2021-11-12T16:41:18-06:00 2020-12-31 366055558 GRANT THORNTON LLP 1000 WILSON BOULEVARD SUITE 1400 ARLINGTON VA 22209 990 2020-01-01 832463179 ALLIANCE TO END PLASTIC WASTE INC ALLI 6564272800 13359 N HWY 183 STE 406 2067 AUSTIN TX 78750 JACOB DUER PRESIDENT AND CEO 6564272800 2021-11-12 1 JACOB DUER 999009999 MARY TORRETTA P00847851 7038477500 0 AAL1 IAL1 2020 2022-09-23 18:48:47Z X JACOB DUER 13359 N HWY 183 STE 406 2067 AUSTIN TX 78750 78460832 0 X HTTPS://ENDPLASTICWASTE.ORG X 2018 DE THE VISION OF THE ALLIANCE IS TO END PLASTIC WASTE IN THE ENVIRONMENT. OUR MISSION IS TO A) DEVELOP, ACCELERATE, AND DEPLOY SOLUTIONS, B) ENGAGE COMMUNITIES AND C) CATALYZE INVESTMENTS BY DEMONSTRATING SOLUTIONS TOWARDS A CIRCULAR ECONOMY. OUR STRATEGIC PILLARS ARE INFRASTRUCTURE, INNOVATION, EDUCATION AND ENGAGEMENT AND CLEAN UP. WE STRIVE TO DEMONSTRATE AND SCALE PLASTIC WASTE-FREE CITIES WITH LOCAL WASTE MANAGEMENT AND INVESTABLE MODELS AND PARTNERSHIPS TO UNLOCK MORE CAPITAL TO END PLASTIC WASTE IN THE ENVIRONMENT. 52 52 0 52 0 0 66025001 76174070 0 0 540592 286762 0 2000000 66565593 78460832 8173530 13968196 0 0 314126 5415136 0 0 0 15451186 13921140 23938842 33304472 42626751 45156360 54254589 94629806 13467444 8686301 40787145 85943505 X SEE NARRATIVE TO FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION. 0 0 9809503 5792052 SEE SCHEDULE OINFRASTRUCTURE:WITH THREE BILLION PEOPLE HAVING NO ACCESS TO ORGANIZED WASTE MANAGEMENT SYSTEMS, MANY CITIES (AND COUNTRIES) LACK THE REQUISITE INFRASTRUCTURE TO PROPERLY RECOVER AND RECYCLE WASTE. THE INFRASTRUCTURE PILLAR IS A CRITICAL PART OF OUR STRATEGIC FOCUS AND HERE, THE ALLIANCE HAS COMMITTED SIGNIFICANT RESOURCES TO PROJECTS THAT ARE PROVIDING BASIC WASTE MANAGEMENT INFRASTRUCTURE, INCLUDING HOUSEHOLD COLLECTION, PROCESSING THROUGH MATERIAL RECOVERY FACILITIES (MRFS), AND RECYCLING OR RECOVERY OF THE VALUE OF PLASTIC WASTE. SELECTED PROJECTS FROM THE ALLIANCE PORTFOLIO CONTRIBUTING TO THE INFRASTRUCTURE PILLAR ARE DETAILED BELOW:PROJECT STOP IN THE REGENCY OF JEMBRANA, INDONESIA, IMPLEMENTS AN INTEGRATED WASTE MANAGEMENT SYSTEM AND RELATED INFRASTRUCTURE. COMPONENTS ALSO INCLUDE ENROLLING THE LOCAL COMMUNITY IN WASTE MANAGEMENT BEST-PRACTICES AND THE PROVISION OF WASTE BINS AND COLLECTION SERVICES. THE COLLECTED WASTE IS TRANSFERRED TO A MATERIALS RECOVERY FACILITY TO BE BUILT WITH FUNDS FROM THE GRANT (AND FUTURE GRANTS); IT WILL EMPLOY LOCAL WORKERS THUS CREATING JOBS.CLOSING THE LOOP IN ACCRA, GHANA, WAS SPONSORED BY THE ALLIANCE AND ATTRACTED THE ATTENTION OF THE EUROPEAID WHO PROVIDED GRANT FUNDING TO EXPAND OPERATIONS. CLOSING THE LOOP WORKS BY SUPPORTING LOCAL ENTREPRENEURS FROM VULNERABLE COMMUNITIES IN THE COASTAL CITY OF ACCRA IN GHANA. THE MODEL IS SIMPLE AND EFFECTIVE. PLASTIC WASTE IS COLLECTED AND SOLD TO CASH