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
2011
Open to Public Inspection
A For the calendar year, or tax year beginning 07-01-2011 and ending 06-30-2012
BCheck if applicable:
CName of organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
10901 NORTH TORREY PINES ROAD
 
Room/suite
City or town, state or country, and ZIP + 4
LA JOLLA, CA92037
D Employer identification number

51-0197108
E Telephone number

G Gross receipts $ 174,816,413
F Name and address of principal officer:
KRISTIINA VUORI MD PHD
10901 N TORREY PINES ROAD
LA JOLLA,CA92037
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.SANFORDBURNHAM.ORG
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: 1976
M State of legal domicile: CA
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: SEE SCHEDULE O
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a)..... 3 21
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 16
5 Total number of individuals employed in calendar year 2011 (Part V, line 2a) ... 5 1,157
6 Total number of volunteers (estimate if necessary) .... 6 25
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a 0
b Net unrelated business taxable income from Form 990-T, line 34 .. 7b  
Revenues; Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 160,093,433 156,880,684
9 Program service revenue (Part VIII, line 2g) ......... 0 774,874
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 850,375 1,048,418
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 1,742,249 3,393,059
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 162,686,057 162,097,035
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 0 0
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) 82,307,396 82,248,203
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 0 196,445
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet3,337,433    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 78,857,656 75,933,118
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 161,165,052 158,377,766
19 Revenue less expenses. Subtract line 18 from line 12....... 1,521,005 3,719,269
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 321,579,555 316,383,458
21 Total liabilities (Part X, line 26)............. 115,088,741 109,159,237
22 Net assets or fund balances. Subtract line 21 from line 20..... 206,490,814 207,224,221
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 use only
Print/type preparer's name
 
Preparer's signature
Date
PTIN
Firm's name Right pointing arrowhead image

Firm's EIN Right pointing arrowhead image
Firm's address Right pointing arrowhead image



Phone no.
May the IRS discuss this return with the preparer shown above? See instructions .........bullet
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2011)
Form 990 (2011)
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: SEE SCHEDULE O
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 organization’s program service accomplishments for each of its three largest program services, as measured 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 $ 133,658,916 including grants of $ 0 ) (Revenue $ 0 )
SEE SCHEDULE O
4b (Code:   ) (Expenses $   including grants of $   ) (Revenue $   )
4c (Code:   ) (Expenses $   including grants of $   ) (Revenue $   )
4d Other program services (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet$ 133,658,916
Form 990 (2011)
Form 990 (2011)
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 IClick to see attachment..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities? If “Yes,” complete Schedule C,
Part IIClick to see attachment.........................
4
Yes
 
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 IIIClick to see attachment........................
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which 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
 
No
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 temporarily restricted endowments, permanent endowments, 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
 
No
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
 
No
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
Yes
 
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
 
No
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, investment, and program service activities outside the United States or aggregate foreign investments valued at $100,000 or more? 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
 
No
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
Yes
 
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
20a
Did the organization operate one or more hospitals? If “Yes,” complete Schedule H.....
20a
 
No
b
If “Yes” to line 20a, did the organization attach a copy of its audited financial statement to this return? Note. All Form 990 filers that operated one or more hospitals must attach audited financial statements.
20b
 
 
Form 990 (2011)
Form 990 (2011)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants and other assistance to any government or organization in the United States on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II..
21
 
No
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.....
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
 
No
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
Yes
 
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? 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...........................
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
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
 
No
b
If ‘Yes’ to line 35a, 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
35b
 
No
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 (2011)
Form 990 (2011)
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
224
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
1,157
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
 
No
b
If “Yes,” has it filed a Form 990-T for this year? If “No,” provide an explanation in Schedule O.....
3b
 
 
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
 
No
b
If "Yes," enter the name of the foreign country: MediumBullet
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 (2011)
Form 990 (2011)
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
If the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
1a
21
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
16
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
Did the organization have members or stockholders? ................
6
 
No
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? .................
7a
 
No
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ............
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
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If “Yes,” did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? ....
10b
 
 
11a
Has the organization provided a complete 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
Did the organization have a written conflict of interest policy? If “No,” go to line 13.......
12a
Yes
 
b
Were officers, directors or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,” describe in Schedule O how this was done ....................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did 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
Yes
 
