2020-08-06T09:37:38-05:00 2019-09-30 990 2018-10-01 314379427 BATTELLE MEMORIAL INSTITUTE BATT 6144246424 505 KING AVENUE COLUMBUS OH 432012693 THOMAS E SHARPE ASST. TREASURER 6144244971 2020-08-06 75.76.129.132 2020-08-06 09:37:32 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 E7ECE9F2AE1DEB35F70628E12A5C697C7ED9499E 2018 2020-09-23 17:36:50Z LEWIS VON THAER 505 KING AVENUE COLUMBUS OH 432012693 8265725624 0 X WWW.BATTELLE.ORG X 1925 OH SEE MISSION STATEMENT ON SCHEDULE O BATTELLE MEMORIAL INSTITUTE ("BMI") IS ORGANIZED EXCLUSIVELY FOR CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING THE UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE BENEFIT AND EDUCATION OF MANKIND. 10 10 32262 0 59611128 2614769 4189544923 7267057242 849993139 940165551 38374853 47207811 9966272 5522265 5087879187 8259952869 7255841 29272838 0 0 2655339323 4367907096 0 0 0 2385078249 3778422135 5047673413 8175602069 40205774 84350800 1094142717 1144517135 558330135 592664602 535812582 551852533 X BATTELLE MEMORIAL INSTITUTE ("BMI") IS ORGANIZED EXCLUSIVELY FOR CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING THE UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE BENEFIT AND EDUCATION OF MANKIND. 0 0 5107734036 420565009 BATTELLE MEMORIAL INSTITUTE ("BMI") AND ITS AFFILIATES OPERATE SIX UNITED STATES DEPARTMENT OF ENERGY ("DOE") NATIONAL LABORATORIES: BROOKHAVEN NATIONAL LABORATORY; IDAHO NATIONAL LABORATORY; LOS ALAMOS NATIONAL LABORATORY; NATIONAL RENEWABLE ENERGY LABORATORY; OAK RIDGE NATIONAL LABORATORY; PACIFIC NORTHWEST NATIONAL LABORATORY. BMI IS AN INTEGRATED SUBCONTRACTOR AT A SEVENTH DOE NATIONAL LABORATORY: LAWRENCE LIVERMORE NATIONAL LABORATORY. IN ADDITION, A BMI AFFILIATE HOLDS THE MANAGEMENT CONTRACT WITH RESPECT TO THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY'S NATIONAL BIODEFENSE ANALYSIS AND COUNTERMEASURES CENTER. THROUGH OPERATION OF THE NATIONAL LABORATORIES, BMI AND ITS AFFILIATES ADDRESS CRITICAL ELEMENTS OF THE NATION'S SCIENTIFIC RESEARCH AGENDA, PERFORM BASIC AND APPLIED SCIENTIFIC RESEARCH, CREATE SCIENTIFIC KNOWLEDGE AND TECHNICAL SOLUTIONS IN KEY AREAS OF SCIENCE, INCREASE THE AVAILABILITY OF CLEAN AND ABUNDANT ENERGY, RESTORE AND PROTECT THE ENVIRONMENT, ENGAGE IN EDUCATIONAL ACTIVITIES, AND CONTRIBUTE TO NATIONAL SECURITY. 485871795 460219234 BMI ALSO CONDUCTS SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS FOR OTHER FEDERAL, STATE AND LOCAL GOVERNMENT AGENCIES AND INDUSTRIAL SPONSORS, AND TRANSLATES SCIENCE AND TECHNOLOGY INTO PRODUCTS, SYSTEMS AND SERVICES FOR ITS SPONSORS. BMI PLACES SPECIAL EMPHASIS UPON SIGNATURE AREAS OF ENERGY, ENVIRONMENT AND MATERIAL SCIENCES, NATIONAL SECURITY, AND HEALTH AND LIFE SCIENCES. 29272838 29272838 EACH YEAR, BMI DISTRIBUTES AT LEAST TWENTY PERCENT OF ITS PRIOR YEAR CONSOLIDATED NET INCOME TO PUBLIC CHARITIES AND EDUCATIONAL INSTITUTIONS. DISTRIBUTIONS ARE PRIMARILY FOCUSED UPON EDUCATION, HUMAN SERVICES, ARTS AND SCIENCES, AND ECONOMIC DEVELOPMENT. BMI ACTIVELY SUPPORTS EDUCATIONAL INITIATIVES IN OHIO, TENNESSEE AND ACROSS THE UNITED STATES THAT PROMOTE STUDENT ACHIEVEMENT, ASSIST WITH PROFESSIONAL DEVELOPMENT FOR TEACHERS, AND PROMOTE INQUIRY-BASED LEARNING, ESPECIALLY IN THE SCIENCE, TECHNOLOGY, ENGINEERING, AND MATHEMATICS (STEM) DISCIPLINES. 5622878669 1 0 0 1 0 0 0 0 0 0 1 1 0 1 1 0 0 1 0 1 1 0 0 0 0 0 0 1 0 1 0 0 0 1 0 0 1 0 0 0 0 0 1 1 1 1 0 1 1 3022 0 1 32262 1 1 1 1 SZ UK 0 0 0 0 0 0 0 0 1 0 X 10 10 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 CA DC IL KY MA NY OR VA X X EDWARD GRECCO 6144247997 505 KING AVENUE COLUMBUS OH 432012693 JOHN K WELCH CHAIRMAN AND DIRECTOR 3.00 X 138040 0 0 VICKY A BAILEY DIRECTOR 3.00 X 117634 0 0 MICHAEL J GASSER DIRECTOR 3.00 X 118221 0 0 JOHN C LECHLEITER DIRECTOR FROM 11/18 3.00 X 112 0 0 LESTER L LYLES DIRECTOR 3.00 X 118837 0 0 MICHAEL G MORRIS DIRECTOR 3.00 X 112692 0 0 SEAN C O'KEEFE DIRECTOR 3.00 X 123720 0 0 KIRKLAND H DONALD DIRECTOR 3.00 X 116152 0 0 SUZANNE M VAUTRINOT DIRECTOR 3.00 X 123225 0 0 STEPHANIE O'SULLIVAN DIRECTOR 3.00 X 125648 0 0 LEWIS VON THAER PRESIDENT & CEO 39.00 1.00 X 3731783 0 43757 EDWARD GRECCO EXECUTIVE VP,CFO 40.00 X 1369893 0 24665 RONALD D TOWNSEND EXECUTIVE VP, GLOBAL LAB OPS 40.00 X 2574086 0 -31672 RUSSELL P AUSTIN SR VP, GEN COUNSEL & SECRETARY 40.00 X 1002135 0 -12585 MALESA LITTERAL SR VP, CHIEF HR OFFICER TO 09/19 40.00 X 628433 0 52407 PATRICK F JARVIS SR VP, MARKETING & COMMUNICATIONS 40.00 X 756953 0 47803 STEVEN F ASHBY SR VP, LAB DIRECTOR 40.00 X 735242 0 58313 MARK T PETERS SR VP, LAB DIRECTOR 40.00 X 710748 0 62520 MATTHEW L VAUGHAN SR VP, CONTRACT RESEARCH 40.00 X 1193024 0 55192 AIMEE KENNEDY SR VP, PHILANTHROPY & EDUCATION 39.00 1.00 X 491470 0 37535 MARIO WONG ASST TREAS. & CONTROLLER 40.00 X 278378 0 40675 BRIAN R SMITH TREASURER 39.00 1.00 X 275761 0 33143 THOMAS E SHARPE ASST TREASURER & ASST SECRETARY 39.00 1.00 X 297210 0 46526 MICHAEL C JANUS VP, ENVIRONMENT, INFRASTRUCTURE 40.00 X 739150 0 10629 RONALD A CRONE ASSOCIATE LAB DIRECTOR 40.00 X 509112 0 57797 JUAN ALVAREZ DEPUTY LAB DIRECTOR 40.00 X 506215 0 -7092 KELLY BEIERSCHMITT DEPUTY LAB DIRECTOR 40.00 X 509723 0 -5399 JULIE B SWICK VICE PRESIDENT OF HEALTH 40.00 X 545973 0 -32411 JEFFREY WADSWORTH PRESIDENT & CEO TO 09/17 40.00 X 1957676 0 -93919 DAVID C EVANS EXECUTIVE VP,CFO TO 02/18 40.00 X 2925099 0 -1722 STEPHEN E KELLY SENIOR VP TO 12/17 40.00 X 731736 0 -39595 THOMAS E MASON SENIOR VP 07/17 TO 11/17 40.00 X 1497043 0 40899 MICHAEL KLUSE SENIOR VP TO 3/15 40.00 X 169598 0 0 BRETT BOSLEY ACTING CFO 7/17 TO 05/18 40.00 X 