Form990
Click to see attachment
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation)

MediumBullet The organization may have to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0047
2010
Open to Public Inspection
A For the calendar year, or tax year beginning 01-01-2010 and ending 12-31-2010
BCheck if applicable:
CName of organization
COLD SPRING HARBOR LABORATORY
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
PO BOX 100 ONE BUNGTOWN ROAD
 
Room/suite
City or town, state or country, and ZIP + 4
COLD SPRING HARBOR, NY11724
D Employer identification number

11-2013303
E Telephone number

G Gross receipts $ 162,216,949
F Name and address of principal officer:
BRUCE STILLMAN
PO BOX 100 ONE BUNGTOWN ROAD
COLD SPRING HARBOR,NY11724
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.CSHL.EDU
H(a)
Is this a group return for
affiliates?
H(b)
Are all affiliates included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1924
M State of legal domicile: NY
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON A BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) .... 3 31
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 28
5 Total number of individuals employed in calendar year 2010 (Part V, line 2a) ... 5 1,231
6 Total number of volunteers (estimate if necessary) .... 6 47
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a 631,373
b Net unrelated business taxable income from Form 990-T, line 34 .. 7b -157,546
Revenues; Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 123,621,810 112,619,962
9 Program service revenue (Part VIII, line 2g) ......... 20,954,560 21,907,302
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... -14,175,929 6,452,732
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 2,095,461 2,036,828
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 132,495,902 143,016,824
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 4,651,806 5,736,713
14 Benefits paid to or for members (Part IX, column (A), line 4) .... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 59,567,415 62,882,051
16a Professional fundraising fees (Part IX, column (A), line 11e).... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet2,103,620    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 58,399,337 71,031,790
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 122,618,558 139,650,554
19 Revenue less expenses. Subtract line 18 from line 12...... 9,877,344 3,366,270
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............ 588,062,415 597,656,840
21 Total liabilities (Part X, line 26)............ 130,319,945 130,033,462
22 Net assets or fund balances. Subtract line 21 from line 20 ..... 457,742,470 467,623,378
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title.
Paid Preparer's Use Only Preparer's
signatureBig Right Arrow 		Date
right pointing bullet image Preparer’s taxpayer identification number
(see instructions)
Firm’s name (or yours
if self-employed),
address, and ZIP + 4Big Right Arrow




 		EIN right pointing bullet image
Phone no. right pointing bullet image
May the IRS discuss this return with the preparer shown above? (see instructions) .........
For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2010)
Form 990 (2010)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response to any question in this Part III . . . . . . . . . .
1
Briefly describe the organization’s mission: THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ....................
If “Yes,” describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ..........................
If “Yes,” describe these changes on Schedule O.
4
Describe the exempt purpose achievements for each of the organization’s three largest program services by expenses.
Section 501(c)(3) and 501(c)(4) organizations and section 4947(a)(1) trusts are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 92,032,307 including grants of $   ) (Revenue $ 1,027,282 )
RESEARCH: THE LABORATORY BENEFITS THE COMMUNITY BY CONDUCTING RESEARCH IN THE AREAS OF BIOLOGY, MOLECULAR BIOLOGY AND GENETICS. OBJECTIVES INCLUDE BASIC CANCER RESEARCH TO DETERMINE THE MOLECULAR, GENETIC AND CHEMICAL BASIS OF CANCER; PIONEERING RESEARCH METHODS IN NEUROSCIENCE TO DETERMINE THE ROLE GENES PLAY IN VARIOUS NEURAL FUNCTIONS AND DISORDERS; AND THE DEVELOPMENT OF TECHNOLOGIES FOR MOLECULAR BIOLOGY AND GENETICS TO IMPACT BIOMEDICAL RESEARCH THROUGHOUT THE WORLD.
4b (Code:   ) (Expenses $ 10,441,430 including grants of $   ) (Revenue $ 9,251,441 )
PUBLICATIONS: THE OBJECTIVES ARE TO EXTEND THE LABORATORY'S EDUCATIONAL ACTIVITIES BY PUBLISHING THE PROCEEDINGS OF ITS MEETINGS AND TECHNICAL MANUALS FROM ITS COURSES. IN 2010, THE LABORATORY PUBLISHED 11 NEW BOOKS. THEY CURRENTLY HAVE OVER 200 TITLES IN PRINT AND PUBLISH 6 SCIENTIFIC JOURNALS.
4c (Code:   ) (Expenses $ 16,192,699 including grants of $   ) (Revenue $ 9,825,054 )
EDUCATIONAL PROGRAMS: THE LAB OFFERS A SERIES OF MEETINGS (30) WHICH ARE ATTENDED BY OVER 6,000 SCIENTISTS AND FOCUS ON THE DISSEMINATION OF RESEARCH FINDINGS ON TOPICS OF CURRENT INTEREST IN BIOLOGY AND GENETICS. IN ADDITION, SCIENTIFIC COURSES FOCUS ON THE NEED FOR TRAINING IN SUBJECTS THAT ARE EITHER SO NEW OR EXTREMELY SPECIALIZED THEY ARE NOT OFFERED IN UNIVERSITIES. THE AIM IS TO PREPARE STUDENTS WHO PLAN TO ENTER INTO RESEARCH IN THESE AREAS. CLOSE TO 1,000 PARTICIPANTS ATTENDED THE COURSES GIVEN IN 2010.
4d Other program services. (Describe in Schedule O.)
(Expenses $ 4,722,532 including grants of $   ) (Revenue $ 1,803,525 )
4e Total program service expensesMediumBullet$ 123,388,968
Form 990 (2010)
Form 990 (2010)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If “Yes,” complete Schedule AClick to see attachment.....................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors? Click to see attachment........
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If “Yes,” complete Schedule C, Part I..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities? If “Yes,” complete Schedule C,
Part II.........................
4
 
No
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If “Yes,” complete Schedule C, Part III........................
5
 
 
6
Did the organization maintain any donor advised funds or any similar funds or accounts where donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If “Yes,” complete
Schedule D, Part IClick to see attachment.......................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas or historic structures? If “Yes,” complete Schedule D, Part IIClick to see attachment...
7
Yes
 
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” complete Schedule D, Part III Click to see attachment....................
8
 
No
9
Did the organization report an amount in Part X, line 21; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If “Yes,”
complete Schedule D, Part IVClick to see attachment...................
9
 
No
10
Did the organization, directly or through a related organization, hold assets in term, permanent,or quasi-endowments? If “Yes,” complete Schedule D, Part VClick to see attachment
10
Yes
 
11
If the organization’s answer to any of the following questions is ‘Yes,’ then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable:
a
Did the organization report an amount for land, buildings, and equipment in Part X, line10? If “Yes,” complete Schedule D, Part VI.Click to see attachment
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VII.Click to see attachment
11b
Yes
 
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VIII.Click to see attachment
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part IX.Click to see attachment
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If “Yes,” complete Schedule D, Part X.Click to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If “Yes,” complete Schedule D, Part X.Click to see attachment
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year? If “Yes,” complete Schedule D, Parts XI, XII, and XIII Click to see attachment
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If “Yes,” and if the organization answered ‘No’ to line 12a, then completing Schedule D, Parts XI, XII, and XIII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If “Yes,” complete Schedule E
13
 
No
14a
Did the organization maintain an office, employees, or agents outside of the United States?....
14a
Yes
 
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, and program service activities outside the United States? If “Yes,” complete Schedule F, Part I......... Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the U.S.? If “Yes,” complete Schedule F, Part II.. Click to see attachment
15
Yes
 
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals located outside the U.S.? If “Yes,” complete Schedule F, Part III.. Click to see attachment
16
 
No
17
Did the organization report a total of more than $15,000, of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If “Yes,” complete Schedule G, Part IClick to see attachment
17
 
No
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If “Yes,” complete Schedule G, Part II.......... Click to see attachment
18
Yes
 
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If “Yes,” complete Schedule G, Part III................... Click to see attachment
19
 
No
Form 990 (2010)
Form 990 (2010)
Page 4
Part IV
Checklist of Required Schedules (continued)
20a
Did the organization operate one or more hospitals? If “Yes,” complete Schedule H.....
20a
 
No
b
Did the organization attach its audited financial statement to this return? Note: All Form 990 filers that operate one or more hospitals must attach audited financial statements. .....
20b
 
 
21
Did the organization report more than $5,000 of grants and other assistance to governments and organizations in the United States on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.. Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III..... Click to see attachment
22
 
No
23
Did the organization answer “Yes” to Part VII, Section A, questions 3, 4, or 5, about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If “Yes,” complete Schedule J................ Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer questions 24b–24d and complete Schedule K. If “No,” go to line 25................ Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
Yes
 
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
d
Did the organization act as an “on behalf of” issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If “Yes,” complete Schedule L, Part I...... Click to see attachment
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If “Yes,” complete Schedule L, Part I................ Click to see attachment
25b
 
No
26
Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualified person outstanding as of the end of the organization’s tax year? If “Yes,” complete Schedule L,
Part II........................... Click to see attachment
26
 
No
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor, or a grant selection committee member, or to a person related to such an individual? If “Yes,” complete Schedule L, Part III............... Click to see attachment
27
 