IT! WASHED AND RE-GRINDED AND SOLD TO BE REUSED IN PRODUCTS SUCH AS HOUSEHOLD OR BUILDING MATERIALS. NOT ONLY ARE THE WASTE MANAGEMENT ISSUES ALLEVIATED IN ACCRA, BUT THE UNLOCKED VALUE OF PLASTIC WASTE IS CHANNELLED BACK TO THESE COMMUNITIES IN THE FORM OF JOBS AND NEW INCOME STREAMS.OUR FIRST PROJECT IN THE PHILIPPINES, PLANKS OF PROMISE, WORKS TO TURN PLASTIC WASTE FROM THE METRO MANILA AREA INTO RECYCLABLE PLASTIC PLANKS THAT WILL THEN BE MADE INTO EMERGENCY SHELTERS FOR FILIPINOS DISPLACED BY THE MANY NATURAL DISASTERS THAT PLAGUE THE REGION. TOGETHER WITH SOCIAL ENTERPRISE THE PLASTIC FLAMINGO (THE PLAF), WE WILL SCALE UP COLLECTION OF PLASTIC WASTE, AND PROCESS IT IN A NEW RECYCLING FACILITY. BY 2022, THE PLANKS OF PROMISE INITIATIVE AIMS TO MORE THAN TRIPLE THIS NUMBER TO 200 COLLECTION POINTS. WORKING WITH THE UNIVERSITY OF THE PHILIPPINES DILIMAN, THE PLAF WILL TRANSFORM PLASTIC WASTE, INCLUDING HARD TO RECYCLE PLASTICS LIKE SACHETS AND FILMS, INTO STRONG, 100% RECYCLED AND RECYCLABLE PLASTIC "ECO" PLANKS. THE PLANKS CAN BE USED TO MAKE EMERGENCY SHELTER KITS OR SOLD TO CONTRIBUTE TO THE OPERATING COSTS OF THE RECYCLING FACILITY. 7484215 5242979 SEE SCHEDULE OINNOVATION:INNOVATION IS VITAL TO ADVANCE TECHNOLOGIES, AND WE SUPPORT AND INCUBATE IDEAS TO SCALE NEW TECHNOLOGIES AND SOLUTIONS TOWARDS A CIRCULAR ECONOMY. INNOVATIONS CAN COME FROM ANYWHERE AND THE ALLIANCE IS FOCUSED ON IDENTIFYING AND ENABLING INNOVATORS AND ENTREPRENEURS WITH SOLUTIONS TO ADDRESS THE PLASTIC WASTE CHALLENGE. INNOVATIVE IDEAS FEATURE IN MANY OF THE ALLIANCE'S PROJECTS, WHERE WE SERVE TO DE-RISK NEW IDEAS AND ENABLE PROOF OF CONCEPT. SPECIFICALLY, THE ALLIANCE WORKS WITH TWO DIFFERENT PLATFORMS TO IDENTIFY AND SUPPORT INNOVATIVE START-UPS AND VENTURES. WE HAVE SPONSORED THE PLUG AND PLAY TECH CENTER TO DEVELOP THE END PLASTIC WASTE INNOVATION PLATFORM TO FOSTER START-UPS FROM ACROSS THE PLASTIC VALUE CHAIN AND TRANSFORM PLASTIC WASTE MANAGEMENT AROUND THE WORLD. WE HAVE ATTRACTED 2000 START UPS ACROSS OUR FIRST 4 HUBS IN SILICON VALLEY, PARIS, SINGAPORE AND SHANGHAI - WITH 32 EVENTUAL FINALISTS PARTICIPATING IN OUR ACCELERATOR PROGRAMMES. THE PLATFORM IDENTIFIES INNOVATIVE IDEAS IN THE FOLLOWING KEY AREAS: 1) COLLECTION, MANAGEMENT, AND SORTING OF PLASTIC WASTE; 2) RECYCLING AND PROCESSING TECHNOLOGIES; 3) EXTRACTION AND VALUE CREATION FROM POST RECYCLE PLASTICS.THE ALLIANCE SPONSORS THE INCUBATION NETWORK BY THE CIRCULATE INITIATIVE & SECONDMUSE WHICH ACTS AS CATALYST FOR ACTION AND INVESTMENT IN THE CIRCULAR ECONOMY THAT AIMS TO PREVENT THE FLOW OF PLASTIC WASTE INTO THE WORLD'S OCEANS. THE INCUBATION NETWORK HAS DESIGNED AND DELIVERED PROGRAMS THAT DRIVE INVESTMENT, INNOVATION, AND PARTNERSHIPS FOR INCLUSIVE AND GENDER-RESPONSIVE WASTE MANAGEMENT AND CIRCULAR ECONOMY SOLUTIONS. 