2019-11-05T11:17:45-06:00 2018-12-31 731413977 HOGANTAYLOR LLP 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2018-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 MIKE MYERS SR VP - CFO & TREASURER 5012803030 2019-10-30 1 MICHELLE MANN P01064483 5012275800 2019-10-18 12.234.194.162 2019-10-30 11:20:13 CD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 AEEAEEAA0479B19122EAC14597C879A9C576A2F9 2018 2020-03-31 21:24:44Z MIKE MYERS 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 214843730 0 X WWW.WINROCK.ORG X 1984 AR WINROCK INTERNATIONAL IS A RECOGNIZED LEADER IN U.S. AND INTERNATIONAL DEVELOPMENT, PROVIDING SOLUTIONS TO SOME OF THE WORLD'S MOST COMPLEX SOCIAL, AGRICULTURAL AND ENVIRONMENTAL CHALLENGES. WINROCK'S MISSION IS TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY AND SUSTAIN NATURAL RESOURCES. WINROCK IS A NONPROFIT ORGANIZATION THAT IMPLEMENTS A PORTFOLIO OF MORE THAN 150 PROJECTS IN OVER 40 COUNTRIES. WINROCK COMBINES TECHNICAL EXPERTISE WITH ENTREPRENEURIAL INNOVATION TO IMPROVE LIVES AROUND THE GLOBE. 18 16 850 103 0 0 94772810 90941913 0 0 5675605 14280511 3549 0 100451964 105222424 239432 3939323 0 0 47031303 47457221 0 0 0 51159137 42193336 98429872 93589880 2022092 11632544 96911984 85770551 34088849 29103536 62823135 56667015 WINROCK'S MISSION IS TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY AND SUSTAIN NATURAL RESOURCES. 0 0 79980304 3939323 SEE ABOVE STATEMENT OF EXEMPT PURPOSE 79980304 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 1 X 224 0 1 254 1 1 1 1 BG BR UV CB CA CH BH MZ GH LA GV ID KE LI ML MI BM NP NI PK RP SG TZ TH VM ZA GG SU JM NG PP TI 0 0 0 0 0 0 0 0 0 0 X 18 16 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AR X MIKE MYERS 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 RODNEY FERGUSON PRESIDENT AND CEO 40.00 1.00 X X 560498 0 63792 PETER O'NEILL BOARD MEMBER 1.00 X 0 0 0 JASON BORDOFF BOARD MEMBER 1.00 X 0 0 0 WILLIAM M BUMPERS CHAIR 1.00 X X 0 0 0 DAVID BRAMAN BOARD MEMBER 1.00 X 0 0 0 MELISSA S DANN BOARD MEMBER 1.00 X 0 0 0 EARL DEVANEY BOARD MEMBER 1.00 X 0 0 0 JUDE KEARNEY BOARD MEMBER 1.00 X 0 0 0 RICK LEACH BOARD MEMBER 1.00 X 0 0 0 JOHN M NEES BOARD MEMBER 1.00 X 0 0 0 SAMAR S ALI BOARD MEMBER 1.00 X 0 0 0 F BRONSON VAN WYCK BOARD MEMBER 1.00 X 0 0 0 SUZANNE E SISKEL VICE CHAIR 1.00 X X 0 0 0 JERRY B ADAMS BOARD MEMBER 1.00 X 0 0 0 WILLIAM ROCKEFELLER BOARD MEMBER 1.00 X 0 0 0 LARRY COBEN BOARD MEMBER 1.00 X 0 0 0 SAUD SIDDIQUE BOARD MEMBER 1.00 X 0 0 0 PALOMA ADAMS-ALLEN BOARD MEMBER 1.00 X 0 0 0 MICHAEL MYERS SR VP - CFO & TREASURER 40.00 1.00 X 282884 0 41131 JOYJIT DEB ROY SR. VICE PRES, PROGRAMS 40.00 2.00 X 281734 0 41441 ELISABETH WHITBECK SECRETARY 40.00 X 119074 0 18781 MARY JANE JAMAR VP AND CHRO 40.00 X 247347 0 29322 MALIKA MAGAGULA VP OPERATIONS 40.00 X 212990 0 28688 JOHN ADAM DORR CHIEF OF PARTY 40.00 X 291190 0 37622 CHRISTOPHER GALLAGHER SVP BUS DEV & EXTERNAL AFF 40.00 X 290157 0 42291 BRAULIO OLIVEIRA CHIEF INFORMATION