2018-11-01T18:40:57-05:00 2017-12-31 910189318 MOSS ADAMS LLP 101 SECOND STREET SUITE 900 SAN FRANCISCO CA 94105 990 2017-01-01 262303250 CLIMATEWORKS FOUNDATION CLIM 4154330500 235 MONTGOMERY STREET NO 1300 SAN FRANCISCO CA 94104 CHARLOTTE PERA PRESIDENT/CEO 4154330500 2018-11-01 1 MICHAEL LUMSDEN P01262236 4159561500 2018-10-23 12.129.7.100 2018-11-01 18:19:01 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5029E8FD9FE66385FA59B177B15FCADA276E8E0F 2017 2018-06-14 16:35:46Z CHARLOTTE PERA 235 MONTGOMERY STREET NO 1300 SAN FRANCISCO CA 94104 100104903 0 X WWW.CLIMATEWORKS.ORG X 2008 DE TO MOBILIZE PHILANTHROPY TO SOLVE THE CLIMATE CRISIS AND ENSURE A PROSPEROUS FUTURE. 11 10 71 12 0 0 49793259 100058047 0 0 28900 46856 1800 0 49823959 100104903 59994794 46217319 0 0 10029132 12184646 76427 7824 922593 20881588 17904872 90981941 76314661 -41157982 23790242 86719996 118319393 10451253 18195042 76268743 100124351 X SEE SCHEDULE O 1 0 40500127 21636673 SEE SCHEDULE O 15999398 15183500 SEE SCHEDULE O 15120020 9397146 SEE SCHEDULE O 71619545 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 1 62 0 1 71 1 0 1 IN 0 0 0 0 0 0 0 0 X 11 10 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA IL MA MN NY X X X GRETCHEN RAU 4155330500 235 MONTGOMERY STREET STE 1300 SAN FRANCISCO CA 94104 X CHARLOTTE PERA PRESIDENT AND CEO 40.00 X X 497630 0 52060 SUSAN TIERNEY BOARD CHAIR 2.00 X 0 0 0 KRISTIAN PARKER BOARD DIRECTOR 2.00 X 0 0 0 LARRY KRAMER BOARD DIRECTOR 2.00 X 0 0 0 CAROL S LARSON BOARD DIRECTOR 2.00 X 0 0 0 PAMELA MATSON BOARD DIRECTOR 2.00 X 0 0 0 JOHN D PODESTA BOARD DIRECTOR 2.00 X 0 0 0 JAMSHYD GODREJ BOARD DIRECTOR 2.00 X 0 0 0 CHRISTIANA FIGUERES BOARD DIRECTOR 2.00 X 0 0 0 CAIO KOCH-WESER BOARD DIRECTOR 2.00 X 0 0 0 FRANKLIN M ORR JR BOARD DIRECTOR 2.00 X 0 0 0 BRIAN MCCRACKEN VP, FINANCE & ADMINISTRATION, TREAS. 40.00 X 258327 0 67822 GRETCHEN RAU SECRETARY 40.00 X 135823 0 27086 CHRIS ELLIOTT EXECUTIVE DIR CLUA THROUGH DEC 2017 40.00 X 364689 0 65607 CHARLES MCELWEE VICE PRESIDENT, PROGRAMS 40.00 X 360544 0 67863 SUSAN ELIZABETH COOK VICE PRESIDENT, SYSTEMS AND PLANNING 40.00 X 365242 0 52262 SHAWN P REIFSTECK VICE PRESIDENT, PHILANTHROPY 40.00 X 370356 0 70649 DANIEL HAMZA-GOODACRE EXECUTIVE DIRECTOR, K-CEP 40.00 X 270977 0 52453 DANIEL ZARIN DIRECTOR OF PROGRAMS, CLUA 40.00 X 255949 0 73060 JAN DERRICKSON PROGRAM DIRECTOR, CLEAN POWER 40.00 X 246734 0 56706 ILMI GRANOFF PROG. DIRECTOR, SUSTAINABLE FINANCE 40.00 X 242018 0 46326 MARY RAFTERY SR. ADVISOR, FUNDER COLLABORATIONS 40.00 X 241213 0 47056 3609502 0 678950 31 0 1 0 REDSTONE STRATEGY GROUP 3223 ARAPAHOE AVE SUITE 210 BOULDER CO 80303 PROGRAM & MANAGEMENT SERVICES 896565 RHODIUM GROUP 5 COLUMBUS CIRCLE NEW YORK NY 10019 PROGRAM SERVICES 694200 CLIMATE FOCUS CORP 1730 RHODE ISLAND AVE NW SUITE 601 WASHINGTON DC 20036 PROFESSIONAL SERVICES 635500 FORD FOUNDATION 320 EAST 43RD STREET NEW YORK NY 10017 PROGRAM SERVICES 476847 NCI - NEWCLIMATE INSTITUTE AM HOF 20-26 COLOGNE GM 50667 PROGRAM SERVICES 393300 38 100058047 237126 100058047 46856 46856 100104903 0 0 46856 X 15468880 15468880 30748439 30748439 2810915 1677222 922488 211205 6865501 5767281 859854 238366 794919 639599 116220 39100 1148819 862786 242852 43181 564492 406554 112310 45628 356697 231377 61582 63738 76267 43241 33026 96640 3050 93590 7824 7824 11750520 11108701 585154 56665 396973 259972 83250 53751 750371 653990 72897 23484 568959 408937 126693 33329 2192654 1998477 135890 58287 925245 827310 93962 3973 719653 509171 166643 43839 42485 42485 PROPERTY TAXES 12954 12954 BUSINESS LICENSES 8078 776 7284 18 REAL ESTATE TAX 3367 2382 780 205 TAX FILING FEES 2600 1400 1200 1409 1409 76314661 71619545 3772523 922593 18754069 12462058 32550908 55167568 33316113 48882630 6193 1710 221417 447974 7107143 6039958 1500859 1067185 370437 290268 86719996 118319393 3538436 3113264 6353855 14746591 558962 335187 10451253 18195042 X 2593669 14745644 73675074 85378707 76268743 100124351 86719996 118319393 X 23790242 65366 X 0 1 X 1 0 X 77389600 183612607 51804086 49793259 100058047 462657599 77389600 183612607 51804086 49793259 100058047 462657599 358926776 103730823 37893 54092 66465 28900 46856 234206 1800 1800 462893605 0.22410 0.11670 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS REVENUE - 2016 AMOUNT: $ 1,800. SCHEDULE A, PART II, LINE 17A CLIMATEWORKS FOUNDATION, A PUBLIC CHARITY BASED IN THE U.S., MOBILIZES PHILANTHROPY TO SOLVE THE CLIMATE CRISIS AND ENSURE A PROSPEROUS FUTURE. THE INTERNATIONAL COMMUNITY AGREES THAT THE WORLD MUST HOLD THE INCREASE IN GLOBAL AVERAGE TEMPERATURE THIS CENTURY TO WELL BELOW 2 DEGREES CELSIUS ABOVE PRE-INDUSTRIAL LEVELS WHILE PURSUING EFFORTS TO LIMIT THE TEMPERATURE INCREASE TO 1.5 DEGREE CELSIUS TO REDUCE THE RISK OF DANGEROUS CLIMATE CHANGE. CLIMATEWORKS' ULTIMATE