No
28
Was the organization a party to a business transaction with one of the following parties? (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If “Yes,” complete Schedule L, Part IV ......................... Click to see attachment
28a
 
No
b
A family member of a current or former officer, director, trustee, or key employee? If “Yes,”
complete Schedule L, Part IV................... Click to see attachment
28b
 
No
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or owner? If “Yes,” complete Schedule L, Part IV.. Click to see attachment
28c
Yes
 
29
Did the organization receive more than $25,000 in non-cash contributions? If “Yes,” complete Schedule MClick to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If “Yes,” complete Schedule M............ Click to see attachment
30
 
No
31
Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N,
Part I........................... Click to see attachment
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If “Yes,” complete Schedule N, Part II.......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I........ Click to see attachment
33
 
No
34
Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Parts II, III, IV, and V, line 1..................... Click to see attachment
34
Yes
 
35
Is any related organization a controlled entity within the meaning of section 512(b)(13)? .....
35
Yes
 
a
Did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If “Yes,” complete Schedule R, Part V, line 2... Click to see attachment
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If “Yes,” complete Schedule R, Part V, line 2........... Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If “Yes,” complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11 and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2010)
Form 990 (2010)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response to any question in this Part V . . . . . . . . . .
Yes
No
1a
Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable. .......
1a
627
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable.
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
2a
Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements filed for the calendar year ending with or within the year covered by this return .....................
2a
1,231
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?

Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file. (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?.............................
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No,” provide an explanation in Schedule O.....
3b
Yes
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account or securities account)?.......................
4a
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletCH , CJ , BD , EI
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If “Yes” to line 5a or 5b, did the organization file Form 8886-T? ........
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible?..........
6a
 
No
b
If “Yes,” did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
Yes
 
b
If “Yes,” did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
d
If “Yes,” indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?..........................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?...................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?...............
7h
 
 
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?................
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?.........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?......
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If “Yes,” enter the amount of tax-exempt interest received or accrued during the year.
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. All 501(c)(29) organizations must list in Schedule O each state in which they are licensed to issue qualified health plans, the amount of reserves required by each state, and the amount of reserves the organization allocated to each state.
13a
 
 
b
Enter the aggregate amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans.
13b
 
c
Enter the aggregate amount of reserves on hand.
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
 
b
If "Yes," has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O..
14b
 
 
Form 990 (2010)
Form 990 (2010)
Page 6
Part VI
Governance, Management, and Disclosure For each “Yes” response to lines 2 through 7b below, and for a “No” response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response to any question in this Part VI . . . . . . . . . .
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year ..............
1a
31
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
28
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
 
No
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? ..
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed?
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Does the organization have members or stockholders? ................
6
 
No
7a
Does the organization have members, stockholders, or other persons who may elect one or more members of the governing body? .........................
7a
 
No
b
Are any decisions of the governing body subject to approval by members, stockholders, or other persons? ..
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If “Yes,” provide the names and addresses in Schedule O .....
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal
Revenue Code.)
Yes
No
10a
Does the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If “Yes,” does the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with those of the organization? ....
10b
 
 
11a
Has the organization provided a copy of this Form 990 to all members of its governing body before filing the form?
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review the Form 990. .....
12a
Does the organization have a written conflict of interest policy? If “No,” go to line 13.......
12a
Yes
 
b
Are officers, directors or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ...........................
12b
Yes
 
c
Does the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,” describe in Schedule O how this is done ....................
12c
Yes
 
13
Does the organization have a written whistleblower policy? ...............
13
Yes
 
14
Does the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
 
No
If "Yes" to line a or b, describe the process in Schedule O. (See instructions.)
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
 
No
b
If “Yes,” has the organization adopted a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and taken steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
NY
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you make these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how), the organization makes its governing documents, conflict of interest policy, and financial statements available to the public.
20
State the name, physical address, and telephone number of the person who possesses the books and records of the organization: MediumBullet
LARI C RUSSO
PO BOX 100 ONE BUNGTOWN ROAD
COLD SPRING HARBOR,NY11724
(516) 367-8446
Form 990 (2010)
Form 990 (2010)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response to any question in this Part VII . . . . . . . . . .
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation, and current key employees. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet List the organization’s five current highest compensated employees (other than an officer, director, trustee or key employee)
who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the
organization and any related organizations.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest
compensated employees; and former such persons.
Check this box if neither the organization nor any related organizations compensated any current or former officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (check all that apply) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(1) TANYA BAKER PHD
TRUSTEE
 1.0 X           0 0 0
(2) DAVID BOIES
TRUSTEE
 1.0 X           0 0 0
(3) MICHAEL BOTCHAN PH D
TRUSTEE
 1.0 X           0 0 0
(4) DAVID BOTSTEIN PH D
TRUSTEE
 1.0 X           0 0 0
(5) TIMOTHY BROADBENT
TRUSTEE
 1.0 X           0 0 0
(6) JACOB GOLDFIELD
TRUSTEE
 1.0 X           0 0 0
(7) LEO GUTHART
TREASURER
 1.0 X           0 0 0
(8) LAURIE LANDEAU VMD
TRUSTEE
 1.0 X           0 0 0
(9) THOMAS LEHRMAN
TRUSTEE
 1.0 X           0 0 0
(10) STEPHEN LESSING
TRUSTEE
 1.0 X           0 0 0
(11) ROBERT D LINDSAY
VICE-CHAIRMAN
 1.0 X           0 0 0
(12) HOWARD MORGAN
TRUSTEE
 1.0 X           0 0 0
(13) JAMIE C NICHOLLS
CHAIRMAN
 1.0 X           0 0 0
(14) LOUISE M PARENT
TRUSTEE
 1.0 X           0 0 0
(15) JOHN C PHELAN
TRUSTEE
 1.0 X           0 0 0
(16) THOMAS C QUICK
TRUSTEE
 1.0 X           0 0 0
(17) WILLIAM ROBERTSON
TRUSTEE
 1.0 X           0 0 0
Form 990 (2010)
Form 990 (2010)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (check all that apply) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(18) DAVID M RUBENSTEIN
TRUSTEE
 1.0 X           0 0 0
(19) ALAN SELIGSON
TRUSTEE
 1.0 X           0 0 0
(20) CHARLES L SAWYERS PHD
VICE-CHAIRMAN
 1.0 X           0 0 0
(21) MARILYN SIMONS
VICE-CHAIRMAN
 1.0 X           0 0 0
(22) DINAKAR SINGH
TRUSTEE
 1.0 X           0 0 0
(23) ANDREW SOLOMON
TRUSTEE
 1.0 X           0 0 0
(24) ALAN C STEPHENSON
TRUSTEE
 1.0 X           0 0 0
(25) SAMUEL STANLEY JR MD
TRUSTEE
 1.0 X           0 0 0
(26) BRUCE STILLMAN
CEO/PRESIDENT
 39.0 X   X       522,871 0 228,968
(27) JAMES STONE
TRUSTEE
 1.0 X           0 0 0
(28) JEROME SHWARTZ PH D
TRUSTEE
 1.0 X           0 0 0
(29) PAUL TAUBMAN
TRUSTEE
 1.0 X           0 0 0
(30) EDWARD TRAVAGLIANTI
SECRETARY
 1.0 X           0 0 0
(31) ROY J ZUCKERBERG
TRUSTEE
 1.0 X           0 0 0
(32) W DILLAWAY AYRES
CHIEF OPERATING OFFICER
 39.0     X       425,485 0 194,446
(33) LARI C RUSSO
VP FINANCE AND COMPTROLLER
 39.0     X       226,356 0 26,732
(34) ARTHUR BRINGS
VP CHIEF FACILITIES OFFICER
 40.0       X     249,286 0 72,526
(35) WALTER GOLDSCHMIDTS
EXEC.DIRECTOR SPONSORED PROGMS
 39.0       X     246,902 0 49,407
(36) DAVID SPECTOR
DIRECTOR OF RESEARCH
 40.0       X     340,441 0 62,498
(37) THOMAS GINGERAS
SCIENTIST
 40.0         X   276,802 0 30,429
(38) JOHN MARONEY
VP TECHNOLOGY TRANSFER
 40.0         X   228,449 0 44,465
(39) NICHOLAS TONKS
SCIENTIST
 40.0         X   256,189 0 47,965
(40) DR JAMES D WATSON
CHANCELLOR EMERITUS
 40.0         X   418,500 0 180,977
(41) MICHAEL WIGLER
SCIENTIST
 40.0         X   320,755 0 60,963
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 3,512,036 0 999,376
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 in reportable compensation from the organizationMediumBullet73
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If “Yes,” complete Schedule J for such individual .............
3
 
