2019-09-19T10:28:18-05:00 2018-12-31 263753134 CBIZ MHM LLC 500 BOYLSTON STREET BOSTON MA 02116 990 2018-01-01 042297514 NEW ENGLAND AQUARIUM CORPORATION NEWE 6179735200 CENTRAL WHARF BOSTON MA 021103399 P ERIC KRAUSS EVP, COO & CFO 6179735200 2019-09-12 1 BRENDA L BOOTH P01342395 6177610600 2019-09-12 207.172.72.163 2019-09-12 12:29:56 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6EBF32EC077803D5773B28E578504B4367373832 2018 2019-02-21 02:37:17Z VERONIQUE N SPRUILL CENTRAL WHARF BOSTON MA 021103399 50553295 0 X WWW.NEAQ.ORG X 1957 MA THE NEW ENGLAND AQUARIUM SEEKS TO BE A CATALYST FOR GLOBAL CHANGE IN PROTECTING THE OCEANS THROUGH PUBLIC ENGAGEMENT, COMMITMENT TO MARINE ANIMAL CONSERVATION, LEADERSHIP IN EDUCATION, INNOVATIVE SCIENTIFIC RESEARCH AND ADVOCACY FOR VITAL AND VIBRANT OCEANS. 24 22 504 1253 4823955 379422 8429726 9804985 27011988 25348495 819770 728992 10087395 10677327 46348879 46559799 0 86448 0 0 19481253 20971900 132193 122700 1764179 26898007 25960261 46511453 47141309 -162574 -581510 83553450 79700162 30885885 29161272 52667565 50538890 X THE NEW ENGLAND AQUARIUM SEEKS TO BE A CATALYST FOR GLOBAL CHANGE IN PROTECTING THE OCEANS THROUGH PUBLIC ENGAGEMENT, COMMITMENT TO MARINE ANIMAL CONSERVATION, LEADERSHIP IN EDUCATION, INNOVATIVE SCIENTIFIC RESEARCH AND ADVOCACY FOR VITAL AND VIBRANT OCEANS. 0 0 25253188 27488567 EXHIBITION: THE AQUARIUM IS A MASSACHUSETTS CHAPTER 180 NON-PROFIT CORPORATION FORMED FOR THE PURPOSE OF OPERATING A PUBLIC AQUARIUM IN BOSTON, MASSACHUSETTS. THE MISSION OF THE AQUARIUM IS TO BE A CATALYST FOR GLOBAL CHANGE THROUGH PUBLIC ENGAGEMENT, COMMITMENT TO MARINE ANIMAL CONSERVATION, LEADERSHIP IN EDUCATION, INNOVATIVE SCIENTIFIC RESEARCH AND ADVOCACY FOR VITAL AND VIBRANT OCEANS. IN ADDITION TO ITS EXHIBITS, THE AQUARIUM OPERATES AN IMAX THEATER, GIFT SHOP, CAFE, CATERED EVENTS, EDUCATION PROGRAMS AND SPONSORED PROGRAMMING IN MARINE RESEARCH, CONSERVATION AND EDUCATION. THE AQUARIUM RELIES ON ADMISSIONS REVENUE, RETAIL SALES TO ITS VISITORS AND PRIVATE GIFTS AND GRANTS FOR THE MAJORITY OF ITS OPERATIONS. THESE REVENUES AND SUPPORT ARE PRIMARILY DERIVED FROM VISITORS AND DONORS FROM THE GREATER BOSTON AREA, THE NEW ENGLAND REGION AND TOURISTS TO THE CITY.OUR FOCUS HAS BEEN ON CONTINUING TO IMPROVE THE VISITOR EXPERIENCE WITH NEW EXHIBITS AND PROGRAMS; EXPANDING OUR CLIMATE CHANGE EDUCATION WORK BEYOND OUR WALLS INTO THE COMMUNITY; STRENGTHENING SCIENCE LEARNING AND ENVIRONMENTAL STEWARDSHIP OPPORTUNITIES FOR YOUTH; AND ADVANCING STRATEGIC PLAN PRIORITIES.ON THE VISITOR EXPERIENCE FRONT, WE HAVE:-SECURITY - WE COMPLETED A MAIN CAMPUS SECURITY ASSESSMENT. -EXHIBIT MASTER PLAN - WE REVIEWED FINAL RECOMMENDATIONS AND GATHERED FEEDBACK FROM INDIVIDUAL DEPARTMENTS (FINANCE, DEVELOPMENT, VISITOR EXPERIENCE, MARKETING/COMMUNICATIONS, EVENTS, AND FISHES) ON OUR DRAFT EXHIBIT MASTER PLAN.-FUR SEAL THEME PROGRAM - WE INSTALLED UPDATED GRAPHICS (POPULATION DECLINE, BEHAVIOR), A NEW SEAL SCULPTURE (ANATOMY), NEW VIDEO MONITORS, AN ANDERSON CABOT CENTER RESEARCH PROGRAM EXHIBIT (FECAL HORMONES), AND A TECHNOLOGY EXHIBIT (DRONE ZONE).-SALMON EXHIBIT - THROUGH A NOAA GRANT, WE UPDATED THE SALMON EXHIBIT TO BETTER HIGHLIGHT THE SPECIES AND ITS CONSERVATION STORY.-INDO-PACIFIC CORAL REEF EXHIBIT - WE DEVELOPED PRELIMINARY DESIGN, ESTABLISHED COSTS AND SCHEDULE FOR THIS NEW EXHIBIT THAT OPENED IN APRIL 2019.-IMAX - WE ADDED A PROJECTOR TO THE THEATER THAT CAN SHOW DIGITAL 3D CONTENT. 