2022-05-13T17:12:56-05:00 2021-06-30 366055558 GRANT THORNTON LLP 1000 WILSON BLVD STE 1400 ARLINGTON VA 22209 990 2020-07-01 530196523 CARNEGIE INSTITUTION OF WASHINGTON CARN 2023876400 5241 BROAD BRANCH RD NW WASHINGTON DC 200151305 MICHAEL MCCARTHY CHIEF OPERATING OFFICER 2023876400 2022-05-12 1 MICHAEL MCCARTHY XXX-XX-XXXX MARY TORRETTA P00847851 7038477500 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z X CARNEGIE SCIENCE DR ERIC D ISAACS 5241 BROAD BRANCH RD NW WASHINGTON DC 200151305 442412118 0 X WWW.CARNEGIESCIENCE.EDU X 1904 DC SEE SCHEDULE O.THE CONDUCT OF SCIENTIFIC DISCOVERY, RESEARCH AND EDUCATION IN THE FIELDS OF PLANT BIOLOGY, DEVELOPMENTAL BIOLOGY, EARTH AND PLANETARY SCIENCES, ASTRONOMY, AND GLOBAL ECOLOGY. 20 20 489 22 362141 0 16746850 16048861 6339123 8037630 50326290 103243884 547154 667561 73959417 127997936 2714963 445646 0 0 51436902 52600708 0 0 3044390 39843779 39909080 93995644 92955434 -20036227 35042502 1261312947 1453446708 287078993 217262679 974233954 1236184029 X SEE SCHEDULE OTHE MISSION OF THE CARNEGIE INSTITUTION OF WASHINGTON, AS SET FORTH IN ITS ARTICLES OF INCORPORATION UNDER AN ACT OF CONGRESS IN 1904, IS "TO ENCOURAGE, IN THE BROADEST AND MOST LIBERAL MANNER, INVESTIGATION, RESEARCH, AND DISCOVERY, AND THE APPLICATION OF KNOWLEDGE TO THE IMPROVEMENT OF MANKIND." 0 0 59472107 8037630 SEE SCHEDULE O.PROGRAM SERVICE ACTIVITY #1CARNEGIE IS A WORLD-RENOWNED CENTER FOR PETROLOGY-THE STUDY OF ROCKS. IT IS ALSO A GLOBAL LEADER IN HIGH-PRESSURE AND HIGH-TEMPERATURE PHYSICS, WHICH ENABLES OUR SCIENTISTS TO MAKE SIGNIFICANT CONTRIBUTIONS TO EARTH, PLANETARY AND MATERIAL SCIENCES. CARNEGIE IS LEADING AN INTERNATIONAL, MULTI-INSTITUTION, CROSS-DISCIPLINARY INITIATIVE DEDICATED TO ACHIEVING A TRANSFORMATIONAL UNDERSTANDING OF EARTH'S DEEP CARBON CYCLE, INCLUDING ITS POORLY CONSTRAINED RESERVOIRS AND FLUXES; THE UNKNOWN ROLE OF DEEP BIOLOGY; AND THE UNEXPLORED INFLUENCES OF THE DEEP CARBON CYCLE ON CRITICAL SOCIETAL CONCERNS RELATED TO ENERGY, THE ENVIRONMENT, AND CLIMATE. CARNEGIE RESEARCHERS ARE CONTRIBUTING TO INTERDISCIPLINARY EFFORTS INVESTIGATING HOW LIFE EVOLVED ON THIS PLANET AND DETERMINING ITS POTENTIAL FOR EXISTING ELSEWHERE. CARNEGIE OBSERVATIONAL AND THEORETICAL ASTRONOMERS COLLABORATE TO TRACE THE EVOLUTION OF THE UNIVERSE FROM THE SPARK OF THE BIG BANG THROUGH STAR AND GALAXY FORMATION; EXPLORE THE STRUCTURE OF THE UNIVERSE; AND PROBE THE MYSTERIES OF DARK MATTER, DARK ENERGY, AND THE EVER-ACCELERATING RATE AT WHICH THE UNIVERSE IS EXPANDING. UNLIKE MOST IN THEIR FIELD, CARNEGIE OBSERVATIONAL ASTRONOMERS DESIGN AND BUILD THEIR OWN INSTRUMENTS TO CAPTURE THE SECRETS OF SPACE. CARNEGIE OPERATES TELESCOPES IN LAS CAMPANAS, CHILE, AT WHICH MUCH OF OUR ASTRONOMICAL RESEARCH IS CONDUCTED. WE ARE FOUNDING PARTNERS IN A CONSORTIUM THAT IS WORKING TO DESIGN, CONSTRUCT, AND OPERATE THE GIANT MAGELLAN TELESCOPE, ONE OF THE NEW CLASS OF EXTREMELY