2023-11-06T15:35:08-06:00 2022-12-31 366055558 GRANT THORNTON LLP 757 THIRD AVENUE 3RD FLOOR NEW YORK NY 100172013 990 2022-01-01 112013303 COLD SPRING HARBOR LABORATORY COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 JOHN TUKE COO CHIEF OPERATING OFFICER 5163678448 2023-11-15 1 JOHN TUKE COO XXX-XX-XXXX 0 DANIEL ROMANO P00504182 2125990100 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 383255685 0 X WWW.CSHL.EDU X 1924 NY THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 32 31 1102 56 409743 21451 146346976 157942454 14464860 25106941 26102790 12380894 15379294 11930598 202293920 207360887 13828729 13795447 0 0 85843716 91149198 2000 0 1766289 70772832 79036445 170447277 183981090 31846643 23379797 1175223746 1112826649 184642323 151647906 990581423 961178743 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 0 0 118231744 13795447 737625 RESEARCH: COLD SPRING HARBOR LABORATORY (CSHL), FOUNDED IN 1890, IS A WORLD-RENOWNED, PRIVATE RESEARCH AND EDUCATION INSTITUTION WITH RESEARCH PROGRAMS IN CANCER, NEUROSCIENCE, PLANT BIOLOGY, QUANTITATIVE BIOLOGY, AND BIOINFORMATICS & GENOMICS. THE RESEARCH ENVIRONMENT IS HIGHLY COLLABORATIVE, ALLOWING CSHL SCIENTISTS TO WORK TOGETHER ACROSS DISCIPLINES TO SOLVE BIOLOGY'S MOST CHALLENGING PROBLEMS. THE ULTIMATE GOAL IS TO APPLY THIS RESEARCH ON BASIC BIOLOGICAL MECHANISMS TO IMPROVE THE DIAGNOSIS AND TREATMENT OF CANCER, NEUROLOGICAL DISORDERS AND OTHER DISEASES. (SEE SCHEDULE O)(CONTINUED FROM PART III)RESEARCH AT THE LABORATORY IS ENRICHED BY COLLABORATIONS WITH SCIENTISTS AT OTHER UNIVERSITIES, HOSPITALS AND IN THE BIOTECH AND PHARMACEUTICAL SECTORS. THESE PARTNERINGS HAVE INCLUDED NYU, MEMORIAL SLOAN-KETTERING, WEILL CORNELL AND HARVARD. THE INNOVATIVE SPIRIT, VISION AND TALENT OF THE LABORATORY'S OVER 600 SCIENTISTS CONTINUE TO PLACE CSHL AMONG THE TOP 1% OF LIFE SCIENCE INSTITUTIONS MOST CITED IN PUBLISHED RESEARCH. THE LABORATORY HAS BEEN A NATIONAL CANCER INSTITUTE-DESIGNATED CANCER CENTER WITH AN NCI "OUTSTANDING" RATING. IT HAS BEEN HOME TO EIGHT NOBEL LAUREATES, INCLUDING BARBARA MCCLINTOCK, DISCOVERER OF THE "JUMPING GENES". THE LABORATORY OFFERS AN ADVANCED DRUG TESTING FACILITY DELIVERING WELL-VALIDATED DRUG CANDIDATES TO BOTH THE BIOTECH AND PHARMACEUTICAL INDUSTRY. SINCE 2015, CSHL HAS HAD AN AFFILIATION WITH NORTHWELL HEALTH, THE AFFILIATION HAS LAUNCHED NEW EDUCATION INITIATIVES, EXPANDED ACCESS TO CLINICAL TRIALS, AND PROVIDED FUNDING FOR NEW INVESTIGATIONS THAT WILL HAVE A RAPID IMPACT IN THE CLINIC. TOGETHER, CSHL AND NORTHWELL HEALTH ARE COMMITTED TO BRINGING OUR DISCOVERIES OUT OF THE LAB AND TO THE PATIENTS. AS A TEAM, WE ARE POISED TO IDENTIFY NEW CANCER DIAGNOSTICS AND THERAPEUTICS THAT WILL MORE EFFECTIVELY AND RAPIDLY TREAT CANCER THAN EVER BEFORE. 