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FIN 48 FOOTNOTE SCHEDULE D, PART X, LINE 2 THE INSTITUTE DID NOT RECOGNIZE A CHANGE IN LIABILITY FOR UNRECOGNIZED TAX BENEFITS (THE DIFFERENCE BETWEEN A TAX POSITION TAKEN, OR EXPECTED TO BE TAKEN, IN A TAX RETURN AND THE BENEFIT RECOGNIZED AND MEASURED IN THE FINANCIAL STATEMENTS). THE INSTITUTE'S LIABILITY FOR UNRECOGNIZED TAX BENEFITS WAS $0 AT JUNE 30, 2011 AND 2010. SCHEDULE D PART XI, LINE 8 AND PART XIII, LINE 2D UNREALIZED GAIN ON INTEREST RATE SWAP OF $(474,895). Europe (including Iceland and Greenland) 0 58 Program Services SCI. CONF & COLLAB. 147253 East Asia and the Pacific 0 20 Program Services SCI. CONF & COLLAB. 55979 North America 0 7 Program Services SCI. CONF & COLLAB. 8232 South Asia 0 2 Program Services SCI. CONF & COLLAB. 4315 Middle East and North Africa 0 2 Program Services SCI. CONF & COLLAB. 1412 Russia and the Newly Independent States 0 3 Program Services SCI. CONF & COLLAB. 3692 South America 0 6 Program Services SCI. CONF & COLLAB. 12790 0 77 0 98 233673 233673 false false false false false false SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 3 SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE DOES NOT MAINTAIN ONGOING OPERATIONS IN FOREIGN JURISDICTIONS. HOWEVER, THE INSTITUTE'S SCIENTISTS DO TRAVEL TO VARIOUS SCIENTIFIC CONFERENCES IN OTHER COUNTRIES TO SHARE THE INSTITUTE'S SCIENTIFIC DISCOVERIES, AS WELL AS TO LEARN FROM OTHER SCIENTISTS ACROSS THE WORLD. ACCOUNTING METHOD SCHEDULE F, PART I, LINE 3, COLUMN F ACCRUAL METHOD GALA 1203361 1161361 42000 92491 106041 36483 BRING IT 137177 109677 27500 3091 36467 74500 26488 1 101853 101853 0 39249 1442391 1372891 69500 3091 128958 180541 102220 414810 -345310 X X true true X X X X X X false true false false false false false true false FRED LEVINE MD PHD 191727 0 20600 0 1333 0 19318 0 11517 0 244495 0 10300 0 CARL WARE PHD 141328 0 0 0 943 0 8438 0 15849 0 166558 0 0 0 JOHN C REED MD PHD 633452 0 313000 0 1423 0 509500 0 19031 0 1476406 0 156500 0 KRISTIINA VUORI MD PHD 555416 0 92812 0 877 0 324500 0 38148 0 1011753 0 46406 0 GARY F RAISL EDD 383883 0 100000 0 2988 0 64750 0 46759 0 598380 0 43750 0 DANIEL KELLY MD 425661 0 66051 0 1633 0 45744 0 43204 0 582293 0 20647 0 STUART LIPTON MD PHD 427621 0 42347 0 3229 0 35405 0 39132 0 547734 0 21174 0 PAUL LAIKIND 297798 0 0 0 1808 0 62500 0 24685 0 386791 0 0 0 EDGAR GILLENWATERS 219156 0 54875 0 8652 0 41523 0 33515 0 357721 0 27438 0 BLAIR BLUM 264036 0 52137 0 3229 0 29500 0 14892 0 363794 0 26069 0 BENEFITS PROVIDED BY ORGANIZATION SCHEDULE J, PART I, QUESTION 1A THE CEO AND THE PRESIDENT USED FIRST CLASS TRAVEL AS AN UPGRADE WHEN AVAILABLE. THEY USED THEIR MILES IN CONJUNCTION WITH AN ADDITIONAL FEE PAID BY THE INSTITUTE. THIS WAS NOT TREATED AS TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES ARE NEGOTIATED IN THE HIRING PROCESS FOR CERTAIN EMPLOYEES. THE AMOUNTS WERE TREATED AS TAXABLE COMPENSATION. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, QUESTION 4B THE PARTICIPANTS OF THE 457(F) DEFERRRED COMPENSATION PLAN ARE JOHN REED AND KRISTIINA VUORI. VESTING FOR JOHN REED OCCURS THE EARLIEST OF 1/1/2019, OR DISABILITY, OR INVOLUNTARY TERMINATION WITHOUT CAUSE, OR PARTICPANT'S RESIGNATION FOR GOOD CAUSE, OR THE DATE OF TERMINATION OF THE PLAN. VESTING FOR KRISTIINA VUORI OCCURS THE EARLIEST OF 4/1/2015, OR INVOLUNTARY TERMINATION WITHOUT CAUSE, OR PARTICIPANT'S RESIGNATION FOR GOOD CAUSE, OR THE DATE OF TERMINATION OF THE PLAN. DISTRIBUTIONS FOR BOTH PARTICIPANTS IS A ONE-TIME LUMP SUM PAYMENT UPON VESTING OF 100% OF THE VALUE OF THE PARTICIPANT'S INVESTMENT (COMPRISED OF INSTITUTE CONTRIBUTIONS TO THE CORPUS PLUS ANY INVESTMENT GAINS OR LOSSES THEREON). NON-FIXED PAYMENTS SCHEDULE J, PART I, QUESTION 7 SOME SENIOR EXECUTIVES HAVE EMPLOYMENT CONTRACTS STIPULATING THAT A BONUS WILL BE PAID TO THEM PROVIDED CERTAIN GOALS OR ACCOMPLISHMENTS ARE ACHIEVED. RETIREMENT AND OTHER DEFERRED COMPENSATION SCHEDULE J, PART II, COLUMN (C) THE AMOUNT REPORTED IN SCHEDULE J, PART II, COLUMN (C) FOR JOHN REED INCLUDES AN ACCRUAL OF $350,000 RELATED TO THE 457(F) PLAN DESCRIBED ABOVE AND FOR KRISTIINA VUORI AN ACCRUAL OF $225,000 RELATED TO THE 457(F) PLAN DESCRIBED ABOVE. THESE AMOUNTS ARE NOT VESTED AND ARE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE. 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DANIEL KELLY QUAL. EMPLOYEE RELOC X 500000 500000 false true true STUART LIPTON QUAL. EMPLOYEE RELOC X 400000 217475 false true true GARY RAISL QUAL. EMPLOYEE RELOC X 225000 225000 false true true 942475 LOCKTON TRUSTEE - DOUG OBENSHAIN 1182902 INSURANCE SERVICES false LIFE TECHNOLOGIES TRUSTEE - GREG LUCIER 1873154 SUPPLIES AND SERVICES false INVITROGEN APPLIED BIOSYSTEM PHILIP GRAHAM - SON OF TRUSTEE TRUSTEE - GAYLE WILSON 120933 COMPENSATION false BUSINESS TRANSACTION WITH INTERESTED PERSON SCHEDULE L, PART IV AMOUNT REPORTED FOR LOCKTON INCLUDE PREMIUMS PASSED THROUGH TO INSURANCE CARRIERS IN ADDITION TO BROKERAGE FEES PAID OF APPROXIMATELY $180,000. X 9 2061927 COST/SELLING PRICE X DONOR EVENT PRIZES 2 3091 COST/SELLING PRICE 0 false false false ORGANIZATION'S MISSION FORM 990 - PART I, LINE 1 & PART III, LINE 1 SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE CONDUCTS WORLD-CLASS COLLABORATIVE RESEARCH DEDICATED TO FINDING CURES FOR HUMAN DISEASE, IMPROVING THE QUALITY OF LIFE, AND THUS CREATING A LEGACY FOR ITS