2020-05-11T20:12:51-05:00 2019-06-30 ERNST & YOUNG US LLP 4365 EXECUTIVE DRIVE STE 1600 SAN DIEGO CA 92121 990 2018-07-01 320512841 PUBLIC TECHNICAL IDENTIFIERS % REBECCA NASH PUBL 3103015800 12025 WATERFRONT DR STE 300 LOS ANGELES CA 90094 REBECCA NASH TREASURER 2020-05-04 true JOCELYNE MILLER P00634378 8585357200 71.150.197.97 33577420201325000008 2020-05-11 P 59A1054434CC675788A18D61BC5EC63E70E73996 4CE2876FE12E04DF52E167D71C9F1D4A7C858277 2018 2020-09-23 17:36:50Z KIM DAVIES 12025 WATERFRONT DR STE 300 LOS ANGELES CA 90094 7571450 false X HTTPS://PTI.ICANN.ORG X 2016 CA THE MISSION OF PUBLIC TECHNICAL IDENTIFIERS ("PTI") IS TO PERFORM INTERNET ASSIGNED NUMBERS AUTHORITY ("IANA") FUNCTIONS. 5 2 0 0 0 0 0 0 7817678 7571450 0 0 0 0 7817678 7571450 0 0 0 0 4867598 4911202 0 0 0 2950080 2660248 7817678 7571450 0 272283 323521 272283 323521 0 0 X THE MISSION OF PUBLIC TECHNICAL IDENTIFIERS ("PTI") IS TO PERFORM INTERNET ASSIGNED NUMBERS AUTHORITY ("IANA") FUNCTIONS. false false 5591689 0 7571450 SEE SCHEDULE O 5591689 true false false false false false false false false false false false false false false true true true false false false false false false false false false false false true false false false false false false false false false false false false false true false false false true X 0 0 true 0 false false false false false false false false false false false false X 5 2 false false false false true true true true true false false true true true true true true false false false CA X X REBECCA NASH 3103015838 12025 WATERFRONT DR STE 300 LOS ANGELES CA 90094 Akram Atallah Director (THRU OCT 2018) 5.0 55.0 X 0 621725 64538 David Conrad DIRECTOR 5.0 55.0 X 0 383323 54835 Kim Davies DIRECTOR & PRESIDENT 50.0 10.0 X X 0 280255 62721 Lise Fuhr DIRECTOR 5.0 0.0 X 0 0 0 Trang Nguyen Director 5.0 55.0 X 0 273299 62653 Wei Wang Director 5.0 0.0 X 0 0 0 Samantha Eisner SECRETARY 10.0 50.0 X 0 294391 62750 Rebecca Nash TREASURER 10.0 50.0 X 0 265437 64791 David Prangnell Director, Technical Services 40.0 0.0 X 0 190472 58291 Alan Akahoshi SR. PRODUCT MANAGER - IANA 40.0 0.0 X 0 126092 37508 Michelle S Cotton Protocol Parameters Engagement 40.0 0.0 X 0 141590 51392 Alberto Duero CRYPTOGRAPHIC MGR THRU OCT2018 40.0 0.0 X 0 117082 35290 Andres Pavez CRYPTOGRAPHIC KEY MANAGER 40.0 0.0 X 0 143243 30126 Naela C Sarras SR MANAGER, IANA SERVICES 40.0 0.0 X 0 142419 51472 0 2979328 636367 0 false true false 0 0 0 0 IANA SERVICES FEES 900099 7571450 7571450 0 0 7571450 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 7571450 7571450 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4911202 3817875 