2017-11-13T13:31:43-06:00 2016-12-31 GRANT THORNTON LLP 2001 MARKET STREET SUITE 700 PHILADELPHIA PA 19103 990 2016-01-01 530196932 National Academy of Sciences % LAURA DOUGLAS/NAS NATI 2023343003 2101 Constitution Avenue NW Washington DC 204180007 MARY SALMON CFO 2023343003 2017-11-13 true Andrea Kyzyma P01273279 2155614200 38.69.39.117 23695320173175000015 2017-11-13 P 782190FCA5CA6F7C849334BCF3F713212AFBF435 68158A7E57AF1770367D7F712721268E66F4EE08 2016 2021-01-29 14:40:06Z Marcia McNutt 2101 Constitution Ave NW Washington DC 20418 796250909 false X www.nas.edu X 1863 DC THE NATIONAL ACADEMY OF SCIENCES (NAS) IS DEDICATED TO THE FURTHERANCE OF SCIENCE AND ITS USE FOR THE GENERAL WELFARE. 17 12 1253 5600 171748 66578 290692944 299919256 7472378 6590967 20101223 28136430 2436924 1864787 320703469 336511440 47872489 53807505 0 0 127276927 132438333 0 24453 3230933 129151279 126161950 304300695 312432241 16402774 24079199 1291793976 1313513812 288230117 264047813 1003563859 1049465999 X THE NATIONAL ACADEMY OF SCIENCES (NAS) WAS FORMED UNDER A CHARTER PASSED AS AN ACT OF INCORPORATION BY THE UNITED STATES CONGRESS AND SIGNED INTO LAW ON MARCH 3, 1863. THE NAS OPERATES AS A PRIVATE MEMBERSHIP ORGANIZATION OF DISTINGUISHED SCHOLARS ENGAGED IN SCIENTIFIC, ENGINEERING, OR MEDICAL RESEARCH. NAS IS DEDICATED TO THE FURTHERANCE OF SCIENCE FOR THE GENERAL WELFARE. NAS PROVIDES ADVICE AND OTHER SERVICES TO THE U.S. GOVERNMENT AND OTHER PRIVATE SPONSORS. 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Liability for uncertain tax position Form 990, Schedule D, Part X, Line 2 NAS is exempt from federal income taxes under Section 501(c)(3) of the Internal Revenue Code, except for unrelated business income. NAS recognizes the effect of income tax positions only if those positions are more likely than not of being sustained upon examinations. NAS does not believe its financial statements include any uncertain tax positions. Reconciliation of Revenue per AFS with Revenue per return Form 990 Schedule D, Part XI, line 2d AMOUNT REPORTED INCLUDES: COST OF GOODS SOLD $ 15,688,122 UNREALIZED GAIN ON DERIVATIVES 1,478,594 RENTAL EXPENSE 666,032 UNREALIZED GAIN ON CHARITABLE GIFT ANNUITIES 50,728 Taxes & Permits (16,413) INVESTMENT MANAGEMENT FEES (789,507) ------------- TOTAL $ 17,077,556 ============= Reconciliation of Expense per AFS with Expense per return Form 990, Schedule D, Part XII, line 2d AMOUNT REPORTED INCLUDES: COST OF GOODS SOLD $ 15,688,122 RENTAL EXPENSE 666,032 Taxes & Permits (16,413) INVESTMENT MANAGEMENT FEES (789,507) ------------- TOTAL $ 15,548,234 ============= true East Asia and the Pacific 6 Program Services RADIATION EFFECTS RES 1125592 Central America and the Caribbean Grantmaking 69300 Middle East and North Africa Grantmaking 781308 South America Grantmaking 1055163 South Asia Grantmaking 1271376 Sub-Saharan Africa Grantmaking 2512157 East Asia and the Pacific Grantmaking 3182212 North America Grantmaking 47200 Russia and the Newly Independent States Grantmaking 445883 Sub-Saharan Africa Investments 3925000 