2020-08-12T15:59:38-05:00 2019-09-30 111986323 MARCUM LLP 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2018-10-01 521351785 COMPETITIVE ENTERPRISE INSTITUTE COMP 2023311010 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 KENT LASSMAN PRESIDENT 2023311010 2020-08-12 1 AARON M FOX P01365820 2022274000 2020-08-11 144.121.95.190 2020-08-12 15:58:35 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 F4C2D576246414DCF4A8347EDC3E11E193B17C66 2018 2020-09-23 17:36:50Z KENT LASSMAN 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 7562199 0 X WWW.CEI.ORG X 1984 DC PUBLIC POLICY RESEARCH/EDUCATION DEDICATED TO PRINCIPLES OF FREE ENTERPRISE & LIMITED GOVERNMENT. 12 11 49 11 0 0 6309693 7110810 186313 154288 9969 10555 -108099 -156837 6397876 7118816 1000 188250 0 0 4188749 3514661 30000 51000 574892 2577314 2459371 6797063 6213282 -399187 905534 3160827 3901274 2383904 2218817 776923 1682457 X COMPETITIVE ENTERPRISE INSTITUTE (CEI) IS A NON-PROFIT PUBLIC POLICY ORGANIZATION DEDICATED TO THE PRINCIPLES OF FREE ENTERPRISE AND LIMITED GOVERNMENT. WE BELIEVE THAT CONSUMERS ARE BEST HELPED NOT BY GOVERNMENT REGULATION BUT BY BEING ALLOWED TO MAKE THEIR OWN CHOICES IN A FREE MARKETPLACE. 0 0 1204210 47 COMMUNICATIONS AND OUTREACHCEI'S COMMUNICATIONS AND OUTREACH DEPARTMENT ASSISTS THE CEI POLICY CENTERS WITH THEIR EFFORTS TO DISSEMINATE RESEARCH FINDINGS AND ANALYSIS TO VARIOUS AUDIENCES INCLUDING POLICYMAKERS, NEWS MEDIA, ALLIED ORGANIZATIONS, AND THE GENERAL PUBLIC. IT ALSO HELPS THE POLICY CENTERS BUILD COALITIONS OF LIKE MINDED SCHOLARS, ACTIVISTS, AND OTHER STAKEHOLDERS TO ADVANCE THE ORGANIZATION'S MISSION OF PROMOTING THE INSTITUTIONS OF LIBERTY AND REMOVING GOVERNMENT-CREATED BARRIERS TO ECONOMIC FREEDOM, INNOVATION, AND PROSPERITY. 940630 153036 82499 CENTER FOR LAW AND LITIGATIONCEI'S CENTER FOR LAW AND LITIGATION FOCUSES ON DEVELOPING NEW APPROACHES TO FIGHT OVERREGULATION THROUGH LITIGATION. IN AREAS RANGING FROM CEI'S SUCCESSFUL CONSTITUTIONAL CHALLENGE TO THE SARBANES OXLEY FINANCIAL REGULATION LAW, TO EXPOSING THE LETHAL IMPACT OF FEDERAL FUEL ECONOMY STANDARDS, THE CENTER FOR LITIGATION HAS ESTABLISHED MAJOR NEW PRECEDENTS FOR COMBATING REGULATIONS THAT RESTRICT CONSUMER CHOICE, STIFLE INNOVATION, AND LIMIT COMPETITION. 804146 32 CENTER FOR ENERGY AND ENVIRONMENTCEI'S CENTER FOR ENERGY AND ENVIRONMENT MAKES THE POSITIVE CASE FOR ABUNDANT ENERGY AND PROMOTES ENVIRONMENTAL POLICIES BASED ON ECONOMIC FREEDOM, PROPERTY RIGHTS, AND LIMITED GOVERNMENT. THE CENTER WORKS TO COMBAT THE BELIEF THAT PROSPERITY THREATENS THE ENVIRONMENT, THAT THE ANSWER TO EVERY ENVIRONMENTAL CHALLENGE IS MORE REGULATION AND THAT RISKS CAN BE ABOLISHED BY LIMITING HUMAN INGENUITY. 710787 40 CENTER FOR ECONOMIC FREEDOM 596438 32 CENTER FOR TECHNOLOGY AND INNOVATION 977697 35063 71789 OTHER PROGRAMS 2284922 35135 71789 5233908 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 33 0 1 49 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 12 11 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AR CA CO CT FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X CARRIE DIAMOND 2023311010 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 W THOMAS HAYNES CHAIRMAN - UNTIL 10/2018 1.00 X 0 0 0 JEAN-CLAUDE GRUFFAT DIR-UNTIL 10/2018, CHAIRMAN - AS OF 10/2018 1.00 X 0 0 0 FRED L SMITH JR FOUNDER, DIRECTOR 40.00 X 67143 0 10214 KRISTINA CRANE DIRECTOR 1.00 X 0 0 0 