OBJECTIVE IS TO HELP PREVENT DANGEROUS CLIMATE CHANGE BY MAKING A MAJOR CONTRIBUTION TOWARD EMISSIONS REDUCTIONS NEEDED TO LIMIT WARMING TO WELL BELOW 2 DEGREES CELSIUS. THE ORGANIZATION DOES THIS BY MAKING GRANTS TO SUPPORT CLIMATE MITIGATION AND HELPING OTHER CLIMATE FUNDERS COORDINATE TO BE MORE STRATEGIC AND EFFECTIVE IN THEIR PHILANTHROPY. TO MARSHAL THE TALENT AND CAPACITY REQUIRED TO SUPPORT SOPHISTICATED FUNDERS AND TACKLE ONE OF THE WORLD'S TOUGHEST CHALLENGES, CLIMATEWORKS COLLABORATES WITH A GLOBAL NETWORK OF REGIONAL PARTNERS. WORKING WITH GRANTEES, CLIMATEWORKS AND ITS PARTNERS FUND GRANT PORTFOLIOS TO PURSUE GLOBAL AND REGIONAL INITIATIVES. CLIMATEWORKS MONITORS THE PROGRESS OF THESE INITIATIVES AND WORKS WITH ITS PARTNERS TO CONTINUOUSLY ADAPT EFFORTS TO BE INCREASINGLY EFFECTIVE. CLIMATEWORKS' REGIONAL PARTNERS INCLUDE, BUT ARE NOT LIMITED TO: (I) CLIMATE AND LAND USE ALLIANCE (II) ENERGY FOUNDATION (III) ENERGY FOUNDATION CHINA (IV) EUROPEAN CLIMATE FOUNDATION (V) INICIATIVA CLIMATICA DE MEXICO (VI) INSTITUTO CLIMA E SOCIEDADE IN ADDITION, CLIMATEWORKS COLLABORATES WITH EXPERTS AT GOVERNMENTAL AND NON-GOVERNMENTAL ORGANIZATIONS WORLDWIDE TO DEVELOP AND SHARE ACTIONABLE DATA AND INSIGHTS INTO THE SCIENTIFIC, TECHNICAL, AND SOCIOECONOMIC LANDSCAPES IN WHICH PHILANTHROPY OPERATES. THESE INSIGHTS HELP CLIMATEWORKS AND ITS PARTNERS SHAPE, MONITOR, EVALUATE, AND REFINE OUR ONGOING EFFORTS. LEVERAGING OUR UNDERSTANDING OF CLIMATE SCIENCE AND OUR ABILITY TO AGGREGATE COMPLEX DATA, CLIMATEWORKS DISSEMINATES INFORMATION TO ADVANCE UNDERSTANDING OF THE DRIVERS OF CLIMATE CHANGE AND INFORM INNOVATIVE PROGRAMS AND INITIATIVES THAT HAVE THE POTENTIAL TO REDUCE EMISSIONS AND PROVIDE A VARIETY OF PUBLIC BENEFITS AT SCALE. TREAS. REG. SEC. 1.170A-9(F)(3)(I)-(III) ESTABLISHES CRITERIA THAT INDICATE THE FACTS AND CIRCUMSTANCES SUPPORTING AN ORGANIZATION'S CONTINUED PUBLIC CHARITY STATUS DESPITE NOT MEETING THE 33 1/3 PERCENT SUPPORT TEST. THESE CRITERIA ARE ADDRESSED BELOW: CRITERIA 1 & 3 - ATTRACTION OF PUBLIC SUPPORT & SOURCES OF SUPPORT: THE CLIMATEWORKS FOUNDATION EMERGED FROM A STUDY COMMISSIONED BY SIX FOUNDATIONS THAT HAVE BEEN RECOGNIZED AS TAX-EXEMPT UNDER THE IRC SECTION 501(C)(3): THE WILLIAM AND FLORA HEWLETT FOUNDATION, THE DAVID AND LUCILE PACKARD FOUNDATION, THE ENERGY FOUNDATION, THE DORIS DUKE CHARITABLE FOUNDATION, THE JOYCE FOUNDATION, AND THE OAK FOUNDATION, TWO OF WHICH (HEWLETT AND PACKARD FOUNDATIONS) JOINED THE MCKNIGHT FOUNDATION IN PROVIDING THE INITIAL FUNDING TO CLIMATEWORKS IN 2008. SINCE THAT TIME, CLIMATEWORKS' FUNDRAISING STAFF MEMBERS (AT ITS PEAK A HEADCOUNT OF SEVEN) HAVE MAINTAINED A BONA FIDE PROGRAM FOR TARGETED SOLICITATIONS FROM MAJOR FUNDERS IN THE ENVIRONMENTAL ARENA, PROGRESSIVELY INCREASING OUR FUNDER BASE OF MAJOR DONORS FROM THE REFERENCED THREE IN 2008 TO 20 IN 2017 (UP FROM 12 IN 2016). SEVERAL MAJOR FUNDERS CONTINUE TO PROVIDE ONGOING SUPPORT. ALTHOUGH CLIMATEWORKS HAD LIMITED ITS SOLICITATION TO PERSONS DEEMED MOST LIKELY TO PROVIDE SUFFICIENT SEED MONEY FOR THE SCOPE OF ITS AMBITIONS, A FEW SMALLER CONTRIBUTIONS FROM THE GENERAL PUBLIC WERE RECEIVED. IN 2013, CLIMATEWORKS FINALIZED A STRATEGIC PLAN THAT REFOCUSED ITS EFFORTS ON PHILANTHROPIC INVESTMENT PORTFOLIOS AROUND WHICH WE COORDINATE AND HELP INCREASE FUNDING FOR CLIMATE MITIGATION EFFORTS. AS PART OF THAT PROCESS, WE HAVE ENGAGED WITH CURRENT AND PROSPECTIVE FUNDERS AND OTHER PARTNERS TO DEVELOP STRATEGIES THAT REPRESENT SIGNIFICANT OPPORTUNITIES FOR SUCCESS IN MULTIPLE GEOGRAPHIES AND COMMUNITIES. THIS UPDATED APPROACH HAS ALLOWED US TO WORK WITH A BROAD BASE OF PROSPECTIVE FUNDERS, AND WE ANTICIPATE THAT WE WILL GAIN ADDITIONAL CONTRIBUTIONS DIRECTLY TO CLIMATEWORKS AND CONTINUE TO BROADEN AND DIVERSIFY OUR BASE OF SUPPORT. CRITERION 2 - PERCENTAGE OF FINANCIAL SUPPORT: CLIMATEWORKS' PUBLIC SUPPORT PERCENTAGE FOR THE 2017 REPORTING YEAR IS 22.41, UP SUBSTANTIALLY FROM 11.67 PERCENT IN 2016, DUE TO CLIMATEWORKS' SUCCESS IN BROADENING AND DIVERSIFYING ITS FUNDING. CRITERION 4 - REPRESENTATIVE GOVERNING BODY: SINCE ITS OUTSET CLIMATEWORKS HAS BEEN GOVERNED BY A DIVERSE BOARD OF DIRECTORS, A BODY ESTABLISHED BY CLIMATEWORKS' ARTICLES OF INCORPORATION AND OPERATED THROUGH ITS BYLAWS. INITIALLY COMPRISED PRIMARILY OF VANGUARDS IN THE PRIVATE SECTOR, THE BOARD'S CURRENT COMPOSITION REPRESENTS MORE TARGETED EXPERTISE IN PHILANTHROPY, SCIENCE, INTERNATIONAL RELATIONS, AND ENERGY. DIRECTORS INCLUDE PRESIDENTS OF TWO OF THE LARGEST ENVIRONMENTAL GRANTMAKERS IN THE UNITED STATES, CHAIRPERSONS OF TWO INTERNATIONAL FOUNDATIONS FOCUSING ON CLIMATE CHANGE, THE DEAN OF THE STANFORD SCHOOL OF EARTH SCIENCES, THE FORMER EXECUTIVE SECRETARY OF THE UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE (UNFCCC), AND A FORMER ASSISTANT