927951 0 16407 26158673 0 403873 8903 1 1 0 IBM GF INTERNATIONAL HOLDING 6700 ROCKLEDGE DR BETHESDA MD 20817 EQUIPMENT LEASING 64402939 YOH SERVICES LLC 1500 SPRING GARDEN STREET PHILADELPHIA PA 19130 PROFESSIONAL SERVICES 14326587 CULMAN INTERNATIONAL LLC 99 CANAL CENTER PLAZA STE 410 ALEXANDRIA VA 22314 SCIENTIFIC AND TECHNICAL SERVICES 8426126 HOLMAN'S USA LLC 6201 JEFFERSON ST NE ALBUQUERQUE NM 87109 SCIENTIFIC AND TECHNICAL SERVICES 8311886 CADRE5 LLC 804 INNOVATION DRIVE KNOXVILLE TN 37932 SCIENTIFIC AND TECHNICAL SERVICES 6169306 476 7239962734 27094508 7267057242 GOVERNMENT CONTRACTS 541700 786506822 786506822 SCIENTIFIC RESEARCH 541700 153658729 94277421 59381308 940165551 11137838 229820 10908018 5069415 5069415 99301 0 99301 99301 99301 9668939 32173789 977390 4795365 8691549 27378424 36069973 36069973 MISCELLANEOUS REVENUE 541700 334157 334157 OPERATING REVENUE 541700 19392 19392 353549 8259952869 880784243 59611128 52500256 X 29272838 29272838 15169916 15169916 3160592835 2204140576 956452259 291316549 206792507 84524042 685773577 480079066 205694511 215054219 150805128 64249091 3106070 3106070 9318985 9318985 1867948 1867948 812853 812853 1199478 1199478 2013434440 1343042040 670392400 579512 579512 7033057 550263 6482794 84558546 53471410 31087136 122120925 79432325 42688600 180573982 125993118 54580864 3317441 2140643 1176798 6664574 4186934 2477640 27666062 16136200 11529862 5310673 5310673 PURCHASES 1097085978 776003958 321082020 NON-INCOME TAX EXPENSE 117944655 93959069 23985586 RENTAL & MAINTENANCE 58888688 38031463 20857225 MINORITY INTEREST 20032736 20032736 16905532 14342696 2562836 8175602069 5622878669 2552723400 0 51874742 62173348 81977427 95671673 224237798 229136064 160583 4752180 2281104 69489351 38968147 604416784 405841336 206605231 198575448 311276282 354947867 76811785 71539659 67117921 91063242 1094142717 1144517135 157789249 156592914 27116980 23054276 155000000 205000000 218423906 208017412 558330135 592664602 X 0 0 0 0 535812582 551852533 535812582 551852533 1094142717 1144517135 X 84350800 -68310849 X 0 1 X 1 1 1 X 3989960217 4051515397 4021423284 4189544923 7267057242 23519501063 3989960217 4051515397 4021423284 4189544923 7267057242 23519501063 23519501063 16103324 16826722 17433343 18682222 16430283 85475894 26784 3133898 2624143 4657994 7812493 18255312 23623232269 3818368605 0.99560 0.99520 X 0 0 0 0 0 1 0 0 0 0 1 773852 0 1 39001 812853 0 PART II-B, LINE 1: LINE 1 (I) OTHER ACTIVITIES FIFTY ORGANIZATIONS REPORTED THAT A PORTION OF MEMBERSHIP DUES PAID BY BATTELLE WERE USED FOR LOBBYING. SCHEDULE C SUPPLEMENTAL INFORMATION - PART IV INTERNAL LOBBYING EXPENSES TOTALED $228,564 AND EXTERNAL LOBBYING EXPENSES TOTALED $545,288 FOR A TOTAL OF $773,852. THE GENERAL ISSUE AREA FOR LOBBYING IS INCREASED FUNDING IN THE FEDERAL BUDGET FOR SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS, THROUGH AUTHORIZATION AND APPROPRIATIONS BILLS AND REPORT LANGUAGE. THE SPECIFIC LOBBYING ISSUES INCLUDE THE U.S. HOUSE AND SENATE AUTHORIZATION BILLS FOR THE DEPARTMENT OF AGRICULTURE (FOOD AND DRUG ADMINISTRATION); DEPARTMENT OF COMMERCE (NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION); DEPARTMENT OF DEFENSE; DEPARTMENT OF EDUCATION; DEPARTMENT OF ENERGY; DEPARTMENT OF HEALTH AND HUMAN SERVICES (NATIONAL INSTITUTES OF HEALTH AND CENTERS FOR DISEASE CONTROL AND PREVENTION); DEPARTMENT OF HOMELAND SECURITY, DEPARTMENT OF THE INTERIOR (ENVIRONMENTAL PROTECTION AGENCY), DEPARTMENT OF VETERANS AFFAIRS, AND THE NATIONAL SCIENCE FOUNDATION. ADDITIONALLY, THEY INCLUDE THE U.S. HOUSE AND SENATE APPROPRIATIONS BILLS FOR: AGRICULTURE, RURAL DEVELOPMENT, FOOD AND DRUG ADMINISTRATION, AND RELATED AGENCIES; COMMERCE, JUSTICE, SCIENCE, AND RELATED AGENCIES; DEFENSE; ENERGY AND WATER DEVELOPMENT; HOMELAND SECURITY; LABOR, HEALTH AND HUMAN SERVICES, EDUCATION, AND RELATED AGENCIES; MILITARY CONSTRUCTION, VETERANS AFFAIRS, AND RELATED AGENCIES; STATE, FOREIGN OPERATIONS, AND RELATED PROGRAMS. THE HOUSE(S) OF CONGRESS AND FEDERAL AGENCIES CONTACTED (THOUGH NOT NECESSARILY LOBBIED) INCLUDE: DEPARTMENT OF EDUCATION, DEPARTMENT OF ENERGY, DEPARTMENT OF DEFENSE, DEPARTMENT OF HEALTH AND HUMAN SERVICES (NATIONAL INSTITUTES OF HEALTH), DEPARTMENT OF HOMELAND SECURITY, ENVIRONMENTAL PROTECTION AGENCY, NATIONAL SCIENCE FOUNDATION, U.S. HOUSE, AND U.S. SENATE. IN ADDITION, A MINOR AMOUNT OF LOBBYING IS CONDUCTED WITH VARIOUS STATE AND LOCAL GOVERNMENTS AND/OR AGENCIES. 10378452 10378452 414381887 259539683 154842204 163919083 146301653 17617430 15737362 15737362 198575448 61483582 C RABBI TRUSTS 10056077 F 71539659 OTHER ASSETS 5974345 GOODWILL 22370529 PREPAID PENSION COSTS 62718368 91063242 LONG TERM BENEFIT RELATED LIABILITIES 12727667 OTHER LONG TERM LIABILITIES 5783315 LIABILITY FOR POSTRETIREMENT & OTHER BENEFITS 189506430 208017412 SUPPLEMENTAL INFORMATION PART X, LINE 2 - FIN 48(ASC 740) FOOTNOTE THE PROVISIONS OF FIN 48 INCLUDED IN FASB ASC 740 APPLY TO BATTELLE MEMORIAL INSTITUTE (BMI). A FIN 48 ANALYSIS FOR UNCERTAIN INCOME TAX POSITIONS WAS PERFORMED BY BMI AND REVIEWED BY ITS INDEPENDENT AUDITORS. AS A RESULT OF THE ANALYSIS, NO FIN 48 RESERVES FOR UNCERTAIN TAX POSITIONS WERE REQUIRED AND NONE WERE RECORDED IN THE FINANCIAL STATEMENTS. THEREFORE NO SPECIFIC FIN 48 FOOTNOTE WAS INCLUDED IN BMI'S FINANCIAL STATEMENTS. CENTRAL AMERICA AND THE CARIBBEAN INVESTMENTS 111404170 EAST ASIA AND THE PACIFIC 1 2 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 519571 EUROPE INVESTMENTS 34537999 EUROPE 5 80 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 16264279 NORTH AMERICA 1 1 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 90693 RUSSIA AND NEIGHBORING STATES - ARMENIA, AZERBIJAN, BELARUS, 1 2 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 235274 SOUTH AMERICA 1 1 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 33382 9 86 0 0 9 86 163085368 0 163085368 1 0 1 1 1 1 PART I, LINE 3: ALL EXPENDITURES ARE BASED ON THE ACCRUAL METHOD OF ACCOUNTING. PART 1, LINE 3 EXPENDITURES ASSOCIATED WITH PROGRAM SERVICES PERFORMED IN RUSSIA AND NEIGHBORING STATES WERE MADE IN CONNECTION WITH THE PERFORMANCE OF CONTRACTS WITH THE U.S. GOVERNMENT. 