2021-05-17T18:28:57-05:00 2020-06-30 271728945 PKF O'CONNOR DAVIES LLP 500 MAMARONECK AVENUE HARRISON NY 105281633 990 2019-07-01 132926426 GRAHAM WINDHAM GRAH 2125296445 ONE PIERREPONT PLAZA SUITE 901 BROOKLYN NY 11201 JESS DANNHAUSER PRESIDENT & CEO 2125296445 2021-05-17 1 GARRETT M HIGGINS P00543209 9143818900 2021-05-17 2019 2022-09-23 18:48:47Z JESS DANNHAUSER ONE PIERREPONT PLAZA SUITE 901 BROOKLYN NY 11201 61798029 0 X WWW.GRAHAM-WINDHAM.ORG X 1806 NY IN FULL PARTNERSHIP WITH FAMILIES AND COMMUNITIES, GRAHAM WINDHAM STRIVES TO MAKE A LIFE-ALTERING DIFFERENCE WITH CHILDREN, YOUTH AND FAMILIES WHO ARE OVERCOMING SOME OF LIFE'S MOST DIFFICULT CHALLENGES AND OBSTACLES, BY HELPING TO BUILD A STRONG FOUNDATION FOR LIFE: A SAFE, LOVING, PERMANENT FAMILY AND THE OPPORTUNITY AND PREPARATION TO THRIVE IN SCHOOL AND IN THE WORLD. 30 30 891 180 0 0 57442519 55566500 95646 39595 651947 819718 -103507 -53585 58086605 56372228 0 0 0 0 36195246 35765614 175000 234725 868288 19534898 18760669 55905144 54761008 2181461 1611220 41220739 49416335 20559829 27055147 20660910 22361188 X IN FULL PARTNERSHIP WITH FAMILIES AND COMMUNITIES, GRAHAM WINDHAM STRIVES TO MAKE A LIFE-ALTERING DIFFERENCE WITH CHILDREN, YOUTH AND FAMILIES WHO ARE OVERCOMING SOME OF LIFE'S MOST DIFFICULT CHALLENGES AND OBSTACLES, BY HELPING TO BUILD A STRONG FOUNDATION FOR LIFE: A SAFE, LOVING, PERMANENT FAMILY AND THE OPPORTUNITY AND PREPARATION TO THRIVE IN SCHOOL AND IN THE WORLD. 0 0 23303835 - OUR FOSTER CARE PROGRAM PROVIDED CASE PLANNING TO 817 CHILDREN TO ENSURE THEIR SAFETY AND WELL-BEING; TO SUPPORT PARENTS AND HELP THEM DEVELOP PARENTING SKILLS; AND, WHEN PARENTS COULD NOT PROVIDE FOR THEIR CHILDREN'S SAFETY, SOUGHT AN ALTERNATIVE LOVING, PERMANENT FAMILY. WE PROVIDED: FAMILY FOSTER CARE, TREATMENT FAMILY FOSTER CARE, ADOPTION, FOSTER PARENT SUPPORT, AND EDUCATIONAL ADVOCACY. WE WORK CLOSELY WITH THE BIRTH PARENTS OF CHILDREN IN OUR CARE TO STRENGTHEN THEIR CAPACITY, AND OVERCOME BARRIERS THAT WOULD OTHERWISE PREVENT REUNIFICATION. OUR CASE PLANNERS USE THE EVIDENCE-SUPPORTED MODELS SOLUTION-BASED CASEWORK AND MOTIVATIONAL INTERVIEWING, ENGAGE FAMILIES IN THE INFANT HOME VISITING PROGRAM ATTACHMENT AND BIO-BEHAVIORAL CATCH-UP (ABC), AND IDENTIFY MENTAL HEALTH CONCERNS AND PARTNER WITH OUR MENTAL HEALTH CLINIC WITH THE PARTNERING FOR SUCCESS COGNITIVE BEHAVIOR THERAPY PLUS MODEL. AS A RESULT OF THESE INTERVENTIONS, THE PROGRAM WAS ABLE TO SUCCESSFULLY REUNITE 122 CHILDREN WITH THEIR FAMILIES, AND COMPLETED 46 ADOPTIONS AND LEGAL GUARDIANSHIP PLACEMENTS DURING THE REPORTING PERIOD. WE WERE RECOGNIZED AS ONE OF THE 4 HIGHEST PERFORMING OF 23 FOSTER CARE PROGRAMS IN NEW YORK CITY FOR HELPING CHILDREN LEAVE FOSTER CARE TO REUNIFY WITH THEIR PARENTS WITHIN ONE YEAR AND THE TOP-RANKED FOSTER CARE PROGRAM IN NEW YORK CITY FOR HELPING TO FACILITATE ADOPTIONS AND LEGAL GUARDIANSHIP.