4216703 2256716 SEE SCHEDULE OEDUCATION & ENGAGEMENTEDUCATION AND ENGAGEMENT IS A VITAL STRATEGIC PILLAR OF THE ALLIANCE'S MISSION TO END PLASTIC WASTE IN THE ENVIRONMENT. WE BELIEVE LASTING CHANGE IS POSSIBLE WHEN PEOPLE UNDERSTAND THEIR ROLE IN ADDRESSING PLASTIC WASTE AND PARTICIPATE IN SOLUTIONS THAT WILL CONTRIBUTE TO THE COLLECTION AND RECOVERY OF PLASTIC WASTE, THEREBY REDUCING ITS LEAKAGE INTO THE ENVIRONMENT. THIS CRITICAL ALLIANCE PILLAR FEATURES IN MANY OF THE PROJECTS THE ALLIANCE UNDERTOOK IN 2020. PROGRAMME ACTIVITIES INCLUDING PROJECT AVIRAL IN RISHIKESH AND HARIDWAR, INDIA; PROJECT STOP IN JEMBRANA, INDONESIA; PLANKS OF PROMISE IN MANILA; PROJECT GIRO IN OLAVARRIA, ARGENTINA, AND OTHERS ALL INCLUDE IMPORTANT EDUCATION AND COMMUNITY ENGAGEMENT COMPONENTS IN ADDITION TO INFRASTRUCTURE. SPECIFICALLY, THESE PROGRAMS INCLUDE THE DEVELOPMENT OF EDUCATION AND TRAINING MATERIALS, COMMUNITY OUTREACH EFFORTS, TRAINING OF WASTE WORKERS, AND ENGAGEMENT WITH SCHOOL CHILDREN. THESE EFFORTS HAVE THE GOAL OF SHARING KNOWLEDGE AND FOSTERING ENGAGEMENT, WHICH ALONGSIDE ALLIANCE INVESTMENTS IN INTEGRATED WASTE MANAGEMENT INFRASTRUCTURE, PROVIDE COMMUNITIES WITH THE EDUCATIONAL TOOLS NEEDED FOR CHANGE.THE ALLIANCE ALSO ENGAGED WITH UNIVERSITIES IN THE REGION SPONSORING RESEARCH IN A NUMBER OF AREAS THAT WILL CONTRIBUTE TO ENDING PLASTIC WASTE AND TRAINING THE NEXT GENERATION OF SCIENTISTS AND PROFESSIONALS TO CONTRIBUTE TO A CIRCULAR ECONOMY FOR PLASTICS. THIS INCLUDES THE RECYCLED PLASTIC IN ROADS PROJECT, JOINTLY UNDERTAKEN WITH THE CHIANG MAI UNIVERSITY IN THAILAND, AND THE NATIONAL UNIVERSITY OF SINGAPORE. WE ALSO HAVE A PROJECT WITH THE UNIVERSITY OF HASANUDDIN, IN SOUTH SULAWESI, INDONESIA WORKING WITH A LOCAL PROFESSOR AND HIS STUDENTS TO DESIGN AND DEPLOY RIVER CAPTURE DEVICES AND EDUCATE THE LOCAL COMMUNITY. LASTLY, WE HAVE ENGAGED IN A GRANT CALL WITH NANYANG TECHNOLOGICAL UNIVERSITY IN SINGAPORE, PARTICIPATING IN THE FUNDING OF A GRANT CALL UNDER THEIR ACCELERATING CREATIVITY AND EXCELLENCE (ACE) PROGRAM TO FUND THE DEVELOPMENT OF NOVEL, EARLY-STAGE IDEAS THAT WILL CONTRIBUTE TO ENDING PLASTIC WASTE. 2146052 676449 INCLUDED IN OTHER PROGRAM SERVICES IS THE ORGANIZATION'S LAST PILLAR, CLEAN-UP, WHICH FEATURES IN MANY OF THE ALLIANCE'S ACTIVITIES AND IS AN IMPORTANT COMPONENT OF DELIVERING ON THE MISSION OF ENDING PLASTIC WASTE IN THE ENVIRONMENT. WE BELIEVE IN SUPPORTING SOLUTIONS THAT PREVENT WASTE FROM ENTERING THE ENVIRONMENT IN THE FIRST PLACE, FUNDING THE IMPLEMENTATION OF INTEGRATED WASTE MANAGEMENT SOLUTIONS, AND SUPPORTING EFFORTS TO ESTABLISH A CIRCULAR ECONOMY FOR PLASTIC. HOWEVER, WITH MILLIONS OF TONNES OF PLASTIC ENTERING THE OCEANS DUE TO MISMANAGED WASTE AND LITTERING, CLEANING UP WHAT IS ALREADY THERE IS OF VITAL IMPORTANCE. THE CITY LEVEL ALLIANCE PROJECTS