Central America and the Caribbean Investments 72444000 6 6 86859191 86859191 South Asia Research Grant 331567 Wire South Asia Research Grant 117891 Wire South Asia Research Grant 53840 Wire Middle East and North Africa Research Grant 88700 Wire Russia and the Newly Independent States Research Grant 78678 Wire Russia and the Newly Independent States Research Grant 35000 Wire Russia and the Newly Independent States Research Grant 35300 Wire South Asia Research Grant 150245 Wire South Asia Research Grant 98391 Wire South America Research Grant 123385 Wire South America Research Grant 119890 Wire South America Research Grant 107466 Wire South America Research Grant 86584 Wire South America Research Grant 84380 Wire South America Research Grant 78114 Wire South America Research Grant 73600 Wire South America Research Grant 62000 Wire Sub-Saharan Africa Research 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Asia and the Pacific Research Grant 59944 Wire East Asia and the Pacific Research Grant 59850 Wire East Asia and the Pacific Research Grant 58140 Wire East Asia and the Pacific Research Grant 57900 Wire East Asia and the Pacific Research Grant 48880 Wire East Asia and the Pacific Research Grant 46090 Wire East Asia and the Pacific Research Grant 43200 Wire South Asia Research Grant 124340 Wire South Asia Research Grant 61295 Wire South Asia Research Grant 36120 Wire South Asia Research Grant 23100 Wire Middle East and North Africa Research Grant 50000 Wire Middle East and North Africa Research Grant 159950 Wire Middle East and North Africa Research Grant 122155 Wire Middle East and North Africa Research Grant 84500 Wire Middle East and North Africa Research Grant 54360 Wire Sub-Saharan Africa Research Grant 155505 Wire Sub-Saharan Africa Research Grant 119970 Wire Sub-Saharan Africa Research Grant 102894 Wire Sub-Saharan Africa Research Grant 59025 Wire Sub-Saharan Africa Research Grant 47500 Wire Sub-Saharan Africa Research Grant 261314 Wire Russia and the Newly Independent States Research Grant 99700 Wire East Asia and the Pacific Research Grant 151253 Wire East Asia and the Pacific Research Grant 35000 Wire East Asia and the Pacific Research Grant 20758 Wire East Asia and the Pacific Research Grant 19800 Wire East Asia and the Pacific Research Grant 27766 Wire East Asia and the Pacific Research Grant 19700 Wire Middle East and North Africa Research Grant 58695 Wire Middle East and North Africa Research Grant 57050 Wire Middle East and North Africa Research Grant 29869 Wire South Asia Research Grant 125505 Wire Middle East and North Africa Research Grant 19732 Wire North America Research Grant 47200 Wire Sub-Saharan Africa Research Grant 150000 Wire East Asia and the Pacific Research Grant 55016 Wire Sub-Saharan Africa Research Grant 188853 Wire Sub-Saharan Africa Research Grant 132400 Wire South Asia Research Grant 149082 Wire South America Research Grant 127755 Wire South America Research Grant 61315 Wire South America Research Grant 59874 Wire East Asia and the Pacific Research Grant 142000 Wire East