OFFICER 40.00 X 266026 0 37021 NIMISH JHAVERI CHIEF OF PARTY 40.00 X 290811 0 32383 WILLIAM DAVID SPARKS CHIEF OF PARTY 40.00 X 306325 0 51338 3149036 0 423810 80 0 1 0 TAFT STETTINIUS & HOLLISTER 40 N MAIN ST STE 1700 DAYTON OH 45423 LAW SERVICES 321912 NATASHA FAROOQ 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 CONSULTANT 222640 HUDSON CISNE CO LLP 11025 ANDERSON DRIVE STE 300 LITTLE ROCK AR 72212 AUDITING SERVICES 126275 RAFFA PC 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 ACCOUNTING AND CONSULTING SERVICES 111458 4 77365458 13576455 90941913 985254 985254 122916563 109412760 208546 13503803 -208546 13295257 13295257 105222424 0 0 14280511 928345 928345 3010978 3010978 2024790 323175 1701615 41301769 35310099 5991670 2314793 1787778 527015 46256 32456 13800 1769613 1290847 478766 321779 162237 159542 174556 59636 114920 20700 20700 427177 427177 3792344 3092174 700170 11362 11362 4555889 3523266 1032623 83558 81858 1700 2868177 2783914 84263 5990300 5447968 542332 1220642 1109451 111191 205980 205980 765406 765406 425286 283356 141930 SUBCONTRACTS 13729446 13729446 VEHICLES AND EQUIPMENT 4041590 4038139 3451 FELLOWSHIPS 1919274 1917089 2185 1639870 1036030 603840 93589880 79980304 13609576 0 21777756 18698178 2587077 891255 7380 1464774 13238077 9110995 1252434 1047544 15137828 7544877 7862799 7592951 37330003 28600936 12531458 17189194 325000 1174724 96911984 85770551 9017931 7791383 19489160 13081029 3922724 3736060 280340 2597425 1378694 1897639 34088849 29103536 X 53188570 52463150 9634565 4203865 62823135 56667015 96911984 85770551 11632544 -17781443 -7221 0 X 0 1 X 1 1 1 X 95668997 105389207 106567328 94772810 90941913 493340255 95668997 105389207 106567328 94772810 90941913 493340255 880242 492460013 807657 936430 909622 1380493 985254 5019456 3549 3549 498363260 0.98820 0.98750 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 21600 21600 0 PART II-B, LINE 1: COMPRISED OF PAYMENTS TO (I) ARKANSAS STATE CHAMBER OF COMMERCE LABELED AS LOBBYING EXPENSE, (II) GORDLEY ASSOCIATES FOR FARM BILL IN CONGRESS FOR A FARMER TO FARMER PROJECT, (III) CAPITAL ADVISOR GROUP FOR DISCUSSIONS CONCERNING FUTURE LEGISLATION AND STATE FUNDING, (IV) AND PARTA OREGON, INC. FOR EFFECTIVE CLIMATE LEGISLATION RELATED TO CARBON OFFSETS. 51686511 -3626657 2148161 45911693 47510280 6624221 2447990 51686511 47062883 2889969 2442572 47510280 50111445 -725872 2322690 47062883 49735836 2380037 2004428 50111445 1.00000 0.00000 0.00000 1 0 1377444 1377444 7379150 3713022 3666128 2147897 1524593 623304 3493294 1788721 1704573 740043 518541 221502 7592951 PRIVATE EQUITY FUNDS 2666621 F OTHER INVESTMENTS 13935941 F REAL ESTATE 586632 F 17189194 DEFERRED RENT & OTHER LIABILITIES 1108289 DEFERRED COMPENSATION 789350 1897639 X 87222350 -17781443 208546 -17572897 104795247 427177 427177 105222424 93371249 208546 208546 93162703 427177 427177 93589880 PART V, LINE 4: WINROCK HAS BOARD-DESIGNATED ENDOWMENT FUNDS THAT ARE INCLUDED IN NET ASSETS WITHOUT