18122471 0 11668609 EDUCATIONAL MEETINGS & COURSES PROGRAM: CSHL'S REPUTATION AS ONE OF THE PREMIER HUBS OF ACTIVITY IN BIOLOGY AND GENETICS IS LINKED TO ITS MEETINGS AND COURSES PROGRAM. WITH ROOTS IN THE LEGENDARY ANNUAL SYMPOSIA IN QUANTITATIVE BIOLOGY SERIES, WHICH BEGAN IN 1933, THE PROGRAM ORGANIZES MORE THAN 60 MEETINGS AND COURSES ANNUALLY, COVERING A WIDE RANGE OF TOPICS IN THE BIOLOGICAL SCIENCES. IN 2022, THE PROGRAM CONTINUED TO SUCCESSFULLY HOLD VIRTUAL MEETINGS AND COURSES ATTRACTING CLOSE TO 15,000 PARTICIPANTS. (SEE SCHEDULE O)(CONTINUED FROM PART III)PARTICIPANTS RANGE FROM THE MOST ACCOMPLISHED SENIOR INVESTIGATORS TO GRADUATE STUDENTS AND POSTDOCS. PROGRAMS ARE PUT TOGETHER ON THE BASIS OF OPENLY SUBMITTED ABSTRACTS AND INCLUDE DISCUSSIONS OF UNPUBLISHED WORK. CSH ASIA, A CSHL-STYLED MEETING PROGRAM, BEGAN IN 2009, AND CONTINUES TO OPERATE IN SUZHOU, CHINA. 10008358 0 9389318 PUBLICATIONS: WITH ORIGINS IN THE 1930'S, CSHL PRESS ENHANCES THE LABORATORY'S EDUCATIONAL MISSION BY PUBLISHING ORIGINAL WORK THAT ASSISTS IN THE ADVANCE AND SPREAD OF SCIENTIFIC KNOWLEDGE. SALE OF ITS PUBLICATIONS ENHANCES THE LABORATORY'S INTERNATIONAL REPUTATION FOR EXCELLENCE. THE PRESS PUBLISHES RESEARCH AND REVIEW JOURNALS, BOOKS, MANUALS, PRIMERS AND OTHER INFORMATION SOURCES, IN ELECTRONIC AND PRINT FORM. IN 2022, THE PRESS PUBLISHED 288 PRINT BOOKS, INCLUDING 8 NEW TITLES. THE PRESS ALSO PRODUCES 3 PRINT/ONLINE JOURNALS, 4 ONLINE ONLY JOURNALS AND 2 NO-CHARGE JOURNALS. 6420235 0 3311389 OTHER PROGRAMS SCHOOL OF BIOLOGICAL SCIENCES: THE CSHL SCHOOL OF BIOLOGICAL SCIENCES (SBS) TRAINS THE NEXT GENERATION OF BIOLOGISTS, OFFERING A PH.D. IN BIOLOGY IN AS LITTLE AS 4 YEARS TO A LIMITED NUMBER OF ACCOMPLISHED STUDENTS (APPROXIMATELY 50) DRAWN FROM AROUND THE WORLD. THE CURRICULUM IS DESIGNED TO TRAIN SELF-CONFIDENT, SELF-RELIANT YOUNG SCIENTISTS TO BECOME SCHOLARS AND TO ACQUIRE THE KNOWLEDGE THAT THEIR RESEARCH AND FUTURE CAREERS DEMAND. OUR GRADUATES ARE WELL PREPARED TO ENTER A WIDE ARRAY OF CAREERS THAT INCLUDE ACADEMIC RESEARCH, BIOTECH, PHARMA, CONSULTING, AND PUBLISHING. STUDENTS AT CSHL EXPLORE CAREER OPTIONS AND ACQUIRE PROFESSIONAL SKILLS THROUGH SEVERAL MEANS, SUCH AS THE CAREER AND SKILLS DEVELOPMENT COURSE, THE CAREER DIRECTIONS SERIES AND THE BIOSCIENCE ENTERPRISE CLUB. THE SCHOOL OF BIOLOGICAL SCIENCES PROVIDES STUDENTS WITH OPPORTUNITIES FOR EXPERIENTIAL LEARNING AND INTERNSHIPS. BANBURY CENTER: BANBURY CENTER, LOCATED ON THE GROUNDS OF THE HISTORIC ROBERTSON HOUSE, PROVIDES OPPORTUNITIES FOR SCIENTISTS AND OTHER LEADERS IN SOCIETY TO DISCUSS TOPICS OF COMMON INTEREST. APPROXIMATELY TWENTY MEETINGS ARE ORGANIZED EACH YEAR, FOR GROUPS BETWEEN 20-30 PARTICIPANTS. THE CONFERENCES ARE RECOGNIZED INTERNATIONALLY AS BEING AMONG THE WORLD'S BEST DISCUSSION WORKSHOPS FOR TOPICS IN MOLECULAR BIOLOGY, MOLECULAR GENETICS, HUMAN GENETICS, NEUROSCIENCE AND SCIENCE POLICY.DNA LEARNING CENTER:THE DNA LEARNING CENTER (DNALC) HAS A MAJOR IMPACT NOT ONLY IN THE NEW YORK METROPOLITAN