2017-11-14T15:35:54-06:00 2016-12-31 941341042 FRANK RIMERMAN & CO LLP 1801 PAGE MILL ROAD PALO ALTO CA 94304 990 2016-01-01 474737389 SIEBEL ENERGY INSTITUTE SIEB 6502995258 PO BOX 5287 REDWOOD CITY CA 94063 THOMAS M SIEBEL PRESIDENT 6502995258 2017-11-10 1 MICHAEL A CHOJNACKI P00428607 6508458100 2017-11-10 50.204.21.130 2017-11-10 13:16:59 PS P 79F571411E49CA1134E92DD6063F0BBCC36B413C A9773DE440AB0478E85C913779B51AA14896A6E4 2016 2021-01-29 14:40:06Z THOMAS M SIEBEL PO BOX 5287 REDWOOD CITY CA 94063 3818889 0 X HTTP://WWW.SIEBELENERGYINSTITUTE.ORG X 2015 DE SIEBEL ENERGY INSTITUTE ACCELERATES ADVANCEMENTS IN ENERGY SCIENCE THROUGH SUPPORTING RESEARCH IN ALGORITHM DEVELOPMENT AND MACHINE LEARNING AND FOSTERING COLLABORATION IN ENERGY SYSTEMS ANALYTICS RESEARCH. 4 1 0 0 0 0 2143000 3818889 0 0 0 0 0 0 2143000 3818889 1430000 1310000 0 0 41443 136083 0 0 0 603242 2036447 2074685 3482530 68315 336359 554148 462008 486524 58025 67624 403983 X THE SIEBEL ENERGY INSTITUTE IS A NONPROFIT THAT FUNDS RESEARCH IN DATA ANALYTICS AND MACHINE LEARNING TO ACCELERATE ADVANCEMENTS IN ENERGY SCIENCE. IN 2015 THE INSTITUTE WAS ESTABLISHED WITH A CONSORTIUM OF EIGHT RESEARCH INSTITUTIONS: CARNEGIE MELLON UNIVERSITY, ECOLE POLYTECHNIQUE, MASSACHUSETTS INSTITUTE OF TECHNOLOGY, POLITECNICO DI TORINO, PRINCETON UNIVERSITY, UNIVERSITY OF CALIFORNIA AT BERKELEY, UNIVERSITY OF ILLINOIS AT URBANA CHAMPAIGN, AND THE UNIVERSITY OF TOKYO. IN 2016 TSINGHUA UNIVERSITY WAS ADDED TO THE CONSORTIUM. USING THE SIEBEL ENERGY INSTITUTE GRANT AWARDS, THE RESEARCH TEAMS DEVELOP LARGER RESEARCH PROPOSALS AND GRANT SUBMISSIONS TO GOVERNMENT ENTITIES AND FOUNDATIONS WITHIN A LEVERAGED FUNDING MODEL. THE SIEBEL ENERGY INSTITUTE FOSTERS RESEARCH COLLABORATION AMONG THESE PREMIER UNIVERSITIES. 0 0 3306261 950000 TWICE A YEAR THE INSTITUTE WILL INVITE RESEARCHERS TO SUBMIT BRIEF PROPOSALS FOR SEED GRANTS TO DEVELOP LARGER SUBMISSIONS TO GOVERNMENT ENTITIES AND FOUNDATIONS. ONE-TIME GRANTS OF $50,000 ARE AVAILABLE, WITH LARGER AWARDS POTENTIALLY CONTEMPLATED FOR VERY LARGE TEAMS SPANNING THREE OR MORE CONSORTIUM MEMBER INSTITUTIONS. IT IS THE EXPECTATION OF THE INSTITUTE THAT ANY PROPOSAL WILL BE COMPLETED AND SUBMITTED WITHIN A PERIOD OF SIX MONTHS OF THE TEAM'S RECEIPT OF THE SEED FUNDING.DURING 2016, 14 SEED GRANTS WERE MADE TO NINE UNIVERSITIES FOR A TOTAL OF $700,000. 315000 EACH YEAR THE INSTITUTE WILL COORDINATE WITH THE SIEBEL SCHOLARS FOUNDATION TO SELECT UP TO NINE SIEBEL SCHOLARS TO BE NOMINATED FROM AMONG THE CONSORTIUM MEMBER INSTITUTIONS. THIS PROGRAM IS DESIGNED TO HONOR AND SUPPORT EMERGING SCHOLARS IN AREAS RELATED TO THE FOCUS OF THE INSTITUTE. EACH RECIPIENT WILL BE DESIGNATED AS A SIEBEL SCHOLAR AND WILL RECEIVE A MERIT-BASED $35,000 AWARD TO DEFRAY THE COSTS OF THEIR EDUCATION.DURING 2016, 9 GRANTS WERE MADE TO SIEBEL SCHOLARS FOR A TOTAL OF $315,000. 