DONOR RESTRICTIONS. AS REQUIRED BY GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS, INCLUDING FUNDS DESIGNATED BY THE BOARD TO FUNCTION AS ENDOWMENTS, ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OF DONOR-IMPOSED RESTRICTIONS. PART X, LINE 2: WINROCK IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND A SIMILAR PROVISION OF STATE LAW, EXCEPT FOR TAXES ON UNRELATED BUSINESS INCOME. FOR THE YEAR ENDED DECEMBER 31, 2018, NO PROVISION FOR INCOME TAXES WAS MADE, AS WINROCK HAD NO NET SIGNIFICANT UNRELATED BUSINESS INCOME. WINROCK FOLLOWS THE AUTHORITATIVE GUIDANCE RELATING TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES INCLUDED IN FASB ASC TOPIC 740, INCOME TAXES. THESE PROVISIONS PROVIDE CONSISTENT GUIDANCE FOR THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES RECOGNIZED IN AN ENTITY'S CONSOLIDATED FINANCIAL STATEMENTS AND PRESCRIBE A THRESHOLD OF "MORE LIKELY THAN NOT" FOR RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. WINROCK PERFORMED AN EVALUATION OF UNCERTAINTY IN INCOME TAXES FOR THE YEAR ENDED DECEMBER 31, 2018, AND DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE CONSOLIDATED FINANCIAL STATEMENTS OR THAT MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. AS OF DECEMBER 31, 2018, THE STATUTE OF LIMITATIONS FOR TAX YEARS 2015 THROUGH 2017, REMAINED OPEN WITH THE U.S. FEDERAL JURISDICTION OR THE VARIOUS STATES AND LOCAL JURISDICTIONS IN WHICH WINROCK FILES TAX RETURNS, HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. IT IS WINROCK'S POLICY TO RECOGNIZE INTEREST AND/OR PENALTIES RELATED TO UNCERTAINTY IN INCOME TAXES, IF ANY, IN INTEREST OR INCOME TAX EXPENSE. AS OF DECEMBER 31, 2018, WINROCK HAD NO ACCRUALS FOR INTEREST AND/OR PENALTIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: ASSET WRITE-OFF 208,546. PART XII, LINE 2D - OTHER ADJUSTMENTS: ASSET WRITE-OFF 208,546. 1 CENTRAL AMERICA AND THE CARIBBEAN 3 0 PROGRAM SERVICES CIVIL SOCIETY AND EDUCATION AND CLEAN ENERGY ENVIRONMENT AND WATER 165609 EAST ASIA AND THE PACIFIC 25 272 PROGRAM SERVICES CIVIL SOCIETY AND EDUCATION & CLEAN ENERGY ENVIRONMENT AND WATER & ENTERPRISE AND AGRICULTURE & REGIONAL OFFICE 9939602 EUROPE (INCLUDING ICELAND & GREENLAND) 1 1 PROGRAM SERVICES CLEAN ENERGY ENVIRONMENT AND WATER 167483 MIDDLE EAST AND NORTH AFRICA 1 0 PROGRAM SERVICES ENTERPRISE AND AGRICULTURE RUSSIA AND NEIGHBORING STATES 2 1 PROGRAM SERVICES CLEAN ENERGY ENVIRONMENT AND WATER & ENTERPRISE AND AGRICULTURE 349640 SOUTH ASIA 15 74 PROGRAM SERVICES CLEAN ENERGY ENVIRONMENT AND WATER & ENTERPRISE AND AGRICULTURE 11326429 SUB-SAHARAN AFRICA 30 151 PROGRAM SERVICES CIVIL SOCIETY AND EDUCATION & CLEAN ENERGY ENVIRONMENT AND WATER & ENTERPRISE AND AGRICULTURE & REGIONAL OFFICE 12982369 SOUTH AMERICA 3 1 PROGRAM SERVICES CIVIL SOCIETY AND EDUCATION & ENTERPRISE AND AGRICULTURE 227830 80 500 0 0 80 500 35158962 0 35158962 SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 498326 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 