AREA, BUT ALSO GLOBALLY IN PIONEERING PUBLIC SCIENCE EDUCATION FOR THE GENOME AGE. WITH TEACHING FACILITIES ON LONG ISLAND AND NEW YORK CITY, IT BRINGS A HANDS-ON APPROACH TO LEARNING ABOUT BIOLOGY AND GENOMES TO CLASSROOMS AND HOMES OF CHILDREN IN PRIMARY SCHOOLS, MIDDLE SCHOOLS AND HIGH SCHOOLS. RENOWNED FOR DEVISING MEANS FOR YOUNG PEOPLE, TEACHERS AND PARENTS TO CONDUCT SOPHISTICATED EXPERIMENTS WITH DNA, THE DNALC ALSO HAS A ROBUST PRESENCE ON THE INTERNET, POWERED BY A TEAM OF MULTIMEDIA INNOVATORS WHO BRING KNOWLEDGE OF THE LIFE SCIENCES TO COMPUTER, TABLET AND CELL PHONE USERS. 6420235 0 3311389 152782808 1 1 0 1 0 0 1 0 0 1 1 1 0 0 1 1 0 1 0 1 1 1 0 1 1 0 0 1 0 1 1 1 0 0 0 0 1 0 1 0 0 1 0 0 0 1 1 1 1 0 0 1 357 0 1 1102 1 1 1 1 CH 0 0 0 1 1 0 0 0 0 1 0 X 32 31 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 NY X X JOHN TUKE COO 5163675200 PO BOX 100 ONE BUNGTOWN RD COLD SPRING HARBOR NY 11724 BRUCE STILLMAN PHD CEO AND TRUSTEE 39.00 1.00 X X 855081 0 226671 THOMAS A SAUNDERS III TRUSTEE (UNTIL 11/2022) 40.00 0.00 X 0 0 0 DOUGLAS SCHLOSS TRUSTEE 1.00 0.00 X 0 0 0 LALIT R BAHL PHD TRUSTEE 1.00 0.00 X 0 0 0 JOANNE BERGER-SWEENEY PHD TRUSTEE 1.00 0.00 X 0 0 0 DAVID BOIES TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL R BOTCHAN PHD TRUSTEE 1.00 0.00 X 0 0 0 CHARLES I COGUT VICE CHAIRMAN 1.00 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23813847 19829724 16810699 17807985 103172925 710200 784334 260537 595563 913516 3264150 932627923 101842765 0.68620 0.69670 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2018 AMOUNT: $ 78,126. 2019 AMOUNT: $ 98,723. 2020 AMOUNT: $ 81,364. 2021 AMOUNT: $ 117,564. 2022 AMOUNT: $ 121,296. EMPLOYEE DINING - 2018 AMOUNT: $ 356,902. 2019 AMOUNT: $ 384,779. 2020 AMOUNT: $ 166,513. 2021 AMOUNT: $ 223,284. 2022 AMOUNT: $ 381,270. SPECIAL EVENTS - 2018 AMOUNT: $ 275,172. 2019 AMOUNT: $ 300,832. 2020 AMOUNT: $ 12,660. 2021 AMOUNT: $ 254,715. 2022 AMOUNT: $ 410,950. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 48000 0 0 48000 0 X X 3 125.00 1 1 0 100.00 3500 0 646443635 23702734 -65337084 25216521 2629295 576963469 589158140 8845940 74093666 22999600 2654511 646443635 545182919 5701836 61596613 20960131 2363097 589158140 427614703 66086909 74216987 20375537 2360143 545182919 411317208 53579680 -18331605 16066216 2884364 427614703 0.71000 0.19000 0.10000 0 1 1 31688080 31688080 346524170 137995244 208528926 18329690 1766539 16563151 112397235 89630841 22766394 25003840 365630 24638210 304184761 MULTI-STRATEGY 98879370 F LONG/SHORT EQUITY 220891369 F INTERNATIONAL EQUITY 71412619 F EMERGING MARKETS 18474962 F PRIVATE EQUITY 6065157 F 415723477 INTEREST RATE SWAP 12586718 OTHER NOTES PAYABLE 657951 13244669 X PART II, LINE 9: CONSERVATION EASEMENTS THE LABORATORY INCLUDES ANY EXPENSES FROM THE CONSERVATION EASEMENTS IN ITS GENERAL EXPENSES. THE EASEMENTS DO NOT GENERATE ANY OTHER MATERIAL EXPENSES OR LIABILITIES AND ARE THEREFORE NOT SEPARATELY DISCLOSED IN THE NOTES TO THE FINANCIAL STATEMENTS. PART V, LINE 4: ENDOWMENT FUNDS THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 175 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, OPERATIONS AND FACILITIES COST. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. PART X, LINE 2: FIN 48 THE LABORATORY AND ROBERTSON ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THEY ARE NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT THERE IS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO THE EXEMPT PURPOSES. THE LABORATORY RECEIVES INCOME FROM UNRELATED ACTIVITIES, INCLUDING ADVERTISING INCOME ON ITS JOURNALS AND VARIOUS ALTERNATIVE INVESTMENT VEHICLES. THE LABORATORY RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. CSH ASIA WAS ESTABLISHED AS A TAXABLE ORGANIZATION IN CHINA. PROVISIONS FOR BOTH LOCAL AND UNRELATED BUSINESS INCOME TAXES ARE INCLUDED IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES IN 2022 AND 2021 CONSOLIDATED BALANCE SHEETS. THE LABORATORY ESTIMATED UNRELATED BUSINESS INCOME TAX EXPENSE OF $4,800 IN 2022 AND PAID $2,500 IN 2021. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 194479838 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SCIENTIFIC CONFERENCE 1012621 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 71925675 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 1513 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 267970 0 0 0 0 0 0 267687617 0 267687617 EAST ASIA/PACIFIC RESEARCH 267970 WIRE 0 1 1 0 1 1 1 0 PART I, LINE 2: SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF SINGLE AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS. CONSIDERATON OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COST CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL SINGLE AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET SINGLE AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE SINGLE AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS TO CSHL'S RECORDS ARE NEEDED. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE SINGLE AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. PART III ACCOUNTING METHOD: X X X X X X X 0 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI AWARD DINNER 5792224 5676374 115850 66488 106630 2800 GOLF OUTING 479885 281305 198580 2500 86735 58510 2 356081 259561 96520 55304 6628190 6217240 410950 2500 153223 220444 2800 378967 31983 1 ALBERT EINSTEIN COLLEGE OF MEDICINE 1300 MORRIS PARK AVE BRONX NY 10461 131624225 501(C)(3) 41098 0 BOOK VALUE RESEARCH ALLEN INSTITUTE FOR BRAIN 551 N 34TH STREET SEATTLE WA 98103 912155317 501(C)(3) 384318 0 BOOK VALUE RESEARCH BOYCE THOMPSON INSTITUTE 533 TOWER ROAD ITHACA NY 14853 131739923 501(C)(3) 101784 0 BOOK VALUE RESEARCH CALIFORNIA INST OF TECHNOLOGY 1200 E CALIFORNIA BLVD M/C 359-86 PASADENA CA 91125 951643307 501(C)(3) 109363 