No
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If “Yes,” complete Schedule J for such individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If “Yes,” complete Schedule J for such person .....
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
CENTERBROOK ARCHITECTS
PO BOX 955
CENTERBROOK,CT06409 		ARCHITECTURAL 906,204
COOPER DUNHAM LLP
30 ROCKEFELLER PLAZA 20TH FLOOR
NEW YORK,NY10112 		LEGAL-PATENT 340,346
SCULLY SCOTT MURPHY PRESSER
437 MADISON AVE
NEW YORK,NY10022 		LEGAL-PATENT 325,451
KPMG LLP
1345 WALT WHITMAN RD
MELVILLE,NY11375 		ACCOUNTING/AUDIT 256,500
KRAMER LEVIN NAFTALIS FRANKEL
1177 AVENUE OF THE AMERICAS
NEW YORK,NY10036 		LEGAL 229,437
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 in compensation from the organization MediumBullet7
Form 990 (2010)
Form 990 (2010)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, gifts, grants and other similar amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 3,190,748
d Related organizations...1d 5,558,152
e Government grants (contributions)1e 54,509,334
f All other contributions, gifts, grants, and
similar amounts not included above1f 		49,361,728
g Noncash contributions included in lines 1a-1f:$ 1,531,043
h Total. Add lines 1a-1f.......MediumBullet 112,619,962
Program Service Revenue Business Code
2a MEETINGS AND COURSES 611,600 4,905,673 4,905,673    
b CO-PARTICIPANT PROJECTS 541,700 1,027,282 1,027,282    
c PUBLICATIONS 713,110 9,251,441 8,617,925 633,516  
d DINING 611,710 4,118,909 4,118,909    
e HOUSING 611,710 2,603,997 2,603,997    
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 21,907,302
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 2,418,986   -2,143 2,421,129
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0     0
5 Royalties............MediumBullet 785,156     785,156
(i) Real (ii) Personal
6a Gross Rents 125,888  
b Less: rental expenses 55,320  
c Rental income or (loss) 70,568  
d Net rental income or (loss).......MediumBullet 70,568     70,568
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 21,696,897 1,165,601
b Less: cost or other basis and sales expenses 17,802,023 1,026,729
c Gain or (loss) 3,894,874 138,872
d Net gain or (loss)..........MediumBullet 4,033,746     4,033,746
8a Gross income from fundraising events (not including
$ 3,190,748
of contributions reported on line 1c). See Part IV, line 18 ...
a 175,505
b Less: direct expenses ...b 316,053
c Net income or (loss) from fundraising events..MediumBullet -140,548   -140,548
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances .
a  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet 0      
Miscellaneous Revenue Business Code
11a EMPLOYEE DINING 611,710 200,938     200,938
b YEAR ROUND HOUSING 611,710 952,331     952,331
c MISCELLANEOUS 541,900 168,383 168,383    
d All other revenue ....        
e Total. Add lines 11a–11d ......MediumBullet 1,321,652
12 Total revenue. See Instructions....MediumBullet 143,016,824 21,442,169 631,373 8,323,320
Form 990 (2010)
Form 990 (2010)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D).
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising expenses
1 Grants and other assistance to governments and organizations in the U.S. See Part IV, line 21 4,667,064 4,667,064
2 Grants and other assistance to individuals in the U.S. See Part IV, line 22 0  
3 Grants and other assistance to governments, organizations, and individuals outside the U.S. See Part IV, lines 15 and 16 1,069,649 1,069,649
4 Benefits paid to or for members 0 0
5 Compensation of current officers, directors, trustees, and key employees .... 4,476,256 2,306,028 1,570,751 599,477
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 0      
7 Other salaries and wages 44,309,244 39,798,002 3,758,444 752,798
8 Pension plan contributions (include section 401(k) and section 403(b) employer contributions) .... 3,346,000 3,120,471 175,785 49,744
9 Other employee benefits ....... 7,750,782 7,202,924 403,218 144,640
10 Payroll taxes ........... 2,999,769 2,621,158 329,406 49,205
11 Fees for services (non-employees):        
a Management ...... 0 0    
b Legal ......... 1,109,454 960,747 148,707  
c Accounting ........... 256,500 0 256,500 0
d Lobbying ........... 0 0    
e Professional fundraising. See Part IV, line 17.. 0  
f Investment management fees ...... 572,855 0 572,855 0
g Other .......... 1,188,530 573,430 500,161 114,939
12 Advertising and promotion .... 275,194 268,125 0 7,069
13 Office expenses ....... 21,019,572 19,721,828 1,264,479 33,265
14 Information technology ...... 1,154,901 1,136,500 18,299 102
15 Royalties .. 817,252 817,252 0 0
16 Occupancy ........... 7,851,889 6,784,103 1,067,092 694
17 Travel ............ 1,811,707 1,760,834 32,925 17,948
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0 0    
19 Conferences, conventions, and meetings .... 3,894,136 3,362,383 531,645 108
20 Interest ........... 5,011,478 4,510,330 501,148 0
21 Payments to affiliates ....... 0 0    
22 Depreciation, depletion, and amortization ..... 15,423,458 13,722,716 1,671,923 28,819
23 Insurance .............. 684,415 0 684,415 0
24 Other expenses. Itemize expenses not covered above. (Expenses grouped together and labeled miscellaneous may not exceed 5% of total expenses shown on line 25 below.)
a PRINTING AND PUBLICATIONS 5,541,051 5,493,081 40,079 7,891
b SERVICE CONTRACTS & REPAIRS 2,198,066 1,880,303 317,763 0
c MISCELLANEOUS 2,221,332 1,612,040 312,371 296,921
d
e
f All other expenses        
25 Total functional expenses. Add lines 1 through 24f 139,650,554 123,388,968 14,157,966 2,103,620
26 Joint costs. Check here MediumBullet if following
SOP 98-2 (ASC 958-720). Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation 		       
Form 990 (2010)
Form 990 (2010)
Page 11
Part X Balance Sheet
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing .......... 5,710 1 6,410
2 Savings and temporary cash investments ....... 59,740,680 2 57,594,205
3 Pledges and grants receivable, net ......... 125,940,583 3 111,998,250
4 Accounts receivable, net ......... 2,143,584 4 1,999,074
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..........   5  
6 Receivables from other disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B). Complete Part II of
Schedule L ..........   6  
7 Notes and loans receivable, net .............   7  
8 Inventories for sale or use .............. 4,570,278 8 3,555,193
9 Prepaid expenses and deferred charges ............ 5,001,279 9 4,086,276
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 333,827,478
b Less: accumulated depreciation. ..... 10b 95,122,685 237,711,878 10c 238,704,793
11 Investments—publicly traded securities .......... 86,153,860 11 92,605,824
12 Investments—other securities. See Part IV, line 11 ...... 60,887,053 12 80,276,802
13 Investments—program-related. See Part IV, line 11 ..   13  
14 Intangible assets .........   14  
15 Other assets. See Part IV, line 11 ........... 5,907,510 15 6,830,013
16 Total assets. Add lines 1 through 15 (must equal line 34)... 588,062,415 16 597,656,840
Liabilities 17 Accounts payable and accrued expenses . 15,002,905 17 9,152,129
18 Grants payable ..........   18  
19 Deferred revenue .......... 4,977,461 19 5,605,677
20 Tax-exempt bond liabilities .......... 97,200,000 20 97,200,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D..   21  
22 Payables to current and former officers, directors, trustees, key
employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L..........   22  
23 Secured mortgages and notes payable to unrelated third parties ..   23  
24 Unsecured notes and loans payable to unrelated third parties ....   24  
25 Other liabilities. Complete Part X of Schedule D..... 13,139,579 25 18,075,656
26 Total liabilities. Add lines 17 through 25..... 130,319,945 26 130,033,462
Net Assets or Fund Balance Organizations that follow SFAS 117, check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets ..... 234,925,844 27 227,814,588
28 Temporarily restricted net assets ..... 129,989,766 28 147,464,506
29 Permanently restricted net assets ..... 92,826,860 29 92,344,284
Organizations that do not follow SFAS 117, check here MediumBullet and complete lines 30 through 34.
30 Capital stock or trust principal, or current funds .....   30  
31 Paid-in or capital surplus, or land, building or equipment fund .....   31  
32 Retained earnings, endowment, accumulated income, or other funds   32  
33 Total net assets or fund balances ..... 457,742,470 33 467,623,378
34 Total liabilities and net assets/fund balances ..... 588,062,415 34 597,656,840
Form 990 (2010)
Form 990 (2010)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response to any question in this Part XI . . . . . . . . . .
1
Total revenue (must equal Part VIII, column (A), line 12) . . .
1
143,016,824
2
Total expenses (must equal Part IX, column (A), line 25) . . . . .
2
139,650,554
3
Revenue less expenses. Subtract line 2 from line 1 . . . .
3
3,366,270
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) . .
4
457,742,470
5
Other changes in net assets or fund balances (explain in Schedule O) . . . .
5
6,514,638
6
Net assets or fund balances at end of year. Combine lines 3, 4, and 5 (must equal Part X, line 33, column (B)) . . . . . .
6
467,623,378
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response to any question in this Part XII . . . . . . . . . .
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?..
2a
 
No
b
Were the organization’s financial statements audited by an independent accountant?........
2b
Yes
 
c
If “Yes,” to 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O............................
2c
Yes
 
d
If “Yes” to line 2a or 2b, check a box below to indicate whether the financial statements for the year were issued on a separate basis, consolidated basis, or both:
3a
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133? ................
3a
Yes
 
b
If “Yes,” did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits. ..
3b
Yes
 
