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THE INSTITUTE CONSIDERED THE LONG-TERM EXPECTED RETURN ON ITS ENDOWMENT. SCHEDULE D, PART X - FIN 48 FOOTNOTE IN FISCAL 2009, THE INSTITUTE ADOPTED A "MORE LIKELY THAN NOT" THRESHOLD FOR FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT OF AN UNCERTAIN TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. THE INSTITUTE RECOGNIZES INTEREST AND PENALTIES RELATED TO UNCERTAIN TAX POSITIONS IN OTHER EXPENSES, IF THEY EXIST. 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TGEN DOES PROVIDE MEMBERSHIP TO DR. TRENT AT THE PARADISE VALLEY COUNTRY CLUB. THIS EXPENSE WAS PRE-APPROVED BY THE CHIEF OPERATING OFFICER. THESE EXPENSES WERE NOT CONSIDERED AS TAXABLE COMPENSATION TO THE RECIPIENT. SCHEDULE J, PART I, LINE 7 SOME OF THE PERSONS LISTED IN FORM 990, PART VII WERE PAID BONUSES WHICH WERE BASED ON ACCOMPLISHMENTS OF SPECIFIC MILESTONES AND/OR PERFORMANCE BASES. SCHEDULE J, PART II DEFERRED COMPENSATION REPRESENTS AGREEMENTS FOR THE PRESIDENT AND CHIEF SCIENTIFIC OFFICER OF THE INSTITUTE AND THE EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TGEN. A FIVE-YEAR AGREEMENT WITH THE PRESIDENT AND CHIEF SCIENTIFIC OFFICER OF THE INSTITUTE WAS ENTERED INTO ON JULY 1, 2007, WITH A COMPLETION AND PAYMENT DATE IN THE FISCAL YEAR 2010. DURING 2010, AND IN CONNECTION WITH THE EXECUTION OF THE AFFILIATION AGREEMENT, THE INSTITUTE TERMINATED THE DEFERRED COMPENSATION AGREEMENT WITH THE PRESIDENT AND CHIEF SCIENTIFIC OFFICER RESULTING IN A LUMP SUM DISTRIBUTION PAYMENT OF $232,685. THE INSTITUTE PAID $421,154 TO THE EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TGEN UNDER HIS DEFERRED COMPENSATION DURING FISCAL 2009, THE FINAL YEAR OF THE DEFERRED COMPENSATION AGREEMENT. PINNACLE WEST CAPITAL WILLIAM POST/CEO 148767 INVESTMENT SERVICES false APPLIED BIOLIFE TECHAPPLERA DAVID DUGGAN/KEY EMPLOYEE 142571 APPLIED BIO/LIFE TECH/APPLERA false X EQUIPMENT 1 58283 VENDOR PRICING/QUOTE 0 false false false ORGANIZATION'S MISSION STATEMENT 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 DIAGNOSTICS 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. DESCRIPTION OF PROGRAM SERVICE ACCOMPLISHMENTS FORM 990, PART III, LINES 4A - 4C LINE 4A - PROGRAM SERVICE ACTIVITY #1 TGEN'S NEUROGENOMICS DIVISION, IN CONJUNCTION WITH OTHER LEADERS IN ALZHEIMER'S DISEASE (AD) GENETICS RESEARCH, HAS UNDERTAKEN A LARGE COLLABORATIVE EFFORT TO IDENTIFY EVERY GENETIC VARIATION THAT RESULTS IN INCREASED RISK FOR ALZHEIMER'S DISEASE. BY SCANNING THE GENOME OF THOUSANDS OF INDIVIDUALS BOTH WITH AND WITHOUT AD, WE WILL IDENTIFY THE GENETIC VARIANTS THAT CONTRIBUTE A SIGNIFICANT INCREASED RISK FOR DEVELOPING AD. THESE GENETIC VARIANTS CAN BE USED BOTH TO PROVIDE NEW INFORMATION ABOUT THE CAUSES OF AD AND AS A DIAGNOSTIC TOOL TO DETERMINE AN INDIVIDUAL'S INNATE GENETIC RISK FOR THE DISORDER. LINE 4B - PROGRAM SERVICE ACTIVITY #2 TGEN'S GENOTYPING TECHNOLOGY CENTER ANALYZES BITS OF DNA CALLED SINGLE NUCLEOTIDE POLYMORPHISMS (SNPS) WHICH GIVE RESEARCHERS THE POWER TO IDENTIFY DISEASE-CAUSING GENES, ASSOCIATIONS, AND DNA SIGNATURES, ALL OF WHICH HAVE PROFOUND IMPLICATIONS FOR DETECTION, PROGNOSIS AND THERAPEUTIC INTERVENTION. THE SNP GENOTYPING CENTER OFFERS INNOVATIVE SOLUTIONS THAT ADDRESS THE REQUIREMENTS FOR FLEXIBILITY, SIMPLICITY, THROUGHPUT, ECONOMY, AND ACCURACY. LINE 4C - PROGRAM SERVICE ACTIVITY #3 TGEN CLINICAL RESEARCH SERVICES CLINICIANS FOCUS ON CLINICAL TRIALS WITH TARGETED AGENTS AND GENOMICS-BASED INDIVIDUALIZED THERAPY. THE TCRS, WITH AN INITIAL FOCUS ON CANCER, ALLOWS THE UNIQUE OPPORTUNITY FOR TGEN TO TRANSITION ITS LABORATORY-BASED RESEARCH TO PATIENT CARE CENTERED ON INDIVIDUALIZED THERAPY. INTRODUCTION TGEN RESEARCH MOVED FORWARD IN FY10 AT A PACE FAR GREATER THAN ANY PREVIOUS YEAR. THIS NARRATIVE PROVIDES AN OVERVIEW OF THESE SUCCESSES AND REINFORCES OUR MISSION OF DETERMINING THE ROOT GENETIC CAUSES OF NUMEROUS DISEASES AND DISORDERS AND THEN CONVERTING THAT KNOWLEDGE AS QUICKLY