- COMMUNITY-BASED SUPPORTS INCLUDE PREVENTIVE SERVICES FOR FAMILIES AT RISK OF HAVING ONE OR MORE OF THEIR CHILDREN PLACED INTO 24-HOUR CARE. USING THE EVIDENCE-SUPPORTED SOLUTION-BASED CASEWORK AND MOTIVATIONAL INTERVIEWING MODELS, 549 FAMILIES RECEIVED IN-HOME PREVENTIVE CASE PLANNING TO HELP THEM SAFELY CARE FOR THEIR CHILDREN AND KEEP THEIR FAMILIES TOGETHER AND STABLE. 99.3% OF THE FAMILIES THAT GRADUATED FROM OUR PREVENTIVE PROGRAM REMAINED TOGETHER. 10404001 39595 WE OPERATE THE GRAHAM SCHOOL RESIDENTIAL EDUCATION AND TREATMENT CENTER WHICH PROVIDES AN INTENSIVE 24/7 THERAPEUTIC TREATMENT AND ACADEMIC EXPERIENCE. DURING THE YEAR, THE GRAHAM SCHOOL SERVED 164 OLDER CHILDREN AND YOUTH WHO WERE REFERRED BY SOCIAL SERVICE DISTRICTS AND PUBLIC SCHOOL DISTRICTS. WE ENSURE THE SAFETY AND STABILITY OF THE YOUTH PLACED WITH THE GRAHAM SCHOOL AS WE WORK WITH RESIDENTS AND THEIR FAMILIES TO ACHIEVE PERMANENCY AND EDUCATIONAL OUTCOMES THAT WILL BE LIFE CHANGING. SPECIALIZED SERVICE INTERVENTIONS AND SUPPORTS INCLUDE THERAPEUTIC RESIDENTIAL CARE, AN INTENSIVE ON-SITE SCHOOL DESIGNED TO HELP UNDER-CREDITED YOUTH MAKE UP LOST ACADEMIC GROUND, A HOST OF VOCATIONAL, EMPLOYMENT, COLLEGE PREP, RECREATIONAL AND ATHLETIC PROGRAMS, AS WELL AS A UNIQUE PEER LEADERSHIP PROGRAM, THE BENGALS. CASE PLANNERS USE THE EVIDENCE-SUPPORTED SOLUTION-BASED CASEWORK MODEL AND THE CAMPUS TEAM USES THE EVIDENCE-BASED COLLABORATIVE PROBLEM SOLVING TREATMENT APPROACH. DURING THE REPORTING PERIOD, THE GRAHAM SCHOOL SUCCESSFULLY DISCHARGED 34 YOUTH TO THEIR FAMILIES OR TO ANOTHER PERMANENT CONNECTION. AT THE END OF THE 2020 FISCAL YEAR, THERE WAS A REDUCTION IN PROGRAMMING IN THE WESTCHESTER BRANCH. THE HARD TO PLACE PROGRAM WAS DISCONTINUED. IN THE 2021 FISCAL YEAR, THE AGENCY WILL ALSO DISCONTINUE THE RAISE THE AGE AND REGULAR INSTITUTION PROGRAMS. THUS, GRAHAM WILL CLOSE OUT RESIDENTIAL CARE FROM ITS PROGRAMMING LINE UP. 8152983 GRAHAM WINDHAM'S MEDICAID SERVICES INCLUDE MEDICAID-FUNDED CARE COORDINATION TO SUPPORT CHILDREN AND YOUTH WHO NEED FAMILY-BASED FOSTER CARE. WE PARTNER AND FUND EXTERNAL PROVIDERS TO PROVIDE MEDICAL, DENTAL, SUBSTANCE ABUSE TREATMENT, AND SOME MENTAL HEALTH SERVICES TO CHILDREN AND YOUTH IN FAMILY-BASED FOSTER CARE. WE DELIVER NURSING, MENTAL HEALTH, AND SUBSTANCE ABUSE SERVICES TO YOUTH LIVING AT OUR