Asia and the Pacific Research Grant 141967 Wire East Asia and the Pacific Research Grant 130000 Wire East Asia and the Pacific Research Grant 58500 Wire Sub-Saharan Africa Research Grant 53790 Wire Sub-Saharan Africa Research Grant 113000 Wire East Asia and the Pacific Research Grant 99374 Wire East Asia and the Pacific Research Grant 45606 Wire East Asia and the Pacific Research Grant 29940 Wire Russia and the Newly Independent States Research Grant 64520 Wire Sub-Saharan Africa Research Grant 109080 Wire Sub-Saharan Africa Research Grant 48466 Wire Sub-Saharan Africa Research Grant 27500 Wire Sub-Saharan Africa Research Grant 22008 Wire Sub-Saharan Africa Research Grant 150000 Wire Sub-Saharan Africa Research Grant 149992 Wire Russia and the Newly Independent States Research Grant 97685 Wire East Asia and the Pacific Research Grant 97130 Wire East Asia and the Pacific Research Grant 67235 Wire East Asia and the Pacific Research Grant 53024 Wire East Asia and the Pacific Research Grant 47476 Wire East Asia and the Pacific Research Grant 46944 Wire East Asia and the Pacific Research Grant 32314 Wire East Asia and the Pacific Research Grant 28222 Wire Sub-Saharan Africa Research Grant 70860 Wire Sub-Saharan Africa Research Grant 60000 Wire Sub-Saharan Africa Research Grant 136112 Wire Sub-Saharan Africa Research Grant 55439 WIRE 108 Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 75000 Check Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 50000 Check Honoraria Prizes & Awards South Asia 1 12500 Check Honoraria Prizes & Awards South Asia 1 100 Check Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 50000 Check Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 20000 Check Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 12500 Check Honoraria Prizes & Awards Europe (Including Iceland and Greenland) 1 20000 Check Honoraria Prizes & Awards North America 1 5000 Check true false false false true false MONITORING THE USE OF GRANTS AND OTHER ASSISTANCE Schedule F, Part 1, line 2 NAS programmatic staff review grant proposals and budgets submitted by recipient organizations prior to awarding the grant funds. NAS policy is to comply with restrictions on grant awards to countries on the US Government's current list of sanctioned countries. Recipients are generally expected to submit progress reports during the grant period. true UNIVERSITY OF NEW ORLEANS 2000 Lakeshore Dr NEW ORLEANS LA 70148 720702000 GOVT 793725 Research Grant FLORIDA STATE UNIV 874 Traditions Way Tallahassee FL 32306 591961248 GOVT 685817 Research Grant UNIVERSITY OF SOUTH FLORIDA 3702 SPECTRUM BLVD TAMPA FL 336129444 593102112 GOVT 512466 Research Grant ARIZONA STATE UNIVERSITY AZ BOARD OF REGENTS TEMPE AZ 852813633 860196696 GOVT 459502 Research Grant PORTLAND STATE UNIVERSITY 1600 SW 4TH AVE PORTLAND OR 972015522 936001786 GOVT 407113 Research Grant UNIVERSITY OF OKLAHOMA 201 STEPHENSON PKWY NORMAN OK 730199705 736017987 GOVT 383271 Research Grant UNIVERSITY OF MARYLAND 7999 Regents Dr College Park MD 20740 526002033 GOVT 327235 Research