2019-07-23T07:39:11-05:00 2018-12-31 042571780 ALEXANDER ARONSON FINNING & CO PC 50 WASHINGTON STREET WESTBOROUGH MA 01581 990 2018-01-01 043462719 ALS THERAPY DEVELOPMENT FOUNDATION INC D/B/A ALS THERAPY DEVELOPMENT INSTITUTE ALST 6174417200 300 TECHNOLOGY SQUARE NO 400 CAMBRIDGE MA 02139 STEVE PERRIN CEO/PRESIDENT 6174417200 2019-07-16 1 JEFFREY CICOLINI CPA P00837468 5083669100 2019-07-16 64.238.141.162 2019-07-16 14:55:13 ED P F4247996A0DFD92197EA51AEF4558D040C319DAA 00AC68185A21F79280EE8D14E69A55E23ABC417D 2018 2019-02-21 02:37:17Z STEVE PERRIN 300 TECHNOLOGY SQUARE NO 400 CAMBRIDGE MA 02139 17695948 0 X WWW.ALS.NET X 1999 MA WE ARE COMMITTED TO CREATING AND LEADING A TRANSPARENT COLLABORATIVE RESEARCH PROCESS THAT INVOLVES ALS PATIENTS TODAY AND HONORS THOSE WHOSE JOURNEY WITH THIS DISEASE HAS ENDED. WE ARE GUIDED BY PASSION, LOVE AND THE SPIRIT OF ENTREPRENEURSHIP UPON WHICH WE WERE FOUNDED. 20 19 70 900 0 111430 14163205 12729824 1374412 1175932 9636 34605 1701267 1098235 17248520 15038596 1695900 275000 0 0 5365380 5752410 0 0 1084521 5471922 6302149 12533202 12329559 4715318 2709037 13595583 15652260 2885336 2232976 10710247 13419284 OUR MISSION IS TO IDENTIFY VIABLE TARGETS FOR THERAPY DEVELOPMENT AND EXPEDITIOUSLY MANAGE THE CREATION OF THOSE TREATMENTS THAT WILL ARREST THE SUFFERING OF TODAY'S ALS PATIENTS. 0 0 10513771 275000 1572835 ALS TDI COMBINES THE PASSION AND DEDICATION OF A NONPROFIT ORGANIZATION WITH THE ENTREPRENEURIAL AND SCIENTIFIC SPIRIT OF A BIOTECHNOLOGY COMPANY. OUR LABORATORY IS THE LEADING DRUG DISCOVERY PROGRAM FOR ALS, AND IT BRIDGES A CRITICAL RESEARCH GAP. OUR IN-HOUSE EXPERTISE TRANSLATES RESEARCH INTO POTENTIAL DRUG CANDIDATES BY SCREENING DRUGS IN THE SOD1 MOUSE MODEL OF ALS. OUR SCIENTIFIC COLLABORATIONS ARE DESIGNED TO BRING THE MOST PROMISING LEADS CLOSER TO PATIENT USE. WE SHARE EMERGING KNOWLEDGE ON THE DISEASE WITH PATIENTS, PHYSICIANS, AND RESEARCHERS AS QUICKLY AND COMPREHENSIVELY AS POSSIBLE. EVERY DECISION IS MADE IN THE INTEREST OF FINDING EFFECTIVE TREATMENTS FOR PEOPLE LIVING WITH ALS. OUR UNIQUE APPROACH ACCELERATES DRUG DEVELOPMENT FOR ALS. 10513771 1 1 0 0 0 0 0 0 1 0 1 0 0 1 1 1 0 1 0 0 0 0 0 0 1 0 0 1 0 1 0 0 0 0 0 1 0 1 1 0 0 0 0 1 1 1 0 0 1 51 0 1 70 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 20 19 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 CA IL IN MA AZ MI X X INSOURCE SERVICES INC 7812351490 148 LINDEN STREET WELLESLEY MA 02482 DR STANLEY H APPEL MD BOARD MEMBER 2.50 X 0 0 0 ALEXANDER CAPPELLO BOARD MEMBER 2.50 X 0 0 0 DR SPIROS JAMAS SCD BOARD MEMBER 2.50 X 0 0 0 KEITH MELANSON BOARD MEMBER 2.50 X 0 0 0 LESLIE MICHELSON JD BOARD MEMBER 2.50 X 0 0 0 JOHN B HEYWOOD PHD SCD BOARD MEMBER 2.50 X 0 0 0 AUGIE NIETO CHAIRMAN AND BOARD MEMBER 2.50 1.00 X X 0 0 0 ROB RODIN BOARD MEMBER 2.50 X 0 0 0 STEVEN PERRIN PHD CEO/PRESIDENT 20.00 20.00 X X 366268 0 19330 JAMES ALLEN HEYWOOD BOARD MEMBER 2.50 X 0 0 0 THEODORE REICH JD CPA TREASURER AND BOARD MEMBER 2.50 X X 0 0 0 ROBERT SEPUCHA BOARD MEMBER 