2020-08-31T13:03:08-05:00 2019-10-31 263753134 CBIZ MHM LLC 500 BOYLSTON STREET BOSTON MA 02116 990 2018-11-01 223053747 CERES INC CERE 6172470700 99 CHAUNCY STREET 6TH FLOOR BOSTON MA 021111703 SUSAN BOYER CFO 6172470700 2020-08-28 1 BRENDA L BOOTH P01342395 6177610600 2020-08-28 207.172.72.163 2020-08-28 08:25:47 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 AAFE5242E44AA74A98A743050A15125E154A43A4 2018 2021-01-29 14:40:06Z CERES MINDY LUBBER 99 CHAUNCY STREET 6TH FLOOR BOSTON MA 021111703 21462299 0 X WWW.CERES.ORG X 1990 MA CERES IS A SUSTAINABILITY NONPROFIT ORGANIZATION. CERES WORKS TO ADVANCE SUSTAINABILITY LEADERSHIP AMONG INVESTORS, COMPANIES AND CAPITAL MARKET INFLUENCERS TO DRIVE SOLUTIONS AND TAKE STRONGER ACTION ON THE WORLD'S BIGGEST SUSTAINABILITY CHALLENGES, INCLUDING CLIMATE CHANGE, WATER SCARCITY AND POLLUTION, AND INEQUITABLE WORKPLACES. 24 23 153 49 0 0 16024464 16760533 4117405 3892999 68888 100503 101902 156872 20312659 20910907 933099 946395 0 0 10462820 11536511 0 0 1473186 5427202 6016757 16823121 18499663 3489538 2411244 20690578 23270128 3267554 3435860 17423024 19834268 X CERES MISSION IS TO TRANSFORM THE ECONOMY TO BUILD A SUSTAINABLE FUTURE FOR PEOPLE AND THE PLANET. CERES WORKS WITH THE MOST INFLUENTIAL INVESTORS AND COMPANIES TO BUILD LEADERSHIP AND DRIVE SOLUTIONS THROUGHOUT THE ECONOMY. THROUGH POWERFUL NETWORKS AND ADVOCACY, CERES TACKLES THE WORLD'S BIGGEST SUSTAINABILITY CHALLENGES, INCLUDING CLIMATE CHANGE, WATER SCARCITY AND POLLUTION, AND INEQUITABLE WORKPLACES. 0 0 4164078 846528 896541 SUSTAINABLE CAPITAL MARKETS: SEE SCHEDULE OSUSTAINABLE CAPITAL MARKETS: CERES MOBILIZES INFLUENTIAL FINANCIAL MARKET ACTORS TO ENGAGE AND COLLABORATE ON ENVIRONMENTAL, SOCIAL, AND GOVERNANCE ISSUES TO ADVANCE LEADING INVESTMENT PRACTICES, CORPORATE ENGAGEMENT STRATEGIES AND POLICY SOLUTIONS THROUGH WORKING GROUPS AND SHARED LEARNING OPPORTUNITIES, SUCH AS WEBINARS AND EVENTS. CERES WORKS WITH INVESTORS SPECIFICALLY TO BETTER MANAGE CARBON, WATER AND SUPPLY CHAIN RISKS, AND RAMP UP GLOBAL INVESTMENTS IN CLEAN ENERGY AND SUSTAINABLE FOOD AND WATER SYSTEMS. CERES DIRECTS THE CERES INVESTOR NETWORK ON CLIMATE RISK AND SUSTAINABILITY WHICH INCLUDES MORE THAN 175 INSTITUTIONAL INVESTORS, MANAGING MORE THAN $29 TRILLION IN ASSETS, ADVANCING LEADING INVESTMENT PRACTICES, CORPORATE ENGAGEMENT STRATEGIES, AND KEY POLICY AND REGULATORY SOLUTIONS. SOME OF OUR KEY INVESTOR COALITIONS AND INITIATIVES INCLUDE THE GLOBAL INVESTOR COALITION ON CLIMATE CHANGE, CLIMATE ACTION 100+ AND THE INVESTOR AGENDA. INFLUENTIAL INVESTORS FROM LEADING ASSET MANAGEMENT FIRMS, PUBLIC PENSION FUNDS, LABOR AND SOCIALLY-RESPONSIBLE INVESTMENT FUNDS, FOUNDATIONS, ENDOWMENTS AND FAMILY OFFICES MAKE UP THE CERES INVESTOR NETWORK. CERES CONVENES A BIENNIAL INVESTOR SUMMIT ON CLIMATE RISK AT THE UNITED NATIONS. 