LARGE TELESCOPES, WHICH WILL BE AMONG THE WORLD'S LARGEST GROUND-BASED OPTICAL/INFRARED FACILITIES ONCE IT IS COMPLETED. CARNEGIE ALSO INCLUDES INTERDISCIPLINARY TEAMS OF ASTRONOMERS AND ASTROPHYSICISTS, GEOPHYSICISTS AND GEOCHEMISTS, COSMOCHEMISTS AND PLANETARY SCIENTISTS. THESE GROUPS ARE DISCOVERING PLANETS ORBITING DISTANT STARS; PROBING THE FORMATION AND EVOLUTION OF EARTH, THE MOON, AND OUR SOLAR SYSTEM; AND STUDYING THE CAUSES OF EARTHQUAKES, VOLCANOES, AND OTHER GEOLOGIC PHENOMENA. USING INNOVATIVE APPROACHES TO ECOLOGICAL RESEARCH, CARNEGIE SCIENTISTS ARE UNTANGLING THE COMPLICATED INTERACTIONS BETWEEN EARTH'S LAND, ATMOSPHERE, AND OCEANS TO UNDERSTAND HOW GLOBAL SYSTEMS OPERATE. DEPLOYING A WIDE RANGE OF POWERFUL TOOLS-FROM SATELLITES TO MOLECULAR BIOLOGY TECHNIQUES-THESE SCIENTISTS EXPLORE ISSUES SUCH AS THE GLOBAL CARBON CYCLE, THE ROLE OF LAND AND OCEANIC ECOSYSTEMS, AND OCEAN ACIDIFICATION. OUR ECOLOGISTS ALSO PLAY AN ACTIVE ROLE IN THE PUBLIC ARENA, FROM SERVING ON NATIONAL PANELS AND COMMITTEES THAT INVESTIGATE CLIMATE CHANGE TO IDENTIFYING ENVIRONMENTAL HOT SPOTS FOR CONSERVATION EFFORTS. CARNEGIE BIOLOGISTS REVEAL CRUCIAL BIOCHEMICAL PATHWAYS AND THE GENES THAT ENCODE THEIR FUNCTIONS IN MICROBES, PLANTS, AND ANIMALS. TOGETHER WITH OUR LONGSTANDING EXPERTISE IN MODEL SYSTEM DEVELOPMENT, THIS WORK PROVIDES A FOUNDATION FOR EXPLORING NEW RESEARCH AVENUES THAT DEPLOY CELLULAR AND MOLECULAR APPROACHES TO UNDERSTAND ECOSYSTEM-WIDE AND GLOBAL PHENOMENA RELATED TO CLIMATE CHANGE, INCLUDING CORAL BLEACHING. THEY ALSO STUDY INTERACTIONS BETWEEN THE SPECIES THAT MAKE UP BACTERIAL COMMUNITY ECOSYSTEMS. OUR RESEARCHERS ARE DEMONSTRATING THAT THE INTERSPECIES RELATIONSHIPS IN THE GUT MICROBIOME AFFECT OUR HEALTH, FERTILITY, AND LONGEVITY. SIMILAR DYNAMICS ALLOW MICROBIAL MATS TO THRIVE IN HOT SPRINGS; UNDERSTANDING THEM IMPROVES OUR KNOWLEDGE OF HOW LIFE ADAPTS TO EXTREME CONDITIONS. 7936089 445646 SEE SCHEDULE O.PROGRAM SERVICE ACTIVITY #2EDUCATION - CARNEGIE, A NON-DEGREE GRANTING ENTITY, IS AN ADVANCED STUDY ORGANIZATION AT WHICH HIGHLY QUALIFIED GRADUATE SCIENTISTS ARE OFFERED POSTGRADUATE AND POSTDOCTORAL TRAINING FOR CAREERS IN EDUCATION AND RESEARCH. CARNEGIE'S POSTDOCTORAL SCIENTIFIC EDUCATION IS PRIMARILY CONDUCTED IN THE LABORATORY OR IN THE FIELD. THE POSTDOCTORAL CURRICULUM IS HEAVILY WEIGHTED TOWARD TRAINING CANDIDATES TO BE CAPABLE RESEARCHERS AND TEACHERS OF RESEARCH. THE FACULTY CONSISTS OF THE PROFESSIONAL STAFF OF CARNEGIE, ALL OF WHOM PURSUE THEIR OWN RESEARCH. CARNEGIE ALSO OFFERS CERTAIN TRAINING OPPORTUNITIES FOR PREDOCTORAL STUDENTS WHO MAY GO ON TO PURSUE ADVANCED DEGREES AT DEGREE-GRANTING INSTITUTIONS, AS WELL AS INTERNSHIP OPPORTUNITIES, BOTH THROUGH FORMAL PROGRAMS AND ON AN INDIVIDUAL, CASE-BY-CASE BASIS. THE FORMAL PROGRAMS, IN PARTICULAR, MAKE AN EFFORT TO PROVIDE RESEARCH OPPORTUNITIES AND ENCOURAGEMENT FOR CONSIDERING STEM CAREERS TO GROUPS