2019-12-20T14:52:18-06:00 2019-06-30 381357951 PLANTE & MORAN PLLC 10 S RIVERSIDE PLAZA 9TH FLOOR CHICAGO IL 60606 990 2018-07-01 362167814 THE NEWBERRY LIBRARY NEWB 3129439090 60 WEST WALTON STREET CHICAGO IL 60610 JAMES P BURKE JR VP FOR FINANCE/ADMINISTRATION 3129439090 2019-12-18 1 KIMBERLY A HAUMANN P00546491 3122071040 2019-12-18 68.231.17.128 2019-12-18 13:17:21 CS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 F18F835EE371A329476A90C9A25407CADD21E201 2018 2020-03-31 21:24:44Z THE NEWBERRY DAVID SPADAFORA 60 WEST WALTON STREET CHICAGO IL 60610 17248725 0 X WWW.NEWBERRY.ORG X 1892 IL THE NEWBERRY LIBRARY IS AN INDEPENDENT RESEARCH LIBRARY DEDICATED TO THE ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE, ESPECIALLY IN THE HUMANITIES. THE NEWBERRY LIBRARY ACQUIRES AND PRESERVES A BROAD ARRAY OF SPECIAL COLLECTIONS RESEARCH MATERIALS RELATING TO EUROPE AND THE AMERICAS. 38 38 144 285 0 60771 12735741 7497154 1097546 1407929 19758307 324564 25756 33245 33617350 9262892 1014598 1084263 0 0 6639151 6745438 0 0 793094 4017508 4864545 11671257 12694246 21946093 -3431354 98606219 98967894 8666279 8962866 89939940 90005028 X THE NEWBERRY LIBRARY, OPEN TO THE PUBLIC WITHOUT CHARGE, IS AN INDEPENDENT RESEARCH LIBRARY DEDICATED TO THE ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE, ESPECIALLY IN THE HUMANITIES. THE NEWBERRY LIBRARY ACQUIRES AND PRESERVES A BROAD ARRAY OF SPECIAL COLLECTIONS RESEARCH MATERIALS RELATING TO THE CIVILIZATIONS OF EUROPE AND THE AMERICAS. IT PROMOTES AND PROVIDES FOR THEIR EFFECTIVE USE, FOSTERING RESEARCH, TEACHING, PUBLICATION, AND LIFE-LONG LEARNING, AS WELL AS CIVIC ENGAGEMENT. IN SERVICE TO ITS DIVERSE COMMUNITY, THE NEWBERRY LIBRARY ENCOURAGES INTELLECTUAL PURSUIT IN AN ATMOSPHERE OF FREE INQUIRY AND SUSTAINS THE HIGHEST STANDARDS OF COLLECTION PRESERVATION, BIBLIOGRAPHIC ACCESS AND READER SERVICES. 0 0 8497946 1084263 1409204 THE NEWBERRY LIBRARY IS AN INDEPENDENT RESEARCH LIBRARY DEDICATED TO THE ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE, ESPECIALLY IN THE HUMANITIES. AS SUCH, IT PROVIDES MATERIALS TO THE PUBLIC AS WELL AS FELLOWSHIPS FOR RESEARCH, TEACHER PROGRAMS, EXHIBITIONS AND ADULT SEMINARS.LIBRARY SERVICES AND COLLECTION DEVELOPMENT STATISTICS:CATALOG RECORDS ADDED: 172,435 (OVER 160,000 ELECTRONIC RESOURCES)ITEMS CATALOGED: 6,550LINEAR FEET OF MANUSCRIPTS PROCESSED: 361.3PAGES ADDED TO THE INTERNET ARCHIVE: 26,877CONSERVATION TREATMENTS COMPLETED: 2,041READERS SIGNED IN: 4,480MATERIALS PAGED TO READERS: 29,103 REFERENCE INQUIRIES ANSWERED: 12,472 INSTRUCTIONAL SESSIONS OFFERED: 366ATTENDEES AT INSTRUCTIONAL SESSIONS: 5,670 LONG-TERM FELLOWS IN RESIDENCE: 12SHORT-TERM FELLOWS IN RESIDENCE: 41TEACHER DEVELOPMENT PROGRAM PARTICIPANTS: 1,159ATTENDANCE AT FREE GALLERY EXHIBITIONS: 23,521ADULT SEMINARS OFFERED: 143ADULT SEMINAR PARTICIPANTS: 2,213FREE PUBLIC PROGRAMS OFFERED: 65 8497946 