503631 SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 387795 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 298936 SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 196119 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 188257 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 182597 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 139798 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 129977 SUB-SAHARAN AFRICA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 98529 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 92626 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 85109 SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 64890 SOUTH ASIA SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 51785 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 36336 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 25004 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 18682 EAST ASIA AND THE PACIFIC SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 9215 1 0 0 0 0 0 PART I, LINE 2: WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN APPROXIMATELY 40 COUNTRIES WORLD-WIDE. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH OVER 80% OF FUNDING PROVIDED BY THE U.S. FEDERAL GOVERNMENT IN 2018. WHEN AWARDED, WINROCK ESTABLISHES A PRESENCE IN THE REQUIRED AREA AND CARRIES OUT THE SCOPE OF WORK INCLUDED WITHIN THE AWARDED PROPOSAL. THE THREE MAIN AREAS OF WINROCK'S WORK ARE THE AREAS OF ENTERPRISE & AGRICULTURE, EMPOWERMENT & CIVIC ENGAGEMENT, AND ENVIRONMENT (INCLUDING FORESTRY MANAGEMENT, ENERGY, AND ECOSYSTEM SERVICES). IN ADDITION TO THE WORK PROVIDED WITHIN THE U.S., THE PRIMARY REGIONS IN WHICH WINROCK WORKS INCLUDE CENTRAL ASIA, SOUTH/SOUTHEAST ASIA, AFRICA, AND LATIN AMERICA. 0 AMERICAN NATIONAL RED CROSS 431 18TH ST NW WASHINGTON DC 20006 530196605 501(C)(3) 229792 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS OVERSEAS STATEGIC CONSULTING LTD & SUBSIDIARIES 1500 WALNUT STREET SUITE 1300 PHILADELPHIA PA 19102 232720769 163736 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS INNOVER OSEZ 8 CRAIGIE CIRCLE APT 45 CAMBRIDGE MA 02138 473193629 119452 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS INTL DEVMT ENTERPRISES-CO 1031 33RD STREET SUITE 270 DENVER CO 80205 232220051 501(C)(3) 115005 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS SNV USA 7514 WISCONSIN AVE STE 400 BETHESDA MD 20814 900756603 501(C)(3) 100671 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS HELLO TRACTOR 80 M STREET SE WASHINGTON DC 20003 465073914 57739 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS BURRO LLC 608 W LEE ST SEATTLE WA 98119 262971254 29549 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS COMPATIBLE TECHNOLOGY INTERNATIONAL 800 TRANSFER RD 6 ST PAUL MN 55114 411400421 28367 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS LAND STEWARDSHIP PROJECT 821 E 35TH STREET SUITE 200 MINNEAPOLIS MN 55407 411466054 501(C)(3) 24811 