2021-10-15T09:52:23-05:00 2020-12-31 560747981 DIXON HUGHES GOODMAN LLP 1410 SPRING HILL ROAD SUITE 500 TYSONS VA 221023056 990 2020-01-01 522204208 FS-ISAC INC FS-I 5714463877 12120 SUNSET HILLS ROAD NO 500 RESTON VA 20190 DANIELLE METZLER CFO 5714463877 2021-10-14 1 DANIELLE METZLER 999009999 AMY BIBBY P00445891 7039700400 2021-09-28 0 AAL1 IAL1 2020 2022-09-23 18:48:47Z STEVEN SILBERSTEIN 12120 SUNSET HILLS ROAD NO 500 RESTON VA 20190 37920416 0 X WWW.FSISAC.COM X 2003 DE SEE PART III, LINE 1. 15 15 102 15 0 0 0 715000 39181236 34119955 39120 -1181616 12143 1027365 39232499 34680704 10279 2953 0 0 22480624 21178001 0 0 0 18735453 16323906 41226356 37504860 -1993857 -2824156 26763353 14595112 25125777 15781691 1637576 -1186579 X THE FS-ISAC'S MISSION IS TO HELP ASSURE THE RESILIENCE AND CONTINUITY OF THE GLOBAL FINANCIAL SERVICES INFRASTRUCTURE AND INDIVIDUAL FIRMS AGAINST ACTS THAT COULD SIGNIFICANTLY IMPACT THE SECTOR'S ABILITY TO PROVIDE SERVICES CRITICAL TO THE ORDERLY FUNCTIONING OF THE GLOBAL FINANCIAL SERVICES INDUSTRY. 0 1 MEMBERSHIP IN FS-ISAC GIVES ORGANIZATIONS EARLY NOTIFICATION OF SECURITY THREATS AND ATTACKS, ANONYMOUS INFORMATION SHARING AMONG THE FINANCIAL SERVICES INDUSTRY, REGULARLY SCHEDULED MEMBER MEETINGS AND BI-WEEKLY CONFERENCE CALLS. MEMBERS MAY ATTEND VIRTUAL CONFERENCES FOUR TIMES PER YEAR WHERE THEY CAN NETWORK AND BRAINSTORM WITH OTHER MEMBERS, AFFILIATES AND SPONSORS IN A WORKGROUP AND SEMINAR SETTING. MEMBERS SHARE BEST PRACTICES IN CYBER SECURITY AS WELL AS PARTICIPATE IN EXERCISES TO IMPROVE RESILIENCY. REGIONAL EVENTS PROVIDE MEMBERS WITH AN INCREASED AWARENESS OF INDUSTRY RISKS INCLUDING EXPOSURE TO ONLINE ACCOUNT TAKEOVER. INCREASED MEMBERSHIP WILL INCREASE THE ABILITY OF FS-ISAC TO MITIGATE RISKS TO THE GLOBAL FINANCIAL SERVICES INDUSTRY. 0 1 0 1 0 0 0 0 0 1 0 0 0 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 1 1 1 0 0 1 38 0 1 102 1 0 1 SN 0 0 0 0 0 0 X 15 15 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 0 0 X X DANIELLE METZLER 5714463877 12120 SUNSET HILLS ROAD NO 500 RESTON VA 20190 JERRY PERULLO BOARD MEMBER 0.20 X 0 0 0 GLENN FOSTER BOARD MEMBER 0.20 X 0 0 0 TIM BYRD BOARD MEMBER 0.20 X 0 0 0 MEG ANDERSON BOARD MEMBER 0.20 X 0 0 0 ANN BARRON-DICAMILLO BOARD MEMBER 0.20 X 0 0 0 GAVIN FRAMPTON BOARD MEMBER 0.20 X 0 0 0 MATTHEW HARPER BOARD MEMBER 0.20 X 0 0 0 KORAL ANDERSON BOARD MEMBER 0.20 X 0 0 0 BEATE ZWIJNENBERG BOARD MEMBER 0.20 X 0 0 0 DEBORAH GUILD BOARD MEMBER 0.20 