45000 EACH YEAR THE INSTITUTE AWARDS $5,000 STIPENDS TO CAMPUS LEADS FOR EACH OF THE CONSORTIUM MEMBER INSTITUTIONS. THIS PROGRAM IS DESIGNED TO FACILITATE PROGRAMS AND CONNECTIONS TO RESEARCHERS AT THE CONSORTIUM MEMBER INSTITUTIONS.DURING 2016, 9 STIPENDS WERE MADE FOR A TOTAL OF $45,000. 3306261 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 3 0 0 0 0 0 0 0 0 0 0 X 4 1 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 CA X X BILL DANIHER 6502995241 PO BOX 5287 REDWOOD CITY CA 94063 X THOMAS M SIEBEL CHAIR OF THE BOARD AND DIRECTOR 2.00 X X 0 0 0 SHANKAR SASTRY DIRECTOR AND INSTITUTE DIRECTOR 1.00 X X 0 0 0 STACEY SIEBEL SECRETARY AND DIRECTOR 1.00 X X 0 0 0 WILLIAM M DANIHER TREASURER 1.00 X 0 0 0 0 0 0 0 0 0 0 DOW JONES & COMPANY INC 201 CALIFORNIA ST 1000 SAN FRANCISCO CA 94111 ADVERTISING 973903 NATIONAL PUBLIC RADIO 11 W 42ND ST 19 NEW YORK NY 10036 ADVERTISING 664500 MINNESOTA PUBLIC RADIO 480 CEDAR STREET SAINT PAUL MN 55101 ADVERTISING 235620 FIRST VIRTUAL GROUP INC PO BOX 5287 REDWOOD CITY CA 94063 CONSULTING 136083 4 358889 3460000 3818889 3818889 0 0 0 1310000 1310000 113681 113681 3734 3734 10478 10478 8190 8190 19957 19957 16860 16860 426 426 1996261 1996261 437 437 WEBSITE EXPENSE 2506 2506 3482530 3306261 176269 0 108148 280867 200000 50000 246000 131141 554148 462008 153774 22440 292917 34028 39833 1557 486524 58025 X 67624 403983 67624 403983 554148 462008 336359 0 X X 0 1 X 0 0 X 2050083 3818889 5868972 2050083 3818889 5868972 5285621 583351 5868972 X SCHEDULE A, PAGE 3 THE SIEBEL ENERGY INSTITUTE WAS FORMED ON AUGUST 6, 2015. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 DUE TO FIRST VIRTUAL GROUP, INC 1557 1557 3818889 0 3818889 0 3818889 3482530 0 3482530 0 3482530 1 UC BERKELEY FOUNDATION 2080 ADDISON STREET 4200 BERKELEY CA 94720 946090626 501(C)3 1110000 RESEARCH GRANTS UC BERKELEY FOUNDATION 2080 ADDISON STREET 4200 BERKELEY CA 94720 946090626 501(C)3 200000 OPERATIONS PART I, LINE 2: THE INSTITUTE AWARDS GRANTS TO PROVIDE SEED FUNDING FOR DEVELOPMENT OF LARGE RESEARCH PROJECTS, MATCHING GRANTS FOR SUCCESSFULLY FUNDED PROJECTS, AND MERIT-BASED SCHOLARSHIPS TO ELIGIBLE STUDENTS. SUCH AWARDS WILL BE GRANTED TO THE CONSORTIUM MEMBER INSTITUTION AT WHICH THE RESEARCHER OR SCHOLAR IS BASED. INITIALLY, THE INSTITUTE WILL CONDUCT THESE GRANTMAKING ACTIVITIES IN COLLABORATION WITH THE UC BERKELEY FOUNDATION BY MAKING GRANTS TO THE UC BERKELEY FOUNDATION FOR DISTRIBUTION TO THE RECIPIENT CONSORTIUM MEMBER INSTITUTION. A. THE INSTITUTE WILL MAKE DISTRIBUTIONS ONLY TO THE FOLLOWING ORGANIZATIONAL RECIPIENTS: I. ORGANIZATIONS EXEMPT FROM FEDERAL INCOME TAX UNDER CODE SECTION 501(C)(3); AND II. OTHER ORGANIZATIONS EXCLUSIVELY FOR CHARITABLE, SCIENTIFIC, OR EDUCATIONAL PURPOSES, WITH THE INSTITUTE RETAINING DISCRETION AND CONTROL (WITHIN THE MEANING OF REVENUE RULING 68 489). B. THE LEVEL OF SCRUTINY VARIES WITH