Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Graphic Arrow Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
Graphic Arrow Attach to Form 990.
Graphic Arrow Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2020
Open to Public Inspection
Name of the organization
Beckman Research Institute of the
City of Hope
Employer identification number

95-3432210
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.
b
If any of the boxes on 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
 
 
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 on Line 1a? ....
2
 
 
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.
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) 2020
Page 2

Schedule J (Form 990) 2020
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
1Robert W Stone
President/CEO
(i)

(ii)
406,947
-------------
1,220,842
342,750
-------------
1,028,250
37,177
-------------
111,530
129,586
-------------
388,758
9,931
-------------
29,792
926,391
-------------
2,779,172
105,750
-------------
317,250
2Michael A Caligiuri MD
President - Medical Center
(i)

(ii)
113,173
-------------
1,018,558
79,716
-------------
717,443
0
-------------
0
37,371
-------------
336,341
5,142
-------------
46,273
235,402
-------------
2,118,615
11,000
-------------
99,000
3Harlan Levine
Pres Strategy & Bus Ventures
(i)

(ii)
299,772
-------------
699,467
224,709
-------------
524,320
27,035
-------------
63,082
76,321
-------------
178,082
12,681
-------------
29,590
640,518
-------------
1,494,541
62,652
-------------
146,188
4Steven T Rosen MD
Provost/Cancer Center Director
(i)

(ii)
513,325
-------------
403,327
333,124
-------------
261,740
46,140
-------------
36,252
132,489
-------------
104,098
17,405
-------------
13,676
1,042,483
-------------
819,093
110,443
-------------
86,777
5Jennifer Parkhurst
CFO/Treasurer
(i)

(ii)
212,140
-------------
636,421
131,545
-------------
394,636
0
-------------
0
66,306
-------------
198,916
12,034
-------------
36,101
422,025
-------------
1,266,074
18,540
-------------
55,620
6Jeffrey Walker
COO/Assistant Secretary
(i)

(ii)
194,568
-------------
583,702
172,224
-------------
516,673
2,681
-------------
8,041
34,025
-------------
102,074
10,433
-------------
31,299
413,931
-------------
1,241,789
0
-------------
0
7Debra F Fields
EVP Chief Transformation Off
(i)

(ii)
168,374
-------------
505,121
136,334
-------------
409,001
10,317
-------------
30,951
44,741
-------------
134,224
12,431
-------------
37,294
372,197
-------------
1,116,591
35,190
-------------
105,570
8Kristin Bertell
Chief Philanthropy Officer
(i)

(ii)
31,483
-------------
598,171
24,843
-------------
472,023
2,180
-------------
41,419
8,245
-------------
156,646
2,266
-------------
43,046
69,017
-------------
1,311,305
6,810
-------------
129,390
9Mark Hulse
Chief Digital Officer
(i)

(ii)
158,728
-------------
476,182
103,411
-------------
310,231
0
-------------
0
49,611
-------------
148,834
6,480
-------------
19,438
318,230
-------------
954,685
13,872
-------------
41,616
10Gregory D Schetina
General Counsel/Secretary
(i)

(ii)
151,306
-------------
453,919
101,545
-------------
304,634
8,136
-------------
24,407
40,843
-------------
122,527
12,974
-------------
38,921
314,804
-------------
944,408
30,153
-------------
90,459
11Kety Duron
Chief Human Resource Officer
(i)

(ii)
124,533
-------------
373,598
98,505
-------------
295,513
11,418
-------------
34,253
30,605
-------------
91,815
11,569
-------------
34,708
276,630
-------------
829,887
22,181
-------------
66,543
12Ashley Baker Lee
SVP of Research Operations
(i)

(ii)
283,174
-------------
283,174
85,381
-------------
85,380
18,304
-------------
18,303
32,750
-------------
32,749
16,587
-------------
16,586
436,196
-------------
436,192
0
-------------
0
13David A Horne PHD
Vice Provost
(i)

(ii)
445,950
-------------
78,697
100,523
-------------
17,739
30,945
-------------
5,461
53,969
-------------
9,524
34,359
-------------
6,063
665,746
-------------
117,484
0
-------------
0
14Cornelis Van Den Berg
Former Officer
(i)

(ii)
121,430
-------------
364,290
27,352
-------------
82,057
9,005
-------------
27,014
11,907
-------------
35,719
6,781
-------------
20,342
176,475
-------------
529,422
0
-------------
0
15Jonathan Reuter
VP Facilities & Construction
(i)

(ii)
58,359
-------------
330,698
11,914
-------------
67,514
3,480
-------------
19,722
3,449
-------------
19,543
5,636
-------------
31,937
82,838
-------------
469,414
0
-------------
0
16Donald J Matthewson
Vice Treasurer
(i)

(ii)
93,488
-------------
280,462
14,037
-------------
42,109
0
-------------
0
9,672
-------------
29,014
4,913
-------------
14,739
122,110
-------------
366,324
0
-------------
0
17Linda Helen Malkas PHD
Board Member/Professor
(i)