X 0 0 0 LAURA DEANER BOARD MEMBER 0.20 X 0 0 0 KRISTOPHER FADOR BOARD MEMBER 0.20 X 0 0 0 JENNY MENNA BOARD MEMBER 0.20 X 0 0 0 GARY OWEN BOARD MEMBER 0.20 X 0 0 0 SHAUN KHALFAN BOARD MEMBER 0.20 X 0 0 0 STEVEN SILBERSTEIN CEO 40.00 X 994682 0 44077 DANIELLE METZLER CFO 40.00 X 358709 0 49250 BRIAN TISHUK SECRETARY & GENERAL COUNSEL 40.00 X 336890 0 20031 SCOTT E DEPASQUALE CEO - FSARC 40.00 X 836929 0 33962 DONALD CARDINAL MANAGING DIRECTOR FDX 40.00 X 220886 0 42101 TREY MAUST CEO - SHELTERED HARBOR 40.00 X 145353 0 3631 CARLOS RECALDE PRESIDENT & COO SHELTERED HARBOR 40.00 X 405986 0 16000 AMANDA CODY CHIEF INFORMATION SECURITY OFFICER 40.00 X 309643 0 20778 MICHAEL SILVERMAN VP OF STRATEGY 40.00 X 183534 0 38815 ROBIN FANTIN SVP, BUSINESS DEVELOPMENT 40.00 X 488147 0 42201 JOHN CARLSON CHIEF OF STAFF 40.00 X 282058 0 8478 GREGORY TEMM CHIEF INFO RISK OFFICER 40.00 X 294039 0 39290 GREGORY GIST VICE PRESIDENT EXERCISE 40.00 X 177607 0 10281 ANNE F MOORE FSARC SR INTELLIGENCE ADVISOR 40.00 X 389605 0 17198 NARESH NAGIA FSARC - CHIEF RISK OFFICER 40.00 X 363440 0 19633 WAYNE GREENE FSARC CHIEF INFORMATION OFFICER 40.00 X 343250 0 16254 CHRISTOPHER J BUTTON DIRECTOR OF INTELLIGENCE 40.00 X 310595 0 13609 ADRIANA VILLASENOR VILLAREAL CHIEF COMMUNICATIONS OFFICER 40.00 X 301246 0 12638 6742599 0 448227 60 0 1 0 GLOBANT LLC 875 HOWARD ST STE 320 SAN FRANCISCO CA 94103 COMPUTER CONSULTANTS 363650 CENTER FOR MODEL BASED REGULATION (SHAUN 3549 FOXHALL DRIVE DAVIDSONVILLE MD 21034 CYBER CONSULTANT 212533 BRETZ LLC 2254 SHADY CREEK TRAIL VESTAVIA HILLS AL 35216 CYBER CONSULTANT 184584 ELIZABETH GOULD HEALTHFIELD (VIRTUOSITY 8 LITTLE JOHN PLACE WHITE PLAINS NY 10606 MARKETING CONSULTANT 174994 WIPFLI LLP 11 SCOTT ST WAUSAU WI 544028010 ACCOUNTING FIRM 149372 12 715000 715000 MEMBERSHIPS 900099 29285394 29285394 CONFERENCES 900099 3231147 3231147 EXERCISES 900099 764290 764290 WEBINARS 900099 653186 653186 OTHER 900099 185938 185938 34119955 58096 58096 3657 0 3657 3657 3657 2000000 2015233 1224479 -15233 -1224479 -1239712 -1224479 -15233 FSARC 900099 832306 832306 CURRENCY LOSS 900099 -82776 -82776 274178 274178 1023708 34680704 33922841 0 42863 X 2000 953 5403358 13398244 126436 1273548 976415 778159 76157 5852591 382292 499660 5698932 1127700 218413 338240 3713 859064 41083 BAD DEBT EXPENSE 332492 CREDIT CARD PROCESSING 115035 PAYROLL PROCESSING 375 37504860 5709278 2291709 10748854 1496152 6125134 623249 1761594 1311573 3309526 838038 