2.50 X 0 0 0 JENNY DWYER BOARD MEMBER 2.50 X 0 0 0 MIKE SMITH BOARD MEMBER 2.50 X 0 0 0 LYNNE NIETO BOARD MEMBER 2.50 X 0 0 0 JULIE SWAN BOARD MEMBER 2.50 X 0 0 0 ERIC S CRAVEN BOARD MEMBER 2.50 X 0 0 0 KENT JACKSON BRANSFORD MD BOARD MEMBER 2.50 X 0 0 0 ANDREW NIBLOCK BOARD MEMBER 2.50 X 0 0 0 PAUL SALLABERRY BOARD MEMBER 2.50 X 0 0 0 ALAN GILL VP OF RESEARCH AND DEVELOP 38.00 2.00 X 168784 0 13170 MATVEY LUKASHEV SR. DIRECTOR OF TRANSLATIONAL 40.00 X 160548 0 6497 FERNANDO VIEIRA CHIEF SCIENTIFIC OFFICER 40.00 X 173343 0 18330 SHANNON SHRYNE VP OF STRATEGIC PARTNERSHIP 40.00 X 191850 0 13789 GRETCHEN SIMONEAUX SR. DEVELOPMENT DIRECTOR 40.00 X 148111 0 20057 1208904 0 91173 15 0 1 0 INSOURCE SERVICES INC PO BOX 427 NEWTON UPPER FALLS MA 02464 FINANCE, HR & IT 416233 CK&D LLC 7421 BEVERLY BLVD SUITE 11 LOS ANGELES CA 90036 PR CONSULTING 192372 HONIGMAN MILLER SCHWARTZ AND COHN LLP 315 EAST EISEHOWER PARKWAY SUITE 1 ANN ARBOR MI 48108 LEGAL 123402 3 11134104 1595720 256917 12729824 PATENT LICENSE FEES 541700 1000000 1000000 PHARMACEUTICAL CONTRACTS 541700 175932 175932 1175932 34605 34605 3358684 11134104 2657352 701332 701332 CONTRACTED SERVICES 541900 396903 396903 396903 15038596 1572835 0 735937 275000 275000 385598 327758 23136 34704 4254532 3634576 263973 355983 39244 33357 2355 3532 693262 578180 58591 56491 379774 324147 24197 31430 63317 63317 22365 22365 707414 504740 49473 153201 108090 2874 105216 213952 149769 888 63295 480199 426438 5331 48430 2086075 1986430 92108 7537 4910 3396 1503 11 299470 259036 14064 26370 21424 21424 380926 325716 23387 31823 41782 35661 2611 3510 TESTING AND LAB EXPENSE 1568801 1568801 BANK AND CREDIT CARD PR 138841 4748 134093 MISCELLANEOUS 95350 18269 70465 6616 PROGRAM SUPPLIES AND MA 57384 29354 5751 22279 11849 8845 3004 12329559 10513771 731267 1084521 949730 1924207 4348198 3380087 1220971 840390 479147 20609 371468 654808 2968457 2399071 781861 569386 333320 431891 5110888 7830882 13595583 15652260 1057321 749663 89175 52374 814157 686190 509947 275103 414736 469646 2885336 2232976 X 9460247 12669284 1250000 750000 10710247 13419284 13595583 15652260 2709037 0 X X 0 1 X 1 0 X 13405432 7743559 10283977 14163205 12729824 58325997 13405432 7743559 10283977 14163205 12729824 58325997 4152145 54173852 5151 9003 6115 9636 34605 64510 473288 1213175 185963 292007 396903 2561336 60951843 5070824 0.88880 0.87400 X PART II, SECTION B, LINE 10: OTHER INCOME REPRESENTS CONTRACTED SERVICES TO ANELIXIS THERAPEUTICS, INC. (A SUBSIDIARY). 0 1 X 375683 375683 0 2592774 2023388 569386 569386 DUE FROM RELATED PARTY 567350 INVESTMENT IN AFFILIATE 7263532 7830882 DEFERRED RENT LIABILITY 469646 469646 X PART IV, LINE 2B: ALS TDI HAS AN ARRANGEMENT TO SERVE AS A FISCAL AGENT. ALS TDI COLLECTS CONTRIBUTIONS IN CONNECTION WITH A SPECIAL EVENT ON BEHALF OF OTHER PUBLIC CHARITIES AS DIRECTED BY THE DONORS. THESE AMOUNTS ARE REMITTED TO THESE PUBLIC CHARITIES SHORTLY AFTER THE SPECIAL EVENT TAKES PLACE. PART X, LINE 2: ALS TDI ACCOUNTS FOR UNCERTAINTY