SECRETARY OF POLICY AT THE U.S. DEPARTMENT OF ENERGY. THIS COMBINATION OF BOARD EXPERTISE PROVIDES A PROFOUND KNOWLEDGE BASE THAT IS CRITICAL IN GOVERNING AND GUIDING CLIMATEWORKS IN SERVICE OF OUR MISSION. CRITERION 5 - AVAILABILITY OF PUBLIC SERVICES: IN EARLY-NOVEMBER 2016, WE LAUNCHED THE CLIMATEWORKS TRACKER--A PUBLIC WEBSITE THAT PROVIDES DATA FROM THE CLIMATEWORKS' CARBON TRANSPARENCY INITIATIVE (CTI) AND ALLOWS USERS TO EVALUATE CURRENT PROGRESS ON GHG EMISSION TRENDS AT A GLANCE. THE WEBSITE (HTTPS://CTI.CLIMATEWORKS.ORG/) INCLUDES DATA AND TRENDS FOR OVER 130 INDICATORS THAT DETERMINE EMISSION PATHWAYS FOR MANY OF THE WORLD'S MAJOR ECONOMIES. AS DESCRIBED IN SCHEDULE O FOR THE STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS ON FORM 990, PART III, LINE 4A, CLIMATEWORKS RELEASED TWO PUBLIC REPORTS--ONE TITLED "EUROPE'S CARBON LOOPHOLE", A LIFECYCLE ACCOUNTING OF EUROPEAN MEMBER STATE CARBON EMISSIONS, INCLUDING THOSE EMISSIONS CAUSED THROUGH CONSUMPTION OF IMPORTED GOODS, AND ONE TITLED "FASTER & CLEANER 2: KICK-STARTING GLOBAL DECARBONIZATION," A REPORT THAT EXPLORES TECHNOLOGY TRENDS DRIVING DECARBONIZATION AND IDENTIFIES SUCCESS FACTORS THAT CAN HASTEN FURTHER TRANSFORMATIONS. THESE PUBLICATIONS AND ADDITIONAL INSIGHTS ARE HELPING TO ENSURE THAT PHILANTHROPIC INVESTMENTS ARE DIRECTED TOWARD EFFECTIVE STRATEGIES TO DRIVE DEEP REDUCTIONS IN GREENHOUSE GAS EMISSIONS. 112500 427500 540000 75766837 76306837 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 990000 950000 950000 540000 3430000 250000 250000 250000 250000 1000000 1500000 247500 227500 250000 112500 837500 5164845 4403580 761265 881901 762361 119540 1060397 874017 186380 1067185 DEFERRED RENT 313083 SUBLEASE DEPOSIT 22104 335187 X 100107906 3003 3003 100104903 0 100104903 76252298 3003 -65366 -62363 76314661 0 76314661 PART X, LINE 2: AT JANUARY 1, 2009, THE FOUNDATION ADOPTED THE GUIDANCE ON UNCERTAIN TAX POSITIONS AND HAS IDENTIFIED AND EVALUATED ITS SIGNIFICANT TAX POSITIONS FOR WHICH THE STATUTE OF LIMITATIONS REMAIN OPEN. THERE HAVE BEEN NO MATERIAL CHANGES IN UNRECOGNIZED BENEFITS AS OF DECEMBER 31, 2017 AND 2016, NOR ARE ANY MATERIAL CHANGES ANTICIPATED IN THE TWELVE MONTHS FOLLOWING DECEMBER 31, 2017. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS A TAX EXPENSE IN THE CONSOLIDATED STATEMENTS OF ACTIVITIES AND CHANGES IN NET ASSETS. PART XII, LINE 2D - OTHER ADJUSTMENTS: REVERSAL OF PRIOR YEAR GRANTS -40,888. UNREALIZED GAIN ON CURRENCY CONVERSION -24,478. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING 604983 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 21588 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 2744667 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 1206950 EUROPE 0 0 GRANTMAKING 11501046 EUROPE 0 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 2805834 EUROPE 0 0 CONDUCTING BOARD MEETINGS 103240 NORTH AMERICA 0 0 GRANTMAKING 4162745 NORTH AMERICA 1 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 192526 SOUTH AMERICA 0 0 GRANTMAKING 5500361 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 567679 SOUTH ASIA 1 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 88646 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 6234637 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAVEL & MEETINGS; OTHER COSTS 10557 0 0 2 0 2 0 23151053 12594406 35745459 CENTRAL AMERICA AND THE CARIBBEAN PROJECT SUPPORT 600000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 332000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 200000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 134072 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 352479 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 180000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 171116 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 840000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 120000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 120000 WIRE EAST ASIA AND THE PACIFIC PROJECT SUPPORT 295000 WIRE EUROPE PROJECT SUPPORT 145000 WIRE EUROPE PROJECT SUPPORT 260000 WIRE EUROPE PROJECT SUPPORT 312488 WIRE EUROPE PROJECT SUPPORT 125000 WIRE EUROPE PROJECT SUPPORT 401237 WIRE EUROPE PROJECT SUPPORT 75000 WIRE EUROPE PROJECT SUPPORT 70000 WIRE EUROPE PROJECT SUPPORT 300000 WIRE EUROPE PROJECT SUPPORT 40000 WIRE EUROPE PROJECT SUPPORT 185726 WIRE EUROPE PROJECT SUPPORT 392064 WIRE EUROPE PROGRAM SUPPORT; PROJECT SUPPORT 3500000 WIRE EUROPE PROJECT SUPPORT 599300 WIRE EUROPE PROJECT SUPPORT 764301 WIRE EUROPE PROJECT SUPPORT 100000 WIRE EUROPE PROJECT SUPPORT 150000 WIRE EUROPE PROJECT SUPPORT 160000 WIRE EUROPE PROJECT SUPPORT 88468 WIRE EUROPE PROJECT SUPPORT 50000 WIRE EUROPE PROJECT SUPPORT 100000 WIRE EUROPE PROJECT SUPPORT 12000 WIRE EUROPE PROJECT SUPPORT 290000 WIRE EUROPE