL RESEARCH AND CLINICAL TRIAL PROJECTS WITH CITY OF HOPE EXTEND ACROSS A NUMBER OF AREAS AND CANCER TYPES, INCLUDING TREATMENT OF A VARIETY OF CANCER TYPES AND TUMORS WITH NEW CHEMICAL AGENTS, MICROBIOME CANCER ANALYSIS, HOSPITAL EPIDEMIOLOGY, METAGENOMICS, AND THE INCORPORATION OF MODERN TOOLS TO IDENTIFY PATIENTS' GENOMIC CHARACTERISTICS THAT COULD LEAD TO A MORE TARGETED APPROACH. FURTHER, TGEN ESTABLISHED A CLINICAL MICROBIOME SERVICES CENTER, WHICH WILL WORK HAND-IN-HAND WITH RESEARCHERS AND PHYSICIANS AT TGEN AND CITY OF HOPE. TGEN'S PARTNERSHIPS HAVE RESULTED IN VARIOUS MUtLTI-YEAR, MULTI-MILLION DOLLAR EFFORTS FUNDED BY THE NATIONAL INSTITUTES OF HEALTH CENTERED ON: AN INTEGRATIVE RESOURCE TO DEVELOP TRANSLATIONAL STRATEGIES TO PROMOTE LONGEVITY, STUDYING PRE-ANALYTICAL FACTORS AFFECTING CTDNA ANALYSIS IN EARLY AND LOCALLY ADVANCED BREAST CANCER AND PROFILING EXTRACELLULAR VESICLE CARGO IN OBESITY AND TYPE 2 DIABETES. CLINICIANS AND SCIENTISTS IN TGEN'S CENTER FOR RARE CHILDHOOD DISORDERS CONTINUED USE OF PRECISION MEDICINE TO SEARCH FOR ANSWERS FOR YOUNG PATIENTS ON DIAGNOSTIC ODYSSEYS, WHO PRESENT WITH COMPLEX SYMPTOMS AND NO CLEAR DIAGNOSIS. ADDITIONALLY, TGEN INVESTIGATORS WERE AWARDED GRANTS IN MULTIPLE FIELDS, INCLUDING NEUROGENOMICS, CANCER THERAPEUTICS AND TREATMENTS, AND DISEASE DETECTION AND MONITORING. TGEN ADVANCED A SERIES OF INNOVATIVE RESEARCH INITIATIVES THAT YIELDED NUMEROUS SCIENTIFIC DISCOVERIES (MANY WITH POTENTIAL CLINICAL APPLICATION), ESTABLISHED NATIONAL AND INTERNATIONAL COLLABORATIONS, AND LED NEW AND EXCITING CLINICAL TRIALS WITH PROMISING RESULTS IN THE AREAS OF PATHOGENIC DISEASE, CANCER DIAGNOSIS AND MONITORING, NEUROGENOMICS, AND CANINE CANCER. SPECIFICALLY, TGEN INVESTIGATORS ARE PERFECTING NEW DETECTION AND SURVEILLANCE TECHNOLOGIES TO FIGHT PATHOGENIC OUTBREAKS, DEVELOPING LIQUID BIOPSY TECHNIQUES FOR NON-INVASIVE MONITORING AND EARLY DETECTION OF DISEASE, STUDYING GENETIC VARIANTS ASSOCIATED WITH BRAIN TUMORS AND MEMORY CAPACITY, CHARACTERIZING MOLECULAR CHANGES IN MUSCLE TISSUE THROUGH EXERCISE, AND ESTABLISHED THE GENETIC BASIS OF MELANOMA IN CANINES. TGEN INVESTIGATORS PUBLISHED THEIR RESEARCH RESULTS EXTENSIVELY IN SCHOLARLY PEER-REVIEWED ACADEMIC JOURNALS AND PRESENTED AT LEADING NATIONAL AND INTERNATIONAL CONFERENCES; INCLUDING PUBLICATION IN LEADING SCIENTIFIC JOURNALS SUCH AS AMERICAN JOURNAL OF HUMAN GENETICS, NATURE, NATURE MEDICINE, SCIENCE TRANSLATIONAL MEDICINE, ONCOGENE, CLINICAL CANCER RESEARCH, AND PRESENTATIONS AT LEADING CONFERENCES SUCH AS