3359039 21750 764351 POLICY: SEE SCHEDULE OPOLICY: CERES POLICY NETWORK, KNOWN AS BICEP, COMPRISES NEARLY 60 COMPANIES, INCLUDING DOZENS OF LEADING CONSUMER BRANDS AND FORTUNE 500S, ADVOCATING FOR STRONG CLIMATE, CLEAN ENERGY AND WATER POLICIES AT THE STATE AND FEDERAL LEVELS. IN THE WAKE OF PRESIDENT TRUMP'S ANNOUNCEMENT OF HIS INTENT TO WITHDRAW THE U.S. FROM THE PARIS ACCORD, WE HELPED LAUNCH AND GROW "WE ARE STILL IN" INTO A COALITION OF MORE THAN 4000 COMPANIES, INVESTORS, MAYORS, GOVERNORS, COLLEGE PRESIDENT AND OTHER LEADERS COMMITTED TO U.S. ACTION ON CLIMATE CHANGE. CERES BICEP NETWORK MEMBERS HAVE WEIGHED IN ON A RANGE OF STATE AND FEDERAL POLICIES FROM RENEWABLE ENERGY ISSUES TO FUEL EFFICIENCY STANDARDS. THESE COMPANIES ARE RESPECTED LEADERS IN THEIR SECTORS WHO RECOGNIZE THAT THE NET-ZERO EMISSIONS ECONOMY WILL CONTINUE STIMULATING GROWTH AND CREATE NEW JOBS, WHILE STABILIZING OUR CLIMATE. 2511133 180606 CLIMATE AND ENERGY: SEE SCHEDULE OCLIMATE AND ENERGY: CERES MOBILIZES THE MOST INFLUENTIAL INVESTORS AND COMPANIES IN TACKLING CLIMATE CHANGE AS A SUSTAINABILITY ISSUE THAT MUST BE ADDRESSED AT EVERY LEVEL OF BUSINESS AND INVESTMENT PLANNING AND OPERATIONS. WE WORK WITH INVESTORS AND COMPANIES TO RAMP UP GLOBAL SUSTAINABLE INVESTMENTS IN CLEAN ENERGY AND SUSTAINABLE FOOD AND WATER SYSTEMS, AND ADVOCATE FOR ROBUST CLIMATE DISCLOSURE IN FINANCIAL FILINGS AND ENGAGE DIRECTLY WITH COMPANIES TO IMPROVE SUSTAINABILITY PERFORMANCE. THIS WORK IS DONE ACROSS KEY SECTORS AFFECTED THE MOST BY CLIMATE CHANGE, INCLUDING ELECTRIC POWER, OIL AND GAS, TRANSPORTATION, INSURANCE AND AGRICULTURE. SOLUTIONS THAT PROMOTE CLIMATE CHANGE RESILIENCE AND CLEAN ENERGY WILL HELP BUILD A NET-ZERO EMISSIONS ECONOMY WHILE PROTECTING OUR PLANET FOR CURRENT AND FUTURE GENERATIONS. 2234709 1970327 SUSTAINABLE BUSINESS STRATEGIES: CERES COMPANY NETWORK COMPRISES NEARLY 60 COMPANIES, NEARLY 75 PERCENT OF THEM FORTUNE 500 FIRMS, SETTING THE HIGHEST BAR FOR SUSTAINABILITY LEADERSHIP. THROUGH DIRECT STAKEHOLDER ENGAGEMENT, STANDARD-SETTING, REGULAR BENCHMARKING, AND STRONG COLLABORATIONS WITH COALITIONS LIKE WE MEAN BUSINESS, CERES MOVES COMPANIES TO RAISE THEIR AMBITION ON ROBUST SUSTAINABILITY GOALS AND IMPROVE RESILIENCY IN THEIR OPERATIONS AND SUPPLY CHAINS. CERES' IN-HOUSE EXPERTISE, COMBINED WITH OUR UNIQUE ACCESS TO INVESTORS, COMPANIES AND OTHER ADVOCACY ORGANIZATIONS, PROVIDES MEMBERS THE CRITICAL INSIGHTS THEY NEED TO STRENGTHEN PERFORMANCE ON KEY 'MATERIAL' ENVIRONMENTAL AND SOCIAL IMPACT AREAS. LEVERAGING THE CERES ROADMAP FOR SUSTAINABILITY - OUR VISION AND PRACTICAL FRAMEWORK FOR GUIDING CORPORATE SUSTAINABILITY LEADERSHIP - CERES WORKS WITH COMPANY NETWORK MEMBERS TO MANAGE SUSTAINABILITY FROM THE BOARDROOM TO THE COPY ROOM, AND FROM FACTORIES TO FIELDS. 