EMPLOYEES, PARTNERS, DONORS, AND COMMUNITY. PROGRAM SERVICE ACCOMPLISHMENTS FORM 990, PART III, LINE 4A SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE IS DEDICATED TO DISCOVERING THE FUNDAMENTAL MOLECULAR CAUSES OF DISEASE AND DEVISING THE INNOVATIVE THERAPIES OF TOMORROW. SANFORD-BURNHAM TAKES A UNIQUE, COLLABORATIVE APPROACH TO MEDICAL RESEARCH AND HAS ESTABLISHED MAJOR RESEARCH PROGRAMS IN CANCER, NEURODEGENERATION, DIABETES, AND INFECTIOUS, INFLAMMATORY, AND CHILDHOOD DISEASES. IN THE AREA OF CANCER RESEARCH: IN A STUDY PUBLISHED IN THE JULY 13, 2010 ISSUE OF CANCER CELL, A TEAM OF INVESTIGATORS LED BY ZE'EV RONAI, PH.D. AT SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE (SANFORD-BURNHAM) HAS IDENTIFIED A SERIES OF PROTEINS THAT MIGHT MAKE IT EASIER FOR DOCTORS TO BETTER DIAGNOSE THE MORE METASTATIC FORMS OF PROSTATE CANCER. THE STUDY UNCOVERS A PROTEIN NAMED SIAH2, WHICH INITIATES A CASCADE OF MOLECULAR EVENTS THAT TURNS A NON-MALIGNANT TUMOR INTO A METASTATIC NEUROENDOCRINE TUMOR. IN COLLABORATION WITH FOUR OTHER MEDICAL CENTERS ACROSS THE UNITED STATES, DR. RONAI AND HIS COLLEAGUES ANALYZED HUMAN PROSTATE CANCER SAMPLES AND FOUND THAT SIAH2 AND THE OTHER PROTEINS IT TRIGGERS IS DETECTED MORE OFTEN IN THE AGGRESSIVE NEUROENDOCRINE FORMS OF PROSTATE TUMORS THAN IN OTHER TYPES. BY ACTING AS MARKERS FOR PARTICULARLY AGGRESSIVE PROSTATE CANCERS, SIAH2 AND ITS PARTNERS COULD PROVIDE DOCTORS WITH AN EARLY WARNING SIGN FOR TUMORS THAT ARE LIKELY TO METASTASIZE. ZE'EV RONAI, PH.D., AND RESEARCHERS AT SANFORD-BURNHAM RECENTLY USED A MELANOMA MOUSE MODEL, CELL CULTURES AND HUMAN TISSUE SAMPLES TO UNRAVEL THE RELATIONSHIP BETWEEN MITF AND ATF2, A TRANSCRIPTION FACTOR (OR PROTEIN THAT CONTROLS GENE EXPRESSION) THAT IS MORE ACTIVE IN MELANOMAS. THE STUDY, PUBLISHED DECEMBER 23, 2010 IN PLOS GENETICS, DEMONSTRATES THAT THE MITF IS SUBJECT TO NEGATIVE REGULATION BY ATF2, AND SUCH REGULATION IS A KEY DETERMINANT IN MELANOMA DEVELOPMENT. THIS WORK ALSO REVEALS THAT THE RATIO OF ATF2 TO MITF IN THE NUCLEUS OF MELANOMA CELLS CAN PREDICT SURVIVAL IN MELANOMA PATIENTS - RELATIVELY HIGH AMOUNTS OF ATF2 AND CORRESPONDINGLY LOW MITF LEVELS WERE ASSOCIATED WITH A POOR PROGNOSIS. THE STUDY PROVIDES THE FIRST GENETIC EVIDENCE TO SUPPORT THE INITIAL OBSERVATIONS, SHOWING THAT MICE LACKING ATF2 IN MELANOCYTES DO NOT DEVELOP MELANOMA EVEN IF THEY CARRY MUTATIONS SEEN IN HUMAN MELANOMA. RESEARCHERS LED BY DR. RANJAN PERERA AT SANFORD-BURNHAM, AND COLLABORATORS AT THE UNIVERSITY OF QUEENSLAND IN AUSTRALIA, HAVE DISCOVERED THAT LEVELS OF A RELATIVELY UNDERSTUDIED GROUP OF RNAS - LONG, NON-CODING RNA (LNCRNA) - ARE ALTERED IN HUMAN MELANOMA. THEIR STUDY, PUBLISHED ONLINE MAY 10, 2011 BY THE JOURNAL