2016-11-10T11:51:00-06:00 2015-12-31 201776739 JPMS COX PLLC 11300 CANTRELL ROAD SUITE 301 LITTLE ROCK AR 72212 990 2015-01-01 710603560 WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTURAL DEVELOPMENT WINR 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 MIKE MYERS VP/CFO 5012803030 2016-11-01 1 MARY ELLEN IRONS P00626271 5012275800 2016-09-29 2015 2017-02-10 21:41:12Z MIKE MYERS 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 111636035 0 X WWW.WINROCK.ORG X 1984 AR WINROCK IS A NONPROFIT ORGANIZATION THAT WORKS WITH PEOPLE AROUND THE WORLD TO INCREASE ECONOMIC OPPORTUNITY, SUSTAIN NATURAL RESOURCES AND PROTECT THE ENVIRONMENT. THIS IS DONE BY LINKING LOCAL INDIVIDUALS AND COMMUNITIES WITH NEW IDEAS AND TECHNOLOGY, AND IN DOING SO, WINROCK IS INCREASING LONG-TERM PRODUCTIVITY, EQUITY AND RESPONSIBLE RESOURCE MANAGEMENT THAT BENEFITS THE POOR AND DISADVANTAGED OF THE WORLD. AREAS OF FOCUS INCLUDE: AGRICULTURAL AND RURAL DEVELOPMENT; EDUCATION AND EMPOWERMENT; NATURAL RESOURCE MANAGEMENT; ENTERPRISE DEVELOPMENT; DEMOCRACY AND GOVERNANCE; CONFLICT MITIGATION; CAPACITY BUILDING; AND CLEAN ENERGY. 18 17 304 155 0 -21724 95668997 105389207 0 0 1837398 1985489 0 0 97506395 107374696 0 0 0 0 39686509 44087091 0 0 0 55716074 64932886 95402583 109019977 2103812 -1645281 99298099 88495808 35596434 28779168 63701665 59716640 X WINROCK INTERNATIONAL IS A NONPROFIT ORGANIZATION THAT WORKS WITH PEOPLE IN THE UNITED STATES AND AROUND THE WORLD TO EMPOWER THE DISADVANTAGED, INCREASE ECONOMIC OPPORTUNITY, AND SUSTAIN NATURAL RESOURCES.WINROCK MATCHES INNOVATIVE APPROACHES IN AGRICULTURE, NATURAL RESOURCES MANAGEMENT, CLEAN ENERGY, AND LEADERSHIP DEVELOPMENT WITH THE UNIQUE NEEDS OF ITS PARTNERS. BY LINKING LOCAL INDIVIDUALS AND COMMUNITIES WITH NEW IDEAS AND TECHNOLOGY, WINROCK IS INCREASING LONG-TERM PRODUCTIVITY, EQUITY, AND RESPONSIBLE RESOURCE MANAGEMENT TO BENEFIT THE POOR AND DISADVANTAGED OF THE WORLD. 0 0 96542415 SEE ABOVE STATEMENT OF EXEMPT PURPOSE 96542415 1 1 0 1 0 0 0 0 0 1 1 1 1 0 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 X 163 0 1 304 1 0 1 BG BR UV CB CA CH CF IV GH GG GV ID KE LI MK ML MI BM NP NI PK RP RW SG SU TI TZ TH VM ZA 0 0 0 0 0 0 0 0 X 18 17 1 0 1 0 0 0 0 1 1 0 0 1 1 0 1 1 1 1 1 0 AR X X MIKE MYERS 5012803000 2101 RIVERFRONT DRIVE LITTLE ROCK AR 72202 RODNEY FERGUSON PRESIDENT AND CEO 40.00 X X 484841 0 27897 ELIZABETH CAMPBELL CHAIRMAN 1.00 X X 0 0 0 PETER O'NEILL VICE CHAIR 1.00 X X 0 0 0 JASON BORDOFF BOARD MEMBER 1.00 X 0 0 0 WILLIAM M BUMPERS BOARD MEMBER 1.00 X 0 0 0 JOYCE CACHO BOARD MEMBER 1.00 X 0 0 0 MELISSA S DANN BOARD MEMBER 1.00 X 0 0 0 EARL DEVANEY BOARD MEMBER 1.00 X 0 0 0 NEVA GOODWIN BOARD MEMBER 1.00 X 0 0 0 WILLIAM KETCHAM BOARD MEMBER 1.00 X 0 0 0 RICK LEACH BOARD MEMBER 1.00 X 0 0 0 PAUL SAVAGE BOARD