2017-10-10T11:53:31-05:00 2016-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2016-01-01 840399006 THE ASPEN INSTITUTE INC ASPE 2027365800 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 NAMITA KHASAT EVP FIN.& ADMIN./CFO/TREASURER 2027365800 2017-10-10 1 FRANK H SMITH P00639053 2028225000 2017-10-05 207.238.152.3 2017-10-10 12:53:20 ED P F135C83ED9FEE547B936C2DB6A419AD746D8269C 7C912A7E7EB2F0137FCC833E299A7C725AB5DECD 2016 2021-01-29 14:40:06Z WALTER ISAACSON ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 207583172 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO VALUES-BASED LEADERSHIP IN NEUTRAL AND BALANCED VENUE FOR DISCUSSING CRITICAL ISSUES. 66 65 524 64 11461972 0 111928714 85321334 30455451 34507947 239875 170927 230486 298491 142854526 120298699 8484499 10839838 0 0 41445856 44827706 0 0 3159292 51448762 58786482 101379117 114454026 41475409 5844673 278242256 296191659 19264679 23279508 258977577 272912151 X THE INSTITUTE'S MISSION IS TO FOSTER LEADERSHIP BASED ON ENDURING VALUES AND TO PROVIDE A NONPARTISAN VENUE FOR DEALING WITH CRITICAL ISSUES THROUGH: (SEE SCHEDULE O)1. IDEAS - SPARK INTELLECTUAL INQUIRY AND EXCHANGE, CONNECTING NEW CONCEPTS TO TIMELESS VALUES. 2. LEADERSHIP - CREATE A DIVERSE WORLDWIDE COMMUNITY OF LEADERS COMMITTED TO THE GREATER GOOD.3. ACTION - PROVIDE A NONPARTISAN FORUM FOR REACHING SOLUTIONS ON VITAL PUBLIC POLICY ISSUES. 0 0 49507418 10396738 7794723 POLICY PROGRAM: THE INSTITUTE'S 31 POLICY PROGRAMS ADVANCE PUBLIC AND PRIVATE-SECTOR KNOWLEDGE ON SIGNIFICANT POLICY ISSUES CONFRONTING CONTEMPORARY SOCIETY. THEY CONVENE LEADERS AND EXPERTS TO SEEK CONSTRUCTIVE SOLUTIONS TO CRITICAL PROBLEMS. WHILE EACH PROGRAM IS UNIQUE IN SUBSTANCE AND APPROACH THEY ALL SHARE A COMMITMENT TO ADVANCING BETTER POLICY BY BRINGING DIVERSE PERSPECTIVES TOGETHER IN PURSUIT OF INFORMED DIALOGUE AND EFFECTIVE SOLUTIONS. 16969578 11001370 CAMPUS ACTIVITIES: THE INSTITUTE CARRIES OUT MUCH OF ITS WORK ON ITS TWO CAMPUSES. IN ASPEN, COLORADO AND ON THE WYE RIVER, ON MARYLAND'S EASTERN SHORE WHERE NATURAL BEAUTY AND QUIET SURROUNDINGS ENCOURAGES THOUGHTFUL REFLECTION AND REFRESHES THE MIND, BODY AND SPIRIT. 12693029 75000 12223175 PUBLIC PROGRAMS: THE INSTITUTE'S 18 PUBLIC PROGRAMS OPEN THE INSTITUTE UP TO THE PUBLIC, OFFERING OPPORTUNITIES TO ENGAGE IN THOUGHTFUL, NONPARTISAN INQUIRY. OUR MAJOR EVENTS INCLUDE THE ASPEN IDEAS FESTIVAL, SPOTLIGHT HEALTH AND THE ASPEN SECURITY FORUM AND THE ASPEN WORDS PROGRAM. THESE AND OUR OTHER PUBLIC FORUMS ENGAGE OVER 15,000 MEMBERS OF THE GENERAL PUBLIC ANNUALLY. 6725242 310500 1548571 ASPEN GLOBAL LEADERSHIP NETWORK & INNOVATION FUNDS 1638127 294987 OTHER RESTRICTED PROGRAMS 1633819 57600 YOUTH AND ENGAGEMENT 912480 1645121 SEMINARS 10909668 368100 3488679 90079693 1 1 0 1 0 0 1 1 0 1 1 1 0 0 1 1 1 0 0 0 1 1 1 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 589 0 1 524 1 1 1 0 0 0 0 1 1 0 0 0 0 X 66 65 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT FL GA IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X ASPEN INSTITUTENAMITA KHASAT 2027362520 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 ROBERT K STEEL CHAIRMAN 1.00 X X 0 0 0 JAMES SCHINE CROWN VICE CHAIR 0.30 X X 0 0 0 WILLIAM E MAYER CHAIRMAN EMERITUS 0.30 X X 0 0 0 MADELEINE K ALBRIGHT TRUSTEE 0.30 X 0 0 0 PAUL F ANDERSON TRUSTEE 0.30 X 0 0 0 MERCEDES BASS TRUSTEE 0.30 X 0 0 0 MIGUEL MIKE BEZOS