0 BOOK VALUE RESEARCH COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10087 135598093 501(C)(3) 114774 0 BOOK VALUE RESEARCH DUKE UNIVERSITY 2138 CAMPUS DRIVE DURHAM NC 27708 560532129 501(C)(3) 783591 0 BOOK VALUE RESEARCH FEINSTEIN INSTITUTE FOR MEDICAL RESEARCH 350 COMMUNITY DRIVE MANHASSET NY 11030 112673595 501(C)(3) 103952 0 BOOK VALUE RESEARCH HARVARD UNIVERSITY 16 DIVINITY AVENUE CAMBRIDGE MA 02138 042103580 501(C)(3) 1646395 0 BOOK VALUE RESEARCH THE MOUNT SINAI SCHOOL OF MEDICINE 1 GUSTAVE L LEVY PLACE NEW YORK NY 10029 136171197 501(C)(3) 243200 0 BOOK VALUE RESEARCH JACKSON LABORATORY 600 MAIN STREET BAR HARBOR ME 04609 010211513 501(C)(3) 458186 0 BOOK VALUE RESEARCH JOHN HOPKINS UNIVERSITY 1101 E 33RD STREET BALTIMORE MD 21218 520595110 501(C)(3) 269677 0 BOOK VALUE RESEARCH MASSACHUSETTS INSTITUTE OF TECHNOLOGY PO BOX 3972 BOSTON MA 02241 042103594 501(C)(3) 583380 0 BOOK VALUE RESEARCH MEMORIAL SLOAN-KETTERING PO BOX 26338 NEW YORK NY 10087 912154267 501(C)(3) 605199 0 BOOK VALUE RESEARCH NEW YORK GENOME CENTER INC 101 AVENUE OF THE AMERICAS 7TH FL NEW YORK NY 10013 800631734 501(C)(3) 593250 0 BOOK VALUE RESEARCH NEW YORK UNIVERSITY PO BOX 5166 NEW YORK NY 10087 135562308 501(C)(3) 58075 0 BOOK VALUE RESEARCH NORTHWELL HEALTH 972 BRUSH HOLLOW ROAD WESTBURY NY 11590 451004103 501(C)(3) 465890 0 BOOK VALUE RESEARCH NYU SCHOOL OF MEDICINE 550 1ST AVE NEW YORK NY 10016 135562308 501(C)(3) 316816 0 BOOK VALUE RESEARCH OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 973391086 936022772 501(C)(3) 38385 0 BOOK VALUE RESEARCH PRINCETON UNIVERSITY PO BOX 5292 PRINCETON NJ 08544 210634501 501(C)(3) 47753 0 BOOK VALUE RESEARCH PURDUE UNIVERSITY 22612 NETWORK PLACE CHICAGO IL 606731226 356002041 501(C)(3) 59681 0 BOOK VALUE RESEARCH THE STATE UNIVERSITY OF NJ RUTGERS 102 RYDERS LANE NEW BRUNSWICK NJ 08901 226001086 501(C)(3) 294196 0 BOOK VALUE RESEARCH THE BROAD INSTITUTE INC 415 MAIN STREET CAMBRIDGE MA 02142 263428781 501(C)(3) 4654258 0 BOOK VALUE RESEARCH THE NEW YORK BOTANICAL GARDENS 2900 SOUTHERN BLVD BRONX NY 10458 131693134 501(C)(3) 107284 0 BOOK VALUE RESEARCH RESEARCH FOUNDATION OF SUNY W-5510 MELVILLE LIBRARY STONY BROOK NY 117943366 141368361 501(C)(3) 114355 0 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA BERKELEY 481 UNIVERSITY HALL BERKELEY CA 94720 194600212 501(C)(3) 102976 0 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA DAVIS 1 SHIELDS AVENUE DAVIS CA 95616 946036494 501(C)(3) 159657 0 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE MC 0009 LA JOLLA CA 92093 956006144 501(C)(3) 266069 0 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA LOS ANGELES 220 WESTWOOD PLAZA LOS ANGELES CA 90095 956006143 501(C)(3) 372574 0 BOOK VALUE RESEARCH UNIVERSITY OF MASSACHUSETTS 97 CARLSON AVE NEWTON MA 02459 043167352 501(C)(3) 126755 0 BOOK VALUE RESEARCH UNIVERSITY OF MISSOURI 4011 DISCOVERY DRIVE