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 private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 07-01-2013 , 2013, and ending 06-30-2014
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
Suite
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
LA JOLLA, CA92037
D Employer identification number

51-0197108
E Telephone number

G Gross receipts $ 181,591,970
F Name and address of principal officer:
PERRY NISEN MD PHD
10901 NORTH TORREY PINES RD
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
subordinates?
H(b)
Are all subordinates
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 24
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 20
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 1,067
6 Total number of volunteers (estimate if necessary) ............. 6 23
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 1,744,431
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b 195,599
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 146,497,371 146,698,221
9 Program service revenue (Part VIII, line 2g) ......... 1,077,105 1,097,834
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 1,074,044 1,306,528
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 4,061,676 4,765,420
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 152,710,196 153,868,003
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) 79,343,211 74,256,935
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 33,225 80,888
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet2,213,101    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 69,599,654 68,321,428
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 148,976,090 142,659,251
19 Revenue less expenses. Subtract line 18 from line 12....... 3,734,106 11,208,752
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 315,253,706 339,669,216
21 Total liabilities (Part X, line 26)............. 100,215,489 107,962,212
22 Net assets or fund balances. Subtract line 21 from line 20..... 215,038,217 231,707,004
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 MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2013)
Form 990 (2013)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line 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 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 $ 121,294,400 including grants of $   ) (Revenue $ 1,475,636 )
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 expensesMediumBullet121,294,400
Form 990 (2013)
Form 990 (2013)
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 (see instructions)? 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, or have a section 501(h) election in effect during the tax year? 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 for escrow or custodial account liability; 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, line 10?
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 VIIClick 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 VIIIClick 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 IXClick 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 XClick 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 XClick 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 and XII 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 and XII 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, Parts I and IV......... 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 other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IVClick 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 other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV... 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 I (see instructions).... Click 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 hospital facilities? If "Yes," complete Schedule H....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
Form 990 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government 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 or 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, line 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 lines 24b through 24d and complete Schedule K. If “No,” go to line 25a................ 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
Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, 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
Yes
 
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 direct or indirect 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 M..
29
 
No
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M.............
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........
33
 
No
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1........................
34
 
No
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...
35b
 
 
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.............
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 VI
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V ..............
Yes
No
1a
Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..
1a
179
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
1,067
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
Yes
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial 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 as charitable contributions?...
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. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the 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 amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
Form 990 (2013)
Form 990 (2013)
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 or note to any line in this Part VI ..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year .....................
1a
24
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
20
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 this 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
AL , AK , AR , CA , CT , IL , KS , KY , ME , MD , MA , MI , MS , NH , NJ , NY , NC , ND , OH , OK , OR , PA , RI , SC , TN , UT , VA , WA , WV , WI
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:
MediumBulletGARY F RAISL EDD EVP CAO CFO10901 N TORREY PINES ROADLA JOLLACA92037 (858) 646-3100
Form 990 (2013)
Form 990 (2013)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line 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. 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 organization compensated any current officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) BRENT JACOBS........................................................................
TRUSTEE
 1.0
.......................   		X                
(2) JAMES JARDON........................................................................
TRUSTEE
 1.0
.......................   		X                
(3) BERNARD MACHEN........................................................................
TRUSTEE
 1.0
.......................   		X                
(4) HENRY NORDOFF........................................................................
TRUSTEE
 1.0
.......................   		X                
(5) DOUGLAS OBENSHAIN........................................................................
TRUSTEE
 1.0
.......................   		X                
(6) PETER PREUSS........................................................................
TRUSTEE
 1.0
.......................   		X                
(7) ANDREW VITERBI........................................................................
TRUSTEE
 1.0
.......................   		X                
(8) ALLEN WEISS........................................................................
TRUSTEE
 1.0
.......................   		X                
(9) GAYLE WILSON........................................................................
TRUSTEE
 1.0
.......................   		X                
(10) KRISTIINA VUORI MD PHD........................................................................
INTERIM CEO/PRESIDENT
 50.0
.......................   		X   X       639,237 0 337,141
(11) GREG LUCIER........................................................................
TRUSTEE/CHAIRMAN
 1.0
.......................   		X   X       0 0 0
(12) DAVID DOWN........................................................................
TRUSTEE
 1.0
.......................   		X           0 0 0
(13) WILLIAM GERHART........................................................................
TRUSTEE
 1.0
.......................   		X           0 0 0
(14) RASESH THAKKAR........................................................................
TRUSTEE
 1.0
.......................   		X           0 0 0
(15) LUDER WHITLOCK........................................................................
TRUSTEE
 1.0
.......................   		X           0 0 0
(16) LORENZO BERHO........................................................................
TRUSTEE
 1.0
.......................   		X                
(17) JAMES BLAIR........................................................................
TRUSTEE
 1.0
.......................   		X                
Form 990 (2013)
Form 990 (2013)
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 (list any hours for related organizations below dotted line) 		(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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) SHEHAN DISSANAYAKE........................................................................
TRUSTEE
 1.0
.......................   		X                
(19) DANIEL EPSTEIN........................................................................
TRUSTEE
 1.0
.......................   		X                
(20) WAINWRIGHT FISHBURN........................................................................
TRUSTEE/PART YEAR CHAIRMAN
 1.0
.......................   		X   X       0 0 0
(21) PAULINE FOSTER........................................................................
TRUSTEE
 1.0
.......................   		X                
(22) PATRICK GERAGHTY........................................................................
TRUSTEE
 1.0
.......................   		X                
(23) ALAN GLEICHER........................................................................
TRUSTEE
 1.0
.......................   		X                
(24) JEANNE HERBERGER........................................................................
TRUSTEE
 1.0
.......................   		X                
(25) GARY F RAISL EDD........................................................................
EVP/CAO/CFO/TREASURER
 50.0
.......................   		    X       450,474 0 57,267
(26) MARGARET DUNBAR JD........................................................................
SECRETARY/SR DIRECTOR IP
 50.0
.......................   		    X       172,290 0 17,562
(27) STUART LIPTON MD PHD........................................................................
CENTER DIRECTOR
 50.0
.......................   		        X   466,329 0 67,015
(28) DANIEL KELLY MD........................................................................
CNTR DIR./SCI. DIR. AT LK NONA
 50.0
.......................   		        X   474,889 0 53,514
(29) CARL WARE PHD........................................................................
CENTER DIRECTOR, IIDC
 50.0
.......................   		        X   362,037 0 48,727
(30) JORGE MOSCAT PHD........................................................................
PROGRAM DIRECTOR
 50.0
.......................   		        X   319,251 0 45,900
(31) DWIGHT TOWLER........................................................................
PROGRAM DIRECTOR
 50.0
.......................   		        X   329,949 0 20,810
(32) JOHN C REED MD PHD........................................................................
FORMER CEO
 50.0
.......................   		          X 404,882 0 -1,373,283
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 3,619,338 0 -725,347
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
Yes
 