If "Yes," to line 15a or 15b, 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,” did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take 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
AK , CA , CT , FL , KS , MD , NJ , NY , PA , VA
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 made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how), the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year.
20
State the name, physical address, and telephone number of the person who possesses the books and records of the organization: MediumBullet
GARY F RAISL EDD EVP CAO CFO
10901 N TORREY PINES ROAD
LA JOLLA,CA92037
(858) 646-3100
Form 990 (2011)
Form 990 (2011)
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 (do not check more than one box, unless person is both an officer and a director/trustee) 		(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) LORENZO BERHO
TRUSTEE
 1.0 X           0 0 0
(2) ARTHUR BRODY
TRUSTEE
 1.0 X           0 0 0
(3) SHEHAN DISSANAYAKE
TRUSTEE
 1.0 X           0 0 0
(4) DANIEL EPSTEIN
TRUSTEE
 1.0 X           0 0 0
(5) WAIN FISHBURN
TRUSTEE/CHAIRMAN
 1.0 X   X       0 0 0
(6) PAULINE FOSTER
TRUSTEE
 1.0 X           0 0 0
(7) ALAN GLEICHER
TRUSTEE
 1.0 X           0 0 0
(8) DAVID HALE
TRUSTEE
 1.0 X           0 0 0
(9) JEANNE HERBERGER
TRUSTEE
 1.0 X           0 0 0
(10) BRENT JACOBS
TRUSTEE
 1.0 X           0 0 0
(11) JAMES JARDON
TRUSTEE
 1.0 X           0 0 0
(12) ROBERT LAUER
TRUSTEE
 1.0 X           0 0 0
(13) GREG LUCIER
TRUSTEE
 1.0 X           0 0 0
(14) ROBERT MANDELL
TRUSTEE
 1.0 X           0 0 0
(15) NICOLAS NIERENBERG
TRUSTEE
 1.0 X           0 0 0
(16) DOUGLAS OBENSHAIN
TRUSTEE
 1.0 X           0 0 0
(17) PETER PREUSS
TRUSTEE
 1.0 X           0 0 0
Form 990 (2011)
Form 990 (2011)
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 (do not check more than one box, unless person is both an officer and a director/trustee) 		(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) DUANNE ROTH
TRUSTEE
 1.0 X           0 0 0
(19) STUART TANZ
TRUSTEE
 1.0 X           0 0 0
(20) JAN TUTTLEMAN
TRUSTEE
 1.0 X           0 0 0
(21) ANDREW VITERBI
TRUSTEE
 1.0 X           0 0 0
(22) BARBARA WARREN
TRUSTEE
 1.0 X           0 0 0
(23) ALLEN WEISS
TRUSTEE
 1.0 X           0 0 0
(24) GAYLE WILSON
TRUSTEE
 1.0 X           0 0 0
(25) DIANE WINOKUR
TRUSTEE
 1.0 X           0 0 0
(26) JOHN C REED MD PHD
CEO
 50.0 X   X       942,673 0 427,253
(27) KRISTIINA VUORI MD PHD
PRESIDENT
 50.0 X   X       757,003 0 345,887
(28) STUART LIPTON MD PHD
CENTER DIRECTOR
 50.0 X           464,312 0 58,415
(29) CARL WARE PHD
CENTER DIRECTOR
 50.0 X           359,943 0 49,600
(30) GARY F RAISL EDD
EVP/CAO/CFO/TREASURER
 50.0     X       511,225 0 50,559
(31) MARGARET DUNBAR JD
SECRETARY/SR DIRECTOR IP
 50.0     X       172,085 0 20,302
(32) DANIEL KELLY MD
SCIENTIFIC DIRECTOR
 50.0         X   487,867 0 50,968
(33) PAUL LAIKIND PHD
SR VP CBO
 50.0         X   468,434 0 59,835
(34) JORGE MOSCAT PHD
PROFESSOR
 50.0         X   282,768 0 36,499
(35) TARIQ RANA PHD
PROGRAM DIRECTOR
 50.0         X   281,338 0 45,966
(36) EDGAR GILLENWATERS
VP EXTERNAL RELATIONS
 50.0         X   272,625 0 63,366
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 5,000,273 0 1,208,650
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet128
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. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
DLA PIPER US LLP
PO BOX 64029
BALTIMORE,MD21264 		LEGAL 665,449
PABST PATENT GROUP
1545 PEACHTREE ST NE SUITE 320
ATLANTA,GA30309 		LEGAL 588,922
JONES DAY
12265 EL CAMINO REAL SUITE 200
SAN DIEGO,CA92130 		LEGAL 309,882
DELOITTE TOUCHE
200 SOUTH ORANGE SUITE 1800
ORLANDO,FL32801 		AUDIT 243,384
BERMAN PROPERTY MANAGEMENT LLC
100 W LUCERNE CIRCLE SUITE 403
ORLANDO,FL32801 		JANITORIAL 237,363
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet10
Form 990 (2011)
Form 990 (2011)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, Gifts, Grants and Other Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 1,790,026
d Related organizations...1d  
e Government grants (contributions)1e 124,523,171
f All other contributions, gifts, grants, and
similar amounts not included above1f 		30,567,487
g Noncash contributions included in lines 1a-1f:$ 1,083,713
h Total. Add lines 1a-1f.......MediumBullet 156,880,684
Program Service Revenue Business Code
2a SHARED SERVICE REVENUE 541,900 774,874 774,874    
b
c
d
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 774,874
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 930,497     930,497
4 Income from investment of tax-exempt bond proceeds..MediumBullet 44,815     44,815
5 Royalties............MediumBullet 3,270,214     3,270,214
(i) Real (ii) Personal
6a Gross rents 156,675  
b Less: rental expenses    
c Rental income or (loss) 156,675  
d Net rental income or (loss).......MediumBullet 156,675     156,675
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 12,275,645  
b Less: cost or other basis and sales expenses 12,202,539  
c Gain or (loss) 73,106  
d Net gain or (loss)..........MediumBullet 73,106     73,106
8a Gross income from fundraising events (not including
$ 1,790,026
of contributions reported on line 1c). See Part IV, line 18 ...
a 112,366
b Less: direct expenses ...b 516,839
c Net income or (loss) from fundraising events..MediumBullet -404,473   -404,473
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 REAGENTS (BY PRODUCT OF EXEMPT RESEARCH) 541,900 200,087     200,087
b SYMPOSIUM FEES 541,900 84,350     84,350
c All other revenue 900,099 86,206     86,206
d All other revenue ....        
e Total. Add lines 11a–11d ......MediumBullet 370,643
12 Total revenue. See Instructions....MediumBullet 162,097,035 774,874   4,441,477
Form 990 (2011)
Form 990 (2011)
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).
Check if Schedule O contains a response to any question in this Part IX. .........
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 United States. See Part IV, line 21 0  
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 0  
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 0  
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 3,820,675 2,332,592 1,488,083  
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 61,993,413 51,424,649 8,872,346 1,696,418
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 3,909,187 3,121,685 691,364 96,138
9 Other employee benefits ....... 8,713,053 7,263,485 1,252,448 197,120
10 Payroll taxes ........... 3,811,875 3,081,173 621,288 109,414
11 Fees for services (non-employees):        
a Management ...... 1,298,851 1,093,605 205,211 35
b Legal ......... 1,566,460 61,955 1,504,505  
c Accounting ........... 498,836   498,836  
d Lobbying ........... 126,038   126,038  
e Professional fundraising. See Part IV, line 17.. 196,445 196,445
f Investment management fees ...... 0      
g Other .......... 808,701 453,669 222,301 132,731
12 Advertising and promotion .... 44,857   6,656 38,201
13 Office expenses ....... 9,820,758 9,107,239 589,275 124,244
14 Information technology ...... 1,741,934 1,238,920 495,559 7,455
15 Royalties .. 0      
16 Occupancy ........... 13,817,632 12,302,843 1,383,193 131,596
17 Travel ............ 874,746 735,935 110,666 28,145
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 1,477,921 1,058,675 362,528 56,718
20 Interest ........... 4,030,913 3,659,666 333,356 37,891
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 19,986,867 17,405,538 2,396,889 184,440
23 Insurance .............. 53,377   53,377  
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24f. If line 24f amount exceeds 10% of line 25, column (A) amount, list line 24f expenses on Schedule O.)
a Research supplies & services 12,684,932 12,684,932    
b Scientific collaborations 6,324,867 6,324,867    
c Recruitment 349,094 181,481 53,369 114,244
d Miscellaneous 426,334 126,007 114,129 186,198
e
f All other expenses        
25 Total functional expenses. Add lines 1 through 24f 158,377,766 133,658,916 21,381,417 3,337,433
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2011)
Form 990 (2011)
Page 11
Part X Balance Sheet
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing .......... 2,816,447 1 2,011,199
2 Savings and temporary cash investments ....... 9,163,063 2 7,878,644
3 Pledges and grants receivable, net ......... 34,446,878 3 32,920,556
4 Accounts receivable, net ......... 288,168 4 230,956
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L .......... 942,475 5 1,142,218
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 .......... 0 6 0
7 Notes and loans receivable, net ............. 6,451,607 7 6,173,667
8 Inventories for sale or use .............. 899,924 8 629,240
9 Prepaid expenses and deferred charges ............ 8,944,007 9 8,065,520
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 283,732,280
b Less: accumulated depreciation. ..... 10b 116,139,261 183,343,497 10c 167,593,019
11 Investments—publicly traded securities .......... 70,789,430 11 86,413,448
12 Investments—other securities. See Part IV, line 11 ...... 0 12 0
13 Investments—program-related. See Part IV, line 11 .. 0 13 0
14 Intangible assets ......... 0 14 0
15 Other assets. See Part IV, line 11 ........... 3,494,059 15 3,324,991
16 Total assets. Add lines 1 through 15 (must equal line 34)... 321,579,555 16 316,383,458
Liabilities 17 Accounts payable and accrued expenses . 20,655,550 17 20,849,521
18 Grants payable .......... 0 18 0
19 Deferred revenue .......... 12,245,663 19 11,772,199
20 Tax-exempt bond liabilities .......... 82,187,528 20 76,537,517
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
22 Payables to current and former officers, directors, trustees, key
employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L.......... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties .. 0 23 0
24 Unsecured notes and loans payable to unrelated third parties .... 0 24 0
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24). Complete Part X of Schedule D..... 0 25 0
26 Total liabilities. Add lines 17 through 25..... 115,088,741 26 109,159,237
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 ..... 78,809,513 27 74,517,313
28 Temporarily restricted net assets ..... 115,687,533 28 120,682,803
29 Permanently restricted net assets ..... 11,993,768 29 12,024,105
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 ..... 206,490,814 33 207,224,221
34 Total liabilities and net assets/fund balances ..... 321,579,555 34 316,383,458
Form 990 (2011)
Form 990 (2011)
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
162,097,035
2
Total expenses (must equal Part IX, column (A), line 25) ....
2
158,377,766
3
Revenue less expenses. Subtract line 2 from line 1 ...
3
3,719,269
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
206,490,814
5
Other changes in net assets or fund balances (explain in Schedule O) ...
5
-2,985,862
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
207,224,221
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 (2011)
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
2011
Open to Public
Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 103,328,720 209,859,230 150,769,181 160,093,433 156,880,684 780,931,248
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.. 103,328,720 209,859,230 150,769,181 160,093,433 156,880,684 780,931,248
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)..           14,453,736
6 Public Support. Subtract line 5 from line 4.           766,477,512
Section B. Total Support
Calendar year(or fiscal year beginning in) (a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
7 Amounts from line 4.. 103,328,720 209,859,230 150,769,181 160,093,433 156,880,684 780,931,248
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources.. 3,955,763 1,995,011 1,354,102 2,037,946 4,402,201 13,745,023
9 Net income from unrelated business activities, whether or not the business is regularly carried on..            
10 Other income. (Explain in Part IV.) Do not include gain or loss from the sale of capital assets.. 303,840 286,205 343,630 907,754 370,643 2,212,072
11 Total support (Add lines 7 through 10).           796,888,343
12
12
1,314,412
13
Section C. Computation of Public Support Percentage
14
14
96.184 %
15
15
97.231 %
16a
b
17a
b
18
Schedule A (Form 990 or 990-EZ) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (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) 2011
Schedule A (Form 990 or 990-EZ) 2011
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) 2011

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
2011
Name of organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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 on line H of its
Form 990-EZ or on Part I, 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) (2011)

Page 2
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
  		Employer identification number

51-0197108
Part I
Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
     
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total 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)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




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

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

Page 3
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
  		Employer identification number

51-0197108
Part II
Noncash Property (see Instructions). Use duplicate copies of Part II if additional space is needed.
     
(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) (2011)

Page 4
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
  		Employer identification number

51-0197108
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
that total 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 $  
Use duplicate copies of Part III if additional space is needed
(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) (2011)

Additional Data


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

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527
SchCMd Bullet Complete if the organization is described below.
SchCMd Bullet Attach to Form 990 or Form 990-EZ. SchCMd Bullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
If the organization answered “Yes” to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered “Yes” to Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered “Yes” to Form 990, Part IV, Line 5 (Proxy Tax) or Form 990-EZ, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV.
2
Political expenditures ....................................SchCMd Bullet
$  
3
Volunteer hours ........................................
 

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 .........SchCMd Bullet
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$  
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c) except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ...................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2011

Schedule C (Form 990 or 990-EZ) 2011
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check expenses, and share of excess lobbying expenditures).
B Check
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group
totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......    
b Total lobbying expenditures to influence a legislative body (direct lobbying) .......    
c Total lobbying expenditures (add lines 1a and 1b) ...................    
d Other exempt purpose expenditures ........................    
e Total exempt purpose expenditures (add lines 1c and 1d) ...............    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
  If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:    
  Not over $500,00020% of the amount on line 1e.    
  Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.    
  Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.    
  Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.    
  Over $17,000,000$1,000,000.    
       
g Grassroots nontaxable amount (enter 25% of line 1f) .................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ......................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
  Calendar year (or fiscal year
beginning in) 		(a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) Total
             
2a Lobbying non-taxable amount          
             
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		         
             
c Total lobbying expenditures          
             
d Grassroots nontaxable amount          
             
e Grassroots ceiling amount
(150% of line 2d, column (e))		          
             
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2011


Schedule C (Form 990 or 990-EZ) 2011
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
For each “Yes” response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
Yes
No
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? .........................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
 
No
c
Media advertisements? ....................................
 
No
 
d
Mailings to members, legislators, or the public? .........................
 