AS POSSIBLE INTO DIAGNOSTIC TESTS AND THERAPEUTICS FOR IMPROVED PATIENT CARE. OUR RESEARCH COLLABORATIONS WERE MANY AND VARIED IN TERMS OF BREADTH AND SCOPE AND LOCATION - MANY LOCALLY, OTHERS NATIONALLY AND GLOBALLY. LOCALLY, OUR COLLABORATIONS WITH BANNER HEALTH, MAYO CLINIC, SCOTTSDALE HEALTHCARE, BANNER RESEARCH INSITUTE AND OTHER HOSPITALS AND HEALTH CARE PROVIDERS FOCUSED ON NUMEROUS TYPES OF CANCER, NEUROLOGIC IMPAIRMENTS, AND METABOLIC DISORDERS. TGEN'S RESEARCH HAD A PRESENCE ACROSS THE STATE. THIS INCLUDED OUR ONGOING EFFORTS TO ASSIST THE ARIZONA DEPARTMENT OF HEALTH SERVICES (ADHS) WITH STATE-OF-THE-ART TESTING FOR THE H1N1 SWINE FLU, LOOKING FOR WAYS TO HELP TRACK DRUG-RESISTANT MUTATIONS, FIND NEW TREATMENTS AND AVOID A PANDEMIC. TGEN FACULTY PRESENTED DETAILS ABOUT TGEN'S TEST IN EARLY NOVEMBER 2009 AT THE 47TH ANNUAL MEETING OF THE INFECTIOUS DISEASES SOCIETY OF AMERICA (IDSA) IN PHILADELPHIA. THE H1N1 WORK OCCURRED IN OUR FLAGSTAFF FACILITY, TGEN NORTH, WHILE TO THE SOUTH, TGEN AND THE UNIVERSITY OF ARIZONA ESTABLISHED THE SOUTHWEST COMPREHENSIVE CENTER FOR DRUG DISCOVERY AND DEVELOPMENT THROUGH A $7.5 MILLION NIH GRANT. THE NEW CENTER WILL ALLEVIATE BOTTLENECKS THAT EXIST BETWEEN THE LABORATORY-BASED DISCOVERY OF PROMISING THERAPEUTIC TARGETS AND THE ULTIMATE GOAL OF DELIVERING NEW, SAFE AND EFFECTIVE DRUGS TO ADDRESS UNMET MEDICAL NEEDS OF THE PATIENT. LOCALLY, TGEN'S WORK WITH ASU INCLUDED THE PARTNERSHIP FOR PERSONALIZED MEDICINE, WHICH CONTINUED TO DEVELOP A ROBUST PROTEOMICS APPROACH TO MEDICINE AND HEALTH CARE, AND BUILDING OUT A SUPERCOMPUTER INFRASTRUCTURE THAT RANKS AMONG THE FASTEST IN THE BIOMEDICAL SCIENCES. IN EARLY FEBRUARY 2010, TGEN ANNOUNCED THE COMPLETION OF A STRATEGIC ALLIANCE AND AFFILIATION AGREEMENT WITH THE VAN ANDEL RESEARCH INSTITUTE (VARI) THAT WILL MAXIMIZE THE RESEARCH CAPABILITIES OF BOTH NON-PROFIT INSTITUTES. TGEN EXPECTS THE AGREEMENT TO CREATE A ROBUST BASIC-SCIENCE-TO-TRANSLATIONAL DELIVERY PLATFORM AIMED AT DEVELOPING NEW TESTS AND TREATMENTS FOR PATIENT BENEFIT. TGEN'S FINAL CONTRACT REVISION, SIGNED JANUARY 15, ENABLED THE ARIZONA BIOMEDICAL RESEARCH COMMISSION (ABRC) TO CONTINUE FUNDING TGEN THROUGH STATE TOBACCO-TAX REVENUES. THE NEW STATE CONTRACT, FACILITATED THROUGH ABRC LEADERSHIP AND THE ARIZONA ATTORNEY GENERAL'S OFFICE, ENSURES CONTINUED STATE FUNDING THROUGH FISCAL YEAR 2012. TGEN, THROUGH ITS AFFILIATION WITH SCOTTSDALE HEALTHCARE, INITIATED A NUMBER OF CLINICAL TRIALS FOCUSED ON NUMEROUS TYPES OF CANCER. CLINICAL TRIALS DETERMINE THE ACTIONS OF DRUGS IN HUMANS BY IDENTIFYING THE SIDE EFFECTS ASSOCIATED WITH INCREASING DOSES AND PROVIDING EVIDENCE OF EFFECTIVENESS. IN SEPTEMBER 2009, TGEN PUBLISHED ITS SECOND INDEPENDENT, THIRD PARTY ECONOMIC IMPACT REPORT, WHICH PROVIDED ENCOURAGING RESULTS IN TERMS OF TGEN AS A POSITIVE RETURN ON THE STATE INVESTMENT. WE FOLLOWED THAT REPORT IN JANUARY 2010 WITH THE PUBLICATION OF OUR FIRST INDEPENDENT ANALYSIS OF THE ECONOMIC IMPACT OF TGEN DRUG DEVELOPMENT (TD2) ON EMPLOYMENT, REVENUES AND BUSINESS DEVELOPMENT IN SCOTTSDALE. ADDITIONALLY, A DESCRIPTION OF PEER REVIEWED PUBLICATION, GRANT, CONTRACT, PHILANTHROPIC, EDUCATIONAL AND MEDIA ACTIVITY FOLLOWS. PEER-REVIEWED LABORATORY RESEARCH PUBLICATIONS AND PRESENTATIONS SINCE ITS INCEPTION, THE RESEARCH AND CLINICAL ASPECTS OF TGEN HAVE FOCUSED SOLELY ON THE PATIENT AS AN END POINT. AT TGEN, OUR FACULTY WORK TO DISCOVER THE UNDERLYING CAUSE OF DISEASE PROGRESSION AND RESISTANCE TO THERAPY AND WHY SOME INDIVIDUALS ENCOUNTER DEBILITATING DISEASES AND OTHERS LIVE HEALTHY LIVES. OUR CLINICAL TRIALS -IN COLLABORATION WITH SCOTTSDALE HEALTHCARE- NOT ONLY OFFER HOPE TO PATIENTS SUFFERING FROM MANY TYPES OF CANCER, THE RESULTS SERVE TO INFORM OUR RESEARCH STUDIES. SUPPORTED BY A NEW WAVE OF TECHNOLOGY, TGEN'S RESEARCH AND CLINICAL EFFORTS REMAIN EQUAL TO THE STRENGTHS AND CAPABILITIES OF ANY OF TODAY'S LEADING RESEARCH AND CLINICAL INSTITUTES. NOWHERE IS THIS MORE EVIDENT THAN WITH