2019-11-13T12:06:56-06:00 2018-12-31 521392008 GELMAN ROSENBERG & FREEDMAN 4550 MONTGOMERY AVE SUITE 800N BETHESDA MD 208142930 990 2018-01-01 522204208 FS-ISAC INC FS-I 3015799114 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 DANIELLE METZLER CFO 3015799114 2019-11-13 1 RICHARD J LOCASTRO CPA P00288314 3019519090 75.103.231.202 2019-11-13 13:06:48 ES P 4FA38BE9C690C82C721A5060F87FC7588CB81F81 D76CF291FD7D2186D5132295390FB0E9EDD7D000 2018 2020-01-14 16:20:31Z STEVEN SILBERSTEIN 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 46110295 0 X WWW.FSISAC.COM X 2003 DE SEE PART III, LINE 1. 14 14 116 14 0 0 0 208275 35039316 37054150 167221 213566 164208 0 35370745 37475991 0 206653 0 0 16815054 21011538 0 0 0 16571215 19319997 33386269 40538188 1984476 -3062197 21820607 24586239 14968786 20835603 6851821 3750636 X THE FS-ISAC'S MISSION IS TO HELP ASSURE THE RESILIENCE AND CONTINUITY OF THE GLOBAL FINANCIAL SERVICES INFRASTRUCTURE AND INDIVIDUAL FIRMS AGAINST ACTS THAT COULD SIGNIFICANTLY IMPACT THE SECTOR'S ABILITY TO PROVIDE SERVICES CRITICAL TO THE ORDERLY FUNCTIONING OF THE GLOBAL ECONOMY. THE FS-ISAC'S PRIMARY OBJECTIVE IS TO DISSEMINATE AND FOSTER THE SHARING OF RELEVANT AND ACTIONABLE INFORMATION AMONG PARTICIPANTS TO ENSURE THE CONTINUED PUBLIC CONFIDENCE IN GLOBAL FINANCIAL SERVICES. 0 0 MEMBERSHIP FEES: BASED ON LEVEL OF SERVICE, FS-ISAC MEMBERS TAKE ADVANTAGE OF A HOST OF IMPORTANT BENEFITS, INCLUDING EARLY NOTIFICATION OF SECURITY THREATS AND ATTACKS, ANONYMOUS INFORMATION SHARING ACROSS THE FINANCIAL SERVICES INDUSTRY, REGULARLY SCHEDULED MEMBER MEETINGS, AND BI-WEEKLY CONFERENCE CALLS. CONFERENCE: SEMI-ANNUAL CONFERENCE IS HELD WITH OUR MEMBERS, AFFILIATES AND SPONSORS TO NETWORK AND BRAINSTORM NEW IDEAS IN A WORKGROUP AND SEMINAR SETTING. REGIONAL EVENTS PROGRAM: FS-ISAC WANTS TO INCREASE AWARENESS IN THE FINANCIAL SERVICES INDUSTRY ABOUT THE RISKS OF ONLINE ACCOUNT TAKE-OVER. THE EXPOSURE FROM ONLINE ACCOUNT TAKE-OVER CONTINUES TO BE A SIGNIFICANT RISK TO THE INDUSTRY. FS-ISAC HAS THE GOAL OF GROWING FINANCIAL INSTITUTION MEMBERSHIP IN THE ORGANIZATION. GROWTH IN MEMBERSHIP WILL INCREASE THE KNOWLEDGE OF RISKS AND RISK MITIGATION TECHNIQUES AS WELL AS SUSTAIN DUES REVENUE FOR THE FS-ISAC. 0 1 0 1 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 43 0 1 116 1 0 1 SN 0 0 0 0 0 0 X 14 14 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 0 0 X DANIELLE METZLER 3015799114 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 JASON WITTY CHAIRMAN 0.20 X X 0 0 0 BYRON COLLIE VICE CHAIRMAN 0.20 X X 0 0 0 JERRY PERULLO SECRETARY 0.20 X X 0 0 0 GLENN FOSTER TREASURER 0.20 X X 0 0 0 CRAIG FROELICH BOARD MEMBER 