REFERENCED IN THIS SUBMISSION ALL INCLUDE ELEMENTS OF CLEAN UP, SUCH AS PROJECT STOP IN JEMBRANA, BALI. IN ADDITION, THE ALLIANCE UNDERTOOK SOME SPECIFIC INITIATIVES ADDRESSING CLEAN-UP IN 2020:THE ALL_TOGETHER GLOBAL CLEAN-UP WAS A GLOBAL INITIATIVE FROM THE ALLIANCE TO REMOVE LITTER FROM THE ENVIRONMENT, ONE PIECE AT A TIME IN CELEBRATION OF WORLD CLEAN-UP DAY 2020. BEGINNING ON WORLD CLEAN-UP DAY, SEPTEMBER 19, 2020, AND FOR FOUR WEEKS FOLLOWING, THOUSANDS OF VOLUNTEERS FROM THE ALLIANCE MEMBERS, NON-MEMBER ORGANIZATIONS, AND INDIVIDUALS AROUND THE WORLD, RALLIED TO THEIR COMMUNITIES TO DISCOVER, IDENTIFY, COLLECT, AND DISPOSE OF LITTER THEY FOUND. INDIVIDUAL ACTIONS, COLLECTIVELY, HAVE CREATED A POSITIVE IMPACT TOWARDS A CLEANER EARTH. THE ALLIANCE IS COMMITTED TO MAKING THE ALL_TOGETHER GLOBAL CLEANUP A LONG-TERM ANNUAL GLOBAL MOVEMENT, BUILDING ON THE WORK THAT HAS BEEN STARTED IN NOT ONLY CAPTURING WASTE, BUT ALSO IN COLLECTING AND LEARNING FROM MORE DATA IN OUR GOAL OF HAVING A LITTER-FREE WORLD.THE ALLIANCE PROVIDED FUNDING TO LITTERATI, AN ORGANIZATION BUILT AROUND A MOBILE APP WHICH IS DESIGNED TO ENGAGE THE PUBLIC, EMPLOYEES, COMMUNITIES, AND STUDENTS IN CLEANING UP LITTER IN THEIR ENVIRONMENT, AND IN DOING SO, CREATING IDENTIFYING IMAGES OF EACH PIECE IN REAL TIME, PROVIDING HIGH-VALUE DATA TO CITIES, BRANDS, AND THE GLOBAL COMMUNITY. THE PROJECT SERVES TO ENHANCE THE CAPABILITY AND USAGE OF THE LITTERATI APP IN SEVERAL WAYS TO MAGNIFY ITS IMPACT. THE ALLIANCE ALSO PARTNERED WITH LITTERATI TO ENABLE THE ALL_TOGETHER GLOBAL CLEAN-UP.IN ADDITION TO THE ABOVE, PROFESSIONAL CONSULTANTS WERE ALSO ENGAGED TO PROVIDE SUPPORT ON STRATEGY DEVELOPMENT AND OPERATING MODEL DEVELOPMENT AND DEPLOYMENT. 2146052 676449 23656473 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 SN 0 0 0 0 0 0 0 0 0 0 X 52 52 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X SOPHIA PORCELLI CFO 6564272800 2 SCIENCE PARK DRIVE 02-03/04 SINGAPORE SN ALBERT CHAO BOARD MEMBER 1.00 0.00 X 0 0 0 ALBERTO PEISACH BOARD MEMBER 1.00 0.00 X 0 0 0 ALVARO MENDOZA BOARD MEMBER 1.00 0.00 X 0 0 0 ANTONIO PIETRI BOARD MEMBER 1.00 0.00 X 0 0 0 AXEL PIETERS BOARD MEMBER 1.00 0.00 X 0 0 0 BJ HEBERT BOARD MEMBER 1.00 0.00 X 0 0 0 BERNARD PINATEL BOARD MEMBER 2.00 0.00 X 0 0 0 BOB MAUGHON BOARD MEMBER 2.00 0.00 X 0 0 0 BOB PATEL BOARD MEMBER 3.00 0.00 X 0 0 0 BOB PATTERSON BOARD MEMBER 1.00 0.00 X 0 0 0 CARSTEN KNOBEL BOARD MEMBER 1.00 0.00 X 0 0 0 CHOLONAT YANARANOP BOARD MEMBER 1.00 0.00 X 0 0 0 DANIELE FERRARI BOARD MEMBER 1.00 0.00 X 0 0 0 DAVID COX BOARD MEMBER 2.00 0.00 X 0 0 0 DAVID TAYLOR BOARD MEMBER 3.00 0.00 X 0 0 0 FLEETWOOD GROBLER BOARD MEMBER 1.00 0.00 X 0 0 0 HALSEY COOK BOARD MEMBER 1.00 0.00 X 0 0 0 HARIOLF KOTTMANN BOARD MEMBER 1.00 0.00 X 0 0 0 HERMANN REICHENECKER BOARD MEMBER 1.00 