2024-07-17T12:06:46-05:00 2023-09-30 PWC US TAX LLP 655 NEW YORK AVENUE NW SUITE 1100 WASHINGTON DC 20001 990 2022-10-01 630952483 THE UAB RESEARCH FOUNDATION % NEELIMA AGARWAL UABR 2059756068 701 20TH STREET S 770 BIRMINGHAM AL 352940107 KATHY L NUGENT MANAGING DIRECTOR 2059756068 2024-07-16 true KATHY L NUGENT 999009999 MICHAEL D HOFFMAN P01345551 2024141000 2024-07-16 3 2022 2023-04-26 12:10:37Z KATHY NUGENT 701 20TH ST S STE 770 BIRMINGHAM AL 352940107 6912834 false X WWW.UAB.EDU/UABRF X 1987 AL FOUNDATION ASSISTS IN THE IMPLEMENTATION OF THE PATENT POLICY AT THE UNIVERSITY. 18 5 0 10 0 0 1680 3504 667105 667105 3508 145 5809837 6242080 6482130 6912834 0 0 0 0 1173462 1432054 0 0 0 4105757 4255817 5279219 5687871 1202911 1224963 15830728 17143353 2562065 2649727 13268663 14493626 X FOUNDATION ASSISTS IN THE IMPLEMENTATION OF THE PATENT POLICY AT THE UNIVERSITY, INCLUDING, BUT NOT LIMITED TO, ASSISTING IN THE RECEIPT AND DISSEMINATION OF MATERIALS, COMPOUNDS AND BIOLOGICAL SUBSTANCES USED IN UNIVERSITY RESEARCH PROJECTS AND EVALUATING THE COMMERCIAL POTENTIAL OF INVENTIONS CREATED BY UNIVERSITY EMPLOYEES AND STUDENTS AND THE PATENTABILITY AND APPLICABILITY OF OTHER PROTECTIONS WITH RESPECT TO SUCH INVENTIONS. NECESSARY TO THIS EDUCATIONAL MISSION IS THE PROVISION OF OUTSTANDING MEDICAL CARE AND SERVICES AND THE ENHANCEMENT OF NEW KNOWLEDGE THROUGH CLINICAL AND BASIC BIOMEDICAL RESEARCH. false false 5196065 0 6909185 THE FOUNDATION REVIEWS INVENTION DISCLOSURES SUBMITTED AT UAB AND INITIATES DOMESTIC AND FOREIGN PATENT FILINGS WHEN APPROPRIATE. THE FOUNDATION NEGOTIATES, MANAGES, AND MONITORS RESEARCH, OPTION, AND LICENSING AGREEMENTS WITH OUTSIDE PARTIES ON BEHALF OF UAB. 5196065 true false false false false false false false false false true true false false false false true true false false false false false false false false false false false true false false false false false false false false false false false false false true false false false true 78 0 0 false false false false false false false false false false false false false X 18 5 false false false false false false false true true false false false true true true false true true false X NEELIMA AGARWAL 2059756068 710 13TH STREET SOUTH BIRMINGHAM AL 35233 SELWYN VICKERS MD BRD MBR/EX OFFICIO(UNTIL 8/23) 1.0 43.25 X 0 1787304 122539 RAY L WATTS PRESIDENT/BOARD MEMBER 1.0 61.5 X X 0 1434597 176224 FINIS E ST