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 0 1 0 0 0 1 0 1 0 1 0 0 0 1 1 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 1 267 0 1 144 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 38 38 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 IL ME MI NJ NY OH PA UT WI X LAURA MCGRADY 3122553567 60 WEST WALTON STREET CHICAGO IL 60610 DAVID C HILLIARD CHAIR 1.00 X X 0 0 0 MARK HAUSBERG VICE CHAIR 1.00 X X 0 0 0 DAVID E MCNEEL VICE CHAIR 1.00 X X 0 0 0 MICHAEL POPE VICE CHAIR 1.00 X X 0 0 0 PETER S WILLMOTT TREASURER 1.00 X X 0 0 0 ROBERT WEDGEWORTH JR SECRECTARY 1.00 X X 0 0 0 JOAN BRODSKY TRUSTEE 1.00 X 0 0 0 FRANK CICERO JR TRUSTEE 1.00 X 0 0 0 LOUISE R GLASSER TRUSTEE 1.00 X 0 0 0 MADELEINE CONDIT GLOSSBERG TRUSTEE 1.00 X 0 0 0 RICHARD GODFREY TRUSTEE 1.00 X 0 0 0 VICTORIA J HERGET TRUSTEE 1.00 X 0 0 0 ROBERT HOLLAND TRUSTEE 1.00 X 0 0 0 ROBERT H JACKSON TRUSTEE 1.00 X 0 0 0 KATHRYN GIBBONS JOHNSON TRUSTEE - PART YEAR 1.00 X 0 0 0 LAWRENCE LIPKING TRUSTEE 1.00 X 0 0 0 SONYA MALUNDA TRUSTEE 1.00 X 0 0 0 JAMES H MARROW TRUSTEE 1.00 X 0 0 0 ANDREW MCGAAN TRUSTEE 1.00 X 0 0 0 ANDREW MCNALLY IV TRUSTEE 1.00 X 0 0 0 CYNTHIA E MITCHELL TRUSTEE 1.00 X 0 0 0 JANIS W NOTZ TRUSTEE 1.00 X 0 0 0 GAIL KERN PASTER TRUSTEE 1.00 X 0 0 0 JEAN PERKINS TRUSTEE 1.00 X 0 0 0 JOHN P ROMPON TRUSTEE 1.00 X 0 0 0 BURTON X ROSENBERG TRUSTEE 1.00 X 0 0 0 MARTHA T ROTH TRUSTEE 1.00 X 0 0 0 RUDY L RUGGLES JR TRUSTEE 1.00 X 0 0 0 KARLA SCHERER TRUSTEE 1.00 X 0 0 0 THOMAS C SHEFFIELD JR TRUSTEE 1.00 X 0 0 0 DAVID B SMITH JR TRUSTEE 1.00 X 0 0 0 HAROLD B SMITH TRUSTEE 1.00 X 0 0 0 NANCY M SPAIN TRUSTEE 1.00 X 0 0 0 CARL STERN TRUSTEE 1.00 X 0 0 0 CELINE FITZGERALD TRUSTEE 1.00 X 0 0 0 GREG BARTON TRUSTEE 1.00 X 0 0 0 EDITH RASMUSSEN AHERN TRUSTEE 1.00 X 0 0 0 JEAN O'BRIEN TRUSTEE 1.00 X 0 0 0 DAVID C SPADAFORA PRESIDENT 35.00 X 310321 0 94583 JAMES P BURKE JR VP - FINANCE & ADMINISTRAT 35.00 X 196217 0 24935 ALICE D SCHREYER ROGER & JULIE BASKES VP FO 35.00 X 182577 0 24319 DONALD B HUNT VP FOR RESEARCH & ACADEMIC 35.00 X 139967 0 21178 KATY E ORENCHUK VP FOR DEVELOPMENT 35.00 X 106569 0 30004 935651 0 195019 5 0 1 0 BULLEY & ANDREWS 1755 W ARMITAGE AVE CHICAGO IL 60622 CONSTRUCTION 8188966 ANN BEHA ARCHITECTS INC 33 KINGSTON BOSTON MA 02111 ARCHITECTURAL 332971 SECURITAS SECURITY SERVICES 150 S WACKER DR CHICAGO IL 60606 SECURITY 175693 ABM JANITORIAL SERVICES 75 REMITTANCE DR CHICAGO IL 60675 JANITORIAL 173271 SCHINDLER ELEVATOR PO BOX 93050 CHICAGO IL 60673 ELEVATOR 142461 7 561244 304300 577274 6054336 17000 7497154 SERVICES TO THE PUBLIC 900099 428366 428366 REGISTRATIONS 900099 404381 404381 FACILITY RENTAL 532000 391215 391215 BOOK ROYALTIES 511130 109857 109857 SUBSCRIPTIONS 900099 74110 74110 1407929 1613930 1613930 6504901 7794267 -1289366 -1289366 -1289366 198625 304300 191566 7059 7059 INTEREST ON EMPLOYEE LOAN 900099 16307 16307 PARKING FEES 812930 8604 