CANCER RESEARCH, SHOWS THAT ONE LNCRNA CALLED SPRY4-IT1 IS ELEVATED IN MELANOMA CELLS, WHERE IT PROMOTES CELLULAR SURVIVAL AND INVASION. TRADITIONALLY, RNA WAS MOSTLY KNOWN AS THE MESSENGER MOLECULE THAT CARRIES PROTEIN-MAKING INSTRUCTIONS FROM A CELL'S NUCLEUS TO THE CYTOPLASM. BUT SCIENTISTS NOW ESTIMATE THAT APPROXIMATELY 97 PERCENT OF HUMAN RNA DOESN'T ACTUALLY CODE FOR PROTEINS AT ALL. IN THE AREA OF NEUROSCIENCE AND AGING RESEARCH: STUART A. LIPTON, M.D., PH.D., AND A TEAM OF RESEARCHERS AT SANFORD-BURNHAM HAVE REVEALED FINDINGS THAT SHOW THAT NITRIC OXIDE, OR NO CAN ACTUALLY JUMP FROM ONE PROTEIN TO ANOTHER IN MOLECULAR PATHWAYS THAT LEAD TO CELLULAR SUICIDE. PREVIOUSLY THEY HAVE SHOWN THAT NO AND RELATED MOLECULES CAN CONTRIBUTE TO EITHER NERVE CELL DEATH OR NERVE CELL SURVIVAL. WITH THIS NEW FINDING, THEY HAVE A MOLECULAR CLUE TO THE CAUSE OF NERVE CELL DEATH IN PARKINSON'S, ALZHEIMER'S, AND HUNTINGTON'S DISEASES, WHICH CAN BE USED TO BETTER DIAGNOSE AND TREAT THESE DISEASES. ALTHOUGH THEIR GENETIC UNDERPINNINGS DIFFER, ALZHEIMER'S DISEASE, PARKINSON'S DISEASE AND HUNTINGTON'S DISEASE ARE ALL CHARACTERIZED BY THE UNTIMELY DEATH OF BRAIN CELLS. THE RESEARCH WAS PUBLISHED IN THE JULY 30, 2010 ISSUE OF MOLECULAR CELL. A SANFORD-BURNHAM TEAM LED BY BARBARA RANSCHT, PH.D. AND PILAR RUIZ-LOZANO, PH.D. REVEALED THAT THE PROTEIN T-CADHERIN IS THE RECEPTOR THAT ANCHORS CARDIOPROTECTIVE HORMONE CALLED ADIPONECTIN TO HEART CELLS. THE STUDY, PUBLISHED NOVEMBER 1, 2010 IN THE JOURNAL OF CLINICAL INVESTIGATION, HELPS ANSWER THE LONGSTANDING QUESTION ABOUT HOW ADIPONECTIN PREVENTS STRESS-INDUCED DAMAGE IN THE HEART. FAT TISSUE IS INCREASINGLY SEEN AS MORE THAN JUST A STORAGE DEPOT - IT'S ALSO AN ACTIVE SECRETORY ORGAN THAT NORMALLY PRODUCES HIGH LEVELS OF ADIPONECTIN. SANFORD-BURNHAM RESEARCHERS LED BY SEAN OLDHAM, PH.D., AND ROLF BODMER, PH.D., RECENTLY CREATED A SIMPLE MODEL TO LINK HIGH-FAT DIET, OBESITY AND HEART DYSFUNCTION. USING FRUIT FLIES, THEY DISCOVERED THAT A PROTEIN CALLED TOR INFLUENCES FAT ACCUMULATION IN THE HEART. THEIR STUDY, PUBLISHED NOVEMBER 3, 2010 IN THE JOURNAL CELL METABOLISM, ALSO DEMONSTRATES THAT MANIPULATING TOR PROTECTS THE HEARTS OF OBESE FLIES FROM DAMAGE CAUSED BY HIGH-FAT DIETS. THEY HAD PREVIOUSLY NOTICED THAT REDUCING TOR HAD A LARGE NUMBER OF BENEFICIAL EFFECTS ON AGING. IN THIS STUDY THE RESEARCHERS ESTABLISHED THE FRUIT FLY AS A MODEL FOR OBESITY CAUSED BY A HIGH-FAT DIET. A TEAM AT SANFORD-BURNHAM, LED BY ROLF BODMER, PH.D. UNRAVELED AN ALTERNATIVE PATHWAY TO LIPOTOXIC CARDIOMYOPATHY, A CONDITION WHERE HEART FUNCTION IS DISRUPTED BY FAT ACCUMULATION IN HEART CELLS. OBESITY AND HIGH-FAT DIETS ARE MAJOR RISK FACTORS FOR LIPOTOXIC CARDIOMYOPATHY. WORKING