JOHN IV BOARD MEMBER/ EX OFFICIO 1.0 43.25 X 0 1180431 137243 Anupam Agarwal MD Brd mbr/Ex officio(START 8/23) 1.0 60.0 X 0 552189 90712 BRIAN D BURNETT TREASURER (UNTIL 8/23) 1.0 41.5 X 0 498527 85304 THOMAS I BRANNAN SECRETARY/BOARD MEMBER 1.0 41.0 X X 0 411753 102299 CHRISTOPHER BROWN VP/BOARD MEMBER 1.0 40.0 X X 0 400794 88421 JEFFREY W HOLMES BOARD MEMBER 1.0 40.0 X 0 399339 68384 STEPHANIE MULLINS BOARD MEMBER 1.0 42.25 X 0 362477 63152 ANDY BUTLER BOARD MEMBER 1.0 40.0 X 0 332759 90104 ERIC JACK BOARD MEMBER (UNTIL 8/23) 1.0 40.0 X 0 360853 60731 STEPHEN YODER BOARD MEMBER (UNTIL 8/23) 1.0 42.0 X 0 251071 57127 KATHY L NUGENT MANAGING DIRECTOR 40.0 1.0 X 0 233437 51686 LEE MORADI BOARD MEMBER (UNTIL 8/23) 1.0 40.0 X 0 54904 6691 CHARLES D PERRY BOARD MEMBER 1.0 1.25 X 0 1200 0 GREG J BARKER BOARD MEMBER 1.0 0.0 X 0 0 0 Abi Kurukshetra BOARD MEMBER 1.0 0.0 X 0 0 0 GREGORY S CURRAN BOARD MEMBER 1.0 0.0 X 0 0 0 DREW HONEYCUTT BOARD MEMBER (UNTIL 8/23) 1.0 0.0 X 0 0 0 SANJAY SINGH BOARD MEMBER 1.0 0.0 X 0 0 0 KIP PORTER BOARD MEMBER (UNTIL 8/23) 1.0 0.0 X 0 0 0 Christopher Shook BOARD MEMBER (starting 8/23) 1.0 0.0 X 0 0 0 josh nichols BOARD MEMBER (STARTING 8/23) 1.0 0.0 X 0 0 0 Charitharth Vivek Board Member (STARTING 8/23) 1.0 0.0 X 0 0 0 brooke gillis Board Member (STARTING 8/23) 1.0 0.0 X 0 0 0 0 8261635 1200617 0 false true false MAYNARD COOPER GALE PC 1901 6th AVE N STE 1700 BIRMINGHAM AL 35203 LEGAL SERVICES 322132 THOMAS HORSTEMEYER 3200 WINDY HILL RD SE STE 1600E ATLANTA GA 303395029 LEGAL SERVICES 260545 KILPATRICK TOWNSEND STOCKTON LLP PO BOX 945614 ATLANTA GA 30394 LEGAL SERVICES 234179 BALLARD SPAHR LLP 999 PEACHTREE ST STE 1000 ATLANTA GA 303093915 LEGAL SERVICES 129793 PROSPER BIRMINGHAM HEALTH 1721 3rd Ave NORTH STE 201 BIRMINGHAM AL 35203 OTHER SERVICES 128500 5 3504 3504 UAB AFFILIATION AGREEMENT 900099 667105 667105 0 0 667105 145 145 0 6117080 6117080 0 0 0 0 0 0 0 0 0 0 0 0 0 OTHER INCOME 900099 125000 125000 125000 6912834 6909185 0 145 0 0 0 0 1432054 1432054 0 0 0 0 0 0 441565 441565 0 0 71925 0 71925 0 0 0 0 42750 42750 0 63216 31608 31608 0 67152 0 67152 0 0 0 49505 0 49505 0 0 0 0 0 0 0 ROYALTY DISTRIBUTIONS 3290838 3290838 0 0 PROPERTY TAX 18198 0 18198 0 DUES AND MEMBERSHIP 15563 0 15563 0 SPONSORSHIPS 5000 0 5000 0 190105 190105 5687871 5196065 491806 0 0 0 14961178 15685140 0 0 315915 304578 0 0 0 0 0 0 0 0 0 0 232133 140104 92029 92029 0 