8604 MISCELLANEOUS INCOME 900099 1275 1275 26186 9262892 1409204 0 356534 1033401 1033401 50862 50862 865627 217508 648119 4566315 2941398 1117277 507640 242150 144377 72285 25488 748462 470117 197694 80651 322884 210275 76666 35943 167997 162997 5000 31142 6044 25098 55200 55200 105561 66090 39471 348834 296431 18481 33922 93626 46741 46885 373330 279375 77152 16803 117275 96829 20446 952277 727519 192480 32278 218842 215244 3406 192 3916 3916 138421 138421 1269167 964694 255229 49244 6774 6774 SUPPLIES/MINOR EQUIPMEN 450891 202267 243058 5566 BOOK COLLECTIONS 435253 435253 0 0 MISCELLANEOUS 86003 86003 OTHER HR EXPENSES 10036 3602 6067 367 12694246 8497946 3403206 793094 456809 666610 2976238 1486457 3653 7599 374772 555581 35986 55477 30776 45844 48437737 29703706 15322443 18734031 78730604 76784607 674938 631688 98606219 98967894 5634195 2257525 0 157117 2741927 2547883 0 3750000 290157 250341 8666279 8962866 X 32775631 37954527 24902046 18416095 32262263 33634406 89939940 90005028 98606219 98967894 X -3431354 3699572 -159877 -43253 X 0 1 X 1 0 X 5549938 4948400 8272666 12735741 7192854 38699599 5549938 4948400 8272666 12735741 7192854 38699599 5760317 32939282 1669928 1454414 1356315 1642493 1613930 7737080 24536 25467 35045 22113 26186 133347 46570026 7315409 0.70730 0.70410 X SCHEDULE A, PART II, LINE 10: OTHER INCOME INCLUDES INTEREST ON EMPLOYEE LOAN AND PARKING FEES. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 63595042 452250 2979064 654338 66372018 60427526 1271000 3107298 1210782 63595042 50447544 3544945 7568997 1133960 60427526 53617676 2000 -2172067 1000065 50447544 61597000 415000 -240000 2204000 59568000 0.41170 0.50670 0.08160 0 0 37855988 22373784 15482204 10581749 7329922 3251827 18734031 FTSE NON-U.S. GLOBAL ALL CAP MARKET INDEX-NL 22813374 F TOTAL BOND MARKET INDEX-NL 9075823 F U.S. TOTAL MARKET INDEX-NL 23195987 F PRIMUS HIGH YIELD BOND FUND, LP 3488805 F BLACK ROCK 163307 F JP MORGAN MULTI-STRATEGY FUND II, LTD 5392000 F MACKAY SHIELDS CORE PLUS OPPORTUNITIES 9788410 F PIMCO COMMODITY ALPHA FUND 2866901 F 76784607 ACCRUED GIFT ANNUITY 250341 250341 13110777 3699572 -43253 3656319 9454458 -191566 -191566 9262892 12885812 191566 191566 12694246 0 12694246 PART III, LINE 1A: THE VALUE OF THE NEWBERRY LIBRARY'S COLLECTION IS EXCLUDED FROM THE STATEMENTS OF FINANCIAL POSITION. AN ADDITION TO THE NEWBERRY LIBRARY'S COLLECTION IS MADE EITHER BY A DONATION FROM A BENEFACTOR OR THROUGH A PURCHASE FROM LIBRARY ACQUISITION FUNDS. THE NEWBERRY LIBRARY ACQUISITION FUNDS MAY BE CLASSIFIED AS PERMANENTLY RESTRICTED, FOR WHICH ONLY THE INCOME EARNED ON PRINCIPAL BALANCES MAY BE USED FOR ACQUISITIONS; TEMPORARILY RESTRICTED, FOR WHICH BOTH THE PRINCIPAL AND EARNED INCOME MAY BE USED FOR ACQUISITIONS; OR UNRESTRICTED, REPRESENTING FUNDS DESIGNATED BY THE BOARD TO BE USED FOR ACQUISITIONS. THE SALE OF HOLDINGS FROM THE NEWBERRY LIBRARY'S