2012-06-15T16:24:10-05:00 2011-12-31 946214841 ARMANINO MCKENNA LLP 12667 ALCOSTA BOULEVARD SUITE 500 SAN RAMON CA 945834427 990 2011-01-01 208452401 AMERICAN ASTHMA FOUNDATION AMER 4154043420 4 EMBARCADERO CENTER NO 3150 SAN FRANCISCO CA 94111 STEVE DAETZ 4154043420 2012-06-11 1 LYNN HENLEY P00356034 9257902600 2011 2016-02-24 21:20:13Z STEVE DAETZ 4 EMBARCADERO CENTER NO 3150 SAN FRANCISCO CA 94111 10930897 0 X WWW.AMERICANASTHMAFOUNDATION.ORG X 2007 CA IMPROVE TREATMENT, PREVENT, AND FIND A CURE FOR ASTHMA THROUGH RESEARCH, EDUCATION, AND ADVOCACY. 9 8 0 0 0 0 9656926 10928530 0 0 2861 2367 0 0 9659787 10930897 9516700 7925400 0 0 404373 490265 0 0 418476 411239 698683 10332312 9114348 -672525 1816549 1299582 3129178 505805 518852 793777 2610326 X THE AMERICAN ASTHMA FOUNDATION'S (AAF) MISSION IS TO IMPROVE TREATMENT, PREVENT, AND FIND A CURE FOR ASTHMA, A CHRONIC LUNG DISEASE AFFECTING 25 MILLION AMERICANS. IN ORDER TO ACHIEVE THESE GOALS, THE FOUNDATION FOSTERS HIGHLY INNOVATIVE, CUTTING-EDGE RESEARCH THROUGH THE AAF'S RESEARCH PROGRAM (AAFRP), AN INTERNATIONAL GRANTS PROGRAM DESIGNED TO RECRUIT OUTSTANDING INVESTIGATORS NOT INVOLVED IN ASTHMA RESEARCH. IN 2011, THE AAF MADE ALMOST $8 MILLION IN RESEARCH GRANTS TO UNIVERSITIES AND RESEARCH CENTERS IN THE UNITED STATES, CANADA, THE UNITED KINGDOM, AND AUSTRALIA TO FURTHER ITS MISSION. 0 0 8323665 7925400 0 RESEARCH FUNDED BY THE AMERICAN ASTHMA FOUNDATION HAS:- PRODUCED 26 RESEARCH BREAKTHROUGHS, OF WHICH 14 HAVE DRAWN SUPPORT FROM THE BIOTECH AND PHARMACEUTICAL INDUSTRIES AND 4 HAVE ADVANCED TO CLINICAL TRIALS (DETAILS ABOUT THE AAF'S RESEARCH BREAKTHROUGHS ARE MAINTAINED ON HTTP://WWW.AMERICANASTHMAFOUNDATION.ORG/RESEARCH-PROGRAM/ RESEARCH-BREAKTHROUGHS);- ATTRACTED OVER 350 INVESTIGATORS INTO THE FIELD OF ASTHMA RESEARCH;- ATTRACTED ALMOST $60 MILLION IN ADDITIONAL FUNDING FOR ASTHMA RESEARCH FROM OTHER SOURCES; AND - RESULTED IN THE PUBLICATION OF 375 SCIENTIFIC PAPERS IN PRESTIGIOUS MEDICAL AND SCIENTIFIC JOURNALS. 8323665 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 27 0 0 0 0 0 0 0 0 0 0 0 0 X 9 8 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 CA AZ CO CT DC FL GA IL MA MD MI NC NJ NY OH PA VA WA WI X X STEVE DAETZ VICE CHAIRMAN 4154043420 4 EMBARCADERO CENTER NO 3150 SAN FRANCISCO CA 94111 X DR MADELEINE K ALBRIGHT 1.00 X 0 0 0 SUSAN BERRESFORD 1.00 X 0 0 0 WILLIAM K BOWES JR 1.00 X 0 0 0 BERNARD OSHER 1.00 X 0 0 0 LEWIS S RANIERI 1.00 X 0 0 0 ANTHONY D ROMERO 1.00 X 0 0 0 MARION O SANDLER 40.00 X X 0 0 0 DIANE B WILSEY 1.00 X 0 0 0 STEVE DAETZ 40.00 X X 0 344146 77467 CHARLOTTE E BIERN 40.00 X 0 217275 45903 ELLEN E REINTJES 20.00 X 0 97039 37623 0 658460 160993 0 0 1 0 COMMUNITY COUNSELING SERVICE CO LLC 461 FIFTH AVENUE 3RD FLOOR NEW YORK NY 10017 PROSPECT RESEARCH/RECRUITING 135313 1 8200000 2728530 10928530 2367 2367 10930897 0 0 2367 6577400 6577400 5000 5000 1343000 1343000 308618 32000 99742 176876 68369 7142 