0 420806 1020806 0 0 0 0 40800 40800 15830728 17143353 2562065 2649727 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2562065 2649727 X 13176634 14401597 92029 92029 13268663 14493626 15830728 17143353 1224963 X X false true X true false X X X 1 UNIVERSITY OF ALABAMA AT BIRMINGHAM 636005396 6 true 1294480 0 1 1294480 0 true false false false false false false false false false false false false false false true false 92029 92029 140104 140104 92029 INVESTMENTS IN START-UPS 1020806 F 1020806 6912834 6912834 6912834 5687871 5687871 5687871 false false false false false false false false false KATHY L NUGENT MANAGING DIRECTOR 0 229965 0 0 0 3472 0 31071 0 20615 0 285123 0 0 RAY L WATTS PRESIDENT/BOARD MEMBER 0 873746 0 129890 0 430961 0 143794 0 32430 0 1610821 0 345060 SELWYN VICKERS MD BRD MBR/EX OFFICIO(UNTIL 8/23) 0 894496 0 603460 0 289348 0 90527 0 32012 0 1909843 0 0 ERIC JACK BOARD MEMBER (UNTIL 8/23) 0 352948 0 0 0 7905 0 51308 0 9423 0 421584 0 0 FINIS E ST JOHN IV BOARD MEMBER/ EX OFFICIO 0 747170 0 318266 0 114995 0 124636 0 12607 0 1317674 0 0 CHRISTOPHER BROWN VP/BOARD MEMBER 0 381309 0 12000 0 7485 0 75708 0 12713 0 489215 0 0 THOMAS I BRANNAN SECRETARY/BOARD MEMBER 0 391975 0 12000 0 7778 0 80551 0 21748 0 514052 0 0 BRIAN D BURNETT TREASURER (UNTIL 8/23) 0 476413 0 12000 0 10114 0 75490 0 9814 0 583831 0 0 ANDY BUTLER BOARD MEMBER 0 331392 0 0 0 1367 0 77837 0 12267 0 422863 0 0 JEFFREY W HOLMES BOARD MEMBER 0 398608 0 0 0 731 0 50568 0 17816 0 467723 0 0 STEPHEN YODER BOARD MEMBER (UNTIL 8/23) 0 247016 0 0 0 4055 0 40039 0 17088 0 308198 0 0 STEPHANIE MULLINS BOARD MEMBER 0 360491 0 0 0 1986 0 52001 0 11151 0 425629 0 0 Anupam Agarwal MD Brd mbr/Ex officio(START 8/23) 0 485007 0 62537 0 4645 0 86012 0 4700 0 642901 0 0 FORM 990, PART VI, LINE 11B: THE RETURN IS PREPARED BY OUTSIDE ACCOUNTANTS AND REVIEWED BY THE MANAGING DIRECTOR BEFORE FILING. FORM 990, PART VI, LINE 12C: EACH DIRECTOR, PRINCIPAL OFFICER OR MEMBER OF A BOARD COMMITTEE WHO HAS A DIRECT OR INDIRECT FINANCIAL INTEREST, THROUGH A BUSINESS INVESTMENT OR THROUGH A FAMILY MEMBER, IS REQUIRED TO DISCLOSE ANY SUCH ACTUAL OR POTENTIAL FINANCIAL INTEREST, TO THE BOARD OF DIRECTORS OF UABRF. A FINANCIAL INTEREST IS DEFINED AS AN INTEREST IN ANY ENTITY WITH WHICH UABRF HAS A TRANSACTION OR ARRANGEMENT, IN A COMPENSATION ARRANGEMENT WITH UABRF OR WITH ANY ENTITY OR INDIVIDUAL WITH WHICH UABRF HAS