No
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
140,384
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
Yes
 
126,038
j
Total. Add lines 1c through 1i ...............................
266,422
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
 
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ................
2
 
 
3
Did the organization agree to carry over lobbying and political expenditures from the prior year? ..........
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2 are answered “No” OR (b) Part III-A, line 3 is answered “Yes”.
1
Dues, assessments and similar amounts from members .....................
1
 
2
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political
expenses for which the section 527(f) tax was paid).
a
Current year .........................................
2a
 
b
Carryover from last year ....................................
2b
 
c
Total ...........................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ................................
4
 
5
Taxable amount of lobbying and political expenditures (see instructions) ..............
5
 
Part IV
Supplemental Information
Complete this part to provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, Part II-A; line 5; and Part ll-B, line 1.
Also, complete this part for any additional information.
Identifier Return Reference Explanation
LOBBYING ACTIVITIES SCHEDULE C, PART II-B LINE 1G - CONTACT AND MEET WITH FEDERAL AND STATE LEGISLATORS AND THEIR STAFF TO SEEK POTENTIAL RESEARCH FUNDING. LINE 1I - DUES TO RESEARCH AND BIOMEDICAL ORGANIZATIONS, A PORTION OF WHICH ARE CONSIDERED LOBBYING. THE INSTITUTE CONTRACTS WITH HURT NORTON AND ASSOCIATES FOR REPRESENTATION IN WASHINGTON, DC, TO INVESTIGATE AND SEEK POTENTIAL FEDERAL RESEARCH FUNDING OPPORTUNITIES OUTSIDE THE TRADITIONAL NIH PROCESS.
Schedule C (Form 990 or 990EZ) 2011

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, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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 can 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 through 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  
b Total acreage restricted by conservation easements .................. 2b  
c Number of conservation easements on a certified historic structure included in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure listed in the National Register .................... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
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 Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet $  
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 (ASC 958), 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 (ASC 958), 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 (ASC 958), 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) 2011

Schedule D (Form 990) 2011
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 .... 21,602,848 19,352,544 15,181,323 17,485,831
b Contributions ........ 29,575 1,050,000 2,983,403 55,002
c Net investment earnings, gains, and losses ... 961,439 1,656,322 1,912,336 -2,359,510
d Grants or scholarships .....        
e Other expenditures for facilities
and programs ........ 		1,393,391 456,018 724,518 0
f Administrative expenses ....        
g End of year balance ...... 21,200,471 21,602,848 19,352,544 15,181,323
2
Provide the estimated percentage of the year end balance (line 1g) held as:
a
Board designated or quasi-endowment SchDMd Bullet43.280 %
b
Permanent endowment SchDMd Bullet56.720 %
c
Temporarily restricted endowment SchDMd Bullet  
The percentages in lines 2a, 2b, and 2c should equal 100%.
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
Land, Buildings, and Equipment. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   25,793,087 25,793,087
b Buildings ................   162,127,121 49,202,842 112,924,279
c Leasehold improvements ............        
d Equipment ................   95,770,521 66,936,419 28,834,102
e Other .................   41,551 0 41,551
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 167,593,019
Schedule D (Form 990) 2011

Schedule D (Form 990) 2011
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    
Other








Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet  
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) must 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) must 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) Book value
Federal Income Taxes 0








Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 0
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) 2011

Schedule D (Form 990) 2011
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) .................... 1 162,097,035
2 Total expenses (Form 990, Part IX, column (A), line 25) ..................... 2 158,377,766
3 Excess or (deficit) for the year. Subtract line 2 from line 1 ............. 3 3,719,269
4 Net unrealized gains (losses) on investments .......................... 4 -1,212,803
5 Donated services and use of facilities ............................. 5  
6 Investment expenses ................................... 6  
7 Prior period adjustments .................................. 7  
8 Other (Describe in Part XIV.) ................................. 8 -1,772,466
9 Total adjustments (net). Add lines 4 through 8 ......................... 9 -2,985,269
10 Excess or (deficit) for the year per financial statements. Combine lines 3 and 9 ......... 10 734,000
Part XII Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
1 Total revenue, gains, and other support per audited financial statements ....... 1 160,884,000
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 -1,213,035
e Add lines 2a through 2d ..................... 2e -1,213,035
3 Subtract line 2e from line 1..................... 3 162,097,035
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 must equal Form 990, Part I, line 12.) ...... 5 162,097,035
Part XIII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
1 Total expenses and losses per audited financial statements ............. 1 160,150,000
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 1,772,234
e Add lines 2a through 2d...................... 2e 1,772,234
3 Subtract line 2e from line 1..................... 3 158,377,766
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 must equal Form 990, Part I, line 18.) ...... 5 158,377,766
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
INTENDED USES OF THE ORGANIZATION'S ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INSTITUTE'S ENDOWMENT FUNDS ARE ESTABLISHED FOR VARIOUS PURPOSES: SCIENTIFIC RESEARCH, ALS RESEARCH, CEO CHAIR, PRESIDENTIAL CHAIR, AND UNRESTRICTED AS TO INCOME.
FIN 48 (ASC 740) FOOTNOTE SCHEDULE D, PART X, LINE 2 THE INSTITUTE HAS NO MATERIAL DEFERRED TAX ASSETS OR DEFERRED TAX LIABILITIES RECORDED AS OF JUNE 30, 2012 AND 2011. THE INSTITUTE DID NOT RECOGNIZE A CHANGE IN LIABILITY FOR UNRECOGNIZED TAX BENEFITS (THE DIFFERENCE BETWEEN A TAX POSITION TAKEN, OR EXPECTED TO BE TAKEN, IN A TAX RETURN AND THE BENEFIT RECOGNIZED AND MEASURED IN THE FINANCIAL STATEMENTS). THE INSTITUTES LIABILITY FOR UNRECOGNIZED TAX BENEFITS WAS $0 AT JUNE 30, 2012 AND 2011.
DETAIL OF AMOUNT SCHEDULE D, PART XI, LINE 8 UNREALIZED LOSS ON INTEREST RATE SWAP $(1,773,062) ROUNDING $ 596 ------------ $(1,772,466)
DETAIL OF AMOUNT SCHEDULE D, PART XII, LINE 2D UNREALIZED LOSS ON INVESTMENTS $(1,212,803) ROUNDING $ (232) ------------ $(1,213,035)
DETAIL OF AMOUNT SCHEDULE D, PART XIII, LINE 2D UNREALIZED LOSS ON INTEREST RATE SWAP $ 1,773,062 ROUNDING $ (828) ------------ $ 1,772,234
Schedule D (Form 990) 2011

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
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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 its grants
and other 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 its grants and other
assistance 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
Europe (Including Iceland and Greenland)   63 Agents Attending/Speaking a   173,313
East Asia and the Pacific   26 Agents Attending/Speaking a   57,647
North America   2 Agents Attending/Speaking a   976
South Asia   3 Agents Attending/Speaking a   576
Middle East and North Africa   4 Agents Attending/Speaking a   7,947
Russia and the Newly Independent States   4 Agents Attending/Speaking a   6,060
South America   2 Agents Attending/Speaking a   2,825
Central America and the Caribbean   7 Agents Attending/Speaking a   18,763
           
           
           
           
           
           
           
           
           
3a Sub-total .....   88 268,107
b Total from continuation sheets to Part I ...      
c Totals (add lines 3a and 3b)   111 268,107
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
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)
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
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
 
3
Enter total number of other organizations or entities ........................MediumBullet
 
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011Page 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) 2011
Schedule F (Form 990) 2011
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) 2011
Schedule F (Form 990) 2011
Page 5
Part V
Supplemental Information
Complete this part to provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
Identifier ReturnReference Explanation
SUPPLEMENTAL INFORMATION SCHEDULE F, PART I, LINE 3 SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE DOES NOT MAINTAIN ONGOING OPERATIONS IN FOREIGN JURISDICTIONS. HOWEVER, THE INSTITUTE'S SCIENTISTS DO TRAVEL TO VARIOUS SCIENTIFIC CONFERENCES IN OTHER COUNTRIES TO SHARE THE INSTITUTE'S SCIENTIFIC DISCOVERIES, AS WELL AS TO LEARN FROM OTHER SCIENTISTS ACROSS THE WORLD.
ACCOUNTING METHOD SCHEDULE F, PART I, LINE 3, COLUMN (F) THE ACCRUAL METHOD OF ACCOUNTING WAS USED TO DETERMINE THE AMOUNTS IN PART I, LINE 3, COLUMN (F)
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2011
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 arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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
JEROLD PANAS LINZY PARTNERS
500 NORTH MICHIGAN AVENUE
 
CHICAGO, IL60611 		CONSULTING FEE   No 0 142,045 0
MICHELLE MONICA GLENN
6135 WOLFSTAR COURT
 
SAN DIEGO, CA92122 		CONSULTING FEE   No 0 54,400 0
Total .................right arrow 0 196,445 0
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.
AL, AK, CA, CT, FL, KS, LA, MD, MA, NJ, NY, PA, VA
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2011
Schedule G (Form 990 or 990-EZ) 2011
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

GALA
(event type) 		(b) Event #2

BRING IT
(event type) 		(c) Other Events

1
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,594,891 243,808 63,692 1,902,391
2 Less: Charitable
contributions . . . 		1,543,035 203,428 43,562 1,790,025
3 Gross income (line 1
minus line 2) . . . 		51,856 40,380 20,130 112,366
VerticalDirectExpenses 4 Cash prizes . . .        
5 Non-cash prizes . .        
6 Rent/facility costs . . 14,180     14,180
7 Food and beverages . . 55,323 41,078   96,401
8 Entertainment . . . 109,370 62,053   171,423
9 Other direct expenses . 61,298 40,642 132,894 234,834
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 516,838
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow -404,472
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) 2011
Schedule G (Form 990 or 990-EZ) 2011
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) 2011
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
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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 or provision 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. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
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 Regulations 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) 2011