WHO ARE TRADITIONALLY UNDERREPRESENTED IN MATHEMATICS AND THE PHYSICAL SCIENCES. CARNEGIE PROGRAMS ALSO TRAIN PUBLIC ELEMENTARY SCHOOL TEACHERS ON HOW TO INCORPORATE INTERACTIVE SCIENCE INSTRUCTION INTO ALL ASPECTS OF THE CURRICULUM; HELPS IMPROVE THE INSTRUCTION OF MATHEMATICS EDUCATION OF PUBLIC SCHOOL CHILDREN BY TRAINING INDIVIDUALS WITH MATHEMATICS OR RELATED DEGREES TO BECOME CLASSROOM INSTRUCTORS; INTRODUCES AND TRAINS HIGH SCHOOL STUDENTS TO CAREER EDUCATION PATHWAYS IN THE FIELD OF BIOTECHNOLOGY; AND MAKES INFORMATION AVAILABLE CONCERNING CARNEGIE'S SCIENTIFIC RESEARCH FINDINGS TO STUDENTS AND THE GENERAL PUBLIC. 67408196 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 0 0 0 0 1 1 0 0 0 1 0 0 0 1 111 0 1 489 1 1 1 1 CI 0 0 0 0 0 0 0 0 0 0 X 20 20 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DC MD X X CHRISTIN MARTEN 2023876400 5241 BROAD BRANCH ROAD NW WASHINGTON DC 20005 DR ERIC D ISAACS PRESIDENT 40.00 0.00 X 680685 0 309201 MICHAEL STAMBAUGH CHIEF INVESTMENT OFFICER 40.00 0.00 X 908241 0 65345 TIMOTHY P DOYLE CHIEF OPERATING OFFICER (END 03/21) 40.00 0.00 X 440033 0 80684 JOHN S MULCHAEY DIVISION DIRECTOR 40.00 0.00 X 343624 0 59076 RICHARD W CARLSON DIVISION DIRECTOR 40.00 0.00 X 313595 0 67142 EDWARD LAMADE INVESMENT DIRECTOR 40.00 0.00 X 324581 0 47887 ANN MCELWAIN CHIEF DEVELOPMENT OFFICER 40.00 0.00 X 296739 0 74066 BENJAMIN J ADERSON GENERAL COUNSEL & SECRETARY 40.00 0.00 X 300171 0 51885 MICHAEL WALTER DEPUTY DIVISION DIRECTOR 40.00 0.00 X 272781 0 77767 ANNA M MICHALAK DEPARTMENT DIRECTOR 40.00 0.00 X 296212 0 41450 YIXIAN ZHENG DIVISION DIRECTOR 40.00 0.00 X 285396 0 49178 JUNA KOLLMEIER SCIENTIFIC STAFF MEMBER 40.00 0.00 X 267187 0 59341 SEUNG YON RHEE SENIOR STAFF SCIENTIST 40.00 0.00 X 245318 0 51416 ZHIYONG WANG ACTING DIRECTOR & SNR STF SCI 40.00 0.00 X 235307 0 51538 GEORGE D CODY SCIENTIFIC STAFF MEMBER 40.00 0.00 X 227497 0 47940 MICHAEL MCCARTHY CHIEF OPERATING OFFICER (BEG 05/21) 40.00 0.00 X 0 0 0 CRAIG R BARRETT TRUSTEE/CHAIRMAN 4.00 0.00 X X 0 0 0 DAVID THOMPSON TRUSTEE/VICE CHAIRMAN 6.00 0.00 X X 0 0 0 MICHAEL WILSON TRUSTEE 1.00 0.00 X 0 0 0 MARSHALL WAIS TRUSTEE 2.00 0.00 X 0 0 0 CHRISTOPHER TS STONE TRUSTEE 1.00 0.00 X 0 0 0 CRISTIAN SAMPER TRUSTEE 2.00 0.00 X 0 0 0 RAY ROTHROCK TRUSTEE 1.00 0.00 X 0 0 0 CHRISTINE M MCCARTHY TRUSTEE 1.00 0.00 X 0 0 0 MARY E MAXON TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL LONG TRUSTEE 2.00 0.00 X 0 0 0 KATHERINE LAPP TRUSTEE 2.00 0.00 X 0 0 0 CHARLES F BOLDEN JR TRUSTEE 1.00 0.00 X 0 0 0 STEPHEN PA FODOR TRUSTEE 1.00 0.00 X 0 0 0 BRUCE W FERGUSON TRUSTEE 1.00 0.00 X 0 0 0 SANDRA M FABER TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL A DUFFY TRUSTEE 2.00 0.00 X 0 0 0 JOHN F CRAWFORD TRUSTEE 1.00 0.00 X 0 0 0 RUSH D HOLT JR TRUSTEE 1.00 0.00 X 0 0 0 SUSANNE NORA JOHNSON TRUSTEE 1.00 0.00 X 0 0 0 TOM KORZENECKI TRUSTEE (BEG 05/21) 1.00 0.00 X 0 0 0 5437367 0 1133916 116 1 1 0 