2022-09-13T18:02:33-05:00 2021-10-31 271728945 PKF O'CONNOR DAVIES LLP 300 TICE BOULEVARD SUITE 315 WOODCLIFF LAKE NJ 07677 990PF 2020-11-01 133022482 THE DOROTHY RUSSELL HAVEMEYER FOUNDATION INC DORO 2126823700 60 EAST 42ND ST 40TH FLOOR NEW YORK NY 10165 GENE M PRANZO PRESIDENT 2126823700 2022-09-09 1 GENE PRANZO 999009999 EDWARD G O'CONNOR P00434443 2017129800 2022-09-09 2 AAL1 IAL1 2020 2023-04-26 12:10:37Z X 5900473 X X 3 3 3 133112 133112 133112 343945 1149576 343945 0 477060 477060 133115 280500 32400 32400 248100 12769 0 0 12769 36000 0 0 36000 115214 25674 25674 89540 3433 0 0 3433 35 0 0 35 66229 0 0 67727 514180 58074 58074 457604 0 0 514180 58074 58074 457604 -37120 418986 75041 26828 22864 22864 243799 239166 239166 3503 3503 3503 2592559 3336971 3336971 2485540 2269063 2269063 27218 28906 28906 5379447 5900473 5900473 7724 6226 7724 6226 X 5371723 5894247 5371723 5894247 5379447 5900473 5371723 -37120 559644 5894247 0 5894247 PUBLICLY TRADED SECURITIES - NORTHERN TRUST P 1149576 805631 343945 343945 343945 0 5824 0 5824 0 5824 3600 0 2800 0 6400 30 546 546 0 0 0 0 0 0 0 0 0 0 0 1 1 NY 1 1 0 0 0 1 N/A FOUNDATION 2126823700 60 EAST 42ND ST 40TH FL NEW YORK NY 10165 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 GENE M PRANZO 60 EAST 42ND ST 40TH FLOOR NEW YORK NY 10165 PRESIDENT 8.25 270000 0 0 MELANIE G TENNEY 60 EAST 42ND ST 40TH FLOOR NEW YORK NY 10165 VICE PRESIDENT 1.00 10500 0 0 NONE 0 NONE 0 WORKSHOPS- SEE STATEMENT 10 167833 RESEARCH PROJECTS - SEE STATEMENT 10 96250 SUMMER FELLOWSHIP PROGRAMS - SEE STATEMENT 10 81450 0 5381341 358010 0 5739351 0 0 5739351 86090 5653261 282663 X 457604 0 457604 0 457604 X 75041 116862 163949 171378 527230 63785 99333 139357 145671 448146 457604 505314 548565 459738 1971221 0 0 0 0 0 457604 505314 548565 459738 1971221 0 0 188442 177499 187630 197765 751336 0 0 0 0 X 0 0 14 3 14 133112 18 343945 0 477060 0 477060 0 0 0 0 0 0 0 0 0 0 PKF O'CONNOR DAVIES, LLP 36000 0 0 36000 SUMMARY OF DIRECT CHARITABLE ACTIVITIES: FORM 990-PF, PART IX-A: INTRODUCTION AND OVERVIEW:THE DOROTHY RUSSELL HAVEMEYER FOUNDATION, INC. IS A PRIVATE OPERATING FOUNDATION, INCORPORATED IN THE STATE OF NEW YORK IN 1979. THE FOUNDER AND SOLE CONTRIBUTOR WAS DOROTHY HAVEMEYER MCCONVILLE, ALSO KNOWN AS DOROTHY RUSSELL HAVEMEYER, WHO DIED A RESIDENT OF NAPLES, FLORIDA, IN 1985. THE FOUNDATION DOES NOT MAKE GRANTS TO INDIVIDUALS. THE