Schedule J (Form 990) 2011
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is 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) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and column (E) for that individual.
(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 as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1) JOHN C REED MD PHD (i)
(ii)		 671,250
0 		270,000
0 		1,423
0 		400,755
0 		26,498
0 		1,369,926
0 		0
0
(2) KRISTIINA VUORI MD PHD (i)
(ii)		 606,126
0 		150,000
0 		877
0 		329,807
0 		16,080
0 		1,102,890
0 		0
0
(3) GARY F RAISL EDD (i)
(ii)		 423,996
0 		84,000
0 		3,229
0 		25,772
0 		24,787
0 		561,784
0 		0
0
(4) MARGARET DUNBAR JD (i)
(ii)		 162,324
0 		8,037
0 		1,724
0 		19,211
0 		1,091
0 		192,387
0 		0
0
(5) STUART LIPTON MD PHD (i)
(ii)		 439,274
0 		21,809
0 		3,229
0 		25,821
0 		32,594
0 		522,727
0 		0
0
(6) CARL WARE PHD (i)
(ii)		 340,201
0 		16,875
0 		2,867
0 		35,459
0 		14,141
0 		409,543
0 		0
0
(7) DANIEL KELLY MD (i)
(ii)		 437,324
0 		48,280
0 		2,263
0 		26,044
0 		24,924
0 		538,835
0 		0
0
(8) PAUL LAIKIND PHD (i)
(ii)		 308,971
0 		157,200
0 		2,263
0 		34,570
0 		25,265
0 		528,269
0 		0
0
(9) JORGE MOSCAT PHD (i)
(ii)		 281,463
0 		0
0 		1,305
0 		22,615
0 		13,884
0 		319,267
0 		0
0
(10) TARIQ RANA PHD (i)
(ii)		 265,251
0 		15,000
0 		1,087
0 		25,321
0 		20,645
0 		327,304
0 		0
0
(11) EDGAR GILLENWATERS (i)
(ii)		 225,709
0 		38,264
0 		8,652
0 		29,209
0 		34,157
0 		335,991
0 		0
0





Schedule J (Form 990) 2011

Schedule J (Form 990) 2011
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
Identifier Return Reference Explanation
SUPPLEMENTAL COMPENSATION INFORMATION SCHEDULE J, PART 1, QUESTION 1A THE PRESIDENT USED FIRST CLASS TRAVEL AS AN UPGRADE WHEN AVAILABLE. SHE USED HER MILES IN CONJUNCTION WITH AN ADDITIONAL FEE PAID BY THE INSTITUTE. THIS WAS NOT TREATED AS TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES ARE NEGOTIATED IN THE HIRING PROCESS FOR CERTAIN EMPLOYEES. THE AMOUNTS WERE TREATED AS TAXABLE COMPENSATION.
SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, QUESTION 4B THE PARTICIPANTS OF THE 457(F) DEFERRED COMPENSATION PLAN ARE JOHN REED AND KRISTIINA VUORI. VESTING FOR JOHN REED OCCURS THE EARLIEST OF 1/1/2019, OR DISABILITY, OR INVOLUNTARY TERMINATION WITHOUT CAUSE, OR THE PARTICIPANT'S RESIGNATION FOR GOOD CAUSE, OR THE DATE OF TERMINATION OF THE PLAN. VESTING FOR KRISTIINA VUORI OCCURS THE EARLIEST OF 4/1/2015, OR INVOLUNTARY TERMINATION WITHOUT CAUSE, OR PARTICIPANT'S RESIGNATION FOR GOOD CAUSE, OR THE DATE OF TERMINATION OF THE PLAN. DISTRIBUTIONS FOR BOTH PARTICIPANTS IS A ONE-TIME LUMP SUM PAYMENT UPON VESTING OF 100% OF THE VALUE OF THE PARTICIPANT'S INVESTMENT (COMPRISED OF INSTITUTE CONTRIBUTIONS TO THE CORPUS PLUS ANY INVESTMENT GAINS OR LOSSES THEREON).
NON FIXED PAYMENTS SCHEDULE J, PART I, QUESTION 7 SOME SENIOR EXECUTIVES HAVE EMPLOYMENT AGREEMENTS STIPULATING A BONUS WILL BE PAID TO THEM PROVIDED CERTAIN GOALS OR ACCOMPLISHMENTS ARE ACHIEVED.
RETIREMENT AND OTHER DEFERRED COMPENSATION SCHEDULE J, PART II, COLUMN (C) THE AMOUNT REPORTED IN SCHEDULE J, PART II, COLUMN (C) FOR JOHN REED INCLUDES AN ACCRUAL OF $350,000 RELATED TO THE 457(F) PLAN DESCRIBED ABOVE AND FOR KRISTIINA VUORI AN ACCRUAL OF $300,000 RELATED TO THE 457(F) PLAN DESCRIBED ABOVE. THESE AMOUNTS ARE NOT VESTED AND ARE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE.
Schedule J (Form 990) 2011

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 Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number
51-0197108
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 COUNTY OF SAN DIEGO
  		95-6000934 797391G60 02-01-2006 60,572,867 SEE SCHEDULE O   X   X   X
B COUNTY OF SAN DIEGO
  		95-6000934 797391K99 10-05-2005 24,500,000 FINANCE PROPERTY AND CAPITAL EQUIP   X   X   X
C CALIFORNIA STATEWIDE COMMUNITIES DEVELOPMENT AUTH
  		95-6000934   08-01-2008 15,300,000 PURCHASE EQUIPMENT   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . 0 0 0  
2 Amount of bonds legally defeased . . . . . . . . . . 0 0 0  
3 Total proceeds of issue . . . . . . . . . . . . . 60,572,867 24,500,000 15,300,000  
4 Gross proceeds in reserve funds . . . . . . . . 3,958,500 0 0  
5 Capitalized interest from proceeds . . . . . . . . . . 0 0 0  
6 Proceeds in refunding escrows . . . . . . . . . . . 46,326,377 0 0  
7 Issuance costs from proceeds . . . . . . . . . . . 745,537 485,141 300,000  
8 Credit enhancement from proceeds . . . . . . . . . . 0 198,474 0  
9 Working capital expenditures from proceeds . . . . . . . 0 0 0  
10 Capital expenditures from proceeds . . . . . . . . . . 9,542,453 23,816,385 13,869,914  
11 Other spent proceeds . . . . . . . . . . . 0 0 1,130,086  
12 Other unspent proceeds . . . . . . . . . . . 0 0 0  
13 Year of substantial completion . . . . . . . . . . . 2000 2006 2012
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . .   X   X   X    
15 Were the bonds issued as part of an advance refunding issue? . . . . X     X   X    
16 Has the final allocation of proceeds been made? . . . . . . X   X   X      
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . X   X   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   X   X    
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X     X X      
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2011
Schedule K (Form 990) 2011
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 of bond-financed property? . . . . . . . . . X     X X      
b If ‘Yes’ to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . X       X      
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . X     X X      
d If ‘Yes’ to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? . X       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% 0% 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   %   %   %   %
6 Total of lines 4 and 5 . . .. . . . . . . . . 0%   % 0%   %
7 Does the bond issue meet the private security or payment test? . . . X   X   X      
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
X   X   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     X   X    
2 Is the bond issue a variable rate issue?   X X     X    
3a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X X     X    
b Name of provider . . . . . . . . 0
  		BANK OF AMERICA
  		0
  		 
 
c Term of hedge . . . . . . . . 25. 25.    
d Was the hedge superintegrated? . . . . X   X          
e Was a hedge terminated? . . . . .   X   X        
4a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . .   X   X   X    
b Name of provider . . . . . . 0
  		0
  		0
  		 
 
c Term of GIC . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . . .                
5 Were any gross proceeds invested beyond an available temporary period? . . . . . .   X   X   X    
6 Did the bond issue qualify for an exception to rebate? .   X   X   X    
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X   X   X    
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SEE SCHEDULE O FOR PART I, LINES A-C SEE SCHEDULE O FOR PART III, LINE 4, COLUMN (C)  
Schedule K (Form 990) 2011

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
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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
(1) DANIEL KELLY
QUAL. EMPLOYEE RELOC 		  X 500,000 479,167   No Yes   Yes  
(2) STUART LIPTON
QUAL. EMPLOYEE RELOC 		  X 400,000 195,251   No Yes   Yes  
(3) GARY RAISL
QUAL. EMPLOYEE RELOC 		  X 225,000 225,000   No Yes   Yes  
(4) JORGE MOSCAT
QUAL. EMPLOYEE RELOC 		  X 200,000 97,063   No Yes   Yes  
(5) TARIQ RANA
QUAL. EMPLOYEE RELOC 		  X 200,000 145,737   No Yes   Yes  
Total ...............Small Bullet $ 1,142,218
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) 2011
Schedule L (Form 990 or 990-EZ) 2011
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) LIFE TECHNOLOGIES INVITROGEN TRUSTEE - GREG LUCIER 1,479,591 SUPPLIES AND SERVICES   No
(2) LOCKTON TRUSTEE - DOUG OBENSHAIN 195,144 INSURANCE SERVICES   No
(3) PHILIP GRAHAM - SON OF TRUSTEE TRUSTEE - GAYLE WILSON 146,332 COMPENSATION   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
Schedule L (Form 990 or 990-EZ) 2011