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
DELOITTE TOUCHE LLP, 200 SOUTH ORANGE SUITE 200SAN DIEGOCA92130 AUDIT 295,389
STEVEN K BRAUER, 2221 CAMINO DEL RIO S SUITE 300SAN DIEGOCA92108 Consulting Bus. Dev. 265,335
PABST PATENT GROUP, 1545 PEACHTREE ST NE SUITE 320ATLANTAGA30309 LEGAL 262,506
DLA PIPER, PO BOX 64029BALTIMOREMD21264 LEGAL 252,848
BERMAN PROPERTY MANAGEMENT, 721 VERONA STREETKISSIMMEEFL34741 JANITORIAL 227,916
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet8
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c 1,042,655
d Related organizations...1d  
e Government grants (contributions)1e 105,679,170
f All other contributions, gifts, grants, and
similar amounts not included above1f 		39,976,396
g Noncash contributions included in lines
1a-1f:$ 		0
h Total. Add lines 1a-1f.......MediumBullet 146,698,221
Program Service RevenueAmt Business Code
2a Shared Services Revenue 541900 1,097,834 1,097,834 0 0
b
c
d
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 1,097,834
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 1,142,402     1,142,402
4 Income from investment of tax-exempt bond proceeds..MediumBullet 44,824     44,824
5 Royalties...........MediumBullet 2,368,275     2,368,275
(i) Real (ii) Personal
6a Gross rents 488,652  
b Less: rental expenses    
c Rental income or (loss) 488,652 0
d Net rental income or (loss).......MediumBullet 488,652     488,652
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 27,585,729  
b Less: cost or other basis and sales expenses 27,466,427  
c Gain or (loss) 119,302  
d Net gain or (loss)..........MediumBullet 119,302     119,302
8a Gross income from fundraising events (not including
$ 1,042,655
of contributions reported on line 1c). See Part IV, line 18 ..
a 43,800
b Less: direct expenses ...b 257,540
c Net income or (loss) from fundraising events..MediumBullet -213,740   -213,740
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 RESEARCH 541900 1,744,197 0 1,744,197 0
b SALE OF REAGENTS 541900 69,642 69,642 0 0
c SYMPOSIUM FEES 900099 117,956 117,956 0 0
d All other revenue .... 190,438 190,204 234 0
e Total. Add lines 11a–11d ...... MediumBullet 2,122,233
12 Total revenue. See Instructions......MediumBullet 153,868,003 1,475,636 1,744,431 3,949,715
Form 990 (2013)
Form 990 (2013)
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).Check if Schedule O contains a response or note to any line 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 0
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 0 0
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 0 0
4 Benefits paid to or for members 0 0
5 Compensation of current officers, directors, trustees, and key employees .... 2,287,173 537,746 1,749,427 0
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 194,450 0 19,445 175,005
7 Other salaries and wages 56,135,155 47,836,192 7,269,248 1,029,715
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 3,780,907 3,159,424 552,064 69,419
9 Other employee benefits ....... 8,426,086 7,240,288 1,032,736 153,062
10 Payroll taxes ........... 3,433,164 2,799,450 556,390 77,324
11 Fees for services (non-employees):        
a Management ...... 2,203,331 839,961 1,354,785 8,585
b Legal ......... 584,109 52,576 523,346 8,187
c Accounting ........... 399,991 0 399,991 0
d Lobbying ........... 141,533 0 141,533 0
e Professional fundraising services. See Part IV, line 17 80,888 80,888
f Investment management fees ...... 16,190 0 16,190 0
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 989,957 736,041 245,711 8,205
12 Advertising and promotion .... 65,538 10,843 3,509 51,186
13 Office expenses ....... 9,173,659 8,489,036 594,648 89,975
14 Information technology ...... 1,359,158 1,068,848 260,042 30,268
15 Royalties .. 0 0 0 0
16 Occupancy ........... 13,688,682 12,218,346 1,361,494 108,842
17 Travel ............ 679,657 576,023 87,670 15,964
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0 0 0 0
19 Conferences, conventions, and meetings .... 1,312,067 975,572 311,403 25,092
20 Interest ........... 3,439,937 3,126,514 285,162 28,261
21 Payments to affiliates ....... 0 0 0 0
22 Depreciation, depletion, and amortization ..... 17,374,712 15,445,839 1,809,715 119,158
23 Insurance .............. 82,695 0 82,695 0
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a Research supplies & serv 10,690,315 10,690,315 0 0
b Scientific collaborations 5,180,540 5,180,540 0 0
c Recruitment 448,679 157,550 290,666 463
d Miscellaneous 490,678 153,296 203,880 133,502
e All other expenses        
25 Total functional expenses. Add lines 1 through 24e 142,659,251 121,294,400 19,151,750 2,213,101
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). 0      
Form 990 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ............. 1,669,367 1 4,983,085
2 Savings and temporary cash investments ......... 17,237,397 2 25,616,856
3 Pledges and grants receivable, net ........... 28,941,590 3 19,526,219
4 Accounts receivable, net ............. 503,732 4 1,614,372
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
1,186,166 5 978,037
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
0 6 0
7 Notes and loans receivable, net ............. 6,113,457 7 5,733,753
8 Inventories for sale or use .............. 448,178 8 175,774
9 Prepaid expenses and deferred charges .......... 8,412,047 9 8,222,046
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 294,909,942
b Less: accumulated depreciation ..... 10b 147,696,345 155,094,266 10c 147,213,597
11 Investments—publicly traded securities .......... 92,491,582 11 122,618,621
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 ........... 3,155,924 15 2,986,856
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 315,253,706 16 339,669,216
Liabilities 17 Accounts payable and accrued expenses ......... 17,867,973 17 18,358,963
18 Grants payable ................. 0 18 0
19 Deferred revenue ................ 10,516,399 19 20,329,985
20 Tax-exempt bond liabilities ............. 71,831,116 20 69,273,264
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
22 Loans and other 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......... 100,215,489 26 107,962,212
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 77,369,944 27 84,857,756
28 Temporarily restricted net assets ........... 125,635,591 28 134,816,566
29 Permanently restricted net assets ........... 12,032,682 29 12,032,682
Organizations that do not follow SFAS 117 (ASC 958), 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 ........... 215,038,217 33 231,707,004
34 Total liabilities and net assets/fund balances ........ 315,253,706 34 339,669,216
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI ..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
153,868,003
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
142,659,251
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
11,208,752
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
215,038,217
5
Net unrealized gains (losses) on investments ...............
5
5,398,251
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
61,784
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
231,707,004
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line 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
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 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?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
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 (2013)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID:  
Software Version:  
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.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 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
Provide the following information about the supported organization(s).
(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 monetary support
Yes No Yes No Yes No
Total  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
Support Schedule for Organizations Described in Sections 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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 150,769,181 160,093,433 156,880,684 146,497,371 146,698,221 760,938,890
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......           0
3 The value of services or facilities furnished by a governmental unit to the organization without charge..           0
4 Total. Add lines 1 through 3 150,769,181 160,093,433 156,880,684 146,497,371 146,698,221 760,938,890
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).. 44,359,603
6 Public support. Subtract line 5 from line 4. 716,579,287
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
7 Amounts from line 4.. 150,769,181 160,093,433 156,880,684 146,497,371 146,698,221 760,938,890
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 1,354,102 2,037,946 4,402,201 4,000,400 4,044,153 15,838,802
9 Net income from unrelated business activities, whether or not the business is regularly carried on..       144,833 195,599 340,432
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..           0
11 Total support (Add lines 7 through 10). 777,118,124
12
12
6,747,169
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here.................................................right arrow
Section C. Computation of Public Support Percentage
14
14
92.210 %
15
15
95.250 %
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and 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) 2013

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.
Arrow Bullet Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Name of the 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 its Form 990PF, Part I, line 2, 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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 2
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, RESTRICTEDRESTRICTED

$RESTRICTED


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


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

   
 
 

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 3
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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 4
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) (2013)

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.SchCMd Bullet Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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, Part V, 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 Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2013

Schedule C (Form 990 or 990-EZ) 2013
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 SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
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) 2010 (b) 2011 (c) 2012 (d) 2013 (e) Total
2a Lobbying nontaxable 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) 2013


Schedule C (Form 990 or 990-EZ) 2013
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)
No
Yes
(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)? ....
Yes
 
c
Media advertisements? ....................................
 
No
0
d
Mailings to members, legislators, or the public? .........................
 
No
0
e
Publications, or published or broadcast statements? .......................
 
No
0
f
Grants to other organizations for lobbying purposes? .......................
 
No
0
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
142,811
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
0
i
Other activities? ..........................
Yes
 
141,533
j
Total. Add lines 1c through 1i ...............................
284,344
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
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
SCHEDULE C, PART II-B, LINE 1G LOBBYING ACTIVITIES CONTACT AND MEET WITH FEDERAL AND STATE LEGISLATORS AND THEIR STAFF TO SEEK POTENTIAL RESEARCH FUNDING.
SCHEDULE C, PART II-B, LINE 1I OTHER ACTIVITES DUES TO RESEARCH AND BIOMEDICAL ORGANIZATIONS, A PORTION OF WHICH ARE CONSIDERED LOBBYING. THE INSTITUTE UTILIZES ATLANTIC STRATEGIES GROUP, LLC FOR REPRESENTATION IN WASHINGTON, DC, TO INVESTIGATE AND SEEK POTENTIAL FEDERAL RESEARCH FUNDING OPPORTUNITIES OUTSIDE THE TRADITIONAL NIH PROCESS. THE INSTITUTE CONTRACTS WITH CAPITAL INSIGHT AND ASSOCIATES FOR REPRESENTATION IN TALLAHASSEE, FL, TO INVESTIGATE AND SEEK POTENTIAL STATE RESEARCH FUNDING OPPORTUNITIES.
Schedule C (Form 990 or 990EZ) 2013