TRUSTEE 0.30 X 0 0 0 RICHARD BRADDOCK TRUSTEE 0.30 X 0 0 0 BETH BROOKE-MARCINIAK TRUSTEE 0.30 X 0 0 0 WILLIAM D BUDINGER TRUSTEE 0.30 X 0 0 0 STEPHEN L CARTER TRUSTEE 0.30 X 0 0 0 CESAR R CONDE TRUSTEE 0.30 X 0 0 0 PENNY COULTER TRUSTEE 0.30 X 0 0 0 ANDREA CUNNINGHAM TRUSTEE 0.30 X 0 0 0 KENNETH L DAVIS MD TRUSTEE 0.30 X 0 0 0 JOHN DOERR TRUSTEE 0.30 X 0 0 0 THELMA DUGGIN TRUSTEE 0.30 X 0 0 0 SYLVIA A EARLE TRUSTEE 0.30 X 0 0 0 MICHAEL D EISNER TRUSTEE 0.30 X 0 0 0 L BROOKS ENTWISTLE TRUSTEE 0.30 X 0 0 0 HENRIETTA HOLSMAN FORE TRUSTEE 0.30 X 0 0 0 ANN B FRIEDMAN TRUSTEE 0.30 X 0 0 0 HENRY LOUIS GATES JR TRUSTEE 0.30 X 0 0 0 DAVID GERGEN TRUSTEE 0.30 X 0 0 0 GERALD GREENWALD TRUSTEE 0.30 X 0 0 0 PATRICK W GROSS TRUSTEE 0.30 X 0 0 0 ARJUN GUPTA TRUSTEE 0.30 X 0 0 0 JANE HARMAN TRUSTEE 0.30 X 0 0 0 HAYNE HIPP TRUSTEE 0.30 X 0 0 0 MARK S HOPLAMAZIAN TRUSTEE 0.30 X 0 0 0 GERALD D HOSIER TRUSTEE 0.30 X 0 0 0 ANN FRASHER HUDSON TRUSTEE 0.30 X 0 0 0 ROBERT HURST TRUSTEE 0.30 X 0 0 0 SALMAN KHAN TRUSTEE 0.30 X 0 0 0 MICHAEL KLEIN TRUSTEE 0.30 X 0 0 0 DAVID KOCH TRUSTEE 0.30 X 0 0 0 LAURA LAUDER TRUSTEE 0.30 X 0 0 0 RODERICK VON LIPSEY TRUSTEE 0.30 X 0 0 0 YO-YO MA TRUSTEE 0.30 X 0 0 0 FREDERIC V MALEK TRUSTEE 0.30 X 0 0 0 JAMES M MANYIKA TRUSTEE 0.30 X 0 0 0 BONNIE PALMER MCCLOSKEY TRUSTEE 0.30 X 0 0 0 DAVID MCCORMICK TRUSTEE 0.30 X 0 0 0 ANNE WELSH MCNULTY TRUSTEE 0.30 X 0 0 0 DIANE L MORRIS TRUSTEE 0.30 X 0 0 0 KARLHEINZ MUHR TRUSTEE 0.30 X 0 0 0 CLARE MUNANA TRUSTEE 0.30 X 0 0 0 JERRY MURDOCK TRUSTEE 0.30 X 0 0 0 MARC NATHANSON TRUSTEE 0.30 X 0 0 0 WILLIAM A NITZE TRUSTEE 0.30 X 0 0 0 HER MAJESTY QUEEN NOOR TRUSTEE 0.30 X 0 0 0 JACQUELINE NOVOGRATZ TRUSTEE 0.30 X 0 0 0 OLARA A OTUNNU TRUSTEE 0.30 X 0 0 0 ELAINE PAGELS TRUSTEE 0.30 X 0 0 0 MARGOT L PRITZKER TRUSTEE 0.30 X 0 0 0 LYNDA RESNICK TRUSTEE 0.30 X 0 0 0 CONDOLEEZZA RICE TRUSTEE 0.30 X 0 0 0 JIM ROGERS TRUSTEE 0.30 X 0 0 0 RICARDO SALINAS TRUSTEE 0.30 X 0 0 0 ISAAC SHONGWE TRUSTEE 0.30 X 0 0 0 ANNA DEAVERE SMITH TRUSTEE 0.30 X 0 0 0 MICHELLE SMITH TRUSTEE 0.30 X 0 0 0 LAURIE M TISCH TRUSTEE 0.30 X 0 0 0 VIN WEBER TRUSTEE 0.30 X 0 0 0 WALTER ISAACSON PRESIDENT/CEO 40.00 X X 806885 0 65446 ELLIOT GERSON EXECUTIVE VP 40.00 X 368358 0 77468 PETER REILING EXECUTIVE VP 40.00 X 367266 0 77439 RAJIV VINNAKOTA EXECUTIVE VP 40.00 X 317713 0 42679 NAMITA KHASAT EVP FIN. & ADMN./CFO/TREASURER 40.00 X 347226 0 9613 ERIC MOTLEY EVP: CORP SECRETARY 40.00 X 305568 0 49209 CHARLIE FIRESTONE EXECUTIVE DIRECTOR 40.00 X 331010 0 65504 MICKEY EDWARDS VP. PROGRAM DIRECTOR 40.00 X 316393 0 52903 DAN GLICKMAN VP, EXECUTIVE DIRECTOR 40.00 X 313615 0 39649 KITTY BOONE VP, PROGRAM DIRECTOR 40.00 X 275567 0 76953 MARGARET CLARK VP, POLICY PROGRAMS 40.00 X 275023 0 65429 4024624 0 622292 121 0 1 0 C3 PRESENTS 1645 E 6TH STREET AUSTIN TX 78702 EVENT PLANNING, MANAGEMENT, VENUE RENTAL 2245052 COLORADO AUDIO VISUAL 409 AABC SUITE B ASPEN CO 81611 SOUND, VIDEOGRAPHERS, AV PRODUCTION 914179 BURNESS COMMUNICATIONS 7910 WOODMONT AVENUE BETHESDA MD 20814 COMMUNICATIONS CONSULTING 468755 FIRSTBORN 32 AVENUE OF THE AMERICAS NEW YORK NY 10013 WEBSITE DESIGN & DEVELOPMENT 377913 CIVIC LLC 1110 VERMONT AVENUE NW 950 WASHINGTON DC 20005 PUBLIC POLICY CONSULTING 358795 15 2491645 2466866 80362823 77998 85321334 CONTRACT REVENUE 900099 12364664 12364664 SEMINAR AND EVENT FEES 900099 11159879 11159879 CONF./FACILITY FEES 531390 10963021 