AACR. TGEN INVESTIGATORS FURTHER SERVE AS RESOURCES TO MEDICAL AND SCIENTIFIC RESEARCH CENTERS THROUGHOUT THE COUNTRY IN THEIR AREAS OF RESEARCH. IN EDUCATION AND OUTREACH, TGEN PROVIDED INTERNSHIPS TO STUDENTS WHO CONDUCTED RESEARCH PROJECTS IN TGEN LABS ON TOPICS INCLUDING NEUROLOGICAL DISEASE, CANCER, INFECTIOUS DISEASE, SEQUENCING, BIOINFORMATICS, AND RESEARCH ADMINISTRATION. ADDITIONALLY, TGEN PROVIDED A BIOSCIENCE LEADERSHIP ACADEMY FOR STUDENTS WHERE THEY LEARNED ABOUT A VARIETY OF TOPICS WITHIN THE THEMES OF PROFESSIONAL DEVELOPMENT, LEADERSHIP, TRANSLATIONAL MEDICINE, AND HOT TOPICS IN THE BIOSCIENCES. FORM 990, PART VI, LINE 6 THE SOLE CORPORATE MEMBER OF TGEN IS CITY OF HOPE. FORM 990, PART VI, LINE 7A THE AFFILIATION AGREEMENT BETWEEN TGEN AND CITY OF HOPE GRANTS CITY OF HOPE THE RIGHT TO APPOINT DIRECTORS. FORM 990, PART VI, LINE 7B CERTAIN ACTIONS MAY NOT BE UNDERTAKEN WITHOUT THE PRIOR WRITTEN APPROVAL OF THE SOLE CORPORATE MEMBER, CITY OF HOPE, AS SPECIFIED IN THE GOVERNING DOCUMENTS OF TGEN, ON BEHALF OF ITSELF OR CERTAIN AFFILIATES, INCLUDING: BORROW OR LEND MONEY OR PLEDGE PROPERTY AS SECURITY; FIX COMPENSATION FOR DIRECTORS; CHANGE THE NUMBER OF VOTING DIRECTORS; ASSIGN, TRANSFER, PLEDGE, COMPROMISE OR RELEASE CERTAIN CLAIMS OR DEBTS; COMMENCE ASSIGNMENT FOR THE BENEFIT OF CREDITORS, PETITION FOR REORGANIZATION OR SIMILAR RELIEF OR ACTION; ACQUIRE, PURCHASE, DEVELOP, MATERIALLY IMPROVE, SELL, LEASE, OR MORTGAGE CORPORATE REAL ESTATE; MERGE, DISSOLVE OR SELL ALL OR SUBSTANTIALLY ALL ASSETS; ADOPT BUDGETS, STRATEGIC PLANS OR MATERIAL CHANGES TO OPERATIONS; FORM AFFILIATES OR MAKE BUSINESS INVESTMENTS; ADOPT, REPEAL OR AMEND KEY GOVERNING DOCUMENTS; EXERCISE CERTAIN GOVERNANCE RIGHTS; INCUR LIABILITIES OR CONTRACT OTHER THAN FOR FAIR CONSIDERATION AND IN THE ORDINARY COURSE OF BUSINESS. FORM 990, PART VI, LINE 11B THE FORM 990 IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM BASED ON INFORMATION PROVIDED BY THE TGEN FINANCE DEPARTMENT. THE FORM 990 IS THEN REVIEWED BY THE FINANCE DEPARTMENT, OTHER MEMBERS OF MANAGEMENT AND THE AUDIT AND COMPLIANCE COMMITTEE OF THE CITY OF HOPE. THE FORM 990 IS POSTED ON THE BOARD WEBSITE FOR BOARD REVIEW PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, LINE 12C TGEN DISTRIBUTES A CONFLICT OF INTEREST QUESTIONNAIRE ANNUALLY TO ALL DIRECTOR LEVEL POSITIONS AND ABOVE, IN ADDITION TO ANY OFFICERS AND KEY EMPLOYEES DESIGNATED BY THE CONFLICT OF INTEREST COMMITTEE. THE QUESTIONNAIRES ARE REVIEWED BY TGEN'S FINANCE DEPARTMENT AND THE OFFICE OF