IN INCOME TAXES IN ACCORDANCE WITH ASC TOPIC, INCOME TAXES. THIS STANDARD CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS AND PRESCRIBES A RECOGNITION THRESHOLD AND MEASUREMENT ATTRIBUTE FOR THE FINANCIAL STATEMENTS REGARDING A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. ALS TDI HAS DETERMINED THAT THERE ARE NO UNCERTAIN TAX POSITIONS WHICH QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THEIR FINANCIAL STATEMENTS AT DECEMBER 31, 2018. THE INFORMATIONAL RETURNS OF ALS TDI ARE SUBJECT TO EXAMINATION BY THE FEDERAL AND STATE JURISDICTIONS AND GENERALLY REMAIN OPEN FOR THE MOST RECENT THREE YEARS. TRADITION OF HOPE 1419394 1344594 74800 141074 84282 126548 TRI STATE TREK 731870 712220 19650 105886 117185 231 12341524 9077290 3264234 149092 23000 1910285 14492788 11134104 3358684 396052 107282 2154018 2657352 701332 1 ANELIXIS PHARMACEUTICALS INC 300 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 474027454 275000 TO FUND RESEARCH 1 SCHEDULE I, PART I, LINE 1: ALS TDI SUPPORTS ITS SUBSIDIARY, ANELIXIS THERAPEUTICS, INC., WITH GRANTS FOR RESEARCH. X X X X 0 0 0 0 0 0 0 0 0 STEVEN PERRIN PHD CEO/PRESIDENT 366268 0 0 0 0 0 0 0 19330 0 385598 0 0 0 ALAN GILL VP OF RESEARCH AND DEVELOP 168784 0 0 0 0 0 0 0 13170 0 181954 0 0 0 MATVEY LUKASHEV SR. DIRECTOR OF TRANSLATIONAL 160548 0 0 0 0 0 0 0 6497 0 167045 0 0 0 FERNANDO VIEIRA CHIEF SCIENTIFIC OFFICER 173343 0 0 0 0 0 0 0 18330 0 191673 0 0 0 SHANNON SHRYNE VP OF STRATEGIC PARTNERSHIP 191850 0 0 0 0 0 0 0 13789 0 205639 0 0 0 GRETCHEN SIMONEAUX SR. DEVELOPMENT DIRECTOR 148111 0 0 0 0 0 0 0 20057 0 168168 0 0 0 ANELIXIS THERAPEUTICS INC SUBSIDIARY 396903 CERTAIN EMPLOYEES OF ALS TDI SPENT A PORTION OF THEIR TIME PERFORMING SERVICES FOR ANELIXIS PHARMACEUTICALS, INC. DURING TAX YEAR 2018. ALS TDI HAS CHARGED ANELIXIS PHARMACEUTICALS, INC. FOR THESE SERVICES, EQUAL TO THE COST INCURRED BY ALS TDI FOR SALARY AND RELATED COSTS RELATING TO THESE EMPLOYEES. 0 ANELIXIS THERAPEUTICS INC SUBSIDIARY 1000000 ALS TDI GRANTED A LICENSE TO ANELIXIS THERAPEUTICS, INC. TO USE ITS PATENT RIGHTS IN ORDER TO DEVELOP AND COMMERCIALIZE A TREATMENT FOR ALS. UNDER THIS AGREEMENT, ANELIXIS MUST MAKE PAYMENTS TO ALS TDI UPON REACHING CERTAIN MILESTONES. ANELIXIS MET THE FIRST TWO MILESTONES IN 2018 AND 2017, AND ACCORDINGLY OWED A PAYMENT OF $1,000,000 TO ALS TDI. IN DECEMBER 2018, ALS TDI ELECTED TO CONVERT THE AMOUNT OWED UNDER THIS AGREEMENT INTO ADDITIONAL SHARES OF ANELIXIS STOCK. THE FAIR VALUE OF THE STOCK RECEIVED APPROXIMATED THE AMOUNT OF THE LIABILITY. 0 ANELIXIS THERAPEUTICS INC SUBSIDIARY 275000 ANELIXIS THERAPEUTICS, INC. IS A SUB-CONTRACTOR TO CERTAIN GRANT AGREEMENTS AWARDED TO ALS TDI, AND ACCORDINGLY ALS TDI PASSES THROUGH GRANTS TO ANELIXIS THERAPEUTICS, INC. 0 ANELIXIS THERAPEUTICS INC SUBSIDIARY 424136 PRIOR YEAR AND CURRENT YEAR ADVANCES TO ANELIXIS THERAPEUTICS, INC. WERE CONVERTED TO COMMON STOCK IN 2018. THE VALUE OF THE TRANSACTION EQUALS THE TOTAL ADVANCES AND APPROXIMATES THE FAIR VALUE OF THE STOCK RECEIVED. 