1240593 2471488 1015234 6340953 162666 59988 26763353 14595112 7711629 3986121 17271365 10721713 142783 1073857 25125777 15781691 X 1637576 -1186579 1637576 -1186579 26763353 14595112 X -2824156 1 X X 0 1 X 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 1597680 2735 1594945 803319 573159 230160 908527 262144 646383 2471488 DEFERRED RENT ABATEMENT 44528 LEASE SECURITY DEPOSITS 8720 LEASE INCENTIVE LIABILITY 1020609 1073857 X 27877562 0 27877562 6803142 6803142 34680704 30580248 0 30580248 6924612 6924612 37504860 PART X, LINE 2: FOR THE YEAR ENDED DECEMBER 31, 2020, THE ORGANIZATION HAS DOCUMENTED ITS CONSIDERATION OF FASB ASC 740-10, INCOME TAXES, THAT PROVIDES GUIDANCE FOR REPORTING UNCERTAINTY IN INCOME TAXES AND HAS DETERMINED THAT NO MATERIAL UNCERTAIN TAX POSITIONS QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: ARC REVENUE 6,678,145. AFS REVENUE/EXPENSE DIFFERENCE 124,997. PART XII, LINE 4B - OTHER ADJUSTMENTS: ARC EXPENSES 6,799,614. AFS REVENUE/EXPENSE DIFFERENCE 124,997. ROUNDING 1. EAST ASIA AND THE PACIFIC 1 8 PROGRAM SERVICE ACTIVITIES OFFICE AND EMPLOYEES, SUPPORT SERVICES 1303567 EUROPE (INCLUDING ICELAND & GREENLAND) 1 10 PROGRAM SERVICE ACTIVITIES OFFICE AND EMPLOYEES, SUPPORT SERVICES 1576288 2 18 0 0 2 18 2879855 0 2879855 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X 1 1 X X 1 0 0 STEVEN SILBERSTEIN CEO 650872 0 340000 0 3810 0 24999 0 19078 0 1038759 0 0 0 SCOTT E DEPASQUALE CEO - FSARC 436929 0 400000 0 0 0 14263 0 19699 0 870891 0 0 0 ROBIN FANTIN SVP, BUSINESS DEVELOPMENT 435888 0 51098 0 1161 0 13500 0 28701 0 530348 0 0 0 CARLOS RECALDE PRESIDENT & COO SHELTERED HARBOR 402176 0 0 0 3810 0 16000 0 0 0 421986 0 0 0 DANIELLE METZLER CFO 277419 0 80000 0 1290 0 22200 0 27050 0 407959 0 0 0 ANNE F MOORE FSARC SR INTELLIGENCE ADVISOR 262500 0 105000 0 22105 0 17198 0 0 0 406803 0 0 0 NARESH NAGIA FSARC - CHIEF RISK OFFICER 187500 0 0 0 175940 0 13264 0 6369 0 383073 0 0 0 WAYNE GREENE FSARC CHIEF INFORMATION OFFICER 233250 0 110000 0 0 0 9625 0 6629 0 359504 0 0 0 BRIAN TISHUK SECRETARY & GENERAL COUNSEL 255607 0 80000 0 1283 0 2607 0 17424 0 356921 0 0 0 GREGORY TEMM CHIEF INFO RISK OFFICER 218623 0 75000 0 416 0 13262 0 26028 0 333329 0 0 0 AMANDA CODY CHIEF INFORMATION SECURITY OFFICER 254177 0 55000 0 466 0 11536 0 9242 0 330421 0 0 0 CHRISTOPHER J BUTTON DIRECTOR OF INTELLIGENCE 206250 0 100000 0 4345 0 12675 0 934 0 324204 0 0 0 ADRIANA VILLASENOR VILLAREAL CHIEF COMMUNICATIONS OFFICER 