1539360 97286 WATER: CERES BUILDS INVESTOR AND CORPORATE LEADERSHIP TO PROTECT FRESHWATER SUPPLIES AROUND THE GLOBE, INTEGRATING CAPITAL MARKET SOLUTIONS INTO EVERYTHING WE DO. TO DRIVE BROADER, MORE SYSTEMIC CHANGE, WE LEVERAGE THE POWER OF INSTITUTIONAL INVESTORS TO DRIVE CORPORATE ATTENTION TO, AND MANAGEMENT OF, WATER RISKS. LAST YEAR, WE LAUNCH AN INFLUENTIAL VALUING WATER FINANCE TASK FORCE MADE UP OF PENSION FUNDS AND COMMERCIAL BANKS TO SCALE UP CORPORATE ON WATER. CERES ALSO CONDUCTS RESEARCH TO IDENTIFY GAPS IN INVESTOR WATER AWARENESS, AND SHARE BEST PRACTICES FOR INTEGRATING WATER INTO THE INVESTMENT DECISION-MAKING PROCESS. CERES' INVESTOR WATER TOOLKIT IS THE ULTIMATE INVESTOR RESOURCE ON WATER RISK INTEGRATION IN PORTFOLIO MANAGEMENT. TO FURTHER DRIVE SYSTEMIC CHANGE, CERES ENGAGES WITH BOND INVESTORS, AND OTHERS IN THE CAPITAL MARKETS, TO DEVELOP CREDIT RISK ASSESSMENT METHODS AND STANDARDS THAT WILL HELP CHANNEL CAPITAL TOWARD SUSTAINABLE WATER SYSTEMS. THROUGH THE AGWATER CHALLENGE, CERES, ALONG WITH ITS PARTNER, WWF, ENGAGES COMPANIES WITH LARGE AGRICULTURAL SUPPLY CHAINS TO IMPROVE THEIR WATER STEWARDSHIP. THE FOOD SECTOR, USES 70 PERCENT OF THE WORLD'S FRESHWATER, LARGELY IN AGRICULTURAL SUPPLY CHAINS. CERES' FEEDING OURSELVES THIRSTY BENCHMARK ASSESSMENT TRACKS MORE THAN 40 OF THE LARGEST FOOD SECTOR COMPANIES AND HOW THEY ARE RESPONDING TO WATER RISKS IN THEIR OPERATIONS AND SUPPLY CHAINS. 1587509 78117 97333 FOOD AND FORESTS: CERES WORKS WITH INVESTORS AND COMPANIES TO DRIVE LARGE-SCALE CHANGES IN THE WAY FOOD IS PRODUCED AND SOURCED. WE ARE WORKING WITH THE WORLD'S LARGEST INSTITUTIONAL INVESTORS TO HELP THEM BETTER UNDERSTAND HOW THESE PRESSURES PRESENT RISKS AND OPPORTUNITIES FOR THE FOOD SECTOR. SEE OUR INVESTOR GUIDE ON AGRICULTURAL SUPPLY CHAIN RISKS: ENGAGE THE CHAIN. WE WORK TO INCREASE TRANSPARENCY OF THESE RISKS FROM THE FOOD SECTOR AND IMPROVE CORPORATE STRATEGIES ON KEY SUSTAINABILITY CHALLENGES. WE ALSO WORK DIRECTLY WITH FOOD COMPANIES TO SET NEW GOALS THAT WILL REDUCE NEGATIVE IMPACTS AND IMPROVE COMPANY PERFORMANCE ON SUSTAINABILITY CHALLENGES FROM WATER SCARCITY AND POLLUTION TO DEFORESTATION AND FORCED LABOR.DEFORESTATION IS A MAJOR DRIVER OF CLIMATE CHANGE. TROPICAL COMMODITY-DRIVEN DEFORESTATION ALONE IS RESPONSIBLE FOR 5 PERCENT OF GLOBAL GHG EMISSION, AND AN INCREASING NUMBER OF INVESTORS ARE TAKING ACTION TO REDUCE CLIMATE RISKS THAT DEFORESTATION POSES TO THEIR PORTFOLIOS. CERES PARTNERED WITH LEADING INVESTORS AND DEFORESTATION EXPERTS TO DEVELOP A NEW INVESTOR GUIDE TO DEFORESTATION AND CLIMATE CHANGE. 