4578838 86448 2207619 RESEARCH AND CONSERVATION: THE ANDERSON CABOT CENTER FOR OCEAN LIFE AT THE NEW ENGLAND AQUARIUM (ANDERSON CABOT CENTER") HAS CONTINUED TO MAKE GREAT PROGRESS ON MEETING OUR HIGH-LEVEL CONSERVATION GOALS. WE HAVE BEEN FOCUSED ON CONTINUING OUR CUTTING-EDGE SCIENTIFIC RESEARCH AND BUILDING OUR EXTERNAL CREDIBILITY THROUGH A SERIES OF KEY PARTNERSHIPS AND EVENTS THAT OUR STAFF AND SCIENTISTS HAVE TAKEN PART IN SINCE THE START OF THE YEAR IN AN EFFORT TO TURN SCIENCE INTO ACTION. WE ARE ALSO CONTINUING OUR INTERNAL CAPACITY BUILDING EFFORTS THROUGH ADDITIONAL KEY HIRES.NOTABLE HIGHLIGHTS-THE FISHERIES SCIENCE AND EMERGING TECHNOLOGIES PROGRAM RECEIVED A LARGE INDIVIDUAL MAJOR GIFT TO SUPPORT EXPANDING THE SCIENTIFIC BREADTH AND OUTREACH OF OUR COASTAL SHARK RESEARCH.-THE VOLGENAU FOUNDATION, AWARDED A GRANT FOR A CRITICAL PIECE OF THE ANDERSON CABOT CENTER'S ROPELESS FISHING GEAR INITIATIVE. THIS GRANT WILL HELP ENABLE OUR SCIENTISTS TO DETERMINE WHAT IT WOULD TAKE TO ESTABLISH ROPELESS FISHING GEAR IN THE GULF OF MAINE. OUR RESEARCHERS WILL EVALUATE THE RELATIVE EASE OF GEAR RETRIEVAL AND ANALYZE THE ECONOMIC IMPACT THAT ADOPTING ROPELESS TECHNOLOGY MAY HAVE ON FISHERMEN. -THE MARINE CONSERVATION ACTION FUND DISBURSED OVER $85,000 IN SUPPORT OF 10 SMALL-SCALE, HIGH-IMPACT PROJECTS LED BY CONSERVATION LEADERS IN MOZAMBIQUE, MADAGASCAR, SRI LANKA, PAKISTAN, CHILE, THE PHILIPPINES, INDIA, HONDURAS AND BRAZIL. THESE PROJECTS FOCUSED ON STUDYING AND PROTECTING IMPERILED SPECIES SUCH AS SAWFISH, ZEBRA SHARKS, BLUE WHALES, SOUTHERN RIGHT WHALES, INDUS RIVER DOLPHINS AND PARROTFISH.-GROUNDED IN DATA PROVIDED BY OUR AERIAL SURVEY WORK, WE LAUNCHED A PETITION IN SUPPORT OF THE NORTHEAST CANYONS AND SEAMOUNTS MARINE NATIONAL MONUMENT. SIGNATURES WERE SUBMITTED TO THE WHITE HOUSE AND THE DEPARTMENT OF THE INTERIOR IN AN EFFORT TO CONVINCE THE ADMINISTRATION TO CONTINUE PROHIBITING COMMERCIAL FISHING IN THIS SPECIAL PLACE.-OUR TEAM PARTNERED WITH MASSCEC, BOEM, AND NMFS TO CONVENE A WORKSHOP THAT BROUGHT TOGETHER MARINE SCIENTISTS, ENVIRONMENTAL NGOS, REGULATORS, AND OFFSHORE WIND LEASEHOLDERS TO DEVELOP A SCIENTIFIC RESEARCH FRAMEWORK THAT WILL GUIDE THE LONG TERM STUDY OF POTENTIAL IMPACTS TO MARINE WILDLIFE ASSOCIATED WITH OFFSHORE WIND FARM CONSTRUCTION AND OPERATION IN THE NORTHEAST. 3785661 838999 EDUCATION: FOR NEARLY 50 YEARS, THE AQUARIUM HAS PROVIDED LIFE-CHANGING EDUCATIONAL EXPERIENCES FOR PEOPLE OF ALL AGES, FROM A CHILD TOUCHING A SEA STAR TO AN ADULT LEARNING HOW HIS/HER DAILY ACTIONS CAN AFFECT THE OCEAN. THE AQUARIUM'S EDUCATIONAL IMPACT IS BROAD AND EVER EXPANDING. FROM TODDLERS TO RETIREES, FROM THE HEART OF BOSTON, ACROSS NEW ENGLAND AND AROUND THE WORLD, OUR DIVERSE AUDIENCES HAVE EXPERIENCES THEY WILL NEVER FORGET.WE ARE BUILDING THE NEXT GENERATION OF CONSERVATION LEADERS THROUGH PROGRAMS FOR YOUTH, COLLEGE STUDENTS, AND ADULT VOLUNTEERS.-TEEN INTERNS - OF 73 SUMMER TEENS HIRED, 78% HAIL FROM EDUCATIONALLY UNDERSERVED COMMUNITIES INCLUDING BOSTON (55%), CAMBRIDGE, QUINCY, SAUGUS AND CHELSEA. BOSTON'S PRIVATE INDUSTRY COUNCIL (PIC) IS DIRECTLY SUPPORTING 10 OF THESE TEENS.-CLIMATEENS - WE HAVE 41 TEENS IN OUR YOUTH CLIMATE LEADERSHIP PROGRAM THIS YEAR, WHICH INCLUDED A COLLABORATION WITH CANNON DESIGN ON CLIMATE RESILIENT DESIGN FOR SOUTH BOSTON'S MOAKLEY PARK.-LIVE BLUE AMBASSADORS (LBA) - THE LIVE BLUE AMBASSADORS PROVIDE YOUTH AGES 14 THROUGH 18 OPPORTUNITIES TO PARTICIPATE IN FIELD- BASED CONSERVATION ACTIVITIES WHERE THEY TAKE PART IN DIRECT ACTIONS TO IMPROVE COASTAL HABITATS AND SYSTEMS. IN 2018, 195 INDIVIDUAL YOUTH PARTICIPANTS SERVED 1,881 HOURS OVER THE COURSE OF 71 EVENTS.-PROMOTING EDUCATION THROUGH ACTION FOR CONSERVATION OF HABITATS (PEACH) - THIS EPA- FUNDED PROJECT IS BUILDING THE CAPACITY OF PARTNERS (BOSTON HARBOR ISLAND NATIONAL PARK, TRUSTEES OF RESERVATIONS, EMERALD NECKLACE, DCR, AND MASS AUDUBON) TO ENGAGE YOUTH AND ADULT VOLUNTEERS IN NEW HABITAT RESTORATION PROJECTS. A RECENT TRAINING ABOUT OWLS AND THEIR HABITAT NEEDS HAS LED TO NEW VOLUNTEER CITIZEN SCIENCE EFFORTS.