Form 990 (2010)
Additional Data


Software ID:  
Software Version:  
Form 990, Special Condition Description:
Special Condition Description
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support

Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
f
g
(i) a person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the the supported organization? ................
11g(i)
 
 
(ii) a family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) a 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
(i)
Name of supported organization 		(ii)
EIN 		(iii)
Type of organization (described on lines 1- 9 above or IRC section (see instructions)) 		(iv)
Is the organization in col. (i) listed in your governing document? 		(v)
Did you notify the organization in col. (i) of your support? 		(vi)
Is the organization in col. (i) organized in the U.S.? 		(vii)
Amount of support?
Yes No Yes No Yes No
Total                  

For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 2
Part II
Support Schedule for Organizations Described in IRC 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 117,265,205 127,999,745 158,856,060 123,621,810 112,619,962 640,362,782
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3.. 117,265,205 127,999,745 158,856,060 123,621,810 112,619,962 640,362,782
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..           58,128,586
6 Public Support. Subtract line 5 from line 4.           582,234,196
Section B. Total Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
7 Amounts from line 4.. 117,265,205 127,999,745 158,856,060 123,621,810 112,619,962 640,362,782
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources.. 6,355,586 8,665,479 9,077,401 5,798,391 4,282,361 34,179,218
9 Net income from unrelated business activities, whether or not the business is regularly carried on.. 0 0 131,102 156,192 0 287,294
10 Other income. (Explain in Part IV.) Do not include gain or loss from the sale of capital assets.. 131,366 249,203 149,154 124,453 168,383 822,559
11 Total support (Add lines 7 through 10).           675,651,853
12
12
106,937,661
13
Section C. Computation of Public Support Percentage
14
14
86.174 %
15
15
88.264 %
16a
b
17a
b
18
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 3
Part III
Support Schedule for Organizations Described in IRC 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......            
3 Gross receipts from activities that are not an unrelated trade or business under section 513..            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge..            
6 Total. Add lines 1 through 5.            
7a Amounts included on lines 1, 2, and 3 received from disqualified persons...            
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.            
c Add lines 7a and 7b..            
8 Public Support (Subtract line 7c from line 6.)            
Section B. Total Support
Calendar year (or fiscal year beginning in) (a) 2006 (b) 2007 (c) 2008 (d) 2009 (e) 2010 (f) Total
9 Amounts from line 6...            
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.            
c Add lines 10a and 10b.            
11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.            
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)            
13 Total support (Add lines 9, 10c, 11 and 12.).            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 4
Part IV
Supplemental Information. Supplemental Information. Complete this part to provide the explanation required by Part II, line 10; Part II, line 17a or 17b; or Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors
Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
OMB No. 1545-0047
2010
Name of organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule—
Special Rules
......................... Arrow Bullet   $    
Caution. An Organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2 of its Form 990, or check the box in the heading of its
Form 990-EZ, or on line 2 of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part I
Name of organization
COLD SPRING HARBOR LABORATORY
  		Employer identification number

11-2013303
Part I
Contributors (see Instructions)
     
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
RESTRICTED
RESTRICTED
 

     
RESTRICTED
RESTRICTED  
RESTRICTED, RESTRICTED   RESTRICTED

$RESTRICTED




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Aggregate contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is
a noncash contribution.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part II
Name of organization
COLD SPRING HARBOR LABORATORY
  		Employer identification number

11-2013303
Part II
Noncash Property (see Instructions)
     
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Schedule B (Form 990, 990-EZ, or 990-PF) (2010)
Page 1 of 1 of Part III
Name of organization
COLD SPRING HARBOR LABORATORY
  		Employer identification number

11-2013303
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
aggregating more than $1,000 for the year. (Complete columns (a) through (e) and the following line entry.)
For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet $  
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2010)

Additional Data


Software ID:  
Software Version:  
SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11, or 12.
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .......    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) ...    
4 Aggregate value at end of year .......    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds may be
used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit. ...................................
Part II
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a–2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the Year
a Total number of conservation easements ....................... 2a 3
b Total acreage restricted by conservation easements .................. 2b 125.00
c Number of conservation easements on a certified historic structure included in (a) ..... 2c 1
d Number of conservation easements included in (c) acquired after 8/17/06 ........ 2d 0
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the taxable year SchDMd Bullet0
4
Number of states where property subject to conservation easement is located SchDMd Bullet1
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting and enforcing conservation easements during the year SchDMd Bullet100.00
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year SchDMd Bullet $ 3,500
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section
170(h)(4)(B)(i) and 170(h)(4)(B)(ii)? ....................................
9
In Part XIV, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under SFAS 116, not to report in its revenue statement and balance sheet works of
art, historical treasures, or other similar assets held for public exhibition, education or research in furtherance of public service,
provide, in Part XIV, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under SFAS 116, to report in its revenue statement and balance sheet works of art,
historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service,
provide the following amounts relating to these items:
(i)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $  
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under SFAS 116 relating to these items:
a
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 52283D
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s accession and other records, check any of the following that are a significant use of its collection
items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIV.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?........
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990,
Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b
If "Yes," explain the arrangement in Part XIV and complete the following table:
Amount
c Beginning balance ................................. 1c  
d Additions during the year .............................. 1d  
e Distributions during the year ............................. 1e  
f Ending balance ................................... 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21? .....................
b
If “Yes,” explain the arrangement in Part XIV.
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current Year (b)Prior Year (c)Two Years Back (d)Three Years Back (e)Four Years Back
1a Beginning of year balance .... 183,810,446 158,727,484 189,938,403
b Contributions ........ 16,281,808 11,528,721 21,951,641
c Investment earnings or losses ... 17,839,551 26,263,315 -42,369,674
d Grants or scholarships .....      
e Other expenditures for facilities
and programs ........ 		12,440,512 12,215,524 10,061,971
f Administrative expenses .... 742,217 493,550 730,915
g End of year balance ...... 204,749,076 183,810,446 158,727,484
2
Provide the estimated percentage of the year end balance held as:
a
Board designated or quasi-endowment: SchDMd Bullet43.000 %
b
Permanent endowment: SchDMd Bullet57.000 %
c
Term endowment: SchDMd Bullet  
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
 
No
(ii) related organizations ........................
3a(ii)
 
No
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part XIV the intended uses of the organization's endowment funds.
Part VI
Investments—Land, Buildings, and Equipment. See Form 990, Part X, line 10.
Description of investment (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   15,631,814 15,631,814
b Buildings ................   247,868,942 55,883,369 191,985,573
c Leasehold improvements ............   584,844 234,114 350,730
d Equipment ................   67,143,255 38,660,298 28,482,957
e Other .................   2,598,623 344,904 2,253,719
Total. Add lines 1a-1e. (Column (d) should equal Form 990, Part X, column (B), line 10(c).)........SchDMdBullet 238,704,793
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 3
Part VII
Investments—Other Securities. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) ALTERNATIVE INVESTMENTS 		80,276,802 F








Total. (Column (b) should equal Form 990, Part X, col.(B) line 12.)Small Bullet 80,276,802
Part VIII
Investments—Program Related. See Form 990, Part X, line 13.
(a) Description of investment type (b) Book value (c) Method of valuation:
Cost or end-of-year market value








Total. (Column (b) should equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets. See Form 990, Part X, line 15.
(a) Description (b) Book value








Total. (Column (b) should equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities. See Form 990, Part X, line 25.
1.(a) Description of Liability (b) Amount
Federal Income Taxes 0
ACCRUED SWAP FMV 16,439,159
OTHER NOTES PAYABLE 1,636,497







Total. (Column (b) should equal Form 990, Part X, col.(B) line 25.)Small Bullet 18,075,656
2. Fin 48 (ASC 740) Footnote. In Part XIV, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC740).
Schedule D (Form 990) 2010