10963021 BOOK SALES 900099 20383 20383 34507947 222180 184755 37425 120679 89419 31260 31260 31260 86477820 86529073 -51253 -51253 -51253 97479 2491645 665981 -568502 -568502 OTHER INCOME 900099 489228 489228 ADVERTISING INCOME 541800 314196 314196 SUBLEASE INCOME 900099 32309 32309 835733 120298699 23544926 11461972 -29533 10301638 10301638 153125 153125 385075 385075 2530397 434580 1981088 114729 34410162 25120383 7642817 1646962 3171328 2186400 823037 161891 2258041 1585140 596701 76200 2457778 1694460 637853 125465 15284611 15284611 351046 41531 309515 202111 202111 930496 930496 7538503 7113990 424513 132823 115825 6496 10502 4323985 2526422 1362923 434640 1313825 350613 960750 2462 3013122 2222438 678164 112520 12045576 11033286 738692 273598 688458 688458 4804481 4647461 157020 7500 169 7331 2777193 2777193 325858 325858 PUBLICATIONS 1444732 1224669 169368 50695 PARTNER REIMBURSEMENTS 1331233 1331233 AUDIO/VISUAL 1279797 1204185 39205 36407 REPAIRS AND MAINTENANCE 530746 145642 385104 460386 288359 58806 113221 114454026 90079693 21215041 3159292 20706 2527 15314831 8511114 70701619 60571017 1885671 4185465 131455 122374 1125418 1795168 94837246 45770381 50651673 49066865 19602145 13418776 118715385 158418095 93353 100258 278242256 296191659 6781875 8752767 2323397 4554594 6015991 5763737 4143416 4208410 19264679 23279508 X 80698001 84983013 123871918 132843761 54407658 55085377 258977577 272912151 278242256 296191659 X 5844673 7816669 273232 X 0 1 X 1 1 1 X 71686768 68204184 68633372 111928714 85321334 405774372 71686768 68204184 68633372 111928714 85321334 405774372 39281174 366493198 347151 334358 133656 894214 190413 1899792 485061 398612 190216 395329 489228 1958446 409632610 94794617 0.89470 0.88410 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2012 AMOUNT: $ 485,061. 2013 AMOUNT: $ 398,612. 2014 AMOUNT: $ 190,216. 2015 AMOUNT: $ 395,329. 2016 AMOUNT: $ 489,228. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 833 0 0 833 0 PART II-B, LINE 1: COMMUNICATION WITH LEGISLATORS REGARDING PENDING LEGISLATION. X 2 263.88 2 1 41400 1002145 0 0 X 0 95232540 4756855 4078477 4188596 99879276 80203349 16298057 1451696 2720562 95232540 75351962 4417778 2668734 2235125 80203349 59703811 12128542 5470942 1951333 75351962 44873360 12703802 3285463 2299326 58563299 0.25450 0.55150 0.19400 0 0 10627664 10627664 67291818 33126166 34165652 976700 605325 371375 5452495 4704462 748033 10488569 7334428 3154141 49066865 INVESTMENT CONTRACT 630674 F LIMITED PARTNERSHIPS 157787421 F 158418095 CAPITAL LEASE OBLIGATIONS 103281 DEFERRED COMPENSATION 3676892 DEFERRED RENT AND LEASE INCENTIVE 428237 4208410 X 128172970 7816669 232698 8049367 120123603 930496 -755400 175096 120298699 114238396 232698 -273232 -40534 114278930 930496 -755400 175096 114454026 PART II, LINE 5: THE INSTITUTE CONTINUES TO COMPLY WITH TERMS OF CONTRACT GOVERNING THE CONSERVATION EASEMENT HELD, WHICH INCLUDES PROTECTION OF NATURAL HABITAT. PART II, LINE 9: THE INSTITUTE HOLDS A CONSERVATION EASEMENT ON THE BALANCE SHEET AND THE CONTRIBUTED PARCEL OF LAND WAS BOOKED AS REVENUE FOR THE YEAR IT WAS GIFTED. PART III, LINE 4: AT OUR ASPEN MEADOWS CAMPUS, ASPEN, COLORADO, WE HAVE A LARGE COLLECTION OF ART THAT IS ON DISPLAY BOTH IN GALLERIES AND PUBLIC SPACES. IT IS ENJOYED BY GUESTS WHO VISIT AND STAY AT OUR RESORT. THIS ART COLLECTION IS MADE UP OF PHOTOS FROM FRANZ BERKO, OFFICIAL