A TRANSACTION OR ARRANGEMENT OR A POTENTIAL OWNERSHIP OR INVESTMENT INTEREST IN, OR COMPENSATION ARRANGEMENT WITH, ANY ENTITY OR INDIVIDUAL WITH WHICH UABRF IS NEGOTIATING A TRANSACTION OR ARRANGEMENT. ANY SUCH PERSON MAKING A DISCLOSURE IS REQUIRED TO RECUSE HIM OR HERSELF FROM THE REMAINDER OF THE MEETING AND IS UNABLE TO VOTE ON THE TRANSACTION. FORM 990, PART VI, LINE 19: THE UA SYSTEM PATENT POLICY AND THE UAB CONFLICT OF COMMITMENT POLICY ARE AVAILABLE ON THE UABRF WEBSITE. ALL OTHER DOCUMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART XII, LINE 1: FOR FINANCIAL REPORTING PURPOSES, THE FOUNDATION IS CONSIDERED A SPECIAL-PURPOSE GOVERNMENT ENTITY ENGAGED ONLY IN BUSINESS-TYPE ACTIVITIES AS DEFINED BY GASB STATEMENT NO. 35. BASIC FINANCIAL STATEMENTS - AND MANAGEMENT'S DISCUSSION AND ANALYSIS - FOR PUBLIC COLLEGES AND UNIVERSITIES, AS AN AMENDMENT TO GASB 34, BASIC FINANCIAL STATEMENTS - AND MANAGEMENT'S DISCUSSION AND ANALYSIS - FOR STATE AND LOCAL GOVERNMENTS. BUSINESS-TYPE ACTIVITIES ARE THOSE THAT ARE FINANCED IN WHOLE OR IN PART BY FEES CHARGED TO EXTERNAL PARTIES FOR GOODS OR SERVICES. ACCORDINGLY, THE FINANCIAL STATEMENTS OF THE FOUNDATION HAVE BEEN PREPARED USING THE ECONOMIC RESOURCES MEASUREMENT FOCUS AND THE MODIFIED BASIS OF CASH RECEIPTS AND CASH DISBURSEMENTS. ROYALTIES, RESEARCH INCOME, AND INVESTMENT INCOME FROM NONMARKETABLE SECURITIES OF START-UP COMPANIES, EXCLUDING UNREALIZED GAINS AND LOSSES, ARE RECOGNIZED ON THE CASH BASIS. LEGAL INCOME AND EXPENSE ARE REPORTED ON THE ACCRUAL BASIS. ALL OTHER REVENUES AND EXPENSES ARE REPORTED ON THE ACCRUAL BASIS WHEN THE RELATED REVENUE HAS BEEN EARNED OR OBLIGATION HAS OCCURRED. THE FORM 990 HAS BEEN PREPARED CONSISTENT WITH THE FINANCIAL STATEMENTS EACH YEAR. SEE PART VII SEE PART VII false false false false false false false false false false false false false false true true false true false FORM 990, SCHEDULE R, PART II - NAMES OF RELATED ORGANIZATIONS: THE ATTACHED LIST OF ENTITIES ARE FOUNDATIONS OR SUBSIDIARIES AFFILIATED WITH THE UNIVERSITY OF ALABAMA SYSTEM AND ITS VARIOUS CAMPUSES. SOME OF THESE ENTITIES MAY NOT MEET THE IRS DEFINITION OF "RELATED ORGANIZATION" FOR PURPOSES OF SCHEDULE R. THEY ARE INCLUDED, HOWEVER, ON THIS ATTACHED STATEMENT FOR PURPOSES OF COMPLETENESS AND TRANSPARENCY. ALABAMA CARE NETWORK MID-STATE (EXEMPT) ALABAMA CARE NETWORK SOUTHEAST (EXEMPT) ALABAMA ENGINEERING