COLUMBIA MO 65201 436003859 501(C)(3) 174035 0 BOOK VALUE RESEARCH WEILL CORNELL MEDICAL COLLEGE 100 BROADWAY 8TH FLOOR NEW YORK NY 10005 133376695 501(C)(3) 5807 0 BOOK VALUE RESEARCH STATE UNIVERSITY OF NEW YORK- BINGHAMTON PO BOX 6000 BINGHAMTON NY 13902 146013200 501(C)(3) 120677 0 BOOK VALUE RESEARCH 32 PART I, LINE 2: SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND THE OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS. - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS, CONSIDERATION OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $XXX OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. X X X 1 1 X X X X X X 0 1 0 0 0 0 0 1 0 BRUCE STILLMAN PHD CEO AND TRUSTEE 772191 0 50000 0 32890 0 107450 0 119221 0 1081752 0 0 0 JOHN TUKE CHIEF OPERATING OFFICER 506736 0 0 0 42389 0 67631 0 42287 0 659043 0 0 0 DAVID SPECTOR DIRECTOR OF RESEARCH 452650 0 0 0 27259 0 59519 0 28981 0 568409 0 0 0 DAVID TUVESON SCIENTIST 421500 0 0 0 4078 0 37371 0 20990 0 483939 0 0 0 MICHAEL WIGLER SCIENTIST 406938 0 0 0 10514 0 37371 0 28496 0 483319 0 0 0 CHARLES V PRIZZI SENIOR VP ADVANCEMENT 400268 0 0 0 6848 0 37371 0 30988 0 475475 0 0 0 ANTHONY ZADOR SCIENTIST 346698 0 0 0 35554 0 37371 0 30118 0 449741 0 0 0 NICHOLAS TONKS SCIENTIST 364900 0 0 0 11912 0 37371 0 20855 0 435038 0 0 0 SCOTT QUEHL CHIEF FINANCIAL OFFICER 335417 0 0 0 61638 0 0 0 18430 0 415485 0 0 0 WALTER GOLDSCHMIDTS VP, SPONSORED PROGRAMS 320002 0 15000 0 4668 0 37371 0 30178 0 407219 0 0 0 STEPHEN MONEZ VP CHIEF FACILITIES OFFICER 288915 0 8000 0 24978 0 36584 0 29306 0 387783 0 0 0 PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. THE FOLLOWING PAYMENTS WERE MADE IN 2022: BRUCE STILLMAN-$70,079 JOHN TUKE-$30,260 DAVID SPECTOR-$22,148 PART I, LINE 7 THE FOLLOWING BONUSES WERE PAID FOR OUTSTANDING PERFORMANCE: BRUCE STILLMAN-$50,000 WALTER GOLDSCHMIDTS-$15,000 STEPHEN MONEZ-$8,000 PART II, COLUMN B (III) OTHER REPORTABLE COMPENSATION OF DR. BRUCE STILLMAN INCLUDES CLUB DUES AND THE TAXABLE PORTION OF A GROUP TERM LIFE POLICY. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. PART II, COLUMN D ADDITIONAL DISCLOSURE COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN WITH A HOME ON ITS CAMPUS AND REQUIRES IT TO BE USED AS A CONDITION OF HIS EMPLOYMENT. THE PRESIDENT NEEDS TO BE AVAILABLE TO RESPOND 24/7 TO ANY LABORATORY EMERGENCY. THE PRESIDENT'S HOME IS AVAILABLE FOR VISITING SCIENTISTS AND SPECIAL EVENTS. THE NON-TAXABLE VALUE OF THE HOME ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D. A NASSAU COUNTY IDA 112559657 631657JS3 2006-06-27 55000000 CONSTRUCTION OF RESEARCH BLDG 0 0 0 A 55000000 739727 1003854 52709095 547324 2009 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 A 1 1 1 JP MORGAN 35.000000000000 0 0 1 PALLAS CAPITAL 1.800000000000 1 1 0 A 0 SCHEDULE K, PART II, LINE 11: IDA FEE. NYS BOND ISSUANCE CHARGE, AND TITLE INSURANCE $547,324 