2019-05-31T14:38:43-05:00 2018-09-30 420714325 RSM US LLP 1861 INTERNATIONAL DRIVE SUITE 400 MCLEAN VA 22102 990 2017-10-01 237380563 RARE RARE 7035225070 1310 NORTH COURTHOUSE RD NO 110 ARLINGTON VA 22201 NIELS CRONE COO 7035225070 2019-05-31 1 KRISTEN BARNETT CPA P01234578 7033366400 66.98.98.9 2019-05-31 08:50:27 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 9C094809E1B7091F026DF4A8AB44F39DF27D1C5E 2017 2019-02-21 02:37:17Z BRETT JENKS 1310 NORTH COURTHOUSE RD NO 110 ARLINGTON VA 22201 22761461 0 X WWW.RARE.ORG X 1974 VA RARE INSPIRES CHANGE SO PEOPLE AND NATURE THRIVE. 19 17 104 2444 277954 -331004 32748015 21394396 0 0 176832 233881 0 319230 32924847 21947507 1152245 1419471 0 0 14645129 13846617 0 0 2161120 9309061 9250640 25106435 24516728 7818412 -2569221 28404430 36181516 7913886 18440811 20490544 17740705 X RARE INSPIRES CHANGE SO PEOPLE AND NATURE THRIVE. WE BELIEVE THAT FOR EVERY ENVIRONMENTAL CHALLENGE ON THE PLANET TODAY, PEOPLE ARE BOTH THE PROBLEM AND THE SOLUTION. TO SOLVE THESE CHALLENGES, WE MUST START BEHAVING DIFFERENTLY. THE LIVES AND LIVELIHOODS OF THE WORLD'S MOST 0 0 11613443 659614 0 FISH FOREVER:FISH FOREVER IS RARE'S COMPREHENSIVE AND COMMUNITY-LED SOLUTION FOR REVITALIZING COASTAL MARINE HABITATS, SUCH AS CORAL REEFS, MANGROVES AND SEAGRASSES, PROTECTING BIODIVERSITY, AND SECURING THE LIVELIHOODS OF FISHER HOUSEHOLDS AND THEIR COMMUNITIES. IT USES AN INNOVATIVE APPROACH TO ADDRESS COASTAL OVERFISHING- BY EMPOWERING COMMUNITIES THROUGH CLEAR RIGHTS, STRONG GOVERNANCE, LOCAL LEADERSHIP, AND PARTICIPATORY MANAGEMENT- THAT PROTECTS ESSENTIAL FISH HABITAT AND REGULATES FISHING ACTIVITIES.RARE'S VISION IS TO TRANSFORM THE MANAGEMENT OF COASTAL FISHERIES BY PAIRING A PROVEN LOCAL SOLUTION, COMMUNITY-BASED MANAGEMENT, WITH A UNIQUE DELIVERY METHOD BASED ON BEHAVIORAL INSIGHTS AND SOCIAL MARKETING PRINCIPLES TO ENGAGE AND MOBILIZE THOSE COMMUNITIES. OUR WORK LEADS TO MORE ABUNDANT MARINE LIFE AND HEALTHIER COASTAL HABITATS. FOR THE COMMUNITIES WE SERVE, OUR WORK HELPS ENSURE MORE SUSTAINABLE FOOD SUPPLY, IMPROVED SOCIAL EQUITY, AND GREATER RESILIENCE TO EXTERNAL IMPACTS-ESPECIALLY THOSE RELATED TO CLIMATE CHANGE.IN 2018, RARE, THROUGH FISH FOREVER, UNDERTOOK A COMPREHENSIVE PROGRAM REVIEW OF 41 PROJECT SITES IN BRAZIL, INDONESIA, AND THE PHILIPPINES ENCOMPASSING 260 COMMUNITIES, 35,000 FISHERS, AND 570,000 PEOPLE, AND SYNTHESIZING SYNTHESIZED DATA FROM 2,400 IN-WATER SURVEYS OF CORAL REEFS, 15,000 INDIVIDUAL AND HOUSEHOLD SURVEYS, AND THE LANDING RECORDS FROM NEARLY 56,000 FISHING TRIPS. THE PROGRAM RESULTED IN 60 MANAGED ACCESS WITH RESERVE AREAS REPRESENTING 600,000 HECTARES OF COASTAL WATERS AND 27,000 HECTARES OF FULLY-PROTECTED RESERVES. AT 97% OF THE SITES, THE AMOUNT OF FISH REMAINED STABLE OR INCREASED. CORAL COVER REMAINED STABLE OR INCREASED INSIDE RESERVES AT 80% OF THE SITES. FIFTY-ONE LEGALLY-RECOGNIZED DECISION-MAKING BODIES REPRESENTING 259 