FOUNDATION, INC. (EXEMPT) ALABAMA PHYSICIAN NETWORK, LLC (LLC) CAMPUS HOSPITALITY SERVICES, LLC (LLC) CAPSTONE EDUCATIONAL AND RESEARCH FOUNDATION (EXEMPT) CAPSTONE HEALTH SERVICES FOUNDATION, P.C. (EXEMPT) COMMERCIAL REAL ESTATE, LLC (LLC) COOPER GREEN MERCY HEALTH SERVICES AUTHORITY, AN AFFILIATE OF UAB MEDICINE ENTERPRISE (C CORP) COOPER GREEN REHABILITATION SERVICES (EXEMPT) CRIMSON TIDE FOUNDATION (EXEMPT) GORGAS MEMORIAL INSTITUTE OF TROPICAL AND PREVENTATIVE MEDICINE, INC. (C CORP) MEDICAL TOWERS, INC. (C CORP) MEDICAL WEST HOSPITAL AUTHORITY, AN AFFILIATE OF UAB MEDICINE ENTERPRISE (EXEMPT) RIDGECREST STUDENT HOUSING, LLC (LLC) SOUTHERN RESEARCH INSTITUTE (EXEMPT) THE 1831 FOUNDATION (EXEMPT) THE ALABAMA "A" CLUB EDUCATIONAL AND CHARITABLE FOUNDATION (EXEMPT) THE ALUMNI ASSOCIATION OF THE UNIVERSITY OF ALABAMA SCHOOL OF MEDICINE (EXEMPT) THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ALABAMA (EXEMPT) THE CAPSTONE FOUNDATION (EXEMPT) THE HEALTH CARE AUTHORITY FOR BAPTIST HEALTH, AN AFFILIATE OF UAB MEDICINE ENTERPRISE (C CORP) THE KIRKLIN CLINIC, INC. (C CORP) THE NATIONAL ALUMNI ASSOCIATION OF THE UNIVERSITY OF ALABAMA (EXEMPT) THE NATIONAL ALUMNI SOCIETY OF THE UNIVERSITY OF ALABAMA AT BIRMINGHAM (EXEMPT) THE UAB DIABETES TRUST FOUNDATION (EXEMPT) THE UAB EDUCATIONAL FOUNDATION (EXEMPT) THE UAB RESEARCH FOUNDATION (EXEMPT) THE UNIVERSITY FOUNDATION (EXEMPT) THE UNIVERSITY OF ALABAMA "A" CLUB ALUMNI ASSOCIATION (EXEMPT) THE UNIVERSITY OF ALABAMA DONOR ADVISED FUND (EXEMPT) THE UNIVERSITY OF ALABAMA IN HUNTSVILLE PUBLIC EDUCATION BUILDING AUTHORITY (EXEMPT) THE UNIVERSITY OF ALABAMA IN HUNTSVILLE RESEARCH AND TECHNOLOGY CORPORATION (EXEMPT) THE UNIVERSITY OF ALABAMA LAW SCHOOL FOUNDATION (EXEMPT) THE UNIVERSITY OF ALABAMA OPHTHALMOLOGY SERVICES FOUNDATION (EXEMPT) THE VALLEY FOUNDATION (EXEMPT) THE WORKPLACE, INC. (C CORP) TRITON HEALTH SYSTEMS, LLC (LLC) UA-ASU-TSU EDUCATIONAL RADIO CORPORATION (EXEMPT) UAB ATHLETICS FOUNDATION (EXEMPT) UAB CALLAHAN EYE HOSPITAL AUTHORITY (EXEMPT) UAB HEALTH SYSTEM AUTHORITY (EXEMPT) UAB HOSPITAL MANAGEMENT, LLC (LLC) UAB MEDICINE ENTERPRISE (EXEMPT) UAB MEDICINE FINANCE AUTHORITY (C CORP) UAB-SVHS, INC. (EXEMPT) UNIVERSITY OF ALABAMA HEALTH SERVICES FOUNDATION, P.C. (EXEMPT) UNIVERSITY OF ALABAMA HUNTSVILLE FOUNDATION (EXEMPT) VIVA HEALTH ADMINISTRATION, LLC (LLC) VIVA HEALTH INSURANCE COMPANY (C CORP) VIVA HEALTH, INC. (EXEMPT)