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. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 section 170(h)(4)(B)(ii)? .......................................
9
In Part XIII, 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 XIII, 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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, 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 XIII.
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 XIII 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 XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 22,805,011 21,200,471 21,602,848 19,352,544 15,181,323
b Contributions ........ 1,310,000 9,000 29,575 1,050,000 2,983,403
c Net investment earnings, gains, and losses 3,778,222 2,517,312 961,439 1,656,322 1,912,336
d Grants or scholarships .....          
e Other expenditures for facilities
and programs ........ 		1,022,719 921,772 1,393,391 456,018 724,518
f Administrative expenses ....          
g End of year balance ...... 26,870,514 22,805,011 21,200,471 21,602,848 19,352,544
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet48.270 %
b
Permanent endowment SchDMd Bullet44.790 %
c
Temporarily restricted endowment SchDMd Bullet6.940 %
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 XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11a. 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 .................   25,793,088 25,793,088
b Buildings ................   163,973,269 61,200,145 102,773,124
c Leasehold improvements ............        
d Equipment ................   105,095,706 86,496,200 18,599,506
e Other .................   47,879   47,879
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 147,213,597
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. 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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. 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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. 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. Liability for uncertain tax positions In Part XIII, 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 (ASC 740). Check here if the text of the footnote has been provided in Part XIII ..................................................
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1 159,251,000
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a 5,398,251
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d 936
e Add lines 2a through 2d ..................... 2e 5,399,187
3 Subtract line 2e from line 1..................... 3 153,851,813
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 16,190
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b....................... 4c 16,190
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 153,868,003
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1 142,582,000
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 XIII.) ............ 2d -61,061
e Add lines 2a through 2d...................... 2e -61,061
3 Subtract line 2e from line 1..................... 3 142,643,061
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 16,190
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c 16,190
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 142,659,251
Part XIII
Supplemental Information
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, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
SCHEDULE D, PART V, LINE 4 INTENDED USES OF THE ORGANIZATION'S ENDOWMENT FUNDS THE INSTITUTE'S ENDOWMENT FUNDS ARE ESTABLISHED FOR VARIOUS PURPOSES: SCIENTIFIC RESEARCH, ALS RESEARCH, CEO CHAIR, PRESIDENTIAL CHAIR, LEADERSHIP CHAIR IN CANCER RESEARCH, AND UNRESTRICTED AS TO INCOME.
SCHEDULE D, PART X, LINE 2 FIN 48 (ASC 740) FOOTNOTE THE INSTITUTE HAS NO MATERIAL DEFERRED TAX ASSETS OR DEFERRED TAX LIABILITIES RECORDED AS OF JUNE 30, 2014 AND 2013. THE INSTITUTE DID NOT RECOGNIZE A CHANGE IN LIABILITY FOR UNRECOGNIZED TAX BENEFITS (THE DIFFERENCE BETWEEN A TAX POSITION TAKEN, OR EXPECTED TO BE TAKEN, IN A TAX RETURN AND THE BENEFIT RECOGNIZED AND MEASURED IN THE FINANCIAL STATEMENTS). THE INSTITUTE'S LIABILITY FOR UNRECOGNIZED TAX BENEFITS WAS $0 AT JUNE 30, 2014 AND 2013.
SCHEDULE D, PART XI, LINE 2D ROUNDING $936
SCHEDULE D, PART XII, LINE 2D UNREALIZED GAIN ON INTEREST RATE SWAP ($61,784) ROUNDING 723 --------- TOTAL ($61,061)
Schedule D (Form 990) 2013

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.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in region (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 and investments
in region
Europe (Including Iceland and Greenland)   72 Program services SEE PART V 123,696
East Asia and the Pacific   23 Program services SEE PART V 36,436
South Asia   6 Program services SEE PART V 17,953
Middle East and North Africa   4 Program services SEE PART V 2,855
South America   3 Program services SEE PART V 505
Central America and the Caribbean   5 Program services SEE PART V 6,137
Sub-Saharan Africa   4 Program services SEE PART V 4,003
           
           
           
           
           
           
           
           
           
           
3a Sub-total .....   117 191,585
b Total from continuation sheets to Part I ...      
c Totals (add lines 3a and 3b)   117 191,585
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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. Part II can be duplicated 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 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) 2013
Schedule F (Form 990) 2013Page 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.
Part III can be duplicated 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) 2013
Schedule F (Form 990) 2013
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, Return by a U.S. Transferor of Property to a Foreign Corporation (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, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (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, Information 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) 2013
Schedule F (Form 990) 2013
Page 5
Part V
Supplemental Information
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).
ReturnReference Explanation
SCHEDULE F, PART I, LINE 3 SUPPLEMENTAL INFORMATION 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.
SCHEDULE F, PART I, LINE 3, COLUMN E TYPE OF SERVICE SPECIFIC PROGRAM SERVICE ACTIVITY IN ALL REGIONS IS AGENTS ATTENDING AND/OR SPEAKING AT SCIENTIFIC CONFERENCES AND COLLABORATIONS.
SCHEDULE F, PART I, LINE 3, COLUMN F ACCOUNTING METHOD THE ACCRUAL METHOD OF ACCOUNTING WAS USED TO DETERMINE THE AMOUNTS IN PART I, LINE 3, COLUMN (F).
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
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.
right arrowInformation about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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.
Form 990-EZ filers are not required to complete this part.
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.
(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
SEXTON BLUM AND ASSOCIATES CONSULTING   No   75,888  
ED GILLENWATER PARTNERS CONSULTING   No   5,000  
             
             
             
             
             
             
             
             
Total .................right arrow   80,888  
3
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.
AL, AK, AZ, AR, CA, CT, FL, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MS, MO, MT, NE, NV, NH, NJ, NY, NC, ND, OH, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WI, WY
For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
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 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. 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

0
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 984,033 102,422   1,086,455
2 Less: Contributions . . 960,033 82,622   1,042,655
3 Gross income (line 1
minus line 2) . . . 		24,000 19,800   43,800
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .        
6 Rent/facility costs . .   2,625   2,625
7 Food and beverages . 38,433 29,255   67,688
8 Entertainment . . . 99,465 22,407   121,872
9 Other direct expenses . 51,338 14,017   65,355
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 257,540
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow -213,740
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. Subtract line 7 from line 1, 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:
 
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 3
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? ..........................
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
%
b
An outside facility ........................
13b
%
14
Enter 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 of the third party:
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
Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).
Return Reference Explanation
Schedule G (Form 990 or 990-EZ) 2013
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, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 of 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
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
Yes
 
3
Indicate which, if any, of the following the filing organization used 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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
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 (E) amounts for that individual.
(A) Name and Title (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)KRISTIINA VUORI MD PHDINTERIM CEO/PRESIDENT (i)
(ii)		 637,970
0 		0
0 		1,267
0 		325,500
0 		11,641
0 		976,378
0 		0
0
(2)GARY F RAISL EDDEVP/CAO/CFO/TREASURER (i)
(ii)		 445,960
0 		0
0 		4,514
0 		27,181
0 		30,086
0 		507,741
0 		0
0
(3)STUART LIPTON MD PHDCENTER DIRECTOR (i)
(ii)		 462,308
0 		0
0 		4,021
0 		25,500
0 		41,515
0 		533,344
0 		0
0
(4)DANIEL KELLY MDCNTR DIR./SCI. DIR. AT LK NONA (i)
(ii)		 472,094
0 		0
0 		2,795
0 		25,500
0 		28,014
0 		528,403
0 		0
0
(5)CARL WARE PHDCENTER DIRECTOR, IIDC (i)
(ii)		 358,016
0 		0
0 		4,021
0 		31,762
0 		16,965
0 		410,764
0 		0
0
(6)JORGE MOSCAT PHDPROGRAM DIRECTOR (i)
(ii)		 288,472
0 		28,000
0 		2,779
0 		25,500
0 		20,400
0 		365,151
0 		0
0
(7)MARGARET DUNBAR JDSECRETARY/SR DIRECTOR IP (i)
(ii)		 170,439
0 		0
0 		1,851
0 		16,368
0 		1,194
0 		189,852
0 		0
0
(8)DWIGHT TOWLERPROGRAM DIRECTOR (i)
(ii)		 290,634
0 		37,600
0 		1,715
0 		0
0 		20,810
0 		350,759
0 		0
0
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Return Reference Explanation
Form 990, Schedule J, Part I, Line 1a FIRST CLASS TRAVEL FIRST CLASS TRAVEL IS GENERALLY NOT PERMITTED, EXCEPT UNDER VERY LIMITED AND RARE CIRCUMSTANCES AND CONDITIONS, SUCH AS A MEDICAL CONDITION REQUIREMENT AND URGENT CIRCUMSTANCES. THIS WAS NOT TREATED AS TAXABLE COMPENSATION. HEALTH OR SOCIAL CLUB DUES HEALTH OR SOCIAL CLUB DUES ARE NEGOTIATED IN THE HIRING PROCESS FOR CERTAIN EMPLOYEES. THE AMOUNTS WERE TREATED AS TAXABLE COMPENSATION.
Form 990, Schedule J, Part I, Line 4b SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN THE PARTICIPANT OF THE 457(F) DEFERRED COMPENSATION PLAN IS KRISTIINA VUORI. 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. DISTRIBUTION 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).
Form 990, Schedule J, Part I, Line 7 NON-FIXED PAYMENTS SOME SENIOR EXECUTIVES HAVE EMPLOYMENT AGREEMENTS STIPULATING A BONUS WILL BE PAID TO THEM PROVIDED CERTAIN GOALS OR ACCOMPLISHMENTS ARE ACHIEVED.
Form 990, Schedule J, Part II, Column (C) RETIREMENT AND OTHER DEFERRED COMPENSATION THE AMOUNT REPORTED IN SCHEDULE J, PART II, COLUMN C FOR KRISTIINA VUORI INCLUDES AN ACCRUAL OF $300,000 RELATED TO THE 457(F) PLAN DESCRIBED ABOVE. THESE AMOUNTS ARE NOT VESTED AND ARE SUBJECT TO SUBSTANTIAL RISK OF FORFEITURE. THE NEGATIVE AMOUNT REPORTED IN FORM 990, PART VII, COLUMN F FOR JOHN REED IS DUE TO THE FORFEITURE OF HIS 457(F) PLAN DUE TO HIS DEPARTURE FROM THE INSTITUTE BEFORE VESTING.
Schedule J (Form 990) 2013