5361578 78117 2164946 15395828 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 1 1 1 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 X 66 0 1 153 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 24 23 0 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MA NY CA AL AK AZ AR CO CT FL GA IL KS ME MD MI MN KY MO NH NJ NM MS OH OK OR PA NC SC TN UT VA RI WV WI WA DC X X X GABRIELA GOFF CONTROLLER 6172470700 99 CHAUNCY STREET 6TH FLOOR BOSTON MA 021111703 X DOMINIQUE NILS CONSEIL DIRECTOR 5.00 X 0 0 0 TONY DAVIS DIRECTOR 5.00 X 0 0 0 THOMAS DINAPOLI DIRECTOR 5.00 X 0 0 0 VERONICA EADY DIRECTOR 5.00 X 0 0 0 JACK EHNES DIRECTOR 5.00 X 0 0 0 MICHAEL FRERICHS DIRECTOR 5.00 X 0 0 0 MICHEL GELOBTER DIRECTOR 5.00 X 0 0 0 ALISA GRAVITZ TREASURER 5.00 X X 0 0 0 REBECCA HENDERSON DIRECTOR 5.00 X 0 0 0 DOUGLAS HUSID SECRETARY 5.00 X X 0 0 0 GINA MCCARTHY DIRECTOR 5.00 X 0 0 0 DENISE NAPPIER DIRECTOR (UNTIL JANUARY 2019) 5.00 X 0 0 0 JANET RANGANATHAN VICE CHAIR 5.00 X X 0 0 0 PETER ROSENBLUM DIRECTOR 5.00 X 0 0 0 TEDD SAUNDERS DIRECTOR 5.00 X 0 0 0 BARNEY SCHAUBLE CHAIR 5.00 X X 0 0 0 ALICIA SEIGER DIRECTOR 5.00 X 0 0 0 DAMON SILVERS DIRECTOR 5.00 X 0 0 0 ADELE SIMMONS DIRECTOR 5.00 X 0 0 0 SCOTT STRINGER DIRECTOR 5.00 X 0 0 0 KIM THOMASSIN DIRECTOR 5.00 X 0 0 0 VIEN TRUONG DIRECTOR 5.00 X 0 0 0 ION YADIGAROGLU DIRECTOR 5.00 X 0 0 0 BETTY YEE DIRECTOR 5.00 X 0 0 0 MINDY LUBBER PRESIDENT 40.00 X X 242589 0 17314 SUSAN SAYERS CHIEF DEVELOPMENT OFFICER 40.00 X 204542 0 31567 DAWN MARTIN EXEC. VP & CHIEF PROGRAM OFFICER 40.00 X 178171 0 35384 SUSAN BOYER CFO 40.00 X 152224 0 30733 DAVID ZIV-KREGER SR. DIR., FOUNDATION DEVELOPMENT 40.00 X 147333 0 29653 KIRSTEN SPALDING SR. PROGRAM DIR., INVESTOR PROGRAM 40.00 X 140637 0 9768 ANNE KELLY VP, GOVERNMENT RELATIONS 40.00 X 136973 0 7329 SUSAN REID VP, CLIMATE & ENERGY 40.00 X 135915 0 14890 HILARY FORBES SR. DPT. DR., HR & OPERATIONS 40.00 X 134768 0 16991 1473152 0 193629 18 0 1 0 TECH SUPERPOWERS LLC 1280 MASSACHUSETTS AVENUE SUITE 41 CAMBRIDGE MA 02138 TECH SUPPORT 242884 JULIE KAY GORTE 16349 W 84TH DRIVE ARVADA CO 80007 PROGRAM CONSULTING 113000 K&L GATES LLP PO BOX 844255 BOSTON MA 02284 PROGRAM CONSULTING 100056 3 1032432 15728101 302729 16760533 MEMBERSHIP DUES 900099 2840384 2840384 CONF. FEES & SPONS. 