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
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of Contributions or items contributed 		(c)
Noncash contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
noncash 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 11 1,039,599 FMV
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 ... X 1 1,200 COST/SELLING PRICE
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( DONOR/FUNDRAISING PARTY ) X 2 24,312 COST/SELLING PRICE
26 Other Right pointing arrow large image ( MERCHANDISE AT EVENT ) X 6 15,510 COST/SELLING PRICE
27 Other Right pointing arrow large image ( SHOW TICKETS AND DINNER ) X 2 2,657 COST/SELLING PRICE
28 Other Right pointing arrow large image ( US MINT STAMPS ) X 1 435 COST/SELLING PRICE
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 noncash
contributions? ............................
32a
 
No
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) 2011
Schedule M (Form 990) 2011
Page 2
Part II
Supplemental Information. Complete this part to provide the information required by Part I, lines 30b,
32b, and 33 and whether the organization is reporting in Part I, column (b) the number of contributions, the number of items received, or a combination of both. Also complete this part for any additional information.
Identifier Return Reference Explanation
CONTRIBUTIONS RECIEVED SCHEDULE M, PART I, COLUMN(B) COLUMN B IS REPORTING A COMBINATION OF THE NUMBER OF CONTRIBUTIONS RECEIVED AND THE NUMBER OF ITEMS RECEIVED.
Schedule M (Form 990) 2011
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
2011
Open to Public
Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
Identifier Return Reference Explanation
ORGANIZATION'S MISSION FORM 990 - PART I, LINE 1 & PART III, LINE 1 SANFORD BURNHAM MEDICAL RESEARCH INSTITUTE CONDUCTS WORLD-CLASS COLLABORATIVE RESEARCH DEDICATED TO FINDING CURES FOR HUMAN DISEASE, IMPROVING THE QUALITY OF LIFE, AND THUS CREATING A LEGACY FOR ITS EMPLOYEES, PARTNERS, DONORS, AND COMMUNITY.
PROGRAM SERVICE ACCOMPLISHMENTS FORM 990, PART III, LINE 4A SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE IS DEDICATED TO DISCOVERING THE FUNDAMENTAL MOLECULAR CAUSES OF DISEASE AND DEVISING THE INNOVATIVE THERAPIES OF TOMORROW. SANFORD-BURNHAM TAKES A UNIQUE, COLLABORATIVE APPROACH TO MEDICAL RESEARCH AND HAS ESTABLISHED MAJOR RESEARCH PROGRAMS IN CANCER, NEURODEGENERATION, DIABETES, AND INFECTIOUS, INFLAMMATORY, AND CHILDHOOD DISEASES. IN THE AREA OF CANCER RESEARCH: SWARMING NANOPARTICLES FIGHT CANCER. RESEARCHERS HAVE BEEN WORKING FOR DECADES TO DEVELOP NANOPARTICLES THAT DELIVER CANCER DRUGS DIRECTLY TO TUMORS, MINIMIZING THE TOXIC SIDE EFFECTS OF CHEMOTHERAPY. A TEAM OF RESEARCHERS, INCLUDING DR. ERKKI RUOSLAHTI, DESIGNED A DELIVERY SYSTEM IN WHICH NANOPARTICLES HOME IN ON A TUMOR AND THEN CALL IN A MUCH LARGER SECOND WAVE OF NANOPARTICLES TO DISPENSE AN ANTI-CANCER DRUG. THIS COMMUNICATION BETWEEN NANOPARTICLES, ENABLED BY THE BODY'S OWN BIOCHEMISTRY, BOOSTS DRUG DELIVERY TO TUMORS MORE THAN 40-FOLD IN MOUSE MODELS. THE STUDY WAS PUBLISHED IN "NATURE MATERIALS." HOW CANCER CELLS SURVIVE STRESS. CANCER CELLS SURVIVE DURING TIMES WHEN NUTRIENTS ARE SCARCE USING A PROCESS CALLED AUTOPHAGY. A STUDY LED BY THE LABORATORY OF DR. JOHN REED FOUND THAT A PROTEIN KNOWN AS BI-1 REGULATES THIS MECHANISM. AUTOPHAGY, LITERALLY MEANING "SELF-EATING," IS A WAY FOR CELLS TO RE-USE THEIR INTERNAL COMPONENTS AND THUS MAINTAIN CRITICAL LEVELS OF ENERGETIC MOLECULES. THE STUDY, PUBLISHED IN GENES AND DEVELOPMENT, ALSO DEMONSTRATED THAT MICE WITH LOW BI-1 HAVE LOWER AUTOPHAGY RATES. IN ADDITION, EXPERIMENTALLY REDUCING BI-1 EXPRESSION IMPAIRED TUMOR GROWTH IN MICE. THE WORK UNCOVERED A NEW AREA RELEVANT TO THE UNDERSTANDING OF MECHANISMS OF CANCER DEVELOPMENT AND PROGRESSION. MOLECULAR SWITCH THAT ALLOWS MELANOMA TO RESIST THERAPY, IDENTIFIED. THE NATIONAL CANCER INSTITUTE (NCI) ESTIMATES THAT AS MANY AS ONE IN 51 MEN AND WOMEN WILL BE DIAGNOSED WITH MELANOMA-THE DEADLIEST FORM OF SKIN CANCER-AT SOME POINT DURING THEIR LIFETIMES. A RESEARCH TEAM LED BY DR. ZE'EV RONAI HAS BEEN STUDYING A PROTEIN NAMED ACTIVATING TRANSCRIPTION FACTOR 2 (ATF2), WHICH IS ASSOCIATED WITH POOR PROGNOSIS IN MELANOMA. THE FINDING PROVIDES THE BASIS FOR HIGH-CONTENT SCREENING, IN COLLABORATION WITH SANFORD-BURNHAM'S CONRAD PREBYS CENTER FOR CHEMICAL GENOMICS, WHERE RESEARCHERS ARE LOOKING FOR SMALL MOLECULES THAT CAUSE ATF2'S EXIT FROM THE NUCLEUS, WITH THE EXPECTATION THOSE WILL ALSO BE ABLE TO SENSITIZE MELANOMA TO THERAPY. THE WEEK IT WAS PUBLISHED, THIS STUDY WAS SELECTED BY THE NATIONAL CANCER INSTITUTE (NCI) AS ONE OF THE PAPERS HIGHLIGHTED ON ITS HOMEPAGE. TOWARDS PERSONALIZED BREAST CANCER THERAPY. DR. TIMOTHY OSBORNE AND COLLABORATORS RECENTLY FOUND A UNIQUE FINGERPRINT OF A SUBSET OF BREAST CANCERS. THIS STUDY, PUBLISHED IN THE JOURNAL CELL, FOUND THAT MUTANT FORMS OF THE PROTEIN P53 "PIGGYBACK" ONTO THE STEROL REGULATORY ELEMENT BINDING PROTEIN-2 (SREBP-2) TO REGULATE GENES REQUIRED FOR FAT SYNTHESIS IN SOME BREAST TUMOR CELLS. THE PRODUCTION OF FAT IS AN ESSENTIAL MECHANISM FOR THE UNCONTROLLED GROWTH OF TUMOR CELLS. MUTATIONS IN P53 ARE AMONG THE MOST COMMON CHANGES IN CANCER. THEREFORE, THIS PATHWAY REPRESENTS A TARGET FOR NEW THERAPIES THAT COULD BE HIGHLY USEFUL FOR PATIENTS WITH THIS SPECIFIC DISEASE MARKER-A PERSONALIZED CANCER TREATMENT APPROACH. SEARCHING FOR NEW CANCER DRUGS THAT INHIBIT THE SPREAD OF TUMORS. METASTASIS IS THE MOST COMMON REASON THAT CANCER TREATMENTS FAIL. TO METASTASIZE, SOME TYPES OF CANCER CELLS RELY ON INVADOPODIA, CELLULAR MEMBRANE PROJECTIONS THAT ACT LIKE FEET, HELPING THEM "WALK" AWAY FROM THE PRIMARY TUMOR AND INVADE SURROUNDING TISSUES. DR. SARA COURTNEIDGE AND SCIENTISTS IN THE CONRAD PREBYS CENTER FOR CHEMICAL GENOMICS SCREENED A COLLECTION OF CHEMICAL COMPOUNDS AND SUCCESSFULLY IDENTIFIED SOME COMPOUNDS THAT INHIBIT INVADOPODIA FORMATION AND SOME THAT ACTUALLY INCREASE THEIR NUMBER. ONE OF THE PRO-INVADOPODIA COMPOUNDS WAS THE CHEMOTHERAPEUTIC AGENT PACLITAXEL (TAXOL)-A FINDING THAT MIGHT HAVE IMPLICATIONS FOR THE DRUG'S CURRENT USE IN TREATING CANCER, IMPLYING THAT TAXOL MIGHT MAKE MATTERS WORSE BY ENCOURAGING METASTASIS! THESE FINDINGS WERE