Grant UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DR-DEPT 210 La Jolla CA 92093 956006144 501C(3) 325428 Research Grant REGENTS UNIV OF SANTA BARBARA 1210 Cheadle Hall UCSB Campus SANTA BARBARA CA 931062050 956006145 501C(3) 319700 Research Grant UNIVERSITY OF KANSAS 1450 Jayhawk Blvd LAWRENCE KS 660457568 481124839 GOVT 308520 Research Grant TEXAS A&M HEALTH SCIENCE CENTER 8447 Bryan Rd Bryan TX 77807 746001530 501C(3) 290001 Research Grant SMITHSONIAN SCIENCE EDUCATION CENTER 901 D St SW 704B WASHINGTON DC 20024 530206027 501C(3) 273237 Research Grant ALASKA OCEAN OBSERVING SYSTEM 1007 W 3RD AVE ANCHORAGE AK 995011979 137121617 GOVT 266878 Research Grant SOUTH CAROLINA SEA GRANT CONSORTIUM 287 MEETING ST CHARLESTON SC 294011514 843944120 GOVT 259414 Research Grant UNIVERSITY OF SOUTHERN MISSISSIPI 703 E BEACH DR OCEAN SPRINGS ms OCEAN SPRINGS MS 395645326 646000818 GOVT 253309 Research Grant HARTE RESEARCH INSTITUTE 6300 Ocean Dr CORPUS CHRISTI TX 784125869 741760663 501C(3) 249999 Research Grant UNIVERSITY OF CENTRAL FLORIDA 4000 CENTRAL FL BLVD ORLANDO FL ORLANDO FL 328168005 596211832 501C(3) 246885 Research Grant UNIVERSITY OF FLORIDA PO BOX 115500 GAINESVILLE FL 326115500 596002052 GOVT 240124 Research Grant UNIVERSITY OF SOUTH ALABAMA 101 BIENVILLE BLVD DAUPHIN ISLAND AL 36528 630477348 GOVT 234687 Research Grant MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVE CAMBRIDGE MA CAMBRIDGE MA 021394307 042103594 501C(3) 213049 Research Grant SIGMA XI 3200 E NC Hwy 54 RESEARCH TRIANGLE PK NC 27709 060655494 501C(3) 153635 Research Grant COLUMBIA UNIVERSITY 116th St Broadway NEW YORK NY 10027 135598093 501C(3) 109631 Research Grant SMITH COLLEGE ADVANCEMENT 10 ELM STREET NORTHAMPTON MA 01063 041843040 501C(3) 103924 Research Grant MISSOURI BOTANICAL GARDEN PO BOX 299 ST LOUIS MO 63166 075914887 501C(3) 102500 Research Grant UNIVERSITY OF ILLINOIS 1 WILLIAM MAXWELL LN SPRINGFIELD IL 62708 376000511 GOVT 100000 Research Grant WAKE FOREST UNIVERSITY PO BOX 7201 WINSTONSALEM NC 27109 560532138 501C(3) 94466 Research Grant IOWA STATE UNIVERSITY 2255 KILDEE HALL AMES IA 500113156 426004224 GOVT 93956 Research Grant UNIVERSITY OF ALABAMA AT BIRMINGHAM 1720 2nd Ave S BIRMINGHAM AL 35294 636005396 501C(3) 91589 Research Grant UNIVERSITY OF MASSACHUSETTS 140 Hicks Way AMHERST MA 01003 043167352 GOVT 87363 Research Grant WASHINGTON UNIVERSITY 700 ROSEDALE ave ST LOUIS MO 63130 430653611 501C(3) 85775 Research Grant SOUTH DAKOTA STATE UNIVERSITY 1175 Medary Ave BROOKINGS SD 57007 466000364 GOVT 80791 Research Grant BHUTAN FOUNDATION 3121 SOUTH ST NW WASHINGTON DC 200074420 133376290 501C(3) 79007 Research Grant LEBANESE AMERICAN UNIVERSITY 475 RIVERSIDE DR STE 1846 ny 10115 NEW YORK NY 10115 103292082 501C(3) 76100 Research Grant NORTH CAROLINA STATE UNIV 10 Watauga Club Dr RALEIGH NC 276957214 566000756 GOVT 63535 Research Grant TENNESSEE STATE UNIVERSITY 3500 John A Merritt Blvd NASHVILLE TN 37209 620786119 GOVT 63349 Research Grant AUBURN UNIVERSITY 310 SAMFORD HALL AUBURN AL 368495131 636000724 GOVT 61457 