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS DEVRESULTS 641 S STREET NW3RD FLOOR WASHINGTON DC 20001 200763349 21000 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS SUSTAINABLE FARMING ASSN OF MINNESOTA 4924 UPTON AVE S MINNEAPOLIS MN 55410 411671893 501(C)(3) 15166 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS SUSTAINABLE AGRICULTURE EDUCATION 2150 ALLSTON WAY STE 320 BERKELEY CA 94704 912161389 501(C)(3) 5000 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS COMMONWEALTH KITCHEN INC 196 QUINCY STREET DORCHESTER MA 02121 270648497 501(C)(3) 5000 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS LA SEMILLA FOOD CENTER PO BOX 2579 ANTHONY NM 88021 272486484 501(C)(3) 5000 CASH SUBGRANTS IMPLEMENTED BASED ON FUNDER REQUIREMENTS 1 X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 RODNEY FERGUSON PRESIDENT AND CEO 501398 0 59100 0 0 0 46000 0 17792 0 624290 0 0 0 MICHAEL MYERS SR VP - CFO & TREASURER 247600 0 35284 0 0 0 24228 0 16903 0 324015 0 0 0 JOYJIT DEB ROY SR. VICE PRES, PROGRAMS 246591 0 35143 0 0 0 24538 0 16903 0 323175 0 0 0 MARY JANE JAMAR VP AND CHRO 219359 0 27988 0 0 0 21634 0 7688 0 276669 0 0 0 MALIKA MAGAGULA VP OPERATIONS 212990 0 0 0 0 0 21000 0 7688 0 241678 0 0 0 JOHN ADAM DORR CHIEF OF PARTY 200897 0 12000 0 78293 0 18818 0 18804 0 328812 0 0 0 CHRISTOPHER GALLAGHER SVP BUS DEV & EXTERNAL AFF 255157 0 35000 0 0 0 25388 0 16903 0 332448 0 0 0 BRAULIO OLIVEIRA CHIEF INFORMATION OFFICER 242176 0 23250 0 600 0 23876 0 13145 0 303047 0 0 0 NIMISH JHAVERI CHIEF OF PARTY 182295 0 0 0 108516 0 17980 0 14403 0 323194 0 0 0 WILLIAM DAVID SPARKS CHIEF OF PARTY 202592 0 0 0 103733 0 20159 0 31179 0 357663 0 0 0 PART I, LINE 1A WINROCK ALLOWS EXECUTIVE MANAGEMENT TO FLY BUSINESS CLASS ON INTERNATIONAL TRIPS WHEN THE ONE-WAY, TOTAL FLIGHT TIME BETWEEN COUNTRY OF ORIGIN AND DESTINATION COUNTRY IS EIGHT HOURS OR MORE. FIRST CLASS TRAVEL IS NOT ALLOWED, BUT WAS PERMITTED FOR 11 TRIPS DURING 2018 IN ACCORDANCE WITH POLICY BECAUSE THE AIRLINE DID NOT MAKE A DISTINCTION IN FARE BETWEEN BUSINESS CLASS AND FIRST CLASS. STAFF, CONSULTANTS AND VOLUNTEERS MAY UTILIZE BUSINESS CLASS TRAVEL FOR MEDIAL AND EMERGENCY EVACUATIONS AND IN OTHER EXTRAORDINARY CIRCUMSTANCES WITH SUPERVISOR APPROVAL. A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KA99 2014-09-08 185000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB23 2014-09-08 195000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB31 2014-09-08 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB49 2014-09-08 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 185000 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB56 2014-09-08 205000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB64 2014-09-08 215000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB72 2014-09-08 220000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB80 2014-09-08 1250000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB98 2014-09-08 