0.20 X 0 0 0 MEG ANDERSON BOARD MEMBER 0.20 X 0 0 0 TOM SCARBOROUGH BOARD MEMBER 0.20 X 0 0 0 ANN BARRON-DICAMILO BOARD MEMBER 0.20 X 0 0 0 TIM BYRD BOARD MEMBER 0.20 X 0 0 0 GAVIN FRAMPTON BOARD MEMBER 0.20 X 0 0 0 MATTHEW HARPER BOARD MEMBER 0.20 X 0 0 0 KORAL ANDERSON BOARD MEMBER 0.20 X 0 0 0 LINDA BETZ BOARD MEMBER 0.20 X 0 0 0 BEATE ZWIJNENBERG BOARD MEMBER 0.20 X 0 0 0 WILLIAM NELSON CEO (THROUGH 12/18) 40.00 X 941726 0 39303 LAURA FLEMING CFO (THROUGH 11/18) 40.00 X 345432 0 29067 SCOTT DEPASQUALE CEO, FSARC 40.00 X 625486 0 2539 DONALD CARDINAL MANAGING DIR., FINDEX (BEG. 12/18) 40.00 X 16667 0 0 ERIC GUERRINO EVP OPERATIONS 40.00 X 418251 0 35394 ROBIN FANTIN SENIOR VP, SALES AND MARKETING 40.00 X 886805 0 41550 JOHN CARLSON CHIEF OF STAFF 40.00 X 403385 0 27675 BRIAN TISHUK GENERAL COUNSEL 40.00 X 292781 0 27709 GREG TEMM CHIEF RISK OFFICER 40.00 X 305554 0 38360 GREGORY GIST VICE PRESIDENT-EXERCISE 40.00 X 265556 0 29118 4501643 0 270715 51 0 1 0 ERNST AND YOUNG US LLP PO BOX 640382 PITTSBURGH PA 15264 FSARC INITIATIVE SERVICES 640555 WHITEFORD TAYLOR & PRESTON 7 SAINT PAUL ST BALTIMORE MD 21202 LEGAL SERVICES 338941 SHAUN BRADY 3549 FOXHALL DRIVE DAVIDSONVILLE MD 20134 CYBER SERVICES 243901 WHITE AND WILLIAMS LLP 1650 MARKET ST PHILADELPHIA PA 19103 LEGAL SERVICES 227228 NC4 SOLTRA LLC 100 N SPULVEDA BLVD EL SEGUNDO CA 90245 SECURITY CONSULTING 174549 10 X 208275 208275 MEMBERSHIP 900099 24580611 24580611 CONFERENCE 900099 10969996 10969996 WORKSHOPS 900099 1074901 1074901 MEMBER SPECIAL ASSESSMENTS 900099 399997 399997 TRAINING 900099 28645 28645 37054150 317520 317520 8530350 8634304 -103954 -103954 -103954 37475991 37054150 0 213566 X 206653 2453865 17057392 740407 167819 592055 721923 233743 54431 9641952 557207 519653 684864 728183 4088807 459820 674223 EQUIPMENT 413407 BAD DEBT 322756 CREDIT CARD PROC. FEES 146017 PAYROLL PROC. FEES 66454 6557 40538188 6192916 7664147 752879 400785 4388559 6047510 1336213 1059047 2500587 993540 1240860 1507047 6046273 6390256 1862907 1419957 0 97490 21820607 24586239 3557723 7209790 11177265 13430221 233798 195592 14968786 20835603 X 6851821 3750636 6851821 3750636 21820607 24586239 -3062197 -309334 270346 0 X 0 1 X 1 0 0 1 0 421888 421888 662449 220086 442363 1416250 773454 642796 1507047 AMERICAN BEACON 335141 F PIMCO MORTGAGE 572564 F PIMCO FDS 124212 F METROPOLITAN 372752 F AMERICAN TOWER 10124 F HEALTHCARE TRUST 5164 F 1419957 DEFERRED RENT ABATEMENT 195592 195592 X 37112226 -309334 -309334 37421560 54431 54431 37475991 40483757 0 40483757 54431 54431 40538188 PART X, LINE 2: FOR THE YEAR ENDED DECEMBER 31, 2018, FS-ISAC, INC. AND SUBSIDIARIES HAS DOCUMENTED ITS CONSIDERATION OF FASB ASC 740-10, INCOME TAXES, THAT PROVIDES GUIDANCE FOR REPORTING UNCERTAINTY IN INCOME TAXES AND HAS DETERMINED THAT NO MATERIAL UNCERTAIN TAX POSITIONS QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. 