(ii)
399,539
-------------
0
0
-------------
0
8,262
-------------
0
42,000
-------------
0
15,355
-------------
0
465,156
-------------
0
0
-------------
0
18John J Rossi PHD
Board Member/Professor
(i)

(ii)
329,529
-------------
0
9,170
-------------
0
6,399
-------------
0
42,000
-------------
0
27,600
-------------
0
414,698
-------------
0
0
-------------
0
Schedule J (Form 990) 2020
Page 3

Schedule J (Form 990) 2020
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 1A THE BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE PERMITS FIRST CLASS TRAVEL FOR CERTAIN OFFICERS, DIRECTORS, AND KEY EXECUTIVES IN LIMITED CIRCUMSTANCES WHEN SPECIFIED TRAVEL CRITERIA ARE MET. SCHEDULE J, PART I, LINE 4B THE BECKMAN RESEARCH INSTITUTE HAS A NON-QUALIFIED SECTION 457(F) EXECUTIVE SUPPLEMENTAL ACCUMULATION PLAN THAT IS DESIGNED AND MAINTAINED TO PROVIDE A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES WITH DEFERRED COMPENSATION. THE PLAN VESTS AFTER THREE (3) FISCAL YEARS OF SERVICE AND THE VESTED TOTALS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B (III). PRIOR TO VESTING, THE ANNUAL AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN C. PURSUANT TO THE PLAN DOCUMENT, VESTED PARTICIPANTS ARE ENTITLED TO WITHDRAW FROM THEIR VESTED ACCOUNT AN AMOUNT EQUAL TO THE FEDERAL, STATE, LOCAL AND FICA TAXES THEY OWE. THESE AMOUNTS ARE REMITTED TO THE APPROPRIATE TAXING AUTHORITIES ON BEHALF OF THE PARTICIPANTS. DURING CALENDAR YEAR 2020 THE FOLLOWING INDIVIDUALS WITHDREW THE REFERENCED AMOUNTS TO COVER SUCH TAXES: ROBERT W. STONE $ 38,845 STEVEN ROSEN $ 31,348 DEBRA F. FIELDS $ 21,603 CORNELIS VAN DEN BERG $ 18,648 DAVID HORNE $ 13,377 KRISTIN BERTELL $ 13,317 ASHLEY LEE $ 9,873 GREGORY SCHETINA $ 9,748 THESE AMOUNTS HAVE BEEN INCLUDED IN THE PARTICIPANTS INCOME ON SCHEDULE J, PART II, COLUMN B(III).
SCHEDULE J, PART I, LINE 7 THE BECKMAN RESEARCH INSTITUTE'S EXECUTIVES AND SOME KEY EMPLOYEES ARE ELIGIBLE TO RECEIVE INCENTIVE COMPENSATION UNDER AN ANNUAL INCENTIVE PLAN (AIP) TIED TO THREE (3) KEY PERFORMANCE INDICATORS AND TWO OR MORE INDIVIDUAL OBJECTIVES. THE KEY PERFORMANCE INDICATORS REFLECT KEY AREAS OF STRATEGIC FOCUS AND THE EXEMPT HEALTHCARE MISSION OF THE CITY OF HOPE AND AFFILIATES AND ARE BOTH FINANCIAL AND NON-FINANCIAL. THE POTENTIAL INCENTIVE COMPENSATION IS BASED ON A WEIGHTED AVERAGE AMONG ALL INDICATORS AND IS PAID AS A PERCENTAGE OF EACH INDIVIDUAL PARTICIPANT'S BASE COMPENSATION. THE KEY performance INDICATORS ARE WEIGHTED AT 50% AND THE INDIVIDUAL OBJECTIVES ARE WEIGHTED AT 50%. THE AIP IS UNDER THE CONTROL OF AND ADMINISTERED BY THE INDEPENDENT DIRECTORS SERVING ON THE EXECUTIVE COMPENSATION AND GOVERNANCE COMMITTEE. TO BE ELIGIBLE, THE PARTICIPANTS IN THE AIP MUST BE EMPLOYED BY THE BECKMAN RESEARCH INSTITUTE AT THE TIME OF THE INCENTIVE PLAN PAYMENT, AND BE MEETING OR EXCEEDING PERFORMANCE EXPECTATIONS. CITY OF HOPE MAY IN ITS DISCRETION CANCEL ALL OR A PORTION OF ANY INCENTIVE PLAN PAYMENT OR AWARD TO ANY PARTICIPANT, WHETHER BEFORE OR FOLLOWING PAYMENT