SCHEDULE K, PART V: THE ORGAINZATION HAS NOT 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, THE ORGANIZATION DOES COMPLY WITH THE REQUIRMENTS. CHARLES PRIZZI VP, DEV. MORTGAGE X 400000 244698 0 1 1 244698 DAVID SPECTOR SEE PART V 201566 SEE PART V 0 JOHN TUKE SEE PART V 352386 SEE PART V 0 PART IV, COLUMN(B) BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS - IN 1996, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR DAVID SPECTOR (A THEN NON-KEY EMPLOYEE). IN 2007, MR. SPECTOR WAS PROMOTED TO DIRECTOR OF RESEARCH, A KEY POSITION.- IN 2018, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR JOHN TUKE, CHIEF OPERATING OFFICER, A KEY POSITION.PART IV, COLUMN(B)- JOINT INVESTMENT IN RESIDENCE X 13 1183746 MEAN VALUE 0 1 0 FORM 990, PART VI, SECTION B, LINE 11B 990 REVIEW THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE CFO THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, WITH ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO GRANT THORNTON, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT AND RISK COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL OFFICERS, TRUSTEES AND KEY PERSONNEL TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER AND THE OFFICE OF THE GENERAL COUNSEL FOR OFFICERS, TRUSTEES AND KEY PERSONNEL AND THE CONFLICT OF INTEREST AND COMPLIANCE COORDINATOR AND THE OFFICE OF THE GENERAL COUNSEL FOR SENIOR STAFF. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITEE OF THE BOARD OF TRUSTEES UPON RECOMMENDATION OF THE COMPENSATION REVIEW AND ADVISORY SUB-COMMITTEE. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMPENSATION REWIEW AND ADVISORY SUB-COMMITTEE, WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE SUB-COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION BY THE COMPENSATION REVIEW AND ADVISORY SUB-COMMITTEE AND THE EXECUTIVE COMMITTEE IS MAINTAINED BY THE VP OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS FOR PUBLIC INSPECTION AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU. FORM 990, PART XI, LINE 9: CHANGE IN FAIR VALUE OF INTEREST RATE SWAP 21,327,803. FAMILY THEATER LLC 1 BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 112013303 INVESTMENT NY 115690 0 CSHL ROBERTSON RESEARCH FUND INC PO BOX 100 COLD SPRING HARBOR NY 11724 237224244 SUPPORT DE 501(C)(3) LINE 11 CSHL 1 COLD SPRING HARBOR LABORATORY ASSOC PO BOX 100 COLD SPRING HARBOR NY 11724 111631792 SUPPORT NY 501(C)(3) LINE 11 N/A 0 COLD SPRING HARBOR ASIA (SIP) LTD 218 XIN HU ST SUZHOU CH 215125 SCIENTIFIC CO CH N/A C 1216864 3364294 1.00000 1 CHARITABLE REMAINDER TRUST(2) INVESTMENT NY CSHL T 1.00000 1 UNITRUST(1) INVESTMENT MA CSHL T 0.25000 0 CHARITABLE REMAINDER TRUST(1) INVESTMENT WI CSHL T 1.00000 1 DEPYMED IND 800 THIRD AVE 11TH FLOOR NEW YORK NY 10022 SCIENTIFIC CO NY N/A C 0.32150 0 0 0 1 0 1 0 0 0 0 0 0 1 1 1 1 0 1 0 0 COLD SPRING HARBOR LABORATORY ASIA (SIP) LP Q 295000 CASH BASIS