TGEN'S SEQUENCING CAPABILITIES. TGEN HAS "CENTER OF EXCELLENCE" STATUS WITH THREE OF THE WORLD'S LARGEST GENOMICS TECHNOLOGY PROVIDERS - AFFYMETRIX, AGILENT AND LIFE TECHNOLOGIES. TGEN'S NEXT-GENERATION OR "NEXT-GEN" SEQUENCING, SYSTEMS ALLOW US TO DIG DEEPER INTO THE GENOME THAN EVER BEFORE BY PROVIDING MORE INFORMATION AND INCREASING OUR PROBABILITY OF IDENTIFYING SOMETHING SIGNIFICANT. THE LONG-TERM HOPE IS THAT DOCTORS WILL LEVERAGE THIS INFORMATION TO INFORM DECISIONS ABOUT PATIENT CARE. A MAJOR INITIATIVE CENTERS ON CANINE GENETICS. THE PROGRAM FOR CANINE HEALTH AND PERFORMANCE (PCHP) IS A TGEN/VARI INTER-INSTITUTIONAL PROGRAM DEVELOPED TO ACCELERATE THE PATH TO DISCOVERY OF CAUSATIVE GENETIC LESIONS ACROSS SEVERAL DISEASES IN DOGS THAT SIMILARLY AFFLICT HUMANKIND (INCLUDING CANCER, DEAFNESS, MULTIPLE SCLEROSIS, HEART DEFECTS, OBESITY, NEUROLOGIC DISORDERS AND OTHERS). AN IMPORTANT PART OF THE PCHP IS THE CANINE HEREDITARY CANCER CONSORTIUM (CHCC), WHICH WAS A RECENTLY FUNDED AARA NATIONAL CANCER INSTITUTE AWARD TO TGEN. TGEN, THE VAN ANDEL RESEARCH INSTITUTE (VARI) AND THE NATIONAL CANCER INSTITUTE LAUNCHED THE CHCC TO STUDY NATURALLY OCCURRING CANCERS IN DOGS TO BETTER UNDERSTAND WHY BOTH PETS AND PEOPLE GET SICK. TGEN'S RESEARCH RESULTS APPEAR IN A NUMBER OF SCIENTIFIC AND MEDICAL JOURNALS AND ADD TO THE GROWING KNOWLEDGE BASE OF MOLECULAR RESEARCH AND MEDICINE. IN FY10, TGEN RESEARCHERS PUBLISHED THEIR RESEARCH RESULTS IN NUMEROUS SCHOLARLY PEER-REVIEWED ACADEMIC JOURNALS AND THROUGH PRESENTATIONS AT LEADING NATIONAL AND INTERNATIONAL CONFERENCES. THESE INCLUDE PUBLICATION IN LEADING SCIENTIFIC JOURNALS SUCH AS NEW ENGLAND JOURNAL OF MEDICINE, NATURE GENETICS, PLOS, BLOOD, CANCER RESEARCH, AND A HOST OF OTHER DISEASE-ASSOCIATED PUBLICATIONS (E.G. DIABETES, MOLECULAR CANCER THERAPEUTICS, NEUROLOGY, JOURNAL OF WOMEN'S HEALTH, ETC.) SELECT HIGHLIGHTS FOR FY10 1. TGEN AND UC BERKELEY RESEARCHERS REPORTED IN THE JULY 20 NATURE GENETICS IDENTIFICATION OF A GENE VARIANT THAT CARRIES NEARLY TWICE THE RISK OF DEVELOPING AN INCREASINGLY COMMON TYPE OF BLOOD CANCER. INVESTIGATORS FOUND THAT MUTATIONS IN A GENE CALLED C6ORF15, OR STG, ARE ASSOCIATED WITH THE RISK OF DEVELOPING FOLLICULAR LYMPHOMA. THIS IS A CANCER OF THE BODY'S DISEASE-FIGHTING NETWORK WHOSE RATES HAVE NEARLY DOUBLED IN THE PAST THREE DECADES. CITATION: GENETIC VARIANTS AT 6P21.33 INFLUENCE FOLLICULAR LYMPHOMA RISK CHRISTINE F. SKIBOLA, PAIGE M. BRACCI, ERAN HALPERIN, LUCIA CONDE, DAVID W. CRAIG, LUZ AGANA, KELLY IYADURAI, NIKOLAUS BECKER, ANGELA BROOKES-WILSON, JOHN D. CURRY, JOHN SPINELLI, ELIZABETH A. HOLLY, JACQUES RIBY, LUOPING ZHANG, ALEXANDRA NIETERS, MARTYN T. SMITH, KEVIN M. BROWN. NATURE GENETICS 41, 873-875 (20 JULY 2009) 2. ANALYSES OF CLINICAL TRIAL RESULTS, PUBLISHED SEPTEMBER 2 IN THE NEW ENGLAND JOURNAL OF MEDICINE, SHOW A POTENTIAL NEW INVESTIGATIONAL THERAPY FOR ADVANCED AND METASTATIC BASAL CELL SKIN CANCER. THE STUDY, CONDUCTED AT TGEN CLINICAL RESEARCH SERVICE (TCRS) AT SCOTTSDALE HEALTHCARE AND TWO OTHER SITES APPEARS TO DEMONSTRATE TUMOR SHRINKAGE AND LIMITED SIDE EFFECTS. THESE FINDINGS ARE SIGNIFICANT BECAUSE NO PROVEN THERAPY EXISTS FOR ADVANCED BASAL CELL CARCINOMA (BCC). BCC IS THE MOST COMMON CANCER IN THE UNITED STATES WITH ABOUT ONE MILLION NEW CASES DIAGNOSED EACH YEAR. ARIZONA HAS ONE OF THE HIGHEST INCIDENCES OF SKIN CANCER IN THE WORLD. CITATION: INHIBITION OF THE HEDGEHOG PATHWAY IN ADVANCED BASAL-CELL CARCINOMA DANIEL D. VON HOFF, M.D., PATRICIA M. LORUSSO, D.O., CHARLES M. RUDIN, M.D., PH.D., JOSINA C. REDDY, M.D., PH.D., ROBERT L. YAUCH, PH.D., RAOUL TIBES, M.D., GLEN J. WEISS, M.D., MITESH J. BORAD, M.D., CHRISTINE L. HANN, M.D., PH.D., JULIE R. BRAHMER, M.D., HOWARD M. MACKEY, PH.D., BERTRAM L. LUM, PHARM.D., WALTER C. DARBONNE, M.S., JAMES C. MARSTERS, JR., PH.D., FREDERIC J. DE SAUVAGE, PH.D., AND JENNIFER A. LOW, M.D., PH.D. PUBLISHED AT WWW.NEJM.ORG SEPT. 2, 2009 3. TGEN CLINICAL RESEARCH SERVICES AT SCOTTSDALE HEALTHCARE ANNOUNCED SEPTEMBER 22 THE START OF A CLINICAL TRIAL FOR A DRUG DESIGNED TO COMBAT ADRENOCORTICAL CARCINOMA (ACC), A RARE BUT DEADLY CANCER THAT ATTACKS THE ADRENAL GLANDS. OTHER THAN SURGERY, THE ONLY TREATMENT FOR ACC IS THE EXACTING USE OF A COMPOUND CALLED MITOTANE, A CHEMICAL RELATIVE OF DDT, WHICH THE U.S. BANNED AS AN INSECTICIDE IN 1972. 