PHOTOGRAPHER FOR THE INSTITUTE, AS WELL AS ART IN VARIOUS MEDIUMS BY HERBERT BAYER. BAYER WAS THE ARCHITECT FOR OUR CAMPUS, AND ALSO DESIGNED SEVERAL OF THE LAND FORMS THROUGHOUT OUR PROPERTY. ONE GALLERY ON PROPERTY IS DEDICATED SOLELY TO THE WORK OF BAYER. PART V, LINE 4: 4.5% OF A 12 QUARTER ROLLING AVERAGE OF THE FUNDS ARE USED TO FUND PROGRAMMATIC WORK OF THE INSTITUTE. PART X, LINE 2: THE INSTITUTE PERFORMED AN EVALUATION OF UNCERTAINTY IN INCOME TAXES FOR THE YEAR ENDED DECEMBER 31, 2016, AND DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS OR THAT MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -665,981. RENTAL EXPENSES -89,419. PART XII, LINE 2D - OTHER ADJUSTMENTS: RETURN OF GRANT FUNDS -273,232. PART XII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -665,981. RENTAL EXPENSES -89,419. 1 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 130000 EUROPE 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 122200 SOUTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 70000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 20000 NORTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 31875 SOUTH ASIA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 10000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1000 0 0 0 0 0 0 385075 0 385075 SUB-SAHARAN AFRICA STRATEGIC PARTNER FOR AMP HEALTH IN COUNTRY 98000 WIRE TRANSFER EUROPE SUPPORT CHAPTER OPERATIONS IN AFRICA 73200 WIRE TRANSFER SOUTH AMERICA INCUBATION PROGRAM FOR SCIENTISTS AND INVENTORS 48000 WIRE TRANSFER SUB-SAHARAN AFRICA SUPPORT CHAPTER OPERATIONS IN AFRICA 32000 WIRE TRANSFER SOUTH AMERICA TO FINISH THE BUILDING AND INSTALLATION OF A TRADITIONAL HOME WEAVERS EXHIBITION 20000 WIRE TRANSFER EUROPE REPLACE DRAWING CARDS OF JACQUARD LOOMS 20000 WIRE TRANSFER EUROPE COMMISSION NEW ARTISANS FOR GUILD 20000 WIRE TRANSFER EAST ASIA AND THE PACIFIC EXPANDING EDUCATIONAL TOUR OPTIONS FOR LAO HANDICRAFT PRODUCTS 20000 WIRE TRANSFER NORTH AMERICA TO SUPPORT GLOBAL ACCELERATOR LEARNING INITIATIVE (GALI) 15000 WIRE TRANSFER SOUTH ASIA SUPPORT CHAPTER OPERATIONS IN INDIA 10000 WIRE TRANSFER 0 10 SCHOLARSHIP SOUTH AMERICA 2 2000 WIRE TRANSFER SCHOLARSHIP CENTRAL AMERICA AND THE CARIBBEAN 1 1000 WIRE TRANSFER HONORARIUM NORTH AMERICA 7 16875 WIRE TRANSFER HONORARIUM EUROPE 7 9000 WIRE TRANSFER 0 0 0 0 0 0 PART I, LINE 2: FROM TIME TO TIME THE INSTITUTE ENGAGES OTHER ENTITIES TO FURTHER THE OBJECTIVES SET FORTH IN OUR GRANT AGREEMENTS. THIS IS TYPICALLY DONE VIA SUB-AWARDS OR RE-GRANTS THAT RUN CONCURRENTLY WITH THE PRIME AWARD IN WHICH THE SUB RECIPIENTS ARE ADVISED OF ALL APPLICABLE LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. ALL SUB GRANTEES OR SERVICE PROVIDERS MUST ALSO CERTIFY THAT THEY DO NOT AND WILL NOT KNOWINGLY PROVIDE MATERIAL SUPPORT OR RESOURCES TO ANY INDIVIDUAL OR ENTITY INVOLVED WITH TERRORISM (INCLUDING ANY INDIVIDUALS, ENTITIES, OR GROUPS SUBJECT TO OFAC SANCTIONS) OR TO ANYONE WHO ACTS AS AN AGENT FOR SUCH AN INDIVIDUAL OR ENTITY. ANY VIOLATION OF THIS CERTIFICATION MUST BE GROUNDS FOR IMMEDIATE TERMINATION OF THE LETTER OF AGREEMENT AND RETURN OF ALL GRANT FUNDS. THE FREQUENCY AND SCOPE OF THE RESEARCH PROGRAM'S MONITORING PROCEDURES ARE DETERMINED JOINTLY BY THE RESPONSIBLE PROGRAM MANAGER AND RESPECTIVE GRANT ADMINISTRATOR/FINANCIAL ANALYST. THIS INCLUDES THE ROUTINE RECEIPT AND REVIEW OF THE NARRATIVE AND FINANCIAL