Research Grant MICHIGAN STATE UNIVERSITY 220 Trowbridge Rd EAST LANSING MI 48824 386005984 GOVT 59282 Research Grant RUTGERS UNIVERSITY - NEWARK 195 University Ave NEWARK NJ 07102 078302792 GOVT 59225 Research Grant UNIVERSITY OF HOUSTON 316 E CULLEN BLDG HOUSTON TX 77204 746001399 GOVT 55896 Research Grant NORTH DAKOTA STATE UNIVERSITY PO BOX 6050 FARGO ND 581086050 456002439 GOVT 50885 Research Grant ST JUDE CHILDREN'S RESEARCH HOSPITAL 262 DANNY THOMAS PL MEMPHIS TN 381053678 620646012 501C(3) 50606 Research Grant UNIVERSITY OF KENTUCKY RESEARCH Fdn 201 Kinkead Hall LEXINGTON KY 405060005 616033693 501C(3) 50000 Research Grant KANSAS STATE UNIVERSITY 2 FAIRCHILD HALL MANHATTAN KS 665061103 480771751 GOVT 44334 Research Grant UNIVERSITY OF CALIFORNIA DAVIS 1 Shields Ave DAVIS CA 95616 946036494 GOVT 31620 Research Grant NORTHEASTERN UNIVERSITY 390 RENAISSANCE PARK BOSTON MA 02115 041679980 501C(3) 30000 Research Grant REGENTS OF THE UNIV OF CALIFORNIA 201 Sproul Hall 1960 Berkeley CA 94720 946036493 501C(3) 30000 Research Grant PURDUE UNIVERSITY 302 Wood St WEST LAFAYETTE IN 47907 356002041 GOVT 28750 Research Grant THE REGENTS OF THE UNIV OF CALIFORNIA 505 Parnassus Ave SAN FRANCISCO CA 94143 956006144 501C(3) 25842 Research Grant STANFORD UNIVERSITY 450 Serra Mall STANFORD CA 943053021 941156365 501C(3) 24000 Research Grant UNIVERSITY OF COLORADO BOULDER 3100 MARINE STREET BOULDER CO 803090572 846000555 GOVT 18499 Research Grant OREGON STATE UNIVERSITY 1500 SW Jefferson St CORVALLIS OR 97331 936001786 GOVT 7390 Research Grant 51 Fellowship Stipends/Rel Expense 1560 30165541 Travel Grants 1031 3308042 Honoraria Prizes & Awards 91 1485784 Tuition & Fees 9 160360 MONITORING THE USE OF GRANTS AND OTHER ASSISTANCE Schedule I, Part II, Line 2 Disbursements for grants, scholarships, and fellowships are made in furtherance of the institution's exempt purposes and in accordance with procedures intended to confirm that individuals and organizations are adequately investigated to confirm that they are qualifying recipients. X X X true true X X X false false false false false false false true false RALPH J CICERONE PRESIDENT end 6/30/16 379510 0 0 0 604065 0 49050 0 69476 0 1102101 0 0 0 MARCIA MCNUTT PRESIDENT beg 7/1/16 342901 0 0 0 120907 0 0 0 10789 0 474597 0 0 0 C Dan Mote Jr President- NAE 726952 0 0 0 109064 0 49050 0 4388 0 889454 0 0 0 Victor Dzau President- NAM 720400 0 0 0 206942 0 49050 0 23312 0 999704 0 0 0 Bruce Darling EXECUTIVE Officer 478227 0 0 0 45843 0 49050 0 17489 0 590609 0 0 0 Mary Salmon Chief Financial Officer 284518 0 0 0 6068 0 35375 0 16386 0 342347 0 0 0 Richard Bissell Executive Director PGA 263457 0 0 0 6536 0 49050 0 24816 0 343859 0 0 0 James F Hinchman Dep Exec OFCR/ Chief OP OFCR 441056 0 0 0 39544 0 49050 0 6998 0 536648 0 0 0 Clyde Behney Executive Director HMD 295135 0 0 0 12796 0 49050 0 6136 0 363117 0 0 0 Neil Pedersen Executive Director TRB 244370 0 0 0 4842 0 45206 0 2947 0 297365 0 0 0 Y Leonard Kim Chief Information Officer 299084 0 2950 0 12832 0 49050 0 35930 0 399846 0 0 0 