WITH FRUIT FLIES, THE RESEARCHERS DISCOVERED A GENETIC MECHANISM THAT OCCURS INDEPENDENTLY OF A DIET HIGH IN FAT. THEIR STUDY, PUBLISHED IN THE JANUARY 15, 2011 ISSUE OF GENES & DEVELOPMENT, LAYS THE FOUNDATION FOR THE DEVELOPMENT OF NEW WAYS TO COMBAT LIPOTOXIC CARDIOMYOPATHY AND OTHER TYPES OF HEART DISEASE. A TEAM LED BY SANFORD-BURNHAM RESEARCHER ALEXEY TERSKIKH, PH.D., FOUND THAT EXPRESSION OF A GENE CALLED SOX2 MAINTAINS THE POTENTIAL FOR NEURAL CREST STEM CELLS TO BECOME NEURONS IN THE PERIPHERAL NERVOUS SYSTEM, WHERE THEY INTERFACE WITH MUSCLES AND OTHER ORGANS. EARLY IN EMBRYONIC DEVELOPMENT, THE NEURAL CREST - A TRANSIENT GROUP OF STEM CELLS - GIVES RISE TO PARTS OF THE NERVOUS SYSTEM AND SEVERAL OTHER TISSUES. BUT LITTLE IS KNOWN ABOUT WHAT DETERMINES WHICH CELLS BECOME NEURONS AND WHICH BECOME OTHER CELL TYPES. THEIR RESULTS, PUBLISHED ONLINE MAY 5, 2011 BY THE JOURNAL CELL STEM CELL, COULD HELP BETTER INFORM THERAPIES AIMED AT NEUROCRISTOPATHIES, DISEASES CAUSED BY DEFECTS IN THE NEURAL CREST OR NEURONS, WHICH INCLUDE MICROPHTHALMIA AND CHARGE SYNDROME. IN THE AREA OF DIABETES AND OBESITY RESEARCH: DANIEL KELLY, M.D., AND HIS COLLEAGUES AT SANFORD-BURNHAM UNVEILED A SURPRISING NEW MODEL FOR STUDYING MUSCLE FUNCTION: THE COUCH POTATO MOUSE. WHILE THESE MICE MAINTAIN NORMAL ACTIVITY AND BODY WEIGHT, THEY DO NOT HAVE THE ENERGY TO EXERCISE. IN THE DECEMBER 1, 2010 ISSUE OF CELL METABOLISM, DR. KELLY'S TEAM REPORTS WHAT HAPPENS WHEN MUSCLE TISSUE LACKS PGC-1, A PROTEIN COACTIVATOR THAT MUSCLES NEED TO CONVERT FUEL INTO ENERGY. NORMALLY, PHYSICAL STIMULATION BOOSTS PGC-1 ACTIVITY IN MUSCLE CELLS, WHICH SWITCHES ON GENES THAT INCREASE FUEL STORAGE, ULTIMATELY LEADING TO "TRAINED" MUSCLE (THE PHYSICAL CONDITION MOST PEOPLE HOPE TO ATTAIN THROUGH EXERCISE). IN OBESE INDIVIDUALS, PGC-1 LEVELS DROP, POSSIBLY FURTHER REDUCING A PERSON'S CAPACITY TO EXERCISE - CREATING A VICIOUS CYCLE. IN THIS STUDY, MICE WITHOUT MUSCLE PGC-1 LOOKED NORMAL AND WALKED AROUND WITHOUT DIFFICULTY, BUT COULD NOT RUN ON A TREADMILL. SANFORD-BURNHAM'S TIMOTHY OSBORNE, PH.D., AND HIS TEAM FOUND THAT A PROTEIN SENSOR KNOWN TO BALANCE CHOLESTEROL SOURCES CAN ALSO ACCESS A PREVIOUSLY UNDERAPPRECIATED CELLULAR FAT STORAGE DEPOT. THE SENSOR, CALLED STEROL REGULATORY ELEMENT-BINDING PROTEIN 2 (SREBP-2), MONITORS CELLULAR CHOLESTEROL LEVELS AND RESPONDS TO LOW LEVELS BY SWITCHING ON GENES THAT ALLOW THE CELL TO EITHER 1) TAKE UP MORE FROM THE BLOODSTREAM OR 2) MANUFACTURE MORE FROM CHOLESTEROL BUILDING BLOCKS INSIDE THE CELL. THE RESEARCHERS ALSO UNCOVERED A THIRD CHOLESTEROL SOURCE ALSO CONTROLLED BY SREBP-2: FAT DROPLETS STORED INSIDE THE CELL ITSELF. THE STUDY WAS PUBLISHED APRIL 6, 2011 IN THE