Schedule D (Form 990) 2010
Page 4
Part XI Reconciliation of Change in Net Assets from Form 990 to Financial Statements
1 Total revenue (Form 990, Part VIII, column (A), line 12) .................... 1  
2 Total expenses (Form 990, Part IX, column (A), line 25) ..................... 2  
3 Excess or (deficit) for the year. Subtract line 2 from line 1 ............. 3  
4 Net unrealized gains (losses) on investments .......................... 4  
5 Donated services and use of facilities ............................. 5  
6 Investment expenses ................................... 6  
7 Prior period adjustments .................................. 7  
8 Other (Describe in Part XIV) ................................. 8  
9 Total adjustments (net). Add lines 4 - 8 ............................. 9  
10 Excess or (deficit) for the year per financial statements. Combine lines 3 and 9 ......... 10  
Part XII Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
1 Total revenue, gains, and other support per audited financial statements ....... 1  
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIV): ............ 2d  
e Add lines 2a through 2d ..................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a  
b Other (Describe in Part XIV): ........... 4b  
c Add lines 4a and 4b....................... 4c  
5 Total Revenue. Add lines 3 and 4c. (This should equal Form 990, Part I, line 12.) ...... 5  
Part XIII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
1 Total expenses and losses per audited financial statements ............. 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIV): ............ 2d  
e Add lines 2a through 2d...................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIV): ............ 4b  
c Add lines 4a and 4b....................... 4c  
5 Total expenses. Add lines 3 and 4c. (This should equal Form 990, Part I, line 18.) ...... 5  
Part XIV
Supplemental Information
Complete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b;
Part V, line 4; Part X; Part XI, line 8; Part XII, lines 2d and 4b; and Part XIII, lines 2d and 4b. Also complete this part to provide any additional information.
Identifier Return Reference Explanation
CONSERVATION EASEMENTS SCHEDULE D, PART II, LINE 9 THE LABORATORY INCLUDES ANY EXPENSES FROM THE CONSERVATION EASEMENTS IN ITS GENERAL EXPENSES. THE EASEMENTS DO NOT GENERATE ANY OTHER MATERIAL EXPENSES OR LIABILITIES AND ARE THEREFORE NOT SEPARATELY DISCLOSED IN THE NOTES TO THE FINANCIAL STATEMENTS. ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 100 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, AND OPERATIONS AND FACILITIES COSTS. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. OTHER LIABILITIES SCHEDULE D, PART X NOTE PAYABLE - REPRESENTS A NOTE BETWEEN COLD HARBOR LABORATORY AND THE ROBERTSON RESEARCH FUND, INC. A RELATED 501(C)(3) ORGANIZATION OF THE LABORATORY WHICH WAS ORIGINATED IN 1996. THE NOTE IS PAYABLE IN 30 ANNUAL INSTALLMENTS AND BEARS INTEREST AT A RATE OF 6% PER ANNUM. ACCRUED SWAP FAIR MARKET VALUE - IN APRIL 2006, THE LABORATORY ENTERED INTO AN INTEREST RATE SWAP AGREEMENT TO MITIGATE THE RISK OF INTEREST RATES ASSOCIATED WITH THE SERIES 1999 AND SERIES 2006 BOND ISSUES. UNDER THE TERMS OF THE AGREEMENT, THE LABORATORY PAYS INTEREST AT A PREDETERMINED FIXED RATE OF 3.802% AND RECEIVES 68% OF 3-MONTH LIBOR ON THE NOTIONAL PRINCIPAL AMOUNT OF $97.2 MILLION. THE SWAP AGREEMENT HAS AN EFFECTIVE DATE OF OCTOBER 1, 2006 AND A TERMINATION DATE OF JANUARY 1, 2042. THE FAIR VALUE OF THE INTEREST RATE SWAP WAS A LIABILITY OF $16,439,159 AT DECEMBER 31, 2010. FIN 48 SCHEDULE D, PART X THE LABORATORY AND ROBERTSON ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THEY ARE NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT THERE IS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO THE EXEMPT PURPOSES. THE LABORATORY RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. CSH ASIA WAS ESTABLISHED AS A TAXABLE ORGANIZATION WHERE THE LABORATORY HAS BEGUN EFFORTS TO CONVERT THE ORGANIZATION TO A NOT-FOR-PROFIT ORGANIZATION IN CHINA. PROVISIONS FOR UNRELATED BUSINESS INCOME TAXES ARE INCLUDED IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES.
Schedule D (Form 990) 2010

Additional Data


Software ID:  
Software Version:  




SCHEDULE F
(Form 990)

Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,
Part IV, line 14b, 15, or 16.
Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
General Information on Activities Outside the United States. Complete if the organization answered
“Yes” to Form 990, Part IV, line 14b.
1
For grantmakers. Does the organization maintain records to substantiate the amount of the grants or
assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award
the grants or assistance? ...................................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of grant funds outside the
United States.
3
Activites per Region. (Use Part V if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees or agents in region or independent contractors (d) Activities conducted in region (by type) (e.g., fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in region		 (f) Total
expenditures for region/investments
in region
Central America and the Caribbean     Investments   28,543,538
Europe (Including Iceland and Greenland)     Investments   3,282,946
East Asia and the Pacific 0 0 Grantmaking RESEARCH 502,756
Europe (Including Iceland and Greenland) 0 0 Grantmaking RESEARCH 542,250
North America 0 0 Grantmaking RESEARCH 24,642
           
           
           
           
           
           
           
           
           
           
           
           
3a Sub-total ..... 0 0 32,896,132
b Total from continuation sheets to Part I ...      
c Totals (add lines 3a and 3b) 0 0 32,896,132
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to Form 990,
Part IV, line 15, for any recipient who received more than $5,000. Check this box if no one recipient received more than $5,000 ........ MediumBullet
Use Part V if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount of
of non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
East Asia/Pacific   502,756 CHECK     BOOK VALUE
Europe/Iceland/Greenland   542,250 CHECK     BOOK VALUE
North America   24,692 CHECK     BOOK VALUE
             
             
             
             
             
             
             
             
             
             
             
             
             
2
Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter .....MediumBullet
8
3
Enter total number of other organizations or entities ........................MediumBullet
0
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
Use Part V if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 926 (see instructions for Form 926).................
2 Did the organization have an interest in a foreign trust during the tax year? If " Yes," the organization may be required to file Form 3520 and/or Form 3520-A. (see instructions for Forms 3520 and 3520-A)..........
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with respect to Certain Foreign Corporations. (see instructions for Form 5471)..............................
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If "Yes," the organization may be required to file Form 8621, Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see instructions for Form 8621)
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with respect to Certain Foreign Partnerships. (see instructions for Form 8865)....................................
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to file Form 5713, International Boycott Report (see instructions for Form 5713)................................................
Schedule F (Form 990) 2010
Schedule F (Form 990) 2010
Page 5
Part V
Supplemental Information
Complete this part to provide the information (see instructions) required in Part I, line 2, and any additional information.
Identifier ReturnReference Explanation
SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES SCHEDULE F, PART I, LINE 2 SEE SCHEDULE O FOR SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES DISCLOSURE.
ACCOUNTING METHOD PART I, LINE 3, COLUMN (F) AND PART II, LINE 1: ACCOUNTING METHOD FOR INVESTMENTS: FMV ACCOUNTING METHOD FOR GRANTS: ACCRUAL
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2010
Additional Data


Software ID:  
Software Version:  



SCHEDULE G
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Supplemental Information Regarding
Fundraising or Gaming Activities
Complete if the organization answered "Yes" to Form 990, Part IV, lines 17, 18, or 19,
or if the organization entered more than $15,000 on Form 990-EZ, line 6a.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Fundraising Activities. Complete if the organization answered "Yes" to Form 990, Part IV, line 17.
1
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
a e
b f
c g
d
2a
Did the organization have a written or oral agreement with any individual (including officers, directors, trustees
or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?
b
If “Yes,” list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is
to be compensated at least $5,000 by the organization. Form 990-EZ filers are not required to complete this table.
(i) Name and address of individual
or entity (fundraiser) 		(ii) Activity (iii) Did fundraiser have custody or control of contributions? (iv) Gross receipts
from activity 		(v) Amount paid to
(or retained by)
fundraiser listed in
col. (i) 		(vi) Amount paid to
(or retained by)
organization
Yes No
Total .................right arrow      
3
List all states in which the organization is registered or licensed to solicit funds or has been notified it is exempt from registration or licensing.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2010
Schedule G (Form 990 or 990-EZ) 2010
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 on Form 990-EZ, line 6a. List events with gross receipts greater than $5,000.
(a) Event #1

AWARD DINNER
(event type) 		(b) Event #2

GOLF OUTING
(event type) 		(c) Other Events

1
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 3,016,648 174,455 175,150 3,366,253
2 Less: Charitable
contributions . . . 		2,936,898 88,900 164,950 3,190,748
3 Gross income (line 1
minus line 2) . . . 		79,750 85,555 10,200 175,505
VerticalDirectExpenses 4 Cash prizes . . . 0 0 0 0
5 Non-cash prizes . . 0 0 0 0
6 Rent/facility costs . . 0 71,985 0 71,985
7 Food and beverages . . 108,071 0 11,834 119,905
8 Entertainment . . . 4,500 0 0 4,500
9 Other direct expenses . 103,007 3,751 12,905 119,663
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 316,053
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow -140,548
Part III
Gaming. Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than $15,000 on Form 990-EZ, line 6a.
VerticalRevenue (a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (Add col. (a) through col. (c))
1 Gross revenue . . . .        
VerticalDirectExpenses 2 Cash prizes . . . .        
3 Non-cash prizes . . .        
4 Rent/facility costs . . .        
5 Other direct expenses . .        
6 Volunteer labor . . .
 