PUBLISHED IN "SCIENCE SIGNALING." CANCER DRUG'S SECRET TO RESISTANCE. DRUG RESISTANCE IS A SERIOUS PROBLEM FOR CANCER PATIENTS-OVER TIME, A THERAPY THAT WAS ONCE PROVIDING SOME BENEFIT SIMPLY STOPS WORKING. DR. MATTHEW PETROSKI AND COLLEAGUES RECENTLY DISCOVERED HOW CANCER CELLS DEVELOP RESISTANCE TO A DRUG CALLED MLN4924. THIS EXPERIMENTAL THERAPY IS CURRENTLY BEING TESTED IN A NUMBER OF PHASE I AND PHASE I/II CLINICAL TRIALS TO DETERMINE ITS EFFICACY AGAINST SEVERAL DIFFERENT TYPES OF CANCER, INCLUDING MULTIPLE MYELOMA, LEUKEMIA, AND LYMPHOMA. THE RESEARCH WAS PUBLISHED ONLINE MARCH 19 BY "CELL REPORTS." IN THE AREA OF NEUROSCIENCE AND AGING RESEARCH: GETTING TO THE ROOT OF ALZHEIMER'S DISEASE. ALZHEIMER'S DISEASE IS CHARACTERIZED BY ABNORMAL PROTEINS THAT STICK TOGETHER IN LITTLE GLOBS, DISRUPTING COGNITIVE FUNCTION. THESE STICKY PROTEINS ARE MOSTLY MADE UP OF BETA-AMYLOID PEPTIDE. A RESEARCH TEAM LED BY DR. STUART LIPTON FOUND THAT BETA-AMYLOID-INDUCED DESTRUCTION OF SYNAPSES-THE CONNECTIONS THAT MEDIATE COMMUNICATION BETWEEN NERVE CELLS-IS DRIVEN BY A CHEMICAL MODIFICATION TO AN ENZYME CALLED CDK5. THE TEAM FOUND THAT THIS ALTERED FORM OF CDK5 (SNO-CDK5) WAS PREVALENT IN HUMAN ALZHEIMER'S DISEASE BRAINS, BUT NOT IN NORMAL BRAINS. THESE RESULTS, PUBLISHED IN THE "PROCEEDINGS OF THE NATIONAL ACADEMY OF SCIENCES USA," SUGGEST THAT SNO-CDK5 COULD BE TARGETED FOR THE DEVELOPMENT OF NEW ALZHEIMER'S DISEASE THERAPIES. A SNAPSHOT ON VITAMIN A FUNCTION. DR. GREGG DUESTER'S LABORATORY HAS BEEN WORKING ON VITAMIN A FUNCTION FOR MORE THAN 20 YEARS AND HAS PROVIDED MANY OF THE BREAKTHROUGHS, PARTICULARLY ITS FUNCTION IN GROWTH AND DEVELOPMENT AFTER BEING METABOLIZED TO RETINOIC ACID. THE DUESTER LAB RECENTLY REPORTED ON RETINOIC ACID SIGNALING IN THE JOURNAL "CELL" THAT SUMMARIZED THE PATHWAY FOR VITAMIN A METABOLISM TO RETINOIC ACID AND THE GENES REGULATED BY RETINOIC ACID DURING GROWTH AND DEVELOPMENT. RETINOIC ACID IS A KEY AGENT OF CELLULAR DIFFERENTIATION NEEDED FOR GENERATION OF TISSUES FROM STEM CELLS DURING EMBRYONIC DEVELOPMENT, PLUS IT HELPS ADULTS REGENERATE DAMAGED TISSUES AND PREVENTS CANCER CELL GROWTH. STEM CELLS AND SPINAL CORD REPAIR. DR. EVAN SNYDER WAS INVITED BY THE "NEW ENGLAND JOURNAL OF MEDICINE" TO PROVIDE A FORMULATION OF THE STATE-OF-THE-ART OF STEM CELL BIOLOGY AS IT APPLIES TO SPINAL CORD INJURY. HIS CRITIQUE AND ADVICE FOR FUTURE DIRECTIONS IN THAT FIELD WERE PUBLISHED AS PART OF THE "JOURNAL'S" SERIES ON "CLINICAL IMPLICATIONS OF BASIC RESEARCH." AN EASIER (AND SAFER) ROUTE TO STEM CELL THERAPIES. RECENTLY, SCIENTISTS HAVE FIGURED OUT HOW TO GENETICALLY ENGINEER A SPECIAL KIND OF STEM CELL CALLED AN INDUCED PLURIPOTENT STEM CELL (IPSC) FROM ALMOST ANY TYPE OF ADULT CELL, SUCH AS A SKIN CELL. RESEARCHERS CAN THEN USE IPSCS TO STUDY HUMAN DEVELOPMENT OR TO CREATE "DISEASE IN A DISH," A TECHNIQUE THAT ALLOWS THEM TO MODEL AN INDIVIDUAL PATIENT'S SPECIFIC DISEASE AND SCREEN FOR PERSONALIZED TREATMENTS. DR. TARIQ RANA AND HIS TEAM UNCOVERED TWO NEW CHEMICAL COMPOUNDS THAT HAVE THE POWER TO DIAL UP SOME GENES AND TONE DOWN OTHERS IN A WAY THAT GENERATES IPSCS IN A SAFER AND MORE PREDICTABLE WAY. THESE FINDINGS, PUBLISHED IN STEM CELLS, SIGNIFICANTLY ADVANCES IPSC RESEARCH, BRINGING THESE SPECIAL CELLS CLOSER TO THERAPEUTIC APPLICATIONS.
PROGRAM SERVICE ACCOMPLISHMENTS CONTINUED   IN THE AREA OF DIABETES AND OBESITY RESEARCH: SUGAR-BURNING MOUSE. MUSCLE PERFORMANCE AND GENERAL FITNESS ARE PARTLY DETERMINED BY HOW WELL YOUR MUSCLE CELLS CAN USE SUGAR AS A FUEL SOURCE. CERTAIN DISEASE STATES SUCH AS OBESITY OR DIABETES REDUCE THE MUSCLE'S CAPACITY TO BURN SUGAR. DR. DANIEL KELLY AND HIS LABORATORY UNRAVELED A MECHANISM THAT INCREASES SUGAR BURNING IN MUSCLE. THE TEAM FOUND THAT TRIGGERING THIS EFFECT IN MICE MIMICS THE EFFECTS OF EXERCISE TRAINING. THESE FINDINGS, PUBLISHED IN THE JOURNAL "GENES & DEVELOPMENT," REVEAL NEW CANDIDATE DRUG TARGETS FOR COMMON METABOLIC DISEASES, SUCH AS OBESITY-RELATED DIABETES. HEART HORMONE SHAPES FAT METABOLISM. A NEW STUDY LED BY DR. SHEILA COLLINS AND HER LABORATORY SUGGESTS THAT THE HEART PLAYS A ROLE IN BREAKING DOWN FAT. THE STUDY, PUBLISHED IN THE "JOURNAL OF CLINICAL INVESTIGATION," DETAILS HOW HORMONES RELEASED BY THE HEART STIMULATE FAT CELL METABOLISM. THE HEART HORMONES TURN ON A PROCESS IN FAT TISSUE SIMILAR TO WHAT IS ACTIVATED WHEN THE BODY IS EXPOSED TO COLD, LEADING TO THE BURNING OF FAT TO GENERATE HEAT. THIS STUDY ADDS ANOTHER DIMENSION TO OUR UNDERSTANDING OF HOW THE BODY REGULATES FAT TISSUE AND COULD LEAD TO NEW WAYS TO REDUCE WEIGHT IN OBESE PATIENTS. THIS STUDY WAS NAMED "RECOMMENDED READING" BY THE FACULTY OF 1000 (F1000), A PRESTIGIOUS GROUP OF SCIENTISTS. UNRAVELING THE MACHINERY OF TISSUE GLUCOSE UPTAKE. ALL CELLS NEED GLUCOSE TO PRODUCE THE ENERGY THEY NEED TO SURVIVE. A STUDY LED BY DR. ZHEN JIANG IDENTIFIED A PROTEIN-CALLED CDP138-WHICH IS RESPONSIBLE FOR ENSURING THAT GLUT4, A GLUCOSE TRANSPORTER RESPONSIBLE FOR GLUCOSE UPTAKE FROM THE BLOODSTREAM, IS PROPERLY INSERTED IN THE CELLULAR MEMBRANE. THESE RESULTS, PUBLISHED IN THE JOURNAL "CELL METABOLISM," PROVIDE A NEW UNDERSTANDING OF GLUCOSE METABOLISM DURING NORMAL PROCESSES SUCH AS EXERCISE, AS WELL AS PATHOLOGICAL PROCESSES SUCH AS DIABETES. ALL WEIGHT GAIN IS NOT THE SAME. A STUDY BY DR. STEVEN SMITH AND COLLEAGUES PROVIDES NEW NUTRITIONAL INFORMATION THAT COULD SHAPE THE DEVELOPMENT OF PUBLIC HEALTH POLICY RECOMMENDATIONS. THE STUDY, PUBLISHED IN THE "JOURNAL OF THE AMERICAN MEDICAL ASSOCIATION" (JAMA), EXAMINED THE IMPACT OF DIETS CONTAINING VARYING AMOUNTS OF PROTEIN ON WEIGHT GAIN, BODY COMPOSITION, AND ENERGY EXPENDITURE. THE RESULTS OF THE STUDY REVEALED THAT INCREASING THE PERCENT OF DIETARY PROTEIN WITH OVERFEEDING LED TO MORE LEAN BODY MASS RATHER THAN SOLELY EXPANDING FAT MASS. THIS WORK IS THE FIRST TO ANALYZE THE IMPACT OF DIETARY PROTEIN ON CALORIE EXCESS AND PROVIDES NEW GUIDANCE FOR DIETARY COMPOSITION RECOMMENDATIONS. CAN BAD FAT BECOME GOOD FAT? IN A STUDY PUBLISHED IN CELL METABOLISM, DR. DEV SIKDER'S GROUP DISCOVERED THAT OREXIN, A HORMONE PRODUCED IN THE BRAIN, ACTIVATES CALORIE-BURNING BROWN FAT IN MICE. INTERESTINGLY, OREXIN DEFICIENCY IS ASSOCIATED WITH OBESITY IN HUMANS, SUGGESTING THAT OREXIN