4. DR. GLEN WEISS OF TGEN AND SCOTTSDALE HEALTHCARE IN JULY ANNOUNCED TWO SIGNIFICANT ADVANCES IN TREATING LUNG CANCER. DR. WEISS, AN ASSOCIATE INVESTIGATOR IN TGEN'S CANCER AND CELL BIOLOGY DIVISION AND DIRECTOR OF THORACIC ONCOLOGY AT TGEN CLINICAL RESEARCH SERVICES AT SCOTTSDALE HEALTHCARE, MADE BOTH ANNOUNCEMENTS AT THE 13TH WORLD CONFERENCE ON LUNG CANCER IN SAN FRANCISCO, OCTOBER 2009. 5. A SCIENTIFIC PAPER ABOUT USING MICRORNAS, SMALL MOLECULES THAT REGULATE GENE EXPRESSION IN CELLS, TO HELP UNDERSTAND AND PREDICT HOW MALIGNANT LUNG CANCER OFTEN SPREADS TO THE BRAIN. THIS PAPER WAS SELECTED AS THE BEST OF 233 SCIENTIFIC PAPERS AT THE INSTITUTE OF ELECTRICAL AND ELECTRONICS ENGINEERS INTERNATIONAL CONFERENCE ON BIOINFORMATICS & BIOMEDICINE, HELD NOV. 1-4 IN WASHINGTON, D.C. CITATION: IDENTIFYING MIRNA AND IMAGING FEATURES ASSOCIATED WITH METASTASIS OF LUNG CANCER TO THE BRAIN - SARA NASSER, AARATI R. RANADE, SHRAVAN SRIDHART, LISA HANEY, RONALD L. KORN, MICHAEL B. GOTWAY, GLEN J. WEISS, SEUNGCHAN KIM. 6. A STUDY PUBLISHED IN THE DECEMBER EDITION OF DIABETIC MEDICINE, SHOWED IT IS POSSIBLE TO IDENTIFY BIOMARKERS ASSOCIATED WITH END-STAGE RENAL DISEASE (ESRD) FROM THE POOLED DNA OF MORE THAN 1,000 DIABETICS. SPECIFICALLY, TGEN RESEARCHERS IDENTIFIED GENES THAT COULD POTENTIALLY CONTRIBUTE TO ESRD AMONG THOSE WITH TYPE 1 DIABETES. CITATION: IDENTIFICATION OF SPECIFIC DNA VARIANTS MAY ENHANCE OUR UNDERSTANDING OF GENETIC RISK FACTORS FOR RENAL DISEASE AND MAY PROVIDE DIAGNOSTIC VALUE IN DETERMINING WHICH PATIENTS ARE AT GREATEST RISK OF DEVELOPING ESRD - DAVID W. CRAIG, MEREDITH P. MILLIS AND JOHANNA K. DISTEFANO. 7. AS PART OF AN OVERALL EFFORT BY THE NATIONAL INSTITUTES OF HEALTH TO IDENTIFY ALL MICROBIOMS ON AND IN THE HUMAN BODY, TGEN CONDUCTED A STUDY IN CONJUNCTION WITH JOHNS HOPKINS UNIVERSITY PUBLISHED JAN. 6 BY THE SCIENTIFIC JOURNAL PLOS ONE, WHICH DOCUMENTED FOR THE FIRST TIME THE DRAMATIC CHANGES IN BACTERIAL COMMUNITIES FOLLOWING CIRCUMCISION AND THE POSSIBLE EFFECTS ON HIV INFECTION. CITATION: THE EFFECTS OF CIRCUMCISION ON THE PENIS MICROBIOME - LANCE B. PRICE, CINDY M. LIU, KRISTINE E. JOHNSON, MALIHA AZIZ, MATTHEW K. LAU, JOLENE BOWERS, JACQUES RAVEL, PAUL S. KEIM, DAVID SERWADDA, MARIA J. WAWER AND RONALD H. GRAY. 8. A STUDY IN CONJUNCTION WITH SCOTTSDALE HEALTHCARE - AND WITH THE HELP OF SCIENTISTS AT THE VAN ANDEL RESEARCH INSTITUTE - SHOWED HOW TO PREDICT WHICH PATIENTS WITH SMALL-CELL LUNG CANCER MAY BE RESISTANT TO FIRST-LINE CHEMOTHERAPY. THIS STUDY WAS PRESENTED IN JANUARY IN SAN DIEGO AT THE AACR-IASLC'S JOINT CONFERENCE ON MOLECULAR ORIGINS OF LUNG CANCER. CITATION: TUMOR MICRORNA BIOMARKERS ASSOCIATED WITH DE NOVO CHEMORESISTANCE IN SMALL CELL LUNG CANCER - GLEN J. WEISS, AARATI R. RANADE, DAVID CHERBA, SHRAVAN SRIDHAR, PATRICK RICHARDSON, ANOOR PARIPATI, BRAD BOWLES AND CRAIG WEBB. 9. AS PART OF A MULTI-YEAR STUDY IN CONJUNCTION WITH THE ARIZONA ALZHEIMER'S CONSORTIUM, TGEN SCIENTISTS PUBLISHED A PAPER IN THE JANUARY EDITION OF BMC GENOMICS, SHOWING HOW THREE KINASES, OR PROTEINS, DISMANTLE CONNECTIONS WITHIN BRAIN CELLS, WHICH MAY LEAD TO MEMORY LOSS ASSOCIATED WITH ALZHEIMER'S DISEASE. CITATION: HIGH-CONTENT SIRNA SCREENING OF THE "KINOME" IDENTIFIES EIF2AK2 AND DYRK1A AS CRITICAL MEDIATORS OF AD-RELATED TAU HYPERPHOSPHORYLATION - AZORSA, ROBESON, FROST, MEECHOOVET, BRAUTIGAM, DICKEY, BEAUDRY, BASU, HOLZ, HERNANDEZ, BISANZ, GWINN, GROVER, ROGERS, REIMAN, HUTTON, STEPHAN, MOUSSES AND DUNCKLEY. 