PROJECT SUPPORT 210000 WIRE EUROPE PROJECT SUPPORT 50000 WIRE EUROPE PROJECT SUPPORT 160000 WIRE EUROPE PROJECT SUPPORT 56000 WIRE EUROPE PROJECT SUPPORT 125000 WIRE EUROPE PROJECT SUPPORT 75000 WIRE EUROPE PROJECT SUPPORT 150016 WIRE EUROPE PROJECT SUPPORT 40800 WIRE EUROPE PROJECT SUPPORT 293200 WIRE EUROPE PROJECT SUPPORT 700446 WIRE EUROPE PROJECT SUPPORT 50000 WIRE EUROPE PROJECT SUPPORT 70000 WIRE EUROPE PROJECT SUPPORT 535000 WIRE EUROPE PROJECT SUPPORT 350000 WIRE EUROPE PROJECT SUPPORT 375000 WIRE EUROPE PROJECT SUPPORT 60000 WIRE EUROPE PROJECT SUPPORT 30000 WIRE EUROPE PROJECT SUPPORT 50000 WIRE NORTH AMERICA PROJECT SUPPORT 9966 WIRE NORTH AMERICA PROJECT SUPPORT 30000 WIRE NORTH AMERICA PROJECT SUPPORT 200000 WIRE NORTH AMERICA PROJECT SUPPORT 30000 WIRE NORTH AMERICA PROJECT SUPPORT 3507779 WIRE NORTH AMERICA PROJECT SUPPORT 385000 WIRE SOUTH AMERICA PROJECT SUPPORT 230000 WIRE SOUTH AMERICA PROJECT SUPPORT 100000 WIRE SOUTH AMERICA PROJECT SUPPORT 20000 WIRE SOUTH AMERICA PROJECT SUPPORT 116743 WIRE SOUTH AMERICA PROJECT SUPPORT 398401 WIRE SOUTH AMERICA PROJECT SUPPORT 500427 WIRE SOUTH AMERICA PROJECT SUPPORT 30823 WIRE SOUTH AMERICA PROJECT SUPPORT 248160 WIRE SOUTH AMERICA PROJECT SUPPORT 391000 WIRE SOUTH AMERICA PROJECT SUPPORT 100000 WIRE SOUTH AMERICA PROGRAM SUPPORT; PROJECT SUPPORT 2167953 WIRE SOUTH AMERICA PROJECT SUPPORT 390368 WIRE SOUTH AMERICA PROJECT SUPPORT 300000 WIRE SOUTH AMERICA PROJECT SUPPORT 7028 WIRE SOUTH AMERICA PROJECT SUPPORT 299080 WIRE SOUTH AMERICA PROJECT SUPPORT 16891 WIRE SOUTH AMERICA PROJECT SUPPORT 82938 WIRE SOUTH AMERICA PROJECT SUPPORT 100549 WIRE SUB-SAHARAN AFRICA PROJECT SUPPORT 6234637 WIRE 76 0 0 0 0 0 0 0 PART I, LINE 2: IN 2017, CLIMATEWORKS FUNDING SUPPORTED REGIONAL PARTNERS AND OTHER GRANTEES WELL KNOWN TO CLIMATEWORKS FROM GRANTS AWARDED IN YEARS PAST. THESE ORGANIZATIONS HAD UNDERGONE AN EXTENSIVE VETTING PROCESS PRIOR TO BECOMING RECURRING GRANTEES. CLIMATEWORKS PROGRAM STAFF PERFORM DUE DILIGENCE ON PROSPECTIVE GRANTS AND EVALUATE THE PAST SUCCESS AND HEALTH OF THE PROSPECTIVE GRANTEE. ALL ORGANIZATIONS ARE REQUIRED TO SUBMIT A GRANT NARRATIVE PROPOSAL AND BUDGET. PROPOSALS ARE EVALUATED ON THEIR PROJETED OUTCOMES AND ALIGNMENT WITH CLIMATEWORKS' MISSION AND STRATEGIES. OTHER REQUIRED DOCUMENTATION INCLUDES: THE CURRENT YEAR BUDGET; YEAR-TO-DATE FINANCIAL STATEMENTS; PRIOR YEAR AUDITED FINANCIAL STATEMENTS; GOVERNMENT-ISSUED TAX STATUS DETERMINATION DOCUMENTATION; A LIST OF BOARD OF DIRECTORS, OFFICERS, AND AFFILIATIONS; AND BIOGRAPHIES OF KEY STAFF INVOLVED IN THE PROJECT. ALL GRANTEES ARE REQUIRED TO SIGN AND RETURN A GRANT AGREEMENT, WHICH STATES THAT FUNDS MAY BE SPENT ONLY FOR THE SPECIFIC CHARITABLE PURPOSES STATED IN THE PROPOSAL. ALL GRANTEES MUST BE IN COMPLIANCE WITH ALL APPLICABLE ANTI-TERRORIST FINANCING AND ASSET CONTROL LAWS, REGULATIONS, RULES, AND EXECUTIVE ORDERS. ALTHOUGH NOT LEGALLY REQUIRED, CLIMATEWORKS USES EXPENDITURE RESPONSIBILITY BEST PRACTICES TO MONITOR ITS FOREIGN GRANTS. CLIMATEWORKS CONFIRMS THAT GRANTEES' BOARD MEMBERS AND KEY STAFF DO NOT APPEAR ON THE SPECIALLY DESIGNATED NATIONALS (SDN) LIST. DEPENDING ON THE DOLALR AMOUNT, EITHER THE BOARD OF DIRECTORS, THE PRESIDENT & CEO, OR A VICE PRESIDENT APPROVES THE GRANT. CLIMATEWORKS REVIEWS EXPENDITURE RESPONSIBILITY REPORTS TO ENSURE THAT THE FUNDS WERE SPENT EXCLUSIVELY FOR THE CHARITABLE PURPOSES STATED IN THE PROPOSAL AND WITHIN THE CONFINES OF THE OTHER RESTRICTIONS OF THE GRANT. PART I, LINE 3: ACCRUAL METHOD PART II, COLUMN (D): THE FULL DESCRIPTION OF THE PURPOSE FOR CLIMATEWORKS GRANTS IS AVAILABLE THROUGH OUR GRANTS DATABASE AT: HTTPS://WWW.CLIMATEWORKS.ORG/PORTFOLIOS/GRANTS-DATABASE/ 1 ALLIANCE TO SAVE ENERGY 1850 M STREET NW SUITE 610 WASHINGTON DC 20036 521082991 501(C)(3) 180000 PROJECT SUPPORT AMERICANS FOR OXFORD 500 FIFTH AVENUE 32ND FLOOR NEW YORK NY 10110 521495060 501(C)(3) 90000 PROJECT SUPPORT THE ASPEN INSTITUTE ONE DUPONT CIRCLE NW SUITE 700 WASHINGTON DC 20036 840399006 501(C)(3) 85000 PROJECT SUPPORT BANK INFORMATION CENTER 1100 H ST NW SUITE 650 WASHINGTON DC 20005 521682441 501(C)(3) 300000 PROJECT SUPPORT BLUEGREEN ALLIANCE FOUNDATION 1300 GODWARD STREET NE SUITE 2625 MINNEAPOLIS MN 55413 203477309 501(C)(3) 144000 PROJECT SUPPORT BROOKINGS INSTITUTION 1775 MASSACHUSETTS AVE NW WASHINGTON DC 20036 530196577 501(C)(3) 50000 PROJECT SUPPORT C40 CITIES CLIMATE LEADERSHIP GROUP INC 120 PARK AVENUE 23RD FLOOR NEW YORK NY 10022 900634376 501(C)(3) 345000 PROJECT SUPPORT CARNEGIE ENDOWMENT FOR INT'L PEACE 1779 MASSACHUSETTS AVE NW WASHINGTON DC 20036 130552040 501(C)(3) 150000 PROJECT SUPPORT CENTER FOR CARBON REMOVAL 344 THOMAS L BERKLEY WAY SUITE 220 OAKLAND CA 94612 812560407 501(C)(3) 174000 PROJECT SUPPORT CERES INC 99 CHAUNCY STREET 6TH FLOOR BOSTON