1520000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 0 0 0 0 A 0 0 0 0 0 0 0 A 0 0 0 0 0 0 0 0 0 A 0 PETER O'NEILL WINROCK BOARD MEMBER AND BOARD MEMBER FOR ROCKEFELLER CAPITAL MANAGEMENT 186313 INVESTMENT ADVISORY FEES 0 MIKE MYERS WINROCK OFFICER AND BOARD MEMBER AT SOUTHERN BANCORP 150293 INTEREST EARNED ON DEPOSITS 0 FORM 990 PART I LINE 5 AND PART V LINE 2A: THE EMPLOYEE COUNT ON PART I LINE 5 IS THE WORLDWIDE EMPLOYEE COUNT, INCLUDING IN-COUNTRY EMPLOYEES. THE COUNT ON PART V LINE 2A IS FROM THE FORM W-3 AND INCLUDES ONLY US EMPLOYEES. FORM 990, PART VI, SECTION A, LINE 2 BOARD MEMBERS PETER O'NEILL AND WILL ROCKEFELLER ARE RELATED. FORM 990, PART VI, SECTION B, LINE 11B FINANCE MANAGEMENT AND THE TAX PREPARER PRESENTED THE FORM 990 TO THE AUDIT COMMITTEE. AT THEIR RECOMMENDATION, ALL MEMBERS OF THE BOARD WERE PROVIDED A COMPLETE COPY PRIOR TO FILING FOR THE OPPORTUNITY TO REVIEW THE ACCURACY AND COMPLETENESS OF THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, BOARD MEMBERS, EXECUTIVE TEAM MEMBERS, AND ALL EMPLOYEES ARE FURNISHED THE CODE OF CONDUCT (CODE), WHICH INCLUDES THE CONFLICTS OF INTEREST POLICY. EACH BOARD AND STAFF MEMBER IS REQUIRED TO (I) CERTIFY THAT THEY HAVE READ, UNDERSTAND, AND WILL COMPLY WITH THE CODE AND (II) PURSUANT TO THE POLICY, IDENTIFY AND DISCLOSE ANY KNOWN OR POTENTIAL CONFLICTS OF INTERESTS FOR APPROVAL BY THE COMPLIANCE OFFICE PRIOR TO PROCEEDING. FOR DIRECTORS, OFFICERS, AND THE EXECUTIVE TEAM, THE COMPLIANCE OFFICE FURTHER PROVIDES A DISCLOSURE FORM TO EACH INDIVIDUAL, ANNUALLY, TO CERTIFY THAT NO CONFLICTS HAVE ARISEN IN THE PAST YEAR. EVERY CONFLICT DISCLOSURE IS REVIEWED THE COMPLIANCE OFFICE TO DETERMINE THE IMPACT ON WINROCK, WHETHER THE ACTION CAN PROCEED, AND APPROPRIATE MITIGATION STEPS, IF NECESSARY. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS USES COMPENSATION SURVEYS AND OTHER RESOURCES TO DETERMINE THE APPROPRIATE COMPENSATION FOR THE CEO. THE DECISION BY THE COMPENSATION COMMITTEE IS THEN APPROVED BY THE FULL BOARD BEFORE BEING FINALIZED. THE COMPENSATION COMMITTEE ALSO REVIEWS ANNUALLY THE COMPENSATION OF OFFICERS. FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION ARE MADE PUBLIC THROUGH THE ARKANSAS SECRETARY OF STATE. ARTICLES OF INCORPORATION AND THE BYLAWS MAY BE DIRECTLY REQUESTED FROM THE BOARD SECRETARY AT WINROCK INTERNATIONAL'S CORPORATE MAILING ADDRESS. THE CONFLICTS OF INTEREST POLICY IS AVAILABLE UPON REQUEST TO THE BOARD SECRETARY OR CHIEF HUMAN RESOURCES OFFICER, BOTH AT THE CORPORATE MAILING ADDRESS. THE AUDITED INSTITUTIONAL FINANCIAL STATEMENTS AND COMPLIANCE AUDIT UNDER UNIFORM GUIDANCE ARE AVAILABLE UPON REQUEST TO THE CHIEF FINANCIAL OFFICER AT THE CORPORATE MAILING ADDRESS. THE ARKANSAS REGIONAL INNOVATION HUB 201 E BROADWAY ST NORTH LITTLE ROCK AR 72114 463376034 TO INCREASE INNOVATIVE AND ENTREPRENEURIAL ACTIVITY IN ARKANSAS AR 501(C)(3) LINE 12A WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 THE ARKANSAS REGIONAL INNOVATION HUB D 849723 CASH