FOUNDATION CONDUCTS SCIENTIFIC RESEARCH IN AN EFFORT TO IMPROVE THE GENERAL HEALTH AND WELFARE OF THE HORSE, CURRENTLY FOCUSING ON EQUINE NEONATAL AND GERIATRIC ILLNESSES, BEHAVIOR AND GENETICS INCLUDING SEQUENCING AND CONTINUED EFFORTS TO ACHIEVE THE EXPANSION OF THE APPLICATION OF THE EQUINE GENETIC MAP.THE FOUNDATION CONDUCTS THE FOLLOWING EXEMPT PROGRAMS:1. FOUNDATION RESEARCH PROJECTS: THE FOUNDATION'S SCIENTIFIC RESEARCH IS UNDER THE GENERAL DIRECTION AND SUPERVISION OF ITS PRESIDENT, WHO IS ADVISED BY THE FOUNDATION'S SCIENTIFIC ADVISER. THE PRESIDENT COORDINATES THE FOUNDATION'S RESEARCH BY THE SELECTION OF RESEARCH PROJECTS. EACH RESEARCH PROJECT IS CONDUCTED BY A PRINCIPAL INVESTIGATOR. THE FOUNDATION PRESENTLY HAS AGREEMENTS WITH THREE (3) INSTITUTIONS FOR THE CONDUCT OF ITS RESEARCH PROJECTS. AN INSTITUTION CANNOT CHANGE THE PRINCIPAL INVESTIGATOR FOR A RESEARCH PROJECT WITHOUT THE FOUNDATION'S CONSENT. THE FOUNDATION'S PRESIDENT MONITORS THE PROGRESS OF THE RESEARCH PROJECTS THROUGH ON-SITE VISITS. HE CONSULTS WITH THE PRINCIPAL INVESTIGATORS TO DETERMINE WHEN IT IS APPROPRIATE TO CONDUCT A WORKSHOP OR PUBLISH FINDINGS IN CONNECTION WITH A RESEARCH PROJECT. THE PRESIDENT CONVENES A CONFERENCE OF THE PRINCIPAL INVESTIGATORS AS REQUIRED. THE PURPOSES OF THE CONFERENCE INCLUDE REVIEW OF THE EFFORTS OF THE FOUNDATION TO SERVE ITS MISSION, HAVING AN EXCHANGE OF IDEAS, REVIEW STATUS OF ALL RESEARCH PROJECTS, CONSIDER RECOMMENDATIONS FOR FUTURE WORKSHOPS AND POSSIBLE ORGANIZERS OF SAME, AND CONSIDER RECOMMENDATIONS FOR ADDITIONAL RESEARCH PROJECTS AND PRINCIPAL INVESTIGATORS. THE PRESIDENT BY DIRECTION OF THE BOARD OF DIRECTORS ATTENDS MANY OF THE WORKSHOPS THIS ALLOWS HIM TO AUDIT THE QUALITY OF PRESENTATIONS, THE INTEREST LEVEL IN THE AREA OF RESEARCH TO WHICH THE WORKSHOP IS DEDICATED AS WELL BEING AWARE OF THE NUMBER AND SPECIFIC AREAS OF COLLABORATION. THE RESEARCH PROJECTS ARE DESCRIBED IN DETAIL BELOW.2. FOUNDATION WORKSHOPS: THE PRESIDENT, ON BEHALF OF THE FOUNDATION, REVIEWS PROPOSALS FOR AND CONDUCTS WORKSHOPS ORGANIZED BY ITS PRINCIPAL INVESTIGATORS ON SCIENTIFIC RESEARCH IN THE AREAS OF THE FOUNDATION'S RESEARCH PROJECTS, CONSIDER NEW AREAS OF RESEARCH AND WHETHER TO PURSUE SUCH AS A NEW RESEARCH PROJECT OR IN WORKSHOP FORMAT, AND INTERVIEWS CANDIDATES TO ORGANIZE FUTURE WORKSHOPS. FROM TIME TO TIME THE BOARD OF DIRECTORS HAS AGREED TO