COLLECTION IS PERFORMED IN ACCORDANCE WITH THE NEWBERRY LIBRARY POLICY. PROCEEDS FROM THE SALE OF COLLECTION ITEMS ARE CLASSIFIED AS UNRESTRICTED OR TEMPORARILY RESTRICTED FOR PURCHASE OF ADDITIONAL COLLECTION ITEMS. THE NEWBERRY LIBRARY'S COLLECTION IS PROTECTED, CARED FOR, AND PRESERVED; AND IS SUBJECT TO STRICT POLICIES GOVERNING ITS USE. THE VALUE OF THE NEWBERRY LIBRARY'S COLLECTION IS NOT SUBJECT TO REASONABLE ESTIMATION. PART III, LINE 4: OUR COLLECTIONS INCLUDE 1.6 MILLION BOOKS, 5 MILLION MANUSCRIPT PAGES AND 0.6 MILLION HISTORIC MAPS. THESE NON-CIRCULATING COLLECTIONS ARE FREE AND OPEN TO THE PUBLIC FOR USE IN SCHOLARLY RESEARCH AND SPAN THE HISTORY AND CULTURE OF WESTERN EUROPE AND THE AMERICAS (MIDDLE AGES - WWII). COLLECTIONS SPECIALIZE IN CARTOGRAPHY, AMERICAN INDIANS, CHICAGO, EUROPE, LITERATURE, PRINTING AND GENEALOGY. PART V, LINE 4: THERE ARE ENDOWMENTS THAT SUPPORT THE PURCHASE OF LIBRARY MATERIALS, SUPPORT FOR CERTAIN DIVISIONS OF THE LIBRARY AND SUPPORT FOR UNRESTRICTED PURPOSES. PART XI, LINE 2D - OTHER ADJUSTMENTS: DEFERRED GIVING ARRANGEMENT -43,253. PART XI, LINE 4B - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES -191,566. PART XII, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 191,566. 0 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION FELLOWSHIP/HONORARIUM 9262 EUROPE 0 0 GRANTS TO RECIPIENTS LOCATED IN REGION FELLOWSHIP/HONORARIUM 41600 0 0 0 0 0 0 50862 0 50862 FELLOWSHIPS/HONORARIUMS NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 5 9262 CHECK FELLOWSHIPS/HONORARIUMS EUROPE 12 41600 CHECK 0 0 0 0 0 0 PART I, LINE 3: EACH GRANT HAS A BUDGET AND A PROGRAM PLAN. THE VICE PRESIDENT FOR FINANCE/ADMINISTRATION AND THE CONTROLLER MONITOR THE BUDGET ON A MONTHLY BASIS. PART III, COLUMN (A) REGION: NORTH AMERICA (A) TYPE OF GRANT OR ASSISTANCE: STIPENDS - FELLOWSHIP STIPENDS FROM THE NEWBERRY LIBRARY ARE INTENDED TO BE SPENT AS THE RECIPIENTS DEEM NECESSARY. GENERALLY, THEY ARE USED BY FELLOWS TO SUPPORT HOUSING, FOOD AND OTHER COSTS ASSOCIATED WITH A PERIOD OF RESEARCH AT THE LIBRARY. REGION: EUROPE (A) TYPE OF GRANT OR ASSISTANCE: STIPENDS - FELLOWSHIP STIPENDS FROM THE NEWBERRY LIBRARY ARE INTENDED TO BE SPENT AS THE RECIPIENTS DEEM NECESSARY. GENERALLY, THEY ARE USED BY FELLOWS TO SUPPORT HOUSING, FOOD AND OTHER COSTS ASSOCIATED WITH A PERIOD OF RESEARCH AT THE LIBRARY. BOOK FAIR 173225 4600 168625 18220 103076 AWARD DINNER 329700 299700 30000 70270 502925 304300 198625 18220 173346 191566 7059 1 HONORARIUMS/FELLOWSHIPS 421 1033401 PART I, LINE 2: EACH GRANT HAS A BUDGET AND A PROGRAM PLAN. THE VICE PRESIDENT FOR FINANCE/ADMINISTRATION AND THE CONTROLLER MONITOR THE BUDGET ON A MONTHLY BASIS. PART III, COLUMN (A): (A) TYPE OF GRANT OR ASSISTANCE: STIPENDS - FELLOWSHIP STIPENDS FROM THE NEWBERRY LIBRARY ARE INTENDED TO BE SPENT AS THE RECIPIENTS DEEM NECESSARY. GENERALLY, THEY ARE USED BY FELLOWS TO