2019-08-15T02:22:49-05:00 2018-09-30 ERNST & YOUNG US LLP TWO NORTH CENTRAL AVE STE 2300 PHOENIX AZ 85004 990 2017-10-01 753065445 THE TRANSLATIONAL GENOMICS RESEARCH INSTITUTE % Kevin Groff TRAN 6023438400 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 MANUEL ESTRADA CFO 6023438400 2019-08-14 true Patrick Shields P01508556 6023223000 70.162.82.4 86597020192275000001 2019-08-15 P CC069D8BE90350A9B9CF3129E95BF97A241EA1E6 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 2017 2019-02-21 02:37:17Z JEFFREY M TRENT PHD 445 N 5TH STREET suite 600 PHOENIX AZ 85004 65051107 false X WWW.TGEN.ORG X 2002 AZ SEE SCHEDULE O 13 10 298 62 0 4411 17588654 31879587 15124378 22244021 -60494 317929 506816 3202383 33159354 57643920 0 0 0 0 17085788 26788086 0 0 0 27052486 30467447 44138274 57255533 -10978920 388387 94504558 136019915 25022426 66182879 69482132 69837036 X SEE SCHEDULE O false false 7933797 0 2731626 INTEGRATED CANCER GENOMICS DIVISION - SEE SCHEDULE O 7380500 0 582891 NEUROGENOMICS DIVISION - SEE SCHEDULE O 5168280 0 231452 MOLECULAR MEDICINE DIVISION - SEE SCHEDULE O 12787738 0 18834896 33270315 true true false true false false false false true true true false false true true true false true false false true false false false false false false false false true false false false true false false false true true false false false true true true true false false true 74 0 true 298 true true true false false false false false false false false false X 13 10 false false false false true true true true true false false true true true true true true true true false AZ X Kevin Groff 6023438478 445 N 5TH STREET SUITE 600 PHOENIX AZ 85004 Jeffry M Trent PhD BOARD MEMBER/PRES/SCIENCE DIR. 39.0 1.0 X X 0 1019398 50386 William J Post Board Member/Chairman 1.0 1.0 X X 0 0 0 Robert Stone BD & VICE CHRM/COH CEO & PRES 1.0 59.0 X X 0 2281400 433116 Richard L Boals Board Member 1.0 0.0 X 0 0 0 Robert Bulla Board Member 1.0 0.0 X 0 0 0 Bennett Dorrance Board Member 1.0 1.0 X 0 0 0 David J Gullen MD Board Member 1.0 0.0 X 0 0 0 Sharon Harper Board Member (EFF 5/18) 1.0 0.0 X 0 0 0 Jeffrey Moorad Board Member 1.0 0.0 X 0 0 0 Cindy Parseghian Board Member 1.0 0.0 X 0 0 0 Terry Peets Board Member 1.0 0.0 X 0 0 0 Marilyn Quayle Board Member (EFF 5/18) 1.0 0.0 X 0 0 0 Richard Silverman Board Member 1.0 0.0 X 0 0 0 The Honorable Greg Stanton Board Member (Thru 5/18) 1.0 0.0 X 0 0 0 Teresa Burleson Chief Operating Officer 39.0 1.0 X 526688 0 21374 Manuel Estrada CFO/Assistant Treasurer 39.0 1.0 X 320061 0 10980 James Lowey Chief Information Officer 40.0 0.0 X 280920 0 1608 Stephanie McRae Asst. Secretary (EFF 10/17) 40.0 0.0 X 161218 0 12739 Jennifer Parkhurst Treasurer/COH CFO (Eff 2/18) 1.0 59.0 X 0 0 0 Gregory Schetina Secretary/ COH General Council 1.0 59.0 X 0 917810 179708 Cornelis Van Den Berg Tre./COH Int. CFO (Thru 12/17) 1.0 59.0 X 0 783535 66476 Michael Berens Deputy Director of Research 40.0 0.0 X 400868 0 16557 Daniel Von Hoff Physician