REPORTS, A REVIEW OF EXPENSES TO BUDGET, THE OPTION TO PERFORM AUDITS, AND ALLOWS FOR THE PERFORMANCE OF SITE VISITS IF NECESSARY. THE INSTITUTE SHOULD BE NOTIFIED WHENEVER PROBLEMS, DELAYS OR OTHER CONDITIONS DEVELOP WHICH WOULD HAVE SIGNIFICANT IMPACT UPON THE PROJECT. BUDGET REVISIONS ARE ALLOWED WITHIN THE PARAMETERS SET FORTH IN EACH SUB AWARD. THE PAYMENT SCHEDULE AND THE DECREE OF FLEXIBILITY OFFERED MAY DEPEND ON PREVIOUS EXPERIENCE WITH THE RECIPIENT, THE DEGREE OF EXTERNAL OVERSIGHT BY OTHER PARTIES, AND THE SOPHISTICATION OF THE RECIPIENT'S ADMINISTRATIVE SYSTEMS. PARTICIPANTS ARE EXPECTED TO COMPLY WITH ALL RELEVANT U.S. LAWS. PRIOR TO ISSUING AWARDS TO FOREIGN ENTITIES, THE PROGRAMS ARE BEING ASKED TO COMPLETE A DUE DILIGENCE CHECKLIST, WHICH INCLUDES ADDITIONAL INFORMATION ABOUT THE SUB RECIPIENT INCLUDING: ANY REASONABLY AVAILABLE HISTORICAL INFORMATION ABOUT THE GRANTEE THAT ASSURES THE INSTITUTE OF THE GRANTEE'S IDENTITY AND INTEGRITY SUCH AS THE JURISDICTION IN WHICH A GRANTEE ORGANIZATION IS INCORPORATED OR FORMED; COPIES OF INCORPORATING OR OTHER GOVERNING INSTRUMENTS; INFORMATION ON THE INDIVIDUALS WHO FORMED AND OPERATE THE ORGANIZATION; AND INFORMATION RELATING TO THE GRANTEE'S OPERATING HISTORY; THE GRANTEE OR SERVICE PROVIDER'S NAME IN ENGLISH, AND THE LANGUAGE OF ORIGIN, AND ANY ACRONYM OR OTHER NAMES USED TO IDENTIFY THE GRANTEE; THE JURISDICTIONS IN WHICH A GRANTEE OR SERVICE PROVIDER MAINTAINS A PHYSICAL PRESENCE; THE GRANTEE OR SERVICE PROVIDER'S POSTAL, EMAIL AND WEBSITE ADDRESSES AND PHONE NUMBERS FOR EACH PLACE OF BUSINESS. THE INSTITUTE ALSO CONDUCTS A REASONABLE SEARCH OF PUBLICLY AVAILABLE INFORMATION TO DETERMINE WHETHER THE GRANTEE OR SERVICE PROVIDER IS SUSPECTED OF ACTIVITY RELATING TO TERRORISM, INCLUDING TERRORIST FINANCING OR OTHER SUPPORT. PART I, LINE 3: THE ACCRUAL METHOD OF ACCOUNTING WAS USED TO ACCOUNT FOR FOREIGN EXPENDITURES. PART III, COL (C): THE NUMBER OF RECIPIENTS REPRESENTS THE ACTUAL NUMBER OF RECIPIENTS AND NOT AN ESTIMATE. ANNUAL DINNER 1587678 1525128 62550 5050 2956 281422 SUMMER CELEBRATION 548150 531650 16500 3238 4584 196868 2 453296 434867 18429 1834 4303 165726 2589124 2491645 97479 10122 11843 644016 665981 -568502 1 IEARN INC 475 RIVERSIDE DRIVE NEW YORK NY 10115 133782233 501(C)(3) 904924 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM SOLIYA INC 261 MADISON AVENUE NEW YORK NY 10016 320060209 501(C)(3) 875833 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM GNG 132 NASSAU STREET NEW YORK NY 10038 752750127 501(C)(3) 721628 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM EURASIA 1350 CONNECTICUT AVENUE NW WASHINGTON DC 20036 521780162 501(C)(3) 662000 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM RESEARCH FDN FOR THE UNIV OF NY PO BOX 9 ALBANY NY 12201 141368361 501(C)(3) 505572 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM WORLD BUSINESS CHICAGO 177 N STATE STREET CHICAGO IL 60601 364313685 501(C)(3) 443131 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM ITHAKA HARBORS INC 2 RECTOR STREET NEW YORK NY 10006 133857105 501(C)(3) 441400 AMERICAN TALENT INITIATIVE WEBSITE DEVELOPMENT NDI 455 MASSACHUSETTS AVENUE NW WASHINGTON DC 20001 521338892 501(C)(3) 332123 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM WORLD LEARNING DYLP 1015 15TH STREET NW WASHINGTON DC 20005 030179592 501(C)(3) 326828 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM REDSTONE STRATEGY GROUP 3223 ARAPAHOE AVENUE SUITE 210 BOULDER CO 80303 161681238 501(C)(3) 235000 PROJECT MANAGEMENT FOR AI DIALOGUE SERIES ON SHARING AND INTEGRATING WATER DATA FOR SUSTAINABILITY EQUAL MEASURE 1528 WALNUT STREET SUITE 805 PHILADELPHIA PA 19102 232694572 501(C)(3) 201968 EVALUATION WORK ON COMMUNITY SOLUTIONS UNIVERSITY OF CALIFORNIA BERKELEY 2195 HEARST AVENUE BERKELEY CA 94720 946002123 501(C)(3) 123354 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM NEW YORK UNIVERSITY 20 COOPER SQUARE NEW YORK NY 10003 135562308 501(C)(3) 58356 PARENTCORP FUNDAMENTALS TRAINING CENTER FOR NONPROFIT MANAGEMENT 2902 FLOYD STREET DALLAS TX 75204 751366166 501(C)(3) 50000 CAPACITY BUILDING GRANT CENTER FOR NY CITY NEIGHBORHOODS 17 BATTERY PLACE SOUTH SUITE 728 NEW YORK NY 10004 830506416 501(C)(3) 50000 CAPACITY BUILDING GRANT SERVING HOMEOWNERS & NEIGHBORHOODS FAIR CHANCE 2001 S STREET NW WASHINGTON DC 20009 743091832 501(C)(3) 50000 CAPACITY BUILDING GRANT FOR CHILDREN & YOUTH NON-PROFITS FRANKLIN & MARSHALL COLLEGE PO BOX 3003 LANCASTER PA 17604 231352635 501(C)(3) 50000 AMERICAN TALENT INITIATIVE CONVENINGS GEORGIA CENTER FOR NONPROFITS 100 PEACHTREE STREET SUITE 1500 ATLANTA GA 30303 582554789 501(C)(3) 50000 CAPACITY BUILDING GRANT HUMAN SERVICES COALITION OF DADE COUNTY 3000 BISCAYNE BOULEVARD SUITE 210 MIAMI FL 33137 650690368 501(C)(3) 50000 CAPACITY BUILDING GRANT KIVA MICROFUNDS 875 HOWARD STREET SAN FRANCISCO CA 94103 710992446 501(C)(3) 50000 GLOBAL DATA COLLECTION AND ANALYSIS ON WOMEN'S ENTREPRENEURSHIP MICHIGAN COMMUNITY RESOURCES 615 GROSWOLD STREET SUITE 200 DETROIT MI 48226 205764501 501(C)(3) 50000 CAPACITY BUILDING GRANT ENCLUDE LIMITED 1220 19TH STREET SUITE 200 WASHINGTON DC 20036 363556389 501(C)(3) 46000 GENDER BENCHMARKING TOOL PILOT NATAKALLAM LLC 2 COLUBMUS AVENUE APT 24A NEW YORK NY 10023 475372578 501(C)(3) 45790 FOSTER WITHIN HIGHER EDUCATION INSTITUTIONS AND SYSTEMS NATIONALLY THE ADOPTION OF TRANSFER PATHWAYS. NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 60208 362167817 501(C)(3) 33288 MOTHERS AND BABIES PROGRAM TRAINING AND EXPANSION LIFT 1620 I STREET NW SUITE 820 WASHINGTON DC 20006 522168409 501(C)(3) 30030 IMPROVE MEMBER FAMILY LONG-TERM STABILITY WOFFORD COLLEGE 429 N CHURCH STREET SPARTANBURG SC 29303 570314422 501(C)(3) 29232 J. CHRISTOPHER STEVENS VIRTUAL EXCHANGE INITIATIVE PROGRAM FIRST BOOK 1319 F STREET NW WASHINGTON DC 20004 521779606 501(C)(3) 25000 CITIZEN POWER CHALLENGE FOR CHILDREN LOUISIANA ASSOCIATION OF NONPROFITS 528 LOUISIANA AVENUE BATON ROUGE LA 70802 721444119 501(C)(3) 25000 TO SUPPORT THE CWFA REGIONAL MANUFACTURING INITIATIVE NONPROFIT CENTER OF NORTHEAST FLORIDA 40 E ADAMS STREET SUITE 100 JACKSONVILLE FL 32202 593700428 501(C)(3) 25000 CAPACITY BUILDING GRANT NONPROFIT LEADERSHIP CENTER OF TAMPA BAY 1401 N WESTHORE BOULEVARD SUITE 101 101 TAMPA FL 33607 593671047 501(C)(3) 25000 CAPACITY BUILDING GRANT SOUTH FLORIDA COMMUNITY DEVELOPMENT COALITION 300 NW 12TH AVENUE MIAMI FL 33128 450553449 501(C)(3) 25000 CAPACITY BUILDING GRANT TO IMPROVE DATA MANAGEMENT SYSTEMS CENTRAL NEW MEXICO COMMUNITY COLLEGE FOUNDATION 525 BUENA VISTA SE ALBUQUERQUE NM 87106 850338623 501(C)(3) 20000 CAPACITY BUILDING GRANT CNM STUDENT SURVEY ADMINISTRATION AND ANALYSIS STARFISH FAMILY SERVICES 30000 HIVELY STREET INKSTER MI 48141 382230416 501(C)(3) 16522 STAFF TRAINING/PARENT