0.00 X 0 0 0 HITOSHI OCHI BOARD MEMBER 2.00 0.00 X 0 0 0 IGNACIO TORRAS BOARD MEMBER 1.00 0.00 X 0 0 0 JEAN-MARC BOURSIER BOARD MEMBER 3.00 0.00 X 0 0 0 JIM FITTERLING BOARD MEMBER 2.00 0.00 X 0 0 0 JIM TEAGUE BOARD MEMBER 1.00 0.00 X 0 0 0 JUAN DIEGO MEJIA BOARD MEMBER 1.00 0.00 X 0 0 0 KAREN MCKEE BOARD MEMBER 2.00 0.00 X 0 0 0 KATHY BOLHOUS BOARD MEMBER 1.00 0.00 X 0 0 0 KD WON BOARD MEMBER 1.00 0.00 X 0 0 0 KEIICHI IWATA BOARD MEMBER 1.00 0.00 X 0 0 0 KEN MOUNGER BOARD MEMBER 1.00 0.00 X 0 0 0 KEVIN BAUDHUIN BOARD MEMBER 1.00 0.00 X 0 0 0 LEI DIANWU BOARD MEMBER 1.00 0.00 X 0 0 0 LUIS SIERRA BOARD MEMBER 1.00 0.00 X 0 0 0 MANFRED STANEK BOARD MEMBER 1.00 0.00 X 0 0 0 MARK LASHIER BOARD MEMBER 2.00 0.00 X 0 0 0 MARKUS STEILEMANN BOARD MEMBER 1.00 0.00 X 0 0 0 MARTIN BRUDERMUELLER BOARD MEMBER 2.00 0.00 X 0 0 0 MARWAN FREM BOARD MEMBER 1.00 0.00 X 0 0 0 MICHAEL MCGAUGH BOARD MEMBER 1.00 0.00 X 0 0 0 NASER ALDOUSARI BOARD MEMBER 1.00 0.00 X 0 0 0 NEIL ACKERMAN BOARD MEMBER 1.00 0.00 X 0 0 0 NIKHIL MESWANI BOARD MEMBER 1.00 0.00 X 0 0 0 NING ZHANG BOARD MEMBER 1.00 0.00 X 0 0 0 OLIVIER BROUSSE BOARD MEMBER 2.00 0.00 X 0 0 0 OSAMU HASHIMOTO BOARD MEMBER 1.00 0.00 X 0 0 0 RAJEEV GAUTAM BOARD MEMBER 2.00 0.00 X 0 0 0 RAMESH RAMCHANDRAN BOARD MEMBER 1.00 0.00 X 0 0 0 RAMON LAGUARTA BOARD MEMBER 2.00 0.00 X 0 0 0 ROBERTO SIMOES BOARD MEMBER 1.00 0.00 X 0 0 0 STAN BIKULEGE BOARD MEMBER 1.00 0.00 X 0 0 0 STEFAN RANSTRAND BOARD MEMBER 2.00 0.00 X 0 0 0 SURENDRA PATAWARI BOARD MEMBER 1.00 0.00 X 0 0 0 TANAWONG AREERATCHAKUL BOARD MEMBER 1.00 0.00 X 0 0 0 TED DOHENY BOARD MEMBER 1.00 0.00 X 0 0 0 THOMAS CASPARIE BOARD MEMBER 2.00 0.00 X 0 0 0 TODD KARRAN BOARD MEMBER 1.00 0.00 X 0 0 0 TOM SALMON BOARD MEMBER 2.00 0.00 X 0 0 0 TSUTOMU TANNOWA BOARD MEMBER 1.00 0.00 X 0 0 0 YU XIZHI BOARD MEMBER 1.00 0.00 X 0 0 0 JACOB DUER PRESIDENT AND CEO 40.00 0.00 X 1308263 0 856 STEPHEN WILLIAM SIKRA VICE PRESIDENT, CHIEF OF STAFF 40.00 0.00 X 538992 0 2021 SOPHIA PORCELLI VICE PRESIDENT, OPERATIONS, CFO 40.00 0.00 X 364220 0 9393 NICHOLAS FREDERICK KOLESCH VICE PRESIDENT, PROJECTS 40.00 0.00 X 334585 0 2651 JUSTIN WOOD VICE PRESIDENT, STRATEGIC PARTNERHIPS 40.00 0.00 X 309691 0 3346 LEE WAI LING VICE PRESIDENT, COMMUNICATIONS 40.00 0.00 X 298525 0 9013 JEANETTE LING HSIEH-LIN GENERAL COUNCIL & CORP. SECRETARY 40.00 0.00 X 228001 0 13674 CHEONG WAI HARN CASSANDRA HEAD OF MEDIA RELATIONS 40.00 0.00 X 124782 0 7543 THOMAS CHHOA JAU HSI SENIOR ADVISOR 40.00 0.00 X 127146 0 3380 CHRISTOPHER LEE SMITH HEAD OF CREATIVE 40.00 0.00 X 104883 0 1797 3739088 0 53674 10 0 1 0 BAIN & COMPANY INC LLP 190 S LASELLE STREET SUITE 3400 CHICAGO IL 60603 STRATEGIC PLANNING 1592722 WEBER SHANWICK 733 10TH STREET NW SEATTLE WA 20001 EDUCATION ENGAGEMENT & OUTREACH 1361518 WORLD BUSINESS COUNCIL SUSTAINABLE DEVEL MAISON