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ObjectId: 201743189349313019 - Submission: 2017-11-14
TIN: 11-2013303
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
Attach to Form 990.
Information about Schedule J (Form 990) and its instructions is at
www.irs.gov/form990
.
OMB No. 1545-0047
20
16
Open to Public Inspection
Name of the organization
COLD SPRING HARBOR LABORATORY
Employer identification number
11-2013303
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 on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
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.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
4
During the year, did any person listed on 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), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on 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," on line 5a or 5b, describe in Part III.
6
For persons listed on 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," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
Yes
8
Were any amounts reported on 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" on 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) 2016
Page 2
Schedule J (Form 990) 2016
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 on 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 in column (B) reported as deferred on prior Form 990
(i)
Base
compensation
(ii)
Bonus & incentive
compensation
(iii)
Other
reportable compensation
1
BRUCE STILLMAN PHD
CEO AND TRUSTEE
(i)
(ii)
609,000
-------------
0
0
-------------
0
17,637
-------------
0
32,996
-------------
0
114,272
-------------
0
773,905
-------------
0
0
-------------
0
2
W DILLAWAY AYRES
CHIEF OPERATING OFFICER
(i)
(ii)
428,597
-------------
0
0
-------------
0
2,099,351
-------------
0
32,996
-------------
0
31,631
-------------
0
2,592,575
-------------
0
1,506,473
-------------
0
3
LARI C RUSSO
CHIEF FINANCIAL OFFICER
(i)
(ii)
284,302
-------------
10,000
0
-------------
0
2,673
-------------
0
32,996
-------------
0
1,661
-------------
0
321,632
-------------
10,000
0
-------------
0
4
ARTHUR BRINGS
VP, CHIEF FACILITIES OFFICER
(i)
(ii)
230,591
-------------
0
0
-------------
0
3,980
-------------
0
27,834
-------------
0
38,814
-------------
0
301,219
-------------
0
0
-------------
0
5
WALTER GOLDSCHMIDTS
VP, SPONSORED PROG
(i)
(ii)
280,162
-------------
0
10,000
-------------
0
6,606
-------------
0
32,996
-------------
0
22,564
-------------
0
352,328
-------------
0
0
-------------
0
6
DAVID SPECTOR
DIRECTOR OF RESEARCH
(i)
(ii)
383,366
-------------
0
0
-------------
0
7,788
-------------
0
32,996
-------------
0
21,863
-------------
0
446,013
-------------
0
0
-------------
0
7
THOMAS GINGERAS
SCIENTIST
(i)
(ii)
303,065
-------------
0
0
-------------
0
34,502
-------------
0
32,995
-------------
0
1,759
-------------
0
372,321
-------------
0
26,614
-------------
0
8
TERI WILEY
VP, BUSINESS DEV/TECH TRANSFER
(i)
(ii)
341,649
-------------
0
0
-------------
0
12,279
-------------
0
32,996
-------------
0
8,921
-------------
0
395,845
-------------
0
0
-------------
0
9
CHARLES V PRIZZI
VP DEVELOPMENT
(i)
(ii)
307,027
-------------
0
48,223
-------------
0
0
-------------
0
32,996
-------------
0
22,735
-------------
0
410,981
-------------
0
0
-------------
0
10
DR JAMES D WATSON
CHANCELLOR EMERITUS
(i)
(ii)
372,446
-------------
0
0
-------------
0
0
-------------
0
32,996
-------------
0
142,024
-------------
0
547,466
-------------
0
0
-------------
0
11
MICHAEL WIGLER
SCIENTIST
(i)
(ii)
351,119
-------------
0
0
-------------
0
5,291
-------------
0
32,995
-------------
0
21,748
-------------
0
411,153
-------------
0
0
-------------
0
12
CHARLES S RYAN
VP, GNRL COUNSEL (UNTIL 05/16)
(i)
(ii)
127,256
-------------
0
0
-------------
0
62,459
-------------
0
0
-------------
0
695
-------------
0
190,410
-------------
0
0
-------------
0
Schedule J (Form 990) 2016
Page 3
Schedule J (Form 990) 2016
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
SCHEDULE J, PART I, LINE 4B
SUPPLEMENTAL NONQUALIFIED 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. NO PAYMENTS WERE MADE TO THE PLAN IN 2016.
SCHEDULE J, PART I, LINE 7
A BONUS OF $10,000 WAS PAID TO WALTER GOLDSCHMIDTS, THE EXECUTIVE DIRECTOR OF SPONSORED PROGRAMS FOR PERFORMANCE. A BONUS OF $48,223 WAS PAID TO CHARLES V. PRIZZI, THE EXECUTIVE DIRECTOR OF DEVELOPMENT.
SCHEDULE J, PART II, COLUMN B (III)
OTHER REPORTABLE COMPENSATION OF W. DILLAWAY AYRES, AND 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.
SCHEDULE J, PART II, COLUMN D
ADDITIONAL DISCLOSURE COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN, CEO/PRESIDENT, DR. WATSON, CHANCELLOR EMERITUS, AND ARTHUR BRINGS, VP CHIEF FACILITIES OFFICER, WITH HOMES ON ITS CAMPUS AND REQUIRES THEM TO BE USED AS A CONDITION OF THEIR EMPLOYMENT FOR THE CONVENIENCE OF THE LABORATORY. THE VALUE OF THE NON-TAXABLE PERSONAL USE OF THE HOMES ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D.
SCHEDULE J, PART II, COLUMN F
THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THE AMOUNTS SHOWN IN COLUMN F REPRESENT CONTRIBUTIONS MADE BY CSHL ON BEHALF OF W. DILLAWAY AYRES AND THOMAS GINGERAS. THOSE AMOUNTS, PLUS APPRECIATION, WERE DISTRIBUTED TO THE EMPLOYEES IN 2016 AS REPORTED IN COLUMN B (iii). THE SERP HAS A TAXABLE MANDATORY LUMP SUM DISTRIBUTION AT AGE 65 FOR ALL PARTICIPANTS.
Schedule J (Form 990) 2016
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