1093327 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 445523 350289 95234 0 281791 0 281791 0 0 0 0 0 0 0 0 0 0 0 509324 400453 108871 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 946253 627799 318454 0 477357 395273 82084 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 7571450 5591689 1979761 0 0 0 0 0 0 0 0 272283 323521 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 272283 323521 272283 323521 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 272283 323521 X 0 0 0 0 0 0 0 0 272283 323521 0 0 0 0 0 X false true X true false X X X 1 INTERNET CORPORATION FOOR ASSIGNED NAMES AND NUMBERS 954712218 10 true 0 7571450 1 0 7571450 0.00000 true false false false false false false false false false false false false false false true false 0 0 7571450 0 0 7571450 0 0 7571450 7571450 0 0 7571450 0 0 7571450 FORM 990, SCHEDULE D, PART X, LINE 2 FIN 48 (ASC 740-10) FOOTNOTE PTI IS EXEMPT FROM FEDERAL AND STATE INCOME TAXES IN THE UNITED STATES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND SECTION 23701(D) OF THE CALIFORNIA REVENUE AND TAXATION CODE. ACCORDINGLY, NO PROVISION FOR INCOME TAXES HAS BEEN MADE IN THE ACCOMPANYING FINANCIAL STATEMENTS. HOWEVER, PTI IS SUBJECT TO INCOME TAXES ON ANY NET INCOME THAT IS DERIVED FROM A TRADE OR BUSINESS, REGULARLY CARRIED ON, AND NOT IN FURTHERANCE OF THE PURPOSES FOR WHICH IT WAS GRANTED EXEMPTION. NO INCOME TAX PROVISION HAS BEEN RECORDED AS THE NET INCOME, IF ANY, FROM ANY UNRELATED TRADE OR BUSINESS, IN THE OPINION OF MANAGEMENT, IS NOT MATERIAL TO THE BASIC FINANCIAL STATEMENTS TAKEN AS A WHOLE. PTI MANAGEMENT BELIEVES THAT PTI IS IN COMPLIANCE WITH ALL APPLICABLE LAWS, HOWEVER, UPON AUDIT BY A TAXING AUTHORITY, IF AMOUNTS ARE FOUND DUE, PTI MAY BE LIABLE FOR SUCH TAXES. MANAGEMENT HAS ANALYZED PTIS TAX POSITIONS TAKEN ON FEDERAL AND STATE INCOME TAX RETURNS FOR ALL OPEN TAX YEARS AND HAS CONCLUDED THAT, AS OF JUNE 30, 2019 AND 2018, NO LIABILITIES ARE REQUIRED TO BE RECORDED IN CONNECTION WITH SUCH TAX POSITIONS IN PTIS FINANCIAL STATEMENTS. false false false false false false false false false Alan Akahoshi SR. PRODUCT MANAGER - IANA 0 115863 0 10229 0 0 0 18961 0 18547 0 163600 0 Akram Atallah Director (THRU OCT 2018) 0 542122 0 79603 0 0 0 36500 0 28038 0 686263 0 David Conrad DIRECTOR 0 295016 0 88307 0 0 0 36500 0 18335 0 438158 0 Michelle S Cotton Protocol Parameters Engagement 0 119242 0 22348 0 0 0 21287 0 30105 0 192982 0 Kim Davies DIRECTOR & PRESIDENT 0 227250 0 53005 0 0 0 32250 0 30471 0 342976 0 0 Alberto Duero CRYPTOGRAPHIC MGR THRU OCT2018 0 104849 0 12233 0 0 0 17602 0 17688 0 152372 0 Samantha Eisner