MEMBER 1.00 X 0 0 0 SUZANNE E SISKEL BOARD MEMBER 1.00 X 0 0 0 F BRONSON VAN WYCK BOARD MEMBER 1.00 X 0 0 0 DAVID AGNEW BOARD MEMBER 1.00 X 0 0 0 DAVID BRAMAN BOARD MEMBER 1.00 X 0 0 0 JUDE KEARNEY BOARD MEMBER 1.00 X 0 0 0 JOHN M NEES BOARD MEMBER 1.00 X 0 0 0 MIKE MYERS CFO/TREASURER 40.00 X 257914 0 36597 CAROL ANN SMITH VICE PRESIDENT, OPERATIONS 40.00 X 269161 0 33729 AMY CARRASQUILLO CORPORATE SECRETARY/MANAGE 40.00 X 98180 0 26496 PAM FUTCH SR STAFF ACCT/ASST. TREASU 40.00 X 25110 0 6512 JOYJIT DEB ROY SR. VICE PRES, PROGRAMS 40.00 X 86294 0 15176 ROBYN MCGUCKIN SR. VICE PRES, PROGRAMS 40.00 X 298611 0 30637 CURTIS HUNDLEY CHIEF OF PARTY 40.00 X 347327 0 26904 DAVID NORMAN GROUP VP, ENVIRONMENT & AG 40.00 X 234546 0 24833 STEPHEN WALLS CHIEF OF PARTY 40.00 X 375370 0 34137 DELROY WILLIS DIRECTOR, SECURITY & OPERATIONS 40.00 X 353422 0 26651 PHILLIP BROUGHTON CHIEF OF PARTY 40.00 X 304336 0 46435 3135112 0 336004 9 0 1 0 TAFT STETTINIUS & HOLLISTER 40 N MAIN ST STE 1700 DAYTON OH 45423 LEGAL COUNSEL 137702 ROCKEFELLER FINANCIAL 10 ROCKEFELLER PLAZA 3RD FL NEW YORK NY 10020 INVESTMENT MANAGEMENT 102060 2 92860809 12528398 105389207 936430 936430 5310398 4261339 1049059 1049059 1049059 107374696 0 0 1985489 1696744 1696744 42162360 34246430 7915930 227987 208739 19248 359517 240884 118633 183967 79603 104364 316240 316240 3387123 3114135 272988 10365 10365 2137966 1628164 509802 90223 52681 37542 3215586 2964864 250722 6424976 5900905 524071 1381099 1302396 78703 178305 6713 171592 740974 740974 487191 376991 110200 SUBCONTRACTS 35027093 35027093 FELLOWSHIPS 3080633 3080633 PROCUREMENT 2873741 2611810 261931 VEHICLES 688461 684477 3984 4349426 3308788 1040638 109019977 96542415 12477562 0 9356075 9038711 2407026 2685116 16050 0 14573541 14099802 510797 536825 14658614 6283698 8229560 8374916 50113655 46950397 14091395 6810041 99298099 88495808 8648445 10396875 20160891 11636588 4680000 4730898 2107098 2014807 35596434 28779168 X 51480607 49321090 12221058 10395550 63701665 59716640 99298099 88495808 -1645281 -2339744 0 X 0 1 X 1 1 1 X 90284462 82405010 81297732 95668997 105389207 455045408 90284462 82405010 81297732 95668997 105389207 455045408 455045408 792109 705004 1009728 807657 936430 4250928 459296336 0.99070 0.99000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 6770 6770 0 PART II-B, LINE 1: PORTION OF DUES PAID TO US GLOBAL LEADERSHIP CAMPAIGN AND ARKANSAS STATE CHAMBER OF COMMERCE LABELED AS LOBBYING EXPENSE; FEES TO CAPITAL ADVISORS TO HOLD DISCUSSIONS CONCERNING FUTURE LEGILSLATION / FUNDING FROM THE STATE. 