1 GLOBAL RESILIENCE FEDERATION INC 12020 SUNRISE VALLEY DR STE 230 RESTON VA 20191 814034628 501(C)(6) 206653 TRANSFER OF ASSETS FOR INDEPENDENT OPERATIONS 0 1 PART I, LINE 2: THE ORGANIZATION DID NOT MONITOR THE USE OF GRANTS. FOR THE YEAR ENDED DECEMBER 31, 2017, THE ACTIVITIES OF GLOBAL RESILIENCE FEDERATION WERE INCLUDED AS PROGRAM ACTIVITIES OF FS-ISAC. EFFECTIVE JANUARY 1, 2018, GLOBAL RESILIENCE FEDERATION BEGAN INDEPENDENT OPERATIONS. DURING THE YEAR ENDED DECEMBER 31, 2018, FS-ISAC TRANSFERRED ASSETS OF $206,653 TO GLOBAL RESILIENCE FEDERATION. X X 0 0 0 WILLIAM NELSON CEO (THROUGH 12/18) 416726 0 525000 0 0 0 24750 0 14553 0 981029 0 0 0 LAURA FLEMING CFO (THROUGH 11/18) 280432 0 65000 0 0 0 19124 0 9943 0 374499 0 0 0 SCOTT DEPASQUALE CEO, FSARC 625486 0 0 0 0 0 0 0 2539 0 628025 0 0 0 ERIC GUERRINO EVP OPERATIONS 328251 0 90000 0 0 0 24750 0 10644 0 453645 0 0 0 ROBIN FANTIN SENIOR VP, SALES AND MARKETING 155682 0 0 0 731123 0 24750 0 16800 0 928355 0 0 0 JOHN CARLSON CHIEF OF STAFF 315385 0 88000 0 0 0 24750 0 2925 0 431060 0 0 0 BRIAN TISHUK GENERAL COUNSEL 227781 0 65000 0 0 0 10635 0 17074 0 320490 0 0 0 GREG TEMM CHIEF RISK OFFICER 255554 0 50000 0 0 0 21156 0 17204 0 343914 0 0 0 GREGORY GIST VICE PRESIDENT-EXERCISE 235556 0 30000 0 0 0 19893 0 9225 0 294674 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE 990 WAS PREPARED BY THE OUTSIDE ACCOUNTANTS AND THEN REVIEWED BY THE CFO AND CEO. IT WAS THEN DISTRIBUTED TO THE BOARD OF DIRECTORS BEFORE FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C A CONFLICT OF INTEREST IS PRESENT WHENEVER A DIRECTOR HAS A MATERIAL PERSONAL INTEREST IN A PROPOSED TRANSACTION OR BUSINESS OPPORTUNITY BEING CONSIDERED BY FS-ISAC. THIS INTEREST OCCURS EITHER DIRECTLY OR INDIRECTLY, AS, FOR EXAMPLE, WHERE THE DIRECTOR'S EMPLOYER OR A COMPANY UPON WHOSE BOARD THE DIRECTOR ALSO SERVES HAS A BUSINESS INTEREST ADVERSE TO THE INTEREST OF FS-ISAC. IN THESE CASES, THE DIRECTOR OR COMMITTEE MEMBER GIVES THE APPEARANCE OF HAVING DIVIDED LOYALTIES AND NOT ACTING IN THE BEST INTERESTS OF FS-ISAC. THE DUTY OF LOYALTY REQUIRES THAT A DIRECTOR BE CONSCIOUS OF THE POTENTIAL FOR CONFLICTS OF INTEREST AND ACT WITH CANDOR AND CARE IN DEALING WITH A CONFLICT PRIOR TO THE DISCUSSION OR PRESENTATION OF SUCH MATTER BEFORE THE BOARD OR COMMITTEE. EACH EMPLOYEE AND BOARD MEMBER IS ASKED TO SIGN A COI STATEMENT AT THE TIME OF HIRE/APPOINTMENT AND THEN ANNUALLY. IT IS THE POLICY OF