-MARINE BIOLOGIST IN TRAINING (MBIT) - WE COMPLETED A SUCCESSFUL PILOT OF AN IN-SCHOOL VERSION OF MBIT AT THE DEARBORN STEM ACADEMY FOR THE 12TH GRADE BIOLOGY II CLASS AND THE 11TH GRADE ENVIRONMENTAL SCIENCE CLASS. THE PROGRAM WAS FOCUSED ON RIGHT WHALES, HABITAT AND FOOD WEB DYNAMICS IN THE GULF OF MAINE.-HARBOR DISCOVERIES - TO-DATE 245 SUMMER CAMPERS ARE ENROLLED, INCLUDING 67 SCHOLARSHIP RECIPIENTS, 51% OF WHOM ARE BOSTON RESIDENTS. WE ARE A NATIONAL LEADER IN EDUCATING THE PUBLIC IN CONSTRUCTIVE CONVERSATIONS ABOUT CLIMATE CHANGE AND BUILDING COMMUNITY CLIMATE RESILIENCE.-NATIONAL NETWORK OF CLIMATE CHANGE INSTRUCTORS NETWORK - WE SECURED FUNDING FROM THE PISCES FOUNDATION TO SUPPORT OUR TRANSITION TO A SUSTAINABLE, SELF-GOVERNING NATIONAL NETWORK. WE HELD OUR FIRST NETWORK-WIDE ELECTION FOR A NEW EXECUTIVE CHAIR POSITION, AND RECRUITED 29 ALUMNI TO SERVE ON NNOCCI'S SIX NEW LEADERSHIP COMMITTEES THAT WILL CONTINUE TO FACILITATE TRAINING, MEMBER ENGAGEMENT, EVALUATION AND NEW RESEARCH & DEVELOPMENT.-COMMUNITY PARTNERSHIPS FOR RESILIENCE (CPR) - THIS NOAA-FUNDED PROJECT HELD A KICKOFF MEETING WITH REPRESENTATIVES FROM CITY/TOWN PLANNING, PUBLIC SCHOOLS AND LOCAL NON-PROFIT ORGANIZATIONS FROM CHELSEA, LYNN AND HULL, MA. COLLEAGUES FROM THE METROPOLITAN AREA PLANNING COUNCIL CO-FACILITATED AND PRESENTED AN OVERVIEW OF CLIMATE SCIENCE AND IMPACTS.-CHANGE MAKERS ADVANCING SCIENCE LITERACY (CASL) - THIS NSF-FUNDED PROJECT HAS FORMED A TEAM OF COLLEAGUES FROM NON-PROFIT ORGANIZATIONS IN EAST BOSTON. THIS "CITY TEAM" IS LISTENING CAREFULLY TO THE ASPIRATIONS OF COMMUNITY MEMBERS AS A KEY STEP TOWARD BUILDING CLIMATE ACTION PLANS, USING TOOLS AND PROTOCOLS FROM PARTNERS AT THE HARWOOD INSTITUTE.WE ARE HELPING TO PROMOTE STEM FLUENCY FOR EDUCATIONALLY UNDERSERVED YOUTH IN BOSTON THROUGH PROGRAMS IN SCHOOL, AFTER SCHOOL, AND DURING THE SUMMER.-EARLY EDUCATION - WE PROVIDED TWO NEW WORKSHOPS ON HOW TO DEVELOP EARLY CHILDHOOD STEM FLUENCY FOR 30 TEACHERS, AS WELL AS A CONFERENCE PRESENTATION FOR 32 INFORMAL EDUCATORS.-TEACHER ADVISORY COUNCIL - THE COUNCIL CREATED CHAPERONE GUIDES TO IMPROVE THE EDUCATIONAL EXPERIENCE AND IMPACT FOR SCHOOL GROUPS VISITING THE AQUARIUM.-COMMUNITIES CONNECTING TO THE OCEAN (C2O) - WE COMPLETED AFTER SCHOOL SERIES WITH FOUR BOSTON COMMUNITY CENTERS, HELPING YOUTH TO FOSTER THEIR IDENTITY AS A SCIENCE LEARNER BY PROVIDING THEM WITH TOOLS AND TECHNIQUES TO INVESTIGATE LOCAL TIDE POOL ANIMALS.-FAMILY LEARNING - WITH FUNDING FROM AZA'S NATURE PLAY INITIATIVE, WE PRODUCED FAMILY EXPLORATION GUIDES FOR SUMMER 2018 TO HELP FAMILIES TO EXPLORE THE COAST. THE GUIDES, ORIGINALLY DEVELOPED IN 2016, HAVE ALREADY BEEN TESTED WITH FAMILIES AND PARTNERS. THIS GRANT ALLOWED US TO TRANSLATE THE GUIDES INTO SPANISH AND TO PRODUCE COPIES FOR DISTRIBUTION AT LOCAL BEACHES AND COMMUNITY CENTERS.THROUGH PUBLIC PROGRAMS AND NETWORKS, WE EXTEND THE REACH OF THE AQUARIUM IN PROMOTING OCEAN STEWARDSHIP.-NEW ENGLAND OCEAN SCIENCE EDUCATION COLLABORATIVE (NEOSEC) WE CONVENED A BIENNIAL OCEAN LITERACY SUMMIT FOR APPROXIMATELY 200 OCEAN SCIENTISTS AND EDUCATORS, ON NOVEMBER 15-16 AT NORTHEASTERN AND UMASS BOSTON.-LECTURES OUR PUBLIC LECTURE SERIES, SUPPORTED BY THE LOWELL INSTITUTE, REACHED 3,405 PEOPLE AT 21 EVENTS COVERING A RANGE OF SCIENCE AND CONSERVATION TOPICS. 