SECRETARY 0 245502 0 48889 0 0 0 32250 0 30500 0 357141 0 Rebecca Nash TREASURER 0 221311 0 44126 0 0 0 34329 0 30462 0 330228 0 Trang Nguyen Director 0 220870 0 52429 0 0 0 32192 0 30461 0 335952 0 Andres Pavez CRYPTOGRAPHIC KEY MANAGER 0 119498 0 23745 0 0 0 21534 0 8592 0 173369 0 David Prangnell Director, Technical Services 0 158978 0 31494 0 0 0 28044 0 30247 0 248763 0 Naela C Sarras SR MANAGER, IANA SERVICES 0 118739 0 23680 0 0 0 21411 0 30061 0 193891 0 FORM 990, SCHEDULE J, PART I, LINE 1A AMOUNTS LISTED IN PART VII OF FORM 990 AND SCHEDULE J REPRESENT AMOUNTS FOR THE 2018 CALENDAR YEAR. ALL COMPENSATION WAS PAID BY ICANN, A RELATED ORGANIZATION AND PTI'S SOLE MEMBER. FORM 990, SCHEDULE J, PART II ICANN'S OVERALL COMPENSATION PHILOSOPHY IS TO TARGET COMPENSATION BETWEEN THE 50TH AND 75TH PERCENTILE OF THE RELEVANT MARKET, TO ATTRACT AND RETAIN THE RIGHT PERSONNEL. THE DRIVING ELEMENT OF THIS PHILOSOPHY IS THAT ICANN'S COMPENSATION IS MARKET-BASED. FORM 990, PART III, LINE 4A PTI IS AN AFFILIATE OF THE INTERNET CORPORATION FOR ASSIGNED NAMES AND NUMBERS ("ICANN"). PTI WAS ESTABLISHED IN AUGUST 2016 UNDER THE LAWS OF THE STATE OF CALIFORNIA AS A NON-PROFIT PUBLIC BENEFIT CORPORATION AND ICANN IS ITS SOLE MEMBER. ICANN IS RESPONSIBLE FOR THE PERFORMANCE OF THE INTERNET ASSIGNED NUMBERS AUTHORITY ("IANA") FUNCTIONS. THE IANA FUNCTIONS INCLUDE THE MAINTENANCE OF THE REGISTRY OF TECHNICAL INTERNET PROTOCOL PARAMETERS, THE ADMINISTRATION OF CERTAIN RESPONSIBILITIES ASSOCIATED WITH INTERNET DNS ROOT ZONE AND THE ALLOCATION OF INTERNET NUMBERING RESOURCES. THROUGH CONTRACTS AND SUBCONTRACTS, ICANN HAS DELEGATED THE PERFORMANCE OF THE IANA FUNCTIONS TO PTI EFFECTIVE OCTOBER 1, 2016. PTI'S SOLE PURPOSE IS THE PERFORMANCE OF THE IANA FUNCTIONS AS DELEGATED BY ICANN UNDER A DIRECT CONTRACT WITH PTI AS WELL AS THREE SUBCONTRACTS. THROUGH THIS SERIES OF AGREEMENTS, ICANN IS OBLIGATED TO PROVIDE PTI WITH ALL FUNDING NECESSARY FOR PTI TO PERFORM THE AGREEMENTS. PTI HAS NO OTHER FUNDING SOURCE. SEE ADDITIONAL INFORMATION ABOUT PTI'S PROGRAMS AND ACTIVITIES ON THE PTI WEBSITE AT: https://pti.icann.org/. FORM 990, PART V, LINE 1A PTI'S VENDORS ARE PAID BY PTI'S SOLE MEMBER, ICANN. ICANN ISSUES FORM 1099-MISC UNDER ITS TAX ID. ICANN COMPLIES WITH BACKUP WITHHOLDING RULES FOR REPORTABLE PAYMENTS TO VENDORS. FORM 990, PART V, LINE 2A FORM W-2 DURING THE REPORTABLE TIME PERIOD OF CALENDAR YEAR 2018, PTI HAD NO EMPLOYEES. ICANN EMPLOYEES PERFORMING PTI ACTIVITIES WERE PAID BY ICANN, ITS SOLE MEMBER, AND ICANN ISSUED THEIR FORM W-2. COMPENSATION WAS REPORTED UNDER PTI AS PAID BY A RELATED ORGANIZATION (ICANN). PTI