COMMUNITIES WERE STRENGTHENED OR ESTABLISHED TO OVERSEE MANAGED ACCESS WATERS, RESERVES, AND FISHING ACTIVITIES. THE PROGRAM INCREASED PARTICIPATION IN FISHERIES MANAGEMENT AND CONFIDENCE IN FOOD AND ECONOMIC SECURITY; STRENGTHENED POLICIES AND GOVERNANCE TO PROVIDE A CLEAR PATH TO SCALE; AND BUILT RECOGNITION THAT SUSTAINABLE SMALL-SCALE FISHERIES ADDRESS AT LEAST SIX OF THE UN'S SUSTAINABLE DEVELOPMENT GOALS.IN 2018, FISH FOREVER ALSO EXPANDED TO GUATEMALA, BELIZE, MEXICO, AND HONDURAS, BRINGING OUR COMPREHENSIVE APPROACH TO THE COMMUNITIES ALONG THE MESOAMERICAN REEF. 4426516 759857 0 CENTER FOR BEHAVIOR AND THE ENVIRONMENT:THE CENTER FOR BEHAVIOR & THE ENVIRONMENT IS TRANSLATING SCIENCE INTO PRACTICE AND LEVERAGING THE BEST BEHAVIORAL SCIENCE INSIGHTS AND DESIGN THINKING APPROACHES TO TACKLE SOME OF THE MOST CHALLENGING ENVIRONMENTAL ISSUES. GLOBAL UNDERSTANDING OF HUMAN BEHAVIOR IS EVOLVING QUICKLY. NEW INSIGHTS ACROSS ECONOMICS, PSYCHOLOGY, EVOLUTIONARY BIOLOGY, NEUROSCIENCE, AND MORE HAVE TRANSFORMED OUR UNDERSTANDING OF HOW PEOPLE MAKE DECISIONS. THROUGH PARTNERSHIPS WITH LEADING ACADEMIC AND RESEARCH INSTITUTIONS, WE ARE BRINGING THE RESEARCH INTO THE FIELD TO CONNECT THE NEXT GENERATION OF BEHAVIORAL SCIENTISTS WITH PRACTITIONERS ON THE FRONT LINES OF OUR GREATEST ENVIRONMENTAL CHALLENGES.IN 2018, THE CENTER INITIATIVE "SOLUTION SEARCH" (A WORLDWIDE CONTEST DESIGNED TO SOURCE, REWARD, AND PROMOTE INNOVATIVE CONSERVATION SOLUTIONS BUILT ON BEHAVIORAL SCIENCE) LAUNCHED ITS LATEST CONTEST, "CLIMATE CHANGE NEEDS BEHAVIOR CHANGE," WHICH HAD 200 ENTRIES FROM OVER 40 COUNTRIES. THE CENTER PUBLISHED A NEW REPORT, "MAKING THE CASE FOR BEHAVIORAL SOLUTIONS TO REDUCE GLOBAL WARMING." FURTHER, THE CENTER INITIATIVE "CAMPAIGNING FOR CONSERVATION" TRAINED 326 CONSERVATION PROFESSIONALS THROUGH 16 WORKSHOPS IN 11 COUNTRIES. 2801451 0 INNOVATIVE FINANCE:RARE'S SUSTAINABLE MARKETS AND INNOVATIVE FINANCE GROUP OFFERS A SUITE OF INVESTMENT VEHICLES THAT DEPLOY PRIVATE CAPITAL AND PUBLIC FINANCE TOWARDS MANAGING UNDERSERVED NATURAL RESOURCES, CONVERTING ENTERPRISES TO SUSTAINABLE BUSINESS MODELS, AND FINANCING STAKEHOLDERS WILLING TO PARTICIPATE IN RELEVANT VALUE CHAINS. THESE INVESTMENTS CREATE VALUE FOR COMMUNITIES THAT TRANSITION TO SUSTAINABLE BEHAVIORS, PRODUCE MEASURABLE CONSERVATION IMPACTS, AND GENERATE COMMERCIAL FINANCIAL RETURNS FOR INVESTORS.BY COMBINING INNOVATIVE FINANCE WITH OUR COMMUNITY ENGAGEMENT EXPERTISE, RARE IS UNIQUELY POSITIONED TO SCALE CONSERVATION SOLUTIONS IN THE KEY AREAS OF COASTAL FISHERIES, WATERSHED CONSERVATION, AND SUSTAINABLE AGRICULTURE- AND AS A RESULT, CONTRIBUTE TO OUR LONG-TERM GOALS OF IMPROVING ECOSYSTEM HEALTH, CLIMATE RESILIENCE, FOOD SECURITY, AND THE INCOMES OF VULNERABLE COMMUNITIES IN THE DEVELOPING TROPICS.IN 2018, RARE CLOSED THE MELOY FUND, THE FIRST-OF-ITS-KIND IMPACT FUND INVESTING IN FISHING-RELATED ENTERPRISES THAT SUPPORT SUSTAINABLE COASTAL FISHERIES IN THE PHILIPPINES AND INDONESIA. THE MELOY FUND REPRESENTS A PORTFOLIO OF INVESTMENTS THAT OFFERS SIGNIFICANT CONSERVATION IMPACTS WHILE GENERATING FINANCIAL RETURNS. THE FUND CLOSED WITH $22M IN INVESTMENTS. RARE IS ALSO RARE IS WORKING WITH PRIVATE-SECTOR PARTNERS AND LOCAL ORGANIZATIONS TO DESIGN, TEST, AND SCALE MULTI-LOCAL INTERVENTIONS IN THE AGRICULTURE AND FISHERIES SECTORS. IN THE PHILIPPINES, FOR EXAMPLE, FISHERS RECEIVED A 20 PERCENT PREMIUM FROM TOP HOTELS AND RESTAURANTS FOR HARVESTING THEIR CATCH RESPONSIBLY. IN INDONESIA, RARE HELPED SEAWEED FARMERS IMPROVE QUALITY AND YIELDS, LEADING TO A DOUBLING OF INCOMES IN LESS THAN A YEAR. IN CHINA, RARE HAS DEVELOPED AN INNOVATIVE ECONOMIC MODEL TO HELP FARMERS ACHIEVE FINANCIAL SUSTAINABILITY AND INCREASE THEIR NET INCOMES. 1181483 WATERSHED CONSERVATION PROGRAM:THE WATERSHED CONSERVATION PROGRAM IN COLOMBIA AIMS TO MANAGE AND PROTECT LOCAL WATERSHEDS, WHICH IS CRITICAL TO THE COUNTRY'S SUSTAINABLE DEVELOPMENT. AND, WITH THE BROKERING OF PEACE BETWEEN THE FARC AND THE COLOMBIAN GOVERNMENT, THIS IS AN OPPORTUNE TIME TO INSPIRE A CONSERVATION ETHIC. FOR ITS SIZE, COLOMBIA IS THE MOST BIODIVERSE COUNTRY IN THE WORLD. WITH MORE THAN 54,000 REGISTERED SPECIES, COLOMBIA SHARES WITH BRAZIL THE FIRST PLACE IN THE MEGADIVERSE NATIONS OF THE PLANET AND RANKS FIRST IN NUMBER OF AMPHIBIAN AND BIRD SPECIES. COLOMBIA IS ALSO HOME TO HALF OF THE PLANET'S EXISTING CLOUD FORESTS, WHICH PRODUCE MORE FRESH WATER THAN ALMOST ANY OTHER ENVIRONMENT ON EARTH. RARE SEEKS TO INSPIRE COLOMBIANS TO PROTECT ANDEAN FORESTS TO ENSURE WATER QUALITY AND RELIABILITY, AND MAINTAIN THE NATURAL FUNCTION OF WATER-REGULATING ECOSYSTEMS. ACHIEVEMENTS INCLUDE: SINCE THE LAUNCH OF THE PROGRAM IN COLOMBIA IN 2016, A TOTAL OF 36 WATERSHED CONSERVATION CONTRACTS HAVE BEEN SIGNED, PLACING UNDER PROTECTION AND IMPROVED MANAGEMENT 1,811 HECTARES OF WATER-REGULATING FOREST IN 14 WATERSHEDS IN VALLE DEL CAUCA. THESE SITES WERE SELECTED FOR BEING PRIORITY AREAS FOR WATER REGULATION AS WELL AS KEY AREAS FOR BIODIVERSITY CONSERVATION. THE TOTAL COST OF THE BENEFITS PACKAGES AT 32 FARMS IS US$ 1,441.6 /HA/YEAR (US$ 45 ON AVERAGE PER CONTRACT). 1181483 20022893 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 1 X 28 0 1 104 1 1 1 1 MX CH RP ID BR MZ CO 0 0 0 0 0 0 0 0 X 19 17 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 IL NY PA VA WI CA WA X X CATHERINE STEWART 7035225070 1310 NORTH COURTHOUSE RD NO 110 ARLINGTON VA 22201 SCOTT AMERO CHAIRMAN 3.50 X X 0 0 0 NANCY MACKINNON VICE CHAIRMAN 2.50 X X 0 0 0 TOM PATTERSON TREASURER 2.50 X X 0 0 0 STEVE GAINES SECRETARY 2.50 X X 0 0 0 BARBARA HERNANDEZ TRUSTEE 2.50 X 0 0 0 DAVID MCCORMICK TRUSTEE 2.50 X 0 0 0 ALICE FARMER TRUSTEE 2.50 X 0 0 0 EDWARD SOULE TRUSTEE 2.50 X 0 0 0 SARAH STEIN GREENBERG TRUSTEE 2.50 X 0 0 0 RANDY BROWN TRUSTEE 2.50 X 0 0 0 LIZANNE GALBREATH TRUSTEE 2.50 X 0 0 0 AVI GARBOW TRUSTEE 2.50 X 0 0 0 DUNCAN MCFARLAND TRUSTEE 2.50 X 0 0 0 VADIM NIKITINE TRUSTEE 2.50 X 0 0 0 AMANDA PAULSON TRUSTEE 2.50 X 0 0 0 DOROTHY BATTEN TRUSTEE 2.50 X 0 0 0 SVEN LINDBLAD TRUSTEE 2.50 X 0 0 0 JOSE ROBERTO MARINHO TRUSTEE 2.50 X 0 0 0 JAN PORTMAN TRUSTEE 2.50 X 0 0 0 ANNIE MARTIN SIMONDS TRUSTEE 2.50 X 0 0 0 PAUL BUTLER TRUSTEE 55.00 X 72276 0 0 BRETT JENKS PRESIDENT & CEO 75.00 X X 431635 0 73852 TIMOTHY CHILDRESS CHIEF FINANCIAL OFFICER 60.00 X 253650 0 37838 DALE GALVIN MANAGING DIR., SUSTAINABLE 60.00 X 309181 0 70576 KAREN ZIFFER CHIEF DEVELOPMENT OFFICER 60.00 X 277472 0 44837 MARTHA PIPER MANAGING DIR., GLOBAL SOLUTIONS 60.00 X 262048 0 45069 GERALD MILES VP GLOBAL DEVELOPMENT 60.00 X 244471 0 56228 STEPHEN JAMES BOX SENIOR VICE PRESIDENT 60.00 X 176643 0 34062 CARYN PERRELLI VICE PRESIDENT 60.00 X 168118 0 5735 CARL DAVIS VICE PRESIDENT 60.00 X 165469 0 19870 KERRI HANNIGAN VP, MARKETING AND COMMUNICATION 60.00 X 165326 0 12019 2526289 0 400086 24 0 1 0 LINDBLAD MARITIME ENTERPRISES LLTD 96 MORTON STREET 9TH FLOOR NEW YORK NY 10014 SPECIAL EVENT BOAT TRIP 421875 MARINE ENVIRONMENT RESOURCES FND UP MARINE SCIENCE INSTITUE BLDG QUEZON CITY 1101 RP MONITORING AND EVALUATION 275396 ORRICK HERRINGTON & SUTCLIFFE LLP 4619 SOLUTIONS CENTER CHICAGO IL 60677 LEGAL SERVICES 164837 CARYN PERRELLI CONSULTING LLC 10111 RATCLIFFE MANOR DRIVE FAIRFAX VA 22030 TALENT ACQ. & HUMAN RESOURCE MANAGEMENT 151813 UNIVERSITY OF TEXAS EL PASO 500 W UNIVERSITY AVE EL PASA TX 79968 UNIVERSITY TUITION 147439 5 1443070 19951326 21394396 230367 230367 817468 813954 3514 3514 3514 MANAGEMENT FEE REVENUE 541610 277954 277954 OTHER REVENUE 900099 41276 41276 319230 21947507 0 277954 275157 X 237184 237184 5000 5000 1177287 1177287 1769503 489068 597135 683300 8273677 7347329 450861 475487 421052 328587 43962 48503 2291830 1788531 239292 264007 1090555 851063 113866 125626 255560 255560 139155 139155 2632699 2523549 109150 31644 31644 209614 124098 59569 25947 641793 544932 86020 10841 1521017 1120728 129013 271276 1979162 1791494 40952 146716 1239768 1239768 14395 14395 138220 138220 61537 37305 24232 CUMULATIVE TRANSLATION 211381 211381 PROF. TRAINING & DEVELO 76014 76014 PERMITS AND TRAVEL FEES 66148 66148 BANK FEES 32533 17388 14878 267 24516728 20022893 2332715 2161120 912296 6018906 1412176 2307850 15274497 11470419 637416 575305 1380453 1094353 343121 286100 8187370 13726332 1637554 1796604 28404430 36181516 3642022 3242235 2678452 8304591 1593412 6893985 7913886 18440811 X 9374386 8771524 11116158 8969181 20490544 17740705 28404430 36181516 -2569221 -180618 0 X X 0 1 X 1 1 1 X 16292948 20190469 18744535 32487459 21394396 109109807 16292948 20190469 18744535 32487459 21394396 109109807 46876043 62233764 218207 230845 189649 176985 230367 1046053 39491 319230 358721 110514581 326936 0.56310 0.54460 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: AMOUNT BILLED TO INSURANCE COMPANY FOR FIRE DAMAGE - 2014 AMOUNT: $ 39,491. MANAGEMENT FEE REVENUE - 2017 AMOUNT: $ 277,954. OTHER REVENUE - 2017 AMOUNT: $ 41,276. 258515 204938 53577 761438 603629 157809 360500 285786 74714 286100 DEFERRED COMPENSATION LIABILITY 1565235 INVESTED FUNDS DUE TO RELATED PARTY 5328750 6893985 X 23816270 -180618 789026 1260355 1868763 21947507 0 21947507 25607760 789026 302006 1091032 24516728 0 24516728 PART X, LINE 2: RARE IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (IRC). RARE IS SUBJECT TO UNRELATED BUSINESS INCOME TAXES UNDER SECTION 511 OF THE IRC; HOWEVER, IN THE OPINION OF MANAGEMENT, NO PROVISION FOR INCOME TAXES IS REQUIRED TO BE MADE. RARE FOLLOWS THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE CONSOLIDATED FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, RARE MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE CONSOLIDATED FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES ALSO ADDRESSES DE-RECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES ON INCOME TAXES AND ACCOUNTING IN INTERIM PERIODS. MANAGEMENT EVALUATED RARE'S TAX POSITIONS AND CONCLUDED THAT RARE HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE CONSOLIDATED FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. GENERALLY, RARE IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR YEARS BEFORE 2015. PART XI, LINE 2D - OTHER ADJUSTMENTS: PORTFOLIO INTEREST MELOY FUND I LP INCLUDED IN CONSOL. FINANCIAL STATEMENT 106,381. CONTRIBUTION BY LIMITED PARTNERS TO MELOY FUND I LP INCLUDED IN CONSOL. FS 1,615,250. CHANGE IN UNREALIZED LOSS ON PRIVATELY HELD SECURITIES -142,046. ELIMINATION ENTRY INCLUDED IN CONSOLIDATED FINANCIAL STATEMENTS -319,230. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES OF MELOY FUND I LP INCLUDED IN CONSOLIDATED FINANCIAL STATEMENTS 621,236. ELIMINATION ENTRY INCLUDED IN CONSOLIDATED FINANCIAL STATEMENTS -319,230. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTS TO RECIPIENTS 264124 EAST ASIA AND THE PACIFIC 0 0 GRANTS TO RECIPIENTS 100876 NORTH AMERICA 0 0 GRANTS TO RECIPIENTS 52429 SOUTH AMERICA 0 0 GRANTS TO RECIPIENTS 510379 SOUTH ASIA 0 0 GRANTS TO RECIPIENTS 97040 SUB-SAHARAN AFRICA 0 0 GRANTS TO RECIPIENTS 152439 EUROPE (INCLUDING ICELAND & GREENLAND) 1 5 FUNDRAISING 569502 EUROPE (INCLUDING ICELAND & GREENLAND) 1 5 PROGRAM SERVICES TRAINING WORKSHOPS ON LOCAL CONSERVATION METHODS 201993 EAST ASIA AND THE PACIFIC 4 57 FUNDRAISING 462062 EAST ASIA AND THE PACIFIC 4 57 PROGRAM SERVICES SMALL SCALE FISHERIES PROGRAM DESIGN AND COMMUNITY EDUCATION ON BEHAVIOR CHANGE 3468531 EAST ASIA AND THE PACIFIC 4 57 PROGRAM SERVICES SUSTAINABLE AGRICULTURE PROGRAM 986077 SOUTH AMERICA 3 18 PROGRAM SERVICES WATERSHED PROTECTION AND FISHERIES CONSERVATION 2592600 SOUTH ASIA 0 0 PROGRAM SERVICES CAMPAIGNING FOR CONSERVATION TRAINING EVENT 36780 SUB-SAHARAN AFRICA 1 6 PROGRAM SERVICES SMALL SCALE FISHERIES PROGRAM DESIGN AND COMMUNITY EDUCATION ON BEHAVIOR CHANGE 728895 NORTH AMERICA 1 3 PROGRAM SERVICES COMMUNITY EDUCATION ON CONSERVATION BEHAVIOR CHANGE 267796 2 10 17 198 19 208 1948782 8542741 10491523 CENTRAL AMERICA AND THE CARIBBEAN DESIGN AND IMPLEMENTATION OF FISHERIES MANAGEMENT 264124 WIRE EAST ASIA AND THE PACIFIC SOLUTION SEARCH DESIGN AWARD 15000 WIRE EAST ASIA AND THE PACIFIC CAMPAIGNING FOR CONSERVATION WORKSHOP 47699 WIRE EAST ASIA AND THE PACIFIC MONITORING AND EVALUATION CONSERVATION TRAINING OUTCOMES 20120 WIRE EAST ASIA AND THE PACIFIC SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 5750 WIRE EAST ASIA AND THE PACIFIC SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 7281 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 56989 WIRE SOUTH AMERICA CAMPAIGNING FOR CONSERVATION TRAINING EVENT 41320 WIRE SOUTH AMERICA SOLUTION SEARCH DESIGN AWARD 7500 WIRE SOUTH AMERICA CAMPAIGNING FOR CONSERVATION TRAINING EVENT 39908 WIRE SOUTH AMERICA SOLUTION SEARCH DESIGN AWARD 7500 WIRE SOUTH AMERICA MONITORING VEGETATION AND LANDOWNERS LIVIHOODS 9092 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 21152 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 62819 WIRE SOUTH AMERICA MONITORING AND EVALUATION COMMUNITY FISHERIES 163619 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 11084 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 10087 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 11815 WIRE SOUTH AMERICA MONITORING AND EVALUATION COMMUNITY FISHERIES 18465 WIRE SOUTH AMERICA MONITORING AND EVALUATION CONSERVATION TRAINING OUTCOMES 20120 WIRE SOUTH AMERICA SOCIAL MARKETING AND COMMUNITY DEVELOPMENT 10772 WIRE SOUTH ASIA MONITORING AND EVALUATION CONSERVATION TRAINING OUTCOMES 20120 WIRE SOUTH ASIA CAMPAIGNING FOR CONSERVATION TRAINING EVENT 64420 WIRE SOUTH ASIA CAMPAIGNING FOR CONSERVATION MINIGRANTS 12500 WIRE SUB-SAHARAN AFRICA SOLUTION SEARCH DESIGN AWARD 36000 WIRE SUB-SAHARAN AFRICA MONITORING AND EVALUATION CONSERVATION TRAINING OUTCOMES 20120 WIRE SUB-SAHARAN AFRICA CAMPAIGNING FOR CONSERVATION TRAINING EVENT 63876 WIRE SUB-SAHARAN AFRICA CAMPAIGNING FOR CONSERVATION TRAINING EVENT 31025 WIRE 18 10 CONSERVATION SOLUTION SEARCH AWARD NORTH AMERICA 1 15000 WIRE WORKSHOP ON CAMPAIGN FOR CONSERVATION NORTH AMERICA 1 37429 WIRE SCHOLARSHIPS FOR CONSERVATION CAMPAIGN MANAGERS SOUTH AMERICA 10 14585 WIRE TRAVEL STIPENDS FOR CONSERVATION SITE VISITS SUB-SAHARAN AFRICA 2 1418 WIRE 0 0 0 0 0 0 PART I, LINE 2: THE PROCESS FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE OF THE UNITED STATES INVOLVES SITE VISITS, FREQUENT CORRESPONDENCE WITH GRANTEE, MONTHLY FINANCIAL AND NARRATIVE PROGRESS REPORTS THAT SUPPORTS THE CONTRACT AGREEMENT, AND EXAMINATION OF INVOICES AND EXPENSE RECEIPTS. PART I, LINE 3: THE ORGANIZATION USES GAAP TO REPORT EXPENDITURES IN FOREIGN REGIONS. 1 ENVIRONMENTAL DEFENSE FUND 257 PARK AVE NEW YORK NY 10010 116107128 501(C)(3) 100000 FISHERIES TURF RESERVE PROGRAM DESIGN THE REGENTS OF THE UNIVERSITY OF CALIFORNIA SAASB BUILDING SANTA BARBARA CA 931062003 956006145 501(C)(3) 100000 DESIGN TOOLS TO MEASURE FISHERIES PROGRAMS SMITHSONIAN INSTITUTION 2011 CRYSTAL DRIVE SUITE 352 ARLINGTON VA 22202 530206027 501(C)(3) 37184 TURF RESERVE DESIGN FOR MESOAMERICAN REEF AND DATA ANALYSIS 3 3 HONORARIUM 1 5000 PART I, LINE 2: THE PROCESS FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE OF THE UNITED STATES INCUDES SITE VISITS, FREQUENT CORRESPONDENCE WITH GRANTEES, EXAMINATION OF EXPENDITURES, PERIODIC FINANCIAL AND NARRATIVE PROGRESS REPORTS THAT SUPPORTS THE CONTRACT AGREEMENT. X X X X 0 1 0 0 0 0 0 1 0 BRETT JENKS PRESIDENT & CEO 380393 0 50000 0 1242 0 49382 0 24470 0 505487 0 0 0 TIMOTHY CHILDRESS CHIEF FINANCIAL OFFICER 228654 0 22867 0 2129 0 16292 0 21546 0 291488 0 0 0 DALE GALVIN MANAGING DIR., SUSTAINABLE 277238 0 31133 0 810 0 44726 0 25850 0 379757 0 0 0 KAREN ZIFFER CHIEF DEVELOPMENT OFFICER 247913 0 28959 0 600 0 17805 0 27032 0 322309 0 0 0 MARTHA PIPER MANAGING DIR., GLOBAL SOLUTIONS 230114 0 30901 0 1033 0 35974 0 9095 0 307117 0 0 0 GERALD MILES VP GLOBAL DEVELOPMENT 205709 0 38762 0 0 0 56228 0 0 0 300699 0 0 0 STEPHEN JAMES BOX SENIOR VICE PRESIDENT 163519 0 12814 0 310 0 8951 0 25111 0 210705 0 0 0 CARYN PERRELLI VICE PRESIDENT 168040 0 0 0 78 0 0 0 5735 0 173853 0 0 0 CARL DAVIS VICE PRESIDENT 150134 0 14880 0 455 0 10602 0 9268 0 185339 0 0 0 KERRI HANNIGAN VP, MARKETING AND COMMUNICATION 144901 0 20142 0 283 0 6929 0 5090 0 177345 0 0 0 PART I, LINE 4B DURING 2011, UPON BOARD APPROVAL, RARE ESTABLISHED A NON-QUALIFIED DEFERRED COMPENSATION PLAN, A 457(F) PLAN FOR CERTAIN KEY EMPLOYEES. THE AMOUNTS CONTRIBUTED FOR THE YEAR ENDING DECEMBER 31, 2017 WERE AS FOLLOWS: MARTHA PIPER- $23,073 BRETT JENKS- $29,100 DALE GALVIN- $27,115 THESE AMOUNTS HAVE BEEN INCLUDED IN SCHEDULE J, PART II, COLUMN (C), RETIREMENT AND OTHER DEFERRED COMPENSATION AMOUNTS. PART I, LINE 7 THE PAYMENT STRUCTURE IS BASED ON ANNUAL INDIVIDUAL PERFORMACE GOALS. LINDBLAD EXPEDITIONS ENTITY MORE THAN 35% OWNED BY SVEN LINDBLAD, TRUSTEE 421875 INDEPENDENT CONTRACTOR ARRANGEMENT 0 FORM 990, PART III, LINE 1 VULNERABLE PEOPLE DEPEND ON THE REMAINING FORESTS, WETLANDS AND CORAL REEFS- AND BALANCING HOW WE USE AND PRESERVE THESE RESOURCES REQUIRES US TO CHANGE OUR RELATIONSHIP WITH NATURE. RARE IS THE LEADING BEHAVIOR CHANGE ORGANIZATION IN CONSERVATION. WE SPECIALIZE IN PROVEN LOCALLY-LED SOLUTIONS WHICH WE BRING TO REGIONAL AND NATIONAL SCALE AROUND THE WORLD. FOR MORE THAN 40 YEARS, RARE HAS LAUNCHED OVER 450 BEHAVIOR CHANGE CAMPAIGNS (KNOWN AS "PRIDE") IN MORE THAN 50 COUNTRIES, INSPIRING LOCAL COMMUNITIES TO ADOPT MORE SUSTAINABLE FISHING HABITS, END DEFORESTATION, PRESERVE HABITAT, AND SAVE SPECIES. PRIDE INCREASES AND ACCELERATES THE ADOPTION OF CONSERVATION SOLUTIONS- AND THE CHANGE LASTS. RARE'S PEOPLE-CENTERED, PARTICIPATORY APPROACH TO CONSERVATION EMPOWERS LOCAL LEADERS AND ELEVATES THE ROLE OF FISHERS, FARMERS, AND OTHER PEOPLE WHO DEPEND ON NATURE IN LOCAL DECISION-MAKING AND GOVERNANCE. THIS COMMUNITY-LED APPROACH IS BUOYED BY PARTNERSHIPS WITH OFFICIALS AT ALL LEVELS OF GOVERNMENTFROM MAYORS TO MINISTERSAND WITH PUBLIC AND PRIVATE INSTITUTIONS, UNIVERSITIES AND OTHER ORGANIZATIONS CAPABLE OF REMOVING BARRIERS AND PAVING THE WAY FOR ENDURING SOLUTIONS. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD MEMBERS WERE GIVEN A COPY OF THE RETURN TO REVIEW AND APPROVE BEFORE FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C UPON JOINING, STAFF AND BOARD MEMBERS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE STATEMENT INDICATING THE CAPACITY IN WHICH YOU ARE SERVING THE ORGANIZATION, ANY AFFILIATIONS WITH RARE'S BUSINESS PARTNERS, OR ANY BENEFIT GAINED THROUGH A RARE BUSINESS TRANSACTION. DETAILED INFORMATION ON ANY SUCH POTENTIAL CONFLICT MUST BE FULLY DISCLOSED ON THE FORM. ANNUALLY, STAFF AND BOARD MEMBERS ARE REQUIRED TO PROVIDE ANY UPDATES. FORM 990, PART VI, SECTION B, LINE 15 ANNUALLY, RARE STAFF COMPILES DATA FROM CURRENT MARKET COMPENSATION SURVEYS AND OTHER RELEVANT RESEARCH IN ADDITION TO A SELF EVALUATION OF THE CEO AND COO TO BE SUBMITTED TO THE FINANCE AND HR COMMITTEE FOR REVIEW. THE FINANCE AND HR COMMITTEE, BASED ON THE INFORMATION RECEIVED, RECOMMENDS COMPENSATION ADJUSTMENTS FOR THE CEO AND COO TO THE FULL BOARD OF TRUSTEES FOR FINAL APPROVAL. RARE HIRES A FIRM TO REVIEW THE COMPENSATION OF THOSE IN A POSITION TO EXERCISE SUBSTANTIAL INFLUENCE WITH RESPECT TO RARE'S AFFAIRS TO PROVIDE AN OPINION ON THE REASONABLENESS OF THEIR COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 RARE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE UPON REQUEST FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). FORM 990, PART IX, LINE 11G CONSULTANTS: PROGRAM SERVICE EXPENSES 2,523,549. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 109,150. TOTAL EXPENSES 2,632,699. FORM 990, PART XII, LINE 2C: THE PROCESS FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT THAT AUDITED THE FINANCIAL STATEMENTS HAS BEEN CONSISTENT WITH PRIOR YEARS. FORM 990, PART I, LINE 5: PART I, LINE 5 ONLY REFLECTS THE NUMBER OF EMPLOYEES RECEIVING FORM W-2 (80). THE TOTAL NUMBER OF WORLDWIDE EMPLOYEES IS 156. ASSOCIACAO RARE DO BRASIL RUA VISCONDE DE PIRAJA 177- SALA 8 RIO DE JANEIRO RIO DE JANEIRO BR 22410 SOCIAL WELFARE, ENVIRONMENT, FISHERIES, FUNDRAISING BR 0 0 RARE RARE VENTURES LLC 1310 NORTH COURTHOUSE ROAD STE 110 ARLINGTON VA 22201 IMPACT INVESTING DE 0 0 RARE THE MELOY FUND I GP LLC 1310 NORTH COURTHOUSE ROAD STE 110 ARLINGTON VA 22201 824210549 IMPACT INVESTING DE 319230 5566104 RARE THE MELOY FUND I LP 1310 NORTH COURTHOUSE ROAD STE 110 ARLINGTON VA 22201 814201883 IMPACT INVESTING DE THE MELOY FUND I GP LLC RELATED 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 THE MELOY FUND I GP L 277954 EXPENSES INCURRED