7191512 666682 OTHER - THE AQUARIUM IS A PIONEER IN RESCUE AND REHABILITATION OF CERTAIN MARINE MAMMALS AND OTHER SPECIES. DURING THE WINTER OF 2018, WE RESCUED AND REHABILITATED STRANDED SEA TURTLES (PRIMARILY KEMP'S RIDLEY TURTLES) RESULTING FROM COLD STUNNING. WE CONTINUED TO WORK WITH OUR PARTNERS AT BOSTON HARBOR CRUISES ("BHC") TO OFFER THE NEW ENGLAND AQUARIUM WHALE WATCH, OPERATED BY BHC. THIS COMBINED EFFORT HAS GENERATED INCREASED WHALE WATCH ATTENDANCE AND EXPANDED SIGNIFICANTLY THE REACH OF OUR WHALE CONSERVATION PROGRAMMING.TOTAL OTHER COSTS REPRESENT THE REMAINING PROGRAM SERVICE EXPENSES PER PART IX THAT WERE NOT ATTRIBUTABLE TO EXHIBITION, RESEARCH, OR EDUCATION. TOTAL OTHER REVENUE REPRESENTS PROGRAMMATIC CORPORATE SPONSORSHIPS AND OTHER MISCELLANEOUS INCOME PER PART VIII THAT WERE NOT ATTRIBUTABLE TO EXHIBITION, RESEARCH, OR EDUCATION. 7191512 666682 40809199 1 1 0 1 0 1 0 0 0 1 1 0 0 0 0 1 0 1 0 0 1 1 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 26 0 1 504 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 24 22 0 0 0 0 1 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 MA CT NH ME NY X PATRICIA A WONG 6172262140 177 MILK STREET BOSTON MA 02110 DAVID ALTSHULER TRUSTEE 2.00 0.00 X 0 0 0 BARBARA BURGESS TRUSTEE 1.00 0.00 X 0 0 0 THOMAS R BURTON III TRUSTEE 4.00 0.00 X 0 0 0 LINDA N CABOT TRUSTEE 2.00 0.00 X 0 0 0 JARED A CHASE TRUSTEE 2.00 0.00 X 0 0 0 BARBARA EISENSON TRUSTEE 1.00 0.00 X 0 0 0 DANIEL S EVANS TRUSTEE/SECRETARY OF THE CORPORATION 2.00 0.00 X X 0 0 0 DEAN GOODERMOTE TRUSTEE 1.00 0.00 X 0 0 0 DONNA K HAZARD TRUSTEE/INTERIM CEO (UNTIL 7-18) 20.00 0.00 X X 89250 0 0 KATHLEEN G HEALY TRUSTEE 1.00 0.00 X 0 0 0 PAMELA PETRI-HUMPHREY TRUSTEE 1.00 0.00 X 0 0 0 DOUGLASS E KARP TRUSTEE 1.00 0.00 X 0 0 0 TIM HEALY TRUSTEE 1.00 0.00 X 0 0 0 SCOTT H PAGE TRUSTEE 2.00 0.00 X 0 0 0 ANN B PEACHER TRUSTEE 1.00 0.00 X 0 0 0 MARY T RENNER TRUSTEE 2.00 0.00 X 0 0 0 DUNCAN W RICHARDSON TRUSTEE 1.00 0.00 X 0 0 0 BRIAN SKERRY TRUSTEE 1.00 0.00 X 20000 0 0 PETER O WILDE TRUSTEE 1.00 0.00 X 0 0 0 DAVID BECHHOFER TRUSTEE 1.00 0.00 X 0 0 0 ALEXANDER D LEVENTHAL TRUSTEE 2.00 0.00 X 0 0 0 RAYMOND F MUI TRUSTEE 1.00 0.00 X 0 0 0 JEFFREY F PETERS TRUSTEE 1.00 0.00 X 0 0 0 MALIZ E BEAMS TRUSTEE 1.00 0.00 X 0 0 0 VERONIQUE N SPRUILL PRESIDENT & CEO 39.00 1.00 X 298082 0 0 P ERIC KRAUSS EVP, CFO & COO 39.00 1.00 X 366966 0 44546 WILLIAM S SPITZER VP LEARNING & COMMUNITY 40.00 0.00 X 202397 0 65163 JANE WOLFSON VP MARKETING & COMM. 40.00 0.00 X 198575 0 21238 SCOTT D KRAUS VP, SENIOR SCIENCE ADVISOR - CF SCI 40.00 0.00 X 188639 0 24097 MARK F SMITH VP ANIMAL CARE 40.00 0.00 X 178494 0 30618 ANN PERRY VP HUMAN RESOURCES 40.00 0.00 X 154769 0 50428 JOHN W MANDELMAN VP ANDERSON CABOT CTR. & CHF SCI 40.00 0.00 X 137942 0 42532 ROBIN A ELKINS VP DEVELOPMENT 40.00 0.00 X 221483 0 24833 PATRICIA WONG AVP FINANCE & CONTROLLER 40.00 0.00 X 133083 0 45102 DEBRA BORGWARDT AVP SALES & PARTNERSHIPS 40.00 0.00 X 120973 0 24149 ROSALIND M ROLLAND DIRECTOR OF OCEAN HEALTH 40.00 0.00 X 114996 0 24272 TISHA K STIMA DIRECTOR OF INSTITUTIONAL GIVING 40.00 0.00 X 119646 0 25923 TIMOTHY WERNER SENIOR SCIENTIST 40.00 0.00 X 112479 0 34056 2657774 0 456957 19 0 1 0 CENTERPLATE ONE INDEPENDENCE POINTS GREENVILLE SC 29306 FOOD VENDOR 2608319 C & W FACILITY SERVICES INC 4002 SOLUTIONS CENTER CHICAGO IL 60672 CLEANING COMPANY 1075396 CONNELLY PARTNERS LLC 46 WALTHAM ST BOSTON MA 02118 ADVERTISING AGENCY 1033422 HALLSMITH SYSCO 99 SPRING STREET PLYMPTON MA 02367 FOOD VENDOR 753178 SCHULTZ & WILLIAMS INC 1617 JFK BLVD SUITE 1700 PHILADELPHIA PA 19103 DEVELOPMENT SERVICES 401209 26 3246235 6558750 103362 9804985 ADMISSIONS 900099 22301877 22301877 RESEARCH, CONSERVATION, ED. 900099 3046618 3046618 25348495 734044 734044 81853 86905 -5052 -5052 -5052 12722355 3906591 8815764 3991809 4823955 FEES 900099 1194881 1194881 CORPORATE SPONSORSHIP 900099 593775 593775 MISCELLANEOUS INCOME 900099 72907 72907 1861563 46559799 31201867 4823955 728992 86448 86448 1735451 659471 711535 364445 14574634 