HURON CONSULTING GROUP INC 550 W VAN BUREN ST CHICAGO IL 60607 FINANCIAL CONSULTING 813063 STANTON BLACKWELL 3825 N DITTMAR RD ARLINGTON VA 22207 BUSINESS STRATEGY CONSULTING 771195 CENTRIC CONSULTING INC 1215 LYONS RD DAYTON OH 45458 IT SYSTEMS CONSULTING 712736 SSI INCSPENCER STUART 353 N CLARK ST CHICAGO IL 60654 CONSULTING FIRM 306480 KPMG LLP 345 PARK AVE NEW YORK CITY NY 10154 AUDIT SERVICES 248700 30 11421858 4627003 467015 16048861 MAGELLAN TELESCOPE PROGRAM 541700 4986998 4986998 GMT CHALLENGE PROGRAM 541700 557367 557367 PLANT METABOLIC 541700 421451 421451 TELESCOPE NIGHTS 541700 343200 343200 GEOCHEMICAL SOCIETY OFFICE 541700 256788 256788 1471826 1471826 8037630 3900961 334010 3566951 1033540 1033540 349306 958848 -609542 -609542 -609542 412798257 313384086 71248 99414171 -71248 99342923 99342923 MOUNTAIN PRESENCE INCOME 721110 211556 211556 CELL TOWER RENTAL 900099 28131 28131 MISCELLANEOUS INCOME 900099 3876 3876 243563 127997936 8037630 362141 103549304 445646 445646 4497654 1191235 2911116 395303 34597607 31431579 1865441 1300587 4224903 3785105 240077 199721 6534383 5694802 520427 319154 2746161 2214470 386051 145640 159140 159140 248700 248700 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SECURITY LITIGATION INCOME - 2016 AMOUNT: $ 1,808,930. 2017 AMOUNT: $ 43,879. 2018 AMOUNT: $ 10,724. OTHER - 2016 AMOUNT: $ 334,902. 2017 AMOUNT: $ -374,400. 2018 AMOUNT: $ 882,239. 2019 AMOUNT: $ 36,680. 2020 AMOUNT: $ 3,876. MOUNTAIN PRESENCE INCOME - 2016 AMOUNT: $ -931,805. 2017 AMOUNT: $ 81,952. 2018 AMOUNT: $ 65,605. 2019 AMOUNT: $ 204,419. 2020 AMOUNT: $ 211,556. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 0 1 60400 0 0 60400 0 0 174303 X X X 0 776508102 619014 289000021 143799 50713069 2768991 1012501278 809799014 1677170 15888803 14055 48016412 2826418 776508102 830826623 729659 26582732 1500019 44847217 1992764 809799014 797500206 211703 82643613 2291722 44963820 2273357 830826623 744153617 16599 103067040 3168223 42901696 3667131 797500206 0.17360 0.05730 0.76910 1 0 817117 817117 97476281 43037497 54438784 176451512 118509468 57942044 2449171 2449171 115647116 ALTERNATIVE INVESTMENTS 192888346 F REAL ASSETS/NATURAL RESOURCES 175173861 F 368062207 ACCRUED POST-RETIREMENT BENEFIT 31650017 TAXABLE BONDS 150000000 181650017 X 349391393 224845122 2062451 226907573 122483820 6472964 -958848 5514116 127997936 87441318 0 87441318 6472964 -958848 5514116 92955434 PART III, LINE 4: ORGANIZATION'S COLLECTIONS THE COLLECTION OF THE CARNEGIE INSTITUTION OF WASHINGTON IS PREDOMINANTLY COMPOSED OF HISTORICAL ARTIFACTS RELATED TO ITS WORK IN SCIENTIFIC RESEARCH. THIS INCLUDES SCIENTIFIC SAMPLES, MATERIALS, DEVICES AND INSTRUMENTATION, AND PRINTED PUBLICATIONS. THE COLLECTION IS USED FOR SCHOLARLY REFERENCE AND STUDY OF THE INSTITUTION'S PAST SCIENTIFIC DISCOVERIES AS WELL AS FOR EDUCATION OF THE GENERAL PUBLIC. PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS THE ORGANIZATION'S ENDOWMENT FUNDS ARE INTENDED TO SUPPORT ITS OVERALL MISSION OF SUPPORTING SCIENTIFIC DISCOVERY "IN THE BROADEST AND MOST LIBERAL MANNER." PART X, LINE 2: FIN 48 FOOTNOTE CARNEGIE HAS ANALYZED THE TAX POSITIONS TAKEN AND HAS CONCLUDED THAT AS OF JUNE 30, 2021 AND 2020, THERE ARE NO UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION RELATED CHANGES 2,062,451. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -958,848. PART XII, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -958,848. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 OUR NON-DISCRIMINATION POLICY IS AVAILABLE ON OUR WEBSITE, WWW.CARNEGIESCIENCE.EDU, UNDER ANTI-DISCRIMINATION POLICY. SCHEDULE E, PART I, LINE 6 WE RECEIVE GRANTS AND PASS THROUGH FUNDS FROM SEVERAL FEDERAL AGENCIES INCLUDING THE NATIONAL SCIENCE FOUNDATION (NSF), THE UNITED STATES DEPARTMENT OF ENERGY (DOE), THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY (DHS), THE NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA), THE UNITED STATES DEPARTMENT OF AGRICULTURE (USDA), THE OFFICE OF NAVAL RESEARCH (ONR), THE NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST), AND OTHERS. THESE MONIES SUPPORT OUR SCIENTIFIC RESEARCH AND EDUCATION. EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 5000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES FIELDWORK 2402 SOUTH ASIA 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 846 SOUTH AMERICA 0 0 PROGRAM SERVICES TELESCOPE OPERATIONS (OBS) 5924259 SOUTH AMERICA 0 0 PROGRAM SERVICES GRANT FUNDED RESEARCH PROJECT 72785 SOUTH AMERICA 0 0 PROGRAM SERVICES FIELDWORK 13208 SOUTH AMERICA 0 0 PROGRAM SERVICES SALARIES PAID TO OBS EMPLOYEE 901083 SOUTH AMERICA 0 0 FUNDRAISING VIP- SOLAR ECLIPSE 2020 1747 0 0 0 0 0 0 6921330 0 6921330 1 0 1 1 1 0 PART III ACCOUNTING METHOD: 1 FELLOWSHIP 30 445646 PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS & OTHER ASSISTANCE IN US AS A RESEARCH INSTITUTION, CARNEGIE PROVIDES FELLOWS WITH THE OPPORTUNITY TO PURSUE INDEPENDENT RESEARCH AND THE TRAINING TO ACQUIRE THE ADDITIONAL SKILLS AND EXPERTISE NEEDED TO BECOME A SUCCESSFUL SCIENTIST. CARNEGIE MONITORS THE FELLOWSHIP EXPERIENCE TO ACHIEVE BOTH OBJECTIVES. FELLOWS PURSUE THEIR RESEARCH PROGRAM RELATIVELY INDEPENDENTLY BUT HAVE FULL ACCESS TO CARNEGIE FACILITIES AND STAFF MEMBERS AND TYPICALLY PERFORM THEIR EXPERIMENTS AND SCIENTIFIC WORK ON-SITE AND IN COLLABORATION WITH OTHER CARNEGIE SCIENTISTS. FELLOWS IN THE BIOLOGICAL SCIENCES APPLY TO CARNEGIE MAINLY TO LEARN THE RESEARCH TECHNIQUES AND RESEARCH AREAS OF A PARTICULAR CARNEGIE STAFF SCIENTIST, THAT IS, TO WORK IN THAT PRINCIPAL INVESTIGATOR'S (PI) LAB. LABS ROUTINELY ENGAGE A NUMBER OF DIFFERENT PEOPLE, INCLUDING A PI, TECHNICIANS, POSTDOCTORAL SCIENTISTS, AND RESEARCHERS. THE PI MONITORS THE WORK OF THE FELLOW ON AN ONGOING BASIS, CRITIQUES THE FELLOWS' RESEARCH, MAKES SUGGESTIONS FOR AVENUES TO EXPLORE, AND