6612266 -98160 -47576 54187 6412343 6371665 -65572 343224 37051 6612266 5717872 -39989 728034 34252 6371665 5207453 -29441 577645 37785 5717872 5229410 -41043 116878 61272 36520 5207453 1.00000 0.00000 0.00000 1 0 1377444 1377444 7499849 3037914 4461935 2200135 899271 1300864 2841143 1972746 868397 740043 373767 366276 8374916 EQUITY SECURITIES & MUTUAL FUNDS 28650586 F LIMITED PARTNERSHIPS 15731751 F OTHER INVESTMENTS 995544 F REAL ESTATE 1572516 F 46950397 INVESTMENTS - PROJECT ADVANCE 6810041 F 6810041 DEFERRED RENT & OTHER LIABILITIES 2014807 2014807 X 105034952 -2339744 -2339744 107374696 0 107374696 109019977 0 109019977 0 109019977 PART V, LINE 4: THE CENTRAL OBJECTIVE OF THE ENDOWMENT IS TO PROVIDE A STABLE STREAM OF REVENUE IN SUPPORT OF WINROCK OPERATIONS. DIRECTORS EXPECT THAT THIS STREAM OF REVENUE WILL INCREASE, ON AVERAGE, AT LEAST AS FAST AS THE RATE OF THE GENERAL PRICE INFLATION, AND THAT THERE WILL THEREFORE BE NO EROSION IN THE BUYING POWER OF THIS REVENUE OVER TIME. THE LONG-TERM GOAL OF THE ENDOWMENT IS TO BE MANAGED SO THAT, AFTER ALL DISBURSEMENTS, THE FUND WILL MAINTAIN ITS VALUE. PART X, LINE 2: WINROCK RECOGNIZES ACCRUED INTEREST AND PENALTIES ASSOCIATED WITH UNCERTAIN TAX POSITION AS PART OF THEIR INCOME TAX PROVISION, IF ANY. THE PAST THREE YEARS OF EXEMPT ORGANIZATION INCOME TAX RETURNS ARE SUBJECT TO POTENTIAL EXAMINATION BY TAXING AUTHORITIES. WINROCK CONTINUALLY EVALUATES CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. ONE SUCH CHANGE EFFECTIVE JANUARY 2, 2011 IS INTERNAL REVENUE CODE SECTION 5000C, WHICH PROVIDES FOR A TWO-PERCENT EXCISE TAX TO BE ASSESSED ON A FOREIGN PERSON THAT RECEIVES A SPECIFIED FEDERAL PROCUREMENT PAYMENT ("SFPP"). SECTION 5000C DEFINES AN SFPP AS ANY PAYMENT MADE PURSUANT TO A CONTRACT WITH THE U.S. GOVERNMENT FOR: (1) THE PROVISION OF GOODS, IF SUCH GOODS ARE MANUFACTURED OR PRODUCED IN ANY COUNTRY THAT IS NOT A PARTY TO AN INTERNATIONAL PROCUREMENT AGREEMENT ("IPA") WITH THE UNITED STATES, OR (2) THE PROVISION OF SERVICES, IF SUCH SERVICES IN ANY COUNTRY THAT IS NOT A PARTY TO AN IPA WITH THE UNITED STATES. MANAGEMENT ASSERTS THAT THE TAX WOULD NOT APPLY TO WINROCK BECAUSE THE TAX IS ONLY ASSESSED (1) AGAINST FOREIGN PERSONS WHO RECEIVE SFPP'S (NOT U.S. PERSONS) AND (2) WHERE THE PAYMENT IS MADE PURSUANT TO A CONTRACT WITH THE GOVERMNENT OF THE UNITED STATES- NEITHER OF WHICH APPLIES TO WINROCK'S ACTIVITIES. BECAUSE MANAGEMENT'S POSITION IS BASED ON A STRAIGHT READING OF SECTION 5000C AND THE FACT THAT THERE ARE CURRENTLY NO REGULATIONS OR OTHER OFFICIAL GUIDANCE FROM THE UNITED STATES TREASURY TO INTERPRET THE SECTION, THE POSSIBILITY REMAINS THAT FUTURE AUTHORITATIVE GUIDANCE WILL BE ISSUED CONTRARY TO THE POSITION CURRENTLY TAKEN BY WINROCK. SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT SEE ATTACHED STATEMENT 0 0 0 0 0 0 0 0 0 1 0 0 1 1 0 PART I, LINE 2: WINROCK INTERNATIONAL IMPLEMENTS PROJECTS IN APPROXIMATELY 50 COUNTRIES WORLD-WIDE. WINROCK PROJECTS ARE FUNDED BY BOTH DOMESTIC AND INTERNATIONAL FUNDERS, WITH