12242693 1748956 582985 235518 197835 28262 9421 3179033 2670388 381484 127161 1247264 1047701 149672 49891 43228 36312 5187 1729 127700 107268 15324 5108 122700 122700 3535358 2969701 424243 141414 1264223 1036663 176991 50569 1710599 1436903 205272 68424 4245811 4245811 201970 169655 24236 8079 84095 70640 10091 3364 407540 407540 4847068 4847068 575759 483638 69091 23030 COST OF GRANTS AND CONT 2796694 2796694 SUPPLIES 1213936 1019707 145672 48557 CUSTODIAL SERVICES 1183403 994059 142008 47336 IMAX FILM FEES 903548 903548 2819329 2379456 329907 109966 47141309 40809199 4567931 1764179 1291329 1729725 1909272 1926200 745601 1092112 181660 113365 794347 611371 119789171 69961217 52694186 49827954 23368823 22007084 2568232 2392351 83553450 79700162 6836714 7482031 3386106 2463449 20663065 19215792 30885885 29161272 X 35046238 31958514 11219534 12353464 6401793 6226912 52667565 50538890 83553450 79700162 X -581510 -1464760 -82405 X 0 1 X 1 1 1 X 7149214 7419911 11409423 8429726 9804985 44213259 7149214 7419911 11409423 8429726 9804985 44213259 1981067 42232192 487162 537802 502410 487769 734044 2749187 302787 427034 380422 1110243 1314367 1355608 1603214 1585488 1788656 7647333 55720022 129304655 0.75790 0.75700 X 0 0 0 45377130 45377130 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 28000 0 0 0 28000 250000 250000 250000 250000 1000000 1500000 1 298998 1 1 20773026 758000 -840824 666776 20023426 18579132 14991 2302359 123456 20773026 17345419 5000 1355373 126660 18579132 17770232 2000 -298014 128799 17345419 17400300 7000 491132 128200 17770232 0.69000 0.31000 0.00000 1 0 50235 50235 80299798 43311303 36988495 7213082 4205682 3007400 23237518 15736104 7501414 8988538 6708128 2280410 49827954 X 49225284 -1464760 296059 3834186 2665485 46559799 0 46559799 51367513 296059 3930145 4226204 47141309 0 47141309 PART V, LINE 4: TO GENERATE EARNINGS TO SUPPORT VARIOUS MISSION RELATED PROGRAMS PER INTENT OF NAMED ENDOWMENT FUND AND GENERAL ADMINISTRATION. PART X, LINE 2: THE AQUARIUM 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. THE AQUARIUM HAS IDENTIFIED ITS TAX STATUS AS A TAX EXEMPT ENTITY AND ITS DETERMINATIONS AS TO ITS INCOME BEING RELATED OR UNRELATED AS ITS ONLY SIGNIFICANT TAX POSITIONS AND HAS DETERMINED THAT SUCH TAX POSITIONS DO NOT RESULT IN AN UNCERTAINTY REQUIRING RECOGNITION. THE AQUARIUM IS NOT CURRENTLY UNDER EXAMINATION BY ANY TAXING JURISDICTION. THE AQUARIUM'S 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: COST OF GOODS SOLD 3,906,591. MARINE LIFE CENTER REVENUE 10,000. GAIN ON VALUATION OF PENSION LIABILITY 259,976. NET CHANGE IN BENEFICIAL TRUST -182,881. LOSS ON VALUATION OF NON-QUALIFIED PENSION LIABILITY -159,500. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 3,906,591. MARINE LIFE CENTER EXPENSES 23,554. 1 SOUTH AMERICA 0 0 GRANTMAKING 19500 SOUTH ASIA 0 0 GRANTMAKING 33291 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 9880 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 13777 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 10000 0 0 0 0 0 0 86448 0 86448 SOUTH AMERICA RESEARCH SUPPORT FOR SOUTHERN RIGHT WHALES IN CHILE 10000 WIRE TRANSFER SOUTH ASIA RESEARCH SUPPORT FOR DOLPHINS AND PORPOISES IN INDIAN WATERS 7500 WIRE TRANSFER CENTRAL AMERICA AND THE CARIBBEAN SUPPLIES TO SUPPORT FIELDWORK TO STUDY SUSTAINABILITY IN DEEP-SEA FISHERIES IN BELIZE AND WESTERN HONDURAS 9880 WIRE TRANSFER SOUTH ASIA SUPPLIES FOR FIELD WORK TO STUDY WHALES 11395 WIRE TRANSFER SOUTH AMERICA SUPPLIES TO SUPPORT RESEARCH AND COMMUNITY BASED ACTIONS TO CONSERVE ENDANGERED PARROTFISH 9500 WIRE TRANSFER EAST ASIA AND THE PACIFIC COMMUNITY SUPPORT FOR MARINE PROTECTED AREA FOR SHARKS 10000 WIRE TRANSFER SUB-SAHARAN AFRICA