1 ALBANY COLLEGE OF PHARMACY AND HEALTH SCIENCES 106 NEW SCOTLAND AVE ALBANY NY 12208 141423161 501(C)(3) 8000 GENERAL OPERATING SUPPORT ALBUQUERQUE PUBLIC SCHOOLS FOUNDATION PO BOX 27504 ALBUQUERQUE NM 87125 850434438 170(C)(1) 10000 ELECTRIC CAR CHALLENGE, SCIENCE BOWL ALLIANCE FOR BETTER NONPROFITS 318 N GAY ST KNOXVILLE TN 37917 472265490 501(C)(3) 10000 GENERAL OPERATING SUPPORT ALZHEIMERS DISEASE AND RELATED DISORDERS ASSOC 225 N MICHIGAN AVE CHICAGO IL 60601 133039601 501(C)(3) 6188 GENERAL OPERATING SUPPORT AMERICAN CANCER SOCIETY 250 WILLIAMS ST ATLANTA GA 30303 131788491 501(C)(3) 5318 GENERAL OPERATING SUPPORT AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVE DALLAS TX 75231 135613797 501(C)(3) 21425 GENERAL OPERATING SUPPORT AMERICAN NATIONAL RED CROSS 431 18TH STREET WASHINGTON DC 20006 530196605 501(C)(3) 16827 GENERAL OPERATING SUPPORT ASSOCIATION OF CHINESE-AMERICAN ENGINEERS AND SCIENTISTS 11201 DESERT CLASSIC ALBUQUERQUE NM 87111 850392391 501(C)(3) 9200 NM FUTURE CITY COMPETITION BALLET METROPOLITAN 322 MOUNT VERNON AVE COLUMBUS OH 43215 310858562 501(C)(3) 6825 GENERAL OPERATING SUPPORT BARRIOS UNIDOS 7 JOHN HYSON DRIVE CHIMAYO NM 87522 810867528 501(C)(3) 12378 LA CULTURA CURA PROJECT BRADBURY SCIENCE MUSEUM ASSOC 108 CENTRAL PARK LOS ALAMOS NM 87544 473189806 501(C)(3) 8698 GENERAL OPERATING SUPPORT CAPITAL UNIVERSITY 1 COLLEGE MAIN COLUMBUS OH 43209 314379435 501(C)(3) 10050 GENERAL OPERATING SUPPORT CATHOLIC RELIEF SERVICES 228 W LEXINGTON ST BALTIMORE MD 21201 135563422 501(C)(3) 8090 GENERAL OPERATING SUPPORT CATHOLIC SOCIAL SERVICES 197 E GAY ST COLUMBUS OH 43215 314379437 501(C)(3) 17696 FMV LAPTOPS GENERAL OPERATING SUPPORT CIVIL AIR PATROL 1735 FOOTE DR IDAHO FALLS ID 83402 756037853 170(C)(1) 5104 GENERAL OPERATING SUPPORT COLLEGE OF EASTERN IDAHO 1600 S 25TH EAST IDAHO FALLS ID 83404 943160729 501(C)(3) 30120 GENERAL OPERATING SUPPORT COLUMBUS ASSOCIATION FOR THE PERFORMING ARTS 55 E STATE ST COLUMBUS OH 43215 310749884 501(C)(3) 13050 GENERAL OPERATING SUPPORT COLUMBUS FOUNDATION 41 S HIGH ST COLUMBUS OH 43215 316044264 501(C)(3) 24632379 GENERAL OPERATING SUPPORT COLUMBUS MUSEUM OF ART 480 E BROAD ST COLUMBUS OH 43215 314379447 501(C)(3) 5267 GENERAL OPERATING SUPPORT COLUMBUS SYMPHONY ORCHESTRA 55 E STATE ST COLUMBUS OH 43215 316402408 501(C)(3) 11485 GENERAL OPERATING SUPPORT COLUMBUS URBAN LEAGUE 788 MOUNT VERNON AVE COLUMBUS OH 43203 314379453 501(C)(3) 56971 FMV LAPTOPS GENERAL OPERATING SUPPORT COLUMBUS ZOOLOGICAL PARK ASSOCIATION 9990 RIVERSIDE DR POWELL OH 43065 314390844 501(C)(3) 28662 GENERAL OPERATING SUPPORT COMMUNITIES IN SCHOOLS OF NEW MEXICO 300 CATRON ST SANTA FE NM 87501 270114585 170(C)(1) 10200 GENERAL OPERATING SUPPORT COMMUNITY FOOD BASKET 245 N PLACER AVE IDAHO FALLS ID 83402 820305800 501(C)(3) 5561 GENERAL OPERATING SUPPORT COMMUNITY SHELTER BOARD 355 E CAMPUS VIEW BLVD COLUMBUS OH 43235 311181284 501(C)(3) 257865 GENERAL OPERATING SUPPORT CORNELL UNIVERSITY 341 PINE TREE RD ITHACA NY 14850 150532082 501(C)(3) 15584 GENERAL OPERATING SUPPORT CUSTER COUNTY PO BOX 385 CHALLIS ID 83226 826000295 170(C)(1) 10000 MACKAY DAM DRAKE UNIVERSITY 2507 UNIVERSITY AVE DES MOINES IA 50311 420680460 501(C)(3) 5600 GENERAL OPERATING SUPPORT ESPANOLA HUMANE 108 HAMM PARKWAY ESPANOLA NM 87532 850406234 501(C)(3) 9724 GENERAL OPERATING SUPPORT FIELDS EDUCATION PO BOX 4753 POCATELLO ID 83205 811579213 501(C)(3) 15000 GENERAL OPERATING SUPPORT FIRST 1020 COMMERCE PARK DRIVE OAK RIDGE TN 37830 264400392 501(C)(3) 10000 GENERAL OPERATING SUPPORT FOOD DEPOT 1223 A SILER ROAD SANTA FE NM 87507 850416803 501(C)(3) 23409 GENERAL OPERATING SUPPORT FRANKLIN PARK CONSERVATORY 1777 E BROAD STREET COLUMBUS OH 43203 311657027 501(C)(3) 12450 GENERAL OPERATING SUPPORT FREDERICK COMMUNITY COLLEGE FOUNDATION 7932 OPOSSUMTOWN PIKE FREDERICK MD 21072 521231768 501(C)(3) 11000 GENERAL OPERATING SUPPORT FREDERICK COUNTY PUBLIC SCHOOLS 191 S EAST ST FREDERICK MD 21701 526000941 170(C)(1) 50000 GENERAL OPERATING SUPPORT GAITED ADVOCATE INTERVENTION TEAM 14515 CHRISMAN HILL DR BOYDS MD 20841 813550579 501(C)(3) 6186 GENERAL OPERATING SUPPORT GIRL SCOUTS OF NEW MEXICO TRAILS 4000 JEFFERSON PLAZA NE ALBUQUERQUE NM 87109 856011246 501(C)(3) 5500 GENERAL OPERATING SUPPORT HEALTHY CONNECTIONS 212 W JOHNSTOWN RD GAHANNA OH 43220 710807744 501(C)(3) 8987 FMV LAPTOPS GENERAL OPERATING SUPPORT HOPE PREGNANCY CENTER 1183 DIAMOND DR LOS ALAMOS NM 87544 850423290 501(C)(3) 6482 GENERAL OPERATING SUPPORT IDAHO FALLS SYMPHONY SOCIETY 450 A STREET IDAHO FALLS ID 83402 826007411 501(C)(3) 7500 GENERAL OPERATING SUPPORT IDAHO GOVERNOR'S CUP PO BOX 983 BOISE ID 83701 208277116 501(C)(3) 10000 GENERAL OPERATING SUPPORT IDAHO RURAL PARTNERSHIP 2270 OLD PENITENTIARY RD BOISE ID 83712 820311062 170(C)(1) 10000 GENERAL OPERATING SUPPORT IDAHO STATE UNIVERSITY FOUNDATION 921 S 8TH AVE POCATELLO ID 83209 826013543 501(C)(3) 15000 GENERAL OPERATING SUPPORT IDAHO STEM ACTION CENTER FOUNDATION 802 W BONNOCK