PROVIDES ONGOING MENTORING. FELLOWS IN THE PHYSICAL SCIENCES TYPICALLY COLLABORATE WITH A SENIOR STAFF MEMBER ON RESEARCH PROJECTS. THIS PROVIDES AN ONGOING VEHICLE FOR MONITORING AND SUPPORTING THE WORK OF THE FELLOW. FELLOWS ARE ASKED TO PRESENT AND DEFEND THEIR RESEARCH TO OTHER SCIENTISTS BOTH AT CARNEGIE AND AT OTHER INSTITUTIONS. THIS PROCESS HELPS TO MONITOR THE FELLOWS' SCIENTIFIC PROGRESS AND PERMITS ADJUSTMENTS AS NECESSARY. CARNEGIE'S VARIOUS ADMINISTRATIVE AND RESEARCH POLICIES APPLY TO FELLOWS. IN CARNEGIE'S STRUCTURE, DEPARTMENT DIRECTORS ARE RESPONSIBLE FOR ASSURING THAT FELLOWS FOLLOW THESE PROCEDURES AND CARRY OUT THE RESEARCH SUPPORTED THROUGH EXTERNALLY OR INTERNALLY-FUNDED FELLOWSHIPS. TO ENSURE SPONSORED PROGRAM DOLLARS ARE APPROPRIATELY USED, AND IN ACCORDANCE WITH APPLICABLE REGULATIONS, THE INSTITUTION APPLIES RIGOROUS FINANCIAL AND PROGRAMMATIC MONITORING. CARNEGIE CONDUCTS REGULAR ACCOUNT RECONCILIATIONS, SUBRECIPIENT MONITORING; WHEREIN SUBRECIPIENT ORGANIZATIONS ARE REQUIRED TO SUBMIT FINANCIAL AND TECHNICAL REPORTS. REPORTS AND INVOICES ARE REVIEWED FOR ACCURACY, AND COMPLIANCE WITH APPLICABLE TERMS AND CONDITIONS INCLUDING OMB 2 CFR 200 ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS. X X 1 1 X X X 0 1 0 1 0 0 0 1 0 DR ERIC D ISAACS PRESIDENT 659997 0 0 0 20688 0 279927 0 29274 0 989886 0 0 0 MICHAEL STAMBAUGH CHIEF INVESTMENT OFFICER 517827 0 390000 0 414 0 46899 0 18446 0 973586 0 0 0 TIMOTHY P DOYLE CHIEF OPERATING OFFICER (END 03/21) 420277 0 0 0 19756 0 51124 0 29560 0 520717 0 0 0 JOHN S MULCHAEY DIVISION DIRECTOR 318210 0 25000 0 414 0 48262 0 10814 0 402700 0 0 0 RICHARD W CARLSON DIVISION DIRECTOR 312376 0 0 0 1219 0 57000 0 10142 0 380737 0 0 0 EDWARD LAMADE INVESMENT DIRECTOR 274419 0 50000 0 162 0 38328 0 9559 0 372468 0 0 0 ANN MCELWAIN CHIEF DEVELOPMENT OFFICER 281809 0 14516 0 414 0 47567 0 26499 0 370805 0 0 0 BENJAMIN J ADERSON GENERAL COUNSEL & SECRETARY 280491 0 0 0 19680 0 39482 0 12403 0 352056 0 0 0 MICHAEL WALTER DEPUTY DIVISION DIRECTOR 272007 0 0 0 774 0 50955 0 26812 0 350548 0 0 0 ANNA M MICHALAK DEPARTMENT DIRECTOR 276442 0 0 0 19770 0 41110 0 340 0 337662 0 0 0 YIXIAN ZHENG DIVISION DIRECTOR 267122 0 0 0 18274 0 48838 0 340 0 334574 0 0 0 JUNA KOLLMEIER SCIENTIFIC STAFF MEMBER 217007 0 50000 0 180 0 32529 0 26812 0 326528 0 0 0 SEUNG YON RHEE SENIOR STAFF SCIENTIST 225404 0 0 0 19914 0 40777 0 10639 0 296734 0 0 0 ZHIYONG WANG ACTING DIRECTOR & SNR STF SCI 228317 0 0 0 6990 0 41278 0 10260 0 286845 0 0 0 GEORGE D CODY SCIENTIFIC STAFF MEMBER 226309 0 0 0 1188 0 24000 0 23940 0 275437 0 0 0 PART I, LINE 1A FIRST-CLASS TRAVEL COACH OR ECONOMY CLASS TRAVEL IS THE STANDARD FOR ALL BUSINESS TRAVEL; HOWEVER, THERE ARE CIRCUMSTANCES WHERE BUSINESS CLASS OR PREMIUM CLASS TRAVEL IS PERMITTED ONLY WITH PRE-APPROVAL. THE ORGANIZATION FOLLOWS ITS ACCOUNTABLE PLAN FOR ALL BUSINESS TRAVEL. HOUSING ALLOWANCE CARNEGIE'S POLICIES