OVER 80% OF FUNDING PROVIDED BY THE U.S. FEDERAL GOVERNMENT IN 2015. WHEN AWARDED, WINROCK ESTABLISHES A PRESENCE IN THE REQUIRED AREA AND CARRIES OUT THE SCOPE OF WORK INCLUDED WITHIN THE AWARDED PROPOSAL. THE THREE MAIN AREAS OF WINROCK'S WORK ARE THE AREAS OF ENTERPRISE & AGRICULTURE, EMPOWERMENT & CIVIC ENGAGEMENT, AND ENVIRONMENT (INCLUDING FORESTRY MANAGEMENT, ENERGY, AND ECOSYSTEM SERVICES). IN ADDITION TO THE WORK PROVIDED WITHIN THE U.S., THE PRIMARY REGIONS IN WHICH WINROCK WORKS INCLUDE CENTRAL ASIA, SOUTH/SOUTHEAST ASIA, AFRICA, AND LATIN AMERICA. X X 1 1 X X X X X 1 0 0 0 0 0 0 0 0 RODNEY FERGUSON PRESIDENT AND CEO 444841 0 40000 0 0 0 26500 0 1397 0 512738 0 0 0 MIKE MYERS CFO/TREASURER 221414 0 36500 0 0 0 21830 0 14767 0 294511 0 0 0 CAROL ANN SMITH VICE PRESIDENT, OPERATIONS 238749 0 30000 0 412 0 23652 0 10077 0 302890 0 0 0 ROBYN MCGUCKIN SR. VICE PRES, PROGRAMS 248611 0 50000 0 0 0 16900 0 13737 0 329248 0 0 0 CURTIS HUNDLEY CHIEF OF PARTY 266952 0 0 0 80375 0 18264 0 8640 0 374231 0 0 0 DAVID NORMAN GROUP VP, ENVIRONMENT & AG 234546 0 0 0 0 0 2819 0 22014 0 259379 0 0 0 STEPHEN WALLS CHIEF OF PARTY 279486 0 0 0 95884 0 16950 0 17187 0 409507 0 0 0 DELROY WILLIS DIRECTOR, SECURITY & OPERATIONS 245039 0 0 0 108383 0 11660 0 14991 0 380073 0 0 0 PHILLIP BROUGHTON CHIEF OF PARTY 237529 0 0 0 66807 0 14978 0 31457 0 350771 0 0 0 PART I, LINE 1A WINROCK ALLOWS EXECUTIVE MANAGEMENT TO FLY BUSINESS CLASS WHEN CONDUCTING INTERCONTINENTAL BUSINESS. STAFF, CONSULTANTS AND VOLUNTEERS MAY UTILIZE BUSINESS CLASS TRAVEL FOR MEDICAL AND EMERGENCY EVACUATIONS AND IN OTHER EXTRAORDINARY CIRCUMSTANCES. A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KA65 2015-06-01 125000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KA73 2016-06-01 180000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KA81 2017-06-01 185000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KA99 2018-06-01 185000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 125000 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB23 2019-06-01 195000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB31 2020-06-01 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB49 1921-06-01 200000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB56 1922-06-01 205000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 1 C 0 0 0 0 0 0 1 D 0 0 0 0 0 0 1 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 0 B 0 C 0 D 0 A ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB64 1923-06-01 215000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 B ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB72 1924-06-01 220000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 C ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB80 1929-06-01 1250000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 