2018-11-15T10:11:51-06:00 2017-12-31 521392008 GELMAN ROSENBERG & FREEDMAN 4550 MONTGOMERY AVE SUITE 650N BETHESDA MD 208142930 990 2017-01-01 522204208 FS-ISAC INC FS-I 3015799114 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 WILLIAM NELSON PRESIDENT & CEO 3015799114 2018-11-15 1 JACKIE CARDELLO CPA P01330244 3019519090 75.103.231.202 2018-11-15 11:11:47 ES P 4FA38BE9C690C82C721A5060F87FC7588CB81F81 D9A1805B8A65C3B9707FFF2F85D7EAB5B902016A 2017 2019-02-21 02:37:17Z WILLIAM NELSON 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 36923502 0 X WWW.FSISAC.COM X 2003 DE SEE PART III, LINE 1. 14 14 98 20 0 0 0 0 24641057 35039316 -1130310 167221 519634 164208 24030381 35370745 0 0 0 0 10160831 16815054 0 0 0 12862812 16571215 23023643 33386269 1006738 1984476 21875543 21820607 17135899 14968786 4739644 6851821 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 1 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 0 0 1 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 1 41 0 1 98 1 0 1 SN 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 1 1 X LAURA FLEMMINGS 3015799114 12020 SUNRISE VALLEY DR NO 230 RESTON VA 20191 CRAIG FROELICH CHAIRMAN 0.20 X X 0 0 0 JASON WITTY VICE CHAIRMAN 0.20 X X 0 0 0 ROHAN M AMIN SECRETARY 0.20 X X 0 0 0 GLENN FOSTER TREASURER (EFF. 02/17) 0.20 X X 0 0 0 GREG TEMM TREASURER (THROUGH 02/17) 0.20 X X 0 0 0 BYRON COLLIE BOARD MEMBER 0.20 X 0 0 0 SUSAN VISMOR BOARD MEMBER 0.20 X 0 0 0 JERRY PERULLO BOARD MEMBER 0.20 X 0 0 0 VINCENT THIELE BOARD MEMBER 0.20 X 0 0 0 RICK VAN LUVENDER BOARD MEMBER 0.20 X 0 0 0 MATT HARPER BOARD MEMBER (BEG. 02/17) 0.20 X 0 0 0 MURARI KALYANARAMANI BOARD MEMBER (BEG. 02/17) 0.20 X 0 0 0 MEG MCCARTHY BOARD MEMBER (BEG. 02/17) 0.20 X 0 0 0 MEG ANDERSON BOARD MEMBER (BEG. 02/17) 0.20 X 0 0 0 TOM SCARBOROUGH BOARD MEMBER (BEG. 02/17) 0.20 X 0 0 0 JIM ROUTH BOARD MEMBER (THROUGH 02/17) 0.20 X 0 0 0 JAMES KATAVOLOS BOARD MEMBER (THROUGH 02/17) 0.20 X 0 0 0 HINRICH VOLCKER BOARD MEMBER (THROUGH 02/17) 0.20 X 0 0 0 SEAN FRANKLIN BOARD MEMBER (THROUGH 02/17) 0.20 X 0 0 0 DOUG JOHNSON BOARD MEMBER (THROUGH 10/17) 0.20 X 0 0 0 WILLIAM NELSON PRESIDENT AND CEO 40.00 X 925000 0 36365 ERIC GUERRINO EXECUTIVE VICE PRESIDENT 40.00 X 405000 0 36365 LAURA FLEMMINGS CHIEF FINANCIAL OFFICER 40.00 X 253300 0 30765 ROBIN FANTIN SENIOR VICE PRESIDENT 40.00 X 1102847 0 36365 JOHN CARLSON CHIEF OF STAFF 40.00 X 393187 0 36365 BRIAN TISHUK GENERAL COUNSEL 40.00 X 292115 0 22436 CINDY DONALDSON CHIEF OPERATING OFFICER 40.00 X 316250 0 34340 GREG TEMM CHIEF RISK OFFICER 40.00 X 260000 0 30670 3947699 0 263671 31 0 1 0 RAY IRVING UTAMA CONSULTING GMBH TALSTRASSE ZOLLIKERBERG SZ 30 8125 SECURITY CONSULTING 325967 JOHN SALOMON ENGESTRASSE 11 CH-3012 BERN SZ SECURITY CONSULTING 253071 ROBERT POH 96 JALAN SIMPANG BEDOK SN MEMBER SERVICES 251980 SHAUN BRADY 3549 FOXHALL DRIVE DAVIDSONVILLE MD 20134 CYBER SERVICES 247677 KATMATA OGAWA BLD 5F 3-26-1 NISHIKEBUKURO TOKYO JA SECURITY CONSULTING 210016 12 X MEMBERSHIP 900099 21931928 21931928 CONFERENCE 900099 10080618 10080618 SECTOR SERVICES REVENUE 900099 1738498 1738498 WORKSHOPS 900099 630937 630937 SECURITY AUTOMATION PROJECT 900099 500000 500000 157335 157335 35039316 175592 175592 1544386 1552757 -8371 -8371 -8371 