SUPPORT HOUSING, FOOD, AND OTHER COSTS ASSOCIATED WITH A PERIOD RESEARCH AT THE LIBRARY. X X X X 0 0 0 0 0 0 0 1 0 DAVID C SPADAFORA PRESIDENT 305321 0 5000 0 0 0 58744 0 35839 0 404904 0 0 0 JAMES P BURKE JR VP - FINANCE & ADMINISTRAT 196217 0 0 0 0 0 3467 0 21468 0 221152 0 0 0 ALICE D SCHREYER ROGER & JULIE BASKES VP FO 182577 0 0 0 0 0 3268 0 21051 0 206896 0 0 0 DONALD B HUNT VP FOR RESEARCH & ACADEMIC 139967 0 0 0 0 0 3285 0 17893 0 161145 0 0 0 PART I, LINE 7 THE PRESIDENT RECEIVED A BONUS BASED ON PERFORMANCE. THE BONUS WAS APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE BONUS WAS NOT BASED ON ANY NUMERICAL CALCULATION. DAVID SPADAFORA PRESIDENT MORTGAGE X 700000 555581 0 1 1 555581 X 1 0 0 1 0 PART I, COLUMN (B): THE NUMBER OF CONTRIBUTIONS COLUMN REPRESENTS THE NUMBER OF CONTRIBUTIONS RECEIVED. PART I, LINE 33: THE NEWBERRY LIBRARY DOES NOT REPORT CONTRIBUTIONS OF COLLECTIBLES. FORM 990, PART VI, SECTION B, LINE 11B THE FINANCE COMMITTEE OF THE BOARD REVIEWS AND APPROVES FORM 990. A COMPLETE COPY OF THE FORM 990 IS SENT TO THE ENTIRE BOARD BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C MEMBERS OF THE BOARD OF TRUSTEES AND ANY OF ITS COMMITTEES AND MEMBERS OF THE STAFF OF THE NEWBERRY LIBRARY SHALL DISCLOSE ANY CONFLICT OF INTEREST ON AN ANNUAL BASIS BY COMPLETING AND SUBMITTING THE NEWBERRY LIBRARY CONFLICT OF INTEREST DISCLOSURE FORM. THERE IS A FOLLOW-UP TO ENSURE RECEIPT OF THE FORMS FROM ALL THE AFOREMENTIONED INDIVIDUALS. FORM 990, PART VI, SECTION B, LINE 15A THE BY-LAWS OF THE NEWBERRY LIBRARY PROVIDE (IN SECTION 3 OF ARTICLE V) THAT THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES "SHALL AT LEAST ANNUALLY REVIEW THE COMPENSATION OF THE PRESIDENT AND THE LIBRARIAN." WITH RESPECT TO THE NEWBERRY LIBRARY'S ACCOUNTING YEAR WHICH ENDED JUNE 30, 2019, THE EXECUTIVE COMMITTEE, ACTING IN EXECUTIVE SESSION, SET THE COMPENSATION OF THE PRESIDENT AND THE LIBRARIAN. IN SETTING THAT COMPENSATION THE EXECUTIVE COMMITTEE CONSIDERED THE PERFORMANCE OF THE PRESIDENT AND LIBRARIAN TO THAT TIME AS WELL AS COMPARATIVE INFORMATION AVAILABLE TO IT OF THE COMPENSATION OF CHIEF EXECUTIVE OFFICERS OF PEER INSTITUTIONS AND OTHER NON-PROFIT ORGANIZATIONS IN THE CHICAGO AREA. THE EXECUTIVE COMMITTEE IS AWARE OF THE REQUIREMENTS WITH RESPECT TO THE REVIEW OF EXECUTIVE COMPENSATION WHICH ARE SET OUT IN THE INSTRUCTIONS TO INTERNAL REVENUE SERVICE FORM 990 AND BELIEVES IT HAS FULFILLED SUCH REQUIREMENTS WITH RESPECT TO THE NEWBERRY LIBRARY'S YEAR ENDED JUNE 30, 2019. THE EXECUTIVE COMMITTEE HAS DESIGNATED ITSELF AS THE "COMPENSATION COMMITTEE" AS THAT TERM IS USED IN SAID INSTRUCTIONS. NO INDEPENDENT COMPENSATION CONSULTANT HAS ADVISED THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 THE NEWBERRY LIBRARY MAKES ALL OF ITS GOVERNING DOCUMENTS AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: DEFERRED GIVING ARRANGEMENTS -43,253.