 
 
7 Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow  
8 Net gaming income summary. Combine lines 1 and 7 in column (d) .......... right arrow  
9
Enter the state(s) in which the organization operates gaming activities:
a
Is the organization licensed to operate gaming activities in each of these states? ............
b
If "No," Explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....
b
If "Yes," Explain:
 
11
Does the organization operate gaming activities with nonmembers? .................
12
Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable gaming? ...........................
Schedule G (Form 990 or 990-EZ) 2010
Schedule G (Form 990 or 990-EZ) 2010
Page 3
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
 
b
An outside facility ........................
13b
 
14
Provide the name and address of the person who prepares the organization's gaming/special events books and records:
Name right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ......................................
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address:
Name right arrow
Address right arrow
 
 
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
17
Mandatory distributions:
a
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ............................
b
Enter the amount of distributions required under state law distributed to other exempt organizations or spent
in the organization's own exempt activities during the tax year right arrow$  
Part IV
Complete this part to provide additional information for responses to quuestion on Schedule G (see instructions.)
Identifier ReturnReference Explanation
Schedule G (Form 990 or 990-EZ) 2010
Additional Data


Software ID:  
Software Version:  
Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number
11-2013303
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to
Form 990, Part IV, line 21 for any recipient that received more than $5,000. Check this box if no one recipient received more than $5,000. Use
Part IV and Schedule I-1 (Form 990) if additional space is needed ......................... lBullet
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance
(1) ALBERT EINSTEIN COLLEGE OF MEDICINEJACK PEARL RESNICK CAMPUS
BELFER BLDG RM 1108 1300 MORRIS P
BRONX,NY10461 		13-1624225 501(C)(3) 225,042   BOOK VALUE    
(2) BRANDEIS UNIVERSITY415 SOUTH STREET
WALTHAM,MA02454 		04-2103552 501(C)(3) 485,805   BOOK VALUE   RESEARCH
(3) BRIGHAM AND WOMEN'S HOSPITAL75 FRANCIS ST
BOSTON,MA02115 		04-2312909 501(C)(3) 125,269   BOOK VALUE   RESEARCH
(4) BRIGHAM YOUNG UNIVERSITYFINANCIAL SERVICES/RESEARCH
PO BOX 21128
PROVO,UT846021128 		87-0533795 501(C)(3) 51,455   BOOK VALUE   RESEARCH
(5) CORNELL UNIVERSITY MEDICAL COLLEGESPONSORED FUNDS ACCOUNTING
PO BOX 22
ITHACA,NY14851 		15-0532082 501(C)(3) 650,662   BOOK VALUE   RESEARCH
(6) COLUMBIA UNIVERSITYGRANT CONTRACT PO BOX 29789
NEW YORK,NY10087 		13-5598093 501(C)(3) 51,153   BOOK VALUE    
(7) FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH350 COMMUNITY DRIVE
MANHASSET,NY11030 		11-2673595 501(C)(3) 26,136   BOOK VALUE    
(8) INSTITUTE FOR GENOMIC RESEARCH9712 MEDICAL CENTER DRIVE
ROCKVILLE,MD20850 		52-1784418 501(C)(3) 90,758   BOOK VALUE    
(9) ISIS PHARMACEUTICAL1896 RUTHERFORD ROAD
CARLSBAD,CA92008 		33-0336973 N/A 40,005   BOOK VALUE    
(10) LUDWIG INSTITUTE FOR CANCER RESEARCH9500 GILMAN DRIVE
LA JOLLA,CA92093 		23-7121131 501(C)(3) 84,144   BOOK VALUE    
(11) OREGON STATE UNIVERSITYOFFICE OF POST AWARD ADMIN PO B
CORVALLIS,OR973391086 		93-6022772 501(C)(3) 250,116   BOOK VALUE    
(12) THE STATE UNIVERSITY OF NEW JERSEY RUTGERS102 RYDERS LANE
NEW BRUNSWICK,NJ08901 		22-6001086 501(C)(3) 9,013   BOOK VALUE    
(13) ST JUDE'S CHILDRENS RESEARCH HOSPITAL501 ST JUDE PLACE
MEMPHIS,TN38105 		06-7711789 501(C)(3) 149,486   BOOK VALUE    
(14) UNIVERSITY OF CAL SAN FRANCISCO1855 FOLSOM STREET SUITE 425
SAN FRANCISCO,CA94143 		94-6036493 501(C)(3) 322,500   BOOK VALUE    
(15) UNIVERSITY OF CALIFORNIA BERKELEY481 UNIVERSITY HALL
BERKELEY,CA94720 		19-4600212 501(C)(3) 76,000   BOOK VALUE    
(16) UNIVERITY OF CALIFORNIA SAN DIEGO9500 GILMAN DRIVE
LJOLLA,CA92093 		94-3067788 501(C)(3) 77,391   BOOK VALUE    
(17) UNIVERSITY OF CHICAGO5847 S MARYLAND AVE
CHICAGO,IL60637 		36-2177139 501(C)(3) 247,500   BOOK VALUE    
(18) UNIVERSITY OF DELAWAREPO BOX 7449
WILKESBARRE,PA18773 		51-6000297 501(C)(3) 265,636   BOOK VALUE    
(19) UNIVERSITY OF MICHIGAN3003 S STATE STREET
ANN ARBOR,MI481091273 		38-6006309 501(C)(3) 218,652   BOOK VALUE    
(20) UNIVERSITY OF MINNESOTA555 ESSEX STREET SE
MINNEAPOLIS,MN55455 		41-6007513 501(C)(3) 265,959   BOOK VALUE    
(21) UNIVERSITY OF SOUTHERN CALIFORNIA3500 S FIGUEROA ST SUITE 102
LOS ANGELES,CA90089 		95-1642394 501(C)(3) 300,998   BOOK VALUE    
(22) UNIVERSITY OF TEXAS AT DALLAS800 W CAMPBELL ROAD AD37
RICHARDSON,TX75080 		75-1305566 501(C)(3) 75,761   BOOK VALUE    
(23) UNIVERSITY OF WYOMINGDEPT OF SPONSORED PROGRAMS 1000 E
UNIVERSITY AVE
LARAMIE,WY82071 		83-6000331 501(C)(3) 291,731   BOOK VALUE    
(24) VANDERBILT UNIVERSITY MEDICAL CENTERSEPT OF FINANCE DEPT 40303
ATLANTA,GA311920303 		62-0476822 501(C)(3) 120,086   BOOK VALUE    
(25) WASHINGTON UNIVERSITY660 SO EUCLID AVE
CAMPUS BOX 8013
ST LOUIS,MO63110 		43-0653611 501(C)(3) 46,891   BOOK VALUE    
(26) WEILL CORNELL MEDICAL COLLEGE100 BROADWAY 8TH FLOOR
NEW YORK,NY10005 		13-3376695 501(C)(3) 118,723   BOOK VALUE    
2
Enter total number of section 501(c)(3) and government organizations ......................... Bullet Image
25
3
Enter total number of other organizations ................................ . Bullet Image
1
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2010

Schedule I (Form 990) 2010
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 22.
Use Schedule I-1 (Form 990) if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance













Part IV
Supplemental Information. Complete this part to provide the information required in Part I, line 2, and any other additional information.
Identifier Return Reference Explanation
SUB-AWARD/SUB-RECIPIENT MONITORING PROCEDURES SCHEDULE F, PART I, LINE 2 SEE SCHEDULE O FOR SUB-AWARD/SUB-RECIPIENT MONITORING PROCEDURES DISCLOSURE.
Schedule I (Form 990) 2010


Additional Data


Software ID:  
Software Version:  


Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990,
Part IV, question 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement orprovision of all the expenses described above? If "No," complete Part III to explain....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
officers, directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? ....
2
Yes
 
3
Indicate which, if any, of the following the organization uses to establish the compensation of the
organization's CEO/Executive Director. Check all that apply.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ...............
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? ........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? ........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regs. section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 50053T
Schedule J (Form 990) 2010

Schedule J (Form 990) 2010
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use Schedule J-1 if additional space needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.

Note. The sum of columns (B)(i)-(iii) must equal the applicable column (D) or column (E) amounts on Form 990, Part VII, line 1a.
(A) Name (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported in prior
Form 990 or
Form 990-EZ
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1) BRUCE STILLMAN (i)
(ii)		 494,143
0 		0
0 		28,728
0 		80,051
0 		148,917
0 		751,839
0 		0
0
(2) W DILLAWAY AYRES (i)
(ii)		 386,280
0 		0
0 		39,205
0 		143,635
0 		50,811
0 		619,931
0 		0
0
(3) LARI C RUSSO (i)
(ii)		 208,060
0 		10,000
  		8,296
0 		0
0 		26,732
0 		253,088
0 		0
0
(4) ARTHUR BRINGS (i)
(ii)		 208,060
0 		37,500
0 		3,726
0 		60
0 		72,466
0 		321,812
0 		0
0
(5) WALTER GOLDSCHMIDTS (i)
(ii)		 247,500
0 		0
0 		-598
0 		375
0 		49,032
0 		296,309
0 		0
0
(6) DAVID SPECTOR (i)
(ii)		 330,000
0 		0
0 		10,441
0 		12,000
0 		50,498
0 		402,939
0 		0
0
(7) THOMAS GINGERAS (i)
(ii)		 271,830
0 		0
0 		4,972
0 		4,024
0 		26,405
0 		307,231
0 		0
0
(8) JOHN MARONEY (i)
(ii)		 209,694
0 		15,000
0 		3,755
0 		0
0 		44,465
0 		272,914
0 		0
0
(9) NICHOLAS TONKS (i)
(ii)		 238,261
0 		0
0 		17,928
0 		0
0 		47,965
0 		304,154
0 		0
0
(10) DR JAMES D WATSON (i)
(ii)		 375,000
0 		0
0 		43,500
0 		19,500
0 		161,477
0 		599,477
0 		0
0
(11) MICHAEL WIGLER (i)
(ii)		 314,931
0 		0
0 		5,824
0 		10,490
0 		50,473
0 		381,718
0 		0
0





