2024-09-10T15:53:48-05:00 2023-10-31 873231666 PKF O'CONNOR DAVIES ADVISORY LLC 300 TICE BOULEVARD SUITE 315 WOODCLIFF LAKE NJ 07677 990PF 2022-11-01 133022482 THE DOROTHY RUSSELL HAVEMEYER FOUNDATION INC DORO 2126823700 60 EAST 42ND ST 40TH FLOOR NEW YORK NY 10165 GENE M PRANZO PRESIDENT 2126823700 2024-09-10 1 0 GARRETT M HIGGINS P00543209 2017129800 2024-09-10 2022 2024-08-08 14:25:15Z X 4332382 X X 21 21 21 135498 135498 135498 186595 965707 186595 186595 322114 322114 322114 280500 13500 13500 267000 13847 692 692 13155 42000 0 0 42000 148092 20874 20874 127218 7400 0 0 7400 1683 0 0 1683 90012 0 0 90012 583534 35066 35066 548468 0 0 583534 35066 35066 548468 -261420 287048 287048 43504 8513 8513 409543 427959 427959 3503 3503 3503 2567287 2403140 2403140 1808875 1465033 1465033 27064 24234 24234 4859776 4332382 4332382 6226 6226 6226 6226 X 4853550 4326156 4853550 4326156 4859776 4332382 4853550 -261420 0 4592130 265974 4326156 PUBLICLY TRADED SECURITIES - NORTHERN TRUST P 965707 779112 186595 186595 PUBLICLY TRADED SECURITIES - NORTHERN TRUST P 0 0 186595 186595 3990 0 3990 0 3990 7374 0 0 0 7374 0 3384 3384 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 9.75 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 RESEARCH PROJECTS - SEE STATEMENT 10 82077 SUMMER FELLOWSHIP PROGRAMS - SEE STATEMENT 10 47428 WORKSHOPS- SEE STATEMENT 10 50220 0 4266941 415086 0 4682027 0 0 4682027 70230 4611797 230590 X 548468 0 548468 X 230590 86238 75041 116862 508731 196002 73302 63785 99333 432421 548468 568181 457604 505314 2079567 0 0 0 0 0 548468 568181 457604 505314 2079567 0 0 153727 173915 188442 177499 693583 0 0 0 0 X 0 0 14 21 14 135498 18 186595 0 322114 0 322114 0 0 0 0 0 0 0 0 0 0 PKF O'CONNOR DAVIES, LLP 42000 0 0 42000 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 ADVANCED SEQUENCING, FUNCTIONAL GENOMICS AND CONTINUED EFFORTS TO ACHIEVE THE CONTINUED 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 GOALS OF THE CONFERENCE INCLUDE A 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 AS MANY OF THE WORKSHOPS AS TIME ALLOWS. THIS GIVES HIM THE OPPORTUNITY TO AUDIT THE QUALITY OF PRESENTATIONS, THE INTEREST LEVEL IN THE SUBJECT TO WHICH THE WORKSHOP IS DEDICATED AS WELL AS BEING AWARE OF THE NUMBER AND SPECIFIC AREAS OF COLLABORATION. THE CURRENT 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 IN THE AREAS OF THEIR RESEARCH PROJECTS AS WELL AS GIVING CONSIDERATION TO NEW AREAS OF STUDY IN WORKSHOP FORMAT. THE PRESIDENT ALSO INTERVIEWS CANDIDATES WHO EXPRESS INTEREST IN RESEARCH, AND WHETHER TO PURSUE SUCH INTERESTS AS A NEW RESEARCH PROJECT OR TO CONDUCT 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 PARTNERSHIPS 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. NEW COLLABORATIONS ON THE SUBJECT OF THE WORKSHOP ARE A PRIMARY GOAL OF THE PROGRAM. FOR THE FISCAL YEAR ENDED OCTOBER 31, 2022, THE FOUNDATION CONDUCTED SIX (6) WORKSHOPS FIVE (5) IN PERSON AND ONE VIRTUAL. 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 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 SUMMER 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 2001 AND AGAIN IN 2014. THE MCCONVILLE BARN WAS REPAINTED IN 2016. THE REPLACEMENT OF THE BARN'S WINDOWS WAS BEGUN IN THE CURRENT FISCAL YEAR AND WILL BE COMPLETED DURING THE FISCAL YEAR BEGINNING NOVEMBER 1, 2022.DETAILED DESCRIPTION OF RESEARCH PROJECTS 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. HE HAS RECEIVED NUMEROUS AWARDS FOR HIS RESEARCH. 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 IF ANY MAINTENANCE AND REPAIRS ARE REQUIRED. THE BARN UNDERWENT MAJOR MAINTENANCE DURING THE FISCAL YEAR ENDED OCTOBER 31, 2006. THE THOROUGHBRED MARE TWILIGHT IS STABLED AT MCCONVILLE BARN. IT WAS HER DNA THAT WAS USED IN THE GENOME SEQUENCING 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 SUCCESS AND IMPORTANCE TO THE COMMUNITY. 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