SUPPLIES AND RESEARCH SUPPORT TO STUDY EDNA OF SAWFISHES IN MADAGASCAR 9550 WIRE TRANSFER SOUTH ASIA SUPPORT FOR FIELD WORK TO STUDY ENDANGERED INDUS RIVER DOLPHIN 9846 WIRE TRANSFER 8 0 0 0 0 0 0 0 PART I, LINE 2: THE ORGANIZATION REQUIRES PERIODIC FINANCIAL AND PROGRAMMATIC REPORTS, ALONG WITH SUPPORTING DOCUMENTS AND THE IDENTIFICATION OF PROGRAM ACHIEVEMENTS X X X X X X X 1 ARTSMARKETING SERVICES INC 260 KING ST EAST STE 500 TORONTO ONTARIO CA M5A 4L5 PHONE SOLICITATION 0 265802 124522 141280 265802 124522 141280 MA NH CT NY ME X X X X X 0 0 0 0 0 0 0 1 1 1 VERONIQUE N SPRUILL PRESIDENT & CEO 171375 0 126167 0 540 0 0 0 0 0 298082 0 0 0 P ERIC KRAUSS EVP, CFO & COO 265562 0 100000 0 1404 0 7986 0 36560 0 411512 0 0 0 WILLIAM S SPITZER VP LEARNING & COMMUNITY 200993 0 0 0 1404 0 31582 0 33581 0 267560 0 0 0 JANE WOLFSON VP MARKETING & COMM. 197387 0 0 0 1188 0 8114 0 13124 0 219813 0 0 0 SCOTT D KRAUS VP, SENIOR SCIENCE ADVISOR - CF SCI 187300 0 0 0 1339 0 15330 0 8767 0 212736 0 0 0 MARK F SMITH VP ANIMAL CARE 177187 0 0 0 1307 0 5609 0 25009 0 209112 0 0 0 ANN PERRY VP HUMAN RESOURCES 153631 0 0 0 1138 0 23219 0 27209 0 205197 0 0 0 JOHN W MANDELMAN VP ANDERSON CABOT CTR. & CHF SCI 136948 0 0 0 994 0 17523 0 25009 0 180474 0 0 0 ROBIN A ELKINS VP DEVELOPMENT 220079 0 0 0 1404 0 1592 0 23241 0 246316 0 0 0 PATRICIA WONG AVP FINANCE & CONTROLLER 132073 0 0 0 1010 0 17501 0 27601 0 178185 0 0 0 PART I, LINE 7 ALL PAYMENTS MADE TO THE CEO & PRESIDENT WERE FIXED PAYMENTS IN ACCORDANCE WITH THE CONTRACT APPROVED BY THE BOARD OF TRUSTEES. THE CHIEF OPERATING & FINANCIAL OFFICER ("COO/CFO") RECEIVED PAYMENTS DURING 2018, WHICH WERE APPROVED BY THE BOARD OF TRUSTEES. THE COMPENSATION REPRESENTED PERFORMANCE BONUSES CONTINGENT UPON ACHIEVING CERTAIN GOALS SET AND APPROVED BY THE BOARD OF TRUSTEES. THE DIRECTOR OF INSTITUTIONAL GIVING RECEIVED PAYMENTS DURING 2018, WHICH REPRESENTED ADDITIONAL COMPENSATION TO FILL A VACANT DIRECTOR LEVEL POSITION ON AN INTERIM BASIS. PART I, LINE 8 IN 2018 THE NEW ENGLAND AQUARIUM HIRED A NEW CEO, WHOSE COMPENSATION WAS ESTABLISHED THROUGH AN ARMS LENGTH NEGOTIATION INFORMED BY THE FACTORS LISTED IN THE EXECUTIVE COMPENSATION REVIEW PROCESS DESCRIBED BELOW AS WELL AS THE CANDIDATE'S EXCEPTIONAL QUALIFICATIONS FOR THE POSITION. THESE QUALIFICATIONS INCLUDED EXTENSIVE EXPERIENCE AS A CEO, EXPERTISE IN PRIORITY AREAS SUCH AS PHILANTHROPY AND STRATEGIC COMMUNICATIONS, AND A NETWORK AND HISTORY OF ACCOMPLISHMENT IN THE FIELD OF OCEAN CONSERVATION. SUBSEQUENTLY, AT YEAR END 2018, THE BOARD OF TRUSTEES CONDUCTED IT'S ANNUAL PROCESS TO REVIEW THE BASE COMPENSATION AND ANY BONUS OPPORTUNITIES AND/OR DETERMINATIONS FOR THE CEO AND THE COO/CFO. THIS PROCESS IS SUMMARIZED IN SCHEDULE O. A NEW ENGLAND AQUARIUM ISSUE SERIES 2012 042297514 000000000 2012-11-01 19730000 SEE SCHEDULE O 0 1 0 A 19385000 19730000 345000 2012 0 0 1 1 A 0 0 1 1 0 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: NEW ENGLAND AQUARIUM ISSUE SERIES 2012 DATE THE REBATE COMPUTATION WAS PERFORMED: 11/01/2017 SCHEDULE K, PART VI THE PURPOSE OF THIS BOND ISSUE WAS TO REFINANCE THE OUTSTANDING PRINCIPAL AMOUNT OF A LOAN MADE BY THE MASSACHUSETTS HEALTH AND EDUCATIONAL FACILITIES AUTHORITY (THE AUTHORITY) TO THE ORGANIZATION FROM THE PROCEEDS OF THE AUTHORITY'S REVENUE BONDS, NEW ENGLAND AQUARIUM ISSUE SERIES 2007. A PORTION OF THE PROCEEDS OF THIS BOND ISSUE WAS ALSO USED TO PAY COSTS OF ISSUING THE BOND. X 13 86905 FMV X CONTRIBUTED ITEMS FOR AQUARIUM EVENT 6 13457 FMV X AQUARIUM EQUIPMENT 1 3000 FMV 0 0 0 0 PART I, LINE 32B: THE NUMBER REPORTED IN PART I, COLUMN (B), REPRESENTS THE NUMBER OF CONTRIBUTIONS OF GIFTS, NOT THE NUMBER OF ITEMS CONTRIBUTED. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS MEMBERS BUT DOES NOT HAVE STOCKHOLDERS. MEMBERSHIP AT THE AQUARIUM PROVIDES LIMITED BENEFITS SUCH AS UNLIMITED VISITATION TO OUR EXHIBITS AND DISCOUNTS AT THE CAFE, GIFT SHOP AND IMAX THEATER FOR A PERIOD OF 1 YEAR. MEMBERSHIP IS A MEANS OF PROVIDING MUCH NEEDED FINANCIAL SUPPORT TO THE ORGANIZATION AND EXPOSING PEOPLE TO OUR MISSION. HOWEVER, MEMBERSHIP DOES NOT PROVIDE ENTITLEMENTS OR RIGHTS SUCH AS ELECTING INDIVIDUALS TO THE GOVERNING BODY, ANY INFLUENCE IN ESTABLISHING POLICIES, PROCEDURES OR MANAGERIAL ACTIONS OR AN OWNERSHIP STAKE. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED BY MANAGEMENT AND REVIEWED BY INDEPENDENT PUBLIC ACCOUNTANTS. ONCE THE DOCUMENT IS CONSIDERED READY FOR REVIEW, COPIES (EXCLUDING SCHEDULE B) ARE DISTRIBUTED TO THE MEMBERS OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AT LEAST ONE WEEK PRIOR TO A PREVIOUSLY SCHEDULED MEETING TO REVIEW IT. SCHEDULE B IS NOT INCLUDED FOR REVIEW IN ORDER TO RESPECT DONOR CONFIDENTIALITY AS REQUESTED BY SEVERAL DONORS. IN ADDITION TO THE FORM 990, MANAGEMENT PREPARES AND DISTRIBUTES A SUMMARY OF KEY ELEMENTS CONTAINED IN THE FORM 990 TO FACILITATE THE REVIEW. A COPY OF FORM 990-T IS ALSO PROVIDED ALONG WITH A BREAKOUT OF THE VARIOUS BUSINESS ACTIVITIES THAT HAVE BEEN IDENTIFIED AS GENERATING UNRELATED BUSINESS INCOME. DURING THE MEETING, MANAGEMENT LEADS THE COMMITTEE THROUGH THE SUMMARY DOCUMENT, PAUSING TO ADDRESS QUESTIONS AND FACILITATE DISCUSSION AS NECESSARY. THE TAX PROFESSIONAL FROM THE ORGANIZATION'S PUBLIC ACCOUNTING FIRM WHO REVIEWED THE DOCUMENT IS ALSO PRESENT AND PARTICIPATES IN THE REVIEW SESSION. MINUTES OF THE MEETING ARE PREPARED AND RETAINED AS A RECORD. ANY CHANGES RESULTING FROM THE REVIEW ARE INCORPORATED IN THE FORM 990 AND THE COMMITTEE CHAIR DISTRIBUTES THAT DOCUMENT (EXCLUDING SCHEDULE B, WHICH IS REDACTED TO HONOR THE REQUEST FOR CONFIDENTIALITY OF SEVERAL DONORS) TO THE FULL BOARD OF TRUSTEES WITH HIS/HER COMMENTS BEFORE IT IS FILED. THE FULL BOARD IS TYPICALLY GIVEN A WEEK TO TEN DAYS TO COMMENT PRIOR TO IT BEING FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY, THE ORGANIZATION DISTRIBUTES ITS CONFLICT OF INTEREST POLICY, ALONG WITH A CERTIFICATION AND DESCRIPTION PAGE, TO OFFICERS, TRUSTEES AND SELECT MIDDLE MANAGEMENT EMPLOYEES. THEY ARE TO COMPLETE AND RETURN THE CERTIFICATION THAT THEY DO NOT HAVE ANY CONFLICT OF INTEREST OR DISCLOSE WHAT CONFLICTS THEY MAY HAVE. MANAGEMENT MONITORS THE RECEIPT OF THESE CERTIFICATIONS TO ENSURE THAT ALL ARE RETURNED AND MAINTAINED ON FILE. CONFLICT OF INTEREST DISCLOSURES ARE REVIEWED AND A DETERMINATION IS MADE ON WHAT ACTION, IF ANY, MUST BE TAKEN TO PRESERVE GENERALLY ACCEPTED GOVERNING PRINCIPLES AND AVOID REAL AND/OR PERCEIVED CONFLICTS WHEN THE INDIVIDUAL IS EXPECTED TO VOTE OR MAKE A BUSINESS DECISION. FORM 990, PART VI, SECTION B, LINE 15 IN 2018 THE NEW ENGLAND AQUARIUM HIRED A NEW CEO, WHOSE COMPENSATION WAS ESTABLISHED THROUGH AN ARMS LENGTH NEGOTIATION INFORMED BY THE FACTORS LISTED IN THE EXECUTIVE COMPENSATION REVIEW PROCESS DESCRIBED BELOW AS WELL AS THE CANDIDATE'S EXCEPTIONAL QUALIFICATIONS FOR THE POSITION. THESE QUALIFICATIONS INCLUDED EXTENSIVE EXPERIENCE AS A CEO, EXPERTISE IN PRIORITY AREAS SUCH AS PHILANTHROPY AND STRATEGIC COMMUNICATIONS, AND A NETWORK AND HISTORY OF ACCOMPLISHMENT IN THE FIELD OF OCEAN CONSERVATION. SUBSEQUENTLY, AT YEAR END 2018, THE BOARD OF TRUSTEES CONDUCTED IT'S ANNUAL PROCESS TO REVIEW THE BASE COMPENSATION AND ANY BONUS OPPORTUNITIES AND/OR DETERMINATIONS FOR THE CEO AND THE COO/CFO. THIS PROCESS IS SUMMARIZED BELOW. THE CHAIR OF THE BOARD OF TRUSTEES ANNUALLY APPOINTS A COMPENSATION COMMITTEE TO REVIEW AND MAKE RECOMMENDATIONS TO THE BOARD