Robert Ullrich RERF Chief of Research 213859 0 0 0 175271 0 39822 0 11259 0 440211 0 0 0 Kenneth Fulton Executive Director 297360 0 0 0 19026 0 49050 0 13504 0 378940 0 0 0 MICHAEL MURPHY CHIEF DEVELOPMENT OFFICER 312735 0 0 0 2690 0 26840 0 13479 0 355744 0 0 0 AUDREY MOSLEY GENERAL COUNSEL 298024 0 0 0 10913 0 49050 0 10734 0 368721 0 0 0 HOUSING ALLOWANCE SCHEDULE J, PART I, LINE 1 The President of the National Academy of Sciences and the National Academy of Medicine each received a supplement to salary for the cost of rental housing in the Washington, DC area for personal use and travel expenses. The allowance is reported as taxable income on form W-2. TRAVEL FOR COMPANIONS SCHEDULE J, PART I, LINE 1 NAS PROCEDURES PROVIDE FOR REIMBURSEMENT OF TRAVEL EXPENSES FOR THE SPOUSES OF THE PRESIDENTS OF NAS, NAE, AND NAM SOLELY IN CIRCUMSTANCES IN WHICH THE SPOUSES PRESENCE SERVES A BONA FIDE BUSINESS PURPOSE OF THE NAS AND THE EXPENSES HAVE BEEN PROPERLY SUBSTANTIATED. TRAVEL EXPENSES ARE REVIEWED EACH YEAR THROUGH A SURVEY OF THE EXECUTIVE OFFICES OF THE PRESIDENTS. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS SCHEDULE J, PART I, LINE 1 NAS PROVIDES TAX EQUALIZATION PAYMENTS FOR EMPLOYEES ON INTERNATIONAL ASSIGNMENT IN JAPAN GREATER THAN SIX MONTHS. THE OBJECTIVE OF THE NAS TAX EQUALIZATION GUIDELINES IS TO EQUALIZE THE TAX BURDEN OF EMPLOYEES ASSIGNED TO JAPAN. Schedule J, Part-Time Officers Compensation FOr the Vice President, Treasurer, Foreign Secretary and Home SEcretary, time estimates are based on a percentage level of effort, which ranges between 25% and 50%. NAS reimburses each part-time officer's home institution for the applicable percentage of salary paid by the home institution. Schedule J, Compensation of Former President The NAS Committee on Executive Compensation, which is the authorized body for reviewing compensation of officers, approved additional compensation in the amount of $572,853.19 for NAS's former President, whose term expired in 2016. The amount was determined to be reasonable based on market data and appropriate given the former President's leadership and accomplishments during his term of over 10 years. NON-FIXED PAYMENTS SCHEDULE J, PART I, LINE 7 AN OFFICER OF NAS RECEIVED A BONUS. THIS BONUS WAS A ONE-TIME PAYMENT FOR THE INDIVIDUAL'S YEARS OF SERVICE IN THEIR POSITION AS AN NAS OFFICER. A KEY EMPLOYEE OF NAS RECEIVED A LUMP-SUM MERIT AWARD. MERIT AWARDS ARE DETERMINED BY A NUMBER OF VARIABLES INCLUDING BUT NOT LIMITED TO INDIVIDUAL PERFORMANCE AS WELL AS ORGANIZATION OPERATIONAL ACHIEVEMENTS. MERIT AWARDS PAYMENTS ARE REPORTED IN PART II, COLUMN B(II). A DISTRICT OF COLUMBIA 536001131 2012-12-03 66325000 REFUND SERIES 2008A BONDS false false false B DISTRICT OF COLUMBIA 536001131 2012-12-03 52120000 REFUND SERIES 2009A BONDS false false false C DISTRICT OF COLUMBIA 536001131 2548398N6 2010-05-20 60876507 RESTORE CONSTITUTION AVE FACILITY false false false A 0 0 66325000 0 0 0 0 0 0 0 0 0 2002 true false true true B 0 0 52120000 0 0 0 0 0 0 0 0 0 2002 true false true true C 