900099 927365 927365 FEE FOR SERVICE 900099 125250 125250 3892999 91765 91765 301483 4185 296930 0 4553 4185 8738 8738 125250 1032432 254462 -129212 -129212 SUBLEASE 900099 172639 172639 REIMBURSEMENTS/REVENUE 900099 88095 88095 HONARARIA 900099 25350 25350 286084 20910907 4006444 0 143930 91310 91310 855085 855085 777526 323724 231423 222379 8518591 7033024 756433 729134 309101 244015 33637 31449 1210846 927719 157218 125909 720447 571220 80651 68576 15357 625 14732 86364 86364 102077 102077 1245677 1174746 30684 40247 59249 59249 574507 445441 45955 83111 290260 252657 20671 16932 766903 631077 80799 55027 710494 670603 4451 35440 1118304 1077785 12546 27973 468472 377120 54343 37009 RESEARCH/WRITING 557215 557215 BAD DEBT EXPENSE 20742 20742 PRINTING 1136 1136 18499663 15395828 1630649 1473186 1970086 1242161 7578833 9791771 6744764 7895227 561605 860668 1006036 1043167 3670683 1413862 2643971 2256821 185283 180313 20690578 23270128 2346073 2597440 921481 838420 3267554 3435860 X 4568240 4976410 12854784 14857858 17423024 19834268 20690578 23270128 2411244 0 X 0 1 X 1 0 X 9765586 13975374 16875722 18675271 19600917 78892870 9765586 13975374 16875722 18675271 19600917 78892870 19247861 59645009 20643 34469 35259 63198 91765 245334 79138204 6463661 0.75370 0.71370 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 102077 102077 16924400 17026477 1000000 250000 0 0 706633 841862 923944 1000000 3472439 5208659 45033 55987 81610 102077 284707 176658 210466 230986 250000 868110 1302165 2255 3688 43 5986 2474526 752959 1721567 1196157 660903 535254 2256821 X 21427841 262472 254462 516934 20910907 0 20910907 19016597 262472 254462 516934 18499663 0 18499663 PART X, LINE 2: CERES ACCOUNTS FOR THE EFFECT OF ANY UNCERTAIN TAX POSITIONS BASED ON A "MORE LIKELY THAN NOT" THRESHOLD TO THE RECOGNITION OF THE TAX POSITIONS BEING SUSTAINED BASED ON THE TECHNICAL MERITS OF THE POSITION UNDER SCRUTINY BY THE APPLICABLE TAXING AUTHORITY. IF A TAX POSITION OR POSITIONS ARE DEEMED TO RESULT IN UNCERTAINTIES OF THOSE POSITIONS, THE UNRECOGNIZED TAX BENEFIT IS ESTIMATED BASED ON A "CUMULATIVE PROBABILITY ASSESSMENT" THAT AGGREGATES THE ESTIMATED TAX LIABILITY FOR ALL UNCERTAIN TAX POSITIONS. CERES HAS IDENTIFIED ITS TAX STATUS AS A TAX EXEMPT ENTITY AND ITS DETERMINATION OF WHICH ACTIVITIES ARE RELATED AND UNRELATED AS CERES' ONLY SIGNIFICANT TAX POSITIONS AND HAS DETERMINED THAT SUCH TAX POSITIONS DO NOT RESULT IN AN UNCERTAINTY REQUIRING RECOGNITION. CERES IS NOT CURRENTLY UNDER EXAMINATION BY ANY TAXING JURISDICTION. CERES' FEDERAL AND STATE INCOME TAX RETURNS ARE GENERALLY OPEN FOR EXAMINATION FOR THE PAST THREE YEARS FOLLOWING THE DATE OF FILING THE RELATED RETURN. PART XI, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 254,462. PART XII, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 254,462. 