SUPPLEMENTATION COULD PROVE EFFECTIVE AS A NEW THERAPEUTIC APPROACH FOR THE TREATMENT OF OBESITY. GIVEN THAT MOST CURRENT WEIGHT LOSS DRUGS ARE AIMED AT REDUCING A PERSON'S APPETITE, AN OREXIN-BASED THERAPY WOULD REPRESENT A NEW CLASS OF FAT-FIGHTING DRUGS THAT INCREASE ENERGY EXPENDITURE. A LINK BETWEEN REGULATION OF PROTEIN SYNTHESIS AND DIABETES. IN THE PRESTIGIOUS "NEW ENGLAND JOURNAL OF MEDICINE," DR. RANDAL KAUFMAN DESCRIBED NEW FINDINGS THAT DEMONSTRATE HOW ALTERATIONS IN PROTEIN SYNTHESIS IN THE PANCREAS' INSULIN-PRODUCING BETA CELLS CAN CAUSE DIABETES. THE INSIGHTS MAY LEAD TO NEW THERAPEUTIC STRATEGIES TO TREAT DIABETES. IN THE AREA OF CHILDREN'S HEALTH RESEARCH: EXCITING CLINICAL TRIAL NEWS FOR CHILDREN WITH INHERITED BONE DISEASE. FOR THE PAST 15 YEARS, DR. JOS LUIS MILLN AND COLLEAGUES HAVE STUDIED HYPOPHOSPHATASIA, AN INHERITED DISEASE THAT MAKES BONES DANGEROUSLY FRAGILE. BUOYED BY THE INITIAL RESULTS TESTED IN A MOUSE MODEL, ENOBIA PHARMA RESEARCHERS AND COLLABORATORS BEGAN TESTING ENB-0040 IN YOUNG PATIENTS WITH INFANTILE HYPOPHOSPHATASIA-THE MOST SEVERE FORM OF THE DISEASE. NOW, A PAPER PUBLISHED IN THE "NEW ENGLAND JOURNAL OF MEDICINE" REVEALS THE RESULTS OF THIS CLINICAL TRIAL WHICH HAS BEEN LIFE-CHANGING FOR SOME OF THE STUDY'S PARTICIPANTS. THREE YEAR-OLD CORINNA, FOR EXAMPLE, COULD NOT WALK WHEN SHE BEGAN TAKING ENB-0040. JUST EIGHT WEEKS LATER, SHE WAS RUNNING AND JUMPING. RARE BONE DISORDER REVEALS NEW INSIGHTS INTO AUTISM. CHILDREN WITH MULTIPLE HEREDITARY EXOSTOSES (MHE), AN INHERITED GENETIC DISEASE, SUFFER FROM MULTIPLE GROWTHS ON THEIR BONES THAT CAUSE PAIN AND DISFIGUREMENT. SOME PARENTS HAVE LONG OBSERVED THAT THEIR CHILDREN WITH MHE ALSO EXPERIENCE AUTISM-LIKE SOCIAL PROBLEMS. RESEARCHERS LED BY DR. YU YAMAGUCHI RECENTLY USED A MOUSE MODEL OF MHE TO INVESTIGATE COGNITIVE FUNCTION. THEY FOUND THAT MICE WITH A GENETIC DEFECT THAT MODELS HUMAN MHE SHOW SYMPTOMS THAT MEET THE THREE DEFINING CHARACTERISTICS OF AUTISM: SOCIAL IMPAIRMENT, LANGUAGE DEFICITS, AND REPETITIVE BEHAVIOR. THE STUDY, PUBLISHED IN THE "PROCEEDINGS OF THE NATIONAL ACADEMY OF SCIENCES," ALSO DEFINES THE MOLECULAR AND PHYSIOLOGICAL BASIS OF THIS BEHAVIOR, PINPOINTING THE AMYGDALA AS THE REGION OF THE BRAIN CAUSING AUTISTIC SYMPTOMS. IN THE AREA OF INFECTIOUS AND INFLAMMATORY DISEASES: LIGHTENING THE BURDEN OF LUNG FIBROSIS. PEOPLE WITH PERSISTENT INFLAMMATION IN THE LUNGS OFTEN DEVELOP DEBILITATING SCAR TISSUE THAT MAKES BREATHING DIFFICULT. DR. CARL WARE AND COLLABORATORS RECENTLY REVEALED A KEY ROLE FOR CYTOKINES-SIGNALING MOLECULES THAT MEDIATE INFLAMMATION-IN ASTHMA AND RELATED LUNG DISORDERS. THE RESEARCH DEMONSTRATES THAT NEUTRALIZING ONE PARTICULAR CYTOKINE CALLED LIGHT, WHICH WAS FIRST DISCOVERED BY DR. WARE, BLOCKS THE FORMATION OF LUNG SCARRING IN MICE. THESE RESULTS, PUBLISHED IN "NATURE MEDICINE," IDENTIFY CONDITIONS THAT MIGHT BE ALLEVIATED BY DRUGS THAT BLOCK LIGHT. NEW DRUGS FOR BRAIN INFLAMMATION. DRUG SCREENING EFFORTS BY DRS. FRAYDOON RASTINEJAD, PENGXIANG HUANG, AND COLLABORATORS, IDENTIFIED SMALL MOLECULES THAT ALTER A CRUCIAL PROTEIN CONTROLLING IMMUNE CELL GENES THAT CAUSE BRAIN INFLAMMATION. THE RESEARCHERS SHOWED THAT THE MOLECULE-CALLED CARDIAC GLYCOSIDE DIGOXIN-SPECIFICALLY INHIBITS A GENE REGULATOR CALLED RORYT. DIGOXIN, AND RELATED COMPOUNDS THAT ARE LESS TOXIC, DELAYED THE ONSET OF AND REDUCED INFLAMMATION IN THE BRAINS OF MICE. REPURPOSING DIGOXIN TO INHIBIT INFLAMMATION PROVIDES A NEW APPROACH TO TREATING AUTOIMMUNE DISEASES. THE STUDY WAS PUBLISHED IN "NATURE." HOW THE BODY FENDS OFF INFECTION. TO INVADE ORGANISMS SUCH AS HUMANS, BACTERIA MAKE USE OF A PROTEIN CALLED FLAGELLIN, PART OF A TAIL-LIKE APPENDAGE THAT HELPS THE BACTERIA MOVE ABOUT. NOW, FOR THE FIRST TIME, DR. ANDREI OSTERMAN AND COLLEAGUES DETERMINED THE 3D STRUCTURE OF THE INTERACTION BETWEEN THIS CRITICAL BACTERIAL PROTEIN AND AN IMMUNE MOLECULE CALLED TLR5, SHEDDING LIGHT ON HOW THE BODY PROTECTS ITSELF FROM SUCH FOREIGN INVADERS. THE STUDY, PUBLISHED IN "SCIENCE" ADVANCES KNOWLEDGE THAT'S KEY TO THE DESIGN OF NEW THERAPEUTICS. FLAGELLIN IS A COMPONENT IN SOME VACCINES AND A DERIVATIVE OF THIS PROTEIN IS CURRENTLY BEING DEVELOPED AS A MEDICAL COUNTERMEASURE TO RADIATION. TURNING THE FIGHT AGAINST BACTERIA INTO A FIGHT AGAINST RHEUMATOID ARTHRITIS. THE COMPLEMENT SYSTEM IS ONE OF THE IMMUNE SYSTEM'S MOST IMPORTANT WEAPONS FOR FIGHTING OFF INFECTION. COMPLEMENT CONSISTS OF NINE PROTEINS (C1 THROUGH C9) THAT DIRECTLY BIND BACTERIA AND PUNCH HOLES (PORES) IN THEIR MEMBRANES. USING X-RAY CRYSTALLOGRAPHY, RESEARCHERS LED BY DR. ROBERT LIDDINGTON SOLVED THE CRYSTAL STRUCTURE OF ONE CRITICAL PROTEIN C6 AND ANALYZED OTHER STRUCTURES, PUBLISHING THEIR FINDINGS IN THE "JOURNAL OF BIOLOGICAL CHEMISTRY." THIS INFORMATION COULD LEAD TO NOVEL THERAPIES FOR A VARIETY OF INFLAMMATORY DISEASES SUCH AS RHEUMATOID ARTHRITIS.
PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW FORM 990 FORM 990, PART VI, LINE 11B THE 990 IS PREPARED BY THE FINANCE DEPARTMENT. IT IS REVIEWED BY THE INSTITUTE'S TAX ADVISORS, SELECTED MEMBERS OF MANAGEMENT INCLUDING OFFICERS, AND THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND PROVIDED TO MEMBERS OF THE BOARD PRIOR TO FILING.
DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICT OF INTEREST FORM 990, PART VI, LINE 12C CONFLICT OF INTEREST STATEMENTS ARE GIVEN TO MANAGEMENT STAFF AND PRINCIPAL INVESTIGATORS ON A PERIODIC BASIS TO REPORT ON CONFLICTS OR LACK OF CONFLICTS. THE STATEMENTS ARE REVIEWED ANNUALLY BY THE SENIOR DIRECTOR, INTELLECTUAL PROPERTY AND THE SENIOR DIRECTOR, SPONSORED RESEARCH, WITH A SUMMARY OF THE REVIEW PROVIDED TO THE EXECUTIVE VICE PRESIDENT/CAO/CFO/TREASURER. AN ASSESSMENT IS MADE TO WHETHER A CONFLICT CAN BE MANAGED BY THE EXISTING DEPARTMENTS AND PRACTICES. CONFLICTS ARE BROUGHT TO THE BOARD OF TRUSTEES ON AN AS NEEDED BASIS. CONFLICTS AND POTENTIAL CONFLICTS THAT INVOLVE THE CEO OR THE PRESIDENT ARE BROUGHT TO THE BOARD OF TRUSTEES TO ADDRESS ANY ACTUAL OR POTENTIAL POSSIBILITY THAT THE DESIGNATED REVIEWERS (i.e., SENIOR DIRECTOR, INTELLECTUAL PROPERTY AND THE SENIOR DIRECTOR, SPONSORED RESEARCH, AND THE EXECUTIVE VICE PRESIDENT/CAO/CFO/TREASURER) COULD BE PRESSURED TO MAKE BIASED DECISIONS IN MANAGING CONFLICTS