OF TRUSTEES CONCERNING THE BASE COMPENSATION AND ANY BONUS OPPORTUNITIES AND/OR DETERMINATIONS FOR THE CEO AND COO/CFO. THE BOARD OF TRUSTEES (OR, PURSUANT TO DELEGATED AUTHORITY, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, IF THE DECISIONS ARE MADE BETWEEN MEETINGS OF THE FULL BOARD OF TRUSTEES) THEN REVIEWS AND MAKES FINAL DETERMINATIONS ON SALARY AND ANY BONUS OPPORTUNITIES AND/OR DETERMINATIONS FOR THE CEO AND COO/CFO. THE BOARD OF TRUSTEES ALSO REVIEWS AND APPROVES ANY MAJOR CHANGES IN THE BENEFIT PLANS THAT ARE APPLICABLE TO THE CEO AND COO/CFO. THE BOARD OF TRUSTEES TAKES INTO CONSIDERATION THE CEO'S EVALUATION OF THE COO/CFO'S PERFORMANCE IN DETERMINING THE SALARY AND ANY BONUS OPPORTUNITIES AND/OR DETERMINATIONS FOR THE COO/CFO. IT IS THE ORGANIZATION'S POLICY TO PROVIDE DIRECT COMPENSATION PROGRAMS AND POTENTIAL EARNING OPPORTUNITIES WHICH REFLECT THE RELATIVE SIZE AND PERFORMANCE OF THE ORGANIZATION IN THE INDUSTRY SEGMENT OF WHICH IT IS A PART AND WHICH ACCOMPLISH THE ORGANIZATION'S MISSION AND TAX-EXEMPT PURPOSE WITHOUT CAUSING ANY PART OF THE ORGANIZATION'S NET EARNINGS TO INURE TO THE PRIVATE BENEFIT OF AN INDIVIDUAL. SIMULTANEOUSLY, THE POLICY SUPPORTS THE CHALLENGES FACED BY THE ORGANIZATION BY PROVIDING INCREASED PAY-FOR-PERFORMANCE OPPORTUNITIES TO THE CEO AND COO/CFO. THE COMPENSATION COMMITTEE CARRIES OUT THIS POLICY ON AN ANNUAL BASIS OR AS A NEED ARISES. THE COMMITTEE IS PROVIDED THE FOLLOWING INFORMATION BY THE VICE PRESIDENT OF HUMAN RESOURCES OF THE ORGANIZATION: -RELEVANT LOCAL MARKET COMPENSATION DATA FOR THE CEO AND COO/CFO FROM PUBLISHED SURVEYS OF OTHER ORGANIZATIONS. -FORM 990 COMPENSATION DATA FOR THE RELEVANT POSITIONS AT OTHER TAX-EXEMPT ORGANIZATIONS OF COMPARABLE SIZE AND COMPLEXITY BOTH WITHIN AND OUTSIDE THE CULTURAL INSTITUTIONAL SEGMENT. -COMPENSATION DATA OF CEOS AND COO/CFOS OBTAINED THROUGH A NATIONAL NETWORK OF AQUARIA HUMAN RESOURCE PROFESSIONALS. -COMPENSATION DATA OF CEOS AND COO/CFOS OBTAINED THROUGH A LOCAL NETWORK OF CULTURAL INSTITUTION HUMAN RESOURCE PROFESSIONALS. THE COMPENSATION COMMITTEE REVIEWS THE INFORMATION PROVIDED AND VOTES TO: SET BASE SALARY, ANNUAL BONUS AWARDS AND BONUS PERFORMANCE CRITERIA, IN LIGHT OF MARKET DATA AND THE CEO'S AND COO/CFO'S BACKGROUND, EXPERIENCE, SKILLS, AND JOB PERFORMANCE. THE COMPENSATION COMMITTEE THEN RECOMMENDS WHAT IT HAS APPROVED TO THE BOARD OF TRUSTEES (OR THE EXECUTIVE COMMITTEE ACTING ON BEHALF OF THE BOARD OF TRUSTEES) FOR FINAL REVIEW AND APPROVAL. THE 2018 BASE SALARY AND BONUS OPPORTUNITIES FOR THE COO/CFO WERE DETERMINED BY THE BOARD OF TRUSTEES (OR, PURSUANT TO DELEGATED AUTHORITY, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES.) BASED ON RECOMMENDATIONS BY THE CEO. THE 2018 BASE SALARY AND BONUS OPPORTUNITIES FOR THE CEO WERE DETERMINED BY THE BOARD OF TRUSTEES (OR, PURSUANT TO DELEGATED AUTHORITY, THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES.) FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS INCLUDING ITS CONFLICT OF INTEREST POLICY, AND ITS FINANCIAL STATEMENTS, AVAILABLE TO THE PUBLIC BY REQUESTING THEM IN WRITING OR IN PERSON TO NEW ENGLAND AQUARIUM, CENTRAL WHARF, BOSTON, MA 02110. THE FORM 990 IS AVAILABLE ON WWW.GUIDESTAR.COM AND THE MASSACHUSETTS ATTORNEY GENERAL'S WEBSITE AS WELL AS UPON REQUEST. FORM 990, PART XI, LINE 9: GAIN ON VALUATION OF PENSION LIABILITY 259,976. LOSS ON VALUATION OF NON-QUALIFIED PENSION LIABILITY -159,500. NET CHANGE IN BENEFICIAL TRUST -182,881. NEW ENGLAND AQUARIUM MARINE LIFE CENTER INC 177 MILK STREET BOSTON MA 021103399 223334951 ESTABLISH & MAINTAIN A CTR FOR THE RESCUE, TREATMENT & REHAB OF MARINE ANIM MA 501(C)(3) LINE 12A, I N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0