in Chief 40.0 0.0 X 743818 0 20734 Timothy McDaniel Sr. VP of Emerg. Opportunities 40.0 0.0 X 279635 0 10042 Sunil Sharma Deputy Dir of Clinic. Sciences 40.0 0.0 X 188209 0 3010 Thomas Royce Ashion Executive Director 40.0 0.0 X 321113 0 7566 David Cooper Ashion Medical Director 40.0 0.0 X 282244 0 432 Janine Lobello Ashion Clinic. Laboratory Dir. 40.0 0.0 X 253628 0 3539 Michael Bittner Professor 40.0 0.0 X 225551 0 6970 David Duggan Associate Professor 40.0 0.0 X 223686 0 12982 4207639 5002143 858219 56 false true false ASHION ANALYTICS LLC 445 N 5th Street Phoenix AZ 85004 LABORATORY SERVICES 5957000 ERNST YOUNG LLP 200 PLAZA DR SECAUCUS NJ 07097 ACCOUNTING SERVICES 548011 TRANSLATIONAL DRUG DEVELOPMENT 13208 E SHEA BLVD 100 SCOTTSDALE AZ 85259 CONSULTING SERVICES 257913 ASG GROUP LLC 30 POVERTY ROAD SOUTHBURY CT 06488 CONSULTING SERVICES 225000 FIRSTSTRATEGIC 300 W CLARENDON AVE 460 PHOENIX AZ 85013 CONSULTING SERVICES 216000 9 17683964 10379125 3816498 2514908 31879587 RESEARCH CONTRACTS 541711 22244021 22244021 0 0 22244021 181542 181542 0 0 3997867 6609472 -2611605 0 -2611605 -2611605 742036 192066 665034 132681 77002 59385 136387 136387 0 0 0 0 0 0 0 0 0 LEASE MODIFICATION GAIN 531120 5677144 0 5677144 ALL OTHER REVENUE 900099 136844 136844 5813988 57643920 22380865 0 3383468 X 0 0 0 0 3774089 1526927 2247162 0 19311724 10427566 8884158 689317 356948 332369 1611871 834673 777198 1401085 725522 675563 0 467232 467232 328847 7516 321331 97200 97200 0 0 10849884 10365216 484668 0 254369 8035 246334 8381009 6931648 1449361 2845861 896637 1949224 0 0 287700 287700 616342 279319 337023 0 596520 92234 504286 136950 17852 119098 0 4636307 350440 4285867 348826 24120 324706 BAD DEBT EXPENSE 222524 222524 RELOCATION 138188 20050 118138 DUES & SUBSCRIPTIONS 118250 18580 99670 RECRUITMENT 38331 2132 36199 103107 103107 57255533 33270315 23985218 0 0 9237348 8456670 9605946 10206319 3557897 5268723 475316 103619 0 0 0 0 0 228824 0 0 3300258 1636119 63084743 6886767 7953897 56197976 0 0 0 0 1627867 1627867 9168288 9143309 49577741 43150489 94504558 136019915 6360190 10223096 0 0 9309191 6704584 0 0 0 639298 50000 50000 8107869 47305399 50000 50000 1145176 1210502 25022426 66182879 X 60409681 59568626 9072451 10268410 0 0 69482132 69837036 94504558 136019915 388387 -33483 X false true X true true true X 15937701 21230401 67494504 17588654 31879587 154130847 0 0 0 0 15937701 21230401 67494504 17588654 31879587 154130847 17626191 136504656 154921 138143 143205 109024 4179409 4724702 0 5677144 5677144 164532693 90474188 0.82965 0.85082 X SCHEDULE A, PART II THE COLUMNS IN SCHEDULE A, PART II CORRESPOND TO THE FOLLOWING PERIODS: COLUMN (E) 2017: 10/01/2017-09/30/2018 COLUMN (D) 2016: 01/01/2017-09/30/2017 (Short Period) COLUMN (C) 2015: 01/01/2016-12/31/2016 COLUMN (B) 2014: 01/01/2015-12/31/2015 COLUMN (A) 2013: 01/01/2014-12/31/2014 false false false 0 false 0 false 0 false 0 false 0 false 0 true 97200 97200 false 