1 SOUTH AMERICA 1 1 PROGRAM SERVICES AS A DIRECTOR FOR THE WATER PROGRAM, MONIKA FREYMAN WORKS RESEARCHING AND CONDUCTING CORPORATE AND INVESTOR ENGAGEMENT ON THE RISKS AND OPPORTUNITIES RELATED TO GROWING WATER SCARCITY AND WATER QUALITY ISSUES. 101116 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 298479 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 551606 SOUTH AMERICA 0 0 GRANTMAKING 5000 1 1 0 0 1 1 956201 0 956201 EUROPE (INCLUDING ICELAND & GREENLAND) PRODUCTION OF RESEARCH ON COMPANY-SPECIFIC DEFORESTATION AND FINANCIAL RISK ANALYSIS IN THE BRAZILIAN CATTLE SUPPLY CHAIN. 50000 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) IN SUPPORT OF CLIMATE ACTION 100+: INVESTORS DRIVING CORPORATE ACTION ON CLIMATE CHANGE. 191170 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) IN SUPPORT OF CLIMATE ACTION 100+: INVESTORS DRIVING CORPORATE ACTION ON CLIMATE CHANGE. 310436 WIRE EAST ASIA AND THE PACIFIC IN SUPPORT OF CLIMATE ACTION 100+: INVESTORS DRIVING CORPORATE ACTION ON CLIMATE CHANGE. 298479 WIRE SOUTH AMERICA RESEARCH ON SUPPLIER INCENTIVES FOR IMPLEMENTATION OF NO-DEFORESTATION POLICIES IN CATTLE AND SOY SUPPLY CHAINS 5000 WIRE 5 0 0 0 0 0 0 0 PART I, LINE 2: SUB-GRANTS ARE AWARDED TO ORGANIZATIONS PENDING REVIEW OF A PROJECT BUDGET AND DESCRIPTION. SUCH PROJECT MUST BE ALIGNED WITH CERES ORGANIZATIONAL MISSION. ORGANIZATIONS ARE REQUIRED TO SUBMIT TO CERES FINANCIAL REPORTS THAT SHOW HOW THE FUNDS WERE USED. FUNDS ARE PROVIDED ONLY FOR COSTS APPROVED IN THE PROJECT BUDGET. WHEN EXPENDITURES VARY MORE THAN 20% FROM AN APPROVED BUDGET LINE, PRIOR WRITTEN AUTHORIZATION FROM CERES IS REQUIRED. SUB-GRANTEE SHALL MAKE AVAILABLE TO CERES OR ITS INDEPENDENT AUDITORS ALL ACCOUNTING RECORDS FOR EXAMINATION, EVALUATION, AND AUDIT FOR A REASONABLE PERIOD OF TIME AFTER COMPLETION OF THE FUNDED WORK. FUNDRAISING DINNER 1157682 1032432 125250 45716 140577 68169 1157682 1032432 125250 45716 140577 68169 254462 -129212 1 ENVIRONMENTAL LEAGUE OF MASSACHUSETTS INC 15 COURT SQUARE SUITE 1000 BOSTON MA 02108 042760271 501(C)(3) 15000 EVENT ORGANIZING IN MA TO PROMOTE CERES PRIORITIES AND ADVANCE STRONG CLIMATE POLICY. THE B TEAM HEADQUARTERS INC 115 FIFTH AVENUE 6TH FLOOR NEW YORK NY 10003 461860634 501(C)(3) 37500 TO MOBILIZE THE AMERICAN BUSINESS COMMUNITY IN SUPPORT OF CONTINUED U.S. PARTICIPATION IN THE PARIS AGREEMENT AND RELATED CLIMATE ACTION. SOCIETY FOR CORPORATE GOVERNANCE INC 52 VANDERBILT AVENUE SUITE 903 NEW YORK NY 10017 131674285 501(C)(6) 8943 TO DEVELOP AN ESG PRIMER FOR A CORPORATE SECRETARY AUDIENCE. FOREST TRENDS ASSOCIATION 1203 19TH STREET NW 4TH FLOOR WASHINGTON DC 20036 522135531 501(C)(3) 20000 FOR COCOA BENCHMARK AND BUSINESS CASE FOR ENDING DEFORESTATION. 