SOLTRA REVENUE 900099 101906 101906 SHELTERED HARBOR REVENUE 900099 62302 62302 164208 35370745 35039316 0 331429 X 1686795 12852932 731662 781643 762022 296669 70873 25736 6214375 1200138 301144 1885254 832410 487456 4675659 208322 12874 CREDIT CARD PROC. FEES 180767 PAYROLL PROC. FEES 130793 FILING FEES 23404 STAFF TRAINING 6921 18420 33386269 9601155 6192916 280377 752879 6645695 4388559 1063701 1336213 1810954 570094 583503 1240860 3197080 6046273 504032 1862907 21875543 21820607 3109571 3557723 13968978 11177265 57350 233798 17135899 14968786 X 4739644 6851821 4739644 6851821 21875543 21820607 1984476 127701 0 X 0 1 X 1 0 0 1 0 421888 64906 356982 268207 140971 127236 1120859 364217 756642 1240860 AMERICAN BEACON 402786 F PIMCO MORTGAGE 559335 F PIMCO FDS 76514 F PR 48202 F IVY FDS 78026 F JANUS INV FS HENDERSON 302053 F METROPOLITAN 369131 F AMERICAN TOWER 9131 F HEALTHCARE TRUST 6128 F WEYERHAEUSER CO 11601 F 1862907 DEFERRED RENT ABATEMENT 233798 233798 X 35472710 127701 127701 35345009 25736 25736 35370745 33360533 0 33360533 25736 25736 33386269 PART X, LINE 2: FOR THE YEARS ENDED DECEMBER 31, 2017 AND 2016, FS-ISAC, INC. 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. X X 0 0 0 WILLIAM NELSON PRESIDENT AND CEO 400000 0 525000 0 0 0 26865 0 9500 0 961365 0 0 0 ERIC GUERRINO EXECUTIVE VICE PRESIDENT 315000 0 90000 0 0 0 26865 0 9500 0 441365 0 0 0 LAURA FLEMMINGS CHIEF FINANCIAL OFFICER 188300 0 65000 0 0 0 21265 0 9500 0 284065 0 0 0 ROBIN FANTIN SENIOR VICE PRESIDENT 166860 0 935987 0 0 0 26865 0 9500 0 1139212 0 0 0 JOHN CARLSON CHIEF OF STAFF 303187 0 90000 0 0 0 26865 0 9500 0 429552 0 0 0 BRIAN TISHUK GENERAL COUNSEL 227115 0 65000 0 0 0 12936 0 9500 0 314551 0 0 0 CINDY DONALDSON CHIEF OPERATING OFFICER 236250 0 80000 0 0 0 24840 0 9500 0 350590 0 0 0 GREG TEMM CHIEF RISK OFFICER 210000 0 50000 0 0 0 21170 0 9500 0 290670 0 0 0 FORM 990, PART III, LINE 3 AT THE END OF 2017, THE ORGANIZATION ENDED ITS SECTOR SERVICES PROGRAM AND THE ACTIVITY BECAME A SEPARATE LEGAL ENTITY FOR 2018. FORM 990, PART VI, SECTION B, LINE 11B THE 990 WAS PREPARED BY THE OUTSIDE ACCOUNTANTS AND THEN REVIEWED BY THE V.P. OF FINANCE AND PRESIDENT. 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 PRESIDENT WAS DECEMBER 2017. KEY EMPLOYEE COMPENSATON IS DONE BY THE PRESIDENT 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 SERVICE PROVIDERS 530,063. ISIGHT 265,779. CONTRACT CONSULTANTS 5,103,958. WOPACK LABS 314,575. SHELTERED HARBOR ONE NEW YORK PLAZA 3RD FLOOR NEW YORK NY 10004 522204208 ENHANCE THE FINANCIAL SERVICES INDUSTRY'S DISASTER EVENT CAPABILITIES DE 1294045 1103104 FS-ISAC FSARC 1100 N GLEBE RD 6TH FLOOR ARLINGTON VA 22201 522204208 ENHANCE THE US FINANCIAL SYSTEM'S CRITICAL INFRASTRUCTURE RESILIENCY DE 7419250 9740296 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 SOLTRA SOLUTIONS LLC 12020 SUNRISE VALLEY DR RESTON VA 20191 352516314 SOFTWARE MARKETING & DEVELOPMENT DE FS-ISAC SAG UNRELATED 12024 0 1 0.32430 FS-ISAC SAG 12020 SUNRISE VALLEY DR RESTON VA 20191 471870224 INVESTMENTS DE C 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 FSARC L 199103 ACTUAL AMOUNT SHELTERED HARBOR L 61311 ACTUAL AMOUNT SOLTRA SOLUTIONS Q 101906 ACTUAL AMOUNT SHELTERED HARBOR Q 62302 ACTUAL AMOUNT