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 5355690 75833 182488 525959 5088052 5258044 46076 525676 4658 469448 5355690 5384983 374012 500951 5258044 6125475 -202653 537839 5384983 6554040 100627 529192 6125475 0.02710 0.97290 false true true 1803635 1803635 45415900 1415917 43999983 2817304 750938 2066366 11400575 4381312 7019263 1647329 338600 1308729 56197976 DUE FROM CITY OF HOPE 30343424 DUE FROM TGEN FOUNDATION 7599581 IN-KIND DONATED ASSETS 4017950 INVESTMENT IN 457(B) PLAN 1189534 43150489 0 DUE TO EMPLOYEE 457(B) PLAN 1189535 DEFERRED RENT 20967 1210502 X SCHEDULE D, PART IV, LINE 2b CERTAIN TENANT RENTAL OVERPAYMENTS 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. 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, 2018. Europe (Including Iceland and Greenland) Program Services RESEARCH SERVICES 84084 North America Program Services RESEARCH SERVICES 29703 East Asia and the Pacific Program Services RESEARCH SERVICES 7762 Sub-Saharan Africa Program Services RESEARCH SERVICES 3192 124741 124741 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 true true X X X X false true false false false false false true false Jeffry M Trent PhD BOARD MEMBER/PRES/SCIENCE DIR. 0 792452 0 140000 0 86946 0 21912 0 28474 0 1069784 0 0 Robert Stone BD & VICE CHRM/COH CEO & PRES 0 1113020 0 1072243 0 96137 0 396912 0 36204 0 2714516 0 303485 Teresa Burleson Chief Operating Officer 436926 0 88520 0 1242 0 12500 0 8874 0 548062 0 0 0 Manuel Estrada CFO/Assistant Treasurer 253512 0 65739 0 810 0 0 0 10980 0 331041 0 0 0 James Lowey Chief Information Officer 223947 0 56255 0 718 0 0 0 1608 0 282528 0 0 0 Stephanie McRae Asst. Secretary (EFF 10/17) 160191 0 0 0 1027 0 0 0 12739 0 173957 0 0 0 Gregory Schetina Secretary/ COH General Council 0 498809 0 375833 0 43168 0 137678 0 42030 0 1097518 0 84113 Cornelis Van Den Berg Tre./COH Int. CFO (Thru 12/17) 0 480737 0 296542 0 6256 0 42275 0 24201 0 850011 0 0 Michael Berens Deputy Director of Research 344650 0 52654 0 3564 0 8333 0 8224 0 417425 0 0 0 Daniel Von Hoff Physician in Chief 668717 0 63976 0 11125 0 12500 0 8234 0 764552 0 0 0 Timothy McDaniel Sr. VP of Emerg. Opportunities 252253 0 26140 0 1242 0 0 0 10042 0 289677 0 0 0 Sunil Sharma Deputy Dir of Clinic. Sciences 137898 0 50000 0 311 0 0 0 3010 0 191219 0 0 0 Thomas Royce Ashion Executive Director 235250 0 85258 0 605 0 0 0 7566 0 328679 0 0 0 David Cooper Ashion Medical Director 243318 0 20000 0 18926 0 0 0 432 0 282676 0 0 0 Janine Lobello Ashion Clinic. Laboratory Dir. 253023 0 0 0 605 0 0 0 3539 0 257167 0 0 0 Michael Bittner Professor 219417 0 0 0 6134 0 0 0 6970 0 232521 0 0 0 David Duggan Associate Professor 222529 0 0 0 1157 0 0 0 12982 0 236668 0 0 0 Schedule J, Part I, Line 1a FIRST CLASS TRAVEL IS PERMITTED BY EXECUTIVE STAFF ONLY AND MUST BE PRE-APPROVED BY THE CHIEF OPERATING OFFICER. THESE EXPENSES WERE NOT CONSIDERED AS TAXABLE COMPENSATION TO THE RECIPIENT SINCE THEY WERE REIMBURSEMENTS FOR BUSINESS USE UNDER AN ACCOUNTABLE