CORPS FUNDAMENTALS NURSE FAMILY PARTNERSHIP 100 GRANT STREET SUITE 400 DENVER CO 80203 200234163 501(C)(3) 15000 TN TANF PILOT PARTNERSHIP NFP IMPLEMENTATION COSTS CENTER FOR AMERICAN PROGRESS 1333 H STREET NW WASHINGTON DC 20016 300126510 501(C)(3) 12500 CO-CHAIR ENERGY & CLIMATE CHANGE DIALOGUE 35 0 AWARDS 47 94375 HONORARIA 23 58750 PART I, LINE 2: FROM TIME TO TIME THE INSTITUTE ENGAGES OTHER ENTITIES TO FURTHER THE OBJECTIVES SET FORTH IN OUR GRANT AGREEMENTS. THIS IS TYPICALLY DONE VIA SUB-AWARDS OR RE-GRANTS THAT RUN CONCURRENTLY WITH THE PRIME AWARD IN WHICH THE SUB RECIPIENTS ARE ADVISED OF ALL APPLICABLE LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. ALL SUB GRANTEES OR SERVICE PROVIDERS MUST ALSO CERTIFY THAT IT DOES NOT AND WILL NOT KNOWINGLY PROVIDE MATERIAL SUPPORT OR RESOURCES TO ANY INDIVIDUAL OR ENTITY INVOLVED WITH TERRORISM (INCLUDING ANY INDIVIDUALS ENTITIES OR GROUPS SUBJECT TO OFAC SANCTIONS) OR TO ANYONE WHO ACTS AS AN AGENT FOR SUCH AN INDIVIDUAL OR ENTITY, ANY VIOLATION OF THIS CERTIFICATION MUST BE GROUNDS FOR IMMEDIATE TERMINATION OF THE LETTER OF AGREEMENT AND RETURN OF ALL GRANT FUNDS. THE FREQUENCY AND SCOPE OF RESEARCH PROGRAM'S MONITORING PROCEDURES ARE DETERMINED JOINTLY BY THE RESPONSIBLE PROGRAM MANAGER AND RESPECTIVE GRANT ADMINISTRATOR/FINANCIAL ANALYST. THIS INCLUDES THE ROUTINE RECEIPT AND REVIEW OF THE NARRATIVE AND FINANCIAL REPORTS, A REVIEW OF EXPENSES TO BUDGET, THE OPTION TO PERFORM AUDITS, AND ALLOWS FOR THE PERFORMANCE OF SITE VISITS IF NECESSARY. THE INSTITUTE SHOULD BE NOTIFIED WHENEVER PROBLEMS DELAYS OR OTHER CONDITIONS DEVELOP WHICH WOULD HAVE SIGNIFICANT IMPACT UPON THE PROJECT. BUDGET REVISIONS ARE ALLOWED WITHIN THE PARAMETERS SET FORTH IN EACH SUB AWARD. THE PAYMENT SCHEDULE AND THE DECREE OF FLEXIBILITY OFFERED MAY DEPEND ON PREVIOUS EXPERIENCE WITH THE RECIPIENT, THE DEGREE OF EXTERNAL OVERSIGHT BY OTHER PARTIES, AND THE SOPHISTICATION OF THE RECIPIENT'S ADMINISTRATIVE SYSTEMS. X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 WALTER ISAACSON PRESIDENT/CEO 798721 0 0 0 8164 0 39750 0 25696 0 872331 0 0 0 ELLIOT GERSON EXECUTIVE VP 364794 0 0 0 3564 0 39750 0 37718 0 445826 0 0 0 PETER REILING EXECUTIVE VP 364944 0 0 0 2322 0 39750 0 37689 0 444705 0 0 0 RAJIV VINNAKOTA EXECUTIVE VP 316959 0 0 0 754 0 4997 0 37682 0 360392 0 0 0 NAMITA KHASAT EVP FIN. & ADMN./CFO/TREASURER 344904 0 0 0 2322 0 6637 0 2976 0 356839 0 0 0 ERIC MOTLEY EVP: CORP SECRETARY 305028 0 0 0 540 0 36440 0 12769 0 354777 0 0 0 CHARLIE FIRESTONE EXECUTIVE DIRECTOR 319886 0 0 0 11124 0 39750 0 25754 0 396514 0 0 0 MICKEY EDWARDS VP. PROGRAM DIRECTOR 305269 0 0 0 11124 0 39750 0 13153 0 369296 0 0 0 DAN GLICKMAN VP, EXECUTIVE DIRECTOR 300087 0 0 0 13528 0 36440 0 3209 0 353264 0 0 0 KITTY BOONE VP, PROGRAM DIRECTOR 272124 0 0 0 3443 0 39750 0 37203 0 352520 0 0 0 MARGARET CLARK VP, POLICY PROGRAMS 272701 0 0 0 2322 0 39750 0 25679 0 340452 0 0 0 PART I, LINE 1A THE ASPEN INSTITUTE FOLLOWS A POLICY GOVERNING EXPENSE REIMBURSEMENT AND COMPLIES WITH TRAVEL GUIDELINES APPLICABLE TO ALL EMPLOYEES. X 5 41400 APPRAISAL X TRAVEL VOUCH. 