28367 32860 52428 5459 18099 28870 37720 3977 14157 19586 23130 2433 8355 12342 4980 4980 54918 54918 90224 90224 101958 101958 2484 2484 7817 449 7368 45810 4817 18101 22892 106656 71856 28327 6473 9417 1706 7711 HONORARIA 268750 268750 OTHER OPERATING EXPENSE 4827 125 4004 698 OUTREACH AND EVENTS 842 842 9114348 8323665 372207 418476 558 475 1279216 1194366 0 1924381 435 0 19373 9956 1299582 3129178 24005 57077 481800 461775 505805 518852 X 793777 685945 0 1924381 793777 2610326 1299582 3129178 1816549 0 X X 0 1 1 X 0 X 1386989 12387238 10424220 9656926 10928530 44783903 1386989 12387238 10424220 9656926 10928530 44783903 39141182 5642721 1052 37305 17947 2861 2367 61532 44845435 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 10930897 9114348 1816549 1816549 10930897 0 10930897 0 10930897 9114348 0 9114348 0 9114348 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE FOUNDATION HAS EVALUATED ITS CURRENT TAX POSITIONS AND HAS CONCLUDED THAT AS OF DECEMBER 31, 2011 AND 2010, THE FOUNDATION DOES NOT HAVE ANY SIGNIFICANT UNCERTAIN TAX POSITIONS FOR WHICH A RESERVE WOULD BE NECESSARY. 1 NORTH AMERICA 0 0 GRANTMAKING GRANTS PROVIDED TO UNIVERSITIES AND RESEARCH CENTERS TO CONDUCT INNOVATIVE BASIC RESEARCH INTO PROCESSES THAT MAY UNDERLY ASTHMA, WITH THE GOAL OF ULTIMATELY FINDING NEW TREATMENTS AND/OR METHODS TO PREVENT OR CURE THE DISEASE. 275000 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 GRANTMAKING GRANTS PROVIDED TO UNIVERSITIES AND RESEARCH CENTERS TO CONDUCT INNOVATIVE BASIC RESEARCH INTO PROCESSES THAT MAY UNDERLY ASTHMA, WITH THE GOAL OF ULTIMATELY FINDING NEW TREATMENTS AND/OR METHODS TO PREVENT OR CURE THE DISEASE. 837200 EAST ASIA AND THE PACIFIC - 0 0 GRANTMAKING GRANTS PROVIDED TO UNIVERSITIES AND RESEARCH CENTERS TO CONDUCT INNOVATIVE BASIC RESEARCH INTO PROCESSES THAT MAY UNDERLY ASTHMA, WITH THE GOAL OF ULTIMATELY FINDING NEW TREATMENTS AND/OR METHODS TO PREVENT OR CURE THE DISEASE. 230800 0 0 0 0 0 0 1343000 0 1343000 X NORTH AMERICA RESEARCH AWARD 25000 CASH FMV NORTH AMERICA RESEARCH AWARD 250000 CASH FMV EUROPE (INCLUDING ICELAND & GREENLAND) - RESEARCH AWARD 225700 WIRE TRANSFER FMV EAST ASIA AND THE PACIFIC RESEARCH AWARD 230800 WIRE TRANSFER FMV EUROPE (INCLUDING ICELAND & GREENLAND) - RESEARCH AWARD 236800 WIRE TRANSFER FMV EUROPE (INCLUDING ICELAND & GREENLAND) - RESEARCH AWARD 135000 WIRE TRANSFER FMV EUROPE (INCLUDING ICELAND & GREENLAND) - RESEARCH AWARD 239700 WIRE TRANSFER FMV 6 1 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ON AN ANNUAL BASIS, EACH AWARDEE REPORTS HIS/HER RESEARCH ACTIVITIES AND FINDINGS TO THE AAF'S SCIENTIFIC REVIEW BOARD, WHICH EVALUATES THE WORK TO DETERMINE WHETHER SUFFICIENT PROGRESS HAS BEEN MADE TO JUSTIFY CONTINUED FUNDING FOR THE PROJECT. INSTITUTIONS ADMINISTERING THE RESEARCH AWARD ARE REQUIRED TO SUBMIT A REPORT ANNUALLY OF EXPENDITURES OF GRANT FUNDS TO THE AAF RESEARCH PROGRAM MANAGER. EXPENDITURE REPORTS ARE CERTIFIED BY BOTH THE AWARDEE AND THE INSTITUTION, AND THEY ARE REVIEWED BY THE AAF RESEARCH PROGRAM MANAGER TO ENSURE COMPLIANCE WITH AAF POLICY. 