INVOLVING THE CEO OR PRESIDENT. AS TO RESTRICTIONS IMPOSED: THE INSTITUTE WILL EMPLOY THE MECHANISM THAT IS THE BEST FIT WITH THE FACTS AND CIRCUMSTANCES OF ANY IDENTIFIED CONFLICT OF INTEREST. METHODS TO MANAGE POTENTIAL CONFLICTS/ENFORECEMENT MECHANISM: REVIEWING MANAGEMENT AND THE TECHNOLOGY TRANSFER COMMITTEE OF THE BOARD OF TRUSTEES ARE RESPONSIBLE FOR MANAGING, REDUCING, OR ELIMINATING REAL OR POTENTIAL CONFLICTS OF INTEREST. EXAMPLES OF CONDTIONS OR RESTRICTIONS THAT MIGHT BE IMPOSED TO MANAGE, REDUCE, OR ELIMINATE CONFLICTS OF INTERESTS INCLUDE: -PUBLIC DISCLOSURE OF SIGNIFICANT FINANCIAL INTERESTS -MONITORING OF RESEARCH BY INDEPENDENT REVIEWERS -MODIFICATION OF THE RESEARCH PLAN -DISQUALIFICATION FROM PARTICIPATION IN THE PORTION OF FUNDED RESEARCH THAT COULD BE AFFECTED BY SIGNIFICANT FINANCIAL INTEREST -DIVESTITURE OF SIGNIFICANT FINANCIAL INTERESTS -SEVERENCE OF RELATIONSHIPS THAT CREATE ACTUAL OR POTENTIAL CONFLICTS -REVIEW OF COMMERCIAL SPONSORED RESEARCH AGREEMENTS FOR SCIENTIFIC MERIT BY THE PROGRAM PLANNING COMMITTEE -REMOVAL OF AN AFFECTED PARTY FROM NEGOTIATIONS WITH A COMPANY WITH HE/SHE HAS SIGNIFICANT FINANCIAL INTEREST.
PROCESS USED TO DETERMINE COMPENSATION FORM 990, PART VI, LINES 15A AND 15B ANNUALLY, THE INSTITUTE REQUIRES BOARD OF TRUSTEE APPROVAL OF COMPENSATION ADJUSTMENTS AND TOTAL COMPENSATION LEVELS FOR ALL OFFICERS AND OTHER "DISQUALIFIED PERSONS" (AS DEFINED BY IRC SECTION 4958). THE COMPENSATION COMMITTEE, A COMMITTEE DESIGNATED BY THE BOARD, IS RESPONSIBLE FOR THE PROCESS AND ENGAGING AN INDEPENDENT CONSULTING FIRM TO ASSIST IT IN REVIEWING THE TOTAL COMPENSATION PACKAGES (INCLUDING CASH AND NON-CASH BENEFITS) FOR THESE IDENTIFIED PERSONS. THE CONSULTANT REVIEWS THE VARIOUS TYPES OF DIRECT CASH COMPENSATION INCLUDING BASE SALARIES AND ANNUAL INCENTIVE AWARD OPPORTUNITIES AND PAYMENTS. IN ADDITION, THE CONSULTANT PROVIDES THE COMMITTEE AN ASSESSMENT OF TOTAL COMPENSATION INCLUDING THE CASH COMPONENTS MENTIONED ABOVE, PLUS EXECUTIVE BENEFITS AND PERQUISITES. THE CONSULTANT COLLECTS INFORMATION FROM VARIOUS SOURCES COVERING NOT-FOR-PROFIT AND FOR-PROFIT ORGANIZATIONS SIMILAR IN SIZE AND REFLECTING THE TALENT MARKETS FROM WHICH THE INSTITUTE DRAWS EXECUTIVE TALENT. THE NUMBER OF FOR-PROFIT ORGANIZATIONS USED IN THE SURVEY PROCESS DOES NOT EXCEED 50% OF THE TOTAL ORGANIZATION USED. THE COMPENSATION COMMITTEE UTILIZES THIS STUDY ALONG WITH PERFORMANCE DATA FOR EACH INDIVIDUAL TO SUPPORT THEIR DELIBERATIONS AND REVIEW OF PAY LEVELS IN RELATION TO THE EXECUTIVE COMPENSATION PAY PHILOSOPHY AND THE ORGANIZATION'S MISSION. THE DETERMINATION OF EXECUTIVE COMPENSATION IS ALSO DESIGNED TO MEET THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" STANDARD AS OUTLINED IN THE TREASURY REGULATIONS. DECISIONS BY THE COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED. THE COMMITTEE PRESENTS THE STUDY FINDINGS AND THE RESULTING DECISIONS TO THE ENTIRE BOARD OF TRUSTEES. THE INSTITUTE'S EXECUTIVE COMPENSATION PHILOSOPHY, WHICH IS REVIEWED ANNUALLY, IS AS FOLLOWS: TARGET EXECUTIVE BASE SALARY AND TOTAL CASH COMPENSATION IS BETWEEN THE 50TH AND 75TH PERCENTILES BY BLENDING DATA FROM SIMILARLY SIZED BIOTECHNOLOGY ORGANIZATIONS FROM THE NOT-FOR-PROFIT AND FOR-PROFIT SECTOR, RESEARCH INSTITUTES AND LARGE UNIVERSITIES. THE PROCESS WAS LAST COMPLETED ON JUNE 8, 2012 FOR THE FOLLOWING 8 POSITIONS: 1) CHIEF EXECUTIVE OFFICER; 2) PRESIDENT/CANCER CENTER DIRECTOR; 3) EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, CHIEF FINANCIAL OFFICER, AND TREASURER; 4) SCIENTIFIC DIRECTOR, SBMRI AT LAKE NONA; 5) CENTER DIRECTOR, NEUROSCIENCE AGING AND STEM CELL RESEARCH CENTER; 6) CENTER DIRECTOR, INFECTIOUS AND INFLAMMATORY DISEASE CENTER; 7) SENIOR VICE PRESIDENT, BUSINESS DEVELOPMENT; 8) SENIOR DIRECTOR OF INTELLECTUAL PROPERTY AND LEGAL AFFAIRS, AND SECRETARY OF THE BOARD
AVAIL OF GOV DOCS, CONFLICT OF INTEREST POLICY & FIN STMTS TO GEN PUBLIC FORM 990, PART VI, LINE 19 DOCUMENTS ARE AVAILABLE UPON REQUEST.
OTHER CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 5 NET UNREALIZED GAIN (LOSS) ON INVESTMENTS: $(1,212,803) UNREALIZED GAIN (LOSS) ON INTEREST RATE SWAP: $(1,773,062) ROUNDING: $ 3 ------------ $(2,985,862)
SCHEDULE K, PART I, ROW A, COLUMN (F)   REFINANCE 1999 BONDS AND FINANCE CAPITAL IMPROVEMENTS & EQUIPMENT.
SCHEDULE K, PART I, ROWS A-C   FOR THE BOND ISSUES LISTED IN PART I, THE ALTERNATIVE PERIOD USED FOR THE REPORTING REQUIREMENTS IN THIS SECTION IS THE TWELVE MONTHS ENDED DECEMBER 31, 2011.
SCHEDULE K, PART III, LINE 4, COLUMN (C)   THE PERCENTAGE OF FINANCED PROPERTY USED IN A PRIVATE BUSINESS FOR THE ANNUAL MEASUREMENT PERIOD ENDING 12/31/2011 IS 5.54%. THE PRIVATE BUSINESS USE PERCENTAGE OVER THE LIFE OF THE BONDS THROUGH 12/31/2011 IS 3.27%. THE PROJECTED PRIVATE BUSINESS USE PERCENTAGE OVER THE LIFE OF THE BONDS IS 4.35%.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2011

Additional Data


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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
2011
Open to Public Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
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












For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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) CHARITABLE REMAINDER ANNUITY TRUST
 
 
SUPPORT CA SBMRI
  		TRUST      












Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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 related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
No
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
 
No
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1m
 
No
n Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
No
q Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
No
r Other transfer of cash or property from related 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)
(2)
(3)
(4)
(5)
(6)
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(e)
Are all
partners
section
501(c)(3)
organizations? 		(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 Yes No






























Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
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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