3 1 PART I, LINE 2: SUB-GRANTS ARE AWARDED TO ORGANIZATIONS PENDING REVIEW OF A PROJECT BUDGET AND DESCRIPTION. SUCH PROJECT MUST BE ALIGNED WITH CERES ORGANIZATIONAL MISSION. ORGANIZATIONS ARE REQUIRED TO SUBMIT TO CERES FINANCIAL REPORTS THAT SHOW HOW THE FUNDS WERE USED. FUNDS ARE PROVIDED ONLY FOR COSTS APPROVED IN THE PROJECT BUDGET. WHEN EXPENDITURES VARY MORE THAN 20% FROM AN APPROVED BUDGET LINE, PRIOR WRITTEN AUTHORIZATION FROM CERES IS REQUIRED. SUB-GRANTEE SHALL MAKE AVAILABLE TO CERES OR ITS INDEPENDENT AUDITORS ALL ACCOUNTING RECORDS FOR EXAMINATION, EVALUATION, AND AUDIT FOR A REASONABLE PERIOD OF TIME AFTER COMPLETION OF THE FUNDED WORK. X X X X 0 0 0 0 0 0 0 0 0 MINDY LUBBER PRESIDENT 242589 0 0 0 0 0 9745 0 7569 0 259903 0 0 0 SUSAN SAYERS CHIEF DEVELOPMENT OFFICER 204542 0 0 0 0 0 8594 0 22973 0 236109 0 0 0 DAWN MARTIN EXEC. VP & CHIEF PROGRAM OFFICER 178171 0 0 0 0 0 7409 0 27975 0 213555 0 0 0 SUSAN BOYER CFO 152224 0 0 0 0 0 5292 0 25441 0 182957 0 0 0 DAVID ZIV-KREGER SR. DIR., FOUNDATION DEVELOPMENT 147333 0 0 0 0 0 6246 0 23407 0 176986 0 0 0 KIRSTEN SPALDING SR. PROGRAM DIR., INVESTOR PROGRAM 140637 0 0 0 0 0 5591 0 4177 0 150405 0 0 0 SUSAN REID VP, CLIMATE & ENERGY 135915 0 0 0 0 0 5484 0 9406 0 150805 0 0 0 HILARY FORBES SR. DPT. DR., HR & OPERATIONS 134768 0 0 0 0 0 5485 0 11506 0 151759 0 0 0 X 9 302729 FMV 0 0 1 0 PART I, COLUMN (B): THE NUMBER IN PART I, COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS. FORM 990, PART V, LINE 3A AND 3B: CERES, INC. IS NOT REPORTING UNRELATED BUSINESS GROSS INCOME ON ITS FORM 990-T FOR THE FISCAL YEAR ENDING OCTOBER 31, 2019. DUE TO THE REPEAL OF SECTION 512(A)(7), CERES, INC. DOES NOT HAVE UNRELATED BUSINESS INCOME FROM AMOUNTS PAID FOR DISALLOWED FRINGES. THE FISCAL YEAR ENDING OCTOBER 31, 2018 FORM 990-T HAS BEEN AMENDED AND REFUNDS WILL BE CLAIMED FOR TAXES PAID FOR ANY FISCAL YEARS AFFECTED BY THE REPEAL OF SECTION 512(A)(7). FORM 990, PART VI, SECTION A, LINE 4 THE BYLAWS WERE AMENDED TO MAKE CHANGES TO CERES' COMPOSITION, QUALIFICATIONS AND TERM OF SERVICE OF THE VOTING MEMBERS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11B OUR ACCOUNTING AND AUDITING FIRM SENDS THE ORGANIZATION A QUESTIONNAIRE TO FILL OUT FOR PREPARING THE FORM 990. THIS QUESTIONNAIRE IS PREPARED AND REVIEWED BY THE FINANCE TEAM. THEN, OUR ACCOUNTING AND AUDITING FIRM PREPARES THE DRAFT 990, WITH THE INFORMATION GATHERED IN THE QUESTIONNAIRE PROVIDED BY THE FINANCE TEAM, AND SENDS A DRAFT TO THE ORGANIZATION. THE FINANCE TEAM REVIEWS THIS DRAFT AND EMAILS TO THE FULL BOARD FOR ITS REVIEW PRIOR TO ITS FILING. AFTERWARDS THE 990 IS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS A WRITTEN CONFLICT OF INTEREST POLICY. AS PART OF THE BOARD TRAINING, WHEN JOINING THE CERES BOARD, THE NEW BOARD MEMBER IS PROVIDED WITH THE CERES BOARD POLICIES WHICH CONTAIN THE WRITTEN CONFLICT OF INTEREST POLICY. IN THIS PACKAGE IS INCLUDED THE FORM "CONFLICT OF INTEREST STATEMENT (CIS)" WHERE THEY ARE REQUIRED TO DISCLOSE ANY CONFLICT OF INTEREST THAT MAY EXIST WITH THE ORGANIZATION. ONCE A YEAR, THE BOARD MEMBERS COMPLETE THIS CIS FORM TO FILL OUT. ALSO, AS PART OF THE GOVERNANCE COMPLIANCE THE BOARD MEMBERS ARE REQUIRED TO INFORM TO THE BOARD CHAIR AND VICE CHAIR OF CERES OF ANY MATERIAL CHANGE THAT DEVELOPS DURING THE YEAR IN THE INFORMATION CONTAINED IN THE FOREGOING STATEMENT. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMMITTEE OF THE BOARD ANNUALLY REVIEWS AND APPROVES THE CEO'S COMPENSATION. THE COMMITTEE GATHERS DATA FROM SALARY SURVEYS AND STUDIES FROM COMPARABLE SIZED NONPROFITS. THE COMMITTEE THEN DECIDES ON THE APPROPRIATE COMPENSATION LEVEL FOR THE COMING YEAR AND ANY BONUS WARRANTED FOR THE PRIOR YEAR. THIS IS THEN CONVEYED WITH A RECOMMENDATION TO THE FULL BOARD IN AN EXECUTIVE SESSION AND THE VOTE TAKEN TO APPROVE THE RECOMMENDED COMPENSATION AND BONUS. NOTES OF THE DELIBERATIONS AND DECISIONS REACHED REGARDING CEO COMPENSATION ARE KEPT BY THE SENIOR DIRECTOR OF HUMAN RESOURCES, WHO ATTENDS ALL SUCH MEETINGS. THE CEO IS RESPONSIBLE FOR ASSESSING THE APPROPRIATE LEVELS OF OTHER KEY EMPLOYEES. COMPENSATION IS BASED ON PERFORMANCE, LEVEL OF RESPONSIBILITY, COST OF LIVING FACTOR, AND THE NONPROFIT MARKET IN BOSTON AND OTHER LOCATIONS CERES HAS STAFF THROUGH A REVIEW OF 990'S, AND SALARY SURVEYS AND STUDIES. THE CEO PROVIDES THE EXECUTIVE COMMITTEE OF THE BOARD A SUMMARY OF DATA GATHERED AND PROPOSED SALARIES FOR OFFICERS AND KEY EMPLOYEES (EXECUTIVE VICE PRESIDENT AND CHEIF PROGRAM OFFICER, CFO AND CHIEF DEVELOPMENT OFFICER.) THE EXECUTIVE COMMITTEE ADVISES THE CEO IF THEY HAVE CONCERNS ABOUT ANY OF THE PROPOSED SALARY LEVELS. FORM 990, PART VI, SECTION C, LINE 19 THE FORM 990, AUDITED FINANCIAL STATEMENTS AND ANNUAL REPORT ARE AVAILABLE AT HTTP://WWW.CERES.ORG/ABOUT-US/FINANCIALS. THE ORGANIZATION PROVIDES COPIES OF ITS FINANCIAL STATEMENTS AND GOVERNING DOCUMENTS UPON REQUEST. CERES' FORM 990 IS ALSO AVAILABLE VIA GUIDESTAR, AND THE MASSACHUSETTS ATTORNEY GENERAL'S WEBSITE. FORM 990, PART VII: THE IRS REQUIRES COMPENSATION TO BE REPORTED FOR THE CALENDAR YEAR ENDING WITH OR WITHIN THE ORGANIZATION'S FISCAL YEAR, THEREFORE THE COMPENSATION DATA SHOWN ON FORM 990, PART VII IS FOR CALENDAR YEAR 2018, WHICH IS DRAWN FROM 2018 W-2S.