1 COMMUNITY COUNSELING SERVICE CO INC 461 FIFTH AVENUE 3RD FLOOR NEW YORK NY 10017 PROSPECT RESEARCH 0 0 60000 -60000 60000 -60000 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY 1 BOARD OF REGENTS OF THE UNIVERSITY OF WISCONSIN 21 N PARK STREET SUITE 6401 MADISON WI 537151218 396006492 PUBLIC UNIVERSITY 250000 BASIC RESEARCH CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 441067037 341018992 501(C)(3) 150000 BASIC RESEARCH CLEVELAND CLINIC PO BOX 931531 CLEVELAND OH 44193 340714585 501(C)(3) 500000 BASIC RESEARCH CREIGHTON UNIVERSITY 2500 CALIFORNIA DRIVE PLAZA OMAHA NE 68178 470376583 501(C)(3) 150000 BASIC RESEARCH JOHNS HOPKINS UNIVERSITY 1259 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 520595110 501(C)(3) 400000 BASIC RESEARCH NIHNIDCR BLDG 31 ROOM 2C39 9000 ROCKVILLE PIKE BETHESDA MD 20892 520858115 501(C)(3) 83000 BASIC RESEARCH NIHNIDDK BLDG 31 ROOM 9A34 BETHESDA MD 20892 500858115 501(C)(3) 157000 BASIC RESEARCH PRESIDENT AND FELLOWS OF HARVARD COLLEGE HARVARD MEDICAL SCHOOL PO BOX 415649 BOSTON MA 122415649 042103580 501(C)(3) 150000 BASIC RESEARCH REGENTS OF UNIVERSITY OF CALIFORNIA DAVIS PO BOX 989062 WEST SACRAMENTO CA 957989062 946036494 PUBLIC UNIVERSITY 250000 BASIC RESEARCH REGENTS OF UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE DEPT 0954 LA JOLLA CA 920930954 956006114 PUBLIC UNIVERSITY 250000 BASIC RESEARCH REGENTS OF UNIVERSITY OF CALIFORNIA SAN FRANCISCO 1855 FOLSOM STREET MCB 425 SAN FRANCISCO CA 941430897 946036493 PUBLIC UNIVERSITY 300000 BASIC RESEARCH REGENTS OF UNIVERSITY OF CALIFORNIA SAN FRANCISCO 1855 FOLSOM STREET MCB 425 SAN FRANCISCO CA 941430897 946036493 PUBLIC UNIVERSITY 492400 ADMINISTRATION SABAN RESEARCH INSTITUTE 4650 SUNSET BLVD MAIL STOP 97 LOS ANGELES CA 900276062 956121916 501(C)(3) 150000 BASIC RESEARCH ST JUDE CHILDREN'S RESEARCH HOSPITAL PO BOX 1000 DEPT 949 MEMPHIS TN 381480949 162064612 501(C)(3) 150000 BASIC RESEARCH STANFORD UNIVERSITY PO BOX 44253 STANFORD CA 941444253 941156365 501(C)(3) 150000 BASIC RESEARCH THE FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE OFFICE OF GRANTS AND CONTRACTS MANHASSET NY 11030 112673595 501(C)(3) 245000 BASIC RESEARCH THE TRUSTEES OF COLUMBIA UNIVERSITY NEW YORK CITY SPONSORED PROJECTS FIN GENERAL POST OFFICE PO BOX 29789 NEW YORK NY 100879789 135598093 501(C)(3) 250000 BASIC RESEARCH TRUSTEES OF PRINCETON UNIVERSITY 701 CARNEGIE CENTER PRINCETON NJ 08544 210634501 501(C)(3) 150000 BASIC RESEARCH UNIVERSITY OF NORTH CAROLINACHAPEL HILL LOCK BOX SERVICE PO BOX 402420 ATLANTA GA 303842420 566001393 PUBLIC UNIVERSITY 150000 BASIC RESEARCH UNIVERSITY OF TEXAS MD ANDERSON CANCER CENTER GRANTS CONTRACTS PO BOX 4390 HOUSTON TX 772104390 746000949 PUBLIC UNIVERSITY 250000 BASIC RESEARCH UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE ROOM 406 SALT LAKE CITY UT 84122 876000525 PUBLIC UNIVERSITY 250000 BASIC RESEARCH UNIVERSITY OF VIRGINIA PO BOX 400195 CHARLOTTESVILLE VA 229044195 546001796 PUBLIC UNIVERSITY 150000 BASIC RESEARCH UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 60693 916001537 PUBLIC UNIVERSITY 250000 BASIC RESEARCH VAN ANDEL RESEARCH INSTITUTE 333 BOSTWICK AVENUE NE GRAND RAPIDS MI 49503 522000823 501(C)(3) 250000 BASIC RESEARCH VIRGINIA COMMONWEALTH UNIVERSITY PO BOX 843039 RICHMOND VA 232843039 546001758 PUBLIC UNIVERSITY 250000 BASIC RESEARCH WASHINGTON UNIVERSITY CAMPUS BOX 1034 - 700 ROSEDALE AVE ST LOUIS MO 631121408 430653611 501(C)(3) 400000 BASIC RESEARCH YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 065081873 060646973 501(C)(3) 150000 BASIC RESEARCH REGENTS OF UNIVERSITY OF CALIFORNIA BERKELEY 2195 HEARST AVE RM 130 MAIL CODE 1103 BERKELEY CA 94720 946002123 PUBLIC UNIVERSITY 250000 BASIC RESEARCH 28 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ON AN ANNUAL BASIS, EACH AWARDEE REPORTS HIS/HER RESEARCH ACTIVITIES AND FINDINGS TO THE AAF'S SCIENTIFIC REVIEW BOARD, WHICH EVALUATES THE WORK TO DETERMINE WHETHER SUFFICIENT PROGRESS HAS BEEN MADE TO JUSTIFY CONTINUED FUNDING FOR THE PROJECT. INSTITUTIONS ADMINISTERING THE RESEARCH AWARD ARE REQUIRED TO SUBMIT ANNUALLY A REPORT OF EXPENDITURES OF GRANT FUNDS TO THE AAF RESEARCH PROGRAM MANAGER. EXPENDITURE REPORTS ARE CERTIFIED BY BOTH THE AWARDEE AND THE INSTITUTION, AND THEY ARE REVIEWED BY THE AAF RESEARCH PROGRAM MANAGER TO INSURE COMPLIANCE WITH AAF POLICY. X X 0 0 0 0 0 0 0 0 0 STEVE DAETZ 0 344146 0 0 0 0 0 49000 0 28467 0 421613 0 0 CHARLOTTE E BIERN 0 217275 0 0 0 0 0 29496 0 16407 0 263178 0 0 FORM 990, PART VI, SECTION A, LINE 2 BERNARD OSHER IS THE BROTHER OF MARION SANDLER. FORM 990, PART VI, SECTION A, LINE 6 THE SANDLER FOUNDATION IS THE AMERICAN ASTHMA FOUNDATION'S SOLE MEMBER. PER THE AAF'S BY-LAWS, THE SANDLER FOUNDATION HAS THE RIGHT TO SET THE NUMBER OF DIRECTORS; APPOINT AND REMOVE DIRECTORS; CONSENT TO THE BOARD'S APPROVAL OF SUBORDINATE OFFICERS; INSPECT AND COPY ALL BOOKS, RECORDS AND DOCUMENTS OF ANY KIND AND TO INSPECT THE PHYSICAL PROPERTIES OF THE CORPORATION; APPROVE CERTAIN AMENDMENTS TO THE BY-LAWS PERTAINING TO THE NUMBER AND TERMS OF THE DIRECTORS; AMEND EXISTING BY-LAWS AND ADOPT NEW BY-LAWS; AND HAVE ANY RIGHTS ACCRUING TO MEMBERS UNDER THE CALIFORNIA NONPROFIT CORPORATION LAW. FORM 990, PART VI, SECTION A, LINE 7A THE SANDLER FOUNDATION, AS SOLE MEMBER, HAS THE RIGHT TO APPOINT MEMBERS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B THE SANDLER FOUNDATION, AS SOLE MEMBER, HAS THE RIGHT TO APPOINT MEMBERS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11 THE AAF HAS ITS FORM 990 PREPARED BY AN OUTSIDE ACCOUNTING FIRM. THE AAF HAS ESTABLISHED THE FOLLOWING REVIEW PROCESSES TO ENSURE THAT THE INFORMATION REPORTED IS ACCURATE AND COMPLETE. AFTER THE FORM 990 HAS BEEN PREPARED