10. TGEN WAS PART OF A NATIONAL CONSORTIUM THAT CONDUCTED THE LARGEST GENOME-WIDE ASSOCIATION STUDY IN ALZHEIMER'S DISEASE TO DATE, IDENTIFYING TWO NEW GENETIC VARIANTS AND CONFIRMING TWO OTHERS. THEIR FINDINGS WERE PUBLISHED MAY 12 IN THE JOURNAL OF THE AMERICAN MEDICAL ASSOCIATION. CITATION: SESHADRI S, ET AL "GENOME-WIDE ANALYSIS OF GENETIC LOCI ASSOCIATED WITH ALZHEIMER DISEASE" JAMA 2010; 303: 1832-40. 11. DR. DANIEL D. VON HOFF, TGEN'S PHYSICIAN-IN-CHIEF, RECEIVED A TOP AWARD FROM THE AMERICAN SOCIETY OF CLINICAL ONCOLOGY (ASCO) FOR HIS CANCER RESEARCH. DR. VON HOFF RECEIVED THE 2010 DAVID A. KARNOFSKY MEMORIAL AWARD AND LECTURE AT ASCO'S 46TH ANNUAL MEETING THIS PAST WEEK (JUNE 4-8) AT THE MCCORMICK PLACE IN CHICAGO. ASCO PRESENTED THE AWARD TO DR. VON HOFF "FOR HIS OUTSTANDING ACHIEVEMENTS IN CANCER RESEARCH AND FOR HIS IMPACT ON THE TREATMENT OF PATIENTS WITH CANCER." CITATION: ANALYSIS OF SOMATIC COPY NUMBER ALTERATIONS ASSOCIATED WITH POOR PROGNOSIS AND PROGRESSION OF MULTIPLE MYELOMA IN AFRICAN AMERICANS. 12. TGEN SCIENTISTS HAVE IDENTIFIED FIVE GENETIC BIOMARKERS THAT COULD HELP LEAD TO IMPROVED TREATMENTS, WITH FEWER SIDE EFFECTS, FOR PATIENTS WITH DIABETES. TGEN SENIOR INVESTIGATOR DR. JOHANNA DISTEFANO PRESENTED THE FINDINGS IN NEW ORLEANS ON JUNE 6, 2010, AT THE 69TH SCIENTIFIC SESSIONS OF THE AMERICAN DIABETES ASSOCIATION. CITATION: IMPROVED INSULIN SENSITIVITY (SI), A PRIMARY RESPONSE TO THIAZOLIDINEDIONE (TZD) THERAPY, VARIES AMONG TREATED INDIVIDUALS. AMERICAN DIABETES ASSOCIATION. CLINICAL RESEARCH ESTABLISHED IN 2006, TCRS, A STRATEGIC ALLIANCE WITH SCOTTSDALE HEALTHCARE (SHC), PROVIDES A DIRECT CLINICAL RESEARCH SITE FOR TGEN. TCRS BRINGS NEW CLINICAL RESEARCH INTO THE COMMUNITY, TO THOSE PATIENTS WHO WOULD OTHERWISE HAVE TO TRAVEL SOMEPLACE ELSE FOR ACCESS TO NEW THERAPIES OR PREVENTION AGENTS. THESE CLINICAL TRIALS GIVE OPTIONS THAT DID NOT EXIST BEFORE TO PHOENIX-AREA PATIENTS AS WELL AS PATIENTS FROM ALL OVER THE COUNTRY. TCRS CLINICIAN, UNDER THE DIRECTION TGEN PHYSICIAN-IN-CHIEF DR. DANIEL VON HOFF, FOCUS ON CLINICAL TRIALS WITH TARGETED AGENTS AND GENOMICS-BASED INDIVIDUALIZED THERAPY. TCRS WORKS IN COLLABORATION WITH PHYSICIANS IN THE LOCAL ARIZONA COMMUNITY AND ACROSS THE U.S. TO PROVIDE OPTIONS FOR THE CARE OF THEIR PATIENTS. TCRS SERVES AS AN INTERNATIONAL REFERRAL CENTER FOR PATIENTS FROM ANYWHERE IN THE WORLD. EVERY PATIENT WITH A PHYSICIAN REFERRAL IS WELCOME, PROVIDED THEY MEET THE REQUIREMENTS. IN SOME CASES, THE PATIENT MAY BE EVALUATED THROUGH THE NEW CLINIC, BUT RECEIVE TREATMENT FROM THEIR REFERRING PHYSICIAN. WE WORK FLEXIBLY TO ENSURE THE BEST AND MOST COMPLETE CARE FOR PATIENTS. PATIENT PARTICIPATION IN CLINICAL TRIALS AT TCRS - 125 VISITS PER MONTH - 35-45 NEW PATIENTS PER MONTH - 400-600 PATIENT SAMPLES COLLECTED PER MONTH GRANT SUPPORT GRANT FUNDING IS OFTEN THE LIFEBLOOD OF RESEARCH. IN FY09, TGEN INVESTIGATORS SUBMITTED 149 GRANTS TOTALING $160,926,066. TGEN WAS AWARDED 15 GRANTS, TOTALING $9,256,581, WITH AN ADDITIONAL 64 GRANTS PENDING AND IN REVIEWS TOTALING $54,142,798. ADDITIONALLY, TGEN RECEIVED $29,844,531 FROM PREVIOUS FY PENDING GRANTS, BRINGING THE AWARDED TOTAL FOR FY09 TO $39,101,112. TGEN'S SUCCESS RATE CURRENTLY RESTS AT 26 PERCENT OF TOTAL GRANTS SUBMITTED, PLACING THE INSTITUTE NEARLY SIX PERCENT HIGHER THAN THE NATIONAL AVERAGE (NIH OVERALL SUCCESS RATE). FY10 HIGHLIGHTS 1. A 5-YEAR NIH GRANT, TOTALING $4,059,520 TO DR. DAVID DUGGAN FOR A WECARE GENOME-WIDE ASSOCIATION STUDY OF RADIATION EXPOSURE AND BILATERAL BREAST CANCER. 2. A 2-YEAR NIH GRANT, TOTALING $1,887,446 TO DR. DUGGAN FOR FOLLOW-UP STUDIES ABOUT GENETICALLY DETERMINED RISK FACTORS FOR HIP FRACTURES. 3. A 5-YEAR NIH GRANT, TOTALING $1,532,579 TO DR. DUGGAN FOR A STUDY OF INFLAMMATION AND THROMBOSIS GENE PATHWAYS AND CARDIOVASCULAR DISEASE. 4. A 3-YEAR NIH GRANT, TOTALING $2,065,512 TO JOHN PEARSON FOR AN IN SILICO CENTER OF EXCELLENCE. 5. A 2-YEAR NIH GRANT, TOTALING $416,780, TO DR. PAUL KEIM FOR GENOMICS-BASED DIAGNOSTICS FOR COCCIDIOIDES, THE CAUSATIVE AGENTS OF VALLEY FEVER. 6. A 2-YEAR GRANT TOTALING $1,000,000 FROM THE MELANOMA RESEARCH ALLIANCE TO DR. JEFFREY TRENT FOR THE STUDY TO IDENTIFY NOVEL MELANOMA RISK GENES. 