JOURNAL CELL METABOLISM. IN THE AREA OF CHILDREN'S HEALTH RESEARCH: AT SANFORD-BURNHAM, A TEAM OF SCIENTISTS LED BY PIER LORENZO PURI, M.D., PH.D., RECENTLY UNCOVERED THE MOLECULAR MESSENGERS THAT TRANSLATE INFLAMMATORY SIGNALS INTO THE GENETIC CHANGES THAT TELL MUSCLE STEM CELLS TO DIFFERENTIATE. UNDER NORMAL CIRCUMSTANCES, ADULT STEM CELLS RESIDE IN MUSCLE TISSUE, WHERE THEY CAN DIFFERENTIATE INTO A NUMBER OF DIFFERENT CELL TYPES. AFTER AN INJURY (OR EVEN A TOUGH WORKOUT), MUSCLES ARE INFLAMED AS CELLS AND MOLECULES FLOOD THE AREA TO CONTROL DAMAGE AND BEGIN REPAIRS. WHEN CALLED UPON TO REPLACE MUSCLE TISSUE DAMAGED BY INJURY OR GENETIC DISEASE, SOME MUSCLE STEM CELLS DIFFERENTIATE, BECOMING NEW MUSCLE CELLS, WHILE OTHERS MAKE MORE STEM CELLS. WRITING IN THE OCTOBER 8, 2010 ISSUE OF THE JOURNAL CELL STEM CELL, DR. PURI AND COLLEAGUES REVEAL FUNDAMENTAL MECHANISMS THAT COULD BE MANIPULATED TO ENHANCE HOW MUSCLE STEM CELLS REGENERATE INJURED OR DISEASED MUSCLES. THESE FINDINGS COULD LEAD TO NEW TREATMENTS FOR DISEASES LIKE MUSCULAR DYSTROPHY. IN THE AREA OF INFECTIOUS AND INFLAMMATORY DISEASES: A STUDY LED BY ROBERT RICKERT, PH.D., AT SANFORD-BURNHAM EXPLORED THE ROLES OF TWO ENZYMES INVOLVED IN LYMPHOMA, A CANCER OF THE IMMUNE SYSTEM. THE RESEARCH EXPLORED THE ROLE OF THE ENZYMES, CALLED SHIP AND PTEN, IN B CELL GROWTH AND PROLIFERATION. LYMPHOMA IS A CANCER OF THE IMMUNE SYSTEM. WHITE BLOOD CELLS DIVIDE AGAIN AND AGAIN, SPREADING ABNORMALLY THROUGHOUT THE BODY. LYMPHOMAS CAN ARISE FROM TWO TYPES OF WHITE BLOOD CELLS, T CELLS OR B CELLS, WHICH DIVIDE UNCONTROLLABLY WHEN THE MOLECULAR MECHANISMS THAT KEEP THEM IN CHECK GO AWRY. THE RESULTS, PUBLISHED ONLINE ON OCTOBER 18, 2010 IN THE JOURNAL OF EXPERIMENTAL MEDICINE, SHOW THAT SHIP AND PTEN ACT COOPERATIVELY TO SUPPRESS B CELL LYMPHOMA. THIS NEW INFORMATION COULD IMPACT SEVERAL ANTI-LYMPHOMA THERAPIES CURRENTLY IN DEVELOPMENT. PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW FORM 990 FORM 990, PART VI, LINE 11B THE 990 IS PREPARED BY THE FINANCE DEPARTMENT. IT IS REVIEWED BY THE INSTITUTE'S TAX ADVISORS, SELECTED MEMBERS OF MANAGEMENT INCLUDING OFFICERS, AND THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND MADE AVAILABLE TO THE MEMBERS OF THE BOARD PRIOR TO FILING. PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW FORM 990 FORM 990, PART VI, LINE 11B THE 990 IS PREPARED BY THE FINANCE DEPARTMENT. IT IS REVIEWED BY THE INSTITUTE'S TAX ADVISORS, SELECTED MEMBERS OF MANAGEMENT INCLUDING OFFICERS, AND THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND MADE AVAILABLE TO THE MEMBERS OF THE BOARD PRIOR TO FILING. DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICT OF INTEREST FORM 990, PART