250802 0 50000 0 444 0 3750 0 8888 0 313884 0 0 0 JOHN CARLSON CHIEF OF STAFF 166587 0 70000 0 45471 0 8478 0 0 0 290536 0 0 0 DONALD CARDINAL MANAGING DIRECTOR FDX 188234 0 31500 0 1152 0 13890 0 28211 0 262987 0 0 0 MICHAEL SILVERMAN VP OF STRATEGY 183166 0 0 0 368 0 11765 0 27050 0 222349 0 0 0 GREGORY GIST VICE PRESIDENT EXERCISE 114821 0 32000 0 30786 0 5823 0 4458 0 187888 0 0 0 PART I, LINE 1A FOR BRIAN HANSEN, A US CITIZEN LIVING AND WORKING IN SINGAPORE, WE PAID SINGAPORE TAX LIABILITY IN JUNE 2020 RELATED TO 2019 OF S$25,748.95. THIS DOLLAR FIGURE WAS PAID THROUGH PAYROLL ($18,539.24 US) AND WAS EQUAL TO HIS TAX LIABILITY. PART I, LINE 4A JOHN CARLSON - $44,825 SEVERANCE PAYMENT GREG GIST - $30,786 SEVERANCE PAYMENT NARESH NAGIA - $165,000 SEVERANCE PAYMENT PART I, LINE 7 BONUSES BASED ON COMPANY ACHIEVEMENTS AARON SILBERSTEIN AARON IS THE SON OF STEVEN SILBERSTEIN, PRESIDENT AND CEO 11040 COMPENSATION 0 FORM 990, PART III, LINE 3 FINANCIAL SYSTEMATIC ANALYSIS AND RESILIENCE CENTER (FSARC), A DISREGARDED LLC OF THE ORGANIZATION, WAS DISSOLVED ON OCTOBER 30, 2020. FSARC'S MISSION WAS TO PROACTIVELY IDENTIFY, ANALYZE, ASSESS AND COORDINATE ACTIVITIES TO MITIGATE SYSTEMATIC RISK TO THE UNITED STATES OF AMERICA'S FINANCIAL SYSTEM FROM CYBERSECURITY THREADS AND EMERGING TRENDS THROUGH FOCUSED OPERATION, AND ENABLE COLLABORATION BETWEEN PARTICIPANTS, INDUSTRY PARTNERS AND THE UNITED STATES GOVERNMENT. THE ASSETS OF FSARC WERE TRANSFERRED TO ANALYSIS AND RESILIENCE CENTER FOR SYSTEMATIC RISK (ARC), ANOTHER 501(C)(6) ORGANIZATION. FORM 990, PART VI, SECTION B, LINE 11B THE 990 WAS PREPARED BY THE OUTSIDE ACCOUNTANTS AND THEN REVIEWED BY THE CFO AND CEO. IT WAS THEN DISTRIBUTED TO THE BOARD OF DIRECTORS BEFORE FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C A CONFLICT OF INTEREST IS PRESENT WHENEVER A DIRECTOR HAS A MATERIAL PERSONAL INTEREST IN A PROPOSED TRANSACTION OR BUSINESS OPPORTUNITY BEING CONSIDERED BY FS-ISAC. THIS INTEREST OCCURS EITHER DIRECTLY OR INDIRECTLY, AS, FOR EXAMPLE, WHERE THE DIRECTOR'S EMPLOYER OR A COMPANY UPON WHOSE BOARD THE DIRECTOR ALSO SERVES HAS A BUSINESS INTEREST ADVERSE TO THE INTEREST OF FS-ISAC. IN THESE CASES, THE DIRECTOR OR COMMITTEE MEMBER GIVES THE APPEARANCE OF HAVING DIVIDED LOYALTIES AND NOT ACTING IN THE BEST INTERESTS OF FS-ISAC. THE DUTY OF LOYALTY REQUIRES THAT A DIRECTOR BE CONSCIOUS OF THE POTENTIAL FOR CONFLICTS OF INTEREST AND ACT WITH CANDOR AND CARE IN DEALING WITH A