0 X SUPPLIES AND MATERIALS FOR SPECIAL EVENTS 29 256917 FAIR MARKET VALUE 0 1 0 FORM 990, PART VI, SECTION A, LINE 2 JAMES HEYWOOD, BOARD MEMBER, IS THE SON OF JOHN HEYWOOD, MEMBER OF THE BOARD OF DIRECTORS. ADDITIONALLY, LYNNE NIETO AND KENT BRANFORD, BOARD MEMBERS, ARE THE WIFE AND BROTHER-IN-LAW, RESPECTIVELY, OF AUGIE NIETO, CHAIRMAN AND BOARD MEMBER. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS REVIEWED BY THE CHIEF FINANCIAL OFFICER AND THEN APPROVED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C ALS TDI HAS A WRITTEN CONFLICT OF INEREST POLICY WHICH REQUIRES ANNUAL SIGNOFFS BY OFFICERS, DIRECTORS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS TO DETERMINE THE COMPENSATION OF THE PRESIDENT CONSISTS OF EVALUATING COMPARABLE DATA FOR FUNCTIONALLY SIMILAR POSITIONS AT SIMILAR ORGANIZATIONS, ALONG WITH THE REVIEW AND APPROVAL BY THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS WHICH IS COMPRISED OF INDEPENDENT MEMBERS. FORM 990, PART VI, SECTION B, LINE 15B: THE PROCESS TO ESTABLISH COMPENSATION OF OTHER OFFICERS AND KEY EMPLOYEES IS COMPLETED ON AN ANNUAL BASIS BY EVALUATING COMPARABLE DATA FOR FUNCTIONALLY SIMILAR POSITIONS AT SIMILAR ORGANIZATIONS, PRESENTING RECOMMENDATIONS TO THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS WHICH IS COMPRISED OF INDEPENDENT MEMBERS AND DOCUMENTING SUCH DISCUSSIONS IN THE BOARD MINUTES. FORM 990, PART VI, SECTION C, LINE 18 ALS TDI'S FORM 990 IS AVAILABLE FOR PUBLIC INSPECTION ON ALS TDI'S WEBSITE AND AT WWW.GUIDESTAR.COM. ALS TDI'S FORM 1023 IS AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 FINANCIAL STATEMENTS ARE MADE AVAILABLE ON ALS TDI'S WEB SITE AND ARE AVAILABLE BY MAIL UPON REQUEST. GOVERNING DOCUMENTS AND ALS TDI'S CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. FORM 990, PART XII, LINE 2C: DURING 2018, THE ORGANIZATION DID NOT CHANGE THE WAY IN WHICH ITS COMMITTEE ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT, ITS FINANCIAL STATEMENTS, AND SELECTION OF AN INDEPENDENT ACCOUNTANT. FORM 990, PART VI, SECTION B, LINE 16: ALS TDI'S POLICY OVER EVALUATING ITS PARTICIPATION IN ITS JOINT VENTURE WITH ANELIXIS PHARMACEUTICALS, INC., A CORPORATION WHERE ALS TDI OWNS 94% OF THE OUTSTANDING SHARES AS OF DECEMBER 31, 2018, INVOLVED AN ASSESSMENT PERFORMED BY MANAGEMENT AND THE BOARD OF DIRECTORS TO ENSURE THE TERMS OF THE ARRANGEMENT WAS PERMITTED UNDER APPLICABLE FEDERAL TAX LAW AND ALS TDI'S EXEMPT STATUS IS BEING SAFEGUARDED. ANELIXIS PHARMACEUTICALS INC 300 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 474022454 GENERATE CAPITAL FROM INVESTORS TO SUPPORT DISCOVERIES AND PATENTS RELATED T DE ALS TDI C 4017832 334284 0.94000 1 1 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 1 1 ANELIXIS PHARMACEUTICALS INC B 275000 COST ANELIXIS PHARMACEUTICALS INC L 396903 COST ANELIXIS PHARMACEUTICALS INC A 1000000 COST ANELIXIS PHARMACEUTICALS INC R 424136 COST ANELIXIS PHARMACEUTICALS INC N 157741 COST ANELIXIS PHARMACEUTICALS INC R 165350 COST