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.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 PART VI   X   X   X
B COUNTY OF SAN DIEGO
  		95-6000934 797391K99 11-15-2012 18,885,000 FINANCE PROPERTY AND CAPITAL EQUIP   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 0 0    
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0    
3 Total proceeds of issue . . . . . . . . . . . . . . 60,572,867 18,885,000    
4 Gross proceeds in reserve funds . . . . . . . . . . . . 3,958,500 0    
5 Capitalized interest from proceeds . . . . . . . . . . . 0 0    
6 Proceeds in refunding escrows . . . . . . . . . . . . 46,326,377 0    
7 Issuance costs from proceeds . . . . . . . . . . . . 745,537 0    
8 Credit enhancement from proceeds . . . . . . . . . . . 0 0    
9 Working capital expenditures from proceeds . . . . . . . . . 0 0    
10 Capital expenditures from proceeds . . . . . . . . . . . 9,542,453 18,885,000    
11 Other spent proceeds . . . . . . . . . . . . . . 0 0    
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0    
13 Year of substantial completion . . . . . . . . . . . . 2000 2012
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X   X        
15 Were the bonds issued as part of an advance refunding issue? . . . . . X     X        
16 Has the final allocation of proceeds been made? . . . . . . . . X   X          
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . 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        
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X     X        
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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        
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              
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . . 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              
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 3.530 % 1.980 %    
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 . . . . . . . . . . . . . 3.530 % 1.980 %    
7 Does the bond issue meet the private security or payment test? . . . . .   X   X        
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X        
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of.        
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X   X        
9 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        
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . . X     X        
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . . X   X          
b Exception to rebate? . . . . . . . .   X   X        
c No rebate due? . . . . . . . .                
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . .   X X          
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X X          
b Name of provider . . . . . . . . . 0
  		BANK OF AMERICA
  		 
  		 
 
c Term of hedge . . . . . . . . . . 25. 25.    
d Was the hedge superintegrated? . . . . X   X          
e Was the hedge terminated? . . . . . .   X   X        
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X   X        
b Name of provider . . . . . . . . . 0
  		0
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .   X   X        
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X   X        
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
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?   X X          
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
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, 2013.
Schedule K (Form 990) 2013

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, line 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBullet See separate instructions.
MediumBulletInformation about Schedule L (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No





2
Enter the amount of tax incurred by 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-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e)Original principal amount (f)Balance due (g) In default? (h) Approved by board or committee? (i)Written agreement?
To From Yes No Yes No Yes No
(1) DANIEL KELLY HIGHEST COMP. EMP. QUAL. EMPLOYEE RELOC   X 500,000 429,167   No Yes   Yes  
(2) DWIGHT TOWLER EMPLOYEE QUAL. EMPLOYEE RELOC   X 100,000 100,000   No Yes   Yes  
(3) GARY RAISL OFFICER QUAL. EMPLOYEE RELOC   X 225,000 225,000   No Yes   Yes  
(4) JORGE MOSCAT EMPLOYEE QUAL. EMPLOYEE RELOC   X 200,000 76,456   No Yes   Yes  
(5) STUART LIPTON EMPLOYEE QUAL. EMPLOYEE RELOC   X 400,000 147,414   No Yes   Yes  
Total ......Small Bullet $ 978,037
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 assistance (d) Type of assistance (e) Purpose of assistance
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2013
Schedule L (Form 990 or 990-EZ) 2013
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 GREG LUCIER - TRUSTEE 995,610 PURCHASE SUPPLIES AND SERVICES   No
(2) LOCKTON DOUG OBENSHAIN - TRUSTEE 197,317 INSURANCE SERVICES   No
(3) PHILIP GRAHAM - SON OF TRUSTEE GAYLE WILSON - TRUSTEE 194,450 COMPENSATION   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
Schedule L (Form 990 or 990-EZ) 2013

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.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
SANFORD-BURNHAM MEDICAL RESEARCH INSTITUTE
 