D ARKANSAS DEVELOPMENT FINANCE AUTHORITY 710503641 04108KB98 1934-06-01 1520000 PROCEEDS USED TO REFUND PRIOR ISSUANCE USED FOR CONSTRUCTION OF HQ OFFICE 0 0 0 A 0 0 0 0 B 0 0 0 0 C 0 0 0 0 D 0 0 0 0 A 0 0 0 0 0 0 1 B 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 A 0 0 0 0 0 0 0 0 0 B 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 0 0 0 D 0 0 0 0 0 0 0 0 0 A 0 B 0 C 0 D 0 FORM 990, PART VI, SECTION A, LINE 2 NEVA GOODWIN AND PETER O'NEILL - FAMILY RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 4 UPON NOTICE AS PROVIDED IN ARTICLE III SECTION 3 OR 4, AT ANY MEETING OF THE BOARD OF DIRECTORS ANY PROVISION OF THESE BYLAWS MAY BE AMENDED OR REPEALED BY AFFIRMATIVE VOTE OF A MAJORITY OF DIRECTORS THEN IN OFFICE. NO PROVISION MAY BE AMENDED OR REPEALED UNLESS WRITTEN NOTICE OF THE PROPOSED AMENDMENT OR REPEAL HAS BEEN CONTAINED IN THE NOTICE OF THE MEETING. FORM 990, PART VI, SECTION B, LINE 11 THE 990 WAS PRESENTED TO THE AUDIT COMMITTEE BY MANAGEMENT AND THE TAX PREPARERS PRIOR TO THE FILING OF THIS TAX RETURN. AT THEIR RECOMMENDATION, THE BOARD AND OFFICERS THEN HAD THE OPPORTUNITY TO REVIEW THE ACCURACY AND COMPLETENESS OF THE RETURN BEFORE IT WAS FILED. HOWEVER; THE AUTHORITY TO SUGGEST CHANGES TO THE FORM LIES WITH THE AUDIT COMMITTEE. FORM 990, PART VI, SECTION B, LINE 12C ANNUALLY THE WINROCK CORPORATE SECRETARY DISTRIBUTES BOTH A COPY OF THE CONFLICT OF INTEREST POLICY AND A SIGNATURE STATEMENT TO ALL MEMBERS OF THE BOARD OF DIRECTORS. ALL OTHER EMPLOYEES RECEIVE THEIR SIGNATURE STATEMENTS FROM THE HUMAN RESOURCES DEPARTMENT. THE SIGNATURE STATEMENT REQUIRES THE SIGNER TO SIGN AFTER READING THE CONFLICT OF INTEREST POLICY AND DISCLOSE ANY POSSIBLE CONFLICTS OF INTEREST OR STATING THAT THE EMPLOYEE/BOARD MEMBER HAS NONE. IF THERE IS A DISCLOSURE NECESSARY, THEY ARE THEN REVIEWED BY BOTH THE CEO AND THE BOARD CHAIR TO DETERMINE THEIR SEVERITY. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS USES COMPENSATION SURVEYS AND OTHER RESOURCES TO DETERMINE THE APPROPRIATE COMPENSATION FOR THE CEO. THE DECISION BY THE COMPENSATION COMMITTEE IS THEN APPROVED BY THE FULL BOARD BEFORE BEING FINALIZED. THE COMPENSATION COMMITTEE ALSO REVIEWS ANNUALLY THE COMPENSATION OF OFFICERS. FORM 990, PART VI, SECTION C, LINE 19 THE ARTICLES OF INCORPORATION AND BYLAWS ARE MADE PUBLIC THROUGH THE ARKANSAS SECRETARY OF STATE'S OFFICE OR CAN BE DIRECTLY REQUESTED FROM THE CORPORATE SECRETARY. THE CONFLICT OF INTEREST POLICY IS AVAILABLE UPON REQUEST TO THE CORPORATE SECRETARY OR HUMAN RESOURCES DIRECTOR. THE FINANCIAL STATEMENTS ARE PUBLISHED THROUGH DUNN & BRADSTREET, A FEDERAL AUDIT CLEARINGHOUSE, AND A CONDENSED VERSION OF THE BALANCE SHEET AND INCOME STATEMENT IS AVAILABLE ON THE WINROCK INTERNATIONAL WEBSITE (WWW.WINROCK.ORG).