MA 02111 223053747 501(C)(3) 85100 PROJECT SUPPORT CLIMATE AND HEALTH RESEARCH NETWORK 269 WHITE ROAD BOWDOINHAM ME 04008 464421906 501(C)(3) 225000 PROJECT SUPPORT COLLABORATIVE LABELING AND APPLIANCE PROGRAM 1401 K STREET NW SUITE 1100 WASHINGTON DC 20009 331112770 501(C)(3) 906395 PROJECT SUPPORT CLEAN AIR TASK FORCE INC 114 STATE STREET 6TH FLOOR BOSTON MA 02108 043512550 501(C)(3) 275000 PROJECT SUPPORT CLIMATE CENTRAL INC ONE PALMER SQUARE SUITE 330 PRINCETON NJ 08542 261797336 501(C)(3) 100000 PROJECT SUPPORT COALITION FOR GREEN CAPITAL 1875 CONNECTICUT AVE NW 10TH FLOOR WASHINGTON DC 20001 900868299 501(C)(3) 230941 PROJECT SUPPORT COLUMBIA UNIVERSITY 615 W 131ST STREET MAIL CODE 8725 NEW YORK NY 10027 135598093 501(C)(3) 75000 PROJECT SUPPORT ENVIRONMENTAL DEFENSE FUND INC 257 PARK AVENUE SOUTH NEW YORK NY 10010 116107128 501(C)(3) 378000 PROJECT SUPPORT ENVIRONMENTAL INVESTIGATION AGENCY 1301 CONNECTICUT AVE NW SUITE 300 WASHINGTON DC 20009 521654284 501(C)(3) 260000 PROJECT SUPPORT AND LOBBYING ACTIVITIES FRIENDS OF THE EARTH 1101 15TH STREET NW 11TH FLOOR WASHINGTON DC 20005 237420660 501(C)(3) 25000 PROJECT SUPPORT GREEN TECH ACTION FUND 301 BATTERY STREET 5TH FLOOR SAN FRANCISCO CA 94111 263390444 501(C)(4) 450000 TO SUPPORT FEDERAL AND STATE LOBBYING ACTIVITIES HEALTH CARE WITHOUT HARM 12355 SUNRISE VALLEY DR SUITE 680 RESTON VA 20191 522358837 501(C)(3) 200000 PROJECT SUPPORT INDEPENDENT DIPLOMAT 45 EAST 20TH STREET 6TH FLOOR NEW YORK NY 10003 113816205 501(C)(3) 100000 PROJECT SUPPORT INSTITUTE FOR GOVERNANCE AND SUSTAINABLE DEVELOPMENT INC 2300 WISCONSIN AVE NW SUITE 300B WASHINGTON DC 20007 810616238 501(C)(3) 100000 PROJECT SUPPORT THE INTERNATIONAL COUNCIL ON CLEAN TRANSPORTATION 1225 I STREET NW SUITE 900 WASHINGTON DC 20005 203076690 501(C)(3) 490000 PROJECT SUPPORT LAWRENCE BERKELEY NATIONAL LAB ONE CYCLOTRON ROAD BERKELEY CA 94720 946036494 US DEPT OF ENERGY 200000 PROJECT SUPPORT MONGABAY ORG CORP 15 CLINTON ST 1 REDWOOD CITY CA 94062 453714703 501(C)(3) 160950 PROJECT SUPPORT NATIONAL ASSOCIATION OF CITY TRANPORTATION OFFICIALS 120 PARK AVENUE 20TH FLOOR NEW YORK NY 10017 201874085 501(C)(3) 105000 PROJECT SUPPORT NATURAL RESOURCES DEFENSE COUNCIL 40 WEST 20TH STREET 11TH FLOOR NEW YORK NY 10011 132654926 501(C)(3) 1473902 PROJECT SUPPORT NORTHEAST STATES FOR COORDINATED AIR USE MANAGEMENT 89 SOUTH ST SUITE 602 BOSTON MA 02111 042814018 501(C)(3) 200000 PROJECT SUPPORT AND LOBBYING ACTIVITIES NEW VENTURE FUND 1201 CONNECTICUT AVENUE SUITE 300 WASHINGTON DC 20036 205806345 501(C)(3) 370000 PROJECT SUPPORT PARTNERSHIP PROJECT INC 1501 M STREET NW SUITE 1010 WASHINGTON DC 20005 522192070 501(C)(3) 500000 PROJECT SUPPORT POWER FOR ALL 290 LOMBARD STREET 51 SAN FRANCISCO CA 94133 813803168 501(C)(3) 140000 PROJECT SUPPORT RAINFOREST FOUNDATION INC 180 VARICK STREET SUITE 528 NEW YORK NY 10014 951622945 501(C)(3) 425000 PROJECT SUPPORT RAINFOREST ACTION NETWORK 425 BUSH STREET STE 300 SAN FRANCISCO CA 94108 943045180 501(C)(3) 200000 PROJECT SUPPORT REGENTS OF THE UNIVERSITY OF CALIFORNIA AT BERKELEY SPONSORED PROJECTS OFFICE 1608 FOURTH ST STE 220 BERKELEY CA 94704 946002123 STATE OF CA 160000 PROJECT SUPPORT REGENTS OF THE UNIVERSITY OF CALIFORNIA AT DAVIS ONE SHIELDS AVENUE DAVIS CA 956168762 946036494 STATE OF CA 345000 PROJECT SUPPORT RESOURCES FOR THE FUTURE INC 1616 P STREET NW SUITE 600 WASHINGTON DC 20036 530220900 501(C)(3) 225000 PROJECT SUPPORT RIGHTS AND RESOURCES INSTITUTE 2715 M STREET NW SUITE 300 WASHINGTON DC 20007 203690821 501(C)(3) 200000 PROJECT SUPPORT ROCKY MOUNTAIN INSTITUTE 1820 FOLSOM STREET BOULDER CO 80302 742244146 501(C)(3) 250000 PROJECT SUPPORT ROCKEFELLER PHILANTHROPY ADVISORS INC 6 WEST 48TH STREET 10TH FLOOR NEW YORK NY 10036 133615533 501(C)(3) 75000 PROJECT SUPPORT SILICON VALLEY COMMUNITY FOUNDATION 2440 WEST EL CAMINO REAL MOUNTAIN VIEW CA 94040 205205488 501(C)(3) 25000 PROJECT SUPPORT STAND ONE HAIGHT STREET SAN FRANCISCO CA 94102 943331587 501(C)(3) 345000 PROJECT SUPPORT THE COMMONWEALTH CLUB OF CALIFORNIA 595 MARKET STREET SAN FRANCISCO CA 94105 940399260 501(C)(3) 60000 PROJECT SUPPORT THE ENERGY FOUNDATION 301 BATTERY STREET 5TH FLOOR SAN FRANCISCO CA 94111 943126848 501(C)(3) 1600000 FOR SUPPORT OF ENERGY FOUNDATION CHINA THE NATURE CONSERVANCY INC 4245 N FAIRFAX DRIVE SUITE 100 ARLINGTON VA 22201 530242652 501(C)(3) 30000 PROJECT SUPPORT TRUSTEES OF BOSTON UNIVERSITY OFFICE OF SPONSORED PROGRAMS 25 BUICK STREET SUITE 200 BOSTON MA 02215 042103547 501(C)(3) 120000 PROJECT SUPPORT UCLA FOUNDATION 337 CHARLES E YOUNG DRIVE LOS ANGELES CA 900951656 952250801 501(C)(3) 50000 PROJECT SUPPORT UNITED NATIONS FOUNDATION 1750 PENNSYLVANIA AVENUE NW WASHINGTON DC 20006 582368165 501(C)(3) 650000 PROJECT SUPPORT WOODROW WILSON INTERNATIONAL CENTER FOR SCHOLARS 1300 