CONDUCT A WORKSHOP IN PARTNERSHIP WITH INDUSTRY. THE MOST RECENT OF SUCH WAS THE GERIATRIC II/ ENDOCRINE SUMMIT IN CORAL GABLES, FLORIDA IN JANUARY 2017, WHEN THE FOUNDATION PARTNERED WITH BOEHRINGER INGELHEIM. THE FOUNDATION'S WORKSHOPS ARE ORGANIZED BY A PRINCIPAL INVESTIGATOR OR OTHER SCIENTIST CHAIRING THE WORKSHOP (ORGANIZER). THE ORGANIZER IS ALSO RESPONSIBLE FOR IDENTIFYING THE PROGRAM PRESENTERS, SELECTING THE VENUE, AND DETERMINING WHETHER THE PROCEEDINGS WARRANT PUBLICATION, AND IF SO, THE FORMAT SUCH PUBLICATION SHOULD TAKE. WHETHER TO PUBLISH THE ENTIRE PROCEEDINGS OR A SUMMARY THEREOF, WHICH JOURNAL IS BEST SUITED TO THE SUBJECT OF THE RESEARCH PRESENTED. THERE IS FREQUENT DEMAND FOR WORKSHOP PROCEEDINGS NO MATTER THE FORM IN WHICH THEY BECOME AVAILABLE. THE ORGANIZER WORKS CLOSELY WITH THE PRESIDENT FROM CONCEPT TO COMPLETION. THE WORKSHOPS BRING TOGETHER 25-30 SCIENTISTS IN A SPECIFIC AREA OF EQUINE RESEARCH. THE FOUNDATION'S POLICY IS TO HAVE A COMPARATIVE STUDY IN ANOTHER SPECIES PRESENTED AT EACH WORKSHOP WHENEVER POSSIBLE, AND TO REQUIRE ALL WORKSHOP ATTENDEES TO HAVE AN ABSTRACT READY FOR PRESENTATION AT THE WORKSHOP. THE FORMAT IS INFORMAL, WITH THE PARTICIPANTS SEATED AT A TABLE SET IN HORSESHOE CONFIGURATION, KNOWN AS THE "HAVEMEYER PLAN." THE FOUNDATION'S WORKSHOPS ARE CONSIDERED "CUTTING EDGE" PROGRAMS. THEY BRING TOGETHER THE MOST SENIOR OF RESEARCHERS AND THE YOUNGEST IN THE FIELD. ORGANIZERS ARE ENCOURAGED TO INVITE PROMISING YOUNG SCIENTISTS TO THE WORKSHOPS TO ENABLE THEM TO MEET AND WORK WITH THE CURRENT LEADERS IN THE FIELD. THIS BUILDS CONTINUITY AND HELPS TO STRENGTHEN THE PARTICULAR AREA OF RESEARCH. A NUMBER OF SUCCESSFUL COLLABORATIONS HAVE RESULTED FROM RESEARCHERS ATTENDING A FOUNDATION WORKSHOP. PROCEEDINGS THE PRESIDENT GENERALLY SUBMITS A DETAILED REPORT TO THE BOARD OF DIRECTORS OF THE FOUNDATION AFTER EACH WORKSHOP. UNFORTUNATELY, DUE TO THE PANDEMIC ALL BUT ONE WORKSHOP SCHEDULED FOR THE FISCAL YEAR ENDED OCTOBER 31, 2021, WERE POSTPONED. SEVERAL HAVE HAD TO DEAL WITH NEGOTIATING A SECOND POSTPONEMENT.3. FOUNDATION MONOGRAPH SERIES. DEMAND HAS ALWAYS BEEN GREAT FOR THE PROCEEDINGS OF THE FOUNDATION'S WORKSHOPS. IT HAS SOMETIMES BEEN DIFFICULT TO MEET THE REQUESTS. IN AN EFFORT TO MEET SUCH DEMAND, THE MONOGRAPH SERIES, A NON- PEER REVIEWED PUBLICATION, WAS INITIATED BY THE FOUNDATION'S BOARD OF DIRECTORS IN THE