Employer identification number

51-0197108
Return Reference Explanation
FORM 990, PART I, LINE 1 & PART III, LINE 1 ORGANIZATION'S MISSION 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.
FORM 990, PART III, LINE 4A PROGRAM SERVICE ACCOMPLISHMENTS 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. CANCER RESEARCH A NEW APPROACH TO TREATING BRAIN CANCER. MEDULLOBLASTOMA IS THE MOST COMMON MALIGNANT BRAIN CANCER IN CHILDREN. ALTHOUGH MANY PATIENTS CAN BE CURED WITH SURGERY, RADIATION, AND HIGH-DOSE CHEMOTHERAPY, SURVIVORS OFTEN SUFFER SEVERE LONG-TERM SIDE EFFECTS SUCH AS COGNITIVE AND DEVELOPMENTAL DISABILITIES DUE TO THE AGGRESSIVE TREATMENT. A RESEARCH TEAM LED BY DR. ROBERT WECHSLER-REYA DEVELOPED A NEW EXPERIMENTAL APPROACH TO TREATING MEDULLOBLASTOMA BY TARGETING CANCER STEM CELLS - THE CELLS THAT ARE CRITICAL FOR MAINTAINING TUMOR GROWTH. BY USING SMALL-MOLECULE INHIBITORS TO STOP THE ACTION OF ENZYMES THAT ARE ESSENTIAL FOR CELL-CYCLE PROGRESSION, THE RESEARCHERS WERE ABLE TO BLOCK THE GROWTH OF TUMOR CELLS FROM MICE AS WELL AS HUMANS. THESE FINDINGS, DESCRIBED IN A RECENT PAPER IN CANCER RESEARCH, STRONGLY SUPPORT THE NOTION OF COMBINING CONVENTIONAL CHEMOTHERAPY WITH CELL-CYCLE INHIBITORS TO IMPROVE THE EFFECTIVENESS OF THERAPY FOR MEDULLOBLASTOMA PATIENTS. A NEW TARGET FOR MELANOMA. PDK1 IS AN ENZYME THAT REGULATES A NUMBER OF PROCESSES IMPORTANT FOR NORMAL CELL FUNCTION. IN A RECENT PUBLICATION IN ONCOGENE, DR. ZE'EV RONAI'S LABORATORY PROVIDED THE FIRST GENETIC EVIDENCE SHOWING THE IMPORTANCE OF PDK1 IN MELANOMA. RONAI'S TEAM USED MICE THAT LACK THE PDK1 GENE TO SHOW THAT WITHOUT PDK1 GENE EXPRESSION, MELANOMA TUMORS RAPIDLY DEVELOP, BUT ARE SMALLER IN SIZE, HAVE SIGNIFICANT LOSS OF METASTASIS, AND THE MICE HAVE AN OVERALL PROLONGED SURVIVAL. IMPORTANTLY, WHEN THE TEAM OF RESEARCHERS USED A PDK1 INHIBITOR IN WILD-TYPE MICE, THEY WERE ABLE DELAY MELANOMA GENESIS AND METASTASIS-INDICATING THAT PHARMACOLOGICAL INTERVENTION MAY BLOCK THE DEVELOPMENT OF MELANOMA TUMORS. THESE FINDINGS ARE IMPORTANT BECAUSE THEY ESTABLISH THE IMPORTANCE OF PDK1 IN MELANOMA DEVELOPMENT AND METASTASIS AND SUGGEST THAT PDK1 INHIBITORS SHOULD BE CONSIDERED AS PART OF THE THERAPEUTIC REGIMENT FOR MELANOMA. SMIP004 AS A NOVEL TREATMENT FOR ADVANCED PROSTATE CANCER. A MAJOR HALLMARK OF CANCER CELLS IS THEIR ABILITY TO SURVIVE UNDER STRESSFUL CONDITIONS. A NEW STUDY SPEARHEADED BY DR. DIETER WOLF AND HIS TEAM REVEALS HOW A PROMISING ANTICANCER COMPOUND CALLED SMIP004 SPECIFICALLY KILLS PROSTATE CANCER CELLS BY COMPROMISING THEIR ABILITY TO WITHSTAND ENVIRONMENTAL STRESS. THE STUDY, RECENTLY PUBLISHED IN ONCOTARGET, UNCOVERS NOVEL MECHANISMS OF ANTICANCER ACTIVITY AND COULD LEAD TO THE DEVELOPMENT OF MORE EFFECTIVE THERAPIES FOR ADVANCED AND HARD-TO-TREAT FORMS OF PROSTATE CANCER, AS WELL AS OTHER TYPES OF CANCER. IN A PREVIOUS STUDY, WOLF AND HIS TEAM IDENTIFIED SMIP004 AS A PROMISING ANTICANCER AGENT WHEN THEY SCREENED FOR COMPOUNDS THAT SPECIFICALLY KILL PROSTATE CANCER CELLS WHILE SPARING NORMAL CELLS. BUT UNTIL NOW, EXACTLY HOW SMIP004 WORKS WAS UNKNOWN. NEW METABOLIC PATHWAY IMPLICATED IN CANCER AND METABOLIC DISORDERS. DECIPHERING THE BODY'S COMPLEX MOLECULAR PATHWAYS THAT LEAD TO DISEASE WHEN THEY MALFUNCTION IS HIGHLY CHALLENGING. DRS. MARIA DIAZ-MECO AND JORGE MOSCAT AND THEIR TEAMS NOW HAVE A MORE COMPLETE PICTURE OF ONE PARTICULAR PATHWAY THAT CAN LEAD TO CANCER AND DIABETES. IN THEIR STUDY, PUBLISHED BY MOLECULAR CELL, THE SCIENTISTS UNCOVERED HOW A PROTEIN CALLED P62 HAS A CASCADE AFFECT IN REGULATING CELL GROWTH IN RESPONSE TO THE PRESENCE OF NUTRIENTS SUCH AS AMINO ACIDS AND GLUCOSE. THE PROTEIN P62 INTERACTS WITH ANOTHER PROTEIN CALLED TRAF6 TO ACTIVATE A PROTEIN COMPLEX CALLED MTORC1. IN FACT, RESEARCHERS HAVE FOUND THAT MTORC1 IS HIGHLY ACTIVATED IN CANCER CELLS. THE PATHWAY THAT CONTROLS MTORC1 ACTIVATION IS ALSO IMPORTANT FOR METABOLIC HOMEOSTASIS. WHEN THE PATHWAY MALFUNCTIONS, METABOLIC DISORDERS SUCH AS DIABETES CAN RESULT AND TUMORS CAN PROGRESS. DISRUPTING THIS CHAIN MAY OFFER A NEW APPROACH TO TREATING DISEASE. DEGENERATIVE DISEASE PROGRAM A NEW MECHANISM THAT MAY CAUSE NEURONAL LOSS IN ALZHEIMER'S DISEASE. DR. HUAXI XU PUBLISHED A REPORT IN PLOS ONE THAT SUGGESTS AMYLOID PRECURSOR PROTEIN INTERACTS WITH NERVE GROWTH-FACTOR RECEPTORS ON THE SURFACE OF NEURONS, REDUCING NEURONAL SURVIVAL AND DIFFERENTIATION. THE FINDINGS REVEAL A POSSIBLE CONTRIBUTOR TO THE PATHOGENESIS OF ALZHEIMER'S DISEASE. IDENTIFICATION OF A SIGNALING PATHWAY THAT PREVENTS INFLAMMATORY BOWEL DISEASE (IBD). A GROWING BODY OF RESEARCH LINKS PROTEIN MISFOLDING TO INFLAMMATORY BOWEL DISEASE (IBD). MISFOLDED PROTEINS ARE DAMAGED PROTEINS THAT CAN BE CAUSED BY GENETIC MUTATIONS OR IN RESPONSE TO ENVIRONMENTAL CONDITIONS. DR. RANDAL KAUFMAN'S LABORATORY PUBLISHED FINDINGS IN INFLAMMATORY BOWEL DISEASES SHOWING THAT PHOSPHORYLATION OF THE REGULATORY PROTEIN ELF2-ALPHA IS REQUIRED FOR CELLS TO RESPOND TO MISFOLDED PROTEINS AND TO MAINTAIN THE MUCOUS CELL FUNCTIONS THAT LIMIT INFLAMMATION AND BACTERIAL INFECTIONS. THE FINDINGS BRING NEW INSIGHT INTO POTENTIAL AVENUES TO TREAT AND ALLEVIATE SYMPTOMS OF IBD. TRANSPLANTED STEM CELLS FOR PARKINSON'S DISEASE. DR. STUART LIPTON AND COLLEAGUES PUBLISHED WORK IN THE JOURNAL OF COMPARATIVE NEUROLOGY ON TRANSPLANTING HUMAN EMBRYONIC STEM CELL (HESC)-DERIVED NEURAL CELLS INTO THE BRAINS OF ANIMAL MODELS (RODENTS AND MONKEYS) OF PARKINSON'S DISEASE. THE BREAKTHROUGH TECHNOLOGY DESCRIBED IN THE STUDY IS THE FIRST REPORT OF TRANSPLANTATION AFTER PROGRAMMING THE STEM CELLS WITH A GENE CALLED MEF2C. MEF2C IS A GENE LOST IN