PENNSYLVANIA AVE NW WASHINGTON DC 20004 521067541 501(C)(3) 127000 PROJECT SUPPORT WOODS & WAYSIDE INTERNATIONAL INC 19-1/2 BLACKWELL AVENUE HOPEWELL NJ 08525 260743445 501(C)(3) 100000 PROJECT SUPPORT WOODS HOLE RESEARCH CENTER 149 WOODS HOLE ROAD FALMOUTH MA 025401644 043005094 501(C)(3) 32871 PROJECT SUPPORT WORLD RESOURCES INSTITUTE 10 G STREET NE SUITE 800 WASHINGTON DC 20002 521257057 501(C)(3) 1195372 PROJECT SUPPORT WORLD WILDLIFE FUND 1250 24TH STREET NW WASHINGTON DC 20037 521693387 501(C)(3) 320000 PROJECT SUPPORT YALE UNIVERSITY SCHOOL OF FORESTRY AND ENV STUDIES 195 PROSPECT ST NEW HAVEN CT 06511 060646973 501(C)(3) 360349 PROJECT SUPPORT 53 1 PART I, LINE 2: IN 2017, CLIMATEWORKS FOUNDATION FUNDING SUPPORTED REGIONAL PARTNERS AND OTHER GRANTEES WELL KNOWN TO CLIMATEWORKS FROM GRANTS AWARDED IN PRIOR YEARS. THESE ORGANIZATIONS HAD UNDERGONE AN EXTENSIVE VETTING PROCESS PRIOR TO BECOMING RECURRING GRANTEES. CLIMATEWORKS PROGRAM STAFF PERFORM DUE DILIGENCE ON PROSPECTIVE GRANTS AND EVALUATE THE PAST SUCCESS AND HEALTH OF THE PROSPECTIVE GRANTEE. ALL ORGANIZATIONS ARE REQUIRED TO SUBMIT A GRANT NARRATIVE PROPOSAL AND BUDGET. PROPOSALS ARE EVALUATED ON THEIR PROJECTED OUTCOMES AND ALIGNMENT WITH CLIMATEWORKS' MISSION AND STRATEGIES. OTHER REQUIRED DOCUMENTATION INCLUDES: THE CURRENT YEAR BUDGET; YEAR-TO-DATE FINANCIAL STATEMENTS; PRIOR YEAR AUDITED FINANCIAL STATEMENTS; GOVERNMENT-ISSUED TAX STATUS DETERMINATION DOCUMENTATION; A LIST OF BOARD OF DIRECTORS, OFFICERS, AND AFFILIATIONS; AND BIOGRAPHIES OF KEY STAFF INVOLVED IN THE PROJECT. ALL GRANTEES ARE REQUIRED TO SIGN AND RETURN A GRANT AGREEMENT, WHICH STATES THAT FUNDS MAY BE SPENT ONLY FOR THE SPECIFIC CHARITABLE PURPOSES STATED IN THE PROPOSAL. ALL GRANTEES MUST BE IN COMPLIANCE WITH ALL APPLICABLE ANTI-TERRORIST FINANCING AND ASSET CONTROL LAWS, REGULATIONS, RULES, EXECUTIVE ORDERS, AND CANNOT VIOLATE ANY IRS EXPENDITURE PROHIBITIONS. CLIMATEWORKS VERIFIES THE ORGANIZATION'S EXISTENCE AND TAX STATUS USING GUIDESTAR CHARITY CHECK. DEPENDING ON THE DOLLAR AMOUNT, EITHER THE BOARD OF DIRECTORS, THE PRESIDENT & CEO, OR A VICE PRESIDENT APPROVES THE GRANT. CLIMATEWORKS REVIEWS NARRATIVE AND FINANCIAL REPORTS TO ENSURE THAT THE FUNDS WERE SPENT EXCLUSIVELY FOR THE CHARITABLE PURPOSES STATED IN THE PROPOSAL AND WITHIN THE CONFINES OF THE OTHER RESTRICTIONS OF THE GRANT. PART II, COLUMN (H): THE FULL DESCRIPTION OF THE PURPOSE FOR CLIMATEWORKS GRANTS IS AVAILABLE THROUGH OUR GRANTS DATABASE AT: HTTPS://WWW.CLIMATEWORKS.ORG/PORTFOLIOS/GRANTS-DATABASE/ X 1 1 X X X 0 0 0 0 0 0 0 1 0 CHARLOTTE PERA PRESIDENT AND CEO 494698 0 1000 0 1932 0 40500 0 11560 0 549690 0 0 0 BRIAN MCCRACKEN VP, FINANCE & ADMINISTRATION, TREAS. 257067 0 0 0 1260 0 38400 0 29422 0 326149 0 0 0 GRETCHEN RAU SECRETARY 122487 0 7000 0 6336 0 18450 0 8636 0 162909 0 0 0 CHRIS ELLIOTT EXECUTIVE DIR CLUA THROUGH DEC 2017 353000 0 0 0 11689 0 40500 0 25107 0 430296 0 0 0 CHARLES MCELWEE VICE PRESIDENT, PROGRAMS 355000 0 0 0 5544 0 40500 0 27363 0 428407 0 0 0 SUSAN ELIZABETH COOK VICE PRESIDENT, SYSTEMS AND PLANNING 359698 0 0 0 5544 0 40100 0 12162 0 417504 0 0 0 SHAWN P REIFSTECK VICE PRESIDENT, PHILANTHROPY 369096 0 0 0 1260 0 38794 0 31855 0 441005 0 0 0 DANIEL HAMZA-GOODACRE EXECUTIVE DIRECTOR, K-CEP 239567 0 18000 0 13410 0 21636 0 30817 0 323430 0 0 0 DANIEL ZARIN DIRECTOR OF PROGRAMS, CLUA 254017 0 0 0 1932 0 38625 0 34435 0 329009 0 0 0 JAN DERRICKSON PROGRAM DIRECTOR, CLEAN POWER 236413 0 5000 0 5321 0 35535 0 21171 0 303440 0 0 0 ILMI GRANOFF PROG. DIRECTOR, SUSTAINABLE FINANCE 241240 0 0 0 778 0 23686 0 22640 0 288344 0 0 0 MARY RAFTERY SR. ADVISOR, FUNDER COLLABORATIONS 239358 0 0 0 1855 0 36000 0 11056 0 288269 0 0 0 PART I, LINE 1A GRETCHEN RAU (ASSOCIATE DIRECTOR FOR THE EXECUTIVE OFFICE AND BOARD SECRETARY), DANIEL HAMZA-GOODACRE (EXECUTIVE DIRECTOR, KIGALI COOLING EFFICIENCY PROGRAM), AND JAN DERRICKSON (PROGRAM DIRECTOR, CLEAN POWER) RECEIVED TAX GROSS-UPS OF $4,690, $12,604, AND $3,497 RESPECTIVELY AS PART OF BONUSES PAID TO THEM IN 2017. THESE TAX GROSS-UP PAYMENTS WERE REPORTED ON FORM W-2'S AS TAXABLE INCOME, AS REQUIRED, AND REPORTED AS COMPENSATION ON SCHEDULE J, PART II, COLUMN (B)(III). PART I, LINE 7 THE BONUSES AWARDED TO GRETCHEN RAU (ASSOCIATE DIRECTOR FOR THE EXECUTIVE OFFICE AND BOARD SECRETARY), DANIEL HAMZA-GOODACRE (EXECUTIVE DIRECTOR, KIGALI COOLING EFFICIENCY PROGRAM), AND JAN DERRICKSON (PROGRAM DIRECTOR, CLEAN POWER) WAS DETERMINED BY SUPERVISORS, WHO UTILIZED DISCRETION IN DETERMINING THE AMOUNT OF PAYMENT, AND THUS WOULD BE CONSIDERED A NON-FIXED PAYMENT. X 1 237126 FAIR MARKET VALUE 0 0 1 0 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS RECEIVED IN SCHEDULE M, PART I, COLUMN (B). FORM 990, PART III, LINE 1: CLIMATEWORKS FOUNDATION MOBILIZES PHILANTHROPY