REIMBURSES ICANN FOR ALL EMPLOYEE COMPENSATION RELATED TO PTI ACTIVITIES. As of January 1, 2019, employees working on PTI became PTI employees and were paid by PTI. THE PROCESS FOR DETERMINING COMPENSATION, INCLUDING SURVEYS OF COMPARABLE POSITIONS AND OTHER MARKET STUDIES IS DESCRIBED IN THESE REMUNERATION PRACTICES REPORTS. OFFICER COMPENSATION IS DISCLOSED AS WELL. SALARIES OF ALL OFFICERS ARE REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS FOLLOWING RECOMMENDATIONS FROM THE BOARD COMPENSATION COMMITTEE, WHICH ARE INFORMED BY RECOMMENDATIONS AND COMPARABLE DATA PROVIDED BY INDEPENDENT COMPENSATION EXPERTS. CONFIDENTIAL MINUTES OF THESE MEETINGS ARE MAINTAINED BY THE BOARD SECRETARY AS PART OF THE CORPORATE SECRETARIAT FUNCTION. EACH YEAR THE APPOINTMENT FOR EACH OFFICER IS CONFIRMED BY THE BOARD OF DIRECTORS AT THE ANNUAL GENERAL MEETING. THE ANNUAL COMPENSATION MERIT REVIEW PROCESS FOR ORGANIZATION PERSONNEL FOR THE PERIOD OF JULY 1, 2018 THROUGH JUNE 30, 2019 WAS LAST COMPLETED AS OF JULY 1, 2018. FORM 990, PART VI, LINE 6 PTI HAS ONE MEMBER, ICANN. FORM 990, PART VI, LINE 7A & 7B PTI'S MEMBER, ICANN, SHALL HAVE THE RIGHT TO VOTE, AS SET FORTH IN THE BYLAWS, ON THE ELECTION OF DIRECTORS, ON THE SALE, TRANSFER OR DISPOSITION OF THE CORPORATIONS ASSETS (OTHER THAN IN THE ORDINARY COURSE OF THE CORPORATIONS BUSINESS), ON ANY MERGER AND ITS PRINCIPAL TERMS AND ANY AMENDMENT TO THOSE TERMS, ON ANY ELECTION TO DISSOLVE THE CORPORATION AND ON ANY AMENDMENT OR REPEAL OF THESE BYLAWS. FORM 990, PART VI, LINE 11B FORM 990 REVIEW PROCESS A COPY OF THE FORM 990 IS PROVIDED TO PTI'S BOARD MEMBERS BEFORE IT IS FILED. THE PROCESS BY WHICH THE FORM 990 IS PREPARED, REVIEWED AND RECEIVED IS AS FOLLOWS: 1. PTI ENGAGES AN OUTSIDE TAX PREPARER TO ASSIST IN THE PREPARATION OF ITS FORM 990. 2. PTI'S TREASURER AND ICANN'S OFFICE OF THE GENERAL COUNSEL REVIEW THE FORM 990, AND THE TREASURER SIGNS OFF FOR APPROVAL. 3. THE FORM 990 IS PROVIDED TO THE PTI BOARD MEMBERS. FORM 990, PART VI, LINE 12C CONFLICTS OF INTEREST POLICY PTI HAS WRITTEN CONFLICTS OF INTEREST POLICIES, WHICH APPLY TO ALL BOARD MEMBERS AND STAFF MEMBERS. THE PTI SECRETARY MONITORS THE POLICIES IN COORDINATION WITH THE CHAIR OF THE PTI BOARD. A CONFLICTS OF INTEREST DISCLOSURE STATEMENT IS COMPLETED ANNUALLY AND SIGNED BY EACH BOARD MEMBER, OFFICER AND KEY EMPLOYEE. THE STAFF MEMBER DISCLOSURE STATEMENTS ARE REVIEWED BY ICANN'S HEAD OF HUMAN RESOURCES AND DISCUSSED IF ANY ISSUES ARISE. THE BOARD LEVEL DISCLOSURE STATEMENTS ARE REVIEWED BY THE PTI SECRETARY AND THE CHAIR OF THE PTI BOARD. THE BOARD MEMBER, OFFICER AND KEY EMPLOYEE CONFLICTS