RESEARCH COMPLIANCE. THOSE EMPLOYEES WITH CONFLICTS ARE SENT FOR FURTHER REVIEW TO THE CONFLICT OF INTEREST COMMITTEE TO ENSURE AN APPROPRIATE PLAN IS SET FORTH. UPDATES TO THE LIST ARE HANDLED ON AN AS-NEEDED BASIS, BASED ON CONTRACT REVIEWS AND EMPLOYEE INFORMATION. FORM 990, PART VI, LINES 15A AND 15B THE EXECUTIVE COMPENSATION AND GOVERNANCE COMMITTEE OF THE MEMBER SHALL BE THE EXECUTIVE COMPENSATION COMMITTEE OF TGEN. NOTWITHSTANDING THE FOREGOING,TGEN'S GOVERNANCE AND EXECUTIVE COMPENSATION COMMITTEE WILL ACT IN AN "ADVISE AND CONSENT" CAPACITY REVIEWING THE RECOMMENDATIONS OF THE PRESIDENT AND SCIENTIFIC DIRECTOR REGARDING THE COMPENSATION OF DISQUALIFIED PERSONS CONSISTENT WITH THE MEMBER'S COMPENSATION PHILOSOPHY AND WITHIN THE COMPENSATION RANGES APPROVED AT LEAST ANNUALLY BY THE MEMBER, AND FORWARDING FINAL RECOMMENDATIONS TO THE FULL TGEN BOARD FOR APPROVAL. DISQUALIFIED PERSONS (EXCEPT FOR THE PRESIDENT AND SCIENTIFIC DIRECTOR) WILL NOT BE PRESENT FOR, OR PARTICIPATE IN, COMMITTEE DELIBERATIONS CONCERNING THEIR COMPENSATION (OTHER THAN TO ANSWER QUESTIONS). THE PRESIDENT AND SCIENTIFIC DIRECTOR WILL PARTICIPATE IN THE DELIBERATIONS CONCERNING THE COMPENSATION OF DIRECT REPORTS. DURING THE DECISION MAKING PROCESS, THE COMMITTEE WILL ADHERE TO THE EXECUTIVE COMPENSATION PHILOSOPHY OF THE MEMBER. THE COMMITTEE IS AUTHORIZED (AND PROVIDED WITH SUFFICIENT FUNDING) TO ANNUALLY ENGAGE OUTSIDE INDEPENDENT COMPENSATION AND LEGAL ADVISORS, WHEN DEEMED NECESSARY AND ADVISABLE. THE COMMITTEE WILL COMPLY WITH THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE WHENEVER POSSIBLE. THE COMMITTEE WILL REVIEW AND UNDERSTAND THE INTERNAL REVENUE CODE PROVISIONS DEALING WITH "EXCESS BENEFIT TRANSACTIONS CONCERNING DISQUALIFIED PERSONS' COMPENSATION." WHEN DEVELOPING A COMPENSATION PHILOSOPHY, TGEN KEPT IN MIND THE FOLLOWING FACTORS: - THE TGEN MISSION AND STRATEGY - THE TGEN CULTURE - TRENDS IN COMPENSATION IN THE EXTERNAL ENVIRONMENT - TRENDS IN RECRUITMENT OF NEW EMPLOYEES - TRENDS IN ORGANIZATIONAL EMPLOYEE TURNOVER - TGEN'S LIFE CYCLE STAGE THE COMPENSATION REVIEW PROCESS WAS LAST COMPLETED IN 2019. FORM 990, PART VI, LINE 19 TGEN'S ARTICLES OF INCORPORATION ARE AVAILABLE TO THE PUBLIC THROUGH THE ARIZONA CORPORATION COMMISSION. TGEN'S AUDITED FINANCIAL STATEMENTS AND ITS CONFLICT OF INTEREST POLICIES ARE AVAILABLE BY WRITTEN REQUEST MADE TO THE CFO AND CONFLICT OF INTEREST MANAGER, RESPECTIVELY. TGEN'S BYLAWS ARE NOT MADE AVAILABLE TO THE PUBLIC. 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