INCLUDE A PROVISION FOR HOUSING SUBSIDIES IN HIGH-COST AREAS FOR QUALIFYING STAFF MEMBERS. SIX STAFF MEMBERS QUALIFY FOR THE HOUSING ALLOWANCE. THESE BENEFITS ARE TREATED AS TAXABLE COMPENSATION AND INCLUDED ON THE STAFF MEMBER'S FORM W-2. PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PER APPROVAL OF THE BOARD AND HIS EMPLOYMENT AGREEMENT, DR. ERIC D. ISAACS ACCRUED $225,000 IN DEFERRED COMPENSATION DURING THE YEAR. PART I, LINE 5 CONTINGENT COMPENSATION CARNEGIE PAID COMPENSATION UPON AND DETERMINED IN PART BY THE REVENUES OF THE ORGANIZATION TO MICHAEL STAMBAUGH AND ANN MCELWAIN. CONTINGENT COMPENSATION IS REPORTED IN COLUMN B(II) OF SCHEDULE J, PART II. PART I, LINE 7 NON-FIXED PAYMENTS THE ORGANIZATION ESTABLISHES ANNUAL GOALS AND METRICS FOR ITS EMPLOYEES AND EXECUTIVES. BASED ON ATTAINMENT OF THESE GOALS AND METRICS, CERTAIN EMPLOYEES MAY BE AWARDED A PERFORMANCE BONUS. ALL BONUSES ARE CONSIDERED AS PART OF TOTAL COMPENSATION FOR REASONABLENESS. SEUNG YON RHEE DEPT DIR. MORTGAGE X 761694 251520 0 1 1 251520 X 7 445765 FMV X 1 21250 FMV 1 0 1 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). FORM 990, PART VI, SECTION A, LINE 2 FAMILY RELATIONSHIPS CHRISTOPHER STONE AND JOHN CRAWFORD: BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS CARNEGIE'S FINANCE DEPARTMENT, SENIOR STAFF AND ITS INDEPENDENT PAID PREPARER, GRANT THORNTON, WORK TOGETHER TO PREPARE AND REVIEW THE FORM 990. THE DRAFT FORM 990 IS THEN DISTRIBUTED TO MEMBERS OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT. AFTER THE AUDIT COMMITTEE HAS REVIEWED THE RETURN AND ITS FEEDBACK HAS BEEN INCORPORATED, THE RETURN IS DISTRIBUTED TO ALL MEMBERS OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT BEFORE IT IS FILED WITH THE IRS. TRUSTEES ARE ENCOURAGED TO CONTACT THE CHIEF OPERATING OFFICER OR DIRECTOR OF FINANCE WITH ANY QUESTIONS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY CARNEGIE HAS ADOPTED CONFLICT OF INTEREST POLICIES THAT APPLY TO THE INSTITUTION'S TRUSTEES, CORPORATE OFFICERS, AND EMPLOYEES. THESE POLICIES REQUIRE EACH TRUSTEE TO COMPLETE ANNUALLY A FORM TO DISCLOSE ANY POTENTIAL CONFLICTS OF INTEREST. THE FORMS ARE COLLECTED BY THE CORPORATE SECRETARY, AND ANY DISCLOSURES ARE SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES OR RELEVANT COMMITTEE OF THE BOARD FOR REVIEW AND APPROVAL. SIMILARLY, ALL EMPLOYEES OF CARNEGIE (INCLUDING CORPORATE OFFICERS) ARE REQUIRED, UPON HIRING AND ANNUALLY THEREAFTER, TO REPORT THEIR POTENTIAL CONFLICTS OF INTEREST. DEPARTMENT DIRECTORS REVIEW ALL POTENTIAL CONFLICTS FOR EMPLOYEES IN THEIR DEPARTMENTS. THE PRESIDENT REVIEWS ALL POTENTIAL CONFLICTS FOR DEPARTMENT DIRECTORS. THE BOARD OF TRUSTEES REVIEWS ALL POTENTIAL CONFLICTS FOR THE CORPORATE OFFICERS. THROUGHOUT THE YEAR, EACH INDIVIDUAL SUBJECT TO THE CONFLICT OF INTEREST POLICIES IS REQUIRED TO UPDATE HIS/HER DISCLOSURE STATEMENT TO INCLUDE ANY INFORMATION REQUIRED TO BE DISCLOSED. THE SIGNED EMPLOYEE DISCLOSURE FORMS ARE KEPT IN THE EMPLOYEE'S PERSONNEL FILE. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING EXECUTIVE COMPENSATION CARNEGIE ENGAGES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO CONDUCT A COMPENSATION STUDY TO EVALUATE THE REASONABLENESS OF THE TOTAL PROPOSED COMPENSATION FOR THE ORGANIZATION'S "DISQUALIFIED PERSONS" UNDER TREAS. REG. 53.4958-3 WITHOUT REGARD TO WHETHER THE PERSON HAS BEEN ELECTED AN OFFICER. THE INDEPENDENT COMPENSATION STUDY FOCUSES ON THE COMPENSATION PAID TO FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY-SITUATED ORGANIZATIONS AND ALSO CONSIDERS INDUSTRY COMPENSATION SURVEYS. THE COMPENSATION STUDY IS PROVIDED TO THE ORGANIZATION'S HUMAN RESOURCES AND COMPENSATION COMMITTEE, TOGETHER WITH A REASONED WRITTEN OPINION FROM THE COMPENSATION CONSULTANT THAT THE PROPOSED COMPENSATION ARRANGEMENTS FOR THE DISQUALIFIED PERSONS ARE "REASONABLE" WITHIN THE MEANING OF TREAS. REG. 53.4958-4(B)(1)(II)(A). THE HUMAN RESOURCES AND COMPENSATION COMMITTEE SETS COMPENSATION FOR EACH DISQUALIFIED PERSON AND MAKES A RECOMMENDATION TO THE FULL BOARD OF TRUSTEES WITH RESPECT TO COMPENSATION FOR THE PRESIDENT. THE FULL BOARD THEN REVIEWS THE COMPENSATION STUDY AND OPINION FOR THE PRESIDENT TOGETHER WITH THE RECOMMENDATION OF THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND MAKES A DECISION WITH RESPECT TO THE PRESIDENT'S COMPENSATION. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND BOARD RELY ON THE COMPENSATION CONSULTANT'S OPINION AND COMPENSATION STUDY TO GUIDE ITS REVIEW, DELIBERATION, AND APPROVAL OF THE PROPOSED COMPENSATION ARRANGEMENTS, AND ITS DECISIONS REGARDING COMPENSATION (INCLUDING THE BASES FOR THESE DECISIONS) ARE DOCUMENTED IN THE MEETING MINUTES. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND TRUSTEES WHO VOTE ON COMPENSATION FOR DISQUALIFIED PERSONS AND THE PRESIDENT DO NOT HAVE A CONFLICT OF INTEREST WITH REGARD TO THESE COMPENSATION ARRANGEMENTS. THE LAST COMPENSATION REVIEW OCCURRED ON APRIL 30, 2021. FORM 990, PART VI, SECTION C, LINE 19 MAKING ORGANIZATIONAL DOCUMENTS AVAILABLE TO THE PUBLIC IN ACCORDANCE WITH TREAS. REG. 301.6104(D)-1(A)(1) AND IRS NOTICE 2007-45, COPIES OF CARNEGIE'S THREE MOST RECENT FORMS 990 ARE MADE AVAILABLE FOR INSPECTION BY THE PUBLIC DURING REGULAR BUSINESS HOURS AT CARNEGIE'S OFFICE IN WASHINGTON, DC. CARNEGIE'S MOST RECENT FORM 990 IS ALSO MADE AVAILABLE TO THE PUBLIC ON THE INSTITUTION'S WEBSITE. THE ORGANIZATION MAKES IT GOVERNING DOCUMENTS AVAILABLE TO THE EXTENT REQUIRED BY LAW. THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS AND STAFF CONFLICT OF INTEREST POLICY ARE ALSO MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: POST RETIREMENT BENEFIT COST 2,062,451. CARNEGIE SCIENCE HOLDINGS 813 SANTA BARBARA STREET PASADENA CA 91101 843506481 HOLDING DE CIS C -2761 35770 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0