TO SOLVE THE CLIMATE CRISIS AND ENSURE A PROSPEROUS FUTURE. TO DO THIS, WE: (I) PROVIDE GLOBAL ANALYSIS AND INSIGHTS: PROVIDING DATA-RICH INFORMATION AND ANALYSIS TO GIVE A GLOBAL VIEW OF THE CLIMATE FIELD AND ACTIONABLE INSIGHTS TO FUNDERS. OUR GLOBAL VIEW INCLUDES GREENHOUSE GAS MITIGATION OPPORTUNITIES, FUNDING FLOWS, STRATEGIC INITIATIVES, THE GRANTEE LANDSCAPE, AND PROGRESS TRACKING. (II) FACILITATE FUNDER COORDINATION AND COLLABORATION AMONG INFLUENTIAL PHILANTHROPIC FUNDERS BY CREATING OPPORTUNITIES FOR THEM TO INTERACT WITH THEIR PEERS, COMPARE STRATEGIES, GENERATE IDEAS, AND COORDINATE INVESTMENTS THAT TARGET THE BIGGEST DRIVERS OF GLOBAL CLIMATE CHANGE. (III) MAKE STRATEGIC GRANTS THAT SUPPORT SELECT GLOBAL AND TRANSNATIONAL INITIATIVES, WITH A FOCUS ON EXPERIMENTAL AND EMERGING STRATEGIES AND IN COLLABORATION WITH OTHER GRANTMAKERS. (IV) WORK WITH PARTNERS TO EXPAND GLOBAL CLIMATE PHILANTHROPY, IN KEEPING WITH THE SCALE OF TRANSFORMATION NEEDED TO ADDRESS CLIMATE CHANGE. FORM 990, PART III, LINE 2 THE ORGANIZATION LAUNCHED THE KIGALI COOLING EFFICIENCY PROGRAM (K-CEP) DURING 2017, A PHILANTHROPIC COLLABORATION TO SUPPORT THE KIGALI AMENDMENT TO THE MONTREAL PROTOCOL AND THE TRANSITION TO EFFICIENT CLEAN COOLING SOLUTIONS FOR ALL. FORM 990, PART III, LINE 4A: IN 2017, THROUGH STRATEGY DEVELOPMENT AND GRANTMAKING, CLIMATEWORKS FOUNDATION ADVANCED GLOBAL AND TRANSNATIONAL INITIATIVES, WITH A FOCUS ON EXPERIMENTAL AND EMERGING STRATEGIES AND COLLABORATION WITH OTHER GRANTMAKERS. CLIMATEWORKS' STRATEGIES AND GRANTS CONTRIBUTED TO PROGRESS ON CLEAN ENERGY, LOW-CARBON TRANSPORTATION, GREEN BUILDINGS AND INDUSTRY, SUSTAINABLE FINANCE, MULTILATERAL INITIATIVES, AND OTHER EFFORTS TO ACCELERATE CLIMATE PROGRESS AND SERVE THE PUBLIC INTEREST. VISIT WWW.CLIMATEWORKS.ORG/PORTFOLIOS/GRANTS-DATABASE FOR A COMPLETE LIST OF CLIMATEWORKS' GRANTS. IN ADDITION, IN 2017 CLIMATEWORKS' GLOBAL VIEW FUNCTION ANALYZED AND SYNTHESIZED INFORMATION AND GENERATED ACTIONABLE INSIGHTS FOR PHILANTHROPY. FOR EXAMPLE, CLIMATEWORKS RELEASED TWO PUBLIC REPORTS ONE TITLED "EUROPE'S CARBON LOOPHOLE," A LIFECYCLE ACCOUNTING OF EUROPEAN MEMBER STATE CARBON EMISSIONS, INCLUDING THOSE EMISSIONS CAUSED THROUGH CONSUMPTION OF IMPORTED GOODS, AND ONE TITLED "FASTER & CLEANER 2: KICK-STARTING GLOBAL DECARBONIZATION," A REPORT THAT EXPLORES TECHNOLOGY TRENDS DRIVING DECARBONIZATION AND IDENTIFIES SUCCESS FACTORS THAT CAN HASTEN FURTHER TRANSFORMATIONS. THESE PUBLICATIONS AND ADDITIONAL INSIGHTS ARE HELPING TO ENSURE THAT PHILANTHROPIC INVESTMENTS ARE DIRECTED TOWARD EFFECTIVE STRATEGIES TO DRIVE DEEP REDUCTIONS IN GREENHOUSE GAS EMISSIONS. FORM 990, PART III, LINE 4B: IN 2017, CLIMATEWORKS FOUNDATION AND ITS PARTNERS LAUNCHED THE KIGALI COOLING EFFICIENCY PROGRAM (K-CEP), A PHILANTHROPIC COLLABORATION TO SUPPORT THE KIGALI AMENDMENT TO THE MONTREAL PROTOCOL AND THE TRANSITION TO EFFICIENT, CLEAN COOLING SOLUTIONS FOR ALL. K-CEP'S PROGRAM OFFICE, THE EFFICIENCY COOLING OFFICE, IS HOUSED AT CLIMATEWORKS FOUNDATION. IN 2017, K-CEP AND ITS GRANTEES PROVIDED TECHNICAL ASSISTANCE ON THE DRAFTING OF 27 NATIONAL COOLING PLANS AND COOLING EFFICIENCY TRAINING TO OZONE AND ENERGY POLICYMAKERS IN 147 COUNTRIES. FORM 990, PART III, LINE 4C: IN 2017, CLIMATEWORKS FOUNDATION ADVANCED LAND USE POLICIES AND PRACTICES THAT MITIGATE CLIMATE CHANGE, BENEFIT PEOPLE, AND PROTECT THE ENVIRONMENT THROUGH ITS SUPPORT FOR AND ADMINISTRATION OF THE CLIMATE AND LAND USE ALLIANCE (CLUA), A COLLABORATIVE PHILANTHROPIC INITIATIVE. IN 2017 CLUA COORDINATED THE LAUNCH OF A SERIES OF REPORTS BEFORE COP23 THAT RESULTED IN SIGNIFICANT COVERAGE ON THE IMPORTANCE OF FORESTS FOR ACHIEVING THE GOALS OF THE PARIS AGREEMENT AND THE ROLE OF INDIGENOUS PEOPLES AND LOCAL COMMUNITIES IN PROTECTING FORESTS. THROUGH THE WORK OF ITS GRANTEES AND PARTNERS, CLUA ALSO CONTRIBUTED TO THE FOLLOWING OUTCOMES: THE EUROPEAN PARLIAMENT'S DECISION TO PHASE OUT BIOFUELS MADE FROM VEGETABLE OILS BY 2020, INCLUDING PALM OIL, AND TO INTRODUCE A SINGLE CERTIFICATION SCHEME FOR PALM OIL ENTERING THE EUROPEAN MARKET; A GATHERING OF RELIGIOUS LEADERS AND INDIGENOUS PEOPLES IN OSLO, NORWAY, IN JUNE TO LAUNCH THE INTERFAITH RAINFOREST INITIATIVE; AND INDONESIA'S MORATORIUM ON PRIMARY FOREST AND PEATLAND PERMITTING, WHICH WAS EXTENDED FOR ANOTHER TWO YEARS AS OF JULY 2017. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PREPARED JOINTLY BY CLIMATEWORKS FOUNDATION STAFF AND AN OUTSIDE ACCOUNTING FIRM. THE DRAFT IS REVIEWED BY THE VICE PRESIDENT OF FINANCE & ADMINISTRATION/TREASURER, PRESIDENT & CHIEF EXECUTIVE OFFICER, AND GENERAL COUNSEL. CLIMATEWORKS' FINANCIAL MANAGEMENT AND THE ACCOUNTING FIRM'S TAX LEAD REVIEWS THE DRAFT WITH CLIMATEWORKS' AUDIT COMMITTEE. THE AUDIT COMMITTEE RECOMMENDS APPROVAL OF THE RETURN TO THE BOARD, WHO RECEIVES THE FORM 990 PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C CLIMATEWORKS FOUNDATION'S POLICY REQUIRES THAT ANY APPARENT OR POTENTIAL CONFLICTS OF INTEREST BE FULLY DISCLOSED BEFORE A DECISION IS MADE ON THE MATTER INVOLVED, AND THAT NO DIRECTOR, OFFICER, OR STAFF MEMBER PARTICIPATE (OTHER THAN BY PROVIDING INFORMATION) IN ANY DECISION IN WHICH HE OR SHE HAS A CONFLICT OF INTEREST. CLIMATEWORKS' CONFLICT OF INTEREST POLICY IS INCLUDED AS PART OF THE FORMAL ORIENTATION FOR ALL NEW BOARD OF DIRECTORS, OFFICERS, AND STAFF. ADDITIONALLY, ALL OFFICERS, DIRECTORS, AND STAFF ARE REQUIRED TO COMPLETE AN ANNUAL CONFLICT OF INTEREST DISCLOSURE STATEMENT. POTENTIAL OFFICER AND BOARD MEMBER CONFLICTS ARE REVIEWED BY THE CHAIR OF THE BOARD, WHO WILL INVESTIGATE THE FACTS, SEEK ADVICE FROM OUTSIDE COUNSEL AS NECESSARY, AND REPORT BACK TO THE BOARD AT THE TIME IT CONSIDERS THE TRANSACTION. AN INTERESTED DIRECTOR OR OFFICER WILL NOT PARTICIPATE IN DELIBERATIONS OR THE VOTE. POTENTIAL STAFF MEMBER CONFLICTS ARE REVIEWED BY THE PRESIDENT & CHIEF EXECUTIVE OFFICER, WHO WILL INVESTIGATE THE FACTS, SEEK ADVICE FROM OUTSIDE COUNSEL AS NECESSARY, AND TAKE APPROPRIATE ACTION IN ACCORDANCE WITH THE POLICY. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD ANNUALLY REVIEWS THE COMPENSATION OF THE PRESIDENT AND CHIEF EXECUTIVE OFFICER AND APPROVES CHANGES. CONSISTENT WITH ITS CONFLICT OF INTEREST POLICY, THE PRESIDENT AND CHIEF EXECUTIVE OFFICER, WHO IS ALSO A DIRECTOR, DID NOT PARTICIPATE IN ANY BOARD DELIBERATIONS OR VOTES REGARDING HER COMPENSATION. THE BOARD APPROVES CHANGES TO THE VICE PRESIDENT FOR FINANCE & ADMINISTRATION/TREASURER'S COMPENSATION, UNLESS THE CHANGE APPLIES TO SUBSTANTIALLY ALL EMPLOYEES. THE BOARD USES THIRD-PARTY COMPENSATION SURVEYS AND COMPENSATION INFORMATION OF COMPARABLE ORGANIZATIONS, INCLUDING OTHER FOUNDATIONS, PUBLIC CHARITIES, AND NGOS TO BENCHMARK COMPENSATION FOR THESE POSITIONS. CLIMATEWORKS FOUNDATION DOCUMENTS THE DELIBERATIONS REGARDING COMPENSATION IN MINUTES OF THE MEETINGS OF ITS BOARD. COMPENSATION FOR KEY EMPLOYEES IS REVIEWED ANNUALLY BY DIRECT SUPERVISORS, WITH FINAL REVIEW BY THE PRESIDENT AND CHIEF EXECUTIVE OFFICER. THIRD-PARTY SURVEYS, COMPILING DATA FROM OTHER FOUNDATIONS, PUBLIC CHARITIES, AND NGOS ARE USED TO BENCHMARK COMPENSATION FOR EACH POSITION. FORM 990, PART VI, SECTION C, LINE 18 CLIMATEWORKS FOUNDATION PROVIDES A COPY OF THE FORM 990 DIRECTLY TO GUIDESTAR TO PUBLISH ON ITS WEBSITE, IN ADDITION TO POSTING THE FORM 990 ON ITS WEBSITE AND PROVIDING A COPY OF THE FORM 990 UPON REQUEST BY THE GENERAL PUBLIC. FORM 990, PART VI, SECTION C, LINE 19 CLIMATEWORKS MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART VII: THE ORGANIZATION'S AUDIT COMMITTEE FOR THE 2017 TAX YEAR WAS COMPRISED OF SUSAN TIERNEY, A VOTING MEMBER OF THE BOARD OF DIRECTORS AND BOARD CHAIR, AS WELL AS JOHN NATOLI (WHO SERVED AS THE AUDIT COMMITTEE CHAIR) AND DIANA MEARS, BOTH OF WHOM DO NOT HAVE VOTING RIGHTS ON THE BOARD OF DIRECTORS, BUT SERVED AS AN ADVISOR IN THIS CAPACITY. FORM 990, PART IX, LINE 11G PROGRAM CONSULTING: PROGRAM SERVICE EXPENSES 8,649,202. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 8,649,202. PROGRAM MEASUREMENT & EVALUATION: PROGRAM SERVICE EXPENSES 672,737. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 672,737. COMMUNICATIONS: PROGRAM SERVICE EXPENSES 563,633. MANAGEMENT AND GENERAL EXPENSES 142,126. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 705,759. TEMPORARY STAFFING: PROGRAM SERVICE EXPENSES 282,855. MANAGEMENT AND GENERAL EXPENSES 107,200. FUNDRAISING EXPENSES 37,140. TOTAL EXPENSES 427,195. RECRUITING: PROGRAM SERVICE EXPENSES 126,511. MANAGEMENT AND GENERAL EXPENSES 154,070. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 280,581. CONSULTING AND PROFESSIONAL SERVICES: PROGRAM SERVICE EXPENSES 813,763. MANAGEMENT AND GENERAL EXPENSES 181,758. FUNDRAISING EXPENSES 19,525. TOTAL EXPENSES 1,015,046. FORM 990, PART XI, LINE 9: REVERSAL OF PRIOR YEAR GRANTS 40,888. UNREALIZED GAIN ON CURRENCY CONVERSION 24,478. CLIMATE AND LAND USE ALLIANCE LLC 235 MONTGOMERY STREET SUITE 1300 SAN FRANCISCO CA 94104 453944486 ENVIRONMENTAL DE 16762794 5961997 CLIMATEWORKS FOUNDATION LATIN AMERICA REGIONAL CLIMATE INITIATIVE LLC 235 MONTGOMERY STREET SUITE 1300 SAN FRANCISCO CA 94104 320403216 ENVIRONMENTAL DE 0 0 CLIMATEWORKS FOUNDATION SCHEDULE R, PART I IN DECEMBER 2012, THE CLIMATEWORKS FOUNDATION'S BOARD OF DIRECTORS CREATED THE LATIN AMERICA REGIONAL CLIMATE INITIATIVE, LLC ("LARCI"), WHICH COMMENCED OPERATIONS IN MARCH 2013. THE FOUNDATION WAS LARCI'S SOLE MEMBER UNTIL THE FOUNDATION DISSOLVED LARCI IN JUNE 2017. CLIMATEWORKS FOUNDATION DISSOLVED LARCI, AS PLANNED, AFTER INDEPENDENT REGIONAL PARTNERS EMERGED FROM LARCI IN THE COUNTRIES IT OPERATED IN.