Schedule J (Form 990) 2010

Schedule J (Form 990) 2010
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
Identifier Return Reference Explanation
SCHEDULE J   PART I, LINE 1A - CLUB DUES: ---------------------------- COLD SPRING HARBOR LABORATORY REIMBURSES THE COST OF CLUB DUES TO THE CEO/PRESIDENT, THE CHIEF OPERATING OFFICER AND THE CHANCELLOR EMERITUS. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN: ------------------------------------------ BRUCE STILLMAN $80,051 DR JAMES D WATSON $19,500 W DILLAWAY AYRES $143,635 MICHAEL WIGLER $10,490 DAVID SPECTOR $12,000 THOMAS GINGERAS $4,024 WALTER GOLDSCHMIDTS $357 ARTHUR BRINGS $60 THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. PART I, LINE 7: --------------- A BONUS OF $37,500 WAS PAID BASED ON PERFORMANCE TO THE VICE PRESIDENT CHIEF OF FACILITIES.
SCHEDULE J, PART II, COLUMN D   COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN, CEO/PRESIDENT, DR. WATSON, CHANCELLOR EMERITUS, AND ARTHUR BRINGS, VP CHIEF FACILITIES OFFICER, WITH HOMES ON ITS CAMPUS AND REQUIRES THEM TO BE USED AS A CONDITION OF THEIR EMPLOYMENT FOR THE CONVENIENCE OF THE LABORATORY. THE VALUE OF THE NON-TAXABLE PERSONAL USE OF THE HOMES ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D.
Schedule J (Form 990) 2010

Additional Data


Software ID:  
Software Version:  
Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Schedule O (Form 990).
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number
11-2013303
Part I
Bond Issues
(a) Issuer Name (b) Issuer EIN (c) CUSIP # (d) Date Issued (e) Issue Price (f) Description of Purpose (g) Defeased (h) On
Behalf of
Issuer 		(i) Pool
financing
Yes No Yes No Yes No
A NASSAU COUNTRY IDA
  		11-2559657 631657KT9 06-27-2006 55,000,000 CONSTRUCTION OF RESEARCH BUILDINGS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired. . . . . 0      
2 Amount of bonds defeased . . . . 0      
3 Total proceeds of issue . . . . 55,000,000      
4 Gross proceeds in reserve funds . . 0      
5 Capitalized interest from proceeds. 0      
6 Proceeds in refunding escrow. . . . . 0      
7 Issuance costs from proceeds . . . 1,743,581      
8 Credit enhancement from proceeds. 0      
9 Working capital expenditures from proceeds . . 547,324      
10 Capital expenditures from proceeds . . 52,709,095      
11 Other spent proceeds . . 0      
12 Other unspent proceeds. . . 0      
13 Year of substantial completion . . . 2009
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue?   X            
15 Were the bonds issued as part of an advance refunding issue?   X            
16 Has the final allocation of proceeds been made? . . X              
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . X              
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . .   X            
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . .   X            
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2010
Schedule K (Form 990) 2010
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use?   X            
b Are there any research agreements that may result in private business use of bond-financed property? . .   X            
c Does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts or research agreements relating to the financed property? .   X            
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . . . . . . . . . . . . SchKMediumBullet 0 %      
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . SchKMediumBullet 0 %      
6 Total of lines 4 and 5 . . .. . . . . . 0 %      
7 Has the organization adopted management practices and procedures to ensure the post-issuance compliance of its tax-exempt bond liabilities? X              
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has a Form 8038-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? . . . X              
2 Is the bond issue a variable rate issue? X              
3a Has the organization or the governmental issuer entered into a hedge with respect to the bond issue? X              
b Name of provider . JP MORGAN
  		 
  		 
  		 
 
c Term of hedge . . 35.      
d Was the hedge superintegrated? .   X            
e Was a hedge terminated? .   X            
4a Were gross proceeds invested in a GIC? . X              
b Name of provider . PALLAS CAPITAL
  		 
  		 
  		 
 
c Term of GIC . . 1.5      
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . X              
5 Were any gross proceeds invested beyond an available temporary period? . X              
6 Did the bond issue qualify for an exception to rebate? . . .   X            
Schedule K (Form 990) 2010

Schedule K (Form 990) 2010
Page 3
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
Schedule K (Form 990) 2010

Additional Data


Software ID:  
Software Version:  

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered
"Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Form 990-EZ, Part V lines 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBulletSee separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501 (c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Description of transaction (c) Corrected?
Yes No





2
Enter the amount of tax imposed on the organization managers or disqualified persons during the year under section 4958. ......................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ....... Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 26, or Form 990-EZ, Part V, line 38a.
(a) Name of interested person and purpose (b) Loan to or from the organization? (c)Original principal amount (d)Balance due (e) In default? (f) Approved by board or committee? (g)Written agreement?
To From Yes No Yes No Yes No
Total ...............Small Bullet $  
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b)Relationship between interested person and the organization (c)Amount of grant or type of assistance
For Privacy Act and Paperwork Reduction Act Notice, see the
Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2010
Schedule L (Form 990 or 990-EZ) 2010
Page 2
Part IV
Business Transactions Involving Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) TD BANK SEE PART V 477,226 BANK FEES   No
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule L (see instructions).
Identifier Return Reference Explanation
PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS COLUMN (B): ---------- BOARD MEMBER IS THE PRESIDENT OF TD BANK. ADDITIONAL DISCLOSURE: ---------------------- THE SECRETARY OF THE COLD SPRING HARBOR LABORATORY'S BOARD OF TRUSTEES, EDWARD TRAVAGLIANTI, IS EMPLOYED AS THE PRESIDENT OF TD BANK LONG ISLAND. IN ADDITION TO FUNCTIONING AS SECRETARY, MR. TRAVAGLIANTI IS AN ACTIVE MEMBER OF MANY OF THE BOARD COMMITTEES, INCLUDING THE EXECUTIVE, INVESTMENT AND FINANCE COMMITTEES. THE LABORATORY'S MAIN OPERATING BANK ACCOUNTS ARE HELD AT BOTH JP MORGAN CHASE AND TD BANK. THE LABORATORY USES STANDBY LETTERS OF CREDIT WHICH SUPPORT ITS MUNICIPAL BOND ISSUES FROM JP MORGAN CHASE AND TD BANK. THE ACCOUNT REPORT ON SCHEDULE L REPRESENTS THE STANDBY FEE PAID TO TD BANK. MR. TRAVAGLIANTI HAS RECUSED HIMSELF FROM ANY DISCUSSIONS, NEGOTIATIONS, APPROVAL, VOTES, ETC. WITH REGARD TO THE RELATIONSHIP WITH TD BANK.
Schedule L (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  




SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
NonCash Contributions
Right pointing arrow large imageComplete if the organization answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of Contributions or items contributed 		(c)
Contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
contribution amounts
1 Art—Works of art ....        
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications ..      
5 Clothing and household
goods ....... 		     
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 24 1,531,043 MEAN VALUE
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( )
26 Other Right pointing arrow large image( )
27 Other Right pointing arrow large image( )
28 Other Right pointing arrow large image ( )
29
Number of Forms 8283 received by the organization during the tax year for contributions
for which the organization completed Form 8283, Part IV, Donee Acknowledgement ...
29
0
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it
must hold for at least three years from the date of the initial contribution, and which is not required to be used
for exempt purposes for the entire holding period? ..................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?
31
 
No
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell non-cash
contributions? ............................
32a
Yes
 
b
If "Yes," describe in Part II.
33
If the organization did not report revenues in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) 2010
Schedule M (Form 990) 2010
Page 2
Part II
Supplemental Information. Complete this part to provide the information required by Part I, lines 30b,
32b, and 33. Also complete this part for any additional information.
Identifier Return Reference Explanation
THIRD PARTIES SCHEDULE M, PART I, line 32a THE ORGANIZATION IS REPORTING THE NUMBER OF GIFTS OF PUBLICLY TRADED STOCKS. THE STOCKS ARE SOLD THROUGH A THIRD PARTY BROKERAGE FIRM AND THE PROCEEDS TRANSFERRED TO OUR ACCOUNTS.
Schedule M (Form 990) 2010
Additional Data