PARKINSON'S AND EFFORTS TO REPLACE AND RESTORE MEF2C-GENE FUNCTION IS AN EMERGING APPROACH TO TREATING THE DISEASE. IMMUNITY AND PATHOGENESIS PROGRAM A NEW THERAPEUTIC TARGET FOR PSORIASIS. DR. CARL WARE AND COLLEAGUES HAVE IDENTIFIED THE B- AND T-LYMPHOCYTE ATTENUATOR (BTLA) INHIBITORY RECEPTOR AS A KEY FACTOR IN LIMITING INFLAMMATORY RESPONSES, PARTICULARLY IN THE SKIN. THE STUDY, PUBLISHED ONLINE IN IMMUNITY, PROVIDES CLARITY ON HOW T-CELLS GET FIRED UP TO PROTECT AGAINST PATHOGENS, AND THEN COOL DOWN TO RESTORE IMMUNE HOMEOSTASIS. WARE'S RESEARCH SHOWED THAT THE RETINOID-RELATED ORPHAN RECEPTOR GAMMA-T (ROR GAMMA-T) NUCLEAR TRANSCRIPTION FACTOR WORKS WITH INTERLEUKIN (IL)-7 TO COORDINATE THE EXPRESSION OF BTLA, WHICH IN TURN REGULATES GAMMA-DELTA T-CELL RESPONSES. "IF A DRUG CAN SELECTIVELY ACTIVATE BTLA, WE PUT THE BRAKES ON GAMMA-DELTA T-CELLS AND GAIN CONTROL OF INFLAMMATION, PREVENT DAMAGE AND, IF POSSIBLE, ACHIEVE LONG-TERM DISEASE REMISSION," SAID WARE. MAPPING THE SHORT-CUT FOR HIV INFECTION. UNDERSTANDING HOW HIV EXPLOITS THE HUMAN CELL MACHINERY IS ESSENTIAL FOR DEVELOPING NOVEL STRATEGIES FOR LONG TERM TREATMENT. IN A NEW STUDY BY DR. SUMIT CHANDA, IN COLLABORATION WITH UC SAN DIEGO AND PUBLISHED ON PLOS ONE (ONLINE), THE RESEARCHERS DESCRIBE THE FIRST GLOBAL MAP OF THE HUMAN PROTEIN COMPLEXES INVOLVED IN HIV INFECTION. BY INTEGRATING DATA SETS ON PROTEINS AND GENES THE TEAM REVEALED NEW REGULATORY COMPONENTS OF PROTEINS THAT PLAY A ROLE IN HIV INFECTION. THE STUDY PROVIDES A RESOURCE FOR TRACKING TARGETING PROTEIN COMPLEXES AT DIFFERENT STAGES OF THE HIV LIFE CYCLE AND MAY ULTIMATELY LEAD TO A NEW THERAPEUTIC APPROACH OF TARGETING HUMAN PROTEINS TO TREAT THE DISEASE. PREVENTING AUTOIMMUNE DISEASES. B-CELL PRODUCTION IN BONE MARROW RESULTS IN THE GENERATION OF A VAST REPERTOIRE OF ANTIBODY-PRODUCING CELLS THAT COLLECTIVELY RECOGNIZE VIRTUALLY ANY FOREIGN ENTITY, INCLUDING PATHOGEN COMPONENTS. HOWEVER, THE RANDOM PROCESS OF ANTIBODY GENERATION ALSO PRODUCES B CELLS THAT IN TURN PRODUCE AUTOANTIBODIES THAT CAN RECOGNIZE "SELF-ANTIGENS," LEADING TO AUTOIMMUNE DESTRUCTION AS OCCURS IN LUPUS AND SOME TYPES OF ARTHRITIS. IN A RECENT PAPER IN THE JOURNAL OF IMMUNOLOGY, DR. ROBERT RICKERT'S LAB INVESTIGATED THE CELLULAR PROCESSES THAT CONTROL B-CELL TOLERANCE, WHICH PREVENTS B CELLS FROM PRODUCING ANTIBODIES TO SELF-ANTIGENS. THEY DEVELOPED A NOVEL EXPERIMENTAL MODEL TO SHOW THAT A SPECIALIZED CELL TYPE TERMED FOLLICULAR DENDRITIC CELLS (FDCS) IS EFFICIENT IN PRESENTING SELF-ANTIGENS AND ELIMINATING AUTOREACTIVE B CELLS TO SELF-ANTIGENS. THESE FINDINGS PROVIDE A NEW PERSPECTIVE ON HOW AUTOIMMUNE DISEASE MAY BE PREVENTED.
HUMAN GENETICS PROGRAM RESEARCHERS REVEAL NEW CAUSE OF EPILEPSY. DR. YU YAMAGUCHI, IN COLLABORATION WITH SUNY DOWNSTATE MEDICAL CENTER, FOUND THAT DEFICIENCIES IN HYALURONAN, ALSO KNOWN AS HYALURONIC ACID OR HA, CAN LEAD TO SPONTANEOUS EPILEPTIC SEIZURES. THE STUDY WAS THE FIRST TO DEMONSTRATE THE IMPORTANT ROLE OF THIS UNIQUE MOLECULE IN BRAIN FUNCTIONS AND PROVIDES KEY INFORMATION THAT MAY LEAD TO NEW THERAPEUTIC APPROACHES FOR EPILEPSY. THE STUDY WAS PUBLISHED ON APRIL 30 IN THE JOURNAL OF NEUROSCIENCE. TEASING STEM CELLS TO REPLACE NEURONS IN PARKINSON'S DISEASE. DR. EVAN SNYDER AND COLLEAGUES PUBLISHED A STUDY IN STEM CELLS TRANSLATIONAL MEDICINE DESCRIBING ATTEMPTS TO INJECT HUMAN FETAL NEURAL STEM CELLS IN MONKEYS WITH PARKINSON'S DISEASE. THE STUDY RESULTS SHOW THAT INCLUDING A CRITICAL NEURON-DEVELOPMENT FACTOR WITH THE STEM CELL INJECTION DID NOT INCREASE THE PERCENTAGE OF DESIRED NEURONS AS EXPECTED, BUT DID SHOW THAT THE INJECTED CELLS BEGAN TO SEND OUT LONG PROJECTIONS. THE RESULTS INDICATE THAT TEASING STEM CELLS TO DEVELOP A LITTLE FARTHER ALONG THEIR NEURON PATHWAY BEFORE INJECTION MIGHT IMPROVE THE PROCESS OF REPLACING NEURONS AS A NEW APPROACH TO TREATING PARKINSON'S DISEASE. SUGAR: THE GOOD, THE BAD, AND THE UGLY. DR. HUDSON FREEZE'S LABORATORY HAS PUBLISHED THREE PAPERS DESCRIBING RARE DISORDERS CAUSED BY GENETIC DEFECTS IN THE PROCESS OF ATTACHING SUGAR MOLECULES TO PROTEINS. PATIENTS WITH THESE DISORDERS EXHIBIT MOTOR AND INTELLECTUAL DISABILITIES, SEIZURES, DEVELOPMENT DELAYS, AND OTHER SERIOUS CONDITIONS. THE STUDIES EXAMINE THE METABOLIC FATE OF INGESTING THE SUGAR MANNOSE TO COMPENSATE AND BOLSTER THERAPEUTIC STRATEGIES FOR TREATING THE DISORDERS. IN ONE STUDY, PUBLISHED IN THE JOURNAL GLYCOSYLATION, MOUSE MODELS OF THE DISEASE SHOWED IMPROVED IMMUNE FUNCTIONS WHEN GIVEN THE SUGAR MANNOSE AS A SUPPLEMENT. IN A SECOND STUDY PUBLISHED IN FASEB, THE RESEARCH TEAM SHOWED THAT MANNOSE SUPPLEMENTS IN PREGNANT-MOUSE MODELS OF THE DISEASE RESULT IN EYE DEFECTS AND REDUCED LITER SIZE-SUGGESTING CAUTION FOR THE HUMAN APPLICATION FOR MOTHERS AT RISK. DEVELOPMENT, AGING AND REGENERATION PROGRAM MUSCLE STEM CELL PROLIFERATION DYNAMICS. IN A RECENT ARTICLE IN DEVELOPMENT FROM DR. ALESSANDRA SACCO IN COLLABORATION WITH DR. ANDREW BRACK AT HARVARD, THE AUTHORS INVESTIGATED THE HETEROGENEITY OF SKELETAL MUSCLE STEM CELLS. THEY SHOW THAT SLOW PROLIFERATING MUSCLE STEM CELLS ARE FORMED AT BIRTH AND ARE ESSENTIAL FOR TISSUE MAINTENANCE AND REPAIR. THE TEAM IDENTIFIED CELL CYCLE INHIBITOR P27 AS A MAJOR REGULATOR OF THIS TISSUE REPAIR PROCESS. THEY WILL CONTINUE TO STUDY HOW THIS STEM CELL POPULATION IS MODIFIED UNDER MUSCLE-WASTING CONDITIONS AND EVALUATE IT AS A POTENTIAL CELLULAR TARGET FOR FUTURE THERAPEUTIC INTERVENTIONS AGAINST MUSCLE LOSS. REGENERATING MUSCLE IN DUCHENNE MUSCULAR DYSTROPHY: AGE MATTERS. THE LABORATORIES OF DRS. LORENZO PURI AND MARK MERCOLA PUBLISHED A PAPER IN GENES AND DEVELOPMENT THAT