FISCAL YEAR ENDED OCTOBER 31, 2001. THE COST OF PUBLICATION WOULD BE BORNE BY THE FOUNDATION AND WOULD BE IN ADDITION TO THE BUDGET SET FOR THE WORKSHOP. THE WORKSHOP ORGANIZER, AT AN EARLY POINT IN PLANNING, WOULD DECIDE WHETHER THERE WILL BE A MONOGRAPH FOR THE WORKSHOP HE OR SHE WILL ORGANIZE. IF THE DECISION WAS TO PUBLISH A MONOGRAPH, THEN ALL PRESENTERS MUST SUBMIT AN EXPANDED ABSTRACT OF NO MORE THAN 1400 WORDS ON HIS OR HER SUBJECT. THIS MUST BE SUBMITTED PRIOR TO THE PRESENTATION AT THE WORKSHOP. IT WAS THE ORGANIZER'S DECISION TO PUBLISH A MONOGRAPH. NOT ALL WORKSHOPS WOULD LEND THEMSELVES TO THE MONOGRAPH FORM OF PUBLICATION. THIS SERIES CONSISTS OF TWENTY-ONE (21) PUBLISHED MONOGRAPHS. THE DEMAND FOR THE MONOGRAPHS HAS BEEN OVERWHELMING. THE NUMBER OF COPIES PRINTED WAS INCREASED TO MEET DEMAND. THE FOUNDATION PROVIDES COMPLIMENTARY COPIES OF MONOGRAPHS TO UNIVERSITY AND RESEARCH CENTER LIBRARIES AROUND THE WORLD. THE ENTIRE SERIES IS ALSO AVAILABLE ON THE FOUNDATION WEBSITE. THE SERIES WAS DISCONTINUED IN FEBRUARY 2006, AFTER CONCERN WAS EXPRESSED AS TO THE WARNINGS OF SEVERAL JOURNALS, THAT ANY MATERIAL PREVIOUSLY PUBLISHED IN A MANUSCRIPT OF 500 WORDS OR MORE WOULD NOT BE ACCEPTED FOR PEER REVIEW. THE DEMAND FOR THE INDIVIDUAL MONOGRAPHS CONTINUES.4. SUMMER FELLOW AND SUMMER RESEARCH ASSOCIATE PROGRAMS: THESE PROGRAMS ARE DESCRIBED IN DETAIL BELOW. THE FOUNDATION DOES NOT PARTICIPATE IN THE SELECTION OF PARTICIPANTS IN THE PROGRAMS. THE FOUNDATION'S PRESIDENT ATTENDS MANY OF THE ORAL PRESENTATIONS IN DEFENSE OF FINDINGS THAT THE FOUNDATION PROGRAMS REQUIRE THE SUMMER FELLOWS AND RESEARCH ASSISTANTS TO PREPARE.5. OTHER MAJOR PROJECTS (DESCRIBED IN DETAIL BELOW)(A) CREATION AND APPLICATIONS OF THE EQUINE GENETIC MAP (GENOME).(B) CREATION AND MAINTENANCE OF A FOUNDATION WEBSITE.(C) CONTINUING MAINTENANCE OF RESEARCH FACILITIES ESTABLISHED AT THE JAMES A. BAKER INSTITUTE FOR ANIMAL HEALTH (THE MCCONVILLE BARN FOR EQUINE RESEARCH) AND AT THE UNIVERSITY OF PENNSYLVANIA, NEW BOLTON CENTER FOR LARGE ANIMALS (THE HAVEMEYER BARN FOR EQUINE BEHAVIOR RESEARCH). THE HAVEMEYER BARN HAS UNDERGONE EXTENSIVE RESTORATION IN 201 AND AGAIN IN 2014. THE MCCONVILLE BARN WAS REPAINTED IN 2016.DETAILED DESCRIPTION OF RESEARCH AND OTHER EXEMPT PROGRAMS:CORNELL UNIVERSITY STUDY DR. DOUGLAS F. ANTCZAK, PRINCIPAL INVESTIGATOR - THIS INVOLVES A CONTINUING PROJECT ENTITLED "IMMUNOLOGY AND EQUINE GENETIC SYSTEMS." THE PRINCIPAL INVESTIGATOR IS RESEARCHING THE GENETIC IMPACT ON THE DEVELOPMENT AND IMMUNITY OF A HORSE TO DISEASE. THE CONSIDERATION OF EQUINE LEUCOCYTE ANTIGENS IS AN IMPORTANT PART OF THIS PROJECT. THIS PROJECT HAS EXPANDED TO ASSIST IN THE DEVELOPMENT OF MICROSATELLITE MARKERS TO BE USED IN PREPARATION OF AN EQUINE GENETIC MAP AND TO COMPLETE THE RADIATION HYBRID MAP (SEE GENOME PROJECT BELOW). DR. ANTCZAK IS HIGHLY REPUTED INTERNATIONALLY. HE HAS PRESENTED HIS HAVEMEYER RESEARCH DATA AROUND THE WORLD. THE PROJECT HAS DEVELOPED ADDITIONAL MICROSATELLITE MARKERS WHICH WERE PRESENTED AT THE EQUINE IMMUNOLOGY WORKSHOP CONDUCTED BY THE FOUNDATION IN JANUARY 2001 AT SANTA FE, NEW MEXICO. DR. PAUL LUNN, NOW DEAN OF THE UNIVERSITY OF LIVERPOOL SCHOOL OF VETERINARY SCIENCE, LIVERPOOL, UK, DR. DAVID HOROHOV, NOW AT THE GLUCK EQUINE RESEARCH CENTER, UNIVERSITY OF KENTUCKY, LEXINGTON, AND DR. ANTCZAK WERE THE ORGANIZERS OF THAT WORKSHOP. THE ORGANIZERS ELECTED TO PUBLISH A MONOGRAPH. THIS WAS THE THIRD WORKSHOP IN THE SERIES CONCERNING EQUINE LEUCOCYTE ANTIGENS AND THE SECOND CONDUCTED BY THE FOUNDATION (SEE BELOW FOR MORE DETAIL). DURING THE FISCAL YEAR ENDED OCTOBER 31, 2003, DR. ANTCZAK ORGANIZED A WORKSHOP ENTITLED "GENOMICS AND THE EQUINE IMMUNITY SYSTEM." A MAJOR PORTION OF THE RESEARCH FOR THIS PROJECT IS CONDUCTED IN THE DOROTHY HAVEMEYER MCCONVILLE BARN AT CORNELL UNIVERSITY, ITHACA, NEW YORK. THIS FACILITY WAS RENOVATED BY MRS. MCCONVILLE PRIOR TO HER DEATH. THE FOUNDATION MAINTAINS THE BARN'S FACILITIES, WITH ASSISTANCE FROM CORNELL UNIVERSITY, COLLEGE OF VETERINARY MEDICINE. IT IS INSPECTED FROM TIME TO TIME BY THE PRESIDENT OF THE FOUNDATION TO DETERMINE MAINTENANCE AND REPAIRS. THE BARN UNDERWENT MAJOR MAINTENANCE DURING THE FISCAL YEAR ENDED OCTOBER 31, 2006. THE THOROUGHBRED MARE TWILIGHT IS STABLED AT THE MCCONVILLE BARN. IT WAS HER DNA THAT WAS USED IN THE GENOME SEQUENCING AS DISCUSSED BELOW. DR. ANTCZAK ORGANIZED THE FOUNDATION'S 30TH ANNIVERSARY WORKSHOP CELEBRATION IN AUGUST 2011. CELEBRATING THE FOUNDATION'S FIRST WORKSHOP IN 1981. HE HAS ATTENDED AND PRESENTED AT NUMEROUS FOUNDATION WORKSHOPS. HIS MEMBERSHIP IN THE EQUINE GENETIC MAP GROUP HAS BEEN A MAJOR FACTOR IN ITS SUCCES AGILENT TECHNOLOGIES 3.875% 7/15/23 104689 104689 ANHEUSER-BUSCH 3.65% 2/1/2026 108711 108711 AON CORP 2.8% 5-15-2030 103630 