GRAHAM SCHOOL RESIDENTIAL EDUCATION AND TREATMENT CENTER. WE ALSO RUN AN ARTICLE 31 CHILD AND ADOLESCENT MENTAL HEALTH CLINIC THAT PROVIDES MENTAL HEALTH TREATMENT TO CHILDREN AND YOUTH IN FOSTER CARE AND PREVENTIVE SERVICES WITH GRAHAM WINDHAM, AS WELL AS YOUTH IN THE HARLEM COMMUNITY. WE PROVIDE MENTAL HEALTH TREATMENT IN HARLEM, THE BRONX, AND IN BROOKLYN. GRAHAM ALSO DELIVER HEALTH HOMES CARE MANAGEMENT SERVICES TO ANY MEDICAID ELIGIBLE CHILD WHO MEETS ANY OF THE MEDICAL NEED ASSESSMENTS UNDER CHRONIC HEALTH, COMPLEX TRAUMA, SED AND HIV/AIDS. THE PROGRAM ACTS AS THE OVERALL HEALTH ADVOCATES FOR THESE CHILDREN/FAMILY. 5828964 - THROUGH OUR FAMILY SUCCESS INITIATIVE, FAMILY COACHES HELP PARENTS DEVELOP THEIR PARENTING SKILL SETS AND CONNECT WITH A SUPPORTIVE COMMUNITY. FAMILY COACHES MEET ONE-ON-ONE TO PROVIDE INDIVIDUALIZED SUPPORT TO PARENTS IN INTENSELY STRESSFUL SITUATIONS, INCLUDING STRUGGLES WITH HOMELESSNESS, DOMESTIC VIOLENCE, MENTAL HEALTH CHALLENGES, SUBSTANCE ABUSE, AND POVERTY. PARENTS ARE WORKING TOWARDS REUNIFYING WITH CHILDREN WHO ARE IN FOSTER CARE OR DEVELOPING NEW STRATEGIES TO KEEP THEIR FAMILIES SAFE AND INTACT. FAMILY COACHES ALSO LEAD NETWORK SUPPORT GROUPS, VISIT COACHING, PARENTING JOURNEY GROUPS, AND BABY AND ME DEVELOPMENTAL PLAYGROUPS WHERE PARENTS DEVELOP SKILLS AND PROVIDE AND RECEIVE PEER SUPPORT. - OUR GRAHAM SLAM COACHING PROGRAM HELPS OLDER YOUTH AND YOUNG ADULTS 16 TO 24 YEARS OLD, MANY OF WHOM ARE OR HAVE BEEN IN FOSTER CARE, FINISH HIGH SCHOOL, ACHIEVE POST-SECONDARY SUCCESS AND VOCATIONAL TRAINING, AND ENTER A PATHWAY TO CAREER SUCCESS. IN FY19, 346 YOUNG PEOPLE PARTICIPATED IN THE GRAHAM SLAM PROGRAM. THIS PROGRAM HAS DEMONSTRATED STRONG RESULTS WITH 92% OF 21 YEAR OLDS IN GRAHAM SLAM HAVING GRADUATED HIGH SCHOOL, COMPARED WITH 22% OF OLDER YOUTH IN FOSTER CARE IN NEW YORK CITY WHO AGED OUT OF CARE. - OUR PUBLIC SCHOOL AND PUBLIC HOUSING-BASED AFTERSCHOOL PROGRAMS AND SUMMER CAMPS SUPPORT AND ENGAGED 825 CHILDREN, YOUTH AND THEIR FAMILIES THROUGH A COMBINATION OF RECREATIONAL PROGRAMMING, THE ARTS, ATHLETICS, TUTORING, AND HOMEWORK HELP.- IN PARTNERSHIP WITH PS/MS 123 IN HARLEM, OUR COMMUNITY SCHOOL PROVIDES SUCCESS MENTORS TO ENGAGE FAMILIES AND IMPROVE SCHOOL ATTENDANCE; AND WE HAVE PARTNERED TO SUPPORT AN EXTENDED LEARNING DAY AND PROVIDE SCHOOL-BASED MENTAL HEALTH THERAPY. THIS PARTNERSHIP WITH A PREVIOUSLY LOW-PERFORMING SCHOOL HAS RESULTED IN AN INCREASE IN STUDENT ATTENDANCE AND FAMILY PARTICIPATION AND A DROP IN CHRONIC ABSENTEEISM.