DETAILS HOW A CLASS OF DRUGS CALLED HDACIS DRIVE MUSCLE-CELL REGENERATION IN THE EARLY STAGES OF DYSTROPHIC MUSCLES, BUT FAILS TO WORK IN LATE STAGES. THE RESEARCH USED MOUSE MODELS OF DUCHENNE MUSCULAR DYSTROPHY (DMD) TO SHOW HOW HDACIS CREATE AN ENVIRONMENT CONDUCIVE FOR FIBRO-ADIPOGENETIC CELLS (FAPS) TO DIRECT MUSCLE REGENERATION. BUT AT SOME POINT, DMD PROGRESSES TO A PATHOLOGICAL POINT OF NO RETURN-BECOMING RESISTANT TO HDACIS. HDACIS ARE EPIGENETIC DRUGS THAT WORK BY MAKING GENES ACCESSIBLE TO THE CELL MACHINERY THAT TRANSCRIBES THE GENETIC CODE INTO PROTEINS. THE STUDY SUGGESTS A MOLECULAR MECHANISM FOR THE USE OF HDAC INHIBITORS IN THE TREATMENT OF DYSTROPHIC MUSCLES, SUCH AS IN DMD. BIOINFORMATICS AND STRUCTURAL BIOLOGY PROGRAM SHEDDING LIGHT ON KILLER ISLANDS. "PATHOGENICITY ISLANDS," ARE GENETIC ELEMENTS FOUND IN PATHOGENIC BACTERIA. THEY ARE OFTEN SHARED BETWEEN BACTERIA AND, IF PRESENT, THEY CONVEY SPECIFIC VIRULENCE ABILITIES TO BACTERIA CARRYING THEM. IN THE CASE OF GUT BACTERIUM BACTEROIDES FRAGILIS, PROTEINS ENCODED AT THESE ISLANDS CONTRIBUTE TO INFLAMMATORY DIARRHEA, ULCERATIVE COLITIS, AND INCREASED RISK OF COLORECTAL CANCER. DR. ALEX STRONGIN'S LAB CHARACTERIZED METALLOPROTEINASE II (MPII), A KEY PROTEASE ENCODED ON THE PATHOGENICITY ISLAND OF THE B. FRAGILIS GENOME. THE STUDY, PUBLISHED IN THE JOURNAL OF BIOLOGICAL CHEMISTRY, REVEALED THAT MPII LIKES TO "CUT" PROTEINS AT THE POINT BETWEEN TWO BASIC AMINO ACIDS AND BY DOING THIS IT CAN "REMODEL" THE NORMAL LUMINAL EPITHELIUM OF THE GASTROINTESTINAL TRACT, PAVING THE WAY FOR INFLAMMATION AND DISEASE BY DISRUPTING MEMBRANE STRUCTURE AND FUNCTION. HITTING TUBERCULOSIS WHERE IT HURTS. TUBERCULOSIS REMAINS A MAJOR CAUSE OF DEATH AROUND THE WORLD AND BECAUSE OF QUICKLY DEVELOPING DRUG RESISTANCE IT IS MAKING A COMEBACK, EVEN IN DEVELOPING COUNTRIES INCLUDING THE U.S. SANFORD-BURNHAM'S DR. ANDREI OSTERMAN, IN COLLABORATION WITH DR. E. RUBIN FROM HARVARD MEDICAL SCHOOL AND VERTEX PHARMACEUTICALS, PERFORMED EXPERIMENTS TO VALIDATE A NOVEL TARGET FOR ANTI-TUBERCULOSIS DRUGS. THE RESEARCH SOUGHT TO IDENTIFY NEW TARGETS WHICH WOULD BE EFFECTIVE AGAINST GROWING AS WELL AS PERSISTENT (DORMANT) INFECTIONS THAT REPRESENT A PARTICULAR CHALLENGE FOR ALL CURRENTLY AVAILABLE THERAPIES. A COMBINATION OF SYSTEMS-BIOLOGY MODELING OF MYCOBACTERIAL METABOLIC NETWORKS WITH TARGETED PROTEIN KNOCKDOWN AND METABOLOMICS TECHNIQUES SHOWED THAT TARGETING BIOSYNTHESIS OF NAD(H), AN ESSENTIAL COFACTOR IN ENERGY HOMEOSTASIS, WOULD LEAD TO EFFECTIVE THERAPIES AGAINST BOTH REPLICATING AND NON-REPLICATING M. TUBERCULOSIS BACTERIA. THE STUDY WAS PUBLISHED IN MBIO. SOME LIKE IT HOT. DR. ADAM GODZIK AND COLLEAGUES USED STRUCTURAL SYSTEMS BIOLOGY TO ANALYZE THE METABOLIC NETWORK OF BACTERIUM E. COLI TO ANSWER THE QUESTIONS: WHY IS E. COLI NOT A HEAT-LOVING ORGANISM, AND CAN IT BE CHANGED INTO A THERMOPHILE? MODELING AND ANALYZING THE THREE-DIMENSIONAL STRUCTURE OF ALL ENZYMES THAT FORM THE NODES OF THIS METABOLIC NETWORK ALLOWED RESEARCHERS TO IDENTIFY THE PARTS OF THE NETWORK THAT WOULD FAIL FIRST WITH RISING TEMPERATURE. THE PREDICTION WAS CONFIRMED BY PROVIDING E. COLI WITH A TARGETED METABOLITE MIXTURE TO COMPENSATE FOR THE FAILING ENZYMES. THIS STUDY, PUBLISHED IN SCIENCE, IS THE FIRST EXAMPLE OF CELL-LEVEL, INTEGRATED ANALYSIS OF THREE-DIMENSIONAL MODELS OF PROTEINS IN THE CONTEXT OF THE NETWORK THEY ARE FORMING. IT PROVIDED A QUALITATIVE PHENOTYPE PREDICTION. CARDIOVASCULAR AND PATHOBIOLOGY PROGRAM BUILDING THE HEART'S POWER STATION. IN TWO SEPARATE STUDIES, DR. DANIEL KELLY'S LABORATORY HAS DEFINED A KEY MECHANISM WHEREBY THE SPECIALIZED MITOCHONDRIAL SYSTEM IN THE HEART IS ESTABLISHED. SPECIFICALLY, USING GENETICALLY ENGINEERED MOUSE MODELS, THE RESEARCH TEAM DEMONSTRATES THAT FACTORS CALLED PGC-1A AND B ARE REQUIRED FOR EQUIPPING THE GROWING HEART WITH A HIGH-CAPACITY MITOCHONDRIAL SYSTEM. THIS INVOLVES A PROCESS CALLED MITOCHONDRIAL DYNAMICS IN WHICH SMALL MITOCHONDRIA UNDERGO REPEATED FUSION FOLLOWED BY SEPARATION TO DISTRIBUTE THROUGHOUT THE HEART CELLS. LOSS OF THE PGC-1 CO-ACTIVATORS DURING THE GROWTH PERIOD FOLLOWING BIRTH PREVENTS THIS PROCESS, LEADING TO AN ENERGY-STARVED FAILING HEART. INTERESTINGLY, IN THE MATURE ADULT HEART, THE PGC-1 CO-ACTIVATORS SERVE A DIFFERENT FUNCTION. IN THE ADULT, THIS PATHWAY IS NECESSARY FOR MAINTAINING THE ENZYMES AND MEMBRANE STRUCTURES OF THE MITOCHONDRIA, PREVENTING WEAR AND TEAR. GIVEN THAT HEART FAILURE IS OFTEN CAUSED BY REDUCED FUNCTION OF MITOCHONDRIA, THIS DISCOVERY COULD BE IMPORTANT AS A FIRST STEP TOWARD THE IDENTIFICATION OF NEW THERAPIES FOR HEART FAILURE. THIS WORK WAS PUBLISHED IN THE JOURNAL OF BIOLOGICAL CHEMISTRY AND CIRCULATION RESEARCH. DISCOVERY OF A NEW MECHANISM LEADING TO ATHEROSCLEROSIS. IN A PAPER PUBLISHED IN ARTERIOSCLEROSIS, THROMBOSIS, AND VASCULAR BIOLOGY, DR. DWIGHT TOWLER AND COLLEAGUES DESCRIBED A PATHWAY THAT LEADS TO HARDENING OF ARTERIES (ATHEROSCLEROSIS). THIS WORK ZEROED IN ON A PARTICULARLY DELETERIOUS PROTEIN CALLED DKK1. WHEN FUNCTIONING NORMALLY, DKK1 IS IMPORTANT FOR AIDING IN WOUND REPAIR. BUT INFLAMMATORY RESPONSES TRIGGERED INSIDE ARTERY WALLS ASSOCIATED WITH DISEASES LIKE DIABETES CAN TRIGGER PROLONGED AND DESTRUCTIVE DKK1 ACTIVITY. TOWLER AND HIS TEAM WILL CONTINUE TO STUDY DKK1 TO IDENTIFY POTENTIAL DRUG TARGETS TO PREVENT HARDENING OF ARTERIES IN PATIENTS WITH ATHEROSCLEROSIS.