Software ID:  
Software Version:  
SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
OMB No. 1545-0047
2010
Open to Public
Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Identifier Return Reference Explanation
STATEMENT OF OTHER PROGRAM SERVICE ACCOMPLISHMENTS Form 990, PART III, LINE 4D WATSON SCHOOL OF BIOLOGICAL SCIENCES: THE GOALS OF THE WSBS INCLUDE PROVIDING BROAD EDUCATION IN THE BIOLOGICAL SCIENCES AND TEACHING THE STUDENTS THAT LEARNING IS A LIFE LONG PROCESS THAT GOES HAND IN HAND WITH RESEARCH. A WSBS EDUCATION FOCUSES ON PLANT GENETICS, CANCER, NEUROSCIENCE AND BIOINFORMATICS. THERE WERE APPROXIMATELY 50 GRADUATE STUDENTS ATTENDING THE SCHOOL IN 2010 WITH 10 EARNING THEIR PHD'S. BANBURY CENTER: THE OBJECTIVE OF THE BANBURY CENTER IS TO HOLD WORKSHOPS COVERING FUNDAMENTAL RESEARCH AND TOPICS OF SPECIAL INTEREST IN BIOTECHNOLOGY AS WELL AS SCIENTIFIC EDUCATION. IN 2010, 20 MEETINGS WERE HELD. OVER 500 PARTICIPANTS FROM BOTH THE SCIENTIFIC AND BUSINESS COMMUNITIES ATTENDED THESE MEETINGS. SPECIFIC TOPICS IN 2010 INCLUDED "FRAGILE X SYNDROME", MICROBAL FORENSICS, AND TREATMENT OF PANCREATIC CANCER. DNA LEARNING CENTER: THE MAIN OBJECTIVE OF THE LEARNING CENTER INCLUDES TRAINING TEACHERS AT THE PRE-COLLEGE LEVEL IN BIOTECHNOLOGY LAB INSTRUCTION. STUDENTS INTRODUCED TO BIOTECHNOLOGY AT LOCAL AREA SCHOOLS ARE NOW PURSUING ADVANCED DEGREES IN SCIENCE. THE CENTER OFFERS IN-HOUSE SUMMER CAMPS AND WORKSHOPS, FIELD TRIPS TO THE CENTER (INCLUDING MEMBERSHIP IN THE "CURRICULUM STUDY PROGRAM") AND A CUSTOMIZED SCHOOL SITE. OVER 50,000 STUDENTS, TEACHERS AND OTHER VISITORS HAVE ATTENDED DNALC PROGRAMS.
CONSOLIDATED FINANCIAL STATEMENTS Form 990, PART IV, LINE 12 THE COLD SPRING HARBOR LABORATORY IS AUDITED IN COMBINATION WITH ITS RELATED ORGANIZATION ROBERTSON RESEARCH FUND,INC. [EIN: 23-7224244], ALTHOUGH SEPARATE AUDITED FINANCIAL STATEMENTS ARE NOT ISSUED FOR THE COLD SPRING HARBOR LABORATORY, A CONSOLIDATED AUDITED FINANCIAL STATEMENT WAS ISSUED FOR THE YEAR 2010 WHICH WAS PREPARED IN ACCORDANCE WITH GAAP.
990 REVIEW FORM 990, PART VI, SECTION B, LINE 11 THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE VP FINANCE THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, REQUIRED ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO KPMG, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS.
CONFLICT OF INTEREST POLICY Form 990, PART VI, Section B, LINE 12C THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL MEMBERS OF THE BOARD OF TRUSTEES TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER FOR MEMBERS OF THE BOARD OF TRUSTEES AND THE OFFICE OF THE VP TECHNOLOGY TRANSFER AND IN-HOUSE LEGAL COUNSEL FOR SENIOR STAFF.
COMPENSATION Form 990, PART VI, Section B, LINE 15 THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMMITTEE WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION IS MAINTAINED BY THE VP HUMAN RESOURCES.
GOVERNING DOCUMENTS Form 990, PART VI, Section B, LINE 19 THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU.
RECONCILIATION OF NET ASSETS FROM 990 TO FINANCIAL STATEMENTS PART XI, LINE 5 OTHER CHANGES IN NET ASSETS CONSIST OF: UNREALIZED GAIN 11,520,436 LESS: CSHLA (14,998) ------------ 11,505,438 CHANGE IN FMV OF SWAP (4,990,800) ------------ 6,514,638 ============
SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES. SCHEDULE F AND I, PARTS I, LINE 2 A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY THE OPTION TO PERFORM "AUDITS" IF NECESSARY REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS CONSIDERATION OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS CSHL ALSO REQUESTS THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. 3. PROCEDURE PRINCIPAL INVESTIGATORS AND RESEARCH ADMINISTRATORS: MONITOR, WITH THE ASSISTANCE OF OSP STAFF, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT): MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. UPON REVIEW OF INVOICE, FORWARD TO P1 FOR FURTHER REVIEW AND ACCEPTANCE. AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT. OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAS BEEN RECEIVED AND REVIEWED.
SCHEDULE L PART IV - RELATIONSHIP BETWEEN INTERESTED PERSON AND THE ORGANIZATION THE TREASURER OF THE COLD SPRING HARBOR LABORATORY'S BOARD OF TRUSTEES, LEO GUTHART, IS ALSO THE CHAIRMAN OF THE AUDIT COMMITTEE, A MEMBER OF THE EXECUTIVE COMMITTEE AND INTELLECTUAL PROPERTIES COMMITTEE. IN ADDITION, MR. GUTHART IS THE FOUNDER AND CEO OF TOPSPIN PARTNERS, A FUND WHICH INVESTS IN BUSINESSES WHICH HAVE THEIR BASIS IN PROVEN SCIENTIFIC RESEARCH. TOPSPIN HAS SUPPORTED AND CONTINUES TO SUPPORT THE FOUNDING OF SEVERAL START-UP BIOTECH COMPANIES IN CONJUNCTION WITH CSHL SCIENTISTS.
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:BRUCE STILLMAN TITLE:CEO/PRESIDENT HOURS:1
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:W DILLAWAY AYRES TITLE:CHIEF OPERATING OFFICER HOURS:1
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:LARI C RUSSO TITLE:VP FINANCE AND COMPTROLLER HOURS:1
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:WALTER GOLDSCHMIDTS TITLE:EXEC.DIRECTOR SPONSORED PROGMS HOURS:1
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2010

Additional Data


Software ID:  
Software Version:  
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" to Form 990, Part IV, line 33, 34, 35, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.

OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
 
Employer identification number

11-2013303
Part I
Identification of Disregarded Entities (Complete if the organization answered "Yes" on Form 990, Part IV, line 33.)
(a)
Name, address, and EIN of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income
(e)
End-of-year assets


 		(f)
Direct controlling
entity

















Part II
Identification of Related Tax-Exempt Organizations (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.)
(a)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section
(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled organization
Yes No
(1) ROBERTSON RESEARCH FUND INC

PO BOX 100 COLD SPRING HARBOR

NEW YORK,NY11724
23-7224244 		SUPPORT DE 501(c)(3) 11 NA
 
 
 
(2) COLD SPRING HARBOR LABORATORY ASSN

PO BOX 100

COLD SPRING HARBOR,NY11724
11-1631792 		SUPPORT NY 501(C)(3) 11 NA
 
 
 










For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.)
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V—UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No












Part IV
Identification of Related Organizations Taxable as a Corporation or Trust (Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.)
(a)
Name, address, and EIN of related organization



 		(b)
Primary activity



 		(c)
Legal domicile
(state or
foreign
country)
 		(d)
Direct controlling
entity


 		(e)
Type of entity
(C corp, S corp,
or trust)

 		(f)
Share of total income



 		(g)
Share of
end-of-year
assets

 		(h)
Percentage
ownership
(1) COLD SPRING HARBOR ASIA (SIP) LTD
218 XIN HU ST
SUZHOU,CHINA215125
CH
99-9999999 		SCIENTIFIC MT CH NA
  		C CORP 2,096,138 2,956,420 100.000 %












Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 3
Part V
Transactions With Related Organizations (Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35, 35A, or 36.)
Note. Complete line 1 if any entity is listed in Parts II, III or IV.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest (ii) annuities (iii) royalties (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
 
No
b Gift, grant, or capital contribution to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
No
c Gift, grant, or capital contribution from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
Yes
 
e Loans or loan guarantees by other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Sale of assets to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Purchase of assets from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Exchange of assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Lease of facilities, equipment, or other assets to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Performance of services or membership or fundraising solicitations for other organization(s) . . . . . . . . . . . . . . . . . . . . . .
1k
Yes
 
l Performance of services or membership or fundraising solicitations by other organization(s) . . . . . . . . . . . . . . . . . . . . . .
1l
Yes
 
m Sharing of facilities, equipment, mailing lists, or other assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1m
Yes
 
n Sharing of paid employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1n
Yes
 
o Reimbursement paid to other organization for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid by other organization for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Other transfer of cash or property to other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
No
r Other transfer of cash or property from other organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
 
No
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of other organization 		(b)
Transaction
type(a-r) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) COLD SPRING HARBOR ASIA (SIP) LTD

 P 140,304  
(1)
(2)
(3)
(4)
(5)
(6)
Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership (Complete if the organization answered "Yes" on Form 990, Part IV, line 37.)
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Are all
partners
section
501(c)(3)
organizations? 		(e)
Share of
end-of-year
assets 		(f)
Disproprtionate allocations? 		(g)
Code V—UBI
amount in box
20 of Schedule K-1
(Form 1065) 		(h)
General or
managing
partner?
Yes No Yes No Yes No






























Schedule R (Form 990) 2010
Schedule R (Form 990) 2010
Page 5
Part VII
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule R (see instructions).
Identifier Return Reference Explanation
Additional Data


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