- WE LAUNCHED A NEW DEMONSTRATION PROJECT, THE HUNTS POINT O.U.R. PLACE FAMILY ENRICHMENT CENTER, WHICH WELCOMES FAMILIES INTO A SUPPORTIVE ENVIRONMENT THAT STRENGTHENS CONNECTIONS BETWEEN NEIGHBORS, PROVIDES OPPORTUNITIES FOR PEOPLE TO VOLUNTEER THEIR TIME AND GIVE BACK, TO LEARN ABOUT AND ACCESS CONCRETE SUPPORTS, AND TO MAKE AND INFLUENCE THE CHANGES THEY WANT TO SEE IN THEIR COMMUNITY. THE GOALS OF THE FAMILY ENRICHMENT CENTER IS TO HELP STRENGTHEN FAMILIES AND COMMUNITY BONDS, HELP RESIDENTS CONNECT TO RESOURCES THAT HELP AVERT CRISES, AND TO INCREASE COMMUNITY LEADERSHIP OPPORTUNITIES THAT INFLUENCE POLITICAL DECISION-MAKING. 5828964 47689783 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 105 0 891 1 0 0 0 0 0 0 0 0 0 0 0 0 X 30 30 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X X X BASIL WEBSTER CO GRAHAM WINDHAM 2125296445 ONE PIERREPONT PLAZA SUITE 901 BROOKLYN NY 11201 JESS DANNHAUSER PRESIDENT/CEO 35.00 X 382183 0 49275 KIMBERLY HARDY WATSON CHIEF OPERATING OFFICER 35.00 X 239233 0 39259 BASIL WEBSTER CFO 35.00 X 227195 0 37667 SHARMEELA MEDIRATTA VICE PRESIDENT 35.00 X 216343 0 37158 KRISTEN RAGUSA VICE PRESIDENT 35.00 X 205518 0 23402 LAVERN HARRY VICE PRESIDENT 35.00 X 197559 0 23374 BONNIE KORNBERG CHIEF PERFORMANCE OFFICER 35.00 X 161565 0 33394 RAVEN WATERRMAN ASSOCIATE VP 35.00 X 130890 0 32394 NICOLE ELLIS CHIEF HUMAN RESOURCES OFFICER 35.00 X 131917 0 30639 ROBERT OSWALD CHIEF TECHNOLOGY OFFICER 33.00 X 141911 0 19554 JEANNE MARTINE NURSE PRACTITIONER 35.00 X 126215 0 7291 GEORGIA WALL BOARD CHAIR 10.00 X X 0 0 0 KENNETH R BRYANT TREASURER 4.00 X X 0 0 0 BARBARA MARCUS SECRETARY 4.00 X X 0 0 0 HEATHER MCVEIGH ASSISTANT SECRETARY 4.00 X X 0 0 0 HENRY J CARNAGE ASSISTANT TREASURER 4.00 X X 0 0 0 JOHN CECIL SENIOR VICE CHAIR 4.00 X X 0 0 0 RICHARD ROTHMAN SENIOR VICE CHAIR 4.00 X X 0 0 0 EVAN GRAYER VICE CHAIR 4.00 X X 0 0 0 GARRARD BEENEY VICE CHAIR 4.00 X X 0 0 0 JENNIFER MACKESY VICE CHAIR 4.00 X X 0 0 0 JOAN HAFFENREFFER VICE CHAIR 4.00 X X 0 0 0 MARK RUFEH VICE CHAIR 4.00 X X 0 0 0 PAMELA C MINETTI VICE CHAIR 4.00 X X 0 0 0 SALLY E DURDAN VICE CHAIR 4.00 X X 0 0 0 ALEXANDRA ACKERMAN MEMBER 2.00 X 0 0 0 ANDRE KOESTER MEMBER 2.00 X 0 0 0 ANNE WILLIAMS-ISON MEMBER 2.00 X 0 0 0 DON WEISBERG MEMBER 1.00 X 0 0 0 EYAL SHEMESH MD MEMBER 1.00 X 0 0 0 JENNIFER RUSSO MEMBER 2.00 X 0 0 0 JOHN SARGENT MEMBER 2.00 X 0 0 0 JOSH BANK MEMBER 2.00 X 0 0 0 KATE SWANN MEMBER 2.00 X 0 0 0 MAX VON ZUBEN MEMBER 2.00 X 0 0 0 MELISSA MCKEITHEN MEMBER 2.00 X 0 0 0 ONUR ERZAN MEMBER 2.00 X 0 0 0 PAULINA MEIJI MEMBER 2.00 X 0 0 0 SALIM RAMJI MEMBER 2.00 X 0 0 0 THOMAS HAINES PHD MEMBER 2.00 X 0 0 0 WILLIAM GORIN MEMBER 2.00 X 0 0 0 2160529 0 333407 23 