PLAN. SCHEDULE J, PART I, LINE 4B CITY OF HOPES PRESIDENT AND CEO, ROBERT STONE, PARTICIPATES IN THE CITY OF HOPES 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, 2017, THE FOLLOWING INDIVIDUALS WITHDREW THE REFERENCED AMOUNTS TO COVER SUCH TAXES: ROBERT STONE $27,665 GREGORY SCHETINA $ 9,414 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, KEY EMPLOYEES AND 5-HIGHEST PAID INDIVIDUALS LISTED IN FORM 990, 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 AND 2020. AMOUNTS ACCRUED BY TGEN DURING CALENDAR YEAR 2017 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 50000 TECH66 LLC WILLIAM BURLESON SPOUSE OF OFFICER 129892 CONSULTING SERVICES false SCHEDULE L, PART II, LINE 1, COLUMN (C) CAPITALIZE NEW ENTITY FORMED FOR BIOMARKER RESEARCH X COMPUTER EQUIP 1 2513336 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 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 DATA SETS 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 4B THE NEUROGENOMICS DIVISION RESEARCH PROGRAMS SPAN ALL AGES, FROM DEVELOPMENTAL DISORDERS EARLY IN LIFE, THROUGH DISEASES OF ADULTHOOD SUCH AS NEURONAL DEGENERATION INCLUDING ALS, ALZHEIMER'S DISEASE AND PARKINSON'S DISEASE AS WELL AS NEUROTRAUMA SUCH AS FROM CONCUSSION. OUR FIRST GOAL IS TO IMPROVE THE ABILITY TO DIAGNOSE NEUROLOGICAL DISEASE BEFORE IT STRIKES BY UNDERSTANDING THE INDIVIDUAL GENETIC AND EPIGENETIC VARIATION BETWEEN INDIVIDUALS. BECAUSE THESE DISEASES IMPACT SO MANY LIVES AROUND THE WORLD EITHER DIRECTLY (BY HAVING A DISEASE), OR INDIRECTLY (BY CARING FOR A LOVED ONE WITH THE DISEASE), THE SECOND GOAL CENTERS ON THE DEVELOPMENT OF NEW "SMART-DRUG" THERAPIES THAT SPECIFICALLY UTILIZE AN INDIVIDUAL'S GENETIC BACKGROUND. OVER THE PAST 15 YEARS, OUR INVESTIGATORS HAVE PUBLISHED OVER 300 PEER-REVIEWED ARTICLES, BEEN AWARDED DOZENS OF LARGE FEDERAL AND FOUNDATION GRANTS, AND DEVELOPED A RESEARCH CLINIC FOCUSED ON DIRECTLY INTERACTING WITH THE COMMUNITY AND PATIENTS IN THE AREA OF PRECISION MEDICINE. 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 2018 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 SECOND 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. TGENS 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. TGENS PARTNERSHIPS HAVE RESULTED IN: A MULTI-YEAR, MULTI-MILLION DOLLAR EFFORT FUNDED BY THE NATIONAL CANCER INSTITUTE TO DEVELOP METHODS OF EARLY DETECTION IN PANCREATIC CANCER; AND ACCESS IN THE GULF SOUTH REGION TO THE LATEST CANCER THERAPEUTICS, RESEARCH, AND ADVANCED DIAGNOSTICS THROUGH A BROAD PORTFOLIO OF PHASE 1 AND 2 TRIALS. CLINICIANS AND SCIENTISTS IN TGENS 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, CELL, NATURE COMMUNICATIONS, JOURNAL OF NEUROSCIENCE, CLINICAL CANCER RESEARCH, CLINICAL INFECTIOUS DISEASE, JAMA NEUROLOGY, LANCET, MBIO, NEUROLOGY, NEW ENGLAND JOURNAL OF MEDICINE, AND SCIENCE TRANSLATIONAL MEDICINE, 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 CHIEF OPERATING OFFICER. THE QUESTIONNAIRES ARE REVIEWED BY THE CHIEF FINANCIAL OFFICER AND TGEN'S OFFICE OF RESEARCH COMPLIANCE. THOSE EMPLOYEES WITH CONFLICTS ARE SENT FOR FURTHER REVIEW TO THE CHIEF OPERATING OFFICER 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 2018. 