DE LA PAIX CHEMIN EUGENE RIGOT SZ 2B MEMBER ENGAGEMENT & CONTRACTOR SERVICE 1014000 ZENO COMMUNICATIONS SINGAPORE PTE LTD 15 BEACH ROAD 04-01 BEACH CENTRE BEACH CENTRE SN 189677 COMMUNICATIONS AND ENGAGEMENT 485293 SIDLEY AUSTIN LLP 501 K STREET NW SEATTLE WA 20005 LEGAL ADVISORY SERVICES 421058 23 76091672 82398 76174070 286762 286762 PROJECT COST REFUND 900099 2000000 2000000 2000000 78460832 0 0 2286762 X 6252778 6252778 7715418 7715418 3423230 3423230 1220804 599528 621276 641515 630211 11304 129587 88312 41275 667473 338937 328536 364563 12720 351843 7229706 4253280 2976426 4126821 3310980 815841 451250 82715 368535 206545 35111 171434 322669 322669 192028 73369 118659 210597 197594 13003 81302 81302 68186 65520 2666 33304472 23656473 9647999 0 44836447 87021881 9038218 6043750 379924 751223 894254 81302 0 812952 0 0 54254589 94629806 3802546 1886304 6880209 6799997 2784689 0 13467444 8686301 X 40787145 85943505 40787145 85943505 54254589 94629806 45156360 0 X 0 1 X 1 0 X 66025001 76174070 142199071 66025001 76174070 142199071 68198283 74000788 540592 286762 827354 2000000 2000000 145026425 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: PROJECT COST REFUND - 2020 AMOUNT: $ 2,000,000. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 688859 51527 637332 205395 29775 175620 812952 X 78936570 475738 475738 78460832 0 78460832 33780210 475738 475738 33304472 0 33304472 PART X, LINE 2: INCOME TAXES MANAGEMENT EVALUATED THE ALLIANCE'S TAX POSITIONS AND CONCLUDED THAT THE ALLIANCE HAS TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE CONSOLIDATED FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM GRANTS TO RECIPIENTS 5501493 EAST ASIA AND THE PACIFIC 0 0 PROGRAM GRANTS TO RECIPIENTS 1285925 SUB-SAHARAN AFRICA 0 0 PROGRAM GRANTS TO RECIPIENTS 858000 SOUTH ASIA 0 0 PROGRAM GRANTS TO RECIPIENTS 70000 0 0 0 0 0 0 7715418 0 7715418 EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 2000000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 1000000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 951494 WIRE SUB SAHARA AFRICA PROJECT GRANTS 708000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 600000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 600000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) PROJECT GRANTS 350000 WIRE EAST ASIA AND THE PACIFIC PROJECT GRANTS 172000 WIRE SUB SAHARA AFRICA PROJECT GRANTS 150000 WIRE SOUTH ASIA PROJECT GRANTS 30000 WIRE EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, INNOVATION GRANTS 708000 WIRE EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, INNOVATION GRANTS 37000 WIRE EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, EDUCATION GRANTS 368925 WIRE SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, EDUCATION GRANTS 40000 WIRE 6 8 0 0 0 0 0 0 PART I, LINE 2: THE