0 1 0 WINFIELD SECURITY CORPORATION 57 W 38TH STREET NEW YORK NY 10018 SECURITY SERVICES 462658 THE NEW YORK FOUNDLING HOSPITAL 590 AVENUE OF THE AMERICAS NEW YORK NY 10011 MEDICAL SERVICES 394695 FOUR SEASONS MULTI-SERVICES INC 3525 DECATUR AVENUE BRONX NY 10467 MAINTENANCE AND CLEANING SERVICES 304941 CARRIERI & CARRIERI PC 200 OLD COUNTRY ROAD MINEOLA NY 11501 LEGAL SERVICES 258981 TERESA O'DWYER 100 11TH AVE APT 14C NEW YORK NY 10011 FUNDRAISING SERVICES 188200 8 X 1676483 47882744 6007273 3285186 55566500 REVENUE FROM UFSD NO. 10 900099 39595 39595 39595 423446 423446 5742417 5346145 396272 396272 396272 0 1676483 79656 -79656 -79656 MISCELLANEOUS INCOME 900099 26071 26071 26071 56372228 39595 0 766133 1682135 588747 1009281 84107 25770505 23065207 2425762 279536 1319063 1206441 100382 12240 4117386 3661721 409949 45716 2876525 2446265 388123 42137 300693 235755 64895 43 115400 46114 24905 44381 234725 234725 21965 21965 2338176 2031463 294324 12389 1009463 689816 314405 5242 489975 353875 128729 7371 2214402 1587417 576971 50014 426630 416595 9565 470 197093 137510 53827 5756 56977 17258 39719 481612 343650 127534 10428 923177 811955 101581 9641 FOSTER PAYMENTS 6894751 6894751 REPAIR AND MAINTENANCE 1194280 1111771 75056 7453 ALLOWANCES/RECREATION 816095 799332 3758 13005 CLOTHING 492784 492784 787196 751356 32206 3634 54761008 47689783 6202937 868288 4197347 6752019 490194 346745 4336935 2754947 13117749 16626653 560772 611722 18651246 15591322 3484111 3059924 14816177 18993578 217454 270747 41220739 49416335 9170961 9676340 592404 492498 1780431 578852 9016033 16307457 20559829 27055147 X 14393596 17721922 6267314 4639266 20660910 22361188 41220739 49416335 1611220 89058 0 X X 0 1 X 1 0 X 53895255 51941094 54549687 57442519 55566500 273395055 53895255 51941094 54549687 57442519 55566500 273395055 273395055 327901 344075 357227 368018 423446 1820667 57826 42793 48387 98449 26071 273526 275489248 404261 0.99240 0.99270 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2015 AMOUNT: $ 6,629. 2016 AMOUNT: $ 1,604. 2017 AMOUNT: $ 488. 2018 AMOUNT: $ 15,895. 2019 AMOUNT: $ 26,071. FOOD SERVICE REVENUE - 2015 AMOUNT: $ 10,848. 2016 AMOUNT: $ 12,159. 2017 AMOUNT: $ 16,352. 2018 AMOUNT: $ 1,686. INSURANCE REFUND - 2015 AMOUNT: $ 35,250. 2016 AMOUNT: $ 24,588. 2017 AMOUNT: $ 18,007. 2018 AMOUNT: $ 38,781. VENDING MACHINE - 2015 AMOUNT: $ 2,434. 2016 AMOUNT: $ 1,958. STAFF FOOD REIMBURSEMENT - 2015 AMOUNT: $ 2,665. 2016 AMOUNT: $ 2,484. 2017 AMOUNT: $ 687. RESEARCH PROJECT PARTICIPANT FEES - 2017 AMOUNT: $ 10,180. 2018 AMOUNT: $ 42,087. CELL PHONE RECYCLING - 2017 AMOUNT: $ 2,673. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1380920 89037 27217 3455 1439285 1323456 89144 27993 3687 1380920 1256099 96457 25450 3650 1323456 1147652 134217 22434 3336 1256099 1143539 27592 20255 3224 1147652 0.00000 0.99170 0.00830 0 0 144900 144900 11031616 10158367 873249 3713158 2315335 1397823 3186802 3117620 69182 574770 574770 3059924 DUE TO GOVERNMENTS 12318735 DUE TO GREENBURGH SCHOOL 188565 PAYCHECK PROTECTION PROGRAM LOAN PAYABLE 3800157 16307457 X 56439321 89058 89058 56350263 21965 21965 56372228 54739043 0 54739043 21965 21965 54761008 PART V, LINE 4: GRAHAM WINDHAM MAINTAINS ASSETS THAT ARE LIMITED IN THEIR USE BY DONOR-IMPOSED RESTRICTIONS AND RESTRICTED FOR INVESTMENT IN PERPETUITY. THE INCOME AND GAINS FROM INVESTMENT OF THESE FUNDS ARE AVAILABLE TO SUPPORT THE OPERATIONS AND VARIOUS PROGRAMS OF THE AGENCY. PART X, LINE 2: THE AGENCY RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. MANAGEMENT HAS DETERMINED THAT THE AGENCY HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. THE AGENCY IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR TAX YEARS PRIOR TO FISCAL 2017. X X X X X X 1 TESS O'DWYER 100 ELEVENTH AVE APT 14C NEW YORK NY 10011 CAMPAIGN ADVISEMENT 0 4600000 234725 4365275 4600000 234725 4365275 NY VIRTUAL LEADERSHIP EVENT 1676483 1676483 79656 1676483 1676483 79656 79656 -79656 SCHEDULE G, PART I, LINE 2B, COLUMN (V) TESS O'DWYER PROVIDES THE FOLLOWING SERVICES: - PROVIDE CAMPAIGN COUNSEL FOR THE ELIZA HAMILTON LEGACY CAMPAIGN - DRAFT JOB DESCRIPTIONS FOR NEW FUNDRAISING POSITIONS, AS WELL AS INTERVIEW CANDIDATES - MENTOR DEVELOPMENT ON FUNDRAISING SYSTEMS - DRAFT TEMPLATES FOR PLEDGE AGREEMENTS AND ACKNOWLEDGEMENT LETTERS - OTHER SERVICES, AS WELL AS PROVIDING STRATEGIC GUIDANCE ON A REGULAR BASIS, AS NEEDED. THE MONTHLY FEE PAID IS $17,500 PER MONTH. IN ADDITION TO THE ABOVE COMPENSATION, TRAVEL WILL BE REIMBURSED FOR 10 TRAVEL DAYS A MONTH AT $300 OR LESS. PLANNED TRAVEL OVER $300 A MONTH WILL BE SUBMITTED FOR PRE-APPROVAL. X X X X X 0 0 0 0 0 0 0 1 0 JESS DANNHAUSER PRESIDENT/CEO 286883 0 95000 0 300 0 25797 0 23478 0 431458 0 0 0 KIMBERLY HARDY WATSON CHIEF OPERATING OFFICER 173182 0 65000 0 1051 0 16148 0 23111 0 278492 0 0 0 BASIL WEBSTER CFO 175582 0 50000 0 1613 0 15336 0 22331 0 264862 0 0 0 SHARMEELA MEDIRATTA VICE PRESIDENT 165822 0 50000 0 521 0 14603 0 22555 0 253501 0 0 0 KRISTEN RAGUSA VICE PRESIDENT 155023 0 50000 0 495 0 13872 0 9530 0 228920 0 0 0 LAVERN HARRY VICE PRESIDENT 147236 0 50000 0 323 0 13335 0 10039 0 220933 0 0 0 BONNIE KORNBERG CHIEF PERFORMANCE OFFICER 126296 0 35000 0 269 0 