ST BOISE ID 83702 822903945 501(C)(3) 175595 GENERAL OPERATING SUPPORT JUNIOR ACHIEVEMENT OF EAST TENNESSEE 2135 N CHARLES SEIVERS BLVD CLINTON TN 37716 620810145 501(C)(3) 15000 GENERAL OPERATING SUPPORT KANSAS STATE UNIVERSITY FOUNDATION 1800 KIMBALL AVE MANHATTAN KS 66502 480667209 501(C)(3) 9000 GENERAL OPERATING SUPPORT KING ARTS COMPLEX 867 MOUNT VERNON AVE COLUMBUS OH 43203 237065803 501(C)(3) 15157 FMV LAPTOPS GENERAL OPERATING SUPPORT KITCHEN ANGELS 1222 SILER ROAD SANTA FE NM 87507 850423492 501(C)(3) 5984 GENERAL OPERATING SUPPORT LEADERSHIP NEW MEXICO 320 GOLD AVE ALBUQUERQUE NM 87102 850437219 501(C)(3) 5500 GENERAL OPERATING SUPPORT LEUKEMIA & LYMPHOMA SOCIETY 3 INTERNATIONAL DR RYE BROOK NY 10573 135644916 501(C)(3) 6615 GENERAL OPERATING SUPPORT LONG ISLAND MUSEUM OF AMERICAN ART HISTORY 1200 ROUTE 25A STONY BROOK NY 11790 111667767 501(C)(3) 15000 GENERAL OPERATING SUPPORT LOS ALAMOS COMMUNITY FOUNDATION 1200 TRINITY DR LOS ALAMOS NM 87544 352546420 501(C)(3) 5975 GENERAL OPERATING SUPPORT LOS ALAMOS NATIONAL LABORATORY FOUNDATION 1112 PLAZA DEL NORTE ESPANOLA NM 87532 742853972 501(C)(3) 616904 GENERAL OPERATING SUPPORT LOS ALAMOS PUBLIC SCHOOL FOUNDATION 1900 DIAMOND DR LOS ALAMOS NM 87544 200773298 501(C)(3) 16230 GENERAL OPERATING SUPPORT LUNA COMMUNITY COLLEGE FOUNDATION 366 LUNA DRIVE LAS VEGAS NM 87701 742851490 501(C)(3) 8500 ROBOTIC ACADEMY MARTIN LUTHER KING BREAKFAST COMMITTEE PO BOX 83134 COLUMBUS OH 43203 311225276 501(C)(3) 6500 GENERAL OPERATING SUPPORT MESA TO MESA 735 VIETNAM VETERANS RD ESPANOLA NM 87532 472594591 501(C)(3) 5480 GENERAL OPERATING SUPPORT MID-OHIO FOODBANK 3960 BROOKHAVEN DR GROVE CITY OH 43123 310865343 501(C)(3) 20624 GENERAL OPERATING SUPPORT MUSEUM OF APPALACHIA 2819 ANDERSONVILLE HWY CLINTON TN 37828 043595011 501(C)(3) 10000 GENERAL OPERATING SUPPORT MUSEUM OF IDAHO 200 N EASTERN AVE IDAHO FALLS ID 83402 820363177 501(C)(3) 5886 GENERAL OPERATING SUPPORT MUSEUMS AT MITCHEL ONE DAVIS AVE GARDEN CITY NY 11530 113558761 501(C)(3) 11400 GENERAL OPERATING SUPPORT NATIONAL DANCE INSTITUTE OF NEW MEXICO 1140 ALTO ST SANTA FE NM 87501 850431846 501(C)(3) 5813 GENERAL OPERATING SUPPORT NATIONWIDE CHILDREN'S HOSPITAL FOUNDATION 700 CHILDRENS DRIVE COLUMBUS OH 43205 311036370 501(C)(3) 26393 GENERAL OPERATING SUPPORT NATURAL HERITAGE TRUST 625 BROADWAY ALBANY NY 12207 161019635 501(C)(3) 10000 GENERAL OPERATING SUPPORT NEW ALBANY COMMUNITY FOUNDATION 220 MARKET ST NEW ALBANY OH 43045 311409264 501(C)(3) 24140 GENERAL OPERATING SUPPORT NEW MEXICO COMMUNITY FOUNDATION 135 W PALACE AVE SANTA FE NM 87501 850311210 501(C)(3) 50198 GENERAL OPERATING SUPPORT NEW MEXICO CONSORTIUM 4200 W JEMEZ RD LOS ALAMOS NM 87544 260370262 501(C)(3) 54510 SUMMER CAMPS NEW MEXICO HIGHLANDS FOUNDATION 905 UNIVERSITY AVE LAS VEGAS NM 87701 750121368 501(C)(3) 10400 GENERAL OPERATING SUPPORT NEW MEXICO MESA 1015 TIJERAS SANTA FE NM 87102 850371954 501(C)(3) 10000 GENERAL OPERATING SUPPORT NEW MEXICO WILDLIFE CENTER 19 WHEAT ST ESPANOLA NM 87532 850346210 501(C)(3) 6756 WILDLIFE EDUCATION PROGRAMS NORTH CENTRAL NEW MEXICO VETERANS TRANSPORTATION NETWORK PO BOX 3792 TAOS NM 87571 820776155 501(C)(3) 7500 GENERAL OPERATING SUPPORT NORTHERN NEW MEXICO COLLEGE FOUNDATION 925 N PASEO DE ONATE ESPANOLA NM 87532 742835828 501(C)(3) 72236 GENERAL OPERATING SUPPORT OAK RIDGE PUBLIC SCHOOLS P O BOX 117 OAK RIDGE TN 37831 621809810 170(C)(1) 20000 GENERAL OPERATING SUPPORT OGALLALA COMMONS 4451 LONG SHADOW LANE SANTA FE NM 87507 331144011 501(C)(3) 6000 LITERACY THROUGH RIVER FESTIVALS OHIO DEPT OF TRANSPORTATION 1980 W BROAD ST COLUMBUS OH 43223 311334820 170(C)(1) 61856 FMV WEST JEFFERSON LAND GENERAL OPERATING SUPPORT OHIO STATE UNIVERSITY FOUNDATION 1480 W LANE AVE COLUMBUS OH 43221 311145986 501(C)(3) 80051 GENERAL OPERATING SUPPORT OHIOHEALTH FOUNDATION 180 E BROAD ST COLUMBUS OH 43215 237446919 501(C)(3) 9121 GENERAL OPERATING SUPPORT PAJARITO ENVIRONMENTAL EDUCATION CENTER 2600 CANYON RD LOS ALAMOS NM 87544 850478101 501(C)(3) 9916 GENERAL OPERATING SUPPORT POCATELLO-CHUBBUCK CHAMBER FOUNDATION 324 S MAIN ST POCATELLO ID 83204 813237943 501(C)(3) 23556 GENERAL OPERATING SUPPORT QUALITY NEW MEXICO PO BOX 25005 ALBUQUERQUE NM 87125 850433782 501(C)(3) 5500 ANNUAL LEARNING SUMMIT REGIONAL DEVELOPMENT CORPORATION PO BOX 2698 ESPANOLA NM 87532 742805791 501(C)(3) 732000 GENERAL OPERATING SUPPORT REGIONAL ECONOMIC DEVELOPMENT 365 RIVER PARKWAY IDAHO FALLS ID 83402 820460529 501(C)(3) 25100 GENERAL OPERATING SUPPORT ROANE STATE FOUNDATION 276 PATTON LANE HARRIMAN TN 37748 581413034 501(C)(3) 34000 SCHOLARSHIPS ROCKY MOUNTAIN PUBLIC BROADCASTING NETWORK 1089 BANNOCK ST DENVER CO 80204 840510785 501(C)(3) 5050 GENERAL OPERATING SUPPORT RONALD MCDONALD HOUSE CHARITIES OF NEW MEXICO 1011 YALE BLVD NE ALBUQUERQUE NM 87106 850283204 501(C)(3) 5500 GENERAL OPERATING SUPPORT SAGE COTTAGE SCHOOL 142 MEADOW LANE LOS ALAMOS NM 87547 850480046 501(C)(3) 6800 SUPPORT STEM EDUCATION SAINT ELIZABETH SHELTER CORPORATION 804 ALARID ST SANTA FE NM 87505 850347650 501(C)(3) 6919 GENERAL OPERATING SUPPORT SANTA FE CHAMBER OF COMMERCE - OPPORTUNITIES FUND 1644 ST MICHAELS DR SANTA FE NM 87505 850460648 501(C)(3) 5350 GENERAL OPERATING SUPPORT SANTA FE CHILDREN'S MUSEUM 1050 OLD PECOS TRAIL SANTA FE NM 87505 850335070 501(C)(3) 5250 FIELD TRIPS SANTA FE COMMUNITY COLLEGE FOUNDATION 6401 RICHARDS AVE SANTA FE NM 87508 201594570 501(C)(3) 10227 GENERAL OPERATING SUPPORT SCHOLARSHIP AMERICA INC 1 SCHOLARSHIP WAY ST PETER MN 56082 042296967 501(C)(3) 25000 SUPPORT STEM EDUCATION SECOND CHANCE SHELTER 