7. 3-YEAR GRANT FROM THE AMERICAN ASSOCIATION FOR CANCER RESEARCH (AACR), TOTALING $8,180,465 (A TOTAL OF NEARLY $18 MILLION WHEN INCLUDING FUNDS IN PARTNERSHIP WITH THE UNIVERSITY OF PENNSYLVANIA) TO DR. DANIEL VON HOFF TO DEVELOP REVOLUTIONARY TREATMENTS FOR PANCREATIC CANCER. 8. 2-YEAR GRANT FOR THE NATIONAL INSTITUTES OF HEALTH (NIH), TOTALING $7,551,533, TO DR. NATHALIE MEURICE AND DR. SPYRO MOUSSES TO ESTABLISH, IN CONJUNCTION WITH THE UNIVERSITY OF ARIZONA, THE SOUTHWEST COMPREHENSIVE CENTER FOR DRUG DISCOVERY AND DEVELOPMENT TO HELP TRANSFORM LABORATORY DISCOVERIES INTO NEW DRUG COMPOUNDS. 9. 2-YEAR NIH GRANT, TOTALING $4,259,456, TO DR. JEFFREY TRENT TO START, IN CONJUNCTION WITH THE VAN ANDEL RESEARCH INSTITUTE, THE CANINE HEREDITARY CANCER CONSORTIUM, WHICH WILL USE STUDIES OF DOGS TO HELP DISCOVER NEW TREATMENTS FOR RARE CANCERS IN BOTH HUMANS AND DOGS. 10. 2-YEAR NIH GRANT, TOTALING $3,576,502, TO DR. DAVID DUGGAN FOR A GENOME-WIDE ASSOCIATION STUDY TO HELP IDENTIFY THE GENETIC ORIGINS OF ARTHRITIS OF THE KNEE. 11. 2-YEAR GRANT FROM THE U.S. DEPARTMENT OF DEFENSE AND THE TELEMEDICINE & ADVANCED TECHNOLOGY RESEARCH CENTER, TOTALING $1,697,999, TO DR. PAUL KEIM TO CREATE TESTS THAT WOULD RAPIDLY CHARACTERIZE AND IDENTIFY THE NATURAL OR MAN-MADE SOURCES OF DISEASE OUTBREAKS. 12. 2-YEAR NIH GRANT, TOTALING $1,436,000, TO DR. DAVID CRAIG FOR DATA PROCESSING AND VISUALIZATION IN CONJUNCTION WITH THE INTERNATIONAL 1000 GENOMES PROJECT, WHICH WOULD CATALOGUE COMMON HUMAN GENETIC VARIABILITY. 13. TWO, 2-YEAR NIH GRANTS, TOTALING $1,093,274 AND $225, 044, TO DR. DAVID DUGGAN FOR ADVANCING THE STUDY OF THE EPIDEMIOLOGY OF PUTATIVE GENUINE GENETIC VARIANTS. ENTERPRISE EFFORTS AND COLLABORATION TGEN'S OFFICES OF BUSINESS DEVELOPMENT AND TECHNOLOGY TRANSFER WORK TO DEVELOP AN APPROPRIATE ADMINISTRATIVE STRUCTURE TO HANDLE COMMERCIALIZATION OF ITS INTELLECTUAL PROPERTY, AS WELL AS TO DEVELOP EFFECTIVE WAYS TO PARTNER WITH THE COMMERCIAL SECTOR. THE TECHNOLOGY TRANSFER OFFICE (TTO) FACILITATES AND ACCELERATES THE COMMERCIALIZATION OF TGEN'S SCIENTIFIC DISCOVERIES FOR THE BENEFIT OF HUMAN HEALTH BY: -IDENTIFYING, PATENTING AND LICENSING NEW TECHNOLOGY; -FACILITATING ACCESS AND EXCHANGE OF RESEARCH MATERIALS, TECHNOLOGIES, AND DATA VIA MATERIAL TRANSFER AGREEMENTS (MTAS) OR CONFIDENTIAL DISCLOSURE AGREEMENTS (CDAS); -NEGOTIATING COLLABORATIVE RESEARCH AGREEMENTS; AND -ASSISTING IN THE FORMATION OF START-UP COMPANIES WHEN APPROPRIATE. INVENTION DISCLOSURES TGEN SCIENTISTS WORK WITH THE OFFICE OF TECHNOLOGY TRANSFER (OTT) TO FILE INVENTION DISCLOSURES AS THE FIRST STEP TOWARD A POSSIBLE PATENT APPLICATION OR OTHER APPROPRIATE FORM OF INTELLECTUAL PROPERTY PROTECTION. TGEN FILED 26 INVENTION DISCLOSURES IN FY10 BASED ON DISCOVERIES STEMMING FROM TGEN-LED RESEARCH AND FILED 21 PROVISIONAL PATENT APPLICATIONS. COMMERCIALIZATION / SPIN OFFS IN TERMS OF COMMERCIALIZATION AND COMPANY FORMATION, TGEN SIGNED 3 LICENSE AGREEMENTS IN FY10. CONTRACTS AND COLLABORATIONS TGEN SIGNED A TOTAL OF 386 CONTRACTS IN FY10, BROKEN DOWN AS FOLLOWS: 1. TGEN SIGNED 87 CONFIDENTIAL DISCLOSURE AGREEMENTS (CDA) IN FY10. 2. TGEN SIGNED 102 MATERIAL TRANSFER AGREEMENTS (MTA) IN FY10. 3. TGEN SIGNED 85 RESEARCH COLLABORATIONS (ANY WITH LOCAL AND STATE AFFILIATIONS) IN FY10, INCLUDING AGREEMENTS THAT FURTHER RESEARCH INTO A HOST OF DISEASES, INCLUDING BRAIN CANCER, MELANOMA, ALZHEIMER'S AND AUTISM. 