OF INTEREST POLICY CAN BE FOUND AT: https://pti.icann.org/conflicts-of-interest-policy THIS POLICY DESCRIBES THE DUTY TO DISCLOSE, THE PROCEDURES FOR ADDRESSING CONFLICTS OF INTEREST, THE DUTY TO ABSTAIN, HOW VIOLATIONS OF THE CONFLICTS OF INTEREST POLICY WILL BE HANDLED, THE PROCESS BY WHICH ALL COVERED PERSONS SIGN ANNUALLY THEIR AFFIRMATION OF THE POLICY AND DISCLOSE THEIR ACTUAL OR POTENTIAL CONFLICTS, AND THE REQUIREMENT AND NATURE OF PERIODIC REVIEWS. FORM 990, PART VI, LINES 13 & 14 PTI HAS ADOPTED ICANN'S WHISTLEBLOWER POLICY AND DOCUMENT RETENTION AND DESTRUCTION POLICY WHEREBY ICANN MAINTAINS AN INTERNAL DOCUMENT RETENTION AND DESTRUCTION POLICY AND HISTORICALLY HAS FOLLOWED BEST INDUSTRY PRACTICES FOR RETENTION AND DESTRUCTION. ICANN ALSO MAINTAINS AN INTERNAL WHISTLEBLOWER (OR "ANONYMOUS HOTLINE") POLICY, THAT ALSO FOLLOWS INDUSTRY BEST PRACTICES. FORM 990, PART VI, LINES 15A & 15B PROCESS FOR DETERMINING COMPENSATION DURING THE REPORTABLE TIME PERIOD OF CALENDAR YEAR 2018, PTIS PRESIDENT, OTHER OFFICERS AND KEY EMPLOYEES WERE PAID BY ITS SOLE MEMBER, ICANN, AND THE COMPENSATION IS REPORTED AS PAID BY A RELATED ORGANIZATION. PLEASE SEE BELOW FOR THE PROCESS USED BY ICANN TO REVIEW AND DETERMINE COMPENSATION. ICANN FOLLOWS PRINCIPLES OF ACCOUNTABILITY AND TRANSPARENCY AND DESCRIBES ITS REMUNERATION PLANS AND PRACTICES, WHICH ARE CONTINUALLY UPDATED. THE VERSION OF ICANN'S REMUNERATION PRACTICES APPLICABLE DURING FY2018 AND FY2019 ARE POSTED AT: https://www.icann.org/en/system/files/files/remuneration-practices-fy18-01 jul17-en.pdf https://www.icann.org/en/system/files/files/remuneration-practices-fy19-01 jul18-en.pdf THE PROCESS FOR DETERMINING COMPENSATION, INCLUDING SURVEYS OF COMPARABLE POSITIONS AND OTHER MARKET STUDIES IS DESCRIBED IN THESE REMUNERATION PRACTICES REPORTS. OFFICER COMPENSATION IS DISCLOSED AS WELL. SALARIES OF ALL ICANN OFFICERS ARE REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS FOLLOWING RECOMMENDATIONS FROM THE BOARD COMPENSATION COMMITTEE, WHICH ARE INFORMED BY RECOMMENDATIONS AND COMPARABLE DATA PROVIDED BY INDEPENDENT COMPENSATION EXPERTS. CONFIDENTIAL MINUTES OF THESE MEETINGS ARE MAINTAINED BY THE BOARD SECRETARY AS PART OF THE CORPORATE SECRETARIAT FUNCTION. EACH YEAR THE APPOINTMENT FOR EACH OFFICER IS CONFIRMED BY THE BOARD OF DIRECTORS AT THE ANNUAL GENERAL MEETING. THE ANNUAL COMPENSATION MERIT REVIEW PROCESS FOR ORGANIZATION PERSONNEL FOR THE PERIOD OF JULY 1, 2018 THROUGH JUNE 30, 2019 WAS COMPLETED AS OF JULY 1, 2018. FORM 990, PART VI, LINE 18 PTI POSTS ITS FORM 990 ON ITS WEBSITE. THE PRIOR YEAR POSTING IS LOCATED AT: https://www.icann.org/en/system/files/files/pti-irs-990-fy18-09may19-en.pd f IN ADDITION, THE FORM 990 IS POSTED ON THE WWW.GUIDESTAR.ORG WEBSITE. FINALLY, HARD COPIES OF THE FORM 990 ARE AVAILABLE UPON REQUEST. REQUESTS SHOULD BE SUBMITTED TO ICANN'S VICE PRESIDENT, FINANCE BY EMAIL TO CONTROLLER@ICANN.ORG, OR BY PHONE AT +1.310.301.3864. PTI POSTS THE IRS LETTER GRANTING TAX-EXEMPT STATUS, AND THE FAVORABLE DETERMINATION LETTER ON ITS WEBSITE AT: https://www.icann.org/resources/files/1222283-2019-01-28-en FORM 990, PART VI, LINE 19 AVAILABILITY OF GOVERNING DOCUMENTS, CONFLICTS OF INTEREST, AND FINANCIAL STATEMENTS. IN ACCORDANCE WITH ITS CORPORATE BYLAWS (SEE https://pti.icann.org/bylaws), PTI IS COMMITTED TO ACCOUNTABILITY AND TRANSPARENCY PRINCIPLES. THIS INCLUDES PROVIDING EXTENSIVE ACCESS TO THE PUBLIC THROUGH THE PTI WEBSITE OF ITS GOVERNING DOCUMENTS, CONFLICTS OF INTEREST POLICY, AND FINANCIAL STATEMENTS. (https://pti.icann.org/) (https://pti.icann.org/financial-information-for-public-technical-identifi ers-pti) FORM 990, PART VII, SECTION A OFFICER/DIRECTOR SERVICE DATES IN PART VII, A DATE FOLLOWING AN OFFICER/DIRECTOR'S NAME INDICATES THE DATE ON WHICH THE OFFICER/DIRECTOR'S SERVICES ENDED. IF NO DATE IS INDICATED, THAT OFFICER/DIRECTOR WAS ACTIVE AS OF JUNE 30, 2019. PTI DIRECTORS ARE NOT COMPENSATED FOR THEIR SERVICE AS DIRECTORS. FOUR PTI DIRECTORS WHO, DURING THE REPORTING PERIOD WERE ALSO EMPLOYEES OF ICANN, AKRAM ATALLAH, DAVID CONRAD, KIM DAVIES AND TRANG NGUYEN WERE NOT COMPENSATED FOR THEIR ROLES AS PTI DIRECTORS, BUT THEY WERE COMPENSATED AS ICANN EMPLOYEES. ACCORDINGLY, THEIR COMPENSATION WAS REPORTED AS PAID BY ICANN, A RELATED ORGANIZATION. TWO PTI OFFICERS, REBECCA NASH AND SAMANTHA EISNER ARE NOT COMPENSATED BY PTI. THEY ARE EMPLOYEES OF ICANN SO THEIR COMPENSATION IS REPORTED AS PAID BY ICANN, A RELATED ORGANIZATION. DAVID PRANGNELL, KEY EMPLOYEE AND ALL OF THE DISCLOSED TOP FIVE HIGHEST COMPENSATED EMPLOYEES DURING THE REPORTING PERIOD WERE ICANN EMPLOYEES SECONDED TO PTI. PTI DID NOT DIRECTLY EMPLOY ANY PERSON. ALL PERSONS RECEIVING COMPENSATION FOR PROVIDING DIRECT SERVICES TO PTI WERE EMPLOYEES OF ICANN THAT WERE SECONDED TO PTI AND WERE PAID THROUGH THE RELATED ORGANIZATION. FORM 990, PART VII, SECTION B COMPENSATION FOR SERVICES PROVIDED BY INDEPENDENT CONTRACTORS TO PTI ARE PAID BY PTI'S SOLE MEMBER, ICANN. THERE WERE NO INDEPENDENT CONTRACTORS WHO RECEIVED MORE THAN $100,000 IN COMPENSATION DURING THE CURRENT PERIOD. INTERNET CO FOR ASSIGNED NAMES & NUMBERS 12025 WATERFRONT DR STE 300 LOS ANGELES CA 90094 954712218 INTERNET ID. 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