103630 AVERY DENNISON CORP 2.65% DUE 04/30/2030 127212 127212 BANK AMERICA 4.100% 7/24/2023 106126 106126 BROADRIDGE FINL 3.40% 6/27/2026 107343 107343 CVS HEALTH CORP 4.1% 03-25-2025 108871 108871 DOLLAR GEN CORP NEW 4.125% 141378 141378 DUKE ENERGY 3.95% 10/15/2013 105398 105398 FEDEX CORP. 3.24% 4/1/2026 107692 107692 GOLDMANSACHS 3.625% 1/22/2023 155486 155486 HEWLETT PACKARD 4.05% 9/15/2011 102783 102783 JPMORGAN CHASE & CO 3.625% 12-01-2027 107922 107922 NEXTERA ENERGY 3.55% 5/1/2027 108481 108481 SEMPRA ENERGY 3.75% 11/15/2025 108303 108303 SOUTHERN POWER CO. 4.15% 12/1/2025 109783 109783 UNITEDHEALTH GROUP 3.35% 7/15/2022 102121 102121 VERIZON COMM 4.15% 3/15/2024 106958 106958 VERIZON COMMUNICATIONS 4.016% DUE 12/03/2029 112069 112069 WALGREENS BOOTS ALLIA 3.80% 11/18/2024 134107 134107 ABBOTT LABORATORIES 1,000 SHARES 128890 128890 ADVANCED MICRO DEVICES 1,000 SHARES 120230 120230 ALPHABET INC 40 SHARES 118616 118616 AMERICAN EXPRESS CO. 800 SHARES 139024 139024 AON PLC 400 SHARES 127968 127968 APPLE INC 800 SHARES 119840 119840 AUTOMATIC DATA PROCESSING (ADP) 600 SHARES 134694 134694 BANK NEW YORK MELLON CORP 1,500 SHARES 88800 88800 CHEVRON CORP 800 SHARES 91592 91592 CITIGROUP INC 680 SHARES 47029 47029 EMERSON ELECTRIC 900 SHARES 87310 87310 EXXON MOBIL 1,000 SHARES 64470 64470 HOME DEPOT INC. 500 SHARES 185870 185870 HONEYWELL INTL 700 SHARES 153034 153034 MASTERCARD INC. 400 SHARES 134208 134208 MICROSOFT CORP 800 SHARES 265296 265296 MORGAN STANLEY 1,400 SHARES 143892 143892 NEXTERA ENERGY INC 1,800 SHARES 153594 153594 PAYPAL HOLDINGS 700 SHARES 162813 162813 PEPSICO 1,000 SHARES 161600 161600 QUALCOMM INC 470 SHARES 62529 62529 SQUARE INC 250 SHARES 63625 63625 TARGET CORP 550 SHARES 142791 142791 TEXAS INSTRUMENTS 400 SHARES 74992 74992 UNITED HEALTH GROUP 275 SHARES 126629 126629 UNITED PARCEL SERVICE (UPS) 375 SHARES 80051 80051 VERIZON COMMUNICATIONS 1,000 SHARES 52990 52990 WAL-MART STORES 700 SHARES 104594 104594 ACCRUED INTEREST RECEIVABLE 27218 28906 28906 WEBSITE AND INFORMATION SERVICES 4654 0 0 4654 OFFICE EXPENSES 2360 0 0 3858 INSURANCE 4052 0 0 4052 SEMINARS & TECHNICAL EXPENSE 179 0 0 179 BANK FEES 401 0 0 401 WORKSHOPS AND STUDY PROGRAMS 54583 0 0 54583 UNREALIZED GAINS/LOSSES 559644 BANK CUSTODY FEES 3790 0 0 3790 RESEARCH FEES 85750 0 0 85750 INVESTMENT ADVISORY FEES 25674 25674 25674 0 FEDERAL EXCISE TAX 3433 0 0 3433