4. ADDITIONALLY, TGEN SIGNED 18 CONSULTING AGREEMENTS, 69 PROFESSIONAL SERVICES AGREEMENTS, 9 COMMERCIALIZATION LICENSES, AND 16 AGREEMENTS COVERING MISCELLANEOUS ACTIVITIES. JOB CREATION 36 NEW FULL-TIME EQUIVALENT POSITIONS WERE CREATED IN FY10 WITH SALARIES AND BENEFITS TOTALING APPROXIMATELY $2,550,475. SALARIES FOR TEMPORARY POSITIONS (THOSE POSITIONS CREATED FOR A FINITE PERIOD OF TIME) TOTALED $160,000 AND STUDENT SALARIES WERE JUST OVER $390,000, BRINGING THE OVERALL TOTAL TO $3,100.475. TGEN STAFF NOW TOTAL 284, OF WHICH 83 PERCENT HOLD A COLLEGE DEGREE (48 PERCENT HOLD AN ADVANCED DEGREE). FY10 POSITIONS FILLED INCLUDE: ADMINISTRATIVE ASSISTANT ASSOCIATE INVESTIGATOR DEVELOPMENT ASSOCIATE BIOINFORMATICIAN BIOINFORMATICIAN II CLINICAL INFORMATICS PROGRAMMER CLINICAL TRANSLATIONAL RESEARCH DIVISION, DEPUTY DIRECTOR DESKTOP SUPPORT SPECIALIST GRANT PROGRAM MANAGER OPERATIONS MANAGER POST-DOCTORAL FELLOW RESEARCH ASSOCIATE RESEARCH ASSOCIATE II SOFTWARE ENGINEER SOFTWARE QA ENGINEER SENIOR INVESTIGATOR SENIOR STAFF SCIENTIST STAFF SCIENTIST WE HAVE STRESSED IN THE PAST THAT INTERNSHIPS SERVE AS A PIPELINE TO TGEN IN TERMS OF FUTURE RECRUITMENT AND SUPPORT THE STATEWIDE INITIATIVE TOWARDS EDUCATION AND DEVELOPMENT FOR THE STUDENTS IN THE LIFE SCIENCES. ADDITIONALLY, TGEN IS A PROVING GROUND WHERE TALENTED UNDERGRADUATES GAIN VALUABLE EXPERIENCE PRIOR TO RETURNING TO EARN ADVANCED DEGREES AT ONE OF THE STATE'S THREE UNIVERSITIES. TGEN HIRED FOUR SUCH CANDIDATES IN FY10, WHILE 14 EMPLOYEES RETURNED TO UNIVERSITY TO FURTHER THEIR BIOMEDICAL EDUCATION. EDUCATION AND PUBLIC OUTREACH INTERNSHIPS 2010 SAW 44 BIOSCIENCE STUDENTS COMPLETING THE 2010 HELIOS SCHOLARS PROGRAM AT TGEN, AND 23 NON-HELIOS STUDENTS CONDUCTING INTERNSHIPS - SCIENTIFIC AND ADMINISTRATIVE - IN A NUMBER OF TGEN LABS AND DEPARTMENTS. SIXTEEN FEMALES AND 28 MALES COMPRISED THE HELIOS SCHOLARS, BROKEN DOWN AS FOLLOWS: 32 PERCENT HIGH SCHOOL, 57 PERCENT UNDERGRADUATE, AND 11 PERCENT GRADUATE/MEDICAL SCHOOL. SEVENTEEN FEMALES AND SIX MALES COMPRISED THE 23 NON HELIOS STUDENTS CONDUCTING INTERNSHIPS AT TGEN IN FY10, BROKEN DOWN AS FOLLOWS: 9 PERCENT HIGH SCHOOL, 70 PERCENT UNDERGRADUATE, AND 21 PERCENT GRADUATE/MEDICAL SCHOOL. NEW IN FY10 (FALL '09), TGEN AND THE PHOENIX BIOSCIENCE HIGH SCHOOL LAUNCHED A PILOT INTERNSHIP PROGRAM FOR THEIR SENIOR STUDENTS. THE STUDENTS RECEIVE CREDIT IN EXCHANGE FOR THE COMPLETION OF A MINIMUM NUMBER OF HOURS (120) IN A RESEARCH LAB ENVIRONMENT. TEACHER TRAINING PROGRAM IN FY10, TGEN COMPLETED ITS SECOND YEAR OF A 5-YEAR TRAINING AWARD IN COLLABORATION WITH NORTHERN ARIZONA UNIVERSITY TO CONDUCT A SUMMER GENOMICS WORKSHOP FOR TEACHERS AND GRADUATE STUDENTS AS PART OF AN NSF GRANT CALLED BIOTECHNOLOGY INTEGRATION OPPORTUNITIES FOR TEACHER EDUCATION AND CONTENT (BIOTEC). THIS GRANT PARTNERS THE COLLEGE OF ENGINEERING AND NATURAL SCIENCES, THE COLLEGE OF EDUCATION AT NORTHERN ARIZONA UNIVERSITY, AND TGEN IN ORDER TO ENHANCE INQUIRY-BASED SCIENCE TEACHING IN GRADES 5, 7, AND 9 WHILE EXPANDING THE INTERDISCIPLINARY PREPARATION OF GRADUATE STUDENTS IN BIOTECHNOLOGY. EDUCATIONAL AND PUBLIC TOURS IN FY10, TGEN HOSTED 46 PUBLIC TOURS FOR A DIVERSE RANGE OF COMMUNITY MEMBERS AND ORGANIZATIONS (TOTALING NEARLY 1,000 IN NUMBER), AS WELL AS SENT REPRESENTATIVES INTO THE COMMUNITY TO PRESENT AT FUNCTIONS, CAREER AND EDUCATIONAL FAIRS. STIMULATING GROWTH OF ARIZONA'S LIFE SCIENCE INDUSTRIES AN IMPORTANT FACTOR IN CONTINUING TGEN'S SUCCESS IS COMMUNICATION WITH VARIOUS STAKEHOLDERS AND THE BROADER ARIZONA COMMUNITY. TOWARD THAT GOAL, TGEN SR. LEADERSHIP PARTICIPATES IN A MYRIAD OF COMMUNITY-RELATED ACTIVITIES THROUGH PRESENTATIONS AT REGIONAL MEETINGS AND AS A MEMBER OR PARTICIPANT OF VARIOUS COMMITTEES AND GROUPS, INCLUDING THE ARIZONA ALZHEIMER'S CONSORTIUM BOARD, ARIZONA BIOSCIENCE ROADMAP STEERING COMMITTEE AND ARIZONA BIOSCIENCE ROADMAP EDUCATION & WORKFORCE DEVELOPMENT COMMITTEE, ARIZONA SKILL STANDARDS COMMISSION, ARIZONA TECHNOLOGY COUNCIL, GREATER PHOENIX LEADERSHIP, NSF STEP GRANT ADVISORY BOARD- FOR ESTRELLA MOUNTAIN CC AND MORE. MEDIA TGEN REMAINS ACTIVE IN PURSUING POSITIVE EARNED MEDIA EXPOSURE FOR THE INSTITUTE'S RESEARCH AND PHILANTHROPIC ACTIVITIES. MEDIA EXPOSURE RAISES AWARENESS AND BRINGS ADDED CREDIBILITY TO THE INSTITUTE AND THE STATE. IN TOTAL, TGEN RECEIVED GREATER THAN 1300 MEDIA MENTIONS IN FY10 IN VARIOUS TRADE AND PUBLIC MEDIA: LOCALLY, NATIONALLY AND INTERNATIONALLY. WHILE CITING TGEN SPECIFICALLY, THESE ARTICLES AND NEWS