CONFLICT PRIOR TO THE DISCUSSION OR PRESENTATION OF SUCH MATTER BEFORE THE BOARD OR COMMITTEE. EACH EMPLOYEE AND BOARD MEMBER IS ASKED TO SIGN A COI STATEMENT AT THE TIME OF HIRE/APPOINTMENT AND THEN ANNUALLY. IT IS THE POLICY OF THE FS-ISAC BOARD THAT ANY DIRECTOR HAVING AN ACTUAL OR APPARENT CONFLICT OF INTEREST IN A MATTER TO BE ACTED UPON BY THE BOARD OR A COMMITTEE DISCLOSES THE CONFLICT PRIOR TO THE DISCUSSION OR PRESENTATION OF SUCH MATTER. IF POSSIBLE, THE CONFLICT IS DISCLOSED TO THE CHAIR OF THE MEETING IN ADVANCE OF THE MEETING. THE DIRECTOR CONSIDERS WHETHER IT IS ADVISABLE UNDER THE CIRCUMSTANCES TO RECUSE HIMSELF/HERSELF FROM THE DISCUSSION AND/OR VOTE AND RECUSE HIMSELF/HERSELF, IF REQUESTED TO BY THE CHAIR OF THE MEETING. FORM 990, PART VI, SECTION B, LINE 15A THE ORGANIZATION HAS AN APPROVED BUSINESS PLAN AND BUDGET. THE CEO'S PERFORMANCE IS EVALUATED BASED UPON SEVERAL FACTORS, INCLUDING REACHING THE BUSINESS PLAN OBJECTIVES. BASED UPON THIS EVALUATION, THE CEO'S ANNUAL COMPENSATION IS DETERMINED BY THE CHAIRMAN AND THE COMPENSATION COMMITTEE. COMPARABLE DATA IS ALSO USED AND THE COMPENSATION PROCESS IS DOCUMENTED. THE LAST SALARY REVIEW DATE FOR THE CEO WAS DECEMBER 2019. KEY EMPLOYEE COMPENSATON IS DONE BY THE CEO BASED UPON EACH INDIVIDUAL'S ABILITY TO MEET HIS/HER PERFORMANCE OBJECTIVES, WHICH INCLUDE BOTH PERSONAL AND ORGANIZATIONAL GOALS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G OTHER PROFESSIONAL FEES 5,852,591. FORM 990, PART XI, LINE 9: ROUNDING 1. FORM 990, PART XII, LINE 2C: THE OVERSIGHT AND SELECTION PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR SHELTERED HARBOR ONE NEW YORK PLAZA 3RD FLOOR NEW YORK NY 10004 522204208 ENHANCE THE FINANCIAL SERVICES INDUSTRY'S DISASTER EVENT CAPABILITIES DE 2347736 507997 FS-ISAC FINANCIAL SECTOR SECURITY AUTOMATION GROUP LLC (SAWG) 12120 SUNSET HILLS ROAD SUITE 500 RESTON VA 20190 464042047 DEVELOP AN AUTOMATED SYSTEM DESIGNED FOR SHARING OF SECURITY INTELLIGENCE VA 0 0 FS-ISAC FINANCIAL DATA EXCHANGE LLC (FDX) 12120 SUNSET HILLS ROAD SUITE 500 RESTON VA 20190 522204208 ENSURE RESILIENCE & CONTINUITY OF TE GLOBAL FINANCIAL SVCS DE 2012013 1134722 FS-ISAC FSARC 12120 SUNSET HILLS ROAD SUITE 500 RESTON VA 20190 522204208 ENHANCE THE US FINANCIAL SYSTEM'S CRITICAL INFRASTRUCTURE RESILIENCY DE 6678145 0 FS-ISAC FS-ISAC SAG 12120 SUNSET HILLS ROAD RESTON VA 22001 471870224 INVESTMENTS DE FS-ISAC C 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0