THE FS-ISAC BOARD THAT ANY DIRECTOR HAVING AN ACTUAL OR APPARENT CONFLICT OF INTEREST IN A MATTER TO BE ACTED UPON BY THE BOARD OR A COMMITTEE DISCLOSES THE CONFLICT PRIOR TO THE DISCUSSION OR PRESENTATION OF SUCH MATTER. IF POSSIBLE, THE CONFLICT IS DISCLOSED TO THE CHAIR OF THE MEETING IN ADVANCE OF THE MEETING. THE DIRECTOR CONSIDERS WHETHER IT IS ADVISABLE UNDER THE CIRCUMSTANCES TO RECUSE HIMSELF/HERSELF FROM THE DISCUSSION AND/OR VOTE AND RECUSE HIMSELF/HERSELF, IF REQUESTED TO BY THE CHAIR OF THE MEETING. FORM 990, PART VI, SECTION B, LINE 15A THE ORGANIZATION HAS AN APPROVED BUSINESS PLAN AND BUDGET. THE CEO'S PERFORMANCE IS EVALUATED BASED UPON SEVERAL FACTORS, INCLUDING REACHING THE BUSINESS PLAN OBJECTIVES. BASED UPON THIS EVALUATION, THE CEO'S ANNUAL COMPENSATION IS DETERMINED BY THE CHAIRMAN AND THE COMPENSATION COMMITTEE. COMPARABLE DATA IS ALSO USED AND THE COMPENSATION PROCESS IS DOCUMENTED. THE LAST SALARY REVIEW DATE FOR THE CEO WAS DECEMBER 2018. KEY EMPLOYEE COMPENSATON IS DONE BY THE CEO BASED UPON EACH INDIVIDUAL'S ABILITY TO MEET HIS/HER PERFORMANCE OBJECTIVES, WHICH INCLUDE BOTH PERSONAL AND ORGANIZATIONAL GOALS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART VIII, LINE 2C, SECTOR SERVICES: FS-ISAC CONTINUED TO EXPAND SECTOR SERVICES SERVING NON-FINANCIAL SECTOR INDUSTRIES. THIS PROGRAM PROVIDES CYBER-SECURITY SERVICES TO A LIMITED NUMBER OF NON-FINANCIAL SECTOR INDUSTRIES. EACH INDUSTRY THAT RECEIVES THESE SERVICES HAS UNDERLYING BUSINESS ACTIVITIES THAT ARE INEXTRICABLY LINKED TO THE CYBERSECURITY OF THE FINANCIAL SECTOR INDUSTRY. THUS, THESE SERVICES ARE RELATED TO FS-ISAC'S MISSION OF PROTECTING THE FINANCIAL SECTOR INDUSTRY FROM CYBER-ATTACKS. FORM 990, PART IX, LINE 11G SECTOR SERVICES 1,108,896. SECURITY OPS CENTER 2,610,718. CONTRACT CONSULTANTS 5,922,338. SHELTERED HARBOR ONE NEW YORK PLAZA 3RD FLOOR NEW YORK NY 10004 522204208 ENHANCE THE FINANCIAL SERVICES INDUSTRY'S DISASTER EVENT CAPABILITIES DE 1059521 992901 FS-ISAC FSARC 1100 N GLEBE RD 6TH FLOOR ARLINGTON VA 22201 522204208 ENHANCE THE US FINANCIAL SYSTEM'S CRITICAL INFRASTRUCTURE RESILIENCY DE 7846447 3206933 FS-ISAC FINANCIAL SECTOR SECURITY AUTOMATION GROUP LLC (SAWG) 12020 SUNRISE VALLEY DR RESTON VA 22201 464042047 DEVELOP AN AUTOMATED SYSTEM DESIGNED FOR SHARING OF SECURITY INTELLIGENCE VA 0 0 FS-ISAC FINANCIAL DATA EXCHANGE LLC (FINDEX) 1100 N GLEBE RD 6TH FLOOR RESTON VA 22201 522204208 ENSURE RESILIENCE & CONTINUITY OF THE GLOBAL FINANCIAL SVCS INFRASTRUCTURE DE 793834 536447 FS-ISAC FS-ISAC SAG 12020 SUNRISE VALLEY DR RESTON VA 20191 471870224 INVESTMENTS DE FS-ISAC C 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0