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. FORM 990 PART IX LINE 11G DESCRIPTION:CONSORTIUM/CONTRACTUAL TOTAL FEES:8688082 FORM 990 PART IX LINE 11G DESCRIPTION:OUTSIDE RESEARCH SERVICES TOTAL FEES:950417 FORM 990 PART IX LINE 11G DESCRIPTION:CONSULTING TOTAL FEES:915340 FORM 990 PART IX LINE 11G DESCRIPTION:TEMPORARY SERVICES TOTAL FEES:296045 THE CENTER FOR TRANSLATIONAL DRUG DEVELO 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 432047329 DRUG DEVELOPM AZ 0 1627867 TGAM LLC TGEN ACCELERATORS LLC (TGAM) 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 753065445 GENOMICS AZ 0 0 TGEN TRANSLATIONAL SYSTEMS LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 461309498 ADV RESEARCH AZ 0 0 TGEN PET CANCER DIAGNOSTICS LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 753065445 ANIMAL DIAG AZ 0 0 TGEN TGEN HEALTH VENTURES LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 464520712 HEALTHCARE AZ 217260 1574199 TGEN DROPWISE LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 811959403 RESEARCH AZ 0 7740 TGAM LLC ID ORIGINS LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 753065445 TECH TRANSFER AZ 0 0 TGAM LLC PROFERO LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 753065445 LICENSING DE 0 0 TGEN METRICBIO LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 814455083 RESEARCH DE 19600 10111 TGEN ASHION PMED MANAGEMENT LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 383922888 HEALTHCARE DE 0 0 TGEN HV LLC ASHION ANALYTICS LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 454587602 HEALTHCARE AZ 10874539 1635647 ASHION PMED PRECISION MEDICINE FACILITIES LLC 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 822560090 REAL ESTATE AZ 10524249 52683025 TGEN TGEN RESEARCH INSTITUTE FOUNDATION 445 N 5TH STREET Suite 600 PHOENIX AZ 85004 331092191 FUNDRAISING AZ 501(c)(3) 7 TGEN true CITY OF HOPE 1500 EAST DUARTE ROAD DUARTE CA 91010 953435919 FUNDRAISING CA 501(c)(3) 7 NA false CITY OF HOPE NATIONAL MEDICAL CENTER 1500 EAST DUARTE ROAD DUARTE CA 91010 951683875 HOSPITAL CA 501(c)(3) 3 CITY OF HOPE true BECKMAN RESEARCH INSTITUTE 1450 EAST DUARTE ROAD DUARTE CA 91010 953432210 RESEARCH CA 501(c)(3) 4 CITY OF HOPE true CITY OF HOPE MEDICAL FOUNDATION 1500 EAST DUARTE ROAD DUARTE CA 91010 274803222 HEALTHCARE CA 501(c)(3) 3 CITY OF HOPE true SOUTHERN CA RADIATION ONCOLOGY PO BOX 819067 DALLAS TX 75381 364887584 MGMT SERVICES CA NA N/a false false true false true false false false false false false true false true true false true false false TGEN RESEARCH INSTITUTE FOUNDATION c 5924869 ACTUAL COST TGEN RESEARCH INSTITUTE FOUNDATION q 946860 ACTUAL COST TGEN RESEARCH INSTITUTE FOUNDATION o 212518 ACTUAL COST CITY OF HOPE NATIONAL MEDICAL CENTER o 1079200 ACTUAL COST