BRIEFS HELP BUILD A GREATER PRESENCE FOR THE CONTINUOUSLY EXPANDING BIOMEDICAL SCIENCE INITIATIVES OCCURRING IN ARIZONA. MEDIA OUTLETS INCLUDE: FOX10 NEWSMAKER SUNDAY BUSINESS WIRE STATES NEWS SERVICE THE ARIZONA REPUBLIC PHOENIX BUSINESS JOURNAL ARIZONA BUSINESS GAZETTE ARIZONA DAILY STAR JEWISH NEWS OF GREATER PHOENIX GRAND RAPIDS PRESS THE STAR-LEDGER (NEWARK, N.J.) PLAIN DEALER (CLEVELAND) ASIAN NEWS INTERNATIONAL (ANI) BIOTECH WEEK PR NEWSWIRE MARKETWIRE THE HILL LIFE SCIENCE WEEKLY HEALTH & MEDICINE WEEK GENOMEWEB ON-LINE TGEN'S ON-LINE PRESENCE CONTINUES TO INCREASE ON AN ANNUAL BASIS. WITH TWO ACTIVE SITES (TGEN AND THE TGEN FOUNDATION) MORE THAN 1.2 MILLION PAGE VIEWS WERE RECORDED IN FY10. THE WEB SERVES AS A PORTAL TO ALLOW ARIZONAN'S - AND OTHERS WORLDWIDE- TO LEARN ABOUT THE RESEARCH AND DISCOVERIES COMING OUT OF TGEN LABS. ADDITIONALLY, THE TGEN FOUNDATION WEB PAGES ALLOW SUPPORTERS TO CREATE MEMORIALS AND FUNDRAISING PAGES IN SUPPORT OF TGEN'S EFFORTS TO DEVELOP IMPROVED DIAGNOSTIC TOOLS AND NEW THERAPEUTICS THAT TARGET A HOST OF DISEASES. TGEN'S RECENTLY LAUNCHED SOCIAL MEDIA (FACEBOOK, TWITTER) PROVIDES A FURTHER OPPORTUNITY TO COMMUNICATE WITH NUMEROUS CONSTITUENCIES THROUGH EVER-INCREASING MEDIUMS. BUSINESS AND FAMILY RELATIONSHIPS FORM 990, PART VI, LINE 2 MICHAEL BITTNER AND EDWARD SUH HAVE A BUSINESS RELATIONSHIP. DANIEL VON HOFF AND EDWARD SUH HAVE A BUSINESS RELATIONSHIP. JEFFREY TRENT, DANIEL VON HOFF AND EDWARD SUH HAVE A BUSINESS RELATIONSHIP. RICHARD BOALS, ROBERT BULLA AND WILLIAM POST HAVE A BUSINESS RELATIONSHIP. DESCRIPTION TO SIGNIFICANT CHANGES TO BYLAWS FORM 990, PART VI, LINE 4 EFFECTIVE 12/1/09, TGEN AMENDED ITS BYLAWS. THE PRIMARY UPDATE WAS TO IDENTIFY CHANGE IN THE BOARD OF DIRECTORS AND TO IDENTIFY VAN ANDEL RESEARCH INSTITUTE AS THE SOLE MEMBER. TGEN NOW HAS A BOARD OF DIRECTORS AND A GOVERNING BOARD. THE BOARD OF DIRECTORS HAS THE VOTING POWER AND AUTHORITY OVER THE ORGANIZATION. FORM 990, PART VI, LINE 6 As of 12/1/09, the sole member of Tgen is Van Andel Research Institute, a Michigan charitable trust. Line 7a Van Andel Research Institute, as the sole member of Tgen, appoints elected directors to Tgen's board of directors from a list of individuals presented by the Nominating Committee. Line 7b Van Andel Research Institute, as the sole member of Tgen, retains certain approval rights as outlined in the bylaws. PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW 990 FORM 990, PART VI, LINE 11 THE FORM 990 IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM BASED ON INFORMATION PROVIDED BY THE FINANCE DEPARTMENT. THE 990 IS THEN REVIEWED BY MANAGEMENT IN THE FINANCE DEPARTMENT AND POSTED ON THE BOARD WEBSITE. PROCESS USED TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST FORM 990, PART VI, LINE 12C TGEN ISSUES A CONFLICT OF INTEREST QUESTIONNAIRE ON AN ANNUAL BASIS TO ALL DIRECTOR LEVEL POSITIONS AND ABOVE IN ADDITION TO ANY KEY EMPLOYEES DESIGNATED BY THE CHIEF OPERATING OFFICER. THE QUESTIONNAIRES ARE REVIEWED BY THE CHIEF FINANCIAL OFFICER, AND THOSE EMPLOYEES WITH CONFLICTS ARE SENT FOR FURTHER REVIEW TO CHIEF OPERATING OFFICER TO ENSURE A PLAN IS SET FORTH. UPDATES TO THE LIST ARE HANDLED ON AN AS NEEDED BASIS BASED ON CONTRACT REVIEWS AND EMPLOYEE INFORMATION. PROCESS USED TO DETERMINE COMPENSATION FORM 990, PART VI, LINES 15A AND 15B TGEN'S GOVERNANCE AND EXECUTIVE COMPENSATION COMMITTEE WILL ACT IN AN "ADVICE AND CONSENT" CAPACITY REVIEWING THE RECOMMENDATIONS FOR THE PRESIDENT AND SCIENTIFIC DIRECTOR REGARDING THE COMPENSATION OF DISQUALIFIED PERSON AND FORWARDING FINAL RECOMMENDATIONS TO THE FULL 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. 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 AVAILABILITY OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS TO THE GENERAL PUBLIC FORM 990, PART VI, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE PROVIDED TO THE GENERAL PUBLIC UPON REQUEST. 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