130 COUNTY ROAD 398 BOAZ AL 35957 262717351 501(C)(3) 10000 GENERAL OPERATING SUPPORT SHADOART PRODUCTIONS INC 503 S FRONT ST COLUMBUS OH 43215 311340461 501(C)(3) 9600 GENERAL OPERATING SUPPORT SLOW FOOD SANTA FE PO BOX 1809 SANTA FE NM 87504 900108343 501(C)(3) 5500 GENERAL OPERATING SUPPORT ST JOSEPH MONTESSORI SCHOOL 933 HAMLET ST COLUMBUS OH 43201 310912807 501(C)(3) 20200 GENERAL OPERATING SUPPORT ST JUDE CHILDRENS RESEARCH HOSPITAL 501 ST JUDE PLACE MEMPHIS TN 38105 620646012 501(C)(3) 6270 GENERAL OPERATING SUPPORT ST VINCENT HOSPITAL FOUNDATION 455 ST MICHAELS DR SANTA FE NM 87505 850282847 501(C)(3) 5455 GENERAL OPERATING SUPPORT STEM SANTA FE PO BOX 33130 SANTA FE NM 87594 822358193 501(C)(3) 33378 SUPPORT STEM EDUCATION SUGAR-SALEM HIGH SCHOOL 1 S DIGGER DR SUGAR CITY ID 83448 826000836 170(C)(1) 15000 SUPPORT STEM EDUCATION SUPERCOMPUTING CHALLENGE PO BOX 91824 ALBUQUERQUE NM 87199 651207275 501(C)(3) 35228 GENERAL OPERATING SUPPORT TECH CORPS 6600 BUSCH BLVD COLUMBUS OH 43229 161703355 501(C)(3) 13175 FMV LAPTOPS GENERAL OPERATING SUPPORT THUNDER RIDGE HIGH SCHOOL 4941 1ST ST IDAHO FALLS ID 83401 826001206 170(C)(1) 10000 SUPPORT STEM EDUCATION TRAGEDY ASSISTANCE PROGRAM FOR SURVIVORS 3033 WILSON BLVD ARLINGTON VA 22201 920152268 501(C)(3) 8510 GENERAL OPERATING SUPPORT UNITED WAY 1301 HANNAH AVE KNOXVILLE TN 37921 621818021 501(C)(3) 100000 GENERAL OPERATING SUPPORT UNITED WAY OF CENTRAL OHIO 360 S THIRD ST COLUMBUS OH 43215 314393712 501(C)(3) 14217 GENERAL OPERATING SUPPORT UNITED WAY OF IDAHO FALLS 330 SHOUP AVE IDAHO FALLS ID 83402 820233588 501(C)(3) 68238 GENERAL OPERATING SUPPORT UNITED WAY OF LONG ISLAND 819 GRAND BLVD DEER PARK NY 11729 116042392 501(C)(3) 16165 GENERAL OPERATING SUPPORT UNITED WAY OF NORTHERN NEW MEXICO PO BOX 539 LOS ALAMOS NM 87544 237138947 501(C)(3) 216443 GENERAL OPERATING SUPPORT UNITED WAY OF SANTA FE COUNTY 440 CERRILLOS RD SANTA FE NM 87501 850163601 501(C)(3) 25873 GENERAL OPERATING SUPPORT UNITED WAY OF THE BLUEGRASS 100 MIDLAND AVE LEXINGTON KY 40508 610444679 501(C)(3) 8443 GENERAL OPERATING SUPPORT UNIVERSITY OF IDAHO FOUNDATION 714 WEST STATE ST BOISE ID 83702 237098404 501(C)(3) 15000 GENERAL OPERATING SUPPORT UNIVERSITY OF NEW MEXICO FOUNDATION 1157 COUNTY ROAD 110 RANCHO DE TAOS NM 87557 850275408 501(C)(3) 27500 GENERAL OPERATING SUPPORT UNIVERSITY OF TENNESSEE FOUNDATION 800 ANDY HOLT TOWER KNOXVILLE TN 37996 626001636 501(C)(3) 20500 GENERAL OPERATING SUPPORT UNIVERSITY OF WASHINGTON FOUNDATION UW TOWER BOX 359505 SEATTLE WA 98195 943079432 501(C)(3) 9600 GENERAL OPERATING SUPPORT WARTBURG CENTRAL HIGH SCHOOL 1119 KNOXVILLE HWY WARTBURG TN 37887 626000772 170(C)(1) 6500 GENERAL OPERATING SUPPORT YMCA 1450 IRIS ST LOS ALAMOS NM 87544 850130054 501(C)(3) 20389 GENERAL OPERATING SUPPORT YWCA 420 W CLINCH AVE KNOXVILLE TN 37902 620475701 501(C)(3) 10000 GENERAL OPERATING SUPPORT 117 0 PART I, LINE 2: BATTELLE MEMORIAL INSTITUTE (BMI) SENDS A LETTER TO EACH ORGANIZATION THAT STATES THAT BY SIGNING AND DEPOSITING THE CHECK THEY ARE CONFIRMING THAT THEY ARE A 501(C)(3) CHARITABLE ORGANIZATION OR A 170(C)(1) QUALIFYING GOVERNMENT ENTITY. FOR LARGER GRANTS, BMI REQUESTS IN CONNECTION WITH SOME OF THE ORGANIZATIONS TO SIGN A DONOR OBJECTIVE LETTER THAT STATES THE SCOPE AND PURPOSE OF THE DISTRIBUTION. THE BMI BOARD OF DIRECTORS HAS FINAL APPROVAL FOR ANY DISTRIBUTIONS OVER $500,000. BATTELLE ENERGY ALLIANCE LLC, BATTELLE NATIONAL BIODEFENSE INSTITUTE LLC, BROOKHAVEN SCIENCE ASSOCIATES LLC, TRIAD NATIONAL SECURITY LLC, AND UT-BATTELLE LLC EACH HAVE THEIR OWN APPROACH TO MAKING SURE THAT GRANTS ARE ONLY MADE TO PROPER OBJECTS OF CHARITY. SUPPLEMENTAL EXPLANATION BMI WAS CREATED PURSUANT TO THE WILL OF GORDON BATTELLE AS AN OHIO NOT-FOR-PROFIT CORPORATION, SPECIFICALLY AS AN OHIO INCORPORATED CHARITABLE TRUST. AS AN INCORPORATED CHARITABLE TRUST, BMI IS SUBJECT TO THE GENERAL SUPERVISION OF THE OHIO ATTORNEY GENERAL AND TO THE REQUIREMENTS OF OHIO NONPROFIT CORPORATION STATUTES. THE ORIGINAL PURPOSE OF BMI WAS TO CONDUCT RESEARCH IN METALLURGY OF COAL, IRON, STEEL AND ZINC AND TO MAKE DISTRIBUTIONS TO OTHER CHARITABLE ORGANIZATIONS. PURSUANT TO AN AGREEMENT WITH THE OHIO ATTORNEY GENERAL, BMI MAKES ANNUAL DISTRIBUTIONS FOR CHARITABLE PURPOSES EQUAL TO AT LEAST 20% OF ITS PRIOR YEAR FINANCIAL STATEMENT NET INCOME, BUT NOT LESS THAN ONE MILLION DOLLARS. ON AUGUST 11, 2005 THE BOARD OF DIRECTORS OF BATTELLE ADOPTED A RESOLUTION THAT ESTABLISHED A MINIMUM CHARITABLE DISTRIBUTION GOAL OF $3,000,000. IN AUGUST 2005, BMI ESTABLISHED A DONOR ADVISED FUND, THE BATTELLE FOUNDATION FUND (THE FUND), UNDER THE COLUMBUS FOUNDATION, A 501(C)(3) PUBLIC CHARITY COMMUNITY FOUNDATION THAT IS LEGALLY AND FINANCIALLY SEPARATE FROM BMI. A SUBSTANTIAL PORTION OF BMI'S CHARITABLE DISTRIBUTIONS ARE MADE TO THE FUND. BMI RECOMMENDS DISTRIBUTIONS FROM THE FUND TO QUALIFYING RECIPIENTS; HOWEVER, THE COLUMBUS FOUNDATION MAKES FINAL DECISIONS ON THE ACTUAL DISTRIBUTIONS. THE FUNDS TRANSFERRED FROM BMI TO THE FUND HAVE NO POSSIBILITY OF REVERSION TO BMI. DISTRIBUTIONS TO THE FUND FULFILL THE OBLIGATIONS UNDER THE WILL OF GORDON BATTELLE AND THE AGREEMENT WITH THE OHIO ATTORNEY GENERAL. X X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 1 1 LEWIS VON THAER PRESIDENT & CEO 1058348 0 2238763 0 434672 0 15992 0 27765 0 3775540 0 0 0 EDWARD GRECCO EXECUTIVE VP,CFO 382498 0 942500 0 44895 0 9239 0 15426 0 1394558 0 0 0 RONALD D TOWNSEND EXECUTIVE VP, GLOBAL LAB OPS 638005 0 1803886 0 132195 0 -34534 0 2862 0 2542414 0 0 0 RUSSELL P AUSTIN SR VP, GEN COUNSEL & SECRETARY 420142 0 578716 0 3277 0 -30939 0 18354 0 989550 0 0 0 MALESA LITTERAL SR VP, CHIEF HR OFFICER TO 09/19 299597 0 327057 0 1779 0 21986 0 30421 0 680840 0 0 0 PATRICK F JARVIS SR VP, MARKETING & COMMUNICATIONS 314408 0 441123 0 1422 0 17101 0 30702 0 804756 0 0 0 STEVEN F ASHBY SR VP, LAB DIRECTOR 422958 0 197284 0 115000 0 32393 0 25920 0 793555 0 0 0 MARK T PETERS SR VP, LAB DIRECTOR 463904 0 243942 0 2902 0 28974 0 33546 0 773268 0 0 0 MATTHEW L VAUGHAN SR VP, CONTRACT RESEARCH 424643 0 547413 0 220968 0 21800 0 33392 0 1248216 0 0 0 AIMEE KENNEDY SR VP, PHILANTHROPY & EDUCATION 259812 0 231032 0 626 0 18536 0 18999 0 529005 0 0 0 MARIO WONG ASST TREAS. & CONTROLLER 218541 0 59112 0 725 0 16921 0 23754 0 319053 0 0 0 BRIAN R SMITH TREASURER 221521 0 53560 0 680 0 8495 0 24648 0 308904 0 0 0 THOMAS E SHARPE ASST TREASURER & ASST SECRETARY 240197 0 55293 0 1720 0 19241 0 27285 0 343736 0 0 0 MICHAEL C JANUS VP, ENVIRONMENT, INFRASTRUCTURE 314676 0 423713 0 761 0 7693 0 2936 0 749779 0 0 0 RONALD A CRONE ASSOCIATE LAB DIRECTOR 331738 0 176132 0 1242 0 24531 0 33266 0 566909 0 0 0 JUAN ALVAREZ DEPUTY LAB DIRECTOR 328810 0 173658 0 3747 0 -27598 0 20506 0 499123 0 0 0 KELLY BEIERSCHMITT DEPUTY LAB DIRECTOR 298228 0 123883 0 87612 0 -30792 0 25393 0 504324 0 0 0 JULIE B SWICK VICE PRESIDENT OF HEALTH 126501 0 102294 0 317178 0 -36952 0 4541 0 513562 0 0 0 JEFFREY WADSWORTH PRESIDENT & CEO TO 09/17 150625 0 1692797 0 114254 0 -93974 0 55 0 1863757 0 0 0 DAVID C EVANS EXECUTIVE VP,CFO TO 02/18 -25816 0 944247 0 2006668 0 -10111 0 8389 0 2923377 0 0 0 STEPHEN E KELLY SENIOR VP TO 12/17 8054 0 313024 0 410658 0 -41205 0 1610 0 692141 0 0 0 THOMAS E MASON SENIOR VP 07/17 TO 11/17 507397 0 700000 0 289646 0 12696 0 28203 0 1537942 0 0 0 MICHAEL KLUSE SENIOR VP TO 3/15 169598 0 0 0 0 19 0 0 0 0 169598 19 0 0 BRETT BOSLEY ACTING CFO 7/17 TO 05/18 261588 0 480421 0 185942 0 3616 0 12791 0 944358 0 0 0 PART I, LINE 1A DIRECTORS, OFFICERS, AND STAFF TRAVEL ON THE CORPORATE PLANES. TRAVEL EXPENSES COMPLY WITH A WRITTEN REIMBURSEMENT POLICY THAT FOLLOWS PUBLISHED IRS GUIDANCE. ALL EXECUTIVES, INCLUDING THOSE INDIVIDUALS REPORTED ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT EXPENSES IN ACCORDANCE WITH THE POLICY. INTERNAL AUDIT TESTED THE EXPENSE REPORTS ASSOCIATED WITH DIRECTOR'S AND OFFICER'S TRAVEL AND ENTERTAINMENT EXPENSES. FOR 2018 THREE OFFICERS HAD PERSONAL USE OF A CORPORATE AIRCRAFT AND THE VALUE OF EACH OFFICER'S PERSONAL USE WAS INCLUDED IN THE COMPENSATION OF SUCH OFFICER REPORTED ON W-2. THE PERSONAL USE OF A CORPORATE AIRCRAFT FOR TWO OF THESE OFFICERS RELATED TO A FAMILY MEMBER'S TRAVEL ON A CORPORATE AIRCRAFT. PERSONAL USE OF CORPORATE AIRCRAFT WAS INCLUDED IN TAXABLE INCOME EXCEPT WHERE THE USE WAS NOT TAXABLE AS A RESULT OF THE APPLICATION OF THE SEATING CAPACITY RULE. BMI PROVIDES A TAX GROSS-UP FOR FOREIGN TAXES, FOREIGN ALLOWANCES, RELOCATION COSTS, AND OTHER MISCELLANEOUS ITEMS. FOR 2018 ELEVEN OFFICERS, AND TEN DIRECTORS HAD TAX GROSS UPS. SOCIAL CLUB DUES PERTAIN TO DUES THAT ALLOW BUSINESS MEETINGS AND BUSINESS ACTIVITIES TO TAKE PLACE. FOR 2018 THERE WAS ONE CURRENT OFFICER WITH SOCIAL CLUB DUES. PART I, LINES 4A-B SEVERANCE OR SEPARATION PAYMENTS WERE MADE TO THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII: BRETT BOSLEY $153,231 JULIE SWICK $304,446 EFFECTIVE OCTOBER 1, 2015, BATTELLE MEMORIAL INSTITUTE IMPLEMENTED THE BATTELLE MEMORIAL INSTITUTE RETIREMENT BENEFITS RESTORATION PLAN ("RESTORATION PLAN"), A TOP HAT PLAN THAT REPLACES THE NOW TERMINATED BATTELLE MEMORIAL INSTITUTE EXECUTIVE'S SECTION 457(F) PENSION PLAN. THE RESTORATION PLAN IS A COMPONENT OF BATTELLE'S TOTAL COMPENSATION PACKAGE, AND IT PROVIDES A DEFINED CONTRIBUTION ACCRUAL SPECIFIC TO PAY EARNED IN EXCESS OF IRS PAY LIMITS. THESE CONTRIBUTIONS ARE VESTED ON A CLASS-YEAR BASIS (5-YEARS AFTER CONTRIBUTION, OR AT AGE 65 IF EARLIER), AND ARE TAXABLE TO THE PARTICIPANT IN THE YEAR OF VESTING. THE AMOUNT THAT BECOMES VESTED/TAXABLE IS REPORTED ON THE PARTICIPANT'S FORM W-2 IN YEAR OF VESTING. IN 2018, ONE OFFICER WAS REPORTED WITH VESTED/TAXABLE COMPENSATION IN COLUMN D OF PART VII AS APPLICABLE. RON TOWNSEND $120,071 PART I, LINE 7 SHORT AND LONG-TERM INCENTIVE COMPENSATION PROGRAMS ARE TIED TO CORPORATE AND INDIVIDUAL PERFORMANCE. PART I, LINE 8 PAYMENTS IN PART VII SUBJECT TO THE INITIAL CONTRACT EXCEPTION: LEWIS VON THAER - RETENTION PAYMENT MATTHEW VAUGHAN - RETENTION PAYMENT EDWARD GRECCO - HIRING BONUS AND RETENTION PAYMENT SCHEDULE J SUPPLEMENTAL INFORMATION DIRECTORS ARE PAID AS INDEPENDENT CONTRACTORS IN PART VII. EMPLOYEE WELFARE BENEFITS AND FRINGE BENEFITS: IN ADDITION TO THE COMPENSATION AND RETIREMENT PLANS OTHERWISE LISTED IN PART VII, THOSE INDIVIDUALS REPORTED ON PART VII WHO ARE EMPLOYEES OF BMI ARE ELIGIBLE TO PARTICIPATE IN BMI'S EMPLOYEE WELFARE BENEFIT AND GROUP INSURANCE PLANS ON THE SAME TERMS AS ANY OTHER EMPLOYEE. CONTRIBUTIONS TO EMPLOYEE WELFARE BENEFIT AND GROUP INSURANCE PLANS ARE MADE IN AGGREGATE BASED UPON GROUP ACTUARIAL FACTORS AND HISTORICAL CLAIMS EXPERIENCE AND APPORTIONING SPECIFIC DOLLAR AMOUNTS TO INDIVIDUALS IS IMPRACTICAL. AS EMPLOYEES, SUCH INDIVIDUALS MAY ALSO HAVE RECEIVED WORKING CONDITION FRINGE BENEFITS AND/OR DE MINIMIS FRINGE BENEFITS EXCLUDED FROM INCOME UNDER INTERNAL REVENUE CODE SECTIONS 132(A)(3) AND 132(A)(4) RESPECTIVELY. TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT: BMI'S EXECUTIVES INCUR VARIOUS TRAVEL AND ENTERTAINMENT EXPENSES IN THE CONDUCT OF THEIR OFFICIAL DUTIES AS REPRESENTATIVES OF BMI. BMI HAS WRITTEN TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT POLICIES THAT COMPLY WITH PUBLISHED IRS GUIDANCE. ALL EXECUTIVES, INCLUDING THOSE INDIVIDUALS REPORTED ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT EXPENSE IN ACCORDANCE WITH THAT POLICY. INTERNAL AUDIT TESTED THE EXPENSE REPORTS ASSOCIATED WITH DIRECTOR'S AND OFFICER'S TRAVEL AND ENTERTAINMENT EXPENSES. BMI'S TOTAL COMPENSATION PACKAGE CONSISTS OF BASE SALARIES OR HOURLY RATES OF PAY; SHORT AND LONG-TERM INCENTIVE COMPENSATION PROGRAMS TIED TO CORPORATE AND INDIVIDUAL PERFORMANCE; QUALIFIED DEFINED BENEFIT FOR ELIGIBLE EMPLOYEES AND DEFINED CONTRIBUTION EMPLOYEE BENEFIT PLANS; NONQUALIFIED PLANS AND CASH PAYMENT ARRANGEMENTS; VARIOUS EMPLOYEE WELFARE BENEFIT PLANS AND GROUP INSURANCES; PAID LEAVE TIME; TUITION REIMBURSEMENT; AND MISCELLANEOUS DE MINIMIS, WORKING CONDITION FRINGE BENEFITS. DEFERRED COMPENSATION FROM RETIREMENT PLANS REPORTED IN SCHEDULE J, PART II, COLUMN C REFLECTS THE IMPACT OF THE CHANGES IN THE DISCOUNT RATE AND ACTUARIAL IMPACTS OF SALARY GROWTH, AGE, AND ADDITIONAL SERVICE AND OTHER ACTUARIAL FACTORS, THEREBY INCREASING OR DECREASING THE AMOUNTS. SCHEDULE J SUPPLEMENTAL INFORMATION - LOANS TO AND/OR FROM INTERESTED PERSO IN ORDER TO ATTRACT, RETAIN AND REWARD TALENTED KEY EMPLOYEES AND PROVIDE AN ADDITIONAL BENEFIT FOR KEY HIRES IN RECOGNITION OF EXTRAORDINARY CONTRIBUTIONS, BMI ADOPTED AND MAINTAINS BATTELLE CAPITAL ACCUMULATION PROGRAM, A SPLIT-DOLLAR LIFE INSURANCE ARRANGEMENT AS DEFINED IN TREASURY REGULATION SECTION 1.61-22(B) WHICH COMPLIES WITH TREASURY REGULATION SECTION 1.7872-15 (THE "PLAN"). ELIGIBLE EMPLOYEES MAY ELECT, IN LIEU OF CURRENT COMPENSATION, FOR BMI TO PAY THE PREMIUMS TO FUND THE INSURANCE ARRANGEMENT. SUCH PAYMENTS ARE TREATED AS LOANS FOR TAX PURPOSES AND ARE SECURED BY A COLLATERAL ASSIGNMENT OF THE INSURANCE PROCEEDS IN THE AGGREGATE AMOUNT OF THE LOANS AND ACCRUED INTEREST. PARTICIPATING EMPLOYEES ARE LISTED IN SCHEDULE L, PART II. EDWARD GRECCO OFFICER SPLIT-DOLLAR LIFE INSURANCE X 10000 10038 0 1 1 EDWARD GRECCO OFFICER SPLIT-DOLLAR LIFE INSURANCE X 10000 10018 0 1 1 AIMEE KENNEDY OFFICER SPLIT-DOLLAR LIFE INSURANCE X 2500 2505 0 1 1 LEWIS VON THAER OFFICER SPLIT-DOLLAR LIFE INSURANCE X 45833 46100 0 1 1 LEWIS VON THAER OFFICER SPLIT-DOLLAR LIFE INSURANCE X 45833 46005 0 1 1 LEWIS VON THAER OFFICER SPLIT-DOLLAR LIFE INSURANCE X 45833 45917 0 1 1 160583 BLAKE KLUSE MICHAEL KLUSE-FAMILY 147258 PAYROLL 0 FORM 990, PART VI, SECTION B, LINE 11B A DETAILED ANALYSIS OF FORM 990 AND 990T AND FINAL COPIES OF EACH FORM ARE PROVIDED TO EVERY MEMBER OF THE BOARD OF DIRECTORS PRIOR TO FILING. THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS HOLDS A SPECIAL MEETING TO REVIEW AND APPROVE THE FORMS FOR FILING. THE AUDIT COMMITTEE REPORTS ITS FINDINGS AND CONCLUSIONS TO THE ENTIRE BOARD FOLLOWING THE COMMITTEE MEETING. FORM 990, PART VI, SECTION B, LINE 12C EACH YEAR, BMI REQUIRES ALL EMPLOYEES TO TAKE AN ONLINE TRAINING COURSE THAT PROVIDES TRAINING ON BATTELLE'S CODE OF BUSINESS ETHICS AND CONDUCT. BATTELLE'S CODE OF BUSINESS ETHICS AND CONDUCT INCLUDES PROVISIONS THAT SET FORTH BATTELLE'S OBLIGATIONS AS A TAX EXEMPT ORGANIZATION AND THE REQUIREMENTS WITH RESPECT TO PERSONAL AND ORGANIZATIONAL CONFLICTS OF INTEREST THAT EACH EMPLOYEE IS EXPECTED TO FOLLOW. UPON COMPLETION OF THE COURSE, EACH EMPLOYEE IS REQUIRED TO ELECTRONICALLY CERTIFY THAT THEY HAVE REVIEWED BATTELLE'S CODE OF BUSINESS ETHICS AND CONDUCT. BMI MAINTAINS AN ETHICS HOT LINE FOR ITS STAFF TO REPORT CONCERNS AND SUSPECTED VIOLATIONS OF BATTELLE'S POLICIES AND CODE OF BUSINESS ETHICS AND CONDUCT. REPORTED MATTERS AND CONCERNS ARE GIVEN DUE CONSIDERATION AND INVESTIGATED APPROPRIATELY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION POLICY: BMI HAS A COMPREHENSIVE TOTAL COMPENSATION POLICY WHICH IT APPLIES TO ALL EMPLOYEES. BMI'S POLICY IS TO COMPENSATE EACH EMPLOYEE IN A MANNER WHICH IS EQUITABLE AND CONSISTENT WITH THE MARKET VALUE OF HIS/HER POSITION, HIS/HER PERFORMANCE, AND COMPENSATION OF HIS/HER ASSOCIATES AND PEERS. THE GOAL UNDERLYING BMI'S POLICY IS TO ATTRACT, RETAIN, AND REWARD THE HIGH-QUALITY EMPLOYEES IT NEEDS TO CONTINUE AND ADVANCE ITS EXEMPT PURPOSES. IN IMPLEMENTING ITS POLICY, BMI RIGOROUSLY UTILIZES NATIONAL, REGIONAL, AND LOCAL COMPENSATION SURVEYS AND BENCHMARKING OF OTHER ORGANIZATIONS TO ESTABLISH MARKET-COMPARABILITY OF TOTAL COMPENSATION AND TAKES GREAT CARE TO STRUCTURE COMPENSATION PROGRAMS TO COMPLY WITH ALL RELEVANT LEGAL, TAX AND REGULATORY REQUIREMENTS. WHEN CONSIDERING AND APPROVING KEY EXECUTIVE COMPENSATION, THE BMI BOARD OF DIRECTOR'S NORMAL PRACTICE IS TO FOLLOW PROCEDURES WHICH ESTABLISH A REBUTTABLE PRESUMPTION OF REASONABLENESS PURSUANT TO TREASURY REGULATION SECTION 53.4958-6. FORM 990, PART VI, SECTION C, LINE 19 BMI PROVIDES FORM 1023, APPLICATION FOR TAX EXEMPTION, ON REQUEST, FORM 1023 INCLUDES THE ARTICLES OF INCORPORATION AND THE CODE OF REGULATIONS. THE CODE OF REGULATIONS IN FORM 1023 DOES NOT REFLECT THE CHANGES MADE ON NOVEMBER 12, 2008. BMI MAKES FORMS 990 AND 990T AVAILABLE TO THE PUBLIC FROM ITS WEB SITE. THE CONFLICT OF INTEREST POLICIES AND FINANCIAL STATEMENTS ARE NOT MADE AVAILABLE TO THE PUBLIC. FORM 990, PART IX, LINE 11G SUBCONTRACT & CONSULTING: PROGRAM SERVICE EXPENSES 1,343,042,040. MANAGEMENT AND GENERAL EXPENSES 670,392,400. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,013,434,440. FORM 990, PART XI, LINE 9: MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES -2,555,935. CURRENCY TRANSLATION ADJUSTMENT -371,245. TRANSFERS -363,097. PENSION AND POST RETIREMENT BENEFITS -78,515,502. NONCONTROLLING INTEREST 13,494,930. FORM 990, PART I, LINE 7A FORM 990 IS PREPARED ON GAAP FINANCIAL ACCOUNTING BASIS AND FORM 990T IS PREPARED ON AN INCOME TAX ACCOUNTING BASIS. THEREFORE THERE ARE BOOK TO TAX DIFFERENCES THAT ARE RECONCILED IN THE FOLLOWING 990-T ( INCLUDING ALL THE VARIOUS SCHEDULE M) FOR THE UNRELATED BUSINESS REVENUE TO FORM 990T, PART I, LINE 13, COLUMN A (INCLUDING THE VARIOUS SCHEDULE M) FORM 990 UNRELATED BUSINESS REVENUE 59,611,128 ADD INCOME TAX BASIS PARTNERSHIP INCOME 5,079 DEDUCT THE COSTS OF GOODS SOLD 50,274,683 EQUALS TOTAL ON FORM 990T & M PART I, LINE 13, COLUMN A 9,341,524 BATTELLE NATIONAL BIODEFENSE INSTITUTE LLC 8300 RESEARCH PLAZA FREDERICK MD 21702 043851808 MANAGEMENT OF NATIONAL LABORATORY DE 39011140 9644686 BATTELLE MEMORIAL INSTITUTE BATTELLE ENERGY ALLIANCE LLC 2525 N FREMONT AVE IDAHO FALLS ID 83415 680588324 MANAGEMENT OF NATIONAL LABORATORY DE 1349118060 6126375 BATTELLE MEMORIAL INSTITUTE BATTELLE SANDIA LLC 505 KING AVENUE COLUMBUS OH 43201 812597561 MANAGEMENT OF NATIONAL LABORATORY DE 0 0 BATTELLE MEMORIAL INSTITUTE SEEBYTE LIMITED ORCHARD BRAE HOUSE 30 QUEENSFERRY R EDINBURGH UK 981146573 CUSTOM COMPUTER PROGRAMING SERVICES UK 7423062 9511675 SEEBYTE HOLDINGS LTD SEEBYTE HOLDINGS LTD 16 CHARLOTTE SQUARE EDINBURGH UK 981140866 HOLDING COMPANY UK 0 17870182 BATTELLE MEMORIAL INSTITUTE BATTELLE EDUCATION 505 KING AVENUE COLUMBUS OH 43201 460585021 PROMOTE STEM EDUCATION OH 501(C)(3) 12 (A) I BATTELLE MEMORIAL INSTITUTE 0 NATIONAL ECOLOGICAL OBSERVATORY NETWORK INC 1685 38TH ST SUITE 100 BOULDER CO 80301 204510571 ECOLOGICAL MONITORING DC 501(C)(3) 7 BATTELLE MEMORIAL INSTITUTE 0 BATTELLE ARABIA FOR SCIENCE & TECHNOLOGY AL-AKARIA PLAZA LEVEL 6 NORTH WIN RIYADH SA 11673 SCIENTIFIC RESEARCH (DORMANT) SA BATTELLE MEMORIAL INSTITUTE C 1.00000 1 BATTELLE LABORATORY MANAGEMENT SERVICES LLC 505 KING AVENUE COLUMBUS OH 43201 825131944 LAB MANAGEMENT (DORMANT) DE BATTELLE MEMORIAL INSTITUTE C 1.00000 1 BATTELLE OKLAHOMA LLC 505 KING AVENUE COLUMBUS OH 43201 200292062 REAL ESTATE ACTIVITIES OK BATTELLE MEMORIAL INSTITUTE C 1.00000 1 BATTELLE SERVICES COMPANY INC 505 KING AVENUE COLUMBUS OH 43201 311792334 EMPLOYEE LEASING OH BATTELLE MEMORIAL INSTITUTE C 57215 317768 1.00000 1 BATTELLE UK LIMITED 29 SPRINGFIELD LYONS APPROACH CHELMSFORD ESSEX UK CM2 5LB SCIENTIFIC RESEARCH UK BATTELLE MEMORIAL INSTITUTE C 12926010 13804696 1.00000 1 B-C JV LLC 1204 TECHNOLOGY DRIVE ABERDEEN MD 21004 471470805 SCIENTIFIC RESEARCH (DORMANT) MD BATTELLE MEMORIAL INSTITUTE C 0.70000 1 GEOSAFE AUSTRALIA PTY LIMITED LEVEL 14 140 ST GEORGES TERRACE PERTH AS WA 6000 HAZARDOUS WASTE REMEDIATION (DORMANT) AS GEOSAFE CORPORATION C 1.00000 1 GEOSAFE CORPORATION 505 KING AVENUE COLUMBUS OH 43201 911404268 WASTE CLEANUP WA BATTELLE MEMORIAL INSTITUTE C 1203 487749 1.00000 1 SCIENTIFIC ADVANCES INC 505 KING AVENUE COLUMBUS OH 43201 316024333 VENTURE CAPITAL MANAGEMENT OH BATTELLE MEMORIAL INSTITUTE C 107064 1.00000 1 SEEBYTE INC 2240 SHELTER ISLAND DRIVE SUITE 210 SAN DIEGO CA 92106 980563142 SOFTWARE DEVELOPMENT DE SEEBYTE LIMITED C 1448384 1007040 1.00000 1 VITEX SYSTEMS INC 505 KING AVENUE COLUMBUS OH 43201 770526364 LICENSING COMPANY DE BATTELLE MEMORIAL INSTITUTE C 13088 475467 1.00000 1 RESEARCH INSURANCE COMPANY LTD 73 FRONT STREET 3RD FLOOR HAMILTON BD INSURING BATTELLE RISKS BD BATTELLE MEMORIAL INSTITUTE C 5978898 112493875 1.00000 1 1 0 0 1 0 0 0 0 0 0 0 1 1 1 1 0 0 0 0 BATTELLE SERVICES COMPANY - SPECIFIED PAYMENT A 21422 FMV GEOSAFE CORPORATION - SPECIFIED PAYMENT A 208398 FMV BATTELLE UK LIMITED L 273401 FMV SEEBYTE INC L 148981 FMV BATTELLE UK LIMITED M 153430 FMV BATTELLE UK LIMITED L 275742 FMV RESEARCH INSURANCE COMPANY LTD M 980536 FMV SEEBYTE INC M 319782 FMV BROOKHAVEN SCIENCE ASSOCIATESLLC PO BOX 5000 UPTON NY 11973 113403915 MANAGEMENT OF NATIONAL LABORATORY DE RELATED 1 2571385 3404186 0 0 0 0.50000 UT-BATTELLE LLC 1 BETHEL VALLEY ROAD BLDG 4500N MS OAK RIDGE TN 37831 621788235 MANAGEMENT OF NATIONAL LABORATORY TN RELATED 1 4701487 5121851 0 0 0 0.50000 TRIAD NATIONAL SECURITY LLC BIKINI ATOLL RD SM 30 LOS ALAMOS NM 87545 823291283 MANAGEMENT OF NATIONAL LABORATORY NM RELATED 1 10222687 9187845 0 0 0 0.42610 SCHEDULE R,PART V DURING FISCAL YEAR 2018, BMI RELATED ENTITIES PROVIDED CONTRACT SCIENTIFIC RESEARCH AND DEVELOPMENT AND TECHNICAL SERVICES IN THE ORDINARY COURSE OF BUSINESS UNDER ARMS-LENGTH TERMS, CONDITIONS, AND PRICING. SERVICES TO BMI AND BMI'S SWITZERLAND AND UNITED KINGDOM AFFILIATES WERE PROVIDED UNDER ARMS-LENGTH TERMS AND AT PRICING WHICH COMPLIED WITH THE INTER-COMPANY TRANSFER PRICING RULES OF SWITZERLAND, UNITED KINGDOM, AND THE UNITED STATES. BMI ENGAGED IN TRANSACTIONS WITH RELATED ENTITIES SUCH AS: THE FURNISHING OF GOODS, SERVICES OR FACILITIES. ALL TRANSACTIONS WITH TAXABLE RELATED ENTITIES WERE CONDUCTED AT FAIR MARKET VALUE RATES AND ARE IN ACCORDANCE WITH INTERNAL REVENUE CODE SECTION 482 AND OTHER APPLICABLE INTER-COMPANY TRANSFER PRICING RULES. THESE TRANSACTIONS HAVE BEEN APPROVED AND DOCUMENTED AND CONDUCTED IN THE ORDINARY COURSE OF BUSINESS. SCHEDULE R, PART VI BMI IS REQUIRED TO CONSOLIDATE BROOKHAVEN SCIENCE ASSOCIATES, LLC, TRIAD NATIONAL SECURITY, LLC, AND UT-BATTELLE, LLC FOR FINANCIAL ACCOUNTING PURPOSES AND ACCORDINGLY, THEIR FINANCIAL ATTRIBUTES ARE REFLECTED IN THE REVENUES AND EXPENSES AND OTHER FINANCIAL INFORMATION IN THIS FORM AND RELATED SCHEDULES. SCHEDULE R, PART V, LINE 1M AND 1N BMI SHARES EMPLOYEES, FACILITIES, AND EQUIPMENT WITH BATTELLE EDUCATION.