VI, QUESTION 12C ANNUALLY, THE INSTITUTE REQUIRES BOARD OF TRUSTEE APPROVAL OF COMPENSATION ADJUSTMENTS AND TOTAL COMPENSATION LEVELS FOR ALL OFFICERS AND OTHER "DISQUALIFIED PERSONS" (AS DEFINED BY IRC SECTION 4958). THE COMPENSATION COMMITTEE, A COMMITTEE DESIGNATED BY THE BOARD, IS RESPONSIBLE FOR THE PROCESS AND ENGAGING AN INDEPENDENT CONSULTING FIRM TO ASSIST IT IN REVIEWING THE TOTAL COMPENSATION PACKAGES (INCLUDING CASH AND NON-CASH BENEFITS) FOR THESE IDENTIFIED PERSONS. THE CONSULTANT REVIEWS THE VARIOUS TYPES OF DIRECT CASH COMPENSATION INCLUDING BASE SALARIES AND ANNUAL INCENTIVE AWARD OPPORTUNITIES AND PAYMENTS. IN ADDITION, THE CONSULTANT PROVIDES THE COMMITTEE AN ASSESSMENT OF TOTAL COMPENSATION INCLUDING THE CASH COMPONENTS MENTIONED ABOVE, PLUS EXECUTIVE BENEFITS AND PERQUISITES. THE CONSULTANT COLLECTS INFORMATION FROM VARIOUS SURVEY SOURCES COVERING NOT-FOR PROFIT AND FOR-PROFIT ORGANIZATIONS SIMILAR IN SIZE AND REFLECTING THE TALENT MARKETS FROM WHICH THE INSTITUTE DRAWS EXECUTIVE TALENT. THE NUMBER OF FOR-PROFIT ORGANIZATIONS USED IN THE SURVEY PROCESS DOES NOT EXCEED 50% OF THE TOTAL ORGANIZATIONS USED. THE COMPENSATION COMMITTEE UTILIZES THIS STUDY ALONG WITH PERFORMANCE DATA FOR EACH INDIVIDUAL TO SUPPORT THEIR DELIBERATIONS AND REVIEW OF PAY LEVELS IN RELATION TO THE EXECUTIVE COMPENSATION PAY PHILOSOPHY AND THE ORGANIZATION'S MISSION. THE DETERMINATION OF EXECUTIVE COMPENSATION IS ALSO DESIGNED TO MEET THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" STANDARD AS OUTLINED IN THE TREASURY REGULATIONS. DECISIONS BY THE COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED. THE COMMITTEE PRESENTS THE STUDY FINDINGS AND THE RESULTING DECISIONS TO THE ENTIRE BOARD OF TRUSTEES. THE INSTITUTE'S EXECUTIVE COMPENSATION PHILOSOPHY, WHICH IS REVIEWED ANNUALLY, IS AS FOLLOWS: TARGET EXECUTIVE BASE SALARY AND TOTAL CASH COMPENSATION IS BETWEEN THE 50TH AND 75TH PERCENTILES BY BLENDING DATA FROM SIMILARLY SIZED BIOTECHNOLOGY ORGANIZATIONS FROM THE NOT-FOR-PROFIT AND FOR-PROFIT SECTOR, RESEARCH INSTITUTES AND LARGE UNIVERSITIES. THE PROCESS WAS LAST COMPLETED ON JUNE 8, 2011 FOR THE FOLLOWING 13 POSITIONS: -EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, CHIEF FINANCIAL OFFICER AND TREASURER -SENIOR VICE PRESIDENT, BUSINESS DEVELOPMENT -SENIOR DIRECTOR, IP PROP & LEGAL AFFAIRS AND SECRETARY OF THE BOARD -DIRECTOR, IIDC -SCIENTIFIC DIRECTOR, DIABETES AND OBESITY RESEARCH CENTER -DIRECTOR, NASCR -PRESIDENT/DIRECTOR, CANCER CENTER -CEO PROCESS USED TO DETERMINE COMPENSATION FORM 990, PART VI, LINES 15A AND 15B ANNUALLY, THE INSTITUTE REQUIRES BOARD OF TRUSTEE APPROVAL OF COMPENSATION ADJUSTMENTS AND TOTAL COMPENSATION LEVELS FOR ALL OFFICERS AND OTHER "DISQUALIFIED PERSONS" (AS DEFINED BY IRC SECTION 4958). THE COMPENSATION COMMITTEE, A COMMITTEE DESIGNATED BY THE BOARD, IS RESPONSIBLE FOR THE PROCESS AND ENGAGING AN INDEPENDENT CONSULTING FIRM TO ASSIST IT IN REVIEWING THE TOTAL COMPENSATION PACKAGES (INCLUDING CASH AND NON-CASH BENEFITS) FOR THESE IDENTIFIED PERSONS. THE CONSULTANT REVIEWS THE VARIOUS TYPES OF DIRECT CASH COMPENSATION INCLUDING BASE SALARIES AND ANNUAL INCENTIVE AWARD OPPORTUNITIES AND PAYMENTS. IN ADDITION, THE CONSULTANT PROVIDES THE COMMITTEE AN ASSESSMENT OF TOTAL COMPENSATION INCLUDING THE CASH COMPONENTS MENTIONED ABOVE, PLUS EXECUTIVE BENEFITS AND PERQUISITES. THE CONSULTANT COLLECTS INFORMATION FROM VARIOUS SURVEY SOURCES COVERING NOT-FOR PROFIT AND FOR-PROFIT ORGANIZATIONS SIMILAR IN SIZE AND REFLECTING THE TALENT MARKETS FROM WHICH THE INSTITUTE DRAWS EXECUTIVE TALENT. THE NUMBER OF FOR-PROFIT ORGANIZATIONS USED IN THE SURVEY PROCESS DOES NOT EXCEED 50% OF THE TOTAL ORGANIZATIONS USED. THE COMPENSATION COMMITTEE UTILIZES THIS STUDY ALONG WITH PERFORMANCE DATA FOR EACH INDIVIDUAL TO SUPPORT THEIR DELIBERATIONS AND REVIEW OF PAY LEVELS IN RELATION TO THE EXECUTIVE COMPENSATION PAY PHILOSOPHY AND THE ORGANIZATION'S MISSION. THE DETERMINATION OF EXECUTIVE COMPENSATION IS ALSO DESIGNED TO MEET THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" STANDARD AS OUTLINED IN THE TREASURY REGULATIONS. DECISIONS BY THE COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED. THE COMMITTEE PRESENTS THE STUDY FINDINGS AND THE RESULTING DECISIONS TO THE ENTIRE BOARD OF TRUSTEES. THE INSTITUTE'S EXECUTIVE COMPENSATION PHILOSOPHY, WHICH IS REVIEWED ANNUALLY, IS AS FOLLOWS: TARGET EXECUTIVE BASE SALARY AND TOTAL CASH COMPENSATION IS BETWEEN THE 50TH AND 75TH PERCENTILES BY BLENDING DATA FROM SIMILARLY SIZED BIOTECHNOLOGY ORGANIZATIONS FROM THE NOT-FOR-PROFIT AND FOR-PROFIT SECTOR, RESEARCH INSTITUTES AND LARGE UNIVERSITIES. THE PROCESS WAS LAST COMPLETED ON JUNE 8, 2011 FOR THE FOLLOWING 13 POSITIONS: -EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, CHIEF FINANCIAL OFFICER AND TREASURER -SENIOR VICE PRESIDENT, BUSINESS DEVELOPMENT -SENIOR DIRECTOR, IP PROP & LEGAL AFFAIRS AND SECRETARY OF THE BOARD -DIRECTOR, IIDC -SCIENTIFIC DIRECTOR, DIABETES AND OBESITY RESEARCH CENTER -DIRECTOR, NASCR -PRESIDENT/DIRECTOR, CANCER CENTER -CEO AVAIL OF GOV DOCS, CONFLICT OF INTEREST POLICY & FIN STMTS TO GEN PUBLIC FORM 990, PART VI, Line 19 DOCUMENTS ARE AVAILABLE UPON REQUEST. OTHER CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 5 NET UNREALIZED GAINS ON INVESTMENTS $4,425,781 UNREALIZED GAIN ON INTEREST RATE SWAP $ 474,895 -------------- TOTAL $4,900,676 CHARITABLE REMAINDER ANNUITY TRUST SUPPORT CA TRUST