MICHAEL W GLEBA DIRECTOR 1.00 X 0 0 0 MICHAEL S GREVE DIRECTOR 1.00 X 0 0 0 KERRY HALFERTY HARDY DIRECTOR 1.00 X 0 0 0 LAURA HOLMES JOST DIRECTOR 1.00 X 0 0 0 GEOFFREY POHANKA DIRECTOR 1.00 X 0 0 0 IKE SUGG DIRECTOR 1.00 X 0 0 0 RICHARD TREN DIRECTOR 1.00 X 0 0 0 TODD ZYWICKI DIRECTOR 1.00 X 0 0 0 KENT LASSMAN PRESIDENT 40.00 X X 226238 0 24750 SAM KAZMAN VICE PRESIDENT, GENERAL COUNSEL 40.00 X 133826 0 21063 MEGAN MCLAUGHLIN- TREASURER SEN. DIR. FINANCE - UNTIL 08/2019 40.00 X 107418 0 8627 AMANDA FRANCE SECRETARY, EXECUTIVE ASSISTANT 40.00 X 81251 0 6284 CARRIE DIAMOND DIR. OF ADMINISTRATION- AS OF 9/2019 40.00 X 0 0 0 THEODORE FRANK- DIRECTOR OF CTR. FOR CLASS ACTION FAIRNESS 40.00 X 206555 0 10649 WAYNE CREWS VP FOR POLICY 40.00 X 154481 0 28257 IAIN MURRAY VP OF STRATEGY 40.00 X 124512 0 20893 MYRON EBELL DIRECTOR FOR CENTER FOR ENERGY 40.00 X 121836 0 1158 ANNA ST JOHN ATTORNERY 40.00 X 114555 0 18835 MARLO LEWIS SENIOR FELLOW 40.00 X 110453 0 25627 1448268 0 176357 13 0 1 0 BOYDEN GRAY & ASSOCIATES PLLC 801 17TH STREET NW SUITE 350 WASHINGTON DC 20006 LEGAL SERVICES 210019 1 1101780 6009030 7354 7110810 COURT-AWARDED FEES 900099 81000 81000 KOCH ASSOCIATE PROGRAM 900099 71789 71789 CLASS ACT. SETTLEMENT 900099 1499 1499 154288 10741 10741 39898 40084 -186 -186 -186 163620 1101780 403299 -239679 -239679 SUBLEASE INCOME 900099 80727 80727 REIMBURSEMENTS/REFUNDS 900099 2115 2115 82842 7118816 154288 0 -146282 188250 188250 719462 602476 116986 2327229 2029731 42884 254614 22659 16099 3013 3547 218153 197091 10881 10181 227158 191984 14241 20933 65919 48803 125 16991 102001 102001 51000 51000 281646 254939 4292 22415 326902 326902 181481 121006 24799 35676 126943 89518 13194 24231 667112 586071 22102 58939 132936 97047 334 35555 130894 129783 235 876 8202 7205 272 725 237151 208326 7861 20964 43725 38373 1447 3905 DIRECT MAIL 102622 59324 29518 13780 BOOKS & SUBSCRIPTIONS 40385 39796 148 441 BAD DEBT EXPENSE 7000 7000 MISCELLANEOUS EXPENSES 3809 1184 2506 119 643 643 6213282 5233908 404482 574892 X 102530 59232 13780 29518 687871 1628273 78729 45847 272500 487372 275526 202402 1679445 816095 1096317 863350 586635 597266 163249 76764 3160827 3901274 270665 239632 11003 0 2102236 1979185 2383904 2218817 X 772402 610893 4521 1071564 776923 1682457 3160827 3901274 905534 0 X 0 1 X 1 0 X 7605353 6903266 7226930 6309693 7110810 35156052 7605353 6903266 7226930 6309693 7110810 35156052 4174648 30981404 9779 10648 87770 95904 91468 295569 5168 2330 1526 9024 35460645 2319893 0.87370 0.86810 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2014 AMOUNT: $ 0. 2015 AMOUNT: $ 5,168. 2016 AMOUNT: $ 2,330. 2017 AMOUNT: $ 1,526. 2018 AMOUNT: $ 0. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 450 21439 21889 6134243 6156132 457807 114452 0 0 529985 565500 488198 457807 2041490 3062235 31510 21111 17938 21889 92448 132496 141375 122050 114452 510373 765560 265 3107 448 450 4270 983556 271201 712355 463339 400791 62548 232550 144103 88447 863350 INSURANCE ANNUITY CONTRACTS 597266 F 597266 DEFERRED RENT AND LEASE INCENTIVES 1958945 CAPITAL LEASE OBLIGATION 20240 1979185 X 7614994 93029 403299 496328 7118666 150 150 7118816 6709460 93029 403299 496328 6213132 150 150 6213282 PART X, LINE 2: CEI REVIEWS AND ASSESSES ALL ACTIVITIES ANNUALLY TO IDENTIFY ANY CHANGES IN THE SCOPE OF THE ACTIVITIES AND REVENUE SOURCES AND THE TAX TREATMENT THEREOF, TO IDENTIFY ANY UNCERTAINTY IN INCOME TAXES. FOR THE YEAR ENDED SEPTEMBER 30, 2019, MANAGEMENT DID NOT IDENTIFY ANY UNCERTAINTY IN INCOME TAXES REQUIRING RECOGNITION OR DISCLOSURE IN THESE FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 403,299. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 403,299. X X X X X 1 NEXT AFTER LLC 5810 TENNYSON PARKWAY SUITE 102 PLANO TX 75024 FUNDRAISING CONSULTING 0 100819 42000 -42000 CHRIS CORBETT 5104 PRAIRIE CREEK DRIVE FLOWER MOUND TX 75028 FUNDRAISING CONSULTING 0 40925 9000 -9000 141744 51000 -51000 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI ANNUAL DINNER 1265400 1101780 163620 0 0 0 153369 10251 239679 1265400 1101780 163620 153369 10251 239679 403299 -239679 0 HAMILTON LINCOLN LAW INSTITUTE 2933 E JUNIPER WAY SALT LAKE CITY UT 84117 832989543 501(C)(3) 153000 PER SEPARATION AGREEMENT REASON FOUNDATION 5737 MESMER AVENUE LOS ANGELES CA 90230 953298239 501(C)(3) 30000 GENERAL SUPPORT 2 0 X X 0 0 0 0 0 0 0 1 0 KENT LASSMAN PRESIDENT 217238 0 9000 0 0 0 3602 0 21148 0 250988 0 0 0 SAM KAZMAN VICE PRESIDENT, GENERAL COUNSEL 133826 0 0 0 0 0 2122 0 18941 0 154889 0 0 0 THEODORE FRANK- DIRECTOR OF CTR. FOR CLASS ACTION FAIRNESS 206555 0 0 0 0 0 3188 0 7461 0 217204 0 0 0 WAYNE CREWS VP FOR POLICY 154481 0 0 0 0 0 2419 0 25838 0 182738 0 0 0 PART I, LINE 7 THE BOARD OF DIRECTORS DETERMINES THE BONUS FOR THE PRESIDENT. THE PRESIDENT AND EXECUTIVE DIRECTOR DETERMINE THE BONUSES FOR ALL OTHER STAFF. DURING CALENDAR YEAR 2018, KENT LASSMAN RECEIVED A BONUS IN THE AMOUNT OF $9,000 AND AMANDA FRANCE RECEIVED A BONUS IN THE AMOUNT OF $5,000. FORM 990, PART VII, SECTION A: FRED L. SMITH, JR., A MEMBER OF THE BOARD OF DIRECTORS AND FORMER DIRECTOR OF CEI'S CENTER FOR ADVANCING CAPITALISM, RECEIVED COMPENSATION FOR HIS ROLE AS AN EMPLOYEE OF CEI THROUGH JULY 2018. NO COMPENSATION WAS PAID FOR HIS SERVICES AS A MEMBER OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11B THE DRAFT VERSION OF THE FEDERAL FORM 990 IS REVIEWED BY THE PRESIDENT, EXECUTIVE DIRECTOR, TREASURER/DIRECTOR OF ADMINISTRATION, AS WELL AS THE FULL BOARD OF DIRECTORS. AFTER THE REVIEW, ANY CHANGES NEEDED ARE MADE BY THE TAX RETURN PREPARER. THE FINAL FEDERAL FORM 990 IS THEN ELECTRONICALLY FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C EMPLOYEES CONSULT WITH THEIR DIRECT SUPERVISOR OVER ANY AREAS THAT COULD BE CONFLICTS OF INTEREST. IF THE SUPERVISOR BELIEVES THE ISSUE NEEDS TO BE ADDRESSED AT A HIGHER LEVEL THE SUPERVISOR CAN THEN MOVE THE DISCUSSION UP THE CHAIN OF COMMAND WITHIN CEI. UNDER CEI'S CONFLICT OF INTEREST POLICY, BOARD MEMBERS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE STATEMENT. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED BY THE BOARD OF DIRECTORS BASED ON COMPARABILITY DATA. AS THE PRESIDENT'S COMPENSATION WAS AT THE LOW-END WHEN THE LAST STUDY WAS CONDUCTED IN 2012, THE BOARD OF DIRECTORS ARE COMFORTABLE WITH THE CURRENT COMPENSATION. COMPENSATION OF OFFICERS AND KEY EMPLOYEES IS HANDLED BY THE PRESIDENT AND GROUP OF INDEPENDENT SENIOR STAFF. THE COMPENSATION IS EVALUATED BASED ON PERFORMANCE AND COMPARABILITY DATA WITH OTHER SIMILAR ORGANIZATIONS IN THE WASHINGTON, DC AREA. FORM 990, PART VI, SECTION C, LINE 19 CEI DOES NOT MAKE ITS GOVERNING DOCUMENTS OR CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. THE MOST RECENT AUDITED FINANCIAL STATEMENTS AND FEDERAL FORM 990 ARE AVAILABLE ON THE WEBSITE.