0 0 60876507 0 5285950 0 0 0 0 50408099 10468408 0 2012 false false true true A 0 true B 0 true C true true true true true true 0.01700 0.00005 0.01705 false false false true A false true true false 0 false 0 false true B false true true false 0 false 0 false true C false true false false 0 false 0 false true A true B true C true SCHEDULE K, PART III, LINE 3A, COLUMN C NAS HAS ENTERED INTO A MANAGEMENT OR SERVICE CONTRACT, WHICH NAS BELIEVES SATISFIES THE SAFE HARBOR STANDARDS UNDER REV. PROC. 97-13. SCHEDULE K, PART III, LINE 3C, COLUMN C THE NAS HAS ENTERED INTO RESEARCH AGREEMENTS, WHICH NAS BELIEVES SATISFIES THE SAFE HARBOR STANDARDS UNDER REV. PROC. 2007-47. SCHEDULE K, PART IV, LINE 2C, COLUMN A THE REBATE COMPUTATION WAS PERFORMED ON DECEMBER 3, 2012. SCHEDULE K, PART IV, LINE 2C, COLUMN B THE REBATE COMPUTATION WAS PERFORMED ON DECEMBER 3, 2012. SCHEDULE K, PART IV, LINE 2C, COLUMN C FOR BOND CUSIP #2548398N6, THE REBATE COMPUTATION WAS PERFORMED ON MAY 1,2016. AN ADDITIONAL REBATE COMPUTATION WAS PERFORMED ON MAY 1, 2017. See Part V X Loans from Interested Persons Schedule L, Part II Name: C. Dan Mote, Jr. Relationship with Organization: President - NAE Purpose of Loan: Purchase Residence Loan to or from the organization? From Original Principal Amount: $1,500,000 Balance Due: $1,500,000 In default? No Approved by Board or Committee? Yes Written Agreement? Yes X 9 563683 Sale Price false true true USE OF THIRD PARTIES Schedule M, Line 32a The organization utilizes a third-party investment firm to receive and sell donated securities. MEMBERS OR STOCKHOLDERS Form 990, PART VI, SECTION A, LINES 6, 7A, AND 7B THE ORGANIZATION IS A PRIVATE MEMBERSHIP ORGANIZATION. THE NAS CONSTITUTION PROVIDES THAT THE ACADEMY SHALL CONSIST OF MEMBERS, MEMBERS EMERITI AND FOREIGN ASSOCIATES. MEMBERS OF NAS ARE ELECTED BY THE MEMBERS IN RECOGNITION OF THEIR DISTINGUISHED AND CONTINUING ACHIEVEMENTS IN ORIGINAL RESEARCH. THE OFFICERS OF THE ACADEMY ARE CHOSEN FROM THE MEMBERSHIP, AND AMENDMENTS TO THE ORGANIZATION'S CONSTITUTION AND BYLAWS, AND ELECTION OF NEW MEMBERS, OFFICERS, AND COUNCIL MEMBERS REQUIRE A VOTE OF THE MEMBERS. THE OFFICERS OF THE ORGANIZATION, TOGETHER WITH TWELVE MEMBERS TO BE ELECTED, SHALL CONSTITUTE THE NATIONAL ACADEMY OF SCIENCES (NAS) COUNCIL FOR THE TRANSACTION OF SUCH BUSINESS AS MAY BE ASSIGNED TO IT BY THE CONSTITUTION, BYLAWS, OR THE MEMBERSHIP. THE NAS COUNCIL HAS GENERAL SUPERVISION OVER THE ELECTION OF THE OFFICERS OF THE ORGANIZATION, AND SHALL SET THE DATE FOR ELECTION AND APPOINTING NOMINATING COMMITTEES. THE NAS COUNCIL MAY DELEGATE ITS AUTHORITY TO APPROPRIATE OFFICIALS OF THE ORGANIZATION EXCEPT WITH RESPECT TO THOSE AUTHORITIES CONCERNING MEMBERSHIP AFFAIRS. FORM 990 REVIEW PROCESS form 990, Part VI, Section B, Line 11 The Draft 990 is prepared by the Office of the Chief Financial Officer. It is reviewed by the Office of General Counsel and an external tax advisor before being reviewed by the auditing committee. The final form is then provided to the NAS Council prior to filing. CONFLICT