METABOLIC DISEASE PROGRAM IMAGES OF DEFECTIVE METABOLISM IN TYPE 2 DIABETES. SKELETAL MUSCLE INSULIN RESISTANCE IS THOUGHT TO BE A CRITICAL COMPONENT TO THE DEVELOPMENT OF TYPE 2 DIABETES. UNTIL NOW, HOWEVER, THE SPECIFIC DEFECTS IN MUSCLE THAT CONTRIBUTE TO INSULIN RESISTANCE HAVE NOT BEEN FULLY ELUCIDATED IN HUMANS. IN A PAPER PUBLISHED IN DIABETES, DR. BRET GOODPASTER REPORTS HOW DYNAMIC POSITRON EMISSION TOMOGRAPHY (PET) IMAGING CAN REVEAL WHERE THESE DEFECTS OCCUR IN VIVO. IN THIS STUDY, PATIENTS WITH TYPE 2 DIABETES HAD SEVERE IMPAIRMENTS IN THEIR ABILITY TO TRANSPORT GLUCOSE INTO THE MUSCLE CELLS IN RESPONSE TO INSULIN. THESE STUDIES HIGHLIGHT THE UTILITY OF IN VIVO IMAGING OF METABOLISM USING PET, WHICH CAN ULTIMATELY HELP TO REVEAL SPECIFIC PATHWAYS AND TARGETS TO TREAT DEFECTIVE GLUCOSE METABOLISM IN DIABETES. BACTERIA AND HUMANS ARE MORE ALIKE THAN WE THOUGHT. KEY REGULATORY MECHANISMS HAVE EVOLVED IN DIVERSE ORGANISMS TO MAINTAIN THE PROPER BALANCE OF CELLULAR NUTRIENTS DURING PERIODS OF FEAST OR FAMINE. THIS IS ESSENTIAL BECAUSE OVER ACCUMULATION OF MANY KEY SUBSTANCES CONTRIBUTES TO THE DEVELOPMENT OF A VARIETY OF HUMAN DISEASES. IN A STUDY PUBLISHED IN CELL METABOLISM, DR. TIM OSBORNE'S LAB IDENTIFIED A NEW BRANCH OF METABOLISM THAT ALLOWS CELLS TO DECIDE WHETHER THEY HAVE SUFFICIENT CHOLESTEROL AND FATTY ACIDS. INTERESTINGLY, THIS MECHANISM HAS PROPERTIES HIGHLY REMINISCENT OF PROCESSES FOUND ONLY IN SINGLE-CELLED BACTERIA INDICATING THAT THROUGH EVOLUTION, DIVERSE ORGANISMS HAVE ADAPTED SIMILAR WAYS TO MAINTAIN A HEALTHY BALANCE. STUDYING DIABETES IN A PETRI DISH. IN A PAPER PUBLISHED IN OBESITY, DR. STEVEN SMITH AND COLLEAGUES FOUND THAT MUSCLE STEM CELLS CULTURED IN A DISH FROM PATIENTS WITH METABOLIC DISEASES RETAIN MANY CHARACTERISTICS OF THE DONOR. SUCH "DISEASE IN A DISH" MODELS ARE NOW IN PLACE AT SANFORD-BURNHAM THROUGH A COLLABORATION WITH THE TRANSLATIONAL RESEARCH INSTITUTE FOR METABOLISM AND DIABETES (TRI-MD). THIS EXCITING BREAKTHROUGH ALLOWS RESEARCHERS TO UNDERSTAND BETTER THE PROCESSES THAT LEAD TO OBESITY, DIABETES, AND CARDIOVASCULAR DISEASES. FUTURE STUDIES WILL USE THE ADVANCED TECHNOLOGIES AT SANFORD-BURNHAM TO ACCELERATE THIS LINE OF RESEARCH INCLUDING SCREENING FOR NEW DRUGS.
FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT AND/OR GOVERNING BODY TO REVIEW FORM 990 THE 990 IS PREPARED BY THE FINANCE DEPARTMENT. IT IS REVIEWED BY THE INSTITUTE'S TAX ADVISORS, SELECTED MEMBERS OF MANAGEMENT INCLUDING THE EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER, AND THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND PROVIDED TO MEMBERS OF THE BOARD PRIOR TO FILING.
FORM 990, PART VI, QUESTION 12C DESCRIPTION OF PROCESS TO MONITOR TRANSACTIONS FOR CONFLICT OF INTEREST CONFLICT OF INTEREST STATEMENTS ARE GIVEN TO TRUSTEES, OFFICERS, 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, DIRECTOR OF ACCOUNTING, AND THE SENIOR DIRECTOR, SPONSORED RESEARCH, WITH A SUMMARY OF THE REVIEW PROVIDED TO THE VP FINANCE/CONTROLLER AND 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, DIRECTOR OF ACCOUNTING, THE SENIOR DIRECTOR, SPONSORED RESEARCH, VP FINANCE/CONTOLLER, 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/ENFORCEMENT MECHANISM: REVIEWING MANAGEMENT AND THE AUDIT COMMITTEE ARE RESPONSIBLE FOR MANAGING, REDUCING, OR ELIMINATING REAL OR POTENTIAL CONFLICTS OF INTEREST. EXAMPLES OF CONDITIONS OR RESTRICTIONS THAT MIGHT BE IMPOSED TO MANAGE, REDUCE, OR ELIMIATE 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.
FORM 990, PART VI, QUESTION 15A AND 15B PROCESS USED TO DETERMINE COMPENSATION COMPENSATION FOR THE CEO, THE PRESIDENT, THE EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/CHIEF ADMINISTRATIVE OFFICER, AND OTHER KEY EMPLOYEES IS ESTABLISHED ACCORDING TO INSTITUTE POLICIES WHICH ARE DESIGNED TO MEET THE IRS STANDARD FOR "REBUTTABLE PRESUMPTION OF REASONABLENESS". THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES, CONSISTING OF THREE INDEPENDENT TRUSTEES, REVIEWS COMPARABILITY DATA PROVIDED BY AN INDEPENDENT EXTERNAL CONSULTANT THAT INCORPORATES AND EVALUATES INSTITUTE DATA AND THAT OF COMPARABLE ORGANIZATIONS AND MARKETS FROM WHICH THE INSTITUTE DRAWS ITS EXECUTIVE TALENT. UTILIZING THIS STUDY WHICH INCLUDES THE CONSULTANT'S OPINION ON THE "REASONABLENESS" OF THE PROPOSED COMPENSATION, THE COMPENSATION COMMITTEE, WHICH TYPICALLY SEEKS TO ESTABLISH COMPENSATION BETWEEN THE 50TH AND THE 75TH PERCENTILE OF THE COMPARABILITY DATA, MAKES A DETERMINATION WHETHER THE PROPOSED COMPENSATION IS REASONABLE. IF THE PROPOSAL IS DEEMED TO BE REASONABLE, THE COMPENSATION COMMITTEE CONTEMPORANEOUSLY AND ADEQUATELY DOCUMENTS THE BASIS FOR ITS DETERMINATION AND THEN MAKES A RECOMMENDATION TO THE EXECUTIVE COMMITTEE. IF THE PROPOSAL IS DEEMED REASONABLE BY THE EXECUTIVE COMMITTEE, THE COMPENSATION COMMITTEE PRESENTS ITS FINDINGS AND RECOMMENDATIONS TO THE BOARD OF TRUSTEES IN EXECUTIVE SESSION. IF APPROVED BY THE BOARD OF TRUSTEES, THE PROPOSAL IS THEN IMPLEMENTED AND SUCH DOCUMENTATION IS KEPT IN THE WRITTEN OR ELECTRONIC RECORDS OF THE BOARD OF TRUSTEES. THE PROCESS WAS LAST COMPLETED ON JUNE 2, 2014 FOR THE FOLLOWING POSITIONS: 1) INTERIM CEO/PRESIDENT 2) EXECUTIVE VICE PRESIDENT/CAO/CFO/TREASURER 3) SVP EXTERNAL RELATIONS 4) SVP DRUG DISCOVERY & DEVELOPMENT 5) SCIENTIFIC DIRECTOR/PROFESSOR 6) NEUROSCIENCE & AGING AND STEM CELL RESEARCH CENTER DIRECTOR/PROFESSOR 7) CENTER DIRECTOR, LA JOLLA PROFESSOR 8) SCIENTIFIC DIRECTOR/PROFESSOR 9) INFECTIOUS & INFLAMMATORY DISEASE CENTER DIRECTOR/PROFESSOR
FORM 990, PART VI, LINE 19 AVAIL OF GOV DOCS, CONFLICT OF INTEREST POLICY & FIN STMTS TO GEN PUBLIC DOCUMENTS ARE AVAILABLE UPON REQUEST.
FORM 990, PART XI, LINE 5 OTHER CHANGES IN NET ASSETS OR FUND BALANCES UNREALIZED GAIN (LOSS) ON INTEREST RATE SWAP: 61,784
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version: