2019-09-30T09:48:50-05:00 2018-12-31 133628255 CONDON O'MEARA MCGINTY & DONNELLY LLP ONE BATTERY PARK PLAZA 7TH FL NEW YORK NY 10004 990 2018-01-01 237213592 THE FRANKLIN & ELEANOR ROOSEVELT INSTITUTE FRAN 2124449130 570 LEXINGTON AVENUE NO 5TH FL NEW YORK NY 10022 FELICIA J WONG PRESIDENT & CEO 2124449130 2019-09-18 1 JAMES J REILLY P00183769 2126617777 184.74.172.82 2019-09-18 15:08:01 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 C6559D2F2D9E916EF7F955BDA2CCEAE3D9F52865 2018 2020-01-14 16:20:31Z FELICIA J WONG 570 LEXINGTON AVENUE NO 5TH FL NEW YORK NY 10022 10225744 0 X WWW.ROOSEVELTINSTITUTE.ORG X 1987 NY TO CREATE A NATION WHERE EVERYONE ENJOYS A FAIR SHARE OF OUR COLLECTIVE PROSPERITY 26 26 57 27 0 39550 7191613 9591615 0 0 414318 267123 227518 177594 7833449 10036332 234787 194523 0 0 4268036 4402046 111080 68142 342223 2400027 2088952 7013930 6753663 819519 3282669 16139306 18805431 736403 737211 15402903 18068220 X SEE SCHEDULE O 0 0 3536032 71000 THINK TANK: SEE SCHEDULE O. 1099190 102517 NETWORK: SEE SCHEDULE O. 594999 21006 FDR LIBRARY: SEE SCHEDULE O. 5230221 1 1 0 1 0 0 0 1 0 1 1 1 0 0 0 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 132 0 1 57 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 26 26 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X X KATARINA K DUPLESSY 2124449130 THE INSTITUTE / 570 LEXINGTON NY NY 10022 ANNA ELEANOR ROOSEVELT CHAIR 2.00 X X 0 0 0 GEORGE KNOX VICE-CHAIR 2.00 X X 0 0 0 WILLIAM VANDEN HEUVEL FOUNDER & CHAIR EMERITUS 2.00 X X 0 0 0 WILLIAM GRIFFITH TREASURER 2.00 X X 0 0 0 CANTWELL MUCKENFUSS III SECRETARY 2.00 X X 0 0 0 KAREN ADLER DIRECTOR 2.00 X 0 0 0 BENJAMIN BARNES DIRECTOR 2.00 X 0 0 0 KATE BRANDT DIRECTOR 2.00 X 0 0 0 WOLE COAXUM DIRECTOR 2.00 X 0 0 0 ADAM CONNER DIRECTOR 2.00 X 0 0 0 LISA COOK DIRECTOR 2.00 X 0 0 0 CHRISTIE GEORGE DIRECTOR 2.00 X 0 0 0 FAY HARTOG-LEVIN DIRECTOR 2.00 X 0 0 0 JAMES P HOFFA DIRECTOR 2.00 X 0 0 0 JAS JOHL DIRECTOR 2.00 X 0 0 0 KEITH MESTRICH DIRECTOR 2.00 X 0 0 0 PHOEBE ROOSEVELT DIRECTOR 2.00 X 0 0 0 NANCY ROOSEVELT IRELAND DIRECTOR 2.00 X 0 0 0 PAUL RUDD DIRECTOR 2.00 X 0 0 0 BERNARD SCHWARTZ DIRECTOR 2.00 X 0 0 0 AMISH SHAH DIRECTOR 2.00 X 0 0 0 KATRINA VANDEN HEUVEL DIRECTOR 2.00 X 0 0 0 RANDI WEINGARTEN DIRECTOR 2.00 X 0 0 0 BRIAN WOLFF DIRECTOR 2.00 X 0 0 0 SALLY MINARD DIRECTOR 2.00 X 0 0 0 NICK ROOSEVELT DIRECTOR 2.00 X 0 0 0 FELICIA WONG PRESIDENT & CEO 40.00 X 297600 0 36501 KATARINA K DUPLESSY CFO 40.00 X 154148 0 29087 JEFFREY KREHELY EXECUTIVE VP 40.00 X 212920 0 13752 LISA BIAGAS VP OF HR 40.00 X 141454 0 6022 NELLIE ABERNATHY VP OF RESEARCH AND POLICY 40.00 X 140467 0 16659 STEPHANIE STERLING VP ADVOCACY AND POLICY 40.00 X 160328 0 2394 JULIE MARGETTA MORGAN PROGRAM DIRECTOR & FELLOW 40.00 X 149627 0 202 1256544 0 104617 12 0 1 0 KG CONSULTING 5009 BELT ROAD NE WASHINGTON DC 20016 FUNDRAISING 106000 1 199851 9391764 194523 9591615 243664 243664 123324 0 123324 123324 123324 103107 79648 23459 23459 23459 22500 199851 109764 -87264 -87264 OTHER INCOME 900099 141534 141534 141534 10036332 141534 0 303183 66167 66167 128356 128356 517336 414938 82006 20392 3117663 2476170 515114 126379 84193 67606 13028 3559 413211 332022 63766 17423 269643 216846 41468 11329 53245 3498 47651 2096 27770 1922 24759 1089 68142 68142 36155 36155 608306 499043 89433 19830 17713 17713 242904 152033 67393 23478 47218 37542 7770 1906 571976 464098 86635 21243 263107 210439 30462 22206 134047 99630 31993 2424 40268 36579 2962 727 36984 36984 DUES AND SUBSCRIPTIONS 9259 5619 3640 6753663 5230221 1181219 342223 3549356 5846614 500000 503000 1192161 2003725 96624 99660 584373 554449 70719 29924 10347255 9870794 383191 451714 16139306 18805431 260548 275930 475855 461281 736403 737211 X 8182098 9625340 6220805 7442880 1000000 1000000 15402903 18068220 16139306 18805431 3282669 -617352 0 X 0 1 X 1 0 X 5301717 4800149 6880644 7191613 9591615 33765738 5301717 4800149 6880644 7191613 9591615 33765738 9090255 24675483 195757 293458 347568 352454 366988 1556225 231076 132550 233230 509334 141534 1247724 36569687 0.67480 0.62580 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2014 AMOUNT: $ 231,076. 2015 AMOUNT: $ 132,550. 2016 AMOUNT: $ 233,230. 2017 AMOUNT: $ 509,334. 2018 AMOUNT: $ 141,534. 16860 16860 6736804 6753664 487683 121921 0 0 472303 490388 500697 487683 1951071 2926607 19794 8174 14398 16860 59226 118076 122597 125174 121921 487768 731652 168591 X X X 0 13264866 7775789 -381831 6441379 14217445 11529903 4799303 1455081 4519421 13264866 12070693 4604620 598579 5743989 11529903 8431011 7196435 -101104 3455649 12070693 8807381 428146 28608 775908 8431011 0.40620 0.07030 0.52350 0 0 584373 554449 29924 29924 COMMONFUND INSTITUTIONAL MULTI-STRATEGY EQUITY FUND 5628180 F COMMONFUND INSTITUTIONAL MULTI-STRATEGY BOND FUND 4242614 F 9870794 9538033 -617352 155208 -462144 10000177 36155 36155 10036332 6872716 155208 155208 6717508 36155 36155 6753663 PART III, LINE 4: THE INSTITUTE'S ARTWORK IS DISPLAYED IN THE FDR'S LIBRARY'S VISITOR CENTER. THE ARTWORK IS STATED AT THE COST. THE INSTITUTE ALSO HOLDS A COLLECTION OF AUTHOGRAPHS OF FDR, BOOKS AD DOCUMENTS, WHICH ARE STORED AT THE FDR LIBRARY. THE COLLECTION IS STATED AT THE APPRAISED VALUE AT THE DATE OF DONATION. PART V, LINE 4: THE INSTITUTE MAINTAINS VARIOUS DONOR-RESTRICTED AND BOARD-DESIGNATED FUNDS WHOSE PURPOSE IS TO PROVIDE LONG-TERM SUPPORT FOR THE CHARITABLE PROGRAMS OF THE INSTITUTE. PART XI, LINE 2D - OTHER ADJUSTMENTS: ROOSEVELT FORWARD PROGRAM REVENUE (PASS-THROUGH) 155,208. PART XII, LINE 2D - OTHER ADJUSTMENTS: ROOSEVELT FORWARD PROGRAM EXPENSE (PASS-THROUGH) 155,208. X X X X 1 KG CONSULTING 5009 BELT ROAD NW WASHINGTON DC 20016 FUNDRAISING COUNSEL 0 0 89000 0 89000 NY DPSA/FFA 222351 199851 22500 43595 66169 222351 199851 22500 43595 66169 109764 -87264 1 THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK 135598093 501 (C) (3) 60000 COLUMBIA BUSINESS SCHOOL GRANT 1 NETWORK - STIPENDS 134 98350 LIBRARY AWARD 1 131 LIBRARY - STIPENDS 2 8000 LIBRARY - GRANT 12 10875 THINK TANK - STIPENDS 3 11000 PART I, LINE 2: THINK TANK GRANT - INITITATIVE FOR POLICY DIALOGUE FUNDS FROM THIS GRANT WILL FURTHER SUPPORT RESEARCH AT THE INITIATIVE FOR POLICY DIALOGUE AT COLUMBIA UNIVERSITY LED BY UNIVERSITY PROFESSOR JOSEPH STIGLITZ. THE FUNDS WILL BE USED IN CONTINUED SUPPORT OF A POSTDOCTORAL RESEARCHER WHO WILL COORDINATE WITH MEMBERS OF THE ROOSEVELT PROGRAM TO CONDUCT THEORETICAL AND EMPIRICAL RESEARCH EXPLORING THE ROLE OF RENT-SEEKING IN GIVING RISE TO INEQUALITY AND THE DETERMINANTS OF INEQUALITY-GENERATING RENT SEEKING IN THE US AND OTHER ECONOMIES.JOSEPH STIGLITZ WILL CAREFULLY OVERSEE THIS PROJECT AND MONITOR THE WORK OF THE POSTDOCTORAL RESEARCHER. GABRIELA PLUMP, IPD PROGRAM MANAGER, WILL ADMINISTER THE FUNDS AND ENSURE THEY ARE ALLOCATED FOR IPD AS OUTLINED ABOVE. LIBRARY GRANTS THIS PROGRAM PROVIDES FUNDS FOR RESEARCHERS TO TRAVEL TO THE FDR PRESIDENTIAL LIBRARY TO CONDUCT RESEARCH IN THE ARCHIVES. TO RECEIVE A GRANT, THE APPLICANT MUST FILL OUT AN APPLICATION, WHICH INCLUDES A DESCRIPTION OF THE RESEARCH, LETTERS OF RECOMMENDATION, A BIBLIOGRAPHY AND A BUDGET. THESE APPLICATIONS (WHICH ARE SUBMITTED ONCE PER YEAR) ARE THEN REVIEWED BY A COMMITTEE OF SCHOLARS AND THE SENIOR ARCHIVIST AT THE FDR LIBRARY TO DETERMINE THE VIABILITY OF THE PROJECT, THE RELEVANCE OF THE LIBRARY'S HOLDINGS TO THE PROJECT, AND THE APPROPRIATENESS OF THE BUDGET (BASED ON LENGTH OF STAY NEEDED, AND PAST COSTS ASSOCIATED WITH TRAVEL, ACCOMMODATION ETC.). THE AMOUNT OF THE AWARD VARIES DEPENDING ON DISTANCE OF TRAVEL, AND NUMBER OF DAYS RESEARCH REQUIRED. NOT ALL OF THE APPLICANTS RECEIVE AN AWARD. AS THE FDR LIBRARY IS ONE OF THE MOST IMPORTANT ARCHIVES OF THE 20TH CENTURY, WE RECEIVE APPLICATIONS FROM THE UNITED STATES, CANADA AND ABROAD. IN THE GRANTING PROCESS, PRIORITY IS GIVEN TO GRADUATE STUDENTS. ONCE AN INDIVIDUAL IS AWARDED A GRANT, HE/SHE IS NOTIFIED BY LETTER (EMAIL) BY THE CHAIR OF THE GRANTS-IN-AID COMMITTEE. THE GRANTEE THEN NOTIFIES THE FDRL OF HIS/HER IMPENDING RESEARCH TRIP AND AT THAT POINT THE STAFF OF THE FDR FILLS OUT A CHECK REQUEST FORM FOR THE GRANT AMOUNT THAT IS THEN SUBMITTED TO THE ROOSEVELT INSTITUTE FINANCE OFFICE. THE GRANTEE IS ALSO REQUIRED TO FILL OUT A W-9 FORM AND IN THE CASE OF FOREIGN RESEARCHERS, A W-8ECI FORM. CHECKS ARE NOT ISSUED TO THE GRANTEE UNTIL THEY ARRIVE ON SITE AT THE FDR LIBRARY. NETWORK GRANTS THIS IS THE FINAL GRANT OF THE NEXTGEN ILLINOIS PROJECT (NOT DISCLOSED ON SCHEDULE I, PART II AS THE THE GRANT IS BELOW $5,000). TO RECEIVE A GRANT, ORGANIZATIONS INTERESTED IN PARTICIPATING IN THE PLANNING PROCESS MUST FILL OUT AN APPLICATION, WHICH INCLUDES ANSWERING SEVERAL QUESTIONS ABOUT THE ORGANIZATIONS GOALS FOR THE OUTCOME OF THE PLANNING PROCESS, COMMITMENTS TO THE COMMITTEE EACH ORGANIZATION IS PREPARED TO TAKE ON, AND COMMITMENTS TO IDENTIFY THE SPECIFIC INDIVIDUALS WHO WILL ATTEND MEETINGS. RECEIPT OF THE GRANT COMES WITH THE STIPULATION THAT GROUPS WILL ATTEND AT LEAST 85% OF ALL COALITION AND SUBGROUP MEETINGS, AND PARTICIPATE IN PREPARATION WORK RELATED TO THE ADVANCEMENT OF THE NEXTGEN JOINT WORK PLAN. X 0 0 0 0 0 0 0 0 0 FELICIA WONG PRESIDENT & CEO 297600 0 0 0 0 0 11000 0 25501 0 334101 0 0 0 KATARINA K DUPLESSY CFO 154148 0 0 0 0 0 6437 0 22650 0 183235 0 0 0 JEFFREY KREHELY EXECUTIVE VP 212920 0 0 0 0 0 7780 0 5972 0 226672 0 0 0 NELLIE ABERNATHY VP OF RESEARCH AND POLICY 140467 0 0 0 0 0 5760 0 10899 0 157126 0 0 0 STEPHANIE STERLING VP ADVOCACY AND POLICY 160328 0 0 0 0 0 2192 0 202 0 162722 0 0 0 X 5 194523 FMV 0 1 0 FORM 990, PART III, LINE 1 UNTIL ECONOMIC AND SOCIAL RULES WORK FOR ALL AMERICANS, THEY'RE NOT WORKING. INSPIRED BY THE LEGACY OF FRANKLIN AND ELEANOR, THE ROOSEVELT INSTITUTE RE-IMAGINES THE RULES TO CREATE A NATION WHERE EVERYONE ENJOYS A FAIR SHARE OF OUR COLLECTIVE PROSPERITY. WE ARE A 21ST CENTURY THINK TANK BRINGING TOGETHER MULTIPLE GENERATIONS OF THINKERS AND LEADERS TO HELP DRIVE KEY ECONOMIC AND SOCIAL DEBATES AND HAVE LOCAL AND NATIONAL IMPACT. WE ADVANCE THIS MISSION THROUGH THE WORK OF OUR STAFF, FELLOWS, A NETWORK OF STUDENTS AND ALUMNI, AND OUR PARTNERS AT THE FDR PRESIDENTIAL LIBRARY. FORM 990, PART III, LINE 4A THINK TANK - ROOSEVELT'S ECONOMIC AND SOCIAL POLICY THINK TANK SUPPORTS A DIVERSE SET OF OUTSTANDING THOUGHT LEADERS AS THEY TACKLE THE MOST PRESSING ECONOMIC ISSUES CONFRONTING OUR NATION. OUR INFLUENTIAL REWRITING THE RULES ECONOMIC AGENDA PROVIDES THE GROUNDWORK FOR OUR APPROACH. IT ARGUES THAT INEQUALITY IS A CHOICE DETERMINED BY THE RULES THAT STRUCTURE OUR ECONOMYAND THESE RULES CAN BE REWRITTEN TO PROMOTE BOTH GROWTH AND SHARED PROSPERITY. OUR PRIORITIES ARE: MAKING THE CASE THAT A HEALTHIER ECONOMY AND A HEALTHIER DEMOCRACY REQUIRES ALIGNING ECONOMIC AND RACIAL INEQUALITY AGENDAS; ILLUMINATING CORPORATE POWER AS A SERIOUS CAUSE OF ECONOMIC DISTORTION AND MISALIGNMENT; EXPOSING THE ROLE OF STRUCTURAL DISCRIMINATION IN DRIVING UNEQUAL OUTCOMES; AND DEVELOPING PROACTIVE RESPONSES TO THE RAPIDLY CHANGING NATURE OF OUR ECONOMY. THROUGH STRATEGIC COMMUNICATIONS AND DEEP PARTNERSHIPS, WE BOTH AMPLIFY OUR WORK AND ENSURE IT IS USEFUL TO POLICYMAKERS AND ADVOCATES THROUGHOUT THE FIELD. FORM 990, PART III, LINE 4B NETWORK - THE ROOSEVELT NETWORK TRAINS, DEVELOPS, AND SUPPORTS EMERGING PROGRESSIVE POLICYMAKERS, RESEARCHERS, AND ADVOCATES ACROSS THE US, FOCUSING ON COMMUNITIES HISTORICALLY DENIED POLITICAL POWER. FOUND ON CAMPUSES AND IN CITIES ACROSS NEARLY 40 STATES NATIONWIDE, THE NETWORK IS BUILT ON THE PRINCIPLE THAT CHANGING WHO WRITES THE RULES CAN HELP FULFILL THE IDEALS OF AMERICAN DEMOCRACY AND BUILD TRUE PUBLIC POWER. THE NETWORK SUPPORTS STUDENT-LED, SCALABLE POLICY CAMPAIGNS THAT FIGHT FOR THE EQUITABLE PROVISION, DISTRIBUTION, AND ACCESSIBILITY OF PUBLIC GOODS AT THE CAMPUS, LOCAL, AND STATE LEVELS. IN ADDITION TO ITS STUDENT-LED ACTIVITIES, THE ORGANIZATION LEVERAGES THE POWER OF ITS ALUMNI NETWORK FORM 990, PART III, LINE 4C FDR LIBRARY - THE ROOSEVELT INSTITUTE PROVIDED PROGRAM SUPPORT TO THE FRANKLIN D. ROOSEVELT PRESIDENTIAL LIBRARY AND MUSEUM, LOCATED IN HYDE PARK, NEW YORK. THE INSTITUTE PROVIDES FUNDING IN SUPPORT OF THE LIBRARY'S EDUCATIONAL AND PUBLIC PROGRAMS, AS WELL AS PERMANENT AND TEMPORARY EXHIBITS, WHICH ARE VISITED BY APPROXIMATELY 155,000 GUESTS PER YEAR. FORM 990, PART VI, SECTION A, LINE 2 KATRINA VANDEN HEUVEL AND WILLIAM VANDEN HEUVEL HAVE A FAMILY RELATIONSHIP. ANNA ELEANOR ROOSEVELT, PHOEBE ROOSEVELT, NICK ROOSEVELT, AND NANCY ROOSEVELT IRELAND HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE 990 FORM TAX RETURN IS PREPARED BY TAX PROFESSIONALS IN COLLABORATION WITH THE INSTITUTE'S ACCOUNTING AND FINANCE DEPARTMENT. THE RETURN IS FIRST REVIEWED BY CFO, WHO PROPOSES AND DISCUSSES EDITS WITH THE INDEPENDENT AUDITORS. THE REVISED RETURN IS SUBMITTED TO PRESIDENT AND CEO FOR REVIEW. THE PRESIDENT AND CEO SUBMITS THE REVIEWED RETURN TO THE AUDIT COMMITTEE. THE AUDIT COMMITTEE REVIEWS THE RETURN AND RECOMMENDS REVISIONS. THE FINAL DRAFT OF THE RETURN IS SHARED WITH THE ENTIRE BOARD OF DIRECTORS. THE DIRECTORS ARE GIVEN UP TO 14 DAYS TO REVIEW AND RAISE QUESTIONS TO THE AUDIT COMMITTEE. AFTER THE REVIEW PERIOD, THE AUDIT COMMITEE INSTRUCTS CFO TO PREPARE AND FILE THE FINAL TAX RETURNS. FORM 990, PART VI, SECTION B, LINE 12C 1. EACH YEAR, IN DECEMBER, THE OFFICE OF TH PRESIDENT AND CEO DISTRIBUTES CONFLICT OF INTEREST FORMS TO ALL DIRECTORS OF THE BOARD. 2. DIRECTORS COMPLETE THE FORMS AND DISCLOSE CONFLICT OF INTEREST IF ANY. 3. DIRECTORS RETURN SIGNED FORMS TO THE OFFICE OF THE PRESIDENT AND CEO. 4. THE FORMS ARE SCANNED AND ELECTRONIC COPIES ARE RETAINED IN THE BOARD FILES. FORM 990, PART VI, SECTION B, LINE 15 1. EACH YEAR, IN DECEMBER, THE PRESIDENT OF THE BOARD AND THE EXECUTIVE COMMITTEE OF THE BOARD REVIEWS THE EXECUTIVE COMPENSATION IN THE CONTEXT BOTH OF ACCOMPLISHMENTS FOR THE PRIOR YEAR AND THE NEXT YEAR'S ANNUAL BUDGET. 2. AT THE END OF THE REVIEW, THE PRESIDENT OF THE BOARD AND THE EXECUTIVE COMMITEE DECIDE ON THE EXECUTIVE SALARY INCREASE AND AN ANNUAL BONUS, IF ANY. 3. THE SALARY AND BONUS DECISION, ALONG WITH THE EVALUATION OF THE EXECUTIVE PERFORMANCE, IS SHARED WITH THE BOARD OF DIRECTORS IN A CLOSED SESSION. 4. THE BOARD OF DIRECTORS REVIEWS THE PROPOSED CHANGES TO THE EXECUTIVE COMPENSATION AND MAKES THE FINAL DECISION. 5. THE DECISION IS COMMUNICATED TO CFO BY THE PRESIDENT OF THE BOARD. 6. THE DECISION IS FILED IN THE PRESIDENT AND CEO'S PRESONNEL FILE. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES IT GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FORM 1023 AND FORM 990 AVAILABLE UPON REQUEST. IN ADDITION, THE FORM 990 IS AVAILABLE ON-LINE WITH GUIDESTAR.