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SECURITY LITIGATION INCOME - 2015 AMOUNT: $ -379,199. 2016 AMOUNT: $ 1,808,930. 2017 AMOUNT: $ 43,879. 2018 AMOUNT: $ 10,724. OTHER - 2015 AMOUNT: $ 201,698. 2016 AMOUNT: $ 334,902. 2017 AMOUNT: $ -374,400. 2018 AMOUNT: $ 882,239. 2019 AMOUNT: $ 36,680. MOUNTAIN PRESENCE INCOME - 2015 AMOUNT: $ 823,961. 2016 AMOUNT: $ -931,805. 2017 AMOUNT: $ 81,952. 2018 AMOUNT: $ 65,605. 2019 AMOUNT: $ 204,419. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 1 0 0 0 0 1 20000 0 0 20000 0 174303 X X X 0 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 819540019 130750 -29062673 3026553 41059613 2368313 744153617 0.17130 0.07450 0.75420 1 0 817117 817117 96891387 40611901 56279486 0 179646240 119716680 59929560 1249998 1249998 118276161 413696 F ALTERNATIVE INVESTMENTS 185817801 F REAL ASSETS/NATURAL RESOURCES 165122989 F 351354486 BOND FUND 120582134 120582134 TAXABLE BOND PAYABLE 50100000 ACCRUED POSTRETIREMENT BENEFIT 32741413 TAXABLE BONDS 100000000 182841413 X 38685116 -26138179 -4359639 -30497818 69182934 5995306 -1218823 4776483 73959417 89219161 0 89219161 5995306 -1218823 4776483 93995644 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, 2020 AND 2019, THERE ARE NO UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF DISCLOSURE IN THE FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED SWAP GAIN/LOSS -710,640. PENSION-RELATED CHANGES -3,648,999. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -1,218,823. PART XII, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -1,218,823. 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. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 363172300 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 65202 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES FIELDWORK 21598 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 2140893 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 166291 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES FIELDWORK 26473 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 45433 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 20108 NORTH AMERICA 0 0 INVESTMENTS 4232336 NORTH AMERICA 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 5663 SOUTH AMERICA 0 0 INVESTMENTS 2246754 SOUTH AMERICA 0 0 PROGRAM SERVICES TELESCOPE OPERATIONS (OBS) 7455801 SOUTH AMERICA 0 0 PROGRAM SERVICES OTHER 86974 SOUTH AMERICA 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 2803 SOUTH AMERICA 0 0 PROGRAM SERVICES FIELDWORK 252733 SOUTH AMERICA 0 92 FUNDRAISING 202985 0 0 0 92 0 92 365658298 14486049 380144347 1 0 1 1 1 0 PART III ACCOUNTING METHOD: 1 FELLOWSHIP 12 2714963 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 A 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 X 1 1 X X X 0 1 0 1 0 0 0 1 0 DR ERIC D ISAACS PRESIDENT 826242 0 50000 0 20188 0 203256 0 20465 0 1120151 0 0 0 MICHAEL STAMBAUGH CHIEF INVESTMENT OFFICER 472714 0 250000 0 414 0 45472 0 20463 0 789063 0 0 0 TIMOTHY P DOYLE CHIEF OPERATING OFFICER 393368 0 0 0 19770 0 49560 0 23313 0 486011 0 0 0 MICHAEL WALTER DEPUTY DIVISION DIRECTOR 330220 0 0 0 774 0 46752 0 13050 0 390796 0 0 0 ANN MCELWAIN CHIEF DEVELOPMENT OFFICER 280437 0 14516 0 414 0 46130 0 17338 0 358835 0 0 0 RICHARD W CARLSON DIVISION DIRECTOR 287519 0 0 0 2286 0 55600 0 6736 0 352141 0 0 0 EDWARD LAMADE INVESMENT DIRECTOR 261536 0 50000 0 162 0 35954 0 976 0 348628 0 0 0 JOHN S MULCHAEY DIVISION DIRECTOR 279738 0 0 0 414 0 45685 0 7177 0 333014 0 0 0 YIXIAN ZHENG DIVISION DIRECTOR 252998 0 0 0 18274 0 47193 0 340 0 318805 0 0 0 BENJAMIN J ADERSON GENERAL COUNSEL & SECRETARY 253264 0 0 0 19162 0 36919 0 7239 0 316584 0 0 0 KENNETH G CALDEIRA SENIOR STAFF SCIENTIST EMERITUS 249756 0 0 0 1188 0 49191 0 13839 0 313974 0 0 0 JOSEPH A BERRY SNR STAFF SCIENTIST EMERITUS 227024 0 0 0 22997 0 47200 0 13721 0 310942 0 0 0 JUNA KOLLMEIER SCIENTIFIC STAFF MEMBER 206195 0 50000 0 180 0 30502 0 17813 0 304690 0 0 0 GEORGE D CODY SCIENTIFIC STAFF MEMBER 223874 0 0 0 