ALLIANCE'S PROJECTS TEAM MONITORS PROJECTS EXECUTED BY GRANTEES. EACH PROJECT IS ASSIGNED A PROJECT MANAGER BY THE ALLIANCE FROM THE STAFF OF THE PROJECTS EXECUTION TEAM. THE PROJECT MANAGERS HAVE REGULAR CONTACT WITH THE GRANTEES TO REVIEW PROGRESS AND ENSURE REGULAR REPORTING. UNDER NORMAL CIRCUMSTANCES, PROJECT MANAGERS WILL MAKE PERIODIC IN-PERSON VISITS TO THE PROJECT SITES WITH THE PARTNERS TO INSPECT PROGRESS VISUALLY. DUE TO COVID, MINIMAL SITE VISITS WERE CONDUCTED DURING THE YEAR. THE FUNDING AGREEMENT THAT GOVERNS THE PROVISION OF THE GRANT CONTAINS A SET OF PROJECT MILESTONES AND PLAN AGAINST WHICH PROGRESS IS MEASURED. DISBURSEMENTS OF FUNDS ARE MADE WHEN MILESTONES ARE ACHIEVED. PART III ACCOUNTING METHOD: 1 THE CIRCULATE INITIATIVE 5 WEST 36TH ST 11TH FLOOR NEW YORK NY 10018 834505154 501(C)(3) 2777778 0 PROJECT GRANTS PLUG AND PLAY LLC 44N WOLFE ROAD SUNNYVALE CA 94085 743125715 3275000 0 PROJECT GRANTS LITTERATI LLC 131 TURVEY COURT CHAPEL HILL CHAPEL HILL NC 27514 465497114 200000 0 PROJECT GRANTS 1 2 PART I, LINE 2: THE ALLIANCE'S PROJECTS TEAM MONITORS PROJECTS EXECUTED BY GRANTEES. EACH PROJECT IS ASSIGNED A PROJECT MANAGER BY THE ALLIANCE FROM THE STAFF OF THE PROJECTS EXECUTION TEAM. THE PROJECT MANAGERS HAVE REGULAR CONTACT WITH THE GRANTEES TO REVIEW PROGRESS AND ENSURE REGULAR REPORTING. UNDER NORMAL CIRCUMSTANCES, THE PROJECT MANAGERS WILL MAKE PERIODIC IN-PERSON VISITS TO THE PROJECT SITES WITH THE PARTNERS TO INSPECT PROGRESS VISUALLY. DUE TO COVID, MINIMAL SITE VISITS WERE CONDUCTED DURING THE YEAR. THE FUNDING AGREEMENT THAT GOVERNS THE PROVISION OF THE GRANT CONTAINS A SET OF PROJECT MILESTONES AND PLAN AGAINST WHICH PROGRESS IS MEASURED. DISBURSEMENTS OF FUNDS ARE MADE WHEN MILESTONES ARE ACHIEVED. X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 JACOB DUER PRESIDENT AND CEO 798391 0 0 0 509872 0 0 0 856 0 1309119 0 0 0 STEPHEN WILLIAM SIKRA VICE PRESIDENT, CHIEF OF STAFF 350143 0 0 0 188849 0 0 0 2021 0 541013 0 0 0 SOPHIA PORCELLI VICE PRESIDENT, OPERATIONS, CFO 364220 0 0 0 0 0 0 0 9393 0 373613 0 0 0 NICHOLAS FREDERICK KOLESCH VICE PRESIDENT, PROJECTS 276928 0 0 0 57657 0 0 0 2651 0 337236 0 0 0 JUSTIN WOOD VICE PRESIDENT, STRATEGIC PARTNERHIP 279035 0 0 0 30656 0 0 0 3346 0 313037 0 0 0 LEE WAI LING VICE PRESIDENT, COMMUNICATIONS 297999 0 0 0 526 0 0 0 9013 0 307538 0 0 0 JEANETTE LING HSIEH-LIN GENERAL COUNCIL & CORP. SECRETARY 208246 0 0 0 19755 0 0 0 13674 0 241675 0 0 0 PART I, LINE 1A AEPW PROVIDES HOUSING ALLOWANCE AND TAX GROSS-UP PAYMENTS TO THE PRESIDENT & CEO. THESE BENEFITS ARE INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. THE COMPENSATION COMMITTEE APPROVED THE PAYMENTS WHICH ARE PAID IN LINE WITH THE INDIVIDUAL'S CONTRACTUAL AGREEMENT. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS REVIEWED BY THE CHIEF FINANCIAL OFFICER AND THE PRESIDENT & CEO THEN THE FORM 990 IS PROVIDED TO THE AUDIT COMMITTEE FOR REVIEW AND APPROVAL TO RELEASE BEFORE IT IS CIRCULATED TO THE BOARD OF DIRECTORS AND FILED. FORM 990, PART VI, SECTION B, LINE 12C THE DIRECTORS, OFFICERS EMPLOYEES & REPRESENTATIVES OF AEPW ARE SUBJECT TO AEPW'S CONFLICT OF INTEREST POLICY & PROCEDURES. EACH DIRECTOR IS PROVIDED WITH A COPY OF AEPW'S CONFLICT OF INTEREST POLICY & PROCEDURES AND SIGNS AN ANNUAL ACKNOWLEDGEMENT OF THE POLICY & PROCEDURES, WITH DISCLOSURE OF ANY CONFLICT OR POTENTIAL CONFLICTS OF INTEREST. A REMINDER OF AEPW'S CONFLICT OF INTEREST POLICY & PROCEDURE IS GIVEN AT EACH MEETING HOSTED BY THE ALLIANCE, INCLUDING BOARD AND EXCOM MEETINGS. THE POLICY PROVIDES THAT POTENTIAL CONFLICTS OF INTEREST MUST BE DISCLOSED TO AEPW'S GENERAL COUNSEL AT THE EARLIEST POSSIBLE JUNCTURE. DIRECTORS, OFFICERS, EMPLOYEES & REPRESENTATIVES WHO ARE SUBJECT TO A CONFLICT OF INTEREST MAY NOT PARTICIPATE IN CONSIDERATION OF THE PROPOSED TRANSACTION FOR WHICH THEY HAVE A CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 DECISIONS WITH REGARDS TO THE COMPENSATION OF THE CEO AND KEY EMPLOYEES WERE MADE BY A COMMITTEE OF THE ALLIANCE. KORN FERRY, A RECRUITMENT CONSULTING FIRM, MADE A PROPOSAL FOR THE COMPENSATION PACKAGE FOR CEO AND KEY EMPLOYEES BASED ON GLOBAL MARKET STANDARDS INCLUDING CONSIDERATIONS FOR SINGAPORE FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTANCY AND ENGAGEMENT SERVICES: PROGRAM SERVICE EXPENSES 1,446,555. MANAGEMENT AND GENERAL EXPENSES 1,958,294. TOTAL EXPENSES 3,404,849. OTHER PROFESSIONAL SERVICES: PROGRAM SERVICE EXPENSES 2,806,725. MANAGEMENT AND GENERAL EXPENSES 1,018,132. TOTAL EXPENSES 3,824,857. IMPACT OF THE COVID-19 PANDEMIC ON JANUARY 30, 2020, THE WORLD HEALTH ORGANIZATION DECLARED THE CORONAVIRUS OUTBREAK A "PUBLIC HEALTH EMERGENCY OF INTERNATIONAL CONCERN AND ON MARCH 10, 2020, DECLARED IT TO BE A PANDEMIC. ACTIONS TAKEN AROUND THE WORLD TO HELP MITIGATE THE SPREAD OF THE CORONAVIRUS INCLUDE RESTRICTIONS ON TRAVEL, AND QUARANTINES IN CERTAIN AREAS, AND FORCED CLOSURES FOR CERTAIN TYPES OF PUBLIC PLACES AND BUSINESSES. THE CORONAVIRUS AND ACTIONS TAKEN TO MITIGATE IT HAVE HAD AND ARE EXPECTED TO CONTINUE TO HAVE AN ADVERSE IMPACT ON THE ECONOMIES AND FINANCIAL MARKETS, INCLUDING THE GEOGRAPHICAL AREA AND SECTORS IN WHICH THE ALLIANCE OPERATES. MANAGEMENT IS CONTINUALLY MONITORING THE POTENTIAL IMPACT OF THE PANDEMIC ON THE ALLIANCE. MANAGEMENT WILL REVIEW AND ADJUST PLANNED EXPENDITURES SHOULD IT BE DETERMINED THE OUTBREAK WILL SIGNIFICANTLY IMPACT THE CONSOLIDATED FINANCIAL POSITION AND ACTIVITIES OF THE ALLIANCE. ALLIANCE TO END PLASTIC WASTE LIMITED 2 SCIENCE PARK DRIVE 02-03/04 ASC SN 981566278 CORPORATE SERVICES SN 8144062 4614733 ALLIANCE TO END PLASTIC WASTE INC