OF INTEREST POLICY MONITORING AND ENFORCEMENT Form 990, Part VI, Section B, Lines 12b and 12c ANNUALLY, THE GENERAL COUNSEL LEADS A DISCUSSION AT A MEETING OF OFFICERS AND COUNCIL MEMBERS AT WHICH THE CONFLICT OF INTEREST POLICY IS REVIEWED. OFFICERS AND COUNCIL MEMBERS ARE ASKED TO SIGN A STATEMENT THAT THEY WILL ABIDE BY THE ORGANIZATION'S CONFLICT OF INTEREST POLICIES AND PROCEDURES. OFFICERS, COUNCIL MEMBERS, AND KEY EMPLOYEES ARE ASKED TO COMPLETE AN ANNUAL QUESTIONNAIRE REGARDING CERTAIN BUSINESS TRANSACTIONS THAT COULD POTENTIALLY RESULT IN A CONFLICT OF INTEREST. PROCESS OF DETERMINING COMPENSATION Form 990, Part VI, Section B, Line 15 COMPENSATION DECISIONS FOR ALL DISQUALIFIED PERSONS AS DEFINED IN IRC SECTION 4958 ARE MADE ANNUALLY BY AN EXECUTIVE COMPENSATION COMMITTEE COMPOSED OF INDEPENDENT MEMBERS ON THE BASIS OF EXECUTIVE COMPENSATION COMPATIBILITY DATA, INCLUDING A MARKET COMPENSATION SURVEY CONDUCTED BY THE OFFICE OF HUMAN RESOURCES THAT REVIEWS THE COMPENSATION OF THE HEADS OF THE LEADING UNIVERSITIES AND CHIEF EXECUTIVE OFFICERS OF SIMILAR ORGANIZATIONS. THERE IS A RECORD OF THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATIONS AND DECISIONS. COMPENSATION DECISIONS ARE MADE ANNUALLY FOR OTHER KEY AND HIGH PAID EMPLOYEES BY SENIOR STAFF ON THE BASIS OF COMPARIBILITY DATA. Form 990 required to be filed along with States Form 990, Part VI, Section C, Line 17 NAS files returns in the states listed on the 990 Part VI Section C Line 17. In addition, NAS files charitable solicitation registrations with a 990 attached in the following states: AL, AK, AR, CO, FL, GA, HI, KY, MA, MI, MN, MS, NH, NJ, NM, ND, OH, OK, PA, RI, TN, UT, WA, WV, WI. HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC Form 990, Part VI, Section C, Line 19 NAS makes its governing documents, conflict of interest policy, and financial statements available to the public upon request. THE GOVERNING DOCUMENTS AND ANNUAL FINANCIAL STATEMENTS ARE ALSO AVAILABLE ON THE ORGANIZATION'S WEBSITE. Other Changes in Net assets or Fund Balances Form 990, Part XI, Line 9 Amount consists of: unrealized gain on derivatives $1,478,594 unrealized gain on charitable gift annuities $50,728 ---------- $1,529,322 NAS Title Holding LLC 5635 Bent Branch Road Bethesda MD 20816 530196932 Title Holding MD 0 118767175 NAS The National Academies Corporation 100 ACADEMY Irvine CA 92617 942994279 Sci. Meetings CA 501(c)(3) 12a NAS true NAS Retiree Welfare Benefit Plan Trust 2101 CONSTITUTION AVENUE NW WASHINGTON DC 20418 526976965 Emp. Benefits DC 501(c)(3) 12a NAS true National Academy of Engineering Fund 2101 CONSTITUTION AVENUE NW WASHINGTON DC 20418 237284092 Sci. support DC 501(c)(3) 07 N/A false false false true false false false false false false false false true false true true false true true false National Academy of Engineering Fund C 4957355 Cash The National Academies Corporation Q 114627 Cash National Academy of Engineering Fund Q 2328690 Cash Retiree Welfare Benefit Plan Trust Q 793471 Cash Retiree Welfare Benefit Plan Trust R 8920650 Cash