OF SUCH AWARD, SUBJECT TO COMPLIANCE WITH APPLICABLE LAW, UNDER THESE CIRCUMSTANCES (CANCELLATION POLICY): (A) AN INCENTIVE PLAN PAYMENT OR AWARD IS MADE FOR A FISCAL PERIOD AND CITY OF HOPE SUBSEQUENTLY RESTATES OR OTHERWISE ADJUSTS THE ANNUAL PERFORMANCE MEASUREMENT CALCULATION IN A MANNER THAT WOULD REDUCE THE SIZE OF THE AWARD OR PAYMENT, OR; (B) AN INCENTIVE PLAN PAYMENT OR AWARD IS MADE FOR A FISCAL PERIOD AND CITY OF HOPE SUBSEQUENTLY DETERMINES THAT ONE OR MORE OF THE ANNUAL PERFORMANCE MEASUREMENT CALCULATIONS ON WHICH THE AWARD IS BASED OR IS PAID ARE MATERIALLY INACCURATE. THE AIP INCENTIVE COMPENSATION EARNED FOR FISCAL YEAR 2020 WAS PAID IN CALENDAR YEAR 2020 AND THESE AMOUNTS HAVE BEEN REPORTED IN SCHEDULE J, PART II, COLUMN B(II). THE BECKMAN RESEARCH INSTITUTE ALSO HAS AN EXECUTIVE LONG-TERM INCENTIVE PLAN (LTI) FOR CERTAIN EXECUTIVES THAT IS DESIGNED TO DRIVE LONG-TERM ORGANIZATIONAL PERFORMANCE AND TRANSFORMATION BY ALIGNING EXECUTIVES WITH THE MULTI-YEAR STRATEGIC PLAN AND INCENTIVIZING THEM FOR ACHIEVING KEY ORGANIZATIONAL AND STRATEGIC OBJECTIVES AND GOALS. WITH THREE-YEAR VESTING PERIODS, THE LTI ALSO PROVIDES A MEANS FOR RETAINING KEY EXECUTIVE TALENT. THE PERFORMANCE PERIOD OF THE PLAN (CYCLE 6) RUNS FROM OCTOBER 1, 2017 THROUGH SEPTEMBER 30, 2020 WITH A NEW THREE-YEAR PERFORMANCE PERIOD BEGINNING EACH OCTOBER 1 THEREAFTER (E.G., CYCLE 7 RUNS FROM OCTOBER 1, 2018 THROUGH SEPTEMBER 30, 2021). TO BE ELIGIBLE TO PARTICIPATE IN ANY PAYOUT UNDER THE LTI, PARTICIPANTS MUST BE ACTIVELY EMPLOYED BY CITY OF HOPE AT THE TIME OF THE INCENTIVE PLAN PAYMENT, AND BE MEETING OR EXCEEDING PERFORMANCE EXPECTATIONS. WHILE THE LTI DOES MEET THE REQUIREMENTS FOR A SUBSTANTIAL RISK OF FORFEITURE, AS OF THE CALENDAR YEAR ENDING DECEMBER 31, 2020, THE POTENTIAL LTI AMOUNTS HAVE BEEN ESTIMATED AND ACCRUED DURING THE CURRENT TAX YEAR AND ARE REPORTED AS DEFERRED COMPENSATION TO THE PLAN PARTICIPANTS IN SCHEDULE J, PART II, COLUMN C. THE LTI IS SUBJECT TO THE SAME CANCELLATION POLICY AS THE AIP DESCRIBED ABOVE. PARTICIPANTS WHO MET THE ELIGIBILITY CRITERIA RECEIVED PAYOUT OF PLAN CYCLE 6 LTI INCENTIVES (OCTOBER 1, 2017 THROUGH SEPTEMBER 30, 2020) IN DECEMBER 2020. THESE AMOUNTS HAVE BEEN REFLECTED IN SCHEDULE J, PART II, COLUMN B(II).
SCHEDULE J, PART II JOHN J. ROSSI, PHD, AND LINDA MALKAS, PHD ARE MEMBERS OF THE BOARD OF DIRECTORS OF THE BECKMAN RESEARCH INSTITUTE AND ARE ALSO EMPLOYEES OF AND COMPENSATED BY THE BECKMAN RESEARCH INSTITUTE. DR. ROSSI IS A PROFESSOR AND DIRECTOR OF MOLECULAR MEDICINE AND WAS THE DEAN OF THE CITY OF HOPE'S IRELL AND MANELLA GRADUATE SCHOOL OF BIOLOGICAL SCIENCES. DR. MALKAS IS A PROFESSOR AND DEPUTY DIRECTOR FOR BASIC RESEARCH FOR THE CANCER CENTER. NEITHER ARE COMPENSATED FOR THEIR SERVICES AS A MEMBER OF THE BECKMAN RESEARCH INSTITUTE'S BOARD OF DIRECTORS. EMPLOYEE COMPENSATION FOR BOTH OF THESE INDIVIDUALS IS LISTED ON SCHEDULE J, PART II AND FORM 990, PART VII, SECTION A.
Schedule J (Form 990) 2020

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