THE NATURE OF THE ENTITY AND THE CIRCUMSTANCES OF THE GRANT. GRANT RECIPIENTS ARE VETTED IN ACCORDANCE WITH THE IRS REGULATIONS AND APPLICABLE GUIDANCE TO ENSURE COMPLIANCE WITH THE RULES AND REGULATIONS FOR MAKING DOMESTIC AWARDS. USE OF THE GRANT FUNDS IS MONITORED VIA PERIODIC REPORTS THAT DESCRIBE THE ACTIVITIES PERFORMED, PROGRESS AND RESULTS, AND FUTURE PLANS. DEPENDING ON THE CIRCUMSTANCES OF THE PARTICULAR GRANT, THE INSTITUTE MAY REQUIRE A REPORT FROM THE RECIPIENT INSTITUTION ON THE USE OF GRANT FUNDS OR REQUEST THE RECIPIENT TO PRESENT THEIR RESEARCH RESULTS AT ITS CONFERENCE OR RESEARCH WORKSHOPS. THE INSTITUTE REQUIRES PERIODIC REPORTS AND REVIEWS THEM TO DETERMINE WHETHER FURTHER INQUIRY IS WARRANTED. FIRST VIRTUAL GROUP INC CONTROLLED ENTITY OF THOMAS AND STACEY SIEBEL 1557 LOAN DUE TO FIRST VIRTUAL GROUP, INC. 0 0 FORM 990, PART VI, SECTION A, LINE 2 TREASURER WILLIAM M. DANIHER IS AN EMPLOYEE OF FIRST VIRTUAL GROUP, A FOR-PROFIT COMPANY OWNED BY CHAIR OF THE BOARD AND DIRECTOR THOMAS SIEBEL. NEITHER MR. SIEBEL NOR MR. DANIHER ARE COMPENSATED BY THE INSTITUTE NOR BY EXEMPT ORGANIZATIONS RELATED TO THE INSTITUTE. MR. SIEBEL, CHAIR OF THE BOARD AND DIRECTOR, AND STACEY SIEBEL, SECRETARY AND DIRECTOR, ARE HUSBAND AND WIFE. DR. SASTRY, DIRECTOR, SERVES AS A MEMBER OF THE BOARD OF DIRECTORS OF C3 IOT, INC., A DATA ANALYTICS COMPANY WHERE MR. SIEBEL, CHAIR OF THE BOARD AND DIRECTOR, SERVES AS CHAIRMAN AND CHIEF EXECUTIVE OFFICER. MR. SIEBEL, CHAIR OF THE BOARD AND DIRECTOR, MRS. SIEBEL, SECRETARY AND DIRECTOR, AND WILLIAM M. DANIHER, TREASURER, ALSO SERVE AS PRESIDENT, SECRETARY, AND CFO OF THE THOMAS AND STACEY SIEBEL FOUNDATION, RESPECTIVELY. FORM 990, PART VI, SECTION B, LINE 11B BOARD MEMBERS ARE SENT A FINAL DRAFT OF THE RETURN PRIOR TO FILING. THE TREASURER REVIEWS THE RETURN BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C EACH DIRECTOR SIGNS A STATEMENT THAT ACKNOWLEDGES THEY HAVE RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY OF SIEBEL ENERGY INSTITUTE, HAVE READ AND UNDERSTOOD IT, AND AGREE TO COMPLY WITH ITS TERMS. IN ADDITION, EACH INSTITUTE DIRECTOR, OFFICER, TOP MANAGEMENT OFFICIAL, TOP FINANCIAL OFFICIAL, AND KEY EMPLOYEE IS REQUIRED TO ANNUALLY COMPLETE A CONFLICT OF INTEREST DISCLOSURE FORM DISCLOSING ANY FINANCIAL INTERESTS AND FAMILY RELATIONSHIPS THAT COULD GIVE RISE TO CONFLICTS OF INTEREST. THE INSTITUTE ANNUALLY REVIEWS THE DISCLOSURE FORMS AND MONITORS COMPLIANCE WITH THE POLICY ON AN ONGOING BASIS. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XII, LINE 1: FOR TAX YEAR 2016, THE ORGANIZATION HAS PRESENTED ITS ACTIVITY UNDER THE ACCRUAL METHOD OF ACCOUNTING. FOR ITS INITIAL YEAR COVERING THE FIVE MONTHS ENDING DECEMBER 31, 2015, THE TAX RETURN WAS PRESENTED ON A CASH BASIS. THIS CHANGE IS BEING MADE TO CONFORM THE TAX REPORTING TO THE AUDITED FINANCIAL STATEMENTS PREPARED UNDER GAAP.