BY THE OUTSIDE ACCOUNTING FIRM, IT IS REVIEWED BY MANAGEMENT. PRIOR TO FILING WITH THE IRS, IT IS SUBMITTED TO THE AAF'S BOARD OF DIRECTORS. ANY ISSUES RAISED BY BOARD MEMBERS ARE RESOLVED PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE CODE OF CONDUCT IS GIVEN TO EACH NEW HIRE WHO SIGNS THAT THEY HAVE READ AND UNDERSTOOD THE POLICY. THE CODE OF CONDUCT IS ALSO PROVIDED TO THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION OF THE EXECUTIVE DIRECTOR, CHARLOTTE E. BIERN, WHO JOINED THE AAF ON APRIL 1, 2011, WAS DETERMINED BY AN ARMS-LENGTH NEGOTIATION BETWEEN THE AAF'S CHAIRMAN MARION O. SANDLER AND MS. BIERN BASED UPON HER PRIOR COMPENSATION IN NON-PROFIT ORGANIZATIONS AND THE AAF'S KNOWLEDGE OF COMPENSATION PRACTICES IN OTHER NON-PROFIT ORGANIZATIONS. THE EXECUTIVE COMMITTEE APPROVED THE COMPENSATION OF MS. BIERN. FORM 990, PART VI, SECTION C, LINE 19 DOCUMENTS ARE MADE AVAILABLE UPON REQUEST. FORM 990, PART VII, LINE 1A: 10 OF MARION SANDLER'S HOURS REPORTED IN COLUMN (B) ARE WHOLLY ATTRIBUTABLE TO WORK PERFORMED FOR THE RELATED ORGANIZATION. $17,239 OF ELLEN REINTJES' COMPENSATION REPORTED IN COLUMN (E) AND 2.5 OF THE HOURS REPORTED IN COLUMN (B) ARE WHOLLY ATTRIBUTABLE TO WORK PERFORMED FOR THE RELATED ORGANIZATION. $421,612 AND STEVE DAETZ' COMPENSATION REPORTED IN COLUMN (E) AND 39 OF THE HOURS REPORTED IN COLUMN (B) ARE WHOLLY ATTRIBUTABLE TO WORK PERFORMED FOR THE RELATED ORGANIZATION. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. ELECTION TO VOLUTARILY WIND UP AND DISSOLVE IN MARCH 2012, THE FOUNDATION'S SOLE MEMBER AND BOARD OF DIRECTORS ADOPTED RESOLUTIONS APPROVING THE DISSOLUTION AND WINDING UP OF THE FOUNDATION. UPON DISSOLUTION, THE REMAINING ASSETS OF THE FOUNDATION WILL BE TRANSFERRED TO A DONOR ADVISED FUND AT THE JEWISH COMMUNITY FEDERATION OF SAN FRANCISCO, THE PENINSULA, MARIN AND SONOMA COUNTIES TO CONTINUE SUPPORTING THE ASTHMA RESEARCH PROGRAM THAT HAD BEEN ADMINISTERED BY THE FOUNDATION. REMAINING LIABILITIES OF THE FOUNDATION AT DISSOLUTION WILL BE ASSUMED BY THE SANDLER FOUNDATION. FORM 990, PART IX: THE AMERICAN ASTHMA FOUNDATION (AAF) HAS NO EMPLOYEES. AAF HAS ENTERED INTO A MEMORANDUM OF UNDERSTANDING WITH THE SANDLER FOUNDATION, PURSUANT TO WHICH: (I) THE SANDLER FOUNDATION HAS AGREED TO PROVIDE THE AAF STAFF WITH COMPENSATION, BENEFITS, OFFICE SPACE, AND USE OF EQUIPMENT UNTIL SUCH SERVICES ARE TRANSFERRED TO AAF, AND (II) A REASONABLE ALLOCATION OF EXPENSES FOR SUCH SERVICES IS MADE, RESULTING IN PERIODIC REIMBURSEMENT OF SUCH EXPENSES BY AAF TO THE SANDLER FOUNDATION. FORM 990, PART V, QUESTION 2A: THE SANDLER FOUNDATION FILES FORM W-3, TRANSMITTAL OF WAGE AND TAX STATEMENTS, ON BEHALF OF THE ORGANIZATION. SANDLER FOUNDATION 121 STEUART STREET SAN FRANCISCO CA 94105 943147856 SUPPORTING THE JEWISH COMM. FED.OF SF,THE PENIN. MARIN & SONOMA COUNTIES, CA 501(C)(3) LINE 11A, I 0 0 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 0 0