10907 0 22487 0 194959 0 0 0 RAVEN WATERRMAN ASSOCIATE VP 119490 0 11236 0 164 0 8835 0 23559 0 163284 0 0 0 NICOLE ELLIS CHIEF HUMAN RESOURCES OFFICER 120203 0 11563 0 151 0 7585 0 23054 0 162556 0 0 0 ROBERT OSWALD CHIEF TECHNOLOGY OFFICER 128862 0 12266 0 783 0 9579 0 9975 0 161465 0 0 0 PART I, LINE 7 EVERY YEAR, THE ORGANIZATION HAS A PERFORMANCE BASED INCENTIVE AWARD BASED ON ANNUAL EVALUATIONS. FOR STAFF, EXCEPT OFFICERS AND KEY EMPLOYEES, THE MERIT IS TIED TO THE EVALUATION SCORE AND ONLY A SCORE OF PRACTICING, PROFICIENT, AND EXCELLING RECEIVES ANY AWARD. THERE ARE CLEAR GUIDELINES ON WHO QUALIFIES ETC. FOR OFFICERS AND KEY EMPLOYEES, THE AWARDS ARE DETERMINED BY THE BOARD OF DIRECTORS COMPENSATION COMMITTEE BASED ON 360 EVALUATIONS FROM DIRECT REPORTS, PEERS AND SUPERIORS. X 12 3285186 AVG. SELLING PRICE 0 0 1 0 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED BY AN OUTSIDE ACCOUNTING FIRM. THE RETURN IS REVIEWED BY MANAGEMENT AND A COMPLETE COPY OF THE FORM 990 IS PROVIDED TO ALL BOARD MEMBERS PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C GRAHAM WINDHAM'S CONFLICT OF INTEREST POLICY IS APPLICABLE TO THE DIRECTORS, OFFICERS AND STAFF OF THE CORPORATION. FULL DISCLOSURE OF ANY CONFLICT BY A DIRECTOR IS REQUIRED TO BE PROVIDED TO THE BOARD OF DIRECTORS. A CONFLICT OF INTEREST STATEMENT IS SIGNED ANNUALLY. ANY DIRECTOR WITH A CONFLICT OF INTEREST CANNOT VOTE ON THE MATTER AND COULD BE ASKED TO LEAVE THE MEETING WHICH CONSIDERS THE MATTER, AT THE DISCRETION OF THE CHAIR OF THE BOARD OF DIRECTORS. THE MINUTES OF THE MEETING REFLECT THE DETAILS OF THE CONFLICT OF INTEREST AND THE VARIOUS ACTIONS TAKEN. EMPLOYEES MUST ADHERE TO THE GRAHAM WINDHAM EMPLOYEE HANDBOOK CONFLICT OF INTEREST GUIDELINES. FORM 990, PART VI, SECTION B, LINE 15 EVERY YEAR, THE COMPENSATION FOR THE CEO, COO, CFO AND VICE PRESIDENTS IS DETERMINED BY THE BOARD OF DIRECTORS' COMPENSATION COMMITTEE. STAFF EVALUATIONS, MARKET VALUE AND COMPARABILITY TO OTHER INDUSTRY COMPETITORS ARE KEY FACTORS IN DETERMINING COMPENSATION IN ORDER TO RETAIN THE BEST STAFF. AFTER COMPENSATION IS DETERMINED, A MEMO IS SENT TO HUMAN RESOURCES AND FISCAL FOR PROCESSING AND DOCUMENTATION PURPOSES. FORM 990, PART VI, SECTION C, LINE 19 GRAHAM WINDHAM'S CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART VIII, LINE 3 & 7D: THE INVESTMENT INCOME REPORTED ON LINE 3 AND 7D IS GENERATED FROM THE AGENCIES PORTFOLIO INVESTMENTS. FORM 990, PART XII, LINE 2C: THE ORGANIZATION HAS A COMMITTEE THAT ASSUMES RESPONSIBILITY FOR THE OVERSIGHT OF THE AUDIT. OVERSIGHT PROCESSES FROM THE PRIOR YEAR HAVE NOT CHANGED.