10 34506 FMV X FURNITURE 2 1192 FMV X FLOWERS 1 750 FMV X MISCELLANEOUS 1 150 FMV 0 1 0 PART I, COLUMN (B): THIS COLUMN REPRESENTS THE NUMBER OF ACTUAL CONTRIBUTIONS, NOT THE NUMBER OF ITEMS CONTRIBUTED. PART I, LINE 32B: THE INSTITUTE HAS A WRITTEN GIFT ACCEPTANCE POLICY. IF A DONOR WANTS TO GIVE A GIFT OUTSIDE OF THAT POLICY, IT WILL BE REVIEWED BY SENIOR MANAGEMENT AND, IF NECESSARY, REFERRED TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B THE FEDERAL FORM 990 OF THE INSTITUTE IS PREPARED BY AN EXTERNAL ACCOUNTING FIRM USING INFORMATION OBTAINED FROM INSTITUTE'S STAFF. ONCE THE INITIAL DRAFT IS PREPARED IT IS REVIEWED BY SR. FINANCE/ACCOUNTING STAFF. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE SECOND DRAFT FORM 990 IS REVIEWED BY AN APPOINTED MEMBER OF THE AUDIT COMMITTEE ALONG WITH THE EVP FINANCE & ADMINISTRATION AND VP OF FINANCE. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE FINAL DRAFT FORM 990 IS PROVIDED TO ALL MEMBERS OF THE AUDIT COMMITTEE. ONCE APPROVED, COPIES ARE THEN DISTRIBUTED TO ALL BOARD MEMBERS BEFORE THE RETURN IS FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ALL ASPEN INSTITUTE TRUSTEES AND EMPLOYEES ARE REQUIRED ANNUALLY TO COMPLETE AND SIGN A DISCLOSURE AND ACKNOWLEDGEMENT FORM RELATED TO THE INSTITUTE'S CONFLICT OF INTEREST POLICY. SPECIFICALLY, ALL TRUSTEES AND EMPLOYEES ARE REQUIRED TO ACKNOWLEDGE THAT THEY HAVE READ, UNDERSTOOD, AND ARE COMMITTED TO ABIDING BY THE INSTITUTE'S CONFLICT OF INTEREST POLICY, AND TO MAKE CERTAIN DISCLOSURES ABOUT THEIR ACTIVITIES OUTSIDE OF WORK AND FINANCES TO HELP IDENTIFY POSSIBLE CONFLICTS OF INTEREST. ALL EMPLOYEE FORMS ARE SUBMITTED TO THE HUMAN RESOURCES DEPARTMENT, WHICH REVIEWS THEM AND HAS DISCRETION, IN COORDINATION WITH THE GENERAL COUNSEL AND SENIOR MANAGEMENT, TO MAKE RECOMMENDATIONS OR RAISE CONCERNS WITH AFFECTED INDIVIDUALS AS APPROPRIATE. ALL TRUSTEE FORMS ARE SUBMITTED TO THE OFFICE OF THE CORPORATE SECRETARY, WHICH REVIEWS THEM ALONG WITH THE GENERAL COUNSEL. MAJOR CONFLICT OF INTEREST ISSUES INVOLVING TRUSTEES AND/OR SENIOR MANAGEMENT ARE REFERRED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR RESOLUTION. THE CORPORATE SECRETARY, GENERAL COUNSEL AND SENIOR MANAGEMENT REGULARLY CONFER WITH THE CHAIR OF THE AUDIT COMMITTEE REGARDING THE INSTITUTE'S CONFLICT OF INTEREST POLICY AND ANY CONFLICT OF INTEREST ISSUES. FORM 990, PART VI, SECTION B, LINE 15 THE INSTITUTE CONTRACTS WITH AN EXTERNAL COMPENSATION FIRM TO PERFORM A MARKET ANALYSIS TO SET THE SALARY RANGES FOR ALL OF OUR POSITIONS ANNUALLY. THE COMPENSATION FIRM ANALYZES SALARIES FROM LIKE ORGANIZATIONS TO DETERMINE THE APPROPRIATE SALARY RANGE FOR EACH POSITION IN THE INSTITUTE. THE INSTITUTE'S COMPENSATION PHILOSOPHY IS THAT WE GENERALLY TARGET THE 50TH PERCENTILE OF THE MARKET FOR OUR POSITIONS. IN ADDITION TO THE ANNUAL MARKET ANALYSIS FOR ALL POSITIONS, WE CONTRACT WITH AN EXTERNAL COMPENSATION CONSULTANT BI-ANNUALLY TO CONDUCT AN IN-DEPTH ANALYSIS FOR OUR PRESIDENT/CEO AND EACH OF OUR EXECUTIVE OFFICERS. EACH EXECUTIVE'S TOTAL COMPENSATION IS BENCHMARKED AGAINST SIMILAR POSITIONS IN COMPARABLE ORGANIZATIONS IN LABOR MARKETS IN WHICH THE INSTITUTE COMPETES FOR EXECUTIVE TALENT. THE RECOMMENDATIONS OF THE CONSULTANT ARE PRESENTED TO THE EXECUTIVE COMMITTEE OF THE BOARD FOR THEIR REVIEW AND ENDORSEMENT. THE PRESIDENT/CEO'S SALARY IS THEN PRESENTED TO THE FULL BOARD FOR FINAL APPROVAL. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FEDERAL FORM 1023 ARE MADE AVAILABLE UPON REQUEST. THE FEDERAL FORM 990 AND THE AUDITED FINANCIAL STATEMENTS ARE MADE PUBLIC ON THE INSTITUTE'S WEBSITE. FORM 990, PART XI, LINE 9: RETURN OF GRANT FUNDS 273,232.