774 0 43667 0 20942 0 289257 0 0 0 SEUNG YON RHEE SENIOR STAFF SCIENTIST 220316 0 0 0 19414 0 39660 0 9650 0 289040 0 0 0 ZHIYONG WANG ACTING DIRECTOR & SNR STF SCI 212230 0 0 0 19774 0 40158 0 7000 0 279162 0 0 0 ANNA M MICHALAK DEPARTMENT DIRECTOR 210284 0 0 0 18680 0 33601 0 340 0 262905 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. PART I, LINE 1A: 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 1A: TRAVEL FOR COMPANIONS TRAVEL FOR COMPANIONS WAS ALLOWED PURSUANT TO POLICY AND PAID FOR DR. ISAACS' SPOUSE. THIS BENEFIT IS INCLUDED WITHIN SCHEDULE J, PART II, COLUMN B(III). PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PER APPROVAL OF THE BOARD AND HIS EMPLOYMENT AGREEMENT, DR. ERIC D. ISAACS ACCRUED $150,000 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 NONFIXED 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. A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY 521705592 130178VS2 2010-03-24 34525000 REFUND PRIOR BONDS TO FINANCE 0 0 0 B MARYLAND HEALTH AND HIGHER EDUCATIONAL FACILITIES 520936091 574217JB2 2010-02-04 30580000 REFUND PRIOR BONDS TO CONSTRUCTION/EQ 0 0 0 A 36365183 565183 35800000 2003 1 0 1 1 B 30505440 553594 29951846 2005 1 0 1 1 A 0 0 0 0 1 0 1 B 0 0 0 0 1 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 PART II, LINE 3, BONDS A AND B THE DIFFERENCE BETWEEN THE ISSUE PRICE LISTED IN PART I, COLUMN (E) AND THE TOTAL PROCEEDS OF ISSUE IN PART II, LINE 3 FOR BOND A AND BOND B REPRESENT PREMIUMS OR DISCOUNTS. PART II, LINE 7 03/24/2010 - 34,525,000 CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY (CEFA) - THIS ISSUE WAS USED TO REFUND $17.5 MILLION OF 1993 SERIES B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY REVENUE TAX EXEMPT BONDS AND $18.3 MILLION OF 2006 SERIES A CEFA REFUNDING REVENUE TAX-EXEMPT BONDS WHICH REFUNDED ALL OUTSTANDING 1993 SERIES A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY REVENUE TAX EXEMPT BONDS. 1993 SERIES A & B BONDS WERE USED TO FINANCE THE MAGELLAN TELESCOPE PROJECT AND THE RENOVATION OF THE FACILITIES OF THE OBSERVATORIES AT PASADENA. THE TELESCOPE PROJECT WAS COMPLETED IN 2003. THE 2010 SERIES WAS ISSUED AT A PREMIUM OF $1,840,183 AND AMOUNTS IN EXCESS OF $35.8 MILLION WERE USED TO COVER ISSUANCE COSTS. PART II, LINE 7 02/04/2010 - 30,580,000 MARYLAND HEALTH & HIGHER EDUCATIONAL FACILITIES (MHHEFA) - THIS ISSUE WAS USED TO REFUND PRIOR MHHEFA BONDS OF $30 MILLION ISSUED IN OCTOBER, 2002, THE PROCEEDS OF WHICH WERE USED TO CONSTRUCT AND EQUIP A NEW FACILITY FOR CARNEGIE'S DEPARTMENT OF EMBRYOLOGY ON THE JOHNS HOPKINS HOMEWOOD CAMPUS IN BALTIMORE, MARYLAND. CONSTRUCTION BEGAN IN APRIL 2003 AND THE FACILITY WAS OCCUPIED IN SEPTEMBER 2005. THE 2010 SERIES WAS ISSUED AT A DISCOUNT OF $74,561 AND AMOUNTS BORROWED IN EXCESS OF $30 MILLION WERE USED TO COVER ISSUANCE COSTS. SEUNG YON RHEE DEPT DIR MORTGAGE X 381616 309667 0 1 1 309667 X 3 20546 FMV X 1 11700 COST X EQUIPMENT 1 700 COST 2 0 1 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION: THE CONDUCT OF SCIENTIFIC DISCOVERY, RESEARCH AND EDUCATION IN THE FIELDS OF PLANT BIOLOGY, DEVELOPMENTAL BIOLOGY, EARTH AND PLANETARY SCIENCES, ASTRONOMY, AND GLOBAL ECOLOGY. FORM 990, PART III, LINE 1 THE 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." FORM 990, PART III, LINE 4A PROGRAM SERVICE ACTIVITY #1 CARNEGIE 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. FORM 990, PART III, LINE 4B PROGRAM SERVICE ACTIVITY #2 EDUCATION - 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. 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 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. 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 ITS 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: UNREALIZED SWAP GAIN/(LOSS) -710